TABLE OF CONTENTS 4.

Jurisdiction over the Res or Property in

Litigation............................................................ 12
CIVIL PROCEDURE I. DISTINGUISH : JURISDICTION VS. EXERCISE OF
I. GENERAL PRINCIPLES IN REMEDIAL JURISDICTION ........................................................ 12
LAW .................................................................. 1 J. DISTINGUISH : JURISDICTION VS. VENUE....... 12
K. JURISDICTION OVER CASES COVERED BY
A. DISTINGUISH: SUBSTANTIVE LAW AND BARANGAY CONCILIATION, SMALL CLAIMS
REMEDIAL LAW ...................................................... 1 CASES, AND CASES COVERED BY SUMMARY
B. RULE-MAKING POWER OF THE SUPREME PROCEDURE .......................................................... 13
COURT...................................................................... 1 1. Cases Covered by Barangay Conciliation ... 13
1. Limitations on the Rule-Making Power of 2. Cases Covered by Revised Rules of
the Supreme Court ............................................. 1 Procedure for Small Claims Cases................... 14
II. JURISDICTION ......................................... 1 3. Cases Covered by Rules on Summary
Procedure .......................................................... 14
A. PRINCIPLE OF JUDICIAL HIERARCHY............... 1
B. DOCTRINE OF NON-INTERFERENCE / II. GENERAL PROVISIONS ....................... 14
JUDICIAL STABILITY ............................................... 2 A. APPLICABILITY ................................................. 14
C. CONTINUITY OF JURISDICTION ........................ 2 B. CONSTRUCTION................................................ 14
D. DISTINGUISH: ORIGINAL AND APPELLATE .... 2 C. COMMENCEMENT OF CIVIL ACTION ............. 15
E. DISTINGUISH: GENERAL AND SPECIAL ........... 2 1. Meaning of Ordinary Civil Actions............. 15
F. DISTINGUISH: EXCLUSIVE AND CONCURRENT 2. Meaning of Special Civil Actions ................ 15
.................................................................................. 3 3. Distinguish: Civil Actions and Special
G. ORIGINAL JURISDICTION OF VARIOUS Proceedings ....................................................... 15
PHILIPPINE COURTS ............................................... 3 4. Distinguish : Personal Actions and Real
1. Supreme Court ................................................ 3 Actions............................................................... 15
a. Exclusive Original Jurisdiction .................. 3 a. Local and Transitory Actions .................. 16
b. Concurrent Original Jurisdiction .............. 3 b. Actions in rem, in personam, and quasi in
2. Court of Appeals ............................................ 4 rem................................................................. 16
a. Exclusive Original Jurisdiction .................. 4 D. CAUSE OF ACTION........................................... 18
b. Concurrent Original Jurisdiction .............. 4 1. Meaning of Cause of Action........................ 18
3. Court of Tax Appeals ..................................... 4 2. Distinguish: Right of Action and Cause of
a. Exclusive Original Jurisdiction .................. 4 Action ................................................................ 18
4. Sandiganbayan................................................. 4 3. Distinguish: Failure of the Complaint to
a. Exclusive Original Jurisdiction .................. 4 State a Cause of Action and Lack of Cause of
b. Concurrent Original Jurisdiction .............. 5 Action ................................................................ 18
5. Summary: Original Jurisdiction of Various 4. Test of Sufficiency of Cause of Action....... 19
PH Courts (RTC, MTC, MeTC, MCTC) ......... 6 5. Splitting a Single Cause of Action and its
a. Notes on Jurisdiction: ................................ 8 Effects................................................................ 19
6. Family Courts.................................................. 9 6. Joinder and Misjoinder of Causes of Action
H. ASPECTS OF JURISDICTION ............................... 9 ............................................................................ 20
1. Jurisdiction over the Parties........................... 9 E. PARTIES TO CIVIL ACTIONS............................ 20
a. How jurisdiction over the plaintiff is 1. Real Parties in Interest; Indispensable Parties;
acquired ......................................................... 10 Representatives as Parties; Necessary Parties;
b. How jurisdiction over the defendant is Indigent Parties; Alternative Defendants ....... 21
acquired ......................................................... 10 a. Real Parties in Interest ............................. 21
2. Jurisdiction over the Subject Matter ........... 10 b. Indispensable Parties ............................... 22
a. Meaning of Jurisdiction over the Subject c. Representatives as Parties ........................ 22
