RULE 3 complete relief is to be accorded as to those

already parties, or for a complete determination

Parties to Civil Actions or settlement of the claim subject of the action.
(may or may not be joined)
Section 1. Who may be parties; plaintiff and
3. Representative parties – someone acting in
defendant.
fiduciary capacity. Maybe a trustee, guardian,
executor or administrator, or a party authorized
by law or these Rules.
REQUIREMENTS FOR A PERSON TO BE A PARTY TO A
CIVIL ACTION:
An agent acting in his own name and for the benefit
1. he must be a natural or juridical person or an of an undisclosed principal may sue or be sued
entity authorized by law; without joining the principal except when the contract
2. he must have a legal capacity to sue; and involves things belonging to the principal
3. he must be the real party in interest.
4. Pro forma parties – those who are
PLAINTIFFS- Those having an interest in the subject required to be joined as co-parties in suits by or
matter of the action or in obtaining the relief against another party as may be provided by the
demanded. applicable substantive law or procedural rule
such as in the case of spouses under Sec. 4.

DEFENDANTS:
1. persons who claim an interest in the controversy Quasi parties – those in whose behalf a class or
or the subject thereof adverse to the plaintiff; or representative suit is brought.

2. who are necessary to a complete determination

Real Party in Interest Locus Standi
or settlement of the questions involved therein;
A party that:
or
1. Stands to be Right of
benefited or appearance in a
3. all those who ordinarily should be joined as injured by court of justice on a
plaintiffs but who do not consent thereto, the the judgment given question.
reason therefore being stated in the complaint. in the suit; or
2. The party
entitled to
Neither a dead person nor his estate may be a party the avails of
plaintiff in a court action… Considering that capacity the suit (Sec.
to be sued is correlative of the capacity to sue, to the 2, Rule 3).
same extent, a decedent does not have the capacity The interest must be The one who sues
‘real’, which is a must show that he
to be sued and may not be named a party defendant
present substantial has sustained
in a court action (Ventura vs. Militante 316 SCRA
interest, as injury or will
226).
distinguished from a sustain a direct
Section 3. Representatives as parties. REAL PARTY IN mere expectancy or a injury as a result of
INTEREST – the party who stands to be benefited in future, contingent, a government
the suit or the party entitled to the avails of the subordinate or action, or has a
suit. consequential interest. material interest in
(Rayo v. Metrobank, the issue affected
Impleading the beneficiary as a party in the suit is G.R. No. 165142, by the challenged
now mandatory, in cases allowed to be prosecuted or December 10, 2007) official act (Funa v.
defended by a representative. Agra)
Unless otherwise Significant in cases
authorized by law or by involving questions
CLASSIFICATION OF PARTIES IN INTEREST the Rules, every action of constitutionality,
must be prosecuted or because it is one of
1. Indispensable parties – those without whom defended in the name the essential
no final determination can be had of an action. of the real party in requisites before
(must be joined) interest (Sec. 2, Rule 3; such questions may
Stronghold Insurance be judicially
2. Necessary (or proper) parties – those who are Company v. Cuenca, entertained.
not indispensable but ought to be parties if G.R. No. 173297)
 Section 5. Minor or incompetent persons. (Riano, 2014, citing Plasabas v. CA, G.R. No. 166519
March 31, 2009)

Under the present rule, a person need not be Necessary party

judicially declared to be incompetent in order that
the court may appoint a guardian ad litem. Those who are not indispensable but ought to be joined
as parties:
It is enough that he be alleged to be incompetent. The
suit can be brought by or against the minor or 1. If complete relief is to be accorded to those
incompetent person personally BUT with the assistance already parties; or
of his parents or guardian. 2. For a complete determination or settlement of
the claim subject of the action (Sec. 8, Rule 3).
Section 6. Permissive joinder of parties.

PERMISSIVE JOINDER – the aggregate sum of all the Indispensable party vs. Necessary party
claims, determines the jurisdiction of the court.
Indispensable party Necessary party
Requisites of permissive joinder of parties. Parties in interest A necessary party is one who
without whom no final is not indispensable but who
1. Right to relief arises out of the same transaction determination can be ought to be joined as a party
or series of transactions; had of an action shall if:
2. There is a question of law or fact common be joined either as 1. Complete relief is to
to all the plaintiffs or defendants; and plaintiffs or defendants be accorded as to
3. Such joinder is not otherwise proscribed by the (Sec.7, Rule 3). those already
provisions of the Rules on jurisdiction and parties; or
venue. Must be joined under 2. For a complete
any and all conditions determination or
because the court settlement of the
SERIES OF TRANSACTIONS – transactions connected
cannot proceed claim subject of the
with the same subject of the action. without him (Riano, action (Sec. 8, Rule
2014). 3)
Indispensable party

