Not every allegation of fraud done in a corporate setting or

MODULE 3 perpetrated by corporate officers will bring the case within the special
commercial court's jurisdiction. To fall within this jurisdiction, there
must be sufficient nexus showing that the corporation's nature,
PLEADINGS structure, or powers were used to facilitate the fraudulent device or
scheme.
In ordinary cases, the failure to specifically allege the fraudulent
RULES OF PLEADINGS acts does not constitute a ground for dismissal since such defect can
Pleadings be cured by a bill of particulars. In cases governed by the Interim
Pleadings are the formal statements by the parties of the Rules of Procedure on Intra-Corporate Controversies, however, a bill
operative facts which constitute their respective claims and of particulars is a prohibited pleading. It is essential, therefore, for
defenses. the complaint to show on its face what are claimed to be the
fraudulent corporate acts if the complainant wishes to invoke the
court's special commercial jurisdiction.
Sec. 1, Rule 6, Rules of Court
Pleadings are the written statements of the respective claims
and defenses of the parties submitted to the court for Object of the pleadings
appropriate judgment. No oral pleadings. What contain To notify the opposite party of the facts which the pleader
pleadings? The claims and defenses of the parties. expects to prove, so that he may not be misled in the
preparation of his case.
The allegations made by the parties to an action or proceeding
for the purpose of presenting the issue to be tried and Functions of pleadings
determined, whether such issue is of law or of fact. 1. To inform the defendant clearly and definitely of the claims
made against him so that he may be prepared to meet the
The formal statements by the parties of the operative facts issues at trial.
which constitute their respective claims. 2. To inform the defendant of all material facts on which the
plaintiff relies to support his demand.
Necessity of pleadings 3. To state the theory of the a cause of action which forms the
They are necessary in order to confer jurisdiction of a court, that bases of plaintiff’s claim of liability.
the subject matter be presented for its consideration in a mode
sanctioned by law and this is done by the filing of a complaint Construction of pleadings
or other pleading. All pleadings shall be liberally construed so as to do substantial
justice. The intention of the pleader is the controlling factor in
Purpose of pleadings construing a pleading and should be read in accordance with its
Pleadings are intended to secure a method by which the issues substance, not its form.
may be properly laid before the court. Pleadings supply the
framework that guides the court in conducting the proceedings. While pleadings should be liberally construed, it is also a rule
The actions of the court primarily depend upon the parties’ that a party is strictly bound by the allegations, statements or
allegations in their pleadings. admission made in his pleadings and cannot be permitted to
take a contradictory position.
Pleadings are designed to develop and present the precise
points in dispute between the parties. Their office is to inform Thus, it has been held that an admission in the pleadings cannot
the court and the parties of the facts in issue. be controverted by the party making such admission and are
conclusive as to him, and that all proofs submitted by him
Reyes v. RTC Makati contrary thereto or inconsistent therewith should be ignored,
whether objection is interposed or not.
Issue whether the RTC acquired jurisdiction of the complaint
filed by the plaintiff. The RTC — sitting as special commercial court
Construction of ambiguous allegations in pleadings
— has no jurisdiction to hear Rodrigo's complaint since what is
involved is the determination and distribution of successional rights
It must be construed most strongly against the pleader and that
to the shareholdings of Anastacia Reyes. Rodrigo's proper remedy, no presumptions in his favor are to be indulged in. This is
under the circumstances, is to institute a special proceeding for the because it is the pleader who selects the language used and if
settlement of the estate of the deceased Anastacia Reyes, a move his pleading is open to different construction, such ambiguities
that is not foreclosed by the dismissal of his present complaint. must be at the pleader’s peril.
Allegations of deceit, machination, false pretenses,
misrepresentation, and threats are largely conclusions of law that, Nature of pleading, how determined
without supporting statements of the facts to which the allegations The nature of an action is determined by the allegations of the
of fraud refer, do not sufficiently state an effective cause of action. complaint or petition and the character of the relief sought and
Tested against these standards, the court finds that the charges not its title.
of fraud against Oscar were not properly supported by the required
factual allegations. While the complaint contained allegations of Such allegations and relief also determine the body or court
fraud purportedly committed by him, these allegations are not which has jurisdiction over the action.
particular enough to bring the controversy within the special
commercial court's jurisdiction; they are not statements of ultimate Kinds of Pleadings allowed by the Rules of Court
facts, but are mere conclusions of law: how and why the alleged
Sec. 2, Rule 6, Rules of Court
appropriation of shares can be characterized as "illegal and
1. Complaint
fraudulent" were not explained nor elaborated on.

1
2. Answer Pleadings for Environmental Cases
3. Counterclaim 1. Complaint
4. Cross-claim 2. Answer which may include a compulsory counterclaim and
5. Reply cross-claim
6. Third (fourth, etc.)-party claim 3. Intervention, may be filed in a citizen suit.
7. Counter cross-claim; and
8. Intervention Pleadings not allowed in Environmental Cases
1. Reply
Pleadings allowed under Rules on Summary Procedure 2. Rejoinder
Sec. 3[A], II, Rules on Summary Procedure 3. Third-party complaint
1. Complaint
2. Compulsory counterclaim pleaded in the answer Nature of pleading
3. Cross-claim pleaded in the answer a. It is to be determined by the averments in it and not by its
4. Answers thereto title.
b. It is not the caption but the allegations that determines the
The same pleadings are allowed in actions for forcible entry and nature of the action.
unlawful detainer, irrespective of the amount of damages and c. The court shall grant relief warranted by the allegations and
rentals sought to be recovered. proof even if no such relief is prayed for.

Not allowed under the Rules on Summary Procedure Kinds of pleadings

As well in forcible entry and unlawful detainer. This is because 1. Complaint
they prolong the pleadings. 2. Answer
1. Permissive counter-claim
2. Third-party complaint Complaint
3. Reply Sec. 3, Rule 6, Rules of Court
4. Pleading-in-intervention The complaint is the pleading alleging the plaintiff’s cause or
causes of action. The names and residences of the plaintiff and
Pleadings for small claims defendant must be stated in the complaint.
1. Pleadings are in specific forms described under the rules.
2. A small claim action is commenced by filing with the court It is a concise statement of the ultimate facts constituting the
an accomplished and verified Statement of Claim (Form 1- plaintiff’s cause or causes of action, with the specification of the
SCC). No other formal pleading is necessary to initiate a relief sought, but it may add a general prayer for such further
small claims action. relief as may be deemed just and equitable.
3. No other formal pleading is necessary to initiate a small
claim. Filing a complaint is the act of presenting it to the clerk of court;
4. Instead of filing an answer, the defendant shall file with the the original must be presented personally to the clerk of court
court and serve on the plaintiff a duly accomplished and or sent by registered mail.
verified response (Form 3-SCC). Any claim, which the
defendant has against the plaintiff, shall be filed as a Significance of filing a complaint
counterclaim in the Response where the counterclaim is 1. It signifies the commencement of the civil action.
compulsory. The defendant may, however, elect to file a 2. By filing the complaint, the court also acquires jurisdiction
counter claim (permissive) against the plaintiff even if it over the person of the plaintiff.
does not arise out of the transaction or occurrence that is 3. Submission to the jurisdiction of the court is implied from
the subject of the plaintiff’s claim provided its amount and the very filing of the complaint where affirmative relief is
nature are covered by the Rule. prayed for by the plaintiff.
4. It also has the effect of interrupting the prescription of
Pleadings not allowed under Small Claims actions.
1. Petition for relief from judgment
2. Petition for certiorari, mandamus, or prohibition against any Two Kinds of facts in a Pleading
interlocutory order issued by the Court 1. Ultimate Facts
3. Reply 2. Evidentiary Facts
4. Third party complaints
5. Interventions Evidentiary Facts
Those facts which are necessary for determination of the
Pleadings not allowed in petition for writs amparo or ultimate facts, they are the premises upon which conclusions of
habeas data ultimate facts are based. Under the New Rules, for parties, the
1. Counterclaim requirements to institute an action were modified such that the
2. Cross-claim complaint must now include evidentiary matters, i.e., judicial
3. Third-party complaint affidavits and copies of documents.
4. Reply
5. Intervention Ultimate facts
6. Petition for certiorari, mandamus, or prohibition against any It is the essential facts constituting the plaintiff’s cause of action.
interlocutory order issued by the Court A fact is essential if it cannot be stricken out without leaving the
statement of the cause of action insufficient. A pleading should

2
state the ultimate facts essential to the rights of action or
defense asserted, as distinguished from mere conclusion of act, It may likewise be the response to a counterclaim or a cross-
or conclusion of law. For example: An allegation that a contract claim, or an answer to the complaint, counter-claim or a cross-
is valid, or void, is a mere conclusion of law. claim.

Allegations of ultimate facts There is no answer to a reply but there could be an answer to a
Every pleading, including the complaint, is not supposed to third-party complaint or complaint-in-intervention. Since the
allege conclusions. A pleading must only aver facts because answer merely responds to a claim, an answer is called a
conclusions are for the courts to make. A bare allegation that “responsive” pleading.
one is entitled to something is not an allegation but a conclusion.
(a) The rule requires that a pleading need not only contain the Kinds of defenses in the answer
allegations of “ultimate facts,” i.e., the facts essential to a 1. Negative defense
party’s cause of action or defense or such acts as are so 2. Affirmative defense
essential that they cannot be stricken out without leaving
the statement of the cause of action inadequate. Negative defenses
(b) The ultimate facts are to be stated in a methodical and Sec. 5[a], Rule 6, Rules of Court
logical form, and in a plain, concise and direct manner. A negative defense is the specific denial of the material fact or
facts alleged in the pleading of the claimant essential to his
Distinguish ultimate facts from evidentiary facts. cause or defense.
The ultimate facts support your claims or defenses while the
evidentiary facts support the ultimate facts. A negative defense is stated in the form of a specific denial and
the kinds of specific denials are described in Sec. 10, Rule 8. If
Ultimate Facts Evidentiary Facts Conclusions of Law
the denial is not of one of those described under the said
provision, the denial is deemed to be general. A general denial
Not sustained by is considered an admission.
These are the declarations of facts.
important and It does not aid the Using “specifically” does not make it specific denial.
substantial facts complaint setting A general denial does not become specific by the use of the
Those which are
which either forth a cause of
necessary to prove word “specifically.” Merely uttering “specific denial” is ineffective
directly form the action.
basis of the
the ultimate fact or if the denial does not conform to the methods of denial provided
which furnish Note: One must not for by the Rules of Court.
plaintiff’s primary
evidence of the state conclusions of
right and duty or
existence of some law and statements of
directly make up The denial in the answer must be definite as to what is admitted
other facts. mere evidentiary facts
the wrongful acts and what is denied, such that the adverse party will not have to
or omissions by as this can be
resort to guesswork over what is admitted and what is denied.
the defendant. subjected to a motion
to strike.
Three types of specific denials
Sec. 10, Rule 8, Rules of Court
How do you determine whether a fact is essential to 1. Absolute denial
your cause of action or defense? 2. Partial denial
The test to determine whether the fact is essential to your cause 3. Denial by disavowal of knowledge
of action is: if the statement in the pleading cannot be deleted.
Because if you delete it, the statement of your cause of action 1. Absolute denial
or defense becomes incomplete, a certain element of cause of The defendant specifies each material allegation of fact the
action disappears. truth of which he does not admit and, whenever
practicable, sets forth the substance of the matters upon
Transition from complaint to answer which he relies to support his denial.
1. After the complaint, and payment of docket fees, the court
will issue summons and instructs the defendant to answer Example:
the complaint. Defendant denies the truth of the allegations in par. 7 of
2. He has options after summons: the complaint alleging that he owes the plaintiff P450,000,
a. Motion for bill of particulars if there are allegations in the truth of the matter being that it is the plaintiff who owes
the complaint that require clarification or details so he the defendant the same amount.
may be able to intelligently respond to the complaint.
b. Motion to dismiss if a ground exists for the immediate A blanket denial is not a specific denial. Example: Defendant
dismissal of the complaint. specifically denies all the material allegations in the
3. If no grounds of either motion, the defendant should serve complaint. A blanket denial is a general denial which, in
and file his answer to the complaint to prevent his being effect, is an admission. The rule requires that the defendant
declared in default. must specific each material allegation of fact. Hence, the
reference of the specific paragraph makes its specific.
Answer (to the complaint/counterclaim/cross-claim)
Sec. 4, Rule 6, Rules of Court 2. Partial denial
It is the pleading where the defendant sets forth his or her It is where the defendant does not make a total denial of
defenses. the material allegations in a specific paragraph. He denies

3
 only a part of the averment. If he chooses this type of Specific denial coupled with an oath
denial, he specifies that part the truth of which he admits General rule:
and denies only the remainder. A negative defense is sufficient if made in the form of a specific
denial of the material allegations alleged in the pleading of the
Example: complaint.
Defendant admits the allegations in par. 5 of the complaint,
that Plaintiff sustained injuries when his car collided with Exception:
the herein Defendant’s car, but denies the allegation that In certain cases, the specific denial must be made under oath
the collision occurred through defendant’s fault. and, in these instances, a mere specific denial is not enough to
produce the kind of denial required by the Rules. These
3. Denial by disavowal of knowledge exceptions are:
It is where the defendant alleges that he is without (a) A denial of an actionable document. (Sec. 8, Rule 8)
knowledge or information sufficient to form a belief as to (b) A denial of allegations of usury in a complaint to recover
the truth of a material averment made in the complaint. usurious interest.
This type must be made sincerely and in good faith. A claim
of ignorance or lack of information will not be considered a Actionable document
specific denial. Whenever an action or defense is based or founded upon a
written instrument or document, said instrument is deemed an
Example: actionable document.
Mr. D signs a promissory note in favor of Mr. P. Since Mr. D
failed to pay despite demand, suit was brought against him. A denial of an actionable document
The complaint duly pleaded the promissory note as an Whenever an action or defense is based or founded upon a
actionable document. Mr. D denies the alleged promissory written instrument or document, said instrument or document is
note by averring lack of knowledge of the note. This deemed an actionable document. E.g. a promissory note. The
averment appears to be one in bad faith and shall be substance of such note shall be set forth in the pleading and the
considered as an admission because it is absurd for Mr. D original or copy thereof attached to the pleading as an exhibit.
not to know of the promissory note he himself signed. [Bar]
If the adverse party desires to deny the genuineness and due
Effect of absence of a specific denial execution of the actionable document, he must do 2 things:
1. Material averments in the complaint not specifically denied (a) Specifically deny the genuineness and due execution of the
shall be deemed admitted, except averments of the amount document, and set forth what he claims to be the facts, and
of unliquidated damages. (b) Make the denial under oath

2. If the allegations are deemed admitted, there is no more If he fails to specifically deny the genuineness of the document,
triable issue between the parties and if the admissions he is deemed to have admitted the genuineness and due
appear in the answer of the defendant, the plaintiff may file execution of that document. Because of such admission, he can
a motion for judgment ton the pleadings. [Bar 2018] no longer deny that the note was forged or that person who
executed it was not authorized to do so.
3. The trial court may render a judgment on the pleadings
upon motion of the claiming party when the defending A denial of allegations of usury in a complaint to recover
party’s answer fails to tender an issue, or otherwise admits usurious interest
the material allegations of the adverse party’s pleading. Allegations of usury will be deemed admitted if not denied under
oath. However, not every allegation of usury requires a denial
For that purpose, only the pleadings of the parties are to be under oath. The allegations of usury that requires a specific
generally considered. A party admits the material allegations of denial under oath must be:
the adverse party’s pleading not only when he expressly (a) Allegations of usury in a complaint (not allegations of usury
confesses the truth of such allegations, but also when he does in the answer), and
not controvert the same by specific denials. (b) The complaint is filed to recover usurious interests.