Matter ............................................................ 10 d. Necessary Parties...................................... 22
b. How Jurisdiction is Conferred and e. Indigent Parties ......................................... 22
Determined ................................................... 10 f. Alternative Defendants ............................ 23
c. Objections to Jurisdiction over the Subject 2. Compulsory and Permissive Joinder of
Matter ............................................................ 11 Parties ................................................................ 23
3. Jurisdiction over the Issues .......................... 12 a. Compulsory Joinder ................................. 23
b. Permissive Joinder ................................... 24
 c. Misjoinder and Non-Joinder of Parties .. 24 11. Efficient Use of Paper Rule ; E-Filing ...... 46
3. Class Suit ....................................................... 24 a. Format and Style....................................... 46
4. Suits Against Entities Without Juridical B. FILING AND SERVICE OF PLEADINGS,
Personality ......................................................... 25 JUDGMENTS, FINAL ORDERS, AND RESOLUTIONS
5. Effect of Death of Party Litigant ................ 25 ................................................................................ 47
a. Survival of Action..................................... 26 1. Rules on Payment of Docket Fees .............. 47
b. Substitution............................................... 26 a. Effect of Failure to Pay Docket Fees at
F. VENUE ............................................................... 27 Filing.............................................................. 47
1. Venue of Real Actions ................................. 27 2. Rule 13 ........................................................... 47
2. Venue of Personal Actions .......................... 27 a. Filing of Pleadings .................................... 47
3. Venue of Actions Against Non-Residents . 27 b. Service of Pleadings ................................. 49
4. When the Rules on Venue Do Not Apply . 28 c. Service of Judgments, Final Orders, or
5. Effects of Stipulations on Venue ................ 28 Resolutions; Service of Court-Issued Orders
and Other Documents ................................. 52
III. PROCEDURE .........................................29
C. SUMMONS .......................................................... 53
A. PLEADINGS ....................................................... 29 1. Nature and Purpose of Summons in Relation
1. Kinds ............................................................. 29 to Actions In Personam, In Rem, and Quasi In
a. Complaint.................................................. 29 Rem .................................................................... 53
b. Answer ...................................................... 29 2. Rule 14 ........................................................... 54
c. Counterclaims ........................................... 31 a. When summons are issued ...................... 54
d. Cross-claims.............................................. 33 b. Contents of Summons ............................. 54
e. Third (fourth, etc.) party complaints ...... 34 c. Duty of Counsel ....................................... 54
f. Complaint-in-intervention ....................... 34 d. Return ....................................................... 54
g. Reply .......................................................... 34 e. Voluntary Appearance ............................. 55
2. Extensions of time to file............................. 35 f. Who may Serve Summons ....................... 55
3. Parts and Contents of a Pleading ................ 35 g. Modes of Service ...................................... 56
a. Caption ...................................................... 35 h. Proof of service ........................................ 59
b. Body .......................................................... 35 D. MOTIONS .......................................................... 59
c. Signature and address ............................... 35 1. In General ..................................................... 59
d. Verification ............................................... 36 a. Definition of a Motion............................. 59
e. Certification Against Forum Shopping .. 37 b. Motions vs. Pleadings .............................. 59
f. Other Contents of a Pleading .................. 38 c. Contents and Form of Motions .............. 59
4. Manner of Making Allegations .................... 39 d. Motion for leave ....................................... 60
a. Capacity to sue or be sued ....................... 39 e. Motion Day ............................................... 60
b. Judgments ................................................. 39 1. Omnibus Motion Rule ............................. 60