Those without whom no final determination can be had Necessary parties should be
of an action (Sec. 7, Rule 3). joined whenever possible,
however, the action can
Tests to determine whether a party is an indispensable proceed even in their absence
party because his interest is
separable from that of
1. Can relief be afforded to the plaintiff without indispensable party
the presence of the other party? No valid judgment if The case may be determined
2. Can the case be decided on its merits without they are not joined. in court but the judgment
prejudicing the rights of the other party? (Rep. therein will not afford a
v. Sandiganbayan, G.R. No. 152154, July 15, NOTE: The absence of complete relief in favor of the
2003). an indispensable party prevailing party.
renders all subsequent
Effect of failure to join an indispensable party actions of the court NOTE: Whenever in any
null and void for want pleading in which a claim is
The presence of indispensable parties is a condition for of authority to act, not asserted a necessary party is
the exercise of juridical power and when an only as to the absent not joined, the pleader shall
indispensable party is not before the court, the action parties but even as to set forth his name, if known,
should be dismissed (Riano, 2014, citing Lucman v. those present (Riano, and shall state why he is
Malawi, G.R. No. 159794, December 19, 2006). 2014). omitted (Sec. 9, Rule 3).
NOTE: The non-joinder of an indispensable or a
However, an outright dismissal is not the immediate necessary party is not by itself ipso facto a ground for
remedy authorized because, under the Rules, the dismissal of the action. The court should order the
misjoinder/non-joinder of parties is NOT a ground for joinder of such party and non-compliance with the said
dismissal. It is when the order of the court to implead order would be a ground for the dismissal of the action
an indispensable party goes unheeded may the case be (Feria & Noche, 2013).
dismissed. In such case, the court may dismiss the
The dismissal, which may be made by the court motu
complaint due to the fault of the plaintiff as when he
proprio or upon the defendant’s motion, shall be based
does not comply with any order of the court (Sec. 3, on the failure of the plaintiff to comply with any order of
Rule 17) ¸ such as an order to join indispensable parties. the court (Sec. 3, Rule 17).
JOINT DEBTORS – indispensable party with respect to
own share and a necessary party with respect to the
share of the others.
SOLIDARY DEBTORS – either is indispensable and the
other is not even a necessary party because complete
relief may be obtained from either.
Section 9. Non-joinder of necessary parties to be
pleaded.
The non-inclusion of a necessary party may be
excused only on meritorious grounds.
The court may order the inclusion of the omitted
necessary party if jurisdiction over his person may be
obtained by ordering plaintiff to file an amended
complaint impleading the necessary party therein as
co-defendant.
The only sanction for failure to implead a necessary
party when ordered by the court and jurisdiction
can be obtained over said party is a waiver of the
claim against him. This is considered as an exception
to the provision on penalties imposed on a
disobedient party under Sec. 3 of Rule 17 which
would have entailed the dismissal of the complaint
itself.
Effect of non-joinder of a necessary party
1. The court may order the inclusion of the
omitted necessary party if jurisdiction over his
person may be obtained;
2. The failure to comply with the order for his
inclusion, without justifiable cause, shall be
deemed a waiver of the claim against such
party;
3. The non-inclusion of a necessary party does
not prevent the court from proceeding in the
action, and the judgment rendered therein
shall be without prejudice to the rights of such
necessary party (Sec. 9, Rule 3).
Suing a defendant in the alternative
1. Where the plaintiff is uncertain against who of
several persons he is entitled to relief, he may join
any or all of them in the alternative, although a
right to relief against one may be inconsistent with
a right to relief against the other (Sec. 13, Rule 3).
2. Action prosecuted in the name of the real party in
interest
3. Every action must be prosecuted and defended in
the name of the real party-in-interest (Sec. 2, Rule
3). Where the action is allowed to be prosecuted or
defended by a representative party or someone
acting in a fiduciary capacity, the beneficiary shall
be included in the title of the case and shall be
deemed to be a real party-in-interest (Sec.3, Rule
3).
NOTE: An agent acting in his own name and for the
benefit of an undisclosed principal may sue or be sued
without joining the principal except when the contract
involves things belonging to the principal. (Sec. 3, Rule
3).
Rule when the defendant’s name or identity is
unknown
He may be sued as the unknown owner, heir, devisee, or
by such other designation as the case may require.
However, when his identity or true name is discovered,
the pleading must be amended accordingly (Sec. 14,
Rule 3)
Indigent party
They are those:
1. Whose gross income and that of their
immediate family do not exceed an amount
double the monthly minimum wage of an
employee; and
2. Who do not own real property with a fair
market value as stated in the current tax
declaration of more than Php 300,000.00 shall
be exempt from the payment of legal fees (Sec.
19, Rule 141 as amended by A.M. No. 04-2-04-
SC).
He is one who has no money or property sufficient and
available for food, shelter and basic necessities for
himself and his family (Sec. 21, Rule 3).
Rule on indigent litigants
If the applicant for exemption meets the salary and
property requirements under Sec. 19, Rule 141, then the
grant of the application is mandatory.
However, if the trial court finds that one or both
requirements have not been met, then it would set a
hearing to enable the applicant to prove that the
applicant has “no money or property sufficient and
available for food, shelter and basic necessities for
himself and his family”, as provided in Sec. 21, Rule 3. In
that hearing, the adverse party may adduce
countervailing evidence to disprove the evidence
presented by the applicant; after which the trial court
will rule on the application depending on the evidence
adduced.
In addition, Sec. 21, Rule 3 also provides that the
adverse party may later still contest the grant of such
authority at any time before judgment is rendered by
the trial court, possibly based on newly discovered
evidence not obtained at the time the application was
heard (Algura v. LGU of Naga, G.R. No. 150135, October
30, 2006).
Exemption from fees
Authority as an indigent party includes an exemption
from the payment of:
1. Docket fees and other lawful fees;
2. Transcript of stenographic notes (Sec. 21, Rule
3).
NOTE: The amount of the docket and other lawful fees
which the indigent was exempted from paying shall be a
lien on any judgment rendered in the case favorable to
the indigent, unless otherwise provided (Sec. 21, Rule 3).
Pro forma party
One who is joined as a plaintiff or defendant, not
because such party has any real interest in the subject
matter or because any relief is demanded, but merely
because the technical rules of pleadings require the
presence of such party on the record (Samaniego v.
Agulia, G.R. No. 125567, June 27, 2000).
Quasi party
Those in whose behalf a class or representative suit is
brought.
Unwilling co-plaintiff
A party who is supposed to be a plaintiff but whose
consent to be joined cannot be obtained, as when he
refuses to be a party to the action. Under the Rules, he
may be made a defendant, and the reasons therefor
shall be stated in the complaint (Sec. 10, Rule 3).
COMPULSORY AND PERMISSIVE JOINDER OF PARTIES
Compulsory joinder of parties
The joinder of parties becomes compulsory when the
one involved is an indispensable party. Clearly, the rule
directs a compulsory joinder of indispensable parties
(Riano, 2014) (2009 Bar).
NOTE: The presence of all indispensable parties is a
condition sine qua non for the exercise of judicial power.
It is precisely when an indispensable party is not before
the court that the action should be dismissed. Thus, the
plaintiff is mandated to implead all the indispensable
parties, considering that the absence of one such party
renders all subsequent action of the court null and void
for want of authority to act, not only as to the absent
parties but even as to those present. One who is a party
to a case is not bound by any decision of the court;
otherwise, he will be deprived of his right to due process
(Sepulveda, Sr. v. Pelaez, G.R. No. 152195, January 31,
2005.
The nature of the solidary obligation under a surety does
not make one an indispensable part (Living @ Sense, Inc.
v. Malayan Insurance Company, Inc. G.R. No. 193753).
Requisites of permissive joinder of parties
1. Right to relief arises out of the same
transaction or series of transactions
(connected with the same subject matter of
the suit); and
2. There is a question of law or fact common to
all the plaintiffs or defendants (2002 Bar).
NOTE: There is a question of law in a given case when
the doubt or difference arises as to what the law is on a
certain state of facts; there is a question of fact when
doubt arises as to the truth or the falsehood of alleged
facts (Manila Bay Club Corp. v. CA, et al., G.R. No.
110015, January 11, 1995).
Rationale of permissive joinder of parties
The purpose and aim of the principle is to have
controversies and the matters directly related thereto
settled once and for all once they are brought to the
courts for determination. Litigation is costly both to
litigants and to the State, and the objective of procedure
is to limit its number or extent. In consonance with the
above principle, we have the rules against multiplicity of
suits, the rule of estoppel by judgment (Sec. 44, Rule 39),
and the rule of res judicata (Sec. 45, Rule 39; Fajardo v.
Bayano, G.R. No. L- 8314, March 23, 1956).
Q: When may the court order the joinder of a
necessary party? (1998 Bar)
A: If the reason given for the non-joinder of the
necessary party is found by the court to be
unmeritorious, it may order the pleader to join the
omitted party if jurisdiction over his person may be
obtained. The failure to comply with the order of the
court to include a necessary party, without justifiable
cause, shall be deemed a waiver of the claim against
such party (Sec. 9, Rule 3).
Section 11. Misjoinder and non-joinder of parties.
Neither misjoinder nor non-joinder of parties is a
ground for dismissal of the action.
Objections to defects in parties should be made at
the earliest opportunity – the moment such defect
becomes apparent – by a MOTION TO STRIKE THE
NAMES OF THE PARTIES impleaded.
If there is misjoinder, a separate action should be
brought against the party misjoined.
The absence of an indispensable party renders all
subsequent actions of the court null and void for want
of authority to act, not only as to the absent parties
but even as to those present.
MISJOINDER AND NON-JOINDER OF PARTIES
The Rules of Court prohibit the dismissal of a suit on the
ground of non-joinder or misjoinder of parties and
allows the amendment of the complaint at any stage of
the proceedings, through motion or on order of the court
on its own initiative (Sec. 11, Rule 3; Rep. v.
Sandiganbayan, G.R. No. 152154, July 15, 2003).
However, when the order of the court to implead an
indispensable party goes unheeded, the court may
order the dismissal of the case. The court is fully clothed
with the authority to dismiss a complaint due to the
fault of the plaintiff as when, among others, he does not
comply with the order of the court (Riano, 2014, citing
Sec. 3, Rule 17; Plasabas v. CA, G.R. No. 166519, March
21, 2009).
Requisites of class suit
1. Subject matter of the controversy is one of
common or general interest to many persons;
2. Parties affected are so numerous that it is
impracticable to bring them all before the
court;
3. Parties bringing the class suit are sufficiently
numerous or representative of the class and
can fully protect the interests of all concerned;
and
4. Representatives sue or defend for the benefit
of all (Sec. 12, Rule 3; Sulo ng Bayan v.
Araneta, G.R. No. L- 31061, August 17, 1976)
(2005 Bar).
NOTE: There is no common or general interest in the
reputation of a specific individual (Newsweek, Inc. v. IAC
G.R. No. L-63559, May 30, 1986).

MIS-JOINDER OF NON-JOINDER OF PARTIES
PARTIES
He is made a party to an He is supposed to be joined
action although he but is not impleaded in the
should not be impleaded action (Riano, 2014).
(Riano, 2014)
Whenever in any pleading
If there is a claim against in which a claim is asserted
a party misjoined, the a necessary party is not
same may be severed joined, the pleader shall set
and proceeded with forth his name, if known,
separately (Sec. 11, Rule and shall state why he is
3) omitted. Should the court
find the reason
unmeritorious, it may order
the inclusion of the omitted
necessary party if
jurisdiction over his person
may be obtained (Sec. 9,
Rule 3).
Neither misjoinder nor non-joinder of parties is a
ground for the dismissal of an action. Parties may be
dropped or added by the court on motion of any party
or motu proprio at any stage of the action and on such
terms as are just (Sec. 11, Rule 3).
However, even if neither is a ground for dismissal of the
action, the failure to obey the order of the court to drop
or add a party is a ground for the dismissal of the
complaint based on the failure of the plaintiff to comply
with a court order (Sec. 3, Rule 17; Riano, 2014).
Section 12. Class suit.
A civil case instituted for the cancellation of existing
timber license agreements in the country by petitioners
in behalf of themselves and others who are equally
concerned about the preservation of the country’s
resources is indeed a class suit. The subject matter of
the complaint is of common and general interest not
just to several, but to all citizens of the Philippines
(Oposa v. Factoran, G.R. No. 101083, Juy 30, 1993).
A class suit would not lie in an action for recovery of real
property where each of the defendants has an interest
only in the particular portion of the land he is actually
occupying, and not in the portions individually occupied
by the other defendants. They do not have a common or
general interest in the subject matter of the controversy
(Ortigas & Company, Limited Partnership v. Hon.
Vivencio M. Ruiz et al.G.R. No.L-33952, March 9, 1987).
NOTE: Even if the parties are numerous, there must be a
community of interest for a class suit because the
subject matter of the controversy must be of common
interest among all of them. If the class suit is not
proper, the remedy of the parties is either to bring suit
individually, or join them all as parties under the rule on
permissive joinder of parties.
Class Suit Permissive Joinder of
Parties
There is one single There are multiple
cause of action causes of action
pertaining to separately belonging
numerous persons to several persons.