Purpose of a specific denial Matters not deemed admitted by the failure to make a
1. It is the specific denial of the material allegations in the specific denial
complaint which creates the issues in civil litigation. These The following are not deemed admitted by the failure to make
issues are to be proven and are the matters to which every a specific denial in a party’s responsive pleading.
evidence in a case is directed. Without such issues, there is (a) Amount of unliquidated damages
no necessity for a trial since nothing is to be proven. In (b) Conclusions in a pleading because it is for the court to make
evidentiary terms, there is no factum probandum (the conclusions.
matter or proposition to be proven). (c) Non-material averments or allegations because only
2. The purpose of requiring the defendant to make a specific material allegations have to be denied.
denial is to make him disclose the matters alleged in the
complaint which he succinctly intends to disprove at the Judge Q: So a negative defense consists of a specific denial.
trial, together with the matter which he relied upon to Specific denials must be made under oath, so it goes without
support the denial. The parties are compelled to lay their saying that an answer must be under oath because that is where
cards on the table. you assert the defenses, in the answer, particularly when it is
under an actionable document.

4
 you assert the defenses, in the answer, particularly when it is
Denial-what is an effect if there is admission? You are not raising under an actionable document.
it as an issue anymore. Usually, factual issues are involved in
admission so if a party has admitted(?) , then the opposing party Denial-what is an effect if there is admission? You are not raising
need not adduce evidence. Now, if the answering party makes it as an issue anymore. Usually, factual issues are involved in
a general denial meaning it does not indicate with specific admission so if a party has admitted(?) , then the opposing party
controverting admissions, an admission of the material need not adduce evidence. Now, if the answering party makes
averments in a pleading asserting a claim or claims (considered a general denial meaning it does not indicate with specific
insufficient denials). So if you want to deny, you must state the controverting admissions, an admission of the material
reasons why you are denying. So for instance if the allegation is averments in a pleading asserting a claim or claims (considered
you incurred default in the payment of your loan obligation, your insufficient denials). So if you want to deny, you must state the
denial should be stated in such a way that you will controvert reasons why you are denying. So for instance if the allegation is
the statement. If mo ingon lang ka na the allegation is untrue you incurred default in the payment of your loan obligation, your
and baseless, it is a general denial which is considered an denial should be stated in such a way that you will controvert
insufficient denial so one must be very careful in raising the the statement. If mo ingon lang ka na the allegation is untrue
factual issues involved by properly making a specific denial and baseless, it is a general denial which is considered an
because a denial classified as a general denial is tantamount to insufficient denial so one must be very careful in raising the
an admission. factual issues involved by properly making a specific denial
because a denial classified as a general denial is tantamount to
Insufficient denials or denials amounting to admission an admission.
1. General denial.
An admission of the material averments in a pleading Affirmative defenses
asserting a claim or claims; and Sec. 5[b], Rule 6, Rules of Court
2. Denial in the form of a negative pregnant. A defense is affirmative when it alleges new matters which,
hypothetically admitting the allegations in the pleading of the
Negative pregnant claimant, would, nevertheless, prevent or bar recovery by the
In a pleading, a negative pregnant is a negative implying also claiming party.
an affirmative and which, although stated in a negative form,
really admits the allegations to which it relates. It does not A defense is affirmative when its purpose is to prevent or bar
qualify as a specific denial. It is conceded to be actually an recovery by the claiming party even if it hypothetically admits
admission. Otherwise stated, it refers to a denial which implies the material allegations in the pleading of the claimant. It is,
its affirmative opposite by seeming to deny only a qualification therefore, a defense by way of confession and avoidance of the
or an incidental aspect of the allegation but not the main claim.
allegation itself.
Example:
Galofa v. Nee Bon Sing
The defendant admits his debt in favor of the plaintiff, but he
denies his legal liability because the debt has already prescribed
A denial in the form of a negative pregnant is an ambiguous or that the court, before which the complaint has been filed, has
pleading since it cannot be ascertained whether it is a fact, or only no jurisdiction over the subject matter.
the qualification that is intended to be denied.

NM Rothschild & Sons Ltd. v. Lepanto Consolidate Mining

Example: Co.
1. Defense: “I had never borrowed money from the plaintiff
Raising affirmative defenses does not amount to acceptance of
from 2011 to 2013” may imply that the pleader had
the jurisdiction of the court, but praying for an affirmative relief is
borrowed money at some other time and was only denying considered voluntary appearance and acquiescence to the court’s
that he did so during the years mentioned. jurisdiction.
2. Plaintiff alleged that defendant evicted him and the other
lawful occupants of the property by intimidating them with
an assault rifle. The defendant alleged in his answer: Affirmative defenses include:
“Defendant denies vigorously that he used or brandished 1. Fraud
an assault rifle against the plaintiffs.” The answer could be 2. Statute of limitations
an admission of having intimidated the plaintiffs but not 3. Release
through the use of an assault rifle. 4. Payment
3. In a disbarment case: respondent alleged that the affair did 5. Illegality (of cause or consideration)
not amount to gross immoral conduct and that no sexual 6. Statute of frauds
abuse, threat or intimidation was exerted upon the woman. 7. Estoppel
The SC interpreted it as an admission of the existence of 8. Former recovery
the affair and that his denial only pertained to the existence 9. Discharge in bankruptcy
of a forced illicit relationship. 10. Any other matter by way of confession and avoidance.

Judge Q: So a negative defense consists of a specific denial. Affirmative defense, not automatic
Specific denials must be made under oath, so it goes without Before an allegation qualifies as an affirmative defense, it must
saying that an answer must be under oath because that is where be of such nature as to bar the plaintiff from claiming on his
cause of action. This is because, when the answer asserts

5
affirmative defenses, there is a proper joinder of issues which 2. Falls within the jurisdiction of the regular trial courts;
must be ventilated in a full-blown trial on the merits and cannot 3. In an original action before the RTC, the counterclaim may
be resolved by mere judgment on the pleadings. be considered compulsory regardless of the amount;
4. Does not require for its adjudication the presence of third
Judge Q: Affirmative defenses are allegations of new matters parties over whom the court cannot acquire jurisdiction.
which, while hypothetically admitting the material allegations in
the pleading of the claimant, would nevertheless prevent or bar Tests of compulsory counterclaim
recovery by him. So what are the diff kinds of affirmative The following elements must be present:
defense? So an affirmative defense presupposes that there is an 1. It arises out of or is necessarily connected with the
admission of the material allegation but because there is a new transaction or occurrence which is the subject matter of the
matter, the other party does not admit liability because of this opposing party’s claim;
new matter. For instance, payment. 2. It does not require for its adjudication the presence of third
parties over whom the court cannot acquire jurisdiction; &
When you raise affirmative defenses, it will not amount to 3. It is cognizable by the regular courts of justice and such
acceptance of the jurisdiction of the court, however, in your courts have jurisdiction to entertain the counterclaim both
answer, you include affirmative reliefs in such a way that you as to the amount and nature.
are accepting jurisdiction, it is now considered a voluntary
appearance and acquiescence to the court's jurisdiction except A more complete test
for lack of jurisdiction on the subject matter. (a) Issues: Are the issues of fact or law raised by the
counterclaim largely the same?
COUNTERCLAIMS (b) Res judicata: Would res judicata bar a subsequent suit on
Sec. 10, Rule 8, Rules of Court defendant’s claim absent the compulsory counterclaim rule?
A counterclaim is any claim which a defending party may have (c) Evidence: Will substantially the same evidence support or
against an opposing party. A counterclaim is “any claim.” It may refute plaintiff’s claim as well as the defendant’s
be for money, or some other relief against an opposing party. counterclaim?
(d) Logical relation: Is there any logical relationship between
It partakes of a complaint by the defendant against the plaintiff. the claim and the counterclaim?
The filing of a counterclaim gives rise to two complaints, viz., A positive answer to all questions would indicate that the
the one filed by the plaintiff by way of an original complaint and counterclaim is compulsory. Among the four tests, the one
the one filed by the defendant by way of a counterclaim. compelling test is the last one, i.e. the logical relationship.

Example: PP files a complaint against DD for unlawful detainer. Examples of compulsory counterclaim:
DD files an answer with a claim for reimbursement of all the 1. A claim for compensation for improvements on land in
expenses he incurred in repairing the building. The claim for actions to recover possession of real property.
reimbursement is a counterclaim and is in the nature of a 2. A claim in the same suit his expenses for being forced to
complaint by the defendant. litigate in the face of an allegedly unfounded and baseless
complaint. With the additional damages he sustained.
Judge Q: A counterclaim is any claim which a defending party 3. The mere logical relation between the claim and the
may have against an opposing party. This is typically introduced counterclaim will not give rise to a compulsory counterclaim
in the answer. It partakes of a complaint by the defendant where the counterclaim is not within the same court’s
against the plaintiff. jurisdiction.
a. A counterclaim of P500,000 in the MTC cannot be a
Two types of counterclaim. It is imperative that we make a compulsory counterclaim.
proper distinction because different rules apply. A compulsory 4. A regional trial court cannot adjudicate upon an unlawful
counterclaim is one which, being cognizable by the regular detainer case.
courts of justice, arises out of or is connected with the 5. A counterclaim of illegal dismissal cannot be entertained by
transaction or occurrence constituting the subject matter of the the regular courts, but within the jurisdiction of the Labor
opposing party’s claim and does not require for its adjudication, Arbiters.
the presence of third parties of whom the court cannot acquire
jurisdiction. Why considered compulsory? Because answering Note: jurisdiction MTC v. RTC
party must include it in his answer whereas a permissive (a) The absence of jurisdiction to entertain a counterclaim
counterclaim is a counterclaim which does not arise out of nor because of the amount thereof appropriately applies to
is it necessarily connected with the subject matter of the MTCs and equivalent courts.
opposing party’s claim. There is an absence of logical connection (b) The result will differ when the original action is filed with
with the subject matter of the complaint. the RTC. “In an original action before the RTC, the
counterclaim may be considered compulsory regardless of
Two kinds of counterclaim the amount.”
1. Compulsory counterclaim
2. Permissive counterclaim Need to set up the counterclaim
(a) The counterclaim should be interposed at the time the
Compulsory counterclaim defending party files his answer; otherwise, it will be
1. Arises out of (or is necessarily connected with) the effectively barred.
transaction or occurrence that is the subject matter of the (b) A compulsory counterclaim must be set up in the same
opposing party’s claim; action; otherwise, it would be barred forever.

6
 a. If it is filed concurrently with the main action but under It should be accompanied by a
a separate complaint, it would be dismissed on the certification against forum
ground of litis pendentia; Cannot be independently set up, shopping and, whenever
b. If it is subsequently filed after the main action, it would does not require or need not be required, also a certificate to file
also be dismissed on the ground of res judicata. accompanied by a certification action issued by the Lupang
against forum shopping and Tagapamayapa. The certificates
Incompatibility between compulsory counterclaim and certificate to file action by the mentioned are required to be
Lupong Tagapamayapa. attached in a permissive
motion to dismiss
counterclaim because it is an
A party who desires to plead a compulsory counterclaim should
initiatory pleading.
not file a motion to dismiss. If he files a motion to dismiss and
the complaint is dismissed, there will be no chance to invoke the Must be within the jurisdiction
counterclaim. The better move is to file an answer with a of the court where the case is
counterclaim and plead the ground for dismissal as an pending and cognizable by
The Court has jurisdiction to
affirmative defense. entertain both as to the amount
regular courts of justice
otherwise, defendant will have
and nature.
Permissive counterclaim to file it in separate proceeding
which requires payment of
Generally, if the elements of the compulsory counterclaim is not
docket fee.
present, then a counterclaim is permissive. But the most
common feature of a permissive counterclaim is the absence of Failure to answer a compulsory
a logical connection with the subject matter of the complaint, counterclaim is not a cause for
i.e., it does not arise out of or is not connected with the plaintiff’s a default of declaration.
cause of action.
A compulsory counterclaim that
merely reiterates the special
It is permissive if it does not arise out of or is not necessarily defense that are deemed
connected with the subject matter of the opposing party’s claim. controverted even without a It must be answered by the
It is essentially an independent claim that may be filed reply, or raises issues, which party against whom it is
separately in another case. are deemed automatically interposed; otherwise, he may
joined by the allegations in the be declared in default as to the
Example of permissive counterclaim complaint, need not be counterclaim.
answered.
1. A counterclaim for damages based on culpa aquiliana for a
collection of a loan is a permissive counterclaim for not [Ex. Defendant interposed a
having a connection with the plaintiff’s claim. counterclaim for damages and
2. A counterclaim for damages based on a quasi-delict in an attorney’s fees in an action of
the plaintiff to recover
action for unlawful detainer.
possession]
3. A counterclaim for the payment of the price of the car in an
action to recover a piece of land. Payment of docket fee is
suspended as of September 21,
Distinctions: compulsory and permissive 2004. It is now required to pay
docket fees in compulsory
Compulsory Counterclaim Permissive Counterclaim
counterclaim. In Korea The docket and other lawful
Technologies Co. Ltd. v. Hon. fees should be paid. If the party
It does not arise out nor is it
Lerma, et al (2008), under does not pay, the court cannot
One which arises out of or is necessarily connected with the
Section 7, Rule 141, as acquire jurisdiction over his
necessary connected with the subject matter of the opposing
amended by A.M. No. 04-2-04- permissive counterclaim.
transaction or occurrence that is party’s claim. There is an
the subject matter of the absence of a logical connection SC, docket fees are now
with the subject matter of the required to be paid in
opposing party.
compulsory counterclaim or
complaint.
cross-claims
It may require for its
It does not require for its
adjudication the presence of How to set up an omitted counterclaim
adjudication the presence of
third parties over whom the
third parties of whom the court A counterclaim not initially set up because of the pleader’s
court cannot acquire
cannot acquire jurisdiction.
jurisdiction.
oversight, inadvertence, excusable neglect, or when justice
requires, may be set up, by leave of court, by amendment
A party has at the time the before judgment. If not set up in the action, the compulsory
Not subject to the same rule. counterclaim shall be barred. However, a permissive
answer is filed, the compulsory
Hence, it may be set up as an
counterclaim shall be contained counterclaim will not be barred.
independent action and will not
in the answer because a
be barred if not contained in the
compulsory counterclaim not set How to set up a counterclaim arising after the answer
answer to the complaint.
up shall be barred. A counterclaim, which either matured or acquired by a party
after serving his pleading, may, with the permission of the court,
Need not be answered; no Must be answered; otherwise,
be presented as a counterclaim by supplemental pleading before
default. default.
judgment.
Considered as an initiatory
Not an initiatory pleading. Period to answer a counterclaim
pleading.