c. Official documents or acts....................... 39 2. Non-litigious Motions .................................. 60
d. Condition precedent ................................ 39 3. Litigious Motions.......................................... 60
e. Fraud, mistake, malice, intent, knowledge 4. Prohibited Motions ...................................... 61
and other condition of the mind ................. 40 a. Motion to dismiss ..................................... 61
5. Pleading an actionable document................ 40 b. Motion to hear affirmative defenses; ..... 62
6. Striking out of a pleading ............................. 40 c. Motion for reconsideration of the court’s
7. Effect of failure to plead .............................. 41 action on affirmative defenses; ................... 62
a. Failure to plead defenses and objections 41 d. Motion to suspend proceedings without a
b. Failure to plead compulsory counterclaim TRO or injunction issued by a higher court;
and cross-claim ............................................. 41 ....................................................................... 62
8. Default ........................................................... 41 e. Motion for extension of time to file
a. Reliefs from an order of default .............. 42 pleadings, affidavits, or any other papers, .. 62
b. Actions where default are not allowed ... 42 f. Motion for postponement intended for
9. Amended and Supplemental Pleadings....... 43 delay, except if it is based on: ...................... 62
a. Amendment .............................................. 43 E. DISMISSAL OF ACTIONS................................... 63
b. Supplemental pleadings ........................... 44 1. With Prejudice vs. Without Prejudice ;
10. When to File Responsive Pleadings .......... 44 Dismissals Which Have an Effect of an
a. Bill of Particulars ...................................... 45 Adjudication on the Merits .............................. 63
b. Actions of The Court .............................. 45 2. Rule 17 ........................................................... 63
 a. Dismissal Upon Notice by Plaintiff ........ 63 5. Consequences of Refusal to Comply with
b. Dismissal Upon Motion by Plaintiff ...... 63 Modes of Discovery ......................................... 83
c. Dismissal Due to the Fault of Plaintiff... 64 L. TRIAL ................................................................. 84
d. Dismissal of Counterclaim, Cross-claim, 1. Adjournments and Postponements ............ 85
or Third-party Complaint ............................ 64 2. Requisites of Motion to Postpone Trial ..... 86
F. PRE-TRIAL ......................................................... 64 a. For Absence of Evidence ........................ 86
1. Concept of Pre-Trial .................................... 64 b. For Illness of Party or Counsel............... 86
2. Nature and Purpose...................................... 64 c. Agreed Statement of Facts ...................... 86
3. Notice of Pre-Trial ....................................... 65 3. Order of Trial; Reversal of Order ............... 86
4. Appearance of Parties .................................. 65 4. Delegation of Reception of Evidence......... 87
a. Effect of failure to appear ....................... 66 M. CONSOLIDATION AND SEVERANCE .............. 87
5. Pre-Trial Brief ............................................... 67 N. DEMURRER TO EVIDENCE ............................. 88
6. Pre-Trial Order ............................................. 67 1. Ground .......................................................... 88
7. Pre-Trial in Civil Cases vs. Pre-Trial in 2. Effect of Denial ............................................ 88
Criminal Cases................................................... 69 3. Effect of Grant ........................................ 88
G. INTERVENTION................................................ 70 4. Waiver of Right to Present Evidence ......... 88
1. Requisites for Intervention .......................... 70 5. Action on Demurrer to Evidence ............... 88
2. Time to Intervene ......................................... 71 6. Distinguish: Demurrer to Evidence in a Civil
3. Remedies ....................................................... 71 Case and Demurrer to Evidence in a Criminal
H. CALENDAR OF CASES ...................................... 71 Case .................................................................... 89
I. SUBPOENA.......................................................... 71 O. JUDGMENTS AND FINAL ORDERS.................. 89
1. Subpoena Duces Tecum .............................. 72 1. Judgment on The Pleadings......................... 90
2. Subpoena Ad Testificandum ....................... 72 2. Summary Judgments..................................... 90
3. Service of Subpoena ..................................... 73 a. For the Claimant; For the Defendant ..... 91
4. Compelling Attendance of Witnesses; b. When the Case Not Fully Adjudicated .. 91