CLASS SUIT

It is an action where one or some of the parties may SUITS AGAINST ENTITIES WITHOUT JURIDICAL
sue for the benefit of all if the requisites for said action PERSONALITY
are complied with (Riano, 2014).
When two or more persons not organized as an entity
with juridical personality enter into a transaction, they
may be sued under the name by which they are generally
or commonly known. In the answer of such defendant, property and suits
the names and addresses of the persons composing said by reason of the
entity must all be revealed (Sec. 15, Rule 3). alleged tortuous
acts of the
NOTE: Persons associated in an entity without juridical defendant (Board
personality, however, cannot sue under such name, of Liquidators v.
because, as stated in the Rules, its authority to be a Kalaw, G.R. No. L-
party is confined only to being a defendant, as is 18805, August 14,
evident from the words “they may be sued” (Riano, 1967);
2014).
6. Actions and
Effect of the death of a party upon a pending action obligations arising
(1999 Bar) - EFFECT OF DEATH OF PARTY-LITIGANT from delicts (Aguas
v. Llemos, 1962);
1. Purely personal action – the death of either of 7. Ejectment case
the parties extinguishes the claim and the (Tanhueco v.
action is dismissed. Aguilar, G.R. No. L-
30369, May 29,
2. Action that is not purely personal – claim is 1970).
not extinguished and the party should be
substituted by his heirs, executor or NOTE: The criterion for determining whether an action
administrator. In case of minor heirs, the court survives the death of a petitioner was elucidated in
may appoint a guardian ad litem for them. Bonilla v. Barcena to wit: The question as to whether an
action survives or not depends on the nature of the
3. Action for recovery of money arising from action and the damage sued for.
contract and the defendant dies before entry
of final judgment – it shall not be dismissed In the causes of action which survive, the wrong
but shall instead be allowed to continue until complained [of] affects primarily and principally
entry of judgment. A favorable judgment property and property rights, the injuries to the person
obtained by the plaintiff shall be enforced in being merely incidental, while in the causes of action
the manner provided in the rules for which do not survive, the injury complained of is to the
prosecuting claims against the estate of a person, the property and rights of property affected
deceased person (Sec. 20, Rule 3). being incidental (Memoracion Z. Cruz v. Oswaldo Z. Cruz,
G.R. No. 173292, September 1, 2010).
NOTE: The substitute defendant need not be
summoned. The order of substitution shall be served Purpose of non-survival of claims
upon the parties substituted for the court to acquire
jurisdiction over the substitute party (Riano, 2014). If The reason for the dismissal of the case is that upon the
there is notice of death, the court should await the death of the defendant a testate or intestate proceeding
appointment of legal representative; otherwise, shall be instituted in the proper court wherein all his
subsequent proceedings are void (1999 Bar). creditors must appear and file their claims which shall
be paid proportionately out of the property left by the
Claims that survive vs. claims that do not survive deceased (1 Moran, 1979).

Claims that survive Claims that do not Section 14. Unknown identity or name of defendant.
survive
1. Recovery of 1. Purely Requisites:
contractual money Personal (e.g.
1. there is a defendant
/claims (oral or Legal
written)(1999 Bar); Separation); 2. his identity or name is unknown
2. Recovery/protectio 2. Performance 3. fictitious name may be used because of
n of property rights; that cannot ignorance of defendant’s true name and
be purely said ignorance is alleged in the
3. Recovery of real or delegated; complaint
personal property 3. Claim that 4. identifying description may be used: sued
or interest; cannot be as unknown owner, heir, devisee, or other
instituted by designation
4. Enforcement of lien; executor or 5. amendment to the pleading when
admnistrator identity or true name is discovered
5. Recovery of 6. defendant is the defendant being sued, not
damages for an a mere additional defendant
injury to person or
Service of summons upon a defendant whose identity is
unknown may be made by publication in a newspaper
of general circulation in accordance with Section 14 of
Rule 14.
Section 15. Entity without juridical personality as
defendant.
They may be sued under the name by which they
are generally known, but they cannot sue under such
name for lack of juridical personality.
The service of summons may be effected upon all the
defendants by serving upon any of them, or upon the
person in charge of the office or place of business
maintained under such name. (Sec. 8, Rule 14)
INSTANCES WHERE SUBSTITUTION OF PARTIES IS
PROPER:
Purpose and importance of substitution of the
deceased
The purpose behind the rule on substitution of parties is
the protection of the right of every party to due
process. It is to ensure that the deceased would
continue to be properly represented in the suit through
the duly appointed legal representative of the estate
(Torres v. CA, G.R. No. 120138, September 5, 1997; Vda.
De Salazar v. CA, G.R. No. 121510 November 23, 1995).
Effect of non-compliance with the rules on substitution
GR: It renders the proceedings of the trial court infirm
because the court acquired no jurisdiction over the
person of the legal representative (Brioso v. Rili-
Mariano, G.R. No. 132765, January 31, 2003). Non-
compliance therewith results in the undeniable violation
of the right to due process of those who, though not
duly notified of the proceedings, are substantially
affected by the decision rendered therein (Vda. De
Salazar v. CA, G.R. No. 121510, November 23, 1995).
XPNs:
1. Even if there is non-compliance with the rules
on substitution but the heirs themselves
voluntarily appeared, participated in the case
and presented evidence in defense of
deceased defendant, the action does not
deprive the court of jurisdiction (Vda. De
Salazar v. CA, G.R. No. 121510, November 23,
1995).
2. In ejectment cases where the counsel fails to
inform the court of the death of his client and
thereby results to the non-substitution of the
deceased by his legal representatives, the
action does not deprive the court of
jurisdiction. The decision of the court is
nevertheless binding upon the successors-in-
interest of the deceased. A judgment in an
ejectment case may be enforced not only
against defendants but also against the
members of their family, their relatives, or
privies who derived their right of possession
from the deceased defendant (Vda. De Salazar
v. CA, G.R. No. 121510, November 23, 1995
citing Florendo Jr. v. Coloma, G.R. No. L-60544,
May 19, 1984).
DISTINCTION BETWEEN REAL PARTY IN INTEREST AND
LOCUS STANDI
Doctrine of locus standi
This doctrine requires a litigant to have a material
interest in the outcome of the case.
Since the rule is a mere procedural technicality, the
Court has waived or relaxed the rule, allowing persons
who may not have been personally injured by the
operation of a law or a governmental act. The Court has
laid out the bare minimum norm to extend the standing
to sue to the “non-traditional suiters” as such:
1. Taxpayers – there must be a claim of illegal
disbursement of public funds, or that the tax
measure is unconstitutional;
2. Voters – there must be a showing of obvious
interest in the validity of the law in question;
3. Concerned citizens – there must be a showing
that the issues raised are of transcendental
importance, which must be settled early; and
Legislators – there must be a claim that the official
action complained of infringes on their prerogative
as legislators (Funa v. Agra, G.R. No. 191644,
February 19, 2013).
A. Death of party; duty of counsel (Sec. 16)
This provision applies where the claim is not
thereby extinguished as in cases involving
property and property rights such as:
1. recovery of real and personal property
against the estate.
2. enforcement of liens on such properties
3. recovery for an injury to person or
property by reason of tort or delict
committed by the deceased.
 In this case, the heirs will be substituted for
the deceased OR if no legal representative
is named then the court will order the
opposing party to procure the appointment
of an executor or administrator for the
estate of the deceased.
 In case of minor heirs, the court may
appoint a guardian ad litem for them.
  The substitute defendant need not be
summoned. The ORDER OF
SUBSTITUTION shall be served upon the
parties substituted for the court to acquire
jurisdiction over the substitute party
 If there is failure to notify the fact of
death: the case may continue and
proceedings will be held valid, and
judgment will bind the successors in
interest.
B. Death or separation of a party who is a public
officer (Sec. 17)
lifetime or the liability for which had
been assumed by or is imputable to
him.
If defendant dies before entry of final judgment in
the court where it was pending at that time, the
action shall not be dismissed but shall be allowed to
continue until entry of final judgment thereon.
However, execution shall not issue in favor of the
winning party. It should be filed as a claim against the
estate of the decedent.

Section 21. Indigent party.

 The action may be maintained by and
against his successor.
 The action contemplated here is one brought
against the public officer in his official
capacity.
Indigent – one who has no property or income
sufficient for his support aside from his labor, even
if he is self- supporting when able to work and in
employment. He need not be a pauper to entitle
him to litigate in forma pauperis.

C. Supervening Incompetence or incapacity of a
party (Sec. 18)
The action shall continue to be prosecuted by or
against him, personally or assisted by the
corresponding guardian.
While the authority to litigate as an indigent party may
be granted upon an ex parte application and hearing,
it may be contested by the adverse party at any time
before judgment is rendered.

D. Transfer of interest (Sec. 19)

 Substitution of parties in this section is NOT

mandatory, it being permissible to continue
the action by or against the original party
in case of transfer of interest pendent lite.

 Unless the substitution by or the joinder of

the transferee is required by the court,
failure to do so does not warrant the
dismissal of the case. A transferee
pendente lite is a proper, and not an
indispensable party.
 The case will be dismissed if the interest of
plaintiff is transferred to defendant UNLESS
there are several plaintiffs, in which case,
the remaining plaintiffs can proceed with
their own cause of action.