7
If a counterclaim is to be answered, the same must be made dismissed? That is a very important question that needs to be
within 10 days from service. This is given more relevance to a answered because even practitioners are confused on how to go
permissive counterclaim which has to be answered. about the counterclaim. The rule is if a ground to dismiss is
pleaded as an affirmative defense and the court dismisses the
Effect on the counterclaim when the complaint is complaint, the counterclaim (compulsory or permissive) is not
dismissed dismissed. How should the defending party pursue his
There are 3 significant situations involving the dismissal of a counterclaim notwithstanding the order of dismissal?
complaint and the effect of such dismissal on the counterclaim 1. He will now pray to the court to allow him to adduce
already pleaded by the defending party. evidence in support of his counterclaim so the court will
(a) Defendant does not file a motion to dismiss. Instead, he allow him to present evidence in support of his counterclaim
files an answer and utilizes certain grounds for a motion to 2. When the plaintiff himself files a motion to dismiss after the
dismiss as affirmative defenses. Included in the answer is a defendant has field an answer with counterclaim. if the
counterclaim. He then asks for a preliminary hearing on the court grants the motion to dismiss, the same is limited only
affirmative defenses set up, which is granted by the court. to the complaint. it shall be without prejudice to the right
During the hearing, the court decides to dismiss the of the defendant to prosecute his counterclaim in a separate
complaint. If the complaint is dismissed, the counterclaim, action unless within 15 days from notice of the motion,
compulsory or permissive, is not dismissed. manifests his preference to have his counterclaim resolved
[Similar situation: if a ground to dismiss is pleaded as an in the same action (sec 2, rule 17)
affirmative defense and the court dismisses the complaint, 3. When the complaint is dismissed through the fault of the
the counterclaim (compulsory or permissive) is not plaintiff and at a time when a counterclaim has already
dismissed.] been set up, the dismissal is without prejudice to the right
(b) The plaintiff himself files a motion to dismiss his complaint of the defendant to prosecute his counterclaim in the same
after the defendant has pleaded an answer with a or separate action (sec 3, rule 17)---basta mo survive ang
counterclaim. The motion is granted by the court. “The counterclaim
dismissal shall be limited to the complaint and without
prejudice to the right of the defendant to prosecute his Now what if it is the defendant who files a motion to dismiss?
counterclaim in a separate action unless within 15 days So in the examples, i gave earlier, it is the plaintiff. What
from notice of the motion he manifests his preference to happens if it is the defendant? He did not set it up in his
have his counterclaim resolved in the same action. affirmative defenses but files a motion to dismiss (financial
(c) The complaint is dismissed through the plaintiff’s fault and building corporation v forbes park association). Court said that
at a time when a counterclaim has already been set up. The if the dismissal of the main action results in the dismissal of the
dismissal is without prejudice of the right of the defendant counterclaim already filed, the filing of the motion to dismiss is
to prosecute his counterclaim in the same or separate an implied waiver of the compulsory counterclaim. A compulsory
action. counterclaim is auxiliary to the original suit and derives its
jurisdictional support therefrom. A counterclaim presupposes
Thus, the dismissal of the complaint does not ipso jure result in the existence of a claim against the party filing the counterclaim.
the dismissal of the counterclaim. Hence, when there is no claim against the counterclaimant, the
counterclaim is improper and it must be dismissed, more so
What if the defendant files the motion to dismiss? where the complaint is dismissed at the instance of the
counterclaimant. In other words, if the dismissal of the main
action results in the dismissal of the counterclaim already filed,
Financial Building v. Forbes Park Association
it stands to reason that the filing of a motion to dismiss the
A compulsory counterclaim is auxiliary to the proceeding in the complaint is an implied waiver of the compulsory counterclaim
original suit and derives its jurisdictional support therefrom. A because the grant of the motion ultimately results in the
counterclaim presupposes the existence of a claim against the party
dismissal of the counterclaim.
filing the counterclaim. Hence, where there is no claim against the
counterclaimant, the counterclaim is improper and it must dismissed,
more so where the complaint is dismissed at the instance of the CROSS-CLAIMS
counterclaimant. In other words, if the dismissal of the main action A cross-claim is any claim by one party against a co-party arising
results in the dismissal of the counterclaim already filed, it stands to out of the transaction or occurrence that is the subject matter
reason that the filing of a motion to dismiss the complaint is an either of the original action or of a counterclaim therein. Such
implied waiver of the compulsory counterclaim because the grant of cross-claim may cover all or part of the original claim.
the motion ultimately results in the dismissal of the counterclaim.
Thus, the filing of a motion to dismiss and the setting up of a While a counterclaim is asserted by a defending party against a
compulsory counterclaim are incompatible remedies. In the event claimant, a cross-claim is asserted by a defending party against
that a defending party has a ground for dismissal and a compulsory a co-defending party so that the latter may be held liable for the
counterclaim at the same time, he must choose only one remedy. If claim which the claimant seeks to recover from the cross-
he decides to file a motion to dismiss, he will lose his compulsory
claimant. The cross-claim must be set up in the action because
counterclaim. But if he opts to set up his compulsory counterclaim,
he may still plead his ground for dismissal as an affirmative defense if not set up, it shall be barred.
in his answer. The latter option is obviously more favorable to the
defendant although such fact was lost on Forbes Park (defendant). Effect of a cross-claim not set up
General rule:
The cross-claim that shall be barred, if not asserted, is the cross-
Judge Q: What happens if the complaint or main action is claim already existing at the time the answer is filed, not the
dismissed? Does it mean that the counterclaim is also

8
cross-claim that may mature or may be acquired after service of It is a remedy by which a third party, not originally impleaded
the answer. in the proceedings, becomes a litigant therein to enable him, her
or it to protect or preserve a right or interest which may be
Exception affected by such proceedings. He either joins the plaintiff in
Sec. 10, Rule 11, Rules of Court claiming what is sought by the complaint, or uniting with the
Not barred if it is not asserted due to oversight, inadvertence, defendant in resisting the claims of the plaintiff, or demanding
or excusable negligence, or when justice requires it may still be something adverse to both of them.
set up with leave of court by amendment before judgment.
Intervention is never an independent proceeding but an ancillary
No cross-claim for the first time on appeal and supplemental to an existing litigation and in subordination
A cross-claim cannot be set up for the first time on appeal. to the main proceeding. An intervention cannot alter the nature
of the action and the issues already joined. The intervenor is not
Distinguish a counterclaim from a cross-claim. allowed to raise issues that are not within the mainstream of the
original action.
Cross-claim Counterclaim

Claim against a co-party. Claim against an opposing party. Discretion in granting or denying intervention
In granting or denying the intervention, the court is required to
It must arise from the May or may not arise out of the balance certain considerations:
transaction or occurrence that subject matter of the complaint. (a) Whether or not the intervention will unduly delay or
is the subject matter of the Because it may be compulsory or prejudice the adjudication of the rights of the original
original complaint. permissive. parties; and
(b) Whether or not the intervenor’s rights may be fully
Period to answer a cross-claim protected in a separate proceeding.
A cross-claim must be answer within 10 days from service.
Procedure for intervention
THIRD (FOURTH, ETC.) PARTY COMPLAINTS 1. The motion and pleading shall be served upon the original
Third-party complaint parties.
A claim which a defending party may, with leave of court, file 2. The intervenor shall file a motion for intervention attaching
against a person not a party to the action, called the 3rd thereto his pleading-in-intervention. The pleading to be
(4th,etc.)-party def., for contribution, indemnity, subrogation or filed depends upon the purpose of the intervention.
any other relief, in respect of his opponent’s claim. a. If the purpose is to assert a claim against either or all
of the original parties, the pleading shall be called a
A third-party complaint is actually a complaint independent of, complaint-in-intervention.
and separate and distinct from the plaintiff’s complaint. Trial b. If the pleadings seek to unite with the defending party
courts are vested with discretion to allow or disallow a party to in resisting a claim against the latter, he shall file an
an action to implead an additional party. Thus, a defendant has answer-in-intervention.
no vested right to file a third-party complaint. It is not proper to
file a third-party complaint against one who is already a party to Time for intervention
the action such as against the plaintiff or a co-defendant. It may be filed any time before rendition of judgment by the trial
court. Hence, intervention after trial and decision can no longer
Judge Q: Where the trial court has jurisdiction over the main be permitted.
case, it also has jurisdiction over the third-party complaint
regardless of the amount involved as a third-party complaint is COMPLAINT-IN-INTERVENTION
merely auxiliary to and is a continuation of the main action. Complaint-in-intervention is a pleading whereby a third party
asserts a claim against either or all of the original parties.
Leave of court
The filing of a third-party complaint requires leave of court and, If at any time before judgment, a person not a party to the
hence, its admission is subject to judicial discretion. Leave of action believes that he has a legal interest in the matter in
court is not required in filing a counterclaim or a cross-claim litigation in a case in which he is not a party, he may, with leave
because the parties involved are already parties to the action. of court, file a complaint-in-intervention in the action if he
asserts a claim against one or all of the parties.

Republic v. Central Surety & Insurance Co.

Restaurante Las Conchas v. Llego
When the trial court has jurisdiction over the main case, it also
has jurisdiction over the third party complaint, regardless of the Intervention is a remedy by which a third party, not originally
amount involved as a third party complaint is merely auxiliary to and impleaded in a proceeding, becomes a litigant therein to enable him
is a continuation of the main action. to protect or preserve a right or interest which may be affected by
such proceeding.

Answer to a third-party complaint

Within 15 days from the service of summons. It has the same Intervention is never an independent action, it is merely ancillary
rule as the answer to the complaint. and supplemental to an existing litigation, and in subordination
to the main proceeding.
INTERVENTION
How to intervene?

9
1. With leave of court, the court shall consider the requisites file a reply only if the defending party attaches an actionable
mentioned in Sec. 1, Rule 19 document to his or her answer.
Who may intervene?
A person who has A reply is a pleading, the office or function of which is to deny,
1) A legal interest in the matter of litigation, or or allege facts in denial or avoidance of new matters alleged in,
2) A legal interest in the success of any of the parties; or or relating to, said actionable document.
3) An interest against both parties; or
4) When he is so situated as to be adversely affected by In the event of an actionable document attached to the reply,
a distribution or disposition of property in the custody the defendant may file a rejoinder if the same is based solely on
of the court or an officer thereof. an actionable document.

2. When to motion for intervene A reply is a pleading, the function of which is to deny, or allege
Motion to intervene may be filed at any time before facts in denial or avoidance of new matters alleged by way of
rendition of judgment by the trial court. defense in the answer and thereby join or make issue as to such
3. Copy of the pleadings-in-intervention shall be attached to new matters.
the motion and served on the original parties.
A reply is the responsive pleading to an answer. It is not a
What happens if the motion to intervene is denied? responsive pleading to a counterclaim or a cross-claim. The
Appeal is the remedy. proper response to a counterclaim or cross-claim is an answer
to the counterclaim or answer to the cross-claim.
Judge Q: Complaint-in-intervention is a pleading whereby a third
party asserts a claim against either or all of the original parties. Filing a reply not mandatory
The filing of a reply is not mandatory and will not have an
It is the remedy by which a third part, not originally impleaded adverse effect on the plaintiff. If party does not file such reply,
in a proceeding, becomes a litigant therein to enable him to all new matters alleged in the answer are deemed controverted
protect or preserve a right or interest which may be affected by or denied. No admission follows from the failure to file a reply.
such proceeding. It is an answer in intervention when the
intervenor unites with the defending party in resisting a claim The material allegations in the complaint must be specifically
against the latter (sec 3, rule 19). Intervention is never an denied but the allegations of new matters or material allegations
independent action, it is merely ancillary and supplemental to in the answer need not be denied because they are deemed
an existing litigation, and in subordination to the main denied by the Rules for the plaintiff.
proceeding.
Note: If there are new matters raised in the answer of the
example niya is torrens title na wala na transfer--nya napalit sa defendant, all new matters raised in the answer are deemed
lain---so need na sya mo intervene. The purpose is to settle in controverted or denied by the plaintiff. Reply is necessary only
one action and to settle the whole controversy among all the if the answer of the defendant which raises new matters
persons involved who are interested in the case. contains an actionable document. If there is none, there is
no need to file a reply.
Judge Q: Just like in the case of Mactan Cebu v Heirs of Minoza
Court did not allow them to intervene because to allow When filing of reply is advisable
intervention would result to delay because the main issue to be When the defense in the answer is based upon a written
resolved is whether those with legal interest has the right over instrument or document, said instrument is considered an
the land formerly sold to MCIAA. So ma delay njud because they actionable document. Hence, the plaintiff has to file a reply
need to adduce evidence whereas the main issue is w/n MCIA under oath if he desires to deny specifically the genuineness and
has right to retain ownership over the property so court said due execution of the actionable document, and avoid an
that an independent controversy cannot be injected into a suit admission of such matters.
by intervention, hence, such intervention will not be allowed
where it would enlarge the issues in the action and expand the Judge Q: The rule is very clear. You are not allowed to file a
scope of the remedies. It is not proper where there are certain reply but you have the option if there is an actionable document.
facts giving the intervenor’s case an aspect peculiar to himself Now what if the plaintiff still needs to controvert? If the plaintiff
and differentiating it clearly from that of the original parties; the wishes to interpose any claims arising out of the new matters so
proper course is for the would-be intervenor to litigate his claim alleged, such claims shall be set forth in an amended or
in a separate suit.21 Intervention is not intended to change the supplemental complaint. So the rule itself also says that he has
nature and character of the action itself, or to stop or delay the the option not to file a reply but set it forth in an amended or
placid operation of the machinery of the trial. The remedy of supplemental complaint.
intervention is not proper where it will have the effect of
retarding the principal suit or delaying the trial of the action. Under the old rules, reply may or may not be filed---but in the
new one, not allowed na sya if the answer does not introduce
REPLY (to an answer) an actionable document. A reply is not allowed to be filed if you
All new matters alleged in the answer are deemed controverted. will not controvert the due execution and genuineness of the
If the plaintiff wishes to interpose any claims arising out of the actionable document that was introduced in the answer so if the
new matters so alleged, such claims shall be set forth in an plaintiff wants to controvert, he can file an amended or
amended or supplemental complaint. However, the plaintiff may supplemental complaint which must be with leave of court

10
subject to the grant. why? because an answer has already been set of circumstances so far as that can be done with
filed so that one is very clear. convenience.