Contempt........................................................... 73 c. Affidavits and Attachments ..................... 91
5. Quashing of Subpoena ................................. 73 3. Distinguish: Judgment on the Pleadings and
J. COMPUTATION OF TIME................................... 73 Summary Judgments......................................... 92
K. MODES OF DISCOVERY ................................... 74 4. Rendition and Entry of Judgments and Final
1. Depositions ................................................... 74 Orders ................................................................ 92
a. Meaning of Deposition ............................ 74 a. Entry of Judgment and Final Order ....... 92
b. Uses; Scope of Examination ................... 76 P. MOTION FOR NEW TRIAL OR
c. When May Objections to Admissibility Be RECONSIDERATION .............................................. 93
Made .............................................................. 78 1. Rule 37 ........................................................... 93
d. When May Taking of Deposition Be a. Grounds .................................................... 94
Terminated or its Scope Limited ................ 78 b. When to File; Form ................................. 95
e. Effect of errors and irregularities in c. Denial of the Motion; Effect ................... 96
depositions .................................................... 78 d. Grant of the Motion; Effect ................... 96
2. Interrogatories............................................... 79 e. Remedy Against Denial and Fresh-Period
a. Consequences of Refusal to Answer ...... 80 Rule................................................................ 96
b. Effect of Failure to Serve Written Q. EXECUTION, SATISFACTION, AND EFFECT OF
Interrogatories .............................................. 80 JUDGMENTS ........................................................... 96
c. Admission by Adverse Party ................... 80 1. Difference Between Finality of Judgment for
d. Implied Admission by Adverse Party ..... 80 Purposes of Appeal and for Purposes of
e. Consequences of Failure to Answer Execution .......................................................... 96
Request for Admission ................................ 81 2. When Execution Shall Issue ........................ 97
f. Effect of Admission ................................. 81 3. Execution as a Matter of Right.................... 98
g. Effect of Failure to File and Serve Request 4. Discretionary Execution .............................. 99
for Admission ............................................... 81 5. How a Judgment is Executed .................... 100
3. Production or Inspection of Documents or a. Execution by Motion or by Independent
Things ................................................................ 81 Action .......................................................... 100
4. Physical and Mental Examination of Persons b. Issuance and Contents of a Writ of
............................................................................ 82 Execution .................................................... 101
c. Execution of Judgments for Money ..... 102
 d. Execution of Judgments for Specific Acts 8. Rule on Prior or Contemporaneous Service
..................................................................... 104 of Summons in Relation to Attachment ....... 124
e. Execution of Special Judgments ........... 105 D. RECEIVERSHIP ............................................... 125
f. Effect of Levy on Third Person ............ 105 1. Cases When Receiver May Be Appointed 125
6. Properties Exempt from Execution.......... 105 2. Requisites..................................................... 126
7. Proceedings Where Property is Claimed by 3. Requirements Before Issuance of an Order
Third Persons; in Relation to Third Party Claim .......................................................................... 126
in Attachment and Replevin .......................... 106 4. General Powers of a Receiver ................... 126
8. Rules on Redemption ................................. 108 5. Two Kinds of Bonds.................................. 127
9. Examination of Judgment Obligor When 6. Termination of Receivership ..................... 127
Judgment is Unsatisfied.................................. 110 E. REPLEVIN........................................................ 127
10. Examination of Obligor of Judgment 1. When May Writ Be Issued ......................... 128
Obligor ............................................................ 110 2. Requisites..................................................... 128
11. Effect of Judgment or Final Orders ....... 111 3. Affidavit and Bond; Redelivery Bond ....... 129
12. Enforcement and Effect of Foreign 4. Sheriff’s Duty in The Implementation of The
Judgments or Final Orders ............................ 113 Writ; When Property Is Claimed by Third Party