Section 20. Action on contractual money claims.

Requisites:

1. The action must primarily be for

recovery of money, debt, or interest
thereon, and not where the money
sought therein is merely incidental
thereto.
2. The claim, subject of the action, arose
from a contract, express or implied,
entered into by the decedent in his
 RULE 4 The rule on VENUE IS NOT APPLICABLE
in cases
Venue of Actions
1) Where a specific rule or law provides
otherwise; or
VENUE – the place where an action must be instituted 2) The parties have validly agreed in
and tried. writing before the filing of the action on
the exclusive venue thereof (Sec. 4).
VENUE
VENUE vs. JURISDICTION Requisites for venue to be exclusive
VENUE JURISDICTION
1. The place, or 1) Power of the Stipulations on venue
geographical court to hear
area where an and decide a The parties may agree on a specific venue which could
action is to be case be in a place where neither of them resides (Universal
filed and tried Robina Corp. v. Lim, G.R. No. 154338, October 5, 2007).
(Manila Railroad The parties may stipulate on the venue as long as the
Company v. agreement is
Attorney 1. A valid written agreement
General, 20 Phil 2. Executed by the parties before the filing
523) of the action; and
Can only be Can be brought up at any 3. Exclusive nature of the venue.
objected to stage of the proceedings
before the
other party files NOTE: A stipulation on venue is void and unenforceable
a responsive when it is contrary to public policy (Sweet Lines v. Teves,
pleading G.R. No. 28324, November 19, 1978).
(Answer)
In the absence of qualifying or restrictive words, venue
May be waived by:
stipulation is merely permissive meaning that the
a) Failure to object Cannot be waived
stipulated venue is in addition to the venue provided
through a
for in the rule (Polytrade Corp. vs. Blanco 30 SCRA 187)
motion to
dismiss or
through an NOTE: In civil cases, venue is not a matter of jurisdiction
affirmative
(Hrs. of Lopez v. de Castro, 324 SCRA 591). Venue
defense; or
becomes jurisdictional only in a criminal case. In the
b) Stipulation of
latter case, where the Information is filed not in the
the parties.
2. Matter of 2) Matter of place where the offense was committed, the
procedural law substantial law information may be quashed for lack of jurisdiction over
the offense charged (Sec. 3, Rule 117).
3. May be 3) Cannot be the
Either mandatory or permissive
stipulated by subject of the
the parties agreement of Written stipulations as to venue are either mandatory or
the parties
permissive. In interpreting stipulations, an inquiry must
4. Establishes a 4) Establishes a
be made as to whether or not the agreement is
relation relation
restrictive in the sense that the suit may be filed only in
between the between the
plaintiff and court and the the place agreed upon, or permissive in that the parties
defendant, or subject matter. may file their suits not only in the place agreed upon,
petitioner and but also in the places fixed by the Rules (Supena v. De la
respondent. Rosa, A.M. No. RTJ-93-1031, January 28, 1997).
GR: Not a ground for a It is a ground for a motu
motu proprio dismissal proprio dismissal in case When exclusive
(Riano, 2014). of lack of jurisdiction over
Venue is exclusive when the stipulation clearly indicates,
XPN: In cases subject to the subject matter
through qualifying and restrictive words that the parties
summary procedure (Riano, 2014; Sec. 1, Rule
(Ibid.). 9). deliberately exclude causes of actions from the
operation of the ordinary permissive rules on venue and
that they intended contractually to designate a specific
venue to the exclusion of any other court also
competent and accessible to the parties under the
ordinary rules on venue of actions (Philippine Banking
Corp. v. Tensuan, G.R. No. 106920, December 10, 1993).
Effect of a stipulation on venue agreed upon by parties
The mere stipulation on the venue of an action is not
enough to preclude parties from bringing the case in
other venue. In the absence of restrictive words, the
stipulation should be deemed as merely an agreement
on an additional forum, not as limiting venue. While
they are considered valid and enforceable, venue
stipulations in a contract do not, as a rule, supersede the
general rule set forth in Rule 4 in the absence of
qualifying or restrictive words. If the language is
restrictive, the suit may be filed only in the place
agreed upon by the parties (Spouses Lantin v. Lantion,
G.R. No. 160053, August 28, 2006).
NOTE: Although venue may be changed or transferred
from one province to another by agreement of the
parties in writing pursuant to Rule 4, Section 3 of the
Rules of Court, such an agreement will not be held valid
where it practically negates the action of the claimants
(Sweet Lines, Inc. v. Hon. Bernardo Teves, GR. No. L-
37750, May 19,
Section 1. Venue of real actions.
If property is located at the boundaries of two places:
Can file one case in either place at the
option of the plaintiff.
If case involves two properties located in two different
places:
1. If the properties are the object of the
same transaction, file it in any of the two
places.
2. If they are the subjects of two distinct
transactions, separate actions should be
filed in each place unless properly joined.
Section 2. Venue of personal actions. RESIDENCE – the
place where the party actually resides with
continuity and consistency, whether permanent or
temporary, at the time the action is instituted.
Means of waiving venue:
1. failure to object via motion to dismiss
2. affirmative relief sought in the court
where the case is filed
3. voluntary submission to the
court where the case is filed
4. laches
Purpose of rules on fixing venue
They are designed to insure a just and orderly
administration of justice, or the impartial and even
handed determination of every action and proceeding
(Esuerte v. CA, G.R. No. 53485, February, 6, 1991;
Saludo, Jr. v. American Express International, Inc., G.R.
No. 159507, April 19, 2006).
The situs for bringing real and personal actions are
fixed by the rules to attain the greatest convenience
possible to the party litigants by taking into
consideration the maximum accessibility to them of the
courts of justice (Bartiua v. CA, G.R. No. 100748,
February 3, 1997).
Q: Can a complaint be dismissed by the court motu
proprio based on improper venue?
A: NO. Improper venue is not one of the grounds
wherein the court may dismiss an action motu proprio
(Universal Corp. v. Lim, G.R. No. 154338, October 5,
2007). Unless and until the defendant objects to the
venue in a motion to dismiss, the venue cannot be truly
said to be improperly laid, because the venue although
technically wrong may be acceptable to the parties for
whose convenience the rules on venue have been
devised (Dacuycuy v. IAC, 195 SCRA 641).
VENUE OF REAL ACTIONS
The venue is local, hence the venue is the place where
the real property involved or, any portion thereof, is
situated (Sec. 1, Rule 4) (Bar 2008).
The venue is transitory; hence the venue is the residence
of the plaintiff or defendant, at the option of the plaintiff
(Sec. 2, Rule 4).
NOTE: The residence of a person must be his personal,
actual or physical habitation or his actual residence or
abode. It does not mean fixed permanent residence to
which when absent, one has the intention of returning.
Actual residence may in some cases be the legal
residence or domicile, but for purposes of venue, actual
residence is the place of abode and not necessarily legal
residence or domicile. Actual residence signifies
personal residence, ie., physical presence and actual stay
thereat. This physical presence, nonetheless, must be
more than temporary and must be with continuity and
consistency (Jose Baritua v. CA, et al. G.R. No. 108547,
February 3, 1997).
In personal actions, if the plaintiff does not reside in the
Philippines, the complaint in such case may only be filed
in the court of the place where the defendant resides.
There can be no election as to the venue of the filing of
a complaint when the plaintiff has no residence in the
Philippines. In such case, the complaint may only be filed
in the court of the place where the defendant resides
(Theodore and Nancy Ang v. Spouses Alan and Em Ang
G.R. No. 186993, August 22, 2012).
Q: A, a resident of Lingayen, Pangasinan sued X, a VENUE OF ACTIONS AGAINST NON-RESIDENTS
resident of San Fernando, La Union in the RTC of Quezon
1. Personal actions – the
City for the collection of a debt of P1 Million, X did not
venue is where the
file a motion to dismiss for improper venue but filed his plaintiff or any of the
answer raising therein improper venue as an affirmative principal plaintiffs
defense. He also filed a counterclaim for Php80, 000.00 resides, or where the
Defendant does not non-resident
against A for attorney’s fees and expenses for litigation. reside but is found in defendant may be
X moved for a preliminary hearing on said affirmative the Philippines found, at the election
defense. For his part, A filed a motion to dismiss the of the plaintiff. (Riano,
counterclaim for lack of jurisdiction. Rule on the 2014, citing Sec. 2,
affirmative defense of improper venue. (1998 Bar) Rule 4, Rules of Court).
2. Real actions – shall be
A: There is improper venue. The case is for a sum of commenced and tried
money which is a personal action. It must be filed in the in the proper court
which has jurisdiction
residence of either the plaintiff, which is in Pangasinan, over the area wherein
or of the defendant, which is in San Fernando, La Union the real property
(Sec. 2, Rule 4). involved, or a portion
thereof, is situated. (Id.
citing Sec. 1, Rule 4,
Section 3. Venue of actions against non- Rules of Court).
residents.
The action may be commenced
Defendant does not and tried in the court of the place
reside and is not where the plaintiff resides or
RULES found in the where the property or any portion
Philippines thereof is situated or found (Sec.
1. NON-RESIDENT FOUND IN THE PHIL. –
3, Rule 4).
a. for personal actions – where
the plaintiff resides; and NOTE: Unless the Court declares
b. for real actions – where the otherwise, it is submitted that a
property is located. liberal interpretation of Sec. 3,
Rule 4 – giving the plaintiff a
2. NON RESIDENT NOT FOUND IN THE choice of venue in actions
PHIL. – affecting any property of a non-
resident defendant who is not
An action may be filed only when
found in the Philippines – would
the case involves: well serve the interest of a
a. Personal status of plaintiff – resident plaintiff rather than of
venue: where plaintiff resides; the possible absconding non-
b. Any property of said resident defendant (Riano, 2014).
defendant located in the Phil.
– venue: where the property RATIONALE: A more liberal
or any portion thereof is interpretation of the rule would
save the plaintiff from going
situated or found.
through the rigors of travelling to
a distant place to file and
The Supreme Court has the power to order a change prosecute the action. A contrary
of venue to prevent a miscarriage of justice. interpretation would lead to an
unfortunate situation wherein the
Dismissal of Action for Improper Venue The court may defendant who refuses to pay a
not motu propio dismiss a complaint on the ground just debt would have the capacity
to cause so much inconvenience
of improper venue. An exception is provided in
to an aggrieved plaintiff (Riano,
Section 4 of the Revised Rule on Summary 2014).
Procedure
 RULES ON SUMMARY PROCEDURE IN CIVIL CASES The Court should not dismiss the complaint or
counterclaim if they are not verified. The requirement is
merely a formal one, and not jurisdictional. It should
Filing of verified
therefore simply direct the party concerned to have it
complaint with the MTC verified
PROHIBITED PLEADINGS / MOTIONS
UNDER THE RULE ON SUMMARY
PROCEDURE.
court may summon court may dismiss
the defendant the case outright 1. Motion to dismiss the
complaint or to quash the
complaint or information except
on the ground of lack of
W/in 10 days from If Defendant fails to
receipt of summons, jurisdiction over the subject
answer in 10 days – The
defendant answers, matter or failure to comply with
court, motu propio or on
incoporating plaintiff’s motion, may prior barangay conciliation
compulsory render judgment based on (referral to the Lupon)
counterclaim or facts alleged in the 2. Motion for a bill of particulars
crossclaim, and complaint w/o prejudice 3. Motion for a new trial or for
serves a copy on to R9, S3 (c) reconsideration of a judgment or
plaintiff
for reopening of trial
4. Petition for relief from judgment
5. Motion for extension of time
to file pleadings, affidavits, or
Answer to If plaintiff fails to any other paper
counterclaim and appear in prelim
crossclaim w/in 10 6. Memoranda
conference,
days 7. Petition for certiorari,
complaint may be
dismissed. mandamus, or prohibition
Defendant entitled against any interlocutory order
to decision based on issued by the court
Preliminary his counterclaim. All 8. Motion to declare defendant
conference w/in 30 crossclaims in default
dismissed. 9. Dilatory motions for
days after last
answer is filed postponement
10. Reply
11. Third party complaints
If sole defendant 12. Interventions
W/in 5 days after
fails to appear,
conference, court
plaintiff entitled to
issues record of The filing of a prohibited pleading will not suspend
judgment based on
preliminary the period to file an answer or to appeal.
complaint and what
conference
is proved therein
Although a motion to dismiss is a prohibited pleading,
its filing after the answer had already been submitted
W/in 10 days from does not constitute a pleading prohibited by the
receipt of order, summary rules. What the rules proscribe is a motion
submission by the to dismiss that would stop the running of the period
parties of affidavits to file an answer and cause undue delay.
and position papers
While a motion to declare the defendant in default is
prohibited by the rules on summary procedure, the
plaintiff may nevertheless file a motion to render
Rendition of judgment as may be warranted when the defendant fails
judgment w/in 30 to file an answer.
days from receipt of
last affidavit, or w/in The issuance of the pre-trial order is an important
15 days after last part of the summary procedure because it is its
clarificatory paper
receipt by the parties that begins the ten-day period to
submit the affidavits and other evidence.
TRIAL PROCEDURE IN CIVIL CASES
No trial date is set. No testimonial evidence is
required nor cross- examination of witnesses allowed.
All that is required is that within (10) days from
receipt by the parties of the court’s pre-trial order,
they shall submit
(1) the affidavits of their witnesses
(2) and other evidence on the factual issues set
forth in the pre-trial order, Together with
their position papers setting forth the law
and the facts relied upon by them.
 Judgments of inferior courts in cases
governed by summary procedure are
appealable to the RTC.
 The decision of the RTC in civil cases
under this rule, including ejectment cases,
are IMMEDIATELY executory.
KATARUNGANG PAMBARANGAY LAW
(Title One, Book III, RA 7160)
No complaint, petition, action, or proceeding
involving any matter within the authority of the lupon
shall be filed or instituted directly in court or any other
government office for adjudication UNLESS
1. there has been a confrontation between
the parties before the lupon chairman or
pangkat, AND
2. that no conciliation or settlement has been
reached OR unless the settlement has been
repudiated by the parties thereto.
CASES NOT COVERED BY KATARUNGAN
PAMBARANGAY
1. Where one party is the government or
any subdivision or instrumentality
thereof;
2. Where one party is a public officer or
employee, and the dispute relates to
the performance of his official functions;
3. Offenses punishable by imprisonment
exceeding 1 year or a fine exceeding
P5,000.00;
4. Offenses where there is no private
offended party;
5. Where the dispute involves real
properties located in different cities or
municipalities UNLESS the parties
thereto agree to submit their
differences to amicable settlement by an
appropriate lupon;
6. Disputes involving parties who actually
reside in barangays of different cities or
municipalities, EXCEPT where such
barangay units adjoin each other and
the parties thereto agree to submit
their differences to amicable settlement
by an appropriate lupon;
7. Such other classes of disputes which the
President may determine in the
interest of justice.
However, the court may, at any time before trial, motu
proprio refer the case to the lupon concerned for
amicable settlement, non criminal cases not falling
within the authority of the latter.
While the dispute is under mediation, conciliation, or
arbitration, the prescriptive periods for offenses and
cause of action under existing laws shall be
interrupted upon filing of the complaint with the
punong barangay.
THE PARTIES MAY GO DIRECTLY TO COURT IN THE
FOLLOWING INSTANCES:
1. Where the accused is under detention;
2. Where the person has otherwise been
deprived of personal liberty calling for
habeas corpus proceeding;
3. Where the actions are coupled with
provisional remedies such as preliminary
injunction, attachment, delivery of
personal property, and support pendente
lite; and
4. Where the action may otherwise be
barred by the statute of limitations.
The parties may, at any stage of the proceedings, agree
in writing to have the matter in dispute decided by
arbitration by either the Punong Barangay or Pangkat.
In such case, arbitrational hearings shall follow order
of adjudicative trials.
The settlement and arbitration agreement may be
repudiated on the ground that consent is vitiated by
fraud, violence, or intimidation. Such repudiation shall
be sufficient basis for the issuance of the certification
for filing a complaint in court or any government
office for adjudication.
RULES ON VENUE UNDER THE KATARUNGANG RULE 5
PAMBARANGAY LAW
1. Disputes between residents of the same Uniform Procedure In Trial Courts
barangay shall be brought for settlement
before lupon of said barangay
Section 1. Uniform procedure. — The procedure in the
2. Residents of different barangays within
Municipal Trial Courts shall be the same as in the
the same city or municipality – in the
Regional Trial Courts, except (a) where a particular
barangay where the respondent or any of
provision expressly or impliedly applies only to either of
the respondents reside at the election of
said courts, or (b) in civil cases governed by the Rule on
the complainant
Summary Procedure. (n)
3. Disputes involving real property or any
interest therein- where real property or
larger portion thereof is situated Section 2. Meaning of terms. — The term "Municipal
4. Disputes arising at the WORKPLACE where Trial Courts" as used in these Rules shall include
the contending parties are employed or at Metropolitan Trial Courts, Municipal Trial Courts in
the INSTITUTION where such parties are Cities, Municipal Trial Courts, and Municipal Circuit Trial
enrolled for study – in the barangay where Courts. (1a)
such workplace or institution located.
 RULE 6