General rule: Headings

Reply is not allowed. Sec. 2(b), Rule 7, Rules of Court
When two or more causes of action are joined, the first cause
Exception of action shall be prefaced with the words, “first cause of
Only when there is an actionable document attached to the action,” of the second cause of action by the words, “second
answer. cause of action,” and so on for the others.

Period to file a reply When one or more paragraphs in the answer are addressed to
A reply may be filed within 10 days from service of the pleading one of several causes of action in the complaint, they shall be
responded to. prefaced by the words “answer to the first cause of action” or
“answer to the second cause of action” and so on; and when
PARTS OF A PLEADING one or more paragraphs of the answer are addressed to several
1. Caption causes of action, they shall be prefaced by words to that effect.
2. Body
3. Signature and address Environmental case
4. Verification and Sec. 3, Rule 2, Part II, Rules of Procedure for
5. Certification against forum-shopping Environmental cases
a. Requirements of a corporation executing the In addition, to the requirement that the complaint must state
verification / certification against non-forum shopping. that it is an environmental cases, and the law involved, the rule
requires also that all evidence proving the cause of action
The title of Rule 7 was amended to Parts and Contents of a consisting of affidavits, documents, and if possible, object
pleading. Contents are now included in the pleading. evidence, shall be attached to the verified complaint.

Captions of the Pleading Small claim cases

The caption contains the following: The statement of claim (complaint) is required to be
(a) name of the court; accompanied by the affidavits of witness and other evidence to
(b) title of the action; and support the claim, aside from photocopies of the actionable
(c) docket number, if assigned. documents to support the claim.

Title of the Action Evidentiary facts in forcible entry & unlawful detainer
Sec. 1, Rule 7, Rules of Court Sec. 5, Rule 70, Rules of Court
The title of the action contains the names of the parties whose A statement of evidentiary facts may not be avoided in forcible
participation in the case shall be indicated. This means that the entry and unlawful detainer cases since matters of evidence are
parties shall be indicated as either plaintiff or defendant. They allowed to be attached to the complaint.
shall all be named in the original complaint or petition; but in
subsequent pleadings, it shall be sufficient if the name of the Relief
first party on each side be stated with an appropriate indication Sec. 2(c), Rule 7, Rules of Court
whether there are other parties. The pleading shall specify the relief sought, but it may add a
general prayer for such further or other relief as may be deemed
Example: Pedro Reyes, et al. just or equitable.

The Body (of the pleading) The complaint must contain a statement of the relief sought
Sec. 1, Rule 8, Rules of Court from the court and to which he believes he is entitled. This is
The body of the pleading sets forth: its designation, the oftentimes referred as the “prayer.” The Rules requires that the
allegations of the party’s claims or defenses, the relief prayed pleading shall specify the relief sought. It is a settled rule that a
for, and the date of the pleading. court cannot grant a relief not prayed for in the pleadings or in
excess of that being sought.
The body includes
1. paragraphs The same rule allows a pleader to include a “general prayer for
2. headings such further or other relief ass may be deemed just or
3. relief equitable.” Because of this rule, “a court can grant the relief
4. date warranted by the allegations and the proof even if it is not
specifically sought by the injured party; the inclusion of a
Paragraphs (and numbering) general prayer may justify the grant of a remedy different from
Sec. 2(a), Rule 7, Rules of Court or together with the speciffic remedy sought, if the facts alleged
The allegations in the body of a pleading shall be divided into in the complaint and the evidence introduced so warrant.”
paragraphs so numbered for ready identification. This
numbering scheme is significant because, in subsequent Date
pleadings, a paragraph may be referred to only by its number Sec. 2(d), Rule 7, Rules of Court
without need for repeating the entire allegations in the Every pleading shall be dated.
paragraph. Each paragraph shall contain a statement of a single

11
Signature and address (c) when he alleges in the pleading scandalous or indecent
Sec. 3(a), Rule 7, Rules of Court matter; or
Every pleading [and other written submissions to the court] (d) when he fails to promptly report to the court a change of
must be signed by the party or counsel representing him or her. his address.

Every pleading must be signed by the party or counsel Sec. 3 (c), Rule 7 of Rules of Court, amended
representing him stating in either case his address. This address If the court determines, on motion or motu proprio and after
should not be a post office box. In the absence of a proper notice and hearing, that this Rule has been violated, it may
notice to the court of a change of address, service upon the impose an appropriate sanction or refer such violation to the
parties must be made at the last address of their counsel of proper office for disciplinary action, on any attorney, law firm,
record. Only the signature of either the party himself or his or party that violated the rule, or is responsible for the violation.
counsel operates to validly convert a pleading from one that is Absent exceptional circumstances, a law firm shall be held jointly
unsigned to one that is signed. and severally liable for a violation committed by its partner,
associate, or employee. The sanction may include, but shall not
Effect of an unsigned pleading be limited to, non-monetary directive or sanction; an order to
An unsigned pleading produces no legal effect. The court, pay a penalty in court; or, if imposed on motion and warranted
however, is authorized to allow the pleader to correct the for effective deterrence, an order directing payment to the
deficiency if he shows to the satisfaction of the court, that the movant of part or all of the reasonable attorney’s fees and other
failure to sign the pleading was due to mere inadvertence and expenses directly resulting from the violation, including
not intended for delay. attorney’s fees for the fi ling of the motion for sanction. The
lawyer or law firm cannot pass on the monetary penalty to the
Significance of the signature of counsel client. (3a)
The signature of the counsel constitutes a certificate by him that
(a) he has read the pleading; Verification in a pleading
(b) that to the best of his knowledge, information, and belief Sec. 4, Rule 7 of Rules of Court
there is good ground to support it; and Pleadings need not be under oath, verified or accompanied by
(c) that it is not interposed for delay. affidavit, except when so required by law or rule.

A counsel’s signature on a pleading is such an integral part of a A pleading is verified by an affidavit of an affiant duly authorized
pleading that failure to comply with this requirement reduces a to sign said verification. The authorization of the affiant to act
pleading to a mere scrap of paper totally bereft of legal effect. on behalf of a party, whether in the form of a secretary’s
certificate or a special power of attorney, should be attached to
A counsel’s signature on a pleading is neither an empty formality the pleading, and shall allege the following attestations:
nor even a mere means of identification. Through the counsel’s (a) The allegations in the pleading are true and correct based
signature, a lawyer asserts his competence, credibility and on his or her personal knowledge, or based on authentic
ethics. documents;
(b) The pleading is not filed to harass, cause unnecessary
Sec. 3 (b), Rule 7 of Rules of Court, amended delay, or needlessly increase the cost of litigation; and
The signature of counsel constitutes a certificate by him or her (c) The factual allegations therein have evidentiary support or,
that he or she has read the pleading and document; that to the if specifically so identified, will likewise have evidentiary
best of his or her knowledge, information, and belief formed support after a reasonable opportunity for discovery.
after an inquiry reasonable under the circumstances:
(1) It is not being presented for any improper purpose, such as The signature of the affiant shall further serve as a certification
to harass, cause unnecessary delay, or needlessly increase of the truthfulness of the allegations in the pleading.
the cost of litigation;
(2) The claims, defenses, and other legal contentions are The usual steps, the signature of the counsel comes first before
warranted by existing law or jurisprudence, or by a non- the party signs for verification.
frivolous argument for extending, modifying, or reversing
existing jurisprudence; Examples of pleadings that require verification
(3) The factual contentions have evidentiary support or, if 1. The statement of claim in small claim cases.
specifically, so identified, will likely have evidentiary support 2. All pleadings in forcible entry and unlawful detainer.
after availment of the modes of discovery under the Rules 3. Petitions for certiorari, prohibition and mandamus.
and 4. A complaint in an environmental case must also be verified.
(4) The denials of factual contentions are warranted on the
evidence or, if specifically, so identified, are reasonably How a pleading is verified
based on belief or a lack of information. Sec. 4, Rule 7 of Rules of Court
A pleading is verified by an affidavit. This affidavit declares that:
When counsel is subject to disciplinary action in (a) the affiant has read the pleading; and
connection with pleadings (b) the allegations therein are true and correct of his personal
Sec. 3, Rule 7 of Rules of Court knowledge or based on authentic records.
A counsel shall be subject to disciplinary action in the following
cases: Verification not based on belief
(a) when he deliberately files an unsigned pleading; A verification cannot be based on mere belief. Thus, a
(b) when he signs a pleading in violation of the Rules; verification based on “information and belief” or upon

12
“knowledge, information and belief” shall be treated as an Legal Education (MCLE) Certificate of Compliance or
unsigned pleading. Certificate of Exemption.
a. Failure to disclose the required information would
Substantial compliance cause the dismissal of the case and the expunction of
The verification requirement is “deemed substantially complied the pleadings from the records.
with when one who has an ample knowledge to sear to the truth b. Effective January 1, 2009.
of the allegations in the complaint or petition signs the c. The compliance thereof seeks to ensure that legal
verification, and when matters alleged in the petition have been practice is reserved only for those who have complied
made in good faith or are true and correct.” with the recognized mechanism for “keeping abreast
with law and jurisprudence, maintaining the ethics of
Significance of a verification the profession, and enhancing the standards of the
The verification requirement is significant, as it is intended to practice of law.
secure an assurance that the allegations in a pleading are true
and correct and not the product of the imagination or a matter Certification against forum shopping
of speculation, and that the pleading is filed in good faith. The certification against forum shopping is a sworn statement
certifying to the following matters:
Effect of lack of verification or of a defective verification a. That he has not commenced or filed any claim involving the
1. A pleading required to be verified but lacks the proper same issues in any court, tribunal, or quasi-judicial agency,
verification shall be treated as an unsigned pleading. and to the best of his knowledge, no such other action or
Hence, it produces no legal effect. No legal effect means claim is pending therein;
that the court will consider it as being not-filed for being b. That if there is such other pending action or claim, a
noncompliant of the rules. complete statement of the present status thereof; and
2. It has, however, been held that the absence of a verification c. That if he should therefore learn that the same or similar
or the non-compliance with the verification requirement action or claim has been filed or is pending, he shall report
does not necessarily render the pleading defective. It is only that fact within 5 calendar days therefrom to the court
a formal and not a jurisdiction requirement. The wherein his aforesaid complaint or initiatory pleading has
requirement is a condition affecting only the form of the been filed.
pleading. It can be rectified.
a. The court may order its submission or correction, or Forum shopping: apply both natural & juridical persons
act on the pleading if the attending circumstances are The requirements involving the certification against forum
such that strict compliance with the Rule may be shopping apply to both natural and juridical persons since no
dispensed with in order that the ends of justice may be distinction is made between natural and juridical persons by the
served. Rules of court.
b. The rule is in keeping with the principle that rules of
procedure are established to secure substantial justice Purpose of the certification against forum shopping
and that technical requirements may be dispensed with (a) The certification constitutes an assurance given to the court
in meritorious cases. or other tribunal that there are no other pending cases
c. Thus, a defective verification amounts to a formal involving basically the same parties, issues and causes of
defect which is neither jurisdictional nor fatal and for action.
which the court may order a correction. (b) The purpose of prohibiting forum shopping is also to
prevent contradictory decisions of two or more courts on
Other requirements the same controversy.
1. All pleadings, motions and papers filed in court by counsel
has to indicate his professional tax receipt (PTR), his current Certification against forum shopping, not jurisdictional
IBP receipt indicating its date of issue. The certification is mandatory but not jurisdictional, since
a. Pleadings, motions and papers which do not comply jurisdiction over the action is conferred by law. The absence of
with this requirement may not be acted upon by the the certification would not affect the jurisdiction of the court
court, without prejudicial to whatever disciplinary over the action.
action the court may take against the erring counsel,
who shall, likewise, be required to comply with the Rationale of against forum shopping
requirement within 5 days from notice. Failure to The rationale is that a party should not be allowed to pursue
comply with such requirement shall be a ground for simultaneous remedies in two different fora. Filing multiple
further disciplinary sanction and contempt of court. petitions or complaints constitutes abuse of court processes,
2. Require lawyers to indicate their Roll of Attorneys Number which tends to degrade the administration of justice, wreaks
in all papers and pleadings filed in judicial and quasi-judicial havoc upon orderly judicial procedure, and adds to the
bodies. congestion of the heavily burdened dockets of the courts.
a. The requirement was to protect the public from
imposters of the bar and to protect the integrity of legal Meaning of forum shopping
practice. Forum shopping is the act by a party of repetitively availing of
b. Non-compliance with this requirement has the same several judicial remedies in different courts, simultaneously or
effect as the failure to indicate counsel’s IBP Receipt successively, all substantially founded on the same transactions
Number. and the same essential facts or circumstances, and all raising
3. All practicing members of the bar are require to indicate the substantially the same issues either pending or already resolved
number and date of issue of the Mandatory Continuing adversely by some other court.

13
 2. In case of unlawful detainer case where the lease contract
Existence of forum shopping had not yet expired. After expiration, a second case for
Specifically, there is forum shopping where there exist: unlawful detainer is filed based on the expiration of the
(1) Identity of parties, or at least such parties as represent the lease contract. No forum shopping at the time the first
same interests in both actions complaint was filed, the ground of expiration of the lease
(2) Identity of rights asserted and relief prayed for, the relief was not yet available.
being founded on the same facts 3. No forum shopping in a case where the subsequent
(3) The identity of the two preceding particulars is such that purchase of foreclosed property filed a petition for issuance
any judgment rendered in the pending case, regardless of of a writ of possession after previously filing an action for
which party is successful, would amount to res judicata in ejectment against the same defendant where the latter
the other case. action was dismissed for being the wrong remedy and the
appeal from its dismissal having been withdrawn.
SC: Three ways of committing forum shopping a. There is no identity or similarly of actions between the
1. Filing multiple cases based on the same cause of action and proceedings, the petition being just an incident to the
with the same prayer, the previous case not having been transfer of title.
resolved yet (where the ground for dismissal is litis 4. An error having been committed in good faith, the raising
pendentia); of a matter to the correct forum by the petitioner does not
2. Filing multiple cases based on the same cause of action and constitute forum shopping.
the same prayer, the previous case having been finally 5. When administrative determination is not binding on the
resolved (where the ground for dismissal is res judicata); Special Agrarian Court.
3. Filing multiple cases based on the same cause of action, 6. There is no forum shopping in simultaneously filing a quo
but with different prayers (splitting of causes of action, warranto petition and a complaint for impeachment
where the ground for dismissal is also either litis pendentia a. Quo warranto and impeachment may proceed
or res judicata) independently of each other as these remedies are
distinct as to (1) jurisdiction, (2) grounds, (3)
Determination of the existence of forum shopping applicable rules pertaining to initiation, filing and
To determine whether a party violated the rule against forum dismissal, and (4) limitations.
shopping, the most important question to ask is: b. The reliefs sought are different.
(a) whether the elements of litis pendentia are present, or c. A quo warranto petition is the determination whether
(b) whether a final judgment in one case will result to res or not the respondent legally holds the position.
judicata in another. d. An impeachment is for the respondent’s prosecution
for certain impeachable offenses.
Otherwise stated, to determine the existence of forum shopping, e. The respondent’s title to hold a public office is the issue
the test is to see whether in the two or more cases pending, in quo warranto petition while impeachment
there is: necessarily presupposes that the respondent legally
(a) identity of parties; holds the public office.
(b) identity of rights or causes of action; and
(c) identity of reliefs sought. Who executes the certification against forum shopping
Sec. 5, Rule 7 of Rules of Court
Example of forum shopping It is the plaintiff or principal party who executes the certification
1. Where the reliefs sough in 2 courts involving the same under oath, and not the attorney.
parties is to restrain a government official from
implementing the same order, there is forum shopping It must be executed by the party-pleader, not by his counsel. If,
because there is identity of reliefs. however, for justifiable reasons, the party-pleader is unable to
2. The filing of 6 appeals, complaints or petitions for the same sign, he must execute a special power of attorney designating
purpose of frustrating the execution of a judgment is a clear his counsel of record to sign in his behalf.
case of forum shopping.
3. To file an ordinary appeal and petition for certiorari with the Reason
CA is to engage in forum shopping. It is the petitioner and not the counsel who is in the best position
a. When petition commenced the appeal, only 4 months to know whether he or it actually filed or caused the filing of a
had elapsed prior to her filing of the petition for petition. A certification signed by counsel is a defective
Certiorari under Rule 65 with the CA. The elements of certification and a valid cause for dismissal.
lites pendentia are present between 2 suits.
4. Where a party’s petition for certiorari and subsequent A certification by counsel, and not by the principal party himself,
appeal seek to achieve one and the same purpose, there is is no certification at all. The reason for requiring that is must be
forum shopping which is a sufficient ground for the signed by the principal party himself is that he has actual
dismissal of the certiorari petition. knowledge whether he has initiated similar action/s in other
courts, agencies or tribunals.
Example of no forum shopping
1. Where the reliefs sought in the two actions are different, Signing the certification juridical entities/Corporation
there is no forum shopping even if the parties in the actions A juridical entity can only perform physical acts through properly
are the same. Where one action is for a permanent delegated individuals.
injunction and the other is a petition for certiorari, there is
no identity of reliefs.

14
1. A corporation can exercise its power to sue only upon 3. Cross-claim
authority of its board of directors or trustees, the latter 4. Third (fourth, etc.) party complaint
being the body which exercises corporate powers. 5. Complaint-in-intervention
2. The corporate officers and agents cannot exercise any 6. Petition or any application in which a party asserts his claim
corporate power pertaining to the corporation in a suit, a for relief.
board resolution authorizing the former to represent the
latter is necessary. If the answer with a counterclaim is filed merely to counter
3. A board resolution authorizing a corporate officer to petitioner’s complaint, and is a claim for relief that is derived
execute the certification against forum shopping is a only from, or is necessarily connected with, the main action or
necessary requirement under the rules; otherwise, the complaint, it is not an initiatory pleading (compulsory).
complaint will have to be dismissed.
4. A certification signed by a person who was not authorized Comment not initiatory pleading
by the board of directors renders a petition subject to A comment is not an initiatory pleading. A comment required by
dismissal. an appellate tribunal is merely an expression of the views and
5. The exercise of corporate powers including the power to observations of a respondent for the purpose of giving the court
sue is lodged with the board of directors which acts as a sufficient information as to whether the petition is legally proper
body representing the stockholders. as a remedy to the acts complained of. It does not require a
6. For corporations, the authorized representative to sign the certification against forum shopping.
certification against forum shopping must be selected or
authorized collectively by the board of directress. No certification against forum shopping, compulsory
counterclaim
Secretary’s certificate The rule does not require a certification in compulsory
A Secretary’s certificate is a sufficient proof of authority for a counterclaim because it cannot be the subject of a separate and
person named to represent a corporation in a suit. independent adjudication, as when the counterclaim is for
damages, moral, exemplary or attorney’s fees, by reason of the
General rule: alleged malicious and unfounded suit filed against the
Delegated individuals need to have verification and certification defendant.
by a board resolution.
Ex parte petition, not an initiatory pleading
Exception: G.R. No. 162124 An ex parte petition for the issuance of a writ of possession is
The following officials or employees can sign the verification and not an initiatory pleading. Although denominated as a petition,
certification without need of a board resolution. it does not aim to initiate a litigation but is an incident to or a
consequence of certain proceedings like foreclosure cases.
Reason: the officers below are in a position to verify the
truthfulness and correctness of the allegations in the petition. Applicability to special civil actions
1. Chairperson of the Board of Directors The Court held that the rule requiring a certification against
2. President of a corporation forum shopping applies as well to special civil action since a
3. General Manager or Acting General Manager special civil action is governed by the rules for ordinary civil
4. Personnel Officer actions, subject to the specific rules prescribed for a special civil
5. Employment Specialist in a labor case action.

General Rule if there are several plaintiffs or petitioners Effects of non-compliance with the rule on certification
The certification against forum shopping must be signed by all against forum shopping
the plaintiffs or petitioners in a case; otherwise, those who did 1. A violation of the rule requiring the certification against
not sign will be dropped as parties to the case. Under reasonable forum shopping does not authorize the court to dismiss a
or justiciable circumstances, however, as when the plaintiffs case on its own motion or initiative. The rule requires that
share a common interest and invoke a common cause of action the dismissal be upon motion and hearing.
or defense, the signature of only one of them substantially
complies with the rule. For example: A sign of 1 co-owner or 2. If the case is dismissed for failure to comply with the
more constitutes substantial compliance to the rule. certification requirement, the dismissal is, as a rule,
“without prejudice,” unless the order of dismissal otherwise
Exception: provides. Hence, where the dismissal is silent as to the
The above rule will not be applied if dishonesty attended the character of the dismissal, the dismissal is to be presumed
signing of the certificate as when it was made to appear that without prejudice to the filing of the complaint.
one of the petitioners had signed the certification against forum
shopping despite his having passed away seven years before. If a complaint is dismissed for failure to comply with the
required certification against forum shopping, may the
Pleadings that require a certification against forum plaintiff appeal from the order of dismissal where such
shopping dismissal is without prejudice? No. This is because an order
The certification against forum shopping applies to the dismissing an action without prejudice is, as a rule, not
complaint and other initiatory pleadings asserting a claim for appealable. The remedy provided for under Sec. 1 of Rule
relief. 41 is to avail of the appropriate special civil action under
1. Complaint Rule 65.
2. Permissive counterclaim

15
3. The failure to submit a certification against forum shopping 4. The certification against forum shopping must be signed by
is a ground for dismissal, separate and distinct from forum all the plaintiffs or petitioners in a case; otherwise, those
shopping as a ground for dismissal. Compliance with the who did not sign will be dropped as parties to the case.
certification against forum shopping is separate from, and Under reasonable or justifiable circumstances, however, as
independent of, the avoidance of forum shopping. when all the plaintiffs or petitioners share a common
interest and invoke a common cause of action or defense,
General Rule: the signature of forum shopping substantially complies with
Non-compliance or a defect in the certification is not curable by the Rule.
its subsequent submission or correction. 5. Finally, the certification against forum shopping must be
executed by the party-pleader, not by his counsel. If,
Exception: however, for reasonable or justifiable reasons, the party-
The Court exercised leniency and relaxed the rules on the pleader is unable to sign, he must execute a Special Power
ground of substantial compliance due to the presence of special of Attorney designating his counsel of record to sign on his
circumstances or compelling reasons. behalf.

Effect of willful and deliberate forum shopping; Authorization of the Affiant

dismissal of all pending claims Section 5 (2), Rule 7 New Rules
1. If the acts of the party or his counsel clearly constitute The authorization of the affiant to act on behalf of a party,
willful and deliberate forum shopping, the same shall be a whether in the form of a secretary’s certificate or a special power
ground for summary dismissal. Here, no motion to dismiss of attorney, should be attached to the pleading.
and hearing are required. The dismissal in this case is with
prejudice and shall constitute direct contempt, as well as Contents
cause for administrative sanctions. Section 6, Rule 7. New Rules
2. Jurisprudence holds that if the forum shopping is not Every pleading stating a party’s claims or defenses shall, in
considered willful and deliberate, the subsequent case shall addition to those mandated by Section 2, Rule 7, state the
be dismissed without prejudice on the ground of either litis following:
pendentia or res judicata. (a) Names of witnesses who will be presented to prove a
party’s claim or defense;
Effect of submission of a false certification (b) Summary of the witnesses’ intended testimonies, provided
Under the Rules, the submission of a false certification shall that the judicial affidavits of said witnesses shall be
constitute indirect contempt of court without prejudice to the attached to the pleading and form an integral part thereof.
corresponding administrative and criminal sanctions. Only witnesses whose judicial affidavits are attached to the
pleading shall be presented by the parties during trial.
Effect of non-compliance with the undertakings Except if a party presents meritorious reasons as basis for
Failure to comply with the undertakings in the certification the admission of additional witnesses, no other witness or
against forum shopping has the same effect as the submission affidavit shall be heard or admitted by the court; and
of a false certification. (c) Documentary and object evidence in support of the
allegations contained in the pleading.
Summary Guidelines Respecting Non-Compliance with
the Requirements of or Submission of Defective, Under the Amendment, when you file a complaint you must
Verification and Certification against Forum Shopping indicate or incorporate in the complaint or answer the name of
A distinction must be made between non-compliance with the your witnesses and ALL the judicial affidavit of your witnesses
requirement on or submission of defective verification, and non- must be attached to the pleading-complaint or answer-and they
compliance with the requirement on or submission of defective shall form an integral part thereof. Even the documentary and
certification against forum shopping. object evidence must be attached.
1. As to verification, non-compliance therewith or a defect
therein does not necessarily render the pleading fatally Contents, rationale
defective. The court may order its submission or correction To ensure that a person filing a case or a pleading would at the
or act on the pleading if the attending circumstances are time of filing, already have evidentiary basis to back the same
such that strict compliance with the Rule may be dispensed up, and there would be no delay caused by parties still trying to
with in order that the ends of justice may be served find the evidence as basis for the claims during the pendency of
thereby. the case.
2. Verification is deemed substantially complied with when
one who has ample knowledge to swear to the truth of the General Rule:
allegations in the complaint or petition signs the Only witnesses whose judicial affidavits are attached to the
verification, and when matters alleged in the petition have pleading shall be presented by the parties during the trial.
been made in good faith or are true and correct.
3. As to certification against forum shopping, non-compliance Exception:
therewith or a defect therein, unlike in verification, is If a party presents meritorious reasons as basis for the
generally not curable by its subsequent submission or admission of additional witnesses.
correction thereof, unless there is a need to relax the Rule
on the ground of substantial compliance or presence of ALLEGATIONS IN A PLEADING
special circumstances or compelling reasons. General: Manner of Making Allegations in Pleading
Section 1, Rule 8, Rules of Court

16
Every pleading shall contain in a methodical and logical form, a Facts showing the capacity of a party to sue or be sued or the
plain, concise and direct statement of the ultimate facts, authority of a party to sue or be sued in a representative
including the evidence on which the party pleading relies for his capacity or the legal existence of an organized association of
or her claim or defense, as the case may be. persons that is made a party, must be averred. A party desiring
to raise an issue as to the legal existence of any party or the
If a cause of action or defense relied on is based on law, the capacity of any party to sue or be sued in a representative
pertinent provisions thereof and their applicability to him or her capacity, shall do so by specific denial, which shall include such
shall be clearly and concisely stated. supporting particulars as are peculiarly within the pleader's
knowledge.
Alternative Causes of Action or Defense
Sec. 2, Rule 8 of Rules of Court Note: State it with particularity. For example, if you sue as a
A party may set forth two or more statements of a claim or representative of a real party in interest, you must have to
defense alternatively or hypothetically, either in one cause of particularly state the basis of your authority and attach the
action or defense or in separate causes of action or defenses. special power of attorney authorizing you right to sue for and in
When two or more statements are made in the alternative and behalf of the real party in interest.
one of them if made independently would be sufficient, the
pleading is not made insufficient by the insufficiency of one or Fraud, mistake, condition of the mind
more of the alternative statements. Sec. 5, Rule 8, Rules of Court
In all averments of fraud or mistake, the circumstances
Note: If you are not sure who between the two is liable to the constituting fraud or mistake must be stated with particularity.
plaintiff, you can sue both of the defendants in the alternative. Malice, intent, knowledge or other conditions of the mind of a
person may be averred generally.
How are allegations in a pleading made?
a. Condition Precedent - General The particulars in alleging fraud or mistake would necessarily
b. Capacity to Sue - Particularity include the time, place and specific acts of fraud committed
c. Fraud or Mistake - Particularity against him. These particulars would help apprise the judge of
d. Malice, intent, condition of mind - General the kind of fraud involved in the complaint. However, malice,
e. Allegations of Judgment - General intent or condition of the mind need not be stated with
particularity. The rule is borne out of human experience since it
Conditions Precedent is difficult to state the particulars constituting these matters.
Section 3, Rule 8 of Rules of Court
In any pleading, a general averment of the performance or Pleading a Judgment
occurrence of all conditions precedent shall be sufficient. Section 6, Rule 8 of Rules of Court
In pleading a judgment or decision of a domestic or foreign
Conditions precedent court, judicial or quasi-judicial tribunal, or of a board or officer,
Common usage refers to conditions precedent as matters which it is sufficient to aver the judgment or decision without setting
must be complied with before a cause of action arises. When a forth matter showing jurisdiction to render it. An authenticated
claim is subject to a condition precedent, the compliance of the copy of the judgment or decision shall be attached to the
same must be alleged in the pleading. pleading.