Section 4. Answer
Kinds Of Pleadings

ANSWER – the pleading where the defendant sets

Section 1. Pleadings defined.
forth his affirmative or negative defenses.
PLEADINGS – the written allegations of the parties
of their respective claims and defenses submitted to
the court for appropriate judgment.
A motion to dismiss is NOT a pleading. It is the
allegations or averments in the pleading that
determines the jurisdiction of the court and the
nature of the action.
2 kinds of defenses that may be set forth in
the answer:
a. AFFIRMATIVE DEFENSES – allegation of a
new matter which while hypothetically
admitting the material allegations in the
pleading, would nevertheless prevent or bar
recovery by him. It is in the nature of
Confession and Avoidance

PLEADING MOTION b. NEGATIVE DEFENSES – specific denial of the

It relates to the cause An application for an material facts or facts alleged in the pleading
of action; interested in order not included in
the matters to be the judgment INSUFFICIENT DENIAL OR DENIAL AMOUNTING TO
included in the ADMISSION
judgment.
May be initiatory Cannot be initiatory
1. General denial
as they are always
2. Denial in the form of a negative
made in a case
pregnant
already filed in court
Always filed before May be filed even
JUDGMENT AFTER JUDGMENT Section 6. Counterclaim

COUNTERCLAIM – any claim which a defending party

Section 3. Complaint. may have against an opposing party.