Examples of conditions precedent: In pleading a judgment, it is sufficient to avert the judgment or

1. A tender of payment is required before making a decision there is no need to allege matters showing the
consignation jurisdiction to render the judgment or decision. That jurisdiction
2. Exhaustion of administrative remedies is required in certain is presumed is, however, only a disputable, not a conclusive
cases before resorting to judicial action. presumption. Hence, not being a conclusive presumption, a
3. Prior resort to barangay conciliation proceedings is defending party is allowed to file a motion to dismiss for lack of
necessary in certain cases. jurisdiction over the subject matter of the claim. Even the court,
4. Earnest efforts toward a compromise must be undertaken on its own motion, is authorized to dismiss the claim on the
when the suit is between members of the same family and same ground.
if no efforts were in fact made, the case must be dismissed.
5. Arbitration may be a condition precedent when the contract Note: Allegations of judgment can be stated with generality.
between the parties provides for arbitration first before When you invoke a judgment of a foreign court or a domestic
recourse is made to judicial remedies. court, you do not have to state that the court has jurisdiction
because it is presumed that the court is vested with the proper
Effect of failure to comply with a condition precedent authority or jurisdiction to hear it. However, if there is an
The failure to comply with a condition precedent before the filing authenticated copy of the judgment or decision, it must be
of a complaint is no longer a ground for an allowable motion to attached to the pleading.
dismiss under the Amended Rules. However, it is an affirmative
defense that must be set out in the answer or else, it is deemed Rationale
waived. The rule is consistent with the evidentiary presumption that a
court, or judge acting as such, whether in the Philippines or
Capacity elsewhere, was acting in the lawful exercise of jurisdiction. That
Sec. 4, Rule 8 Rules of Court jurisdiction is presumed is, however, only a disputable, not a
conclusive presumption.

17
 2. Compliance with an order for an inspection of the original
Action or Defense Based on Document instrument is refused.
Sec. 7, Rule 8 Rules of Court
Whenever an action or defense is based upon a written Note: You have to deny the actionable document under oath.
instrument or document, the substance of such instrument or Failure to answer an actionable document amounts to an
document shall be set forth in the pleading, and the original or admission of the authenticity of its due execution. (or to the
a copy thereof shall be attached to the pleading as an exhibit, admission of the genuineness and due execution of the
which shall be deemed to be a part of the pleading. actionable document)

Note: No need to copy in verbatim the document in your Meaning of admission

pleading. You just pick the portion in the document which is By the admission of the genuineness and due execution of an
relevant to your cause of action or defense. You quote the instrument is meant that the party whose signature it bears
pertinent portion and you attach the entire document as an admit that he signed it or that it was signed by another for him
exhibit and part of the pleading. However, The Amended Rules with his authority; that at the time it was signed, it was in words
deleted the provision allowing for the copying of the instrument and figures exactly as set out in the pleadings of the party
of the pleading. Therefore, such is no longer allowed as a means relying upon it; that the document was delivered; and that any
of pleading an actionable document. This means that setting formal requisites required by law, such as a seal,
forth the substance of the actionable document and the acknowledgment, or revenue stamp, which it lacks, are waived
attachment of such to the pleading is the only way to plead the by him.
document under the Amended Rules.
Effect of failure to deny under oath an actionable
Actionable Document document
An actionable document is a document which serves as the basis When a party fails to deny, the genuineness and due execution
of plaintiff’s cause of action or the defendant’s defense. of the actionable document is deemed admitted. As such,
Otherwise stated, it is a document relied upon by either the defenses that are implied from said admission are necessarily
plaintiff or defendant. waived like the defenses of forgery of the document, lack of
authority and so on.
Actionable document, how pleaded
Whenever an actionable document is the basis of a pleading, Defenses not cut off by the admission of genuineness
the rule specifically directs the pleader and due execution
(a) to set forth in the pleading the substance of the instrument The following defenses, among others, may be interposed
or the document, and to attach the original or the copy of despite the implied admission of the genuineness and due
the document to the pleading as an exhibit and to be part execution of the document: (a) payment or non-payment; (b)
of the pleading; or want of consideration; (c) illegality of consideration; (d) usury
(b) With like effect, to set forth in the pleading said copy of the and (e) fraud. These defenses are not inconsistent with the
instrument or document. admission of the genuineness and due execution of the
instrument and are not, therefore, barred.
This manner of pleading a document applies only to one which
is the basis of action or defense. Hence, if the document does Official document or act
not have the character of an actionable document, as when as Sec. 9, Rule 8 Rules of Court
it is merely evidentiary, it need not be pleaded strictly in the In pleading an official document or official act, it is sufficient to
manner prescribed by Sec. 7, Rule 8. aver that the document was issued or the act was done in
compliance with law.
How to Contest Such Document (actionable document)
Sec. 8, Rule 8, Rules of Court Specific denial
When an action or defense is founded upon a written Sec. 10, Rule 8 Rules of Court
instrument, or attached to the corresponding pleading as A defendant must specify each material allegation of fact the
provided in the preceding section, the genuineness and due truth of which he or she does not admit and, whenever
execution of the instrument shall be deemed admitted unless practicable, shall set forth the substance of the matters upon
the adverse party, under oath, specifically denies them, and sets which he or she relies to support his or her denial. Where a
forth what he or she claims to be the facts; but the requirement defendant desires to deny only a part of an averment, he or she
of an oath does not apply when the adverse party does not shall specify so much of it as is true and material and shall deny
appear to be a party to the instrument or when compliance with only the remainder. Where a defendant is without knowledge or
an order for an inspection of the original instrument is refused. information sufficient to form a belief as to the truth of a
material averment made [to] the complaint, he or she shall so
General Rule: state, and this shall have the effect of a denial.
The adverse party, under oath, specifically denies them, and
sets forth what he or she claims to be the facts. Allegations not specifically denied deemed admitted
Sec. 11, Rule 8 Rules of Court
Exceptions: Material averments in a pleading asserting a claim or claims,
The requirement of an oath does not apply when: other than those as to the amount of unliquidated damages,
1. The adverse party does not appear to be a party to the shall be deemed admitted when not specifically denied.
instrument
Affirmative defenses

18
Sec. 12, Rule 8 Rules of Court Note: If these four grounds for objection are present in the
(a) A defendant shall raise his or her affirmative defenses in his complaint filed, and it is noticed by the court, the court, by its
or her answer, which shall be limited to the reasons set own volition, can dismiss the case outright. In other words, the
forth under Section 5(b), Rule 6, and the following grounds: court can motu proprio dismiss the case if it finds that it does
1. That the court has no jurisdiction over the person of not have jurisdiction over the subject matter. Or, if the court
the defending party; finds that there is litis pendentia, res judicata, or if the action
2. That venue is improperly laid; has already prescribed.
3. That the plaintiff has no legal capacity to sue;
4. That the pleading asserting the claim states no cause Compulsory counterclaim, or cross-claim, not set up
of action; and barred.
5. That a condition precedent for filing the claim has not Sec. 2, Rule 9, Rules of Court
been complied with. A compulsory counterclaim, or a cross-claim, not set up shall be
(b) Failure to raise the affirmative defenses at the earliest barred. Thus, set them up, otherwise they will be barred.
opportunity shall constitute a waiver thereof.
(c) The court shall motu proprio resolve the above affirmative DEFAULT
defenses within thirty (30) calendar days from the filing of Declaration of default
the answer. Sec. 3, Rule 9, Rules of Court
(d) As to the other affirmative defenses under the first If the defending party fails to answer within the time allowed
paragraph of Section 5(b), Rule 6, the court may conduct a therefor, the court shall, upon motion of the claiming party with
summary hearing within fifteen (15) calendar days from the notice to the defending party, and proof of such failure, declare
filing of the answer. Such affirmative defenses shall be the defending party in default. Thereupon, the court shall
resolved by the court within thirty (30) calendar days from proceed to render judgment granting the claimant such relief as
the termination of the summary hearing. his or her pleading may warrant, unless the court in its discretion
(e) Affirmative defenses, if denied, shall not be the subject of requires the claimant to submit evidence. Such reception of
a motion for reconsideration or petition for certiorari, evidence may be delegated to the clerk of court.
prohibition or mandamus, but may be among the matters
to be raised on appeal after a judgment on the merits. Default is a procedural concept that occurs when the defending
party fails to file his answer within the reglementary period. A
Striking out of pleading or matter contained therein declaration or order of default is issued as a punishment for
Sec. 13, Rule 8 Rules of Court unnecessary delay in joining issues.
Upon motion made by a party before responding to a pleading
or, if no responsive pleading is permitted by these Rules, upon When a declaration of default is proper, requisites
motion made by a party within twenty (20) calendar days after The following are the requisites before a party may be declared
the service of the pleading upon him or her, or upon the court’s in default:
own initiative at any time, the court may order any pleading to (1) The court has validly acquired jurisdiction over the person
be stricken out or that any sham or false, redundant, immaterial, of the defending party, either by service of summons or
impertinent, or scandalous matter be stricken out therefrom. voluntary appearance.
(2) The claiming party must file a motion to declare the
EFFECT OF FAILURE TO PLEAD defending party in default.
Defense and objections not pleaded (3) The claiming party must prove that the defending party has
Sec. 1, Rule 9, Rules of Court failed to answer within the period provided by the Rules of
Defenses and objections not pleaded either in a motion to Court.
dismiss or in the answer are deemed waived. However, when it (4) The defending party must be notified of the motion to
appears from the pleadings or the evidence on record that the declare him in default.
court has no jurisdiction over the subject matter, that there is (5) There must be a hearing of the motion to declare the
another action pending between the same parties for the same defending party in default.
cause, or that the action is barred by a prior judgment or by
statute of limitations, the court shall dismiss the claim. Not declared in default
1. Failure to attend pre-trial.
What is the effect if you failed to answer the complaint? 2. The non-appearance in the hearing and failure to adduce
The defenses and objections are deemed waived. Now what are evidence when an answer has been filed within the
these defenses waived? reglementary period.
1. Special affirmative defenses 3. It is not enough that the defendant failed to answer the
2. Defense of fraud complaint within the reglementary period, but it now
3. Illegality of contract requires the filing of a motion and notice of such motion to
4. The contract is unenforceable under the Statute of Frauds the defending party.

What are these objections that are not deemed waived? Rule in environmental cases
1. Lack of jurisdiction over the subject matter 1. Should the defendant fail to answer within the period
2. Litis pendentia provided, the court shall declare the defendant in default
3. Res judicata and, upon motion of the plaintiff, shall receive evidence ex
4. Prescription of action parte and render judgment based thereon and the reliefs
prayed for.