COMPLAINT – is a concise statement of the ultimate
facts constituting the plaintiff’s cause or causes of
action, with a specification of the relief sought, but it
may add a general prayer for such further relief as may
be deemed just or equitable.
ULTIMATE FACTS - essential facts constituting the
plaintiff’s cause of action.
Nature of counterclaim: A counterclaim is in the nature
of a cross-complaint. Although it may be alleged in
the answer, it is not part of the answer. Upon its filing,
the same proceedings are had as in the original
complaint. For this reason, it must be answered
within ten (10) days from service.
Section 7. Compulsory Counterclaim

What are NOT ultimate facts: RULES ON COUNTERCLAIM

1. Evidentiary or immaterial facts.
2. Legal conclusions, conclusions or inferences
of facts from facts not stated, or
incorrect inferences or conclusions from
facts stated.
3. The details of probative matter or
particulars of evidence, statements of law,
inferences and arguments.
4. An allegation that a contract is valid or
void is a mere conclusion of law.
TEST OF SUFFICIENCY:
 if upon admission or proof of the facts
being alleged, a judgment may be properly
given. A fact is essential if it cannot be
stricken out without leaving the statement
of the cause of action insufficient.
A counterclaim before the MTC must be within the
jurisdiction of said court, both as to the amount and
nature thereof (De Chua vs. IAC)
DOCTRINE OF ANCILLARY JURISDICTION
In an original action before the RTC, the counterclaim
may be considered compulsory regardless of the
amount (Sec. 7, Rule 6 ).
If a counterclaim is filed in the MTC in excess of its
jurisdictional amount, the excess is considered waived
(Agustin vs. Bacalan). In Calo vs. Ajax Int’l, the
remedy where a counterclaim is beyond the
jurisdiction of the
MTC is to set off the claims and file a separate
action to collect the balance.
 COMPULS0RY PERMISSIVE claim, in which
COUNTERCLAIM COUNTERCLIAM case, it is called a
One which arises out of or It does not arise out of nor compulsory
counterclaim, or it
is necessarily connected is it necessarily connected
may not, in which
with the transaction or with the subject matter of case it is called a
occurrence that is the the opposing party’s permissive
subject matter of the claim. counterclaim.
opposing party’s claim.

It does not require for its It may require for its SECTION 10. Reply.
adjudication the presence adjudication the presence
of third parties of whom of third parties over whom
REPLY - the response of the plaintiff to the defendant’s
the court cannot acquire the court cannot acquire
answer
jurisdiction. jurisdiction.
It is barred if not set up in It is NOT barred even if
the action. not set up in the action EFFECT OF FAILURE TO REPLY: new facts that
Need not be answered; no Must be answered, were alleged in the answer are deemed controverted.
default. otherwise, the defendant Hence, the filing of the reply is optional except
can be declared in default. for the denial of the genuineness and due execution
of an actionable document used as defense in the
GENERAL RULE: A compulsory counterclaim not set up answer.
in the answer is deemed barred.
Section 11. Third (fourth, etc.) – party complaint.
EXCEPTION: If it is an after-acquired counterclaim, that
is, such claim matured after filing of the answer. In
this case, it may be pleaded by filing an amended
THIRD (FOURTH,ETC.) – PARTY COMPLAINT – a
answer or a supplemental answer or pleading.
claim that a defending party may, with leave of court,
file against a person not a party to the action for
Section 8. Cross-claim contribution, indemnity, subrogation or any other relief,
in respect of his opponent’s claim.
CROSS-CLAIM – any claim by one party against
a co-party arising out of the transaction or
occurrence that is the subject matter either of the THIRD PARTY COMPLAINT COMPLAINT
original action or counterclaim. INTERVENTION
Brings into the action a SAME
third person who was not
If it is not set up in the action, it is barred,
originally a party.
except: Initiative is with the Initiative is with a non-
1. when it is outside the jurisdiction of the court person already a party to party who seeks to join
or; the action. the action.
2. if the court cannot acquire jurisdiction over
third parties whose presence is necessary
for the adjudication of said cross-claim. TESTS to determine whether the third- party
complaint is in respect of plaintiff’s claim:
In which case, the cross-claim is considered 1. Where it arises out of the same
permissive. transaction on which the plaintiff’s claim is
based, or, although arising out of
The dismissal of the complaint carries with it the another or different transaction, is
dismissal of a cross-claim which is purely defensive, connected with the plaintiff’s claim;
but not a cross-claim seeking affirmative relief. 2. Whether the third-party defendant would
be liable to the plaintiff or to the
CROSS CLAIM COUNTER-CLAIM 3RD PARTY
defendant for all or part of the plaintiff’s
COMPLAIN
Against a co- Against an
claim against the original defendant; and
Against a
party opposing party 3. Whether the third-party defendant may
person not a
assert any defenses which the third-party
party to the
plaintiff has or may have to the plaintiff’s
action
claim.
Must arise out of May arise out of Must be in
the transaction or be necessarily respect of the
that is the subject connected with opponent’s Leave of court to file a third-party complaint may
matter of the orig. the transaction or be obtained by motion under Rule 15.
claim (Plaintiff)
action or of a that is the subject
counterclaim matter of the
therein. opposing party’s
Summons to new party (third, fourth, etc.) is needed
for the court to obtain jurisdiction over his person,
since he is not an original party.
Where the trial court has jurisdiction over the main
case, it also has jurisdiction over the third party
complaint, regardless of the amount involved as a
third party complaint is merely auxiliary to and is a
continuation of the main action (Republic v. Central
Surety & Insurance Co. L-27802, Oct. 26, 1968).
Section 12. Bringing new parties. Distinguished
from 3rd-party complaint:
A 3rd-party complaint is proper when not one of the
third-party defendants therein is a party to the main
action. But if one or more of the defendants in a
counterclaim or cross-claim is already a party to the
action, then the other necessary parties may be
brought in under this section.
RULE 7
Parts of a Pleading
Section 1. Caption. — The caption sets forth the name of
the court, the title of the action, and the docket number
if assigned.
The title of the action indicates the names of the parties.
They shall all be named in the original complaint or
petition; but in subsequent pleadings, it shall be
sufficient if the name of the first party on each side be
stated with an appropriate indication when there are
other parties.
Their respective participation in the case shall be
indicated. (1a, 2a)
Section 2. The body. — The body of the pleading sets
fourth its designation, the allegations of the party's
claims or defenses, the relief prayed for, and the date of
the pleading. (n)
(a) Paragraphs. — The allegations in the body
of a pleading shall be divided into paragraphs
so numbered to be readily identified, each of
which shall contain a statement of a single set
of circumstances so far as that can be done
with convenience. A paragraph may be
referred to by its number in all succeeding
pleadings. (3a)
(b) Headings. — When two or more causes of
action are joined the statement of the first
shall be prefaced by the words "first cause of
action,'' of the second by "second cause of
action", and so on for the others.
When one or more paragraphs in the answer
are addressed to one of several causes of
action in the complaint, they shall be prefaced
by the words "answer to the first cause of
action" or "answer to the second cause of
action" and so on; and when one or more
paragraphs of the answer are addressed to
several causes of action, they shall be prefaced
by words to that effect. (4)
(c) Relief. — The pleading shall specify the
relief sought, but it may add a general prayer
for such further or other relief as may be
deemed just or equitable. (3a, R6)
(d) Date. — Every pleading shall be dated. (n)
 Section 3. Signature and address.
The signature of the counsel is a certification
that:
1. That he has read the pleading;
2. There is good ground to support it; and
3. It is not interposed for delay Only the
original copies must be signed.
EFFECT OF WILFULL AND DELIBERATE FORUM
SHOPPING:
1. shall be ground for summary dismissal of
the case with prejudice;
2. Direct contempt

UNSIGNED PLEADING may be stricken out as

sham and false, and the action may proceed as
though the pleading has not been served. It has no
legal effect.

Section 4. Verification.

 Pleadings need NOT be verified EXCEPT

when otherwise provided by the law or
rules.
 A verification must now be based on personal
knowledge or based on authentic records.

Section 5. Certification against forum shopping.

FORUM SHOPPING – the filing of a two or more cases

based on the same cause of action in different
courts for the purpose of obtaining a favorable
decision in either.

Test to determine the presence of forum-

shopping: whether in the two (or more) cases
pending, there is identity of

(a) parties,
(b) rights or causes of action, and
(c) reliefs sought.