19
2. It is the court which shall, on its own motion, declare the case, the order of default may be set aside on such terms and
defendant in default. Thus, no motion is required of the conditions as the judge may impose in the interest of justice.
plaintiff. The motion of the plaintiff, however, is required
before the court orders the reception of evidence ex parte. Relief from an order of default
1. Remedy after notice of order and before judgment:
Failure to serve the answer to the adverse party a. Motion to set aside order of default, showing that
The defendant who files his answer in time, but failed to serve (a) the failure to answer was due to fraud, accident,
a copy thereof upon the adverse party, may be validly be mistake, or excusable negligence, and (b) the
declared in default. This failure is not fatal because the defendant has a meritorious defense-there must be
declaration of default may be set aside by a timely and proper an affidavit of merit.
motion with the requisite affidavit of merit and provided no loss 2. Remedy after judgment but before finality:
of time occurs. a. Motion for new trial under Rule 37
b. Appeal from the judgment as being contrary to the
Effect of order of default evidence or the law
Sec. 3(a), Rule 9, Rules of Court 3. Remedy after judgment becomes final and executory:
A party in default shall be entitled to notice[s] of subsequent a. Petition for relief from judgment under Rule 38
proceedings but shall not to take part in the trial. b. Action for nullity of judgment under Rule 47
4. If the order of default is valid, certiorari is not available. If
Effect of an order or declaration of default the default order was improvidently issued, that is, the
1. The party in default loses his standing in court. The loss of defendant was declared in default, without a motion, or
such standing prevents him from taking part in the trial. without having served with summons before the expiration
2. He forfeits his right as a party litigant. Has no right to of the reglementary period to answer, Certiorari is available
present evidence supporting his allegations, to control the as a remedy.
proceedings or cross-examine witnesses.
3. He is still entitled to notices of subsequent proceedings. It Current judicial trend on defaults
is submitted that he may participate the trial not as a party, The issuance of orders of default should be the exception rather
but as a witness. than the rule. Default orders shall be allowed only in clear cases
4. In a complaint for interpleader, the failure of a complaint to of obstinate refusal by the defendant to comply with the orders
answer within the time fixed, may, on motion, be declared of the trial court because suits should, as much as possible, be
in default and thereafter render judgment barring him from decided on the merits and not on technicalities. Thus, in
any claim in respect to the subject matter. practice, an answer under oath containing the defenses of the
5. In an expropriation proceeding, the defendant who fails to defendant, may, under the rules on liberal interpretation, be
answer may still present his evidence as to the amount of deemed as the equivalent of an affidavit of merit.
compensation to be paid for his property. He may also share
in the distribution of award. Affidavit of merit
6. A declaration of default is not tantamount to an admission It is an affidavit executed by the defendant explaining not only
of the truth or the validity of the plaintiff’s claims. the reason why he was not able to answer within the
7. The order of default will not automatically render a reglementary period, but it will also state that if only the court
judgment in favor of the plaintiff. The trial court must still will allow him to answer and lift or set aside the order of default,
determine whether the plaintiff is entitled to the reliefs he has a very good and meritorious defense.
prayed for.
Note:
Order of Default v. Judgment of Default a) The reason for the affidavit of merit is so that the court can
Order of default apprise if it will allow the lifting of the order of default. If
The order of default is issued by the court once a motion to the defendant cannot show that he has a good defense,
declare defendant in default is filed, and the court is convinced why would the court lift the order of default.
that the defendant is duly notified, but the defendant failed to b) But if the reason why he was not able to answer is not
answer within the reglementary period. So, the court will issue because of fraud, mistake, accident and excusable
an Order of Default, and require the plaintiff to present evidence negligence, but because he has not received the summons
ex parte. After that, the court will render judgment by default. yet, the sheriff did not serve the summons to him but to
another person who has the same name as the defendant,
Note: When the court issues an order of default, it is not then the affidavit of merit is not required.
appealable because it is merely an interlocutory order. But the c) If the court will deny the motion to lift on the ground that
judgment of default is appealable because it is already the final he has not yet received the summons, when that court has
judgment of the court. That’s the difference between an order not acquired jurisdiction over his person, what is the
of default and judgment by default. remedy of the defendant? The defendant can immediately
go to the higher court by way of certiorari under Rule 65.
Relief from an order of default Why? Because that constitutes grave abuse of discretion
Sec. 3(b), Rule 9, Rules of Court amounting to lack or excess if jurisdiction.
A party declared in default may at any time after notice thereof
and before judgment, file a motion under oath to set aside the Effect of Lack of Affidavit of Merit
order of default upon proper showing that his or her failure to If your motion to lift order of default is not accompanied by an
answer was due to fraud, accident, mistake or excusable affidavit of merit, your motion will not be acted upon by the
negligence and that he or she has a meritorious defense. In such court, or it will be treated as a pro forma motion. A motion that

20
fails to comply with the requirements under the Rules will be To reiterate, the rule is that the defendant’s answer should be
treated as a pro forma motion. And a pro forma motion does admitted where it is filed before a declaration of default and no
not toll the running of the reglementary period to avail of that prejudice is caused to the plaintiff.
particular remedy.
Extent of relief to be awarded
Effect of partial default Sec. 3(d), Rule 9, Rules of Court
Sec. 3(c), Rule 9, Rules of Court A judgment rendered against a party in default shall [neither]
When a pleading asserting a claim states a common cause of exceed the amount or be different in kind from that prayed for
action against several defending parties, some of whom answer nor award unliquidated damages.
and the others fail to do so, the court shall try the case against
all upon the answers thus filed and render judgment upon the Extent of relief
evidence presented. (a) A judgment rendered against a party in default may not
exceed the amount or be different from that prayed for nor
Note: include unliquidated damages which are not awarded. In
a) When a pleading asserts a claim against several defending fact, there can be no automatic grant of relief as the court
parties and some file and serve their answers but the others has to weigh the evidence. Furthermore, there can be no
do not, the court shall try the case against all the defending award of unliquidated damages.
parties based on the answers filed and render judgment (b) The Rules provide that the court can only award the relief
upon the evidence presented where the claim states a stated in the complaint and proven by the plaintiff. The
common cause of action against them. court can only award liquidated damages (those that are
b) Because there is a common cause of action against the already determinable at the time of the filing of the case)
defending parties, where one of them fails to answer, the and not those unliquidated damages (damages that are
non-answering defendant may be declared in default but subject to proof during the trial of the case. e.g. moral
the court shall refrain from rendering a judgment by default damages).
against such party because the case shall be tried based on
the answers of the other defending parties. [Actions] where defaults [are] not allowed
Sec. 3(e), Rule 9, Rules of Court
What is the rule on partial default? If the defending party in action for annulment or declaration of
(a) The rule is that if there is partial default, those defendants nullity of marriage or for legal separation fails to answer, the
who did not answer can be benefited by the defense raised court shall order the Solicitor General or his or her deputized
by the answering defendant/s. public prosecutor, to investigate whether or not a collusion
(b) This is because they are sued in solidum. This means that between the parties exists, and if there is no collusion, to
there is a common cause of action against them. So, if the intervene for the State in order to see to it that the evidence
answering defendant/s succeed or win the case, then the submitted is not fabricated.
non-answering defendant/s also win the case.
No judgment by default is allowed in actions for:
Action of the court after the declaration/order of default a. Annulment of marriage
1. When a party is declared in default, the court may do either b. Declaration of nullity of marriage
of two things. The court has the discretion to choose either: c. Legal separation
a. To proceed to render judgment granting the
claimant such relief as his pleading may warrant Judgment by default for refusal to comply with the
b. To require the claimant to submit evidence ex parte. modes of discovery
2. The choice of which action to take is a matter of judicial The rule is that a default order and, consequently, a default
discretion. The court need not personally receive the judgment is triggered by the failure of the defending party to
evidence if it decides to hear the evidence of the claiming file the required answer. By way of exception, a judgment by
party. The reception of the evidence may be delegated to default may be rendered in the following cases despite an
the clerk of court. answer having been filed:
a. If a disobedient party refuses to obey an order requiring
Admission of answer filed out of time him to comply with the various modes of discovery
a) It is within the sound discretion of the trial court to permit b. If a party or officer or managing agent of a party willfully
the defendant to file his answer and be heard on the merits fails to appear before the officer who is to take his
even after the reglementary period for filing the answer deposition, or a party fails to serve answers to
expires. The Rules of Court provides for discretion on the interrogatories.
part of the trial court not only to extend the time for filing
an answer but also to allow an answer to be filed after the Motion to declare default, where prohibited
reglementary period. 1. Rules of Procedure for Small Claims Cases
b) Where the answer is filed beyond the reglementary period 2. Rules on Writ of Amparo (In case the respondent fails to
but before the defendant is declared in default and there is file a return, the court, justice or judge shall proceed to hear
no showing that defendant intends to delay the case, the the petition ex parte.)
answer should be admitted. 3. Rules on Writ of Habeas Data (same with writ of amparo)
4. Revised Rules on Summary Procedure
Extension of the time to answer
FILING AND SERVICE OF PLEADINGS, JUDGMENTS,
FINAL ORDERS AND RESOLUTIONS

21
Coverage (c) Sending them by accredited courier; or
Sec. 1, Rule 13, Rules of Court (d) Transmitting them by electronic mail or other electronic
This Rule shall govern the filing of all pleadings, motions, and means as may be authorized by the [c]ourt in places where
other court submissions, as well as the service thereof, except the court is electronically equipped.
those for which a different mode of service is prescribed.
In the first case, the clerk of court shall endorse on the pleading
Filing and service, defined the date and hour of filing. In the second and third cases, the
Sec. 2, Rule 13, Rules of Court date of the mailing of motions, pleadings, [and other court
submissions, and] payments or deposits, as shown by the post
Filing office stamp on the envelope or the registry receipt, shall be
Filing is the act of submitting the pleading or other paper to the considered as the date of their filing, payment, or deposit in
court. court. The envelope shall be attached to the record of the case.
In the fourth case, the date of electronic transmission shall be
Service considered as the date of filing.
Service is the act of providing a party with a copy of the pleading
or any other court submission. If a party has appeared by There are fourt modes of filing:
counsel, service upon such party shall be made upon his or her 1. By presenting the original copy of the pleading, notice,
counsel, unless service upon the party and the party’s counsel appearance, motion, order or judgment personally to the
is ordered by the court. Where one counsel appears for several court; or
parties, such counsel shall only be entitled to one copy of any 2. By registered mail
paper served upon him by the opposite side. 3. By accredited courier
4. By electronic mail
Where several counsels appear for one party, such party shall
be entitled to only one copy of any pleading or paper to be Date of filing determined from 2 sources
served upon the lead counsel if one is designated, or upon any 1. Personal filing:
one of them if there is no designation of a lead counsel. a. From the date and hour of filing.
2. Registered mail and accredited courier
Upon whom service shall be made a. From the post office stamp on the envelope, or
1. If a party has not appeared by counsel, then service must b. From the registry receipt.
be made upon him. Either of which may suffice to prove the timeliness of the
2. If a party has appeared by counsel, then service upon said filing of the pleadings. If the date is stamped on one is
party shall be made upon his counsel or one of them, unless earlier than the other, the former may be accepted as the
service upon the party himself is ordered by the court. date of filing. However, the envelope or registry receipt and
the dates appearing thereon are duly authenticated before
Notice to counsel the tribunal where they are presented.
Notice to counsel is effective notice to client, while notice to the 3. Electronic mail.
client and not his counsel is not notice in law, unless, for a. Date of electronic transmission.
instance, when the court or tribunal orders service upon the
party or when the technical defect in the manner of notice is How to prove filing
waived. If personally filed
1. The filing of a pleading or paper shall be proved by its
Note: existence in the record.
Subject to compelling reasons involving substantial justice, 2. If it is not in the record, but is claimed to have been filed
service of a petition upon a party, when that party is represented personally, the filing shall be proved y the written or
by counsel of record, is a patent nullity and is not binding upon stamped acknowledgement of its filing by the clerk of court
the party wrongfully served. Reason: the parties, generally, on a copy of the same.
have no formal education or knowledge of the rules of
procedure; they, may also be unaware of the rights and duties If registered mail
of a litigant relative to the receipt of a decision. The proof of filing is by the registry receipt and the affidavit of
the person who did the mailing, containing a full statement of
Service upon counsel representing several parties the date and place of depositing the mail in the post office in a
Where one counsel appears for several parties, service shall be sealed envelope addressed to the court, with postage fully
made upon said counsel but he shall be entitled only to 1 copy prepaid, and with instructions to the postmaster to return the
of any paper served upon by the opposite side. Hence, if he mail to the sender after 10 days if not delivered.
represents 3 parties in the same case, he cannot insist of being
served with 3 copies of the paper served upon him. Papers require to be filed and served
Sec. 4, Rule 13, Rules of Court
Manner of filing 1. Judgments;
Sec. 3, Rule 13, Rules of Court 2. Resolutions;
The filing of pleadings and other court submissions shall be 3. Orders;
made by: 4. Pleadings subsequent to the complaint;
(a) Submitting personally the original thereof, plainly indicated 5. Written motions;
as such, to the court; 6. Notices;
(b) Sending them by registered mail; 7. Appearances;

22
8. Demands; mail to the sender after ten (10) calendar days if undelivered. If
9. Offers of judgment; no registry service is available in the locality of either the sender
10. Similar papers shall be filed with the court and served upon or the addressee, service may be done by ordinary mail.
the parties affected.
Note:
Modes of service (a) The preferred service by mail is by registered mail. Service
Sec. 5, Rule 13, Rules of Court by ordinary mail may be done only if no registry service is
Pleadings, motions, notices, orders, judgments, and other court available in the locality of either the sender or the
submissions shall be served personally or by registered mail, addressee.
accredited courier, electronic mail, facsimile transmission, other (b) Service by registered mail shall be done by depositing the
electronic means as may be authorized by the [c]ourt, or as copy in the post office, in a sealed envelope, plainly
provided for in international conventions to which the Philippines addressed to the party or his counsel at his office, if known,
is a party. or otherwise at his residence, if known, with postage fully
prepaid, and with instructions to the postmaster to return
Modes of service the mail to the sender after 10 days if not delivered.
1. Personally or (c) When service of notice is an issue, the rule is that the
2. By registered mail, accredited courier, electronic mail, person alleging that the notice was served must prove the
facsimile transmission, other electronic means authorized fact of service. The burden of proof lies on the one asserting
by the court, or as provided for in international conventions its existence.
in the Philippines as a party.
When service by mail is deemed complete
Service of judgments, final orders or resolutions 1. Service by ordinary mail is complete upon the expiration of
They shall be served either personally or by mail. When a party 10 days after mailing, unless the court otherwise provides.
summoned by publication has failed to appear in the action, 2. Service by registered mail is complete upon actual receipt
judgments, final orders or resolutions against him shall be by the addressee, or after 5 days from the date he received
served upon him also by publication. the first notice of the postmaster, whichever is earlier.