 The certificate is to be executed by

petitioner, and not by counsel.
 Required ONLY for complaints or initiatory
pleadings.
 Certificate of non-forum shopping is not
required in a compulsory counterclaim (UST
Hosp. vs. Surla).

EFFECT OF FAILURE TO COMPLY:

1. Not curable by amendment of said
pleading
2. shall be cause for the dismissal of the
case, without prejudice, unless otherwise
provided, upon motion and after hearing

EFFECT OF SUBMISSION OF FALSE CERTIFICATION

OR NON-COMPLIANCE WITH THE UNDERTAKINGS
THEREIN:
1. indirect contempt
2. administrative and criminal actions
 RULE 8 Where the actionable document is properly alleged,
the failure to specifically deny under oath the same
Manner of Making Allegations in Pleadings results in:
1. The admission of the genuineness and due
execution of said document, EXCEPT that
Pleadings should state ultimate facts essential to the
an oath is not required:
right of action
a. When the adverse party was not a
ULTIMATE FACTS: those which directly form the
party to the instrument; and
bases of the right sought to be enforced or the defense
b. When an order for the inspection of
relied upon.
the original document was not
complied with.
If the ultimate facts are NOT alleged, the cause of
action would be insufficient.
2. The document need not be formally
offered in evidence.
Section 4. Capacity.
GENUINENESS
Capacity to sue and be sued either personally or in That the document is not spurious, counterfeit, or
representative capacity must be specifically averred by of different import on its face from the one
the party suing or being sued, and specifically executed by the party, or that the party whose
denied by the party questioning such capacity. signature it bears has signed it and that at the
time it was signed it was in words and figures
Capacity is challenged by specific denial, motion to exactly as set out in the pleadings.
dismiss or bill of particulars.
DUE EXECUTION
Section 5. Fraud, mistake, condition of the condition That the document was signed voluntarily and
knowingly by the party whose signature appears
FACTS THAT MAY BE AVERRED GENERALLY: thereon.
Conditions precedent (BUT there must still be an
allegation that the specific condition precedent has Defenses that the opposing party may set up even
been complied with, otherwise, it will be dismissed for after failure to deny under oath:
failure to state a cause of action) 1. Mistake;
Malice, intent, knowledge, or other condition of the 2. fraud;
mind 3. compromise;
Judgments of domestic or foreign courts, tribunals, 4. payment;
boards, or officers (no need to show jurisdiction)
5. prescription;
Official document or act
6. want or illegality of consideration; or
7. estoppel
FACTS THAT MUST BE AVERRED PARTICULARLY:
Circumstances showing fraud or mistake in all
averments of fraud or mistake BUT the following defenses are waived:
Capacity
a. forgery in the signature;
b. want of authority of an agent or
ACTIONABLE DOCUMENT – written instrument corporation;
upon which the action or defense is based.
c. want of delivery; or
d. the party charged signed the
Two permissible ways of pleading an actionable instrument in some other capacity
document:
1. By setting forth the substance of such
document in the pleading and attaching Section 10. Specific Denial
said document thereto as an annex
(contents of the document annexed are
controlling, in case of variance in the THREE WAYS OF MAKING A SPECIFIC DENIAL:
substance of the document set forth in
the pleading and in the document 1. By specifically denying each material
attached); or allegation of the other party and,
2. By setting forth said document verbatim whenever possible, setting forth the
in the pleading. substance of the matters relied upon for
such denial;
2. Part admission or part denial;
3. By an allegation of lack of knowledge or
information sufficient to form a belief
as to the truth of the averment in the
 opposing party’s pleading (must be
made in good faith).

A denial must not be general. A general denial is

regarded as an admission of the facts stated in the
complaint and entitles plaintiff to a judgment
on the pleadings.

NEGATIVE PREGNANT – a form of denial which at

the same time involves an affirmative implication
favorable to the opposing party; It is in effect, an
admission of the averment to which it is directed;
It is said to be a denial pregnant with an admission
of the substantial facts in the pleading responded
to.

Section 11. Allegation not specifically denied

deemed admitted.

GENERAL RULE: Allegations NOT specifically denied

deemed admitted (such as allegations of usury in
the complaint, and the authenticity and due
execution of actionable documents).

EXCEPTIONS:
1. Allegations as to the amount of
unliquidated damages
2. Immaterial allegations;
3. Incorrect conclusions of fact.
 RULE 9

The court cannot motu proprio declare a defendant

Effect of Failure to Plead
in default. For defendant to be declared in
default, the plaintiff must:
Section 1. Defenses and objections not pleaded. 1. File a MOTION to declare defendant in
default
GENERAL RULE: Defenses and objections that are
2. Prove that summons have been
not pleaded in a MOTION TO DISMISS or in the
properly served on the defendant
answer are deemed waived.
3. Prove that the defendant really failed
to answer within the proper period.
EXCEPTIONS (not waived even if not raised):

1. Lack of jurisdiction over the subject

CAUSES OF DEFAULT
matter
2. Litis pendentia
1. Failure to answer within the proper
3. Res judicata
period
4. Prescription of the action
2. Non-compliance with the order of the
court to file a bill of particulars or in
These defenses may be raised at any stage of the case of insufficient compliance
proceedings even for the first time on appeal therewith (Rule 12, Section 4)
EXCEPT that lack of jurisdiction over the subject 3. Refusal to comply with the modes of
matter may be barred by laches. (Tijam vs. discovery (Rule 29, Section 3, par. c)
Sibonghanoy). 4. Failure to furnish plaintiff with a copy of
the answer

The presence of these grounds authorizes the court

to motu proprio dismiss the claims. These grounds
must, however, appear from the pleadings or the
evidence on record.
Section 3.
If the defendant was declared in default upon an
original complaint, the filing of the amended
complaint resulted in the withdrawal of the
original complaint, hence, the defendant was
entitled to file answer to the amended complaint
as to which he was not in default.

DEFAULT – the failure of the defendant to answer EFFECT OF ORDER OF DEFAULT:

within the proper period. It is not his failure to appear
nor failure to present evidence. 1. While the party in default cannot take part in
the trial, he is nonetheless entitled to notice
of subsequent proceedings.
2. He may still be called on as a witness, in
ORDER OF JUDGMENT BY
behalf of the non- defaulting defendants.
DEFAULT DEFAULT
issued by the court, Rendered by the court
on plaintiff’s motion following a default order
for failure of the or after it received, ex
defendant to file his parte, plaintiff’s
responsive pleading evidence.
seasonably.
Interlocutory – not Final – appealable
appealable

NO default may be declared in the following

actions:
1. Annulment of marriage
2. Declaration of nullity of marriage
3. Legal Separation
4. Special civil actions of certiorari,
prohibition and mandamus where
comment instead of an answer is
required to be filed
 DEFAULT:
1. The pleading asserting a claim states a
common cause of action against several
After the
defending parties
lapse of time 2. some of the defending parties answer
to file an and the others fail to do so
answer, the Motion denied:
3. the answer interposes a common
plaintiff may Defendant allowed defense
move to
to file an answer
declare the
REMEDY FROM JUDGMENT BY DEFAULT
defendant in
default

Judgment by default

Defendant
answers

Motion for new trial or reconsideration at

Motion granted: any time after service of judgment by default
Court issues order and within 15 (30) days therefrom
of default and
renders judgment,
or require plaintiff
Failure to file motion for new trial/
to submit evidence
Denial of said motion
ex parte.

Perfect appeal from said judgment by

default within the balance of said 15 (30)
- day period
maintains
order of
Before judgment Court
rendered, Failure to appeal without
defendant may:
move to set aside defendant’s faulk
order of default
upon
showing:FAME
Petition for relief from judgment within
He has a 60 days from notice of the judgment but
meritorious within 6 months from entry thereof
defense

Avail of Rule 65 in
proper cases
Annulment of Judgment under
Rule 47

Court sets aside

order of default and AWARDED IN A JUDGMENT BY DEFAULT:

defendant is allowed Presentation
to file an answer Shall not exceed the amount OR be different in kind
of plaintiff’s
from that prayed for NOR award unliquidated
evidence ex-
damages.
parte

Case set for

pre-trial
If plaintiff If plaintiff

proves his fails to prove

allegations, his allega-
judgment by tions, case is
default. dismissed.
 RULE 10 SUPPLEMENTAL PLEADINGS

Amended and Supplemental Pleadings A cause of action which accrued after the filing of
the original complaint may, in the discretion of the
court, be pleaded in a supplemental complaint if
Section 1. Amendments in general.
there was a valid subsisting cause of action at the time
the original complaint was filed.
When the complaint is amended, 2 situations may
arise:
1. If the complaint merely corrects or AMENDED SUPPLEMENTAL
modifies the original complaint, then the PLEADING PLEADING
action is deemed commenced upon the
filing of the original complaint;
2. If the amended complaint alleges a new Refers to facts existing Refers to facts arising
cause of action, then that cause of at the time of the after the filing of the
action is deemed commenced upon the commencement of the original pleading.
filing of the amended complaint. action.

Section 2. Amendments as a matter of right. Take the place of the Taken together with
original pleading. the original pleading.

Amendment for the first time is a matter of right

before a responsive pleading is filed, or in case of Can be made as a Always with leave of
a Reply, within 10 days after it was served. matter of right as when court
no responsive pleading
has yet been filed
Since a motion to dismiss is NOT a responsive
pleading, an amendment may be had even if an
order of dismissal has been issued as long as the Section 7. Filing of amended pleadings.
amendment is made before order of dismissal
becomes final.
The amended pleading supersedes the original
pleading.
Section 3. Amendments by leave of court.
An amendment which merely supplements and
amplifies facts originally alleged in the complaint
Instances when amendment by leave of court may relates back to the date of the commencement of
not be allowed: the action and is not barred by the statute of
limitations which expired after service of the original
1. When cause of action, defense or theory complaint.
of the case is changed;
2. Amendment is intended to confer EFFECT OF AMENDED PLEADING:
jurisdiction to the court; 1. Admissions in the superseded pleading
3. Amendment to cure a premature or non- can still be received in evidence against
existing cause of action; the pleader;
4. Amendment for purposes of delay. 2. Claims or defenses alleged therein but not
incorporated or reiterated in the
Section 5. Amendment to conform to or authorize amended pleading are deemed waived.
presentation of evidence.

1ST PART: refers to amendment to conform to
evidence when issues NOT raised by the pleadings
are tried with the express or implied consent of
the parties
- but failure to amend does NOT affect the result
of the trial of these issues
The amended or superseded, original pleading is
not expunged but remains on the record although
the admission of the amended pleading amounts
to withdrawal of the original pleading.

2ND PART: refers to amendment to authorize

presentation of evidence if evidence is objected
to at the trial on the ground that it is not within
the issues made by the pleadings.
 RULE 11
When to File Responsive Pleadings
Answer to the complaint
1. Within 15 days after service of summons,
UNLESS a different period is fixed by the Court
(Sec. 1)
2. In case the defendant is a foreign private
juridical entity:
a. if it has a resident agent – within
15 days after service of summons to
him
b. if it has no resident agent, but it
has an agent or officer in the
Philippines – within 15 days after
service of summons to said agent or
officer
c. if it has no resident agent nor agent
nor officer – in which case service of
summons is to be made on the
proper government office which will
then send a copy by registered mail to
the home office of the foreign
private corporation – within 30 days
after receipt of summons by the
home office of the foreign private
entity.
his answer, the original answer of the defendant
may serve as the answer to the amended
complaint, and hence, cannot be declared in
default.
Section 5. Answer to third (fourth, etc.)-party
complaint.
The third-party defendant is served with summons
just like the original defendant, hence, he also has
15, 30, 60 days from service of summons, as
the case may be, to file his answer.
Section 7. Answer to supplemental complaint.
Leave of court is required in filing, the court
may fix a different period for answering the
supplemental complaint in lieu of the
reglementary 10-day period.
Section 10. Omitted counterclaim or cross-claim.
The pleader may set up a counterclaim or cross-claim
by amendment before judgment when he fails to set
it up by reason of oversight, inadvertence, or
excusable neglect ort when justice requires. Leave of
court is necessary

3. In case of service of summons by publication –

within the time specified in the order granting
leave to serve summons by publication, which
shall NOT be less than 60 days after notice (Rule
14, Sec.15).

In case of a non-resident defendant on whom

extraterritorial service of summons is made, the
period to answer should be at least 60 days.

The court may extend the time to file the pleadings

BUT may NOT shorten them.

The 15-day period begins to run from receipt of

summons.

Section 3. Answer to amended complaint.

1. If the filing of an amended complaint

is a matter of right - within 15 days
from service of the amended complaint.
2. If the filing of the amended complaint
is NOT a matter of right – within 10 days
counted from notice of the court
order admitting the same.

If no new answer is filed by the defendant in case

an amendment has been made after he had filed
 RULE 12

Bill of Particulars

BILL OF PARTICULARS- a more definite statement of

any matter which appears vague or obscure in a
pleading.

PURPOSE: to aid in the preparation of a responsive

pleading.

Motion for bill of particulars must be filed within the

reglementary period for the filing of a responsive
pleading. The filing of a motion if sufficient in form
and substance, will interrupt the time to plead.

The motion for bill of particulars may be granted in

whole or in part as not all the allegations questioned
by the movant are necessarily ambiguous as to
require clarification.

A bill of particulars may be filed either in a separate

or an amended pleading.
A bill of particulars becomes part of the pleading which
it supplements.

EFFECTS OF MOTION
1. If the motion is granted, the movant can
wait until the bill of particulars is served
on him by the opposing party and then
he will have the balance of the
reglementary period within which to file
his responsive pleading.
2. If his motion is denied, he will still have
such balance of the reglementary period to
do so, counted from service of the order
denying his motion. In either case, he will
have at least
5 days to file his responsive pleading.

Effect of non-compliance:
1. If the Order is not obeyed or in case of
insufficient compliance therewith, the
court:
a. may order the striking out of the
pleading or the portion thereof
to which the order is directed;
or
b. make such order as it may deem
just.
2. If plaintiff, his compliant will be stricken
off and dismissed (Rule 12, sec. 4; Rule
17, sec. 3)
If defendant, his answer will be stricken off and his
counterclaim dismissed, and he will be declared in
default upon motion of the plaintiff (Rule 12, sec. 4;
Rule 17, sec. 4; Rule 9, sec. 3).
 RULE 13
Filing and Service of Pleadings, Judgments and Other
Papers
Notice given to a party who is duly represented
by counsel is a nullity, unless service thereof
on the party himself was ordered by the court or
the technical defect was waived.
Section 3. Manner of filing.
1. Personally
2. by registered mail
Filing by mail should be through the registry
service which is made by deposit of the pleading
in the post office, and not through other means
of transmission.
If registry service is not available in the locality of
either sender or addressee, service may be done
by ordinary mail.
If a private carrier is availed of by the party, the
date of actual receipt by the court of such
pleading and not the date of delivery to the
carrier, is deemed to be the date of the filing of
that pleading.
NOTE: PERSONAL and SUBSTITUTED
service as applied to pleadings have a
different meaning compared to summons under
Rule 14.
MODES OF SERVICE PLEADINGS
1. Personal service
a. Delivering personally a copy to the
party or his counsel or;
b. Leaving a copy in counsel’s office
with his clerk or with a person
having charge thereof or;
c. Leaving the copy between 8 a.m. and 6
p.m. at the party’s or counsel’s
residence, if known, with a person
of sufficient age and discretion
residing therein--- if no person found
in his office, or if his office is
unknown, or if he has no office.
2. SERVICE BY MAIL
If no registry service is available in the locality, of
either sender or addressee, service may be done by
ordinary mail.
3. SUBSTITUTED SERVICE
Delivering the copy to the clerk of court with proof
of failure of both personal and service by mail.
JUDGMENTS, FINAL ORDERS, RESOLUTIONS (Sec.9)
1. By personal service; or
2. By registered mail;
3. By publication, if party is summoned by
publication and has failed to appear in the
action.
They can be served only under the three modes.
They CANNOT be served by substituted service.
NOTE: A resort to modes other than by personal
service must be accompanied by a written explanation
why the service or filing was not done personally (Sec.
11).
Section 10. Completeness of service.
1. Personal service
a. by handling a copy to defendant; or
b. tendering him copy if he refuses;
c. complete upon actual delivery
Service by ordinary mail:
Complete upon expiration of 10 days
after mailing, unless the court provides
otherwise.
2. Service by registered mail:
a. Complete upon actual receipt by the
addressee; or
b. After 5 days from the date he
received the 1st notice of the
postmaster, whichever date is earlier.
Section 12. Proof of filing.
Filing is proved by its existence in the record of
the case.
 If it is not in the record, and:
 If filed personally: proved by the written or
stamped acknowledgment of its filing by the
clerk of court on a copy of the same; or
 If filed by registered mail: proved by
-the registry receipt and the affidavit of the
person who did the mailing.
Section 13. Proof of service
1. Proof of personal service:
a. Written admission of the party served;
or
b. Official return of the server; or
 c. Affidavit of the party serving.

2. Proof of service by ordinary mail: Affidavit

of the person mailing;

3. Proof of service by registered mail:

a. Affidavit, and
b. Registry receipt issued by the mailing
office.

Section 14. Notice of lis pendens.

LIS PENDENS - a notice of a pendency of the action

between the parties involving title to or right of
possession over real property.

 It serves as a warning to all persons,

prospective purchasers or encumbrancers of
the property in litigation to keep their hands
off the property in litigation unless they
are prepared to gamble on the result of the
proceedings.

 The defendant may also record a notice of lis

pendens when he claims an affirmative relief
in his answer.

Notice of lis pendens CANNOT be cancelled on an ex

parte motion or upon the mere filing of a bond by the
party on whose title the notice is annotated, as
section 14 provides that such cancellation may be
authorized ONLY upon order of court, after proper
showing that:

1. The notice is for the purpose of molesting

the adverse party; or
2. It is not necessary to protect the rights of
the party who caused it to be recorded.