Personal service Substituted Service

Sec. 6, Rule 13, Rules of Court Sec. 8, Rule 13, Rules of Court
Court submissions may be served by personal delivery of a copy If service of pleadings, motions, notices, resolutions, orders and
to the party or to the party’s counsel, or to their authorized other papers cannot be made under the two preceding Sections,
representative named in the appropriate pleading or motion, or the office and place of residence of the party or his or her
by leaving it in his or her office with his or her clerk, or with a counsel being unknown, service may be made by delivering the
person having charge thereof. If no person is found in his or her copy to the clerk of court, with proof of failure of both personal
office, or his or her office is not known, or he or she has no service and service by mail. The service is complete at the time
office, then by leaving the copy, between the hours of eight in of such delivery.
the morning and six in the evening, at the party’s or counsel’s
residence, if known, with a person of sufficient age and Note:
discretion residing therein. (a) This mode of service is availed of only when there is failure
to effect service personally or by mail. This failure occurs
Personal service, priorities in modes of service and filing when the office and residence of the party or counsel are
1. Preferred mode of service; personally. unknown.
The service and filing of pleadings and other papers shall (b) Substituted service is effected by delivering the copy to the
be done personally, whenever practicable clerk of court, with proof of failure of both personal service
2. Written explanation if not first mode preferred and service by mail.
If another mode of service is used other than personal
service, it must be accompanied by a written explanation When substituted service is complete
why the service or filing was not done personally. Substituted service is complete at the time of delivery of the
copy to the clerk of court.
Exempt from this explanation are the service papers
emanating from court. A violation of this explanation Service by electronic means and facsimile
requirement may be cause for the paper to be considered Sec. 9, Rule 13, Rules of Court
as not having been filed. Service by electronic means and facsimile shall be made if the
party concerned consents to such modes of service.
Upon delivery, complete personal service
Upon actual delivery, personal service is deemed complete. Service by electronic means shall be made by sending an e-mail
to the party’s or counsel’s electronic mail address, or through
Service by mail other electronic means of transmission as the parties may agree
Sec. 7, Rule 13, Rules of Court on, or upon direction of the court.
Service by registered mail shall be made by depositing the copy
in the post office, in a sealed envelope, plainly addressed to the Service by facsimile shall be made by sending a facsimile copy
party or to the party’s counsel at his or her office, if known, to the party’s or counsel’s given facsimile number.
otherwise at his or her residence, if known, with postage fully
pre-paid, and with instructions to the postmaster to return the Presumptive service

23
Sec. 10, Rule 13, Rules of Court Personal service is complete upon actual delivery. Service by
There shall be presumptive notice to a party of a court setting if ordinary mail is complete upon the expiration of ten (10)
such notice appears on the records to have been mailed at least calendar days after mailing, unless the court otherwise provides.
twenty (20) calendar days prior to the scheduled date of hearing Service by registered mail is complete upon actual receipt by the
and if the addressee is from within the same judicial region of addressee, or after five (5) calendar days from the date he or
the court where the case is pending, or at least thirty (30) she received the first notice of the postmaster, whichever date
calendar days if the addressee is from outside the judicial is earlier. Service by accredited courier is complete upon actual
region. receipt by the addressee, or after at least two (2) attempts to
deliver by the courier service, or upon the expiration of five (5)
Change of electronic mail address or facsimile number. calendar days after the first attempt to deliver, whichever is
Sec. 11, Rule 13, Rules of Court earlier.
A party who changes his or her electronic mail address or
facsimile number while the action is pending must promptly file, Electronic service is complete at the time of the electronic
within five (5) calendar days from such change, a notice of transmission of the document, or when available, at the time
change of e-mail address or facsimile number with the court and that the electronic notification of service of the document is
serve the notice on all other parties. sent. Electronic service is not effective or complete if the party
serving the document learns that it did not reach the addressee
Service through the electronic mail address or facsimile number or person to be served.
of a party shall be presumed valid unless such party notifies the
court of any change, as aforementioned. Service by facsimile transmission is complete upon receipt by
the other party, as indicated in the facsimile transmission
Electronic mail and facsimile subject and title of printout.
pleadings and other documents.
Sec. 9, Rule 13, Rules of Court Proof of filing
The subject of the electronic mail and facsimile must follow the Sec. 16, Rule 13, Rules of Court
prescribed format: case number, case title and the pleading, The filing of a pleading or any other court submission shall be
order or document title. The title of each electronically-filed or proved by its existence in the record of the case.
served pleading or other document, and each submission served (a) If the pleading or any other court submission is not in the
by facsimile shall contain sufficient information to enable the record, but is claimed to have been filed personally, the
court to ascertain from the title: (a) the party or parties filing or filing shall be prove[n] by the written or stamped
serving the paper, (b) nature of the paper, (c) the party or acknowledgment of its filing by the clerk of court on a copy
parties against whom relief, if any, is sought, and (d) the nature of the pleading or court submission;
of the relief sought. (b) If the pleading or any other court submission was filed by
registered mail, the filing shall be proven by the registry
Service of judgments, final orders or resolutions receipt and by the affidavit of the person who mailed it,
Sec. 13, Rule 13, Rules of Court containing a full statement of the date and place of deposit
Judgments, final orders or resolutions shall be served either of the mail in the post office in a sealed envelope addressed
personally or by registered mail. Upon ex parte motion of any to the court, with postage fully prepaid, and with
party in the case, a copy of the judgment, final order, or instructions to the postmaster to return the mail to the
resolution may be delivered by accredited courier at the expense sender after ten (10) calendar days if not delivered.
of such party. When a party summoned by publication has failed (c) If the pleading or any other court submission was filed
to appear in the action, judgments, final orders or resolutions through an accredited courier service, the filing shall be
against him or her shall be served upon him or her also by proven by an affidavit of service of the person who brought
[means of] publication at the expense of the prevailing party. the pleading or other document to the service provider,
together with the courier’s official receipt and document
Conventional service or filing of orders, pleadings and tracking number.
other documents (d) If the pleading or any other court submission was filed by
Sec. 14, Rule 13, Rules of Court electronic mail, the same shall be proven by an affidavit of
Notwithstanding the foregoing, the following orders, pleadings, electronic filing of the filing party accompanied by a paper
and other documents must be served or filed personally or by copy of the pleading or other document transmitted or a
registered mail when allowed, and shall not be served or filed written or stamped acknowledgment of its filing by the clerk
electronically, unless express permission is granted by the court: of court. If the paper copy sent by electronic mail was filed
(a) Initiatory pleadings and initial responsive pleadings, such as by registered mail, paragraph (b) of this Section applies.
an answer; (e) If the pleading or any other court submission was filed
(b) Subpoena, protection orders, and writs; through other authorized electronic means, the same shall
(c) Appendices and exhibits to motions, or other documents be proven by an affidavit of electronic filing of the filing
that are not readily amenable to electronic scanning may, party accompanied by a copy of the electronic
at the option of the party filing such, be filed and served acknowledgment of its filing by the court.
conventionally; and
(d) Sealed and confidential documents or records. Proof of service
Sec. 17, Rule 13, Rules of Court
Completeness of service Proof of personal service shall consist of a written admission of
Sec. 15, Rule 13, Rules of Court the party served, or the official return of the server, or the

24
affidavit of the party serving, containing a statement of the date, case will be required to pay the deficiency, but jurisdiction
place and manner of service. If the service is made by: is not automatically lost.
(a) Ordinary mail. – Proof shall consist of an affidavit of the
person mailing stating the facts showing compliance with Payment of docket fees for cases on appeal
Section 7 of this Rule. (a) The amended Rules requires that the appellate docket and
(b) Registered mail. – Proof shall be made by the affidavit other lawful fees must be paid within the same period for
mentioned above and the registry receipt issued by the taking an appeal. Note that the appellate docket fee is not
mailing office. The registry return card shall be filed paid in the appellate court but in the court which rendered
immediately upon its receipt by the sender, or in lieu the judgment or final order.
thereof, the unclaimed letter together with the certified or (b) Payment of docket fee within the prescribed period is
sworn copy of the notice given by the postmaster to the mandatory for the perfection of an appeal. Without such
addressee. payment, the appellate court does not acquire jurisdiction
(c) Accredited courier service. – Proof shall be made by an over the subject matter of the action and the decision
affidavit of service executed by the person who brought the sought to be appealed from becomes final and executory.
pleading or paper to the service provider, together with the Hence, nonpayment is a valid ground for dismissal of an
courier’s official receipt or document tracking number. appeal. However, delay in the payment of the docket fees
(d) Electronic mail, facsimile, or other authorized electronic confers upon the court a discretionary, not mandatory,
means of transmission. – Proof shall be made by an affidavit power to dismiss an appeal.
of service executed by the person who sent the e-mail,
facsimile, or other electronic transmission, together with a AMENDMENT
printed proof of transmittal. Reason for allowing amendment
Amendments are allowed so that the actual merits of the
Court-issued orders and other documents controversy may speedily be determined without regard to
Sec. 18, Rule 13, Rules of Court technicalities, and in the most expeditious and inexpensive
The court may electronically serve orders and other documents manner.
to all the parties in the case which shall have the same effect
and validity as provided herein. A paper copy of the order or Amendment in general
other document electronically served shall be retained and Sec. 1, Rule 10, Rules of Court
attached to the record of the case. How pleadings are amended
Pleadings may be amended in the following manner:
Notice of lis pendens (a) By adding or striking out an allegation;
Sec. 19, Rule 13, Rules of Court (b) By adding or striking out the name of any party;
In an action affecting the title or the right of possession of real (c) By correcting a mistake in the name of a party;
property, the plaintiff and the defendant, when affirmative relief (d) By correcting a mistaken or inadequate allegation;
is claimed in his or her answer, may record in the office of the (e) By correcting a mistaken or inadequate description in any
registry of deeds of the province in which the property is other respect.
situated a notice of the pendency of the action. Said notice shall
contain the names of the parties and the object of the action or Amendment as a matter of right
defense, and a description of the property in that province Sec. 2, Rule 10, Rules of Court
affected thereby. Only from the time of filing such notice for A party may amend his or her pleading once as a matter of right
record shall a purchaser, or encumbrancer of the property at any time before a responsive pleading is served or, in the
affected thereby, be deemed to have constructive notice of the case of a reply, at any time within ten (10) calendar days after
pendency of the action, and only of its pendency against the it is served.
parties designated by their real names.
Note:
The notice of lis pendens hereinabove mentioned may be (a) A party has the right to amend his pleading as a matter of
cancelled only upon order of the court, after proper showing right, so long as the pleading is amended only once and
that the notice is for the purpose of molesting the adverse party, before a responsive pleading is served.
or that it is not necessary to protect the rights of the party who (b) In case of a reply to which there is no responsive pleading,
caused it to be recorded. it may be amended as a matter of right at any time within
10 days after it is served. Thus, before an answer is served
Payment of docket fees on the plaintiff, the latter may amend his complaint as a
(a) Not simply the filing of the complaint or appropriate matter of right.
initiatory pleading, but the payment of the prescribed (c) The defendant may also amend his answer as a matter of
docket fee, that vests a trial court with jurisdiction over the right, before a reply is served upon him. In either case,
subject matter or nature of the action. there is no need to file a motion for leave to amend the
(b) In some cases, liberal interpretation was applied where pleading.
nonpayment of docket fee at the time of the filing of the (d) After the service of a responsive pleading, a party can
complaint does not automatically cause the dismissal of the amend his pleading only upon prior leave of court.
case, as long as the fee is paid within the applicable
prescriptive or reglementary period. Amendment before trial courts, not CA
(c) Also, if the amount of the docket fee is insufficient Sec. 2, Rule 10 refers to an amendment made before the trial
considering the amount of the claim, the party filing the court, not to amendments before the CA. The CA is vested with
discretion to admit or deny amendment petitions filed before it.

25
Amendments by leave of court Note:
Sec. 3, Rule 10, Rules of Court (a) A supplemental pleading is one which sets forth
Except as provided in the next preceding Section, substantial transactions, occurrences, or events which have happened
amendments may be made only upon leave of court. But such since the date of the pleadings sought to be supplemented.
leave shall be refused if it appears to the court that the motion (b) The filing of supplement pleadings requires leave of court.
was made with intent to delay [or] confer jurisdiction on the The court may allow the pleading only upon such terms as
court, or the pleading stated no cause of action from the are just. This leave is sought by filing of a motion with
beginning which could be amended. Orders of the court upon notice to all parties.
the matters provided in this Section shall be made upon motion
filed in court, and after notice to the adverse party, and an Answer to a supplemental pleading; not mandatory
opportunity to be heard. A supplemental complaint may be answered within 10 days from
notice of the order admitting the same, unless a different period
Note: is fixed by court. The answer to the complaint shall serve as the
(a) Leave of court is required for an amendment made after answer to the supplemental complaint if no new or supplemental
service of a responsive pleading. This rule assumes more answer is filed.
force and effect especially when the amendment is
substantial since substantial amendments, after the service Thus, the filing of an answer to the supplemental pleading is not
of a responsive pleading, may be made only upon leave of mandatory because of the use of the word “may.”
court.
(b) Even if the amendment be with leave of court, it still stands Filing of amended pleadings
to be eventually rejected where such amendment appears Sec. 7, Rule 10, Rules of Court
to the court to have been made with the intent to delay the When any pleading is amended, a new copy of the entire
proceedings. pleading, incorporating the amendments, which shall be
(c) Substantial alteration in the cause of action or defense is indicated by appropriate marks, shall be filed.
not a bar to the amendment of the original complaint so
long as the amendment is not meant for delay. Effect of amended pleading
Sec. 8, Rule 10, Rules of Court
No cure to no cause of action An amended pleading supersedes the pleading that it amends.
(a) A complaint which fails to state a cause of action may be However, admissions in superseded pleadings may be offered in
cured by evidence presented during trial. However, Sec. 5 evidence against the pleader, and claims or defenses alleged
is applicable only if a cause of action in fact exists at the therein not incorporated in the amended pleading shall be
time the complaint is filed, but the complaint is defective deemed waived.
for failure to allege the essential facts.
(b) A complaint whose cause of action has not yet accrued Effect of the amended pleading on the original pleading
cannot be cured or remedied by an amendment or When a pleading is amended, the original pleading is deemed to
supplemental pleading alleging the existence or accrual of have been abandoned.
a cause of action while the case is pending.
Effect of the amendment on admission made in the
Formal Amendment original pleading
Sec. 4, Rule 10, Rules of Court Admissions in superseded pleadings may be received in
A defect in the designation of the parties and other clearly evidence against the pleader. The admission made in the
clerical or typographical errors may be summarily corrected by original pleadings ceased to be judicial admissions. They are
the court at any stage of the action, at its initiative or on motion, now considered as extrajudicial admissions. Thus, to use them
provided no prejudice is caused thereby to the adverse party. against the party, they need to be formally offered in evidence.

No amendment necessary to conform to or authorize

presentation of evidence
Sec. 5, Rule 10, Rules of Court
When issues not raised by the pleadings are tried with the
express or implied consent of the parties, they shall be treated
in all respects as if they had been raised in the pleadings. No
amendment of such pleadings deemed amended is necessary to
cause them to conform to the evidence.

Supplemental pleadings
Sec. 6, Rule 10, Rules of Court
Upon motion of a party, the court may, upon reasonable notice
and upon such terms as are just, permit him or her to serve a
supplemental pleading setting forth transactions, occurrences or
events which have happened since the date of the pleading
sought to be supplemented. The adverse party may plead
thereto within ten (10) calendar days from notice of the order
admitting the supplemental pleading.

26