.......................................................................... 129
IV. PROVISIONAL REMEDIES ............... 114
a. Sheriff’s Duty in Implementation ......... 129
A. NATURE, PURPOSE, AND JURISDICTION b. When Property Claimed by Third Party
OVER PROVISIONAL REMEDIES ........................ 114 ..................................................................... 130
B. PRELIMINARY ATTACHMENT ................... 115 SPECIAL CIVIL ACTIONS ...................... 132
1. Grounds for Issuance of Writ of Attachment A. NATURE OF SPECIAL CIVIL ACTIONS .......... 132
.......................................................................... 115 B. DISTINGUISH: ORDINARY CIVIL ACTIONS AND
2. Requisites for Issuance of Order of SPECIAL CIVIL ACTIONS .................................... 132
Preliminary Attachment ................................. 116 C. JURISDICTION AND VENUE........................... 132
3. Issuance and Contents of Order of D. INTERPLEADER .............................................. 132
Attachment; Affidavit and Bond ................... 116 1. Requisites for Interpleader......................... 133
4. Rule on Prior or Contemporaneous Service 2. When to File................................................ 133
of Summons .................................................... 117 3. Dismissal ..................................................... 134
5. Manner of Attaching Real and Personal E. DECLARATORY RELIEFS AND SIMILAR
Property; When Property Attached is Claimed REMEDIES ............................................................ 134
by Third Person .............................................. 117 1. Who May File Action ................................. 134
6. Discharge of Attachment and the Counter- 2. Requisites..................................................... 135
bond ................................................................. 119 3. When Court May Refuse to Make Judicial
7. Satisfaction of Judgment Out of Property Determination ................................................. 135
Attached .......................................................... 120 4. Conversion to Ordinary Action ................ 135
8. Compared with Garnishment and Levy on 5. Proceedings Considered as Similar Remedies
Execution ........................................................ 120 .......................................................................... 136
C. PRELIMINARY INJUNCTION........................... 121 a. Reformation of an Instrument .............. 136
1. Definitions and Differences: Preliminary b. Consolidation of Ownership................. 137
Injunction, Temporary Restraining Order, And c. Quieting of Title to Real Property ........ 137
Status Quo Ante Order .................................. 121 F. CERTIORARI, PROHIBITION, AND MANDAMUS
2. Requisites..................................................... 121 .............................................................................. 137
3. Kinds of Injunctions; Kinds of Temporary 1. Definitions and Distinctions ..................... 137
Restraining Orders.......................................... 122 2. Requisites..................................................... 138
4. When Writ May Be Issued, When Writ May 3. When Petition for Certiorari, Prohibition,
Not Be Issued ................................................. 123 and Mandamus Is Proper ............................... 138
5. Grounds for Issuance of Preliminary 4. Injunctive Relief.......................................... 140
Injunction ........................................................ 123 5. Distinguish: Rule 45 and Rule 65 .............. 140
6. Grounds for Objection To, or for the 6. Distinguish: Prohibition, Mandamus, and
Dissolution of Injunction or Restraining Order Injunction ........................................................ 141
.......................................................................... 124 7. When and Where to File Petition.............. 141
7. Duration of Temporary Restraining Orders 8. Reliefs Petitioner is Entitled to Reliefs ..... 142
.......................................................................... 124
 9. Acts or Omissions of First-Level/Regional 5. Partition by Commissioners; Appointment of
Trial Courts in Election Cases ....................... 143 Commissioners, Commissioner’s Report; Court
10. Effects of Filing of an Unmeritorious Action Upon Commissioner’s Report .......... 158
Petition ............................................................ 143 6. Judgment and Its Effects ........................... 160
G. QUO WARRANTO........................................... 143 7. Partition of Personal Property................... 160
1. Distinguish: Quo Warranto Under the 8. Prescription of Action................................ 160
Rules of Court and Quo Warranto Under the 9. When Partition Is Not Allowed ................ 160
Omnibus Election Code ................................ 144 K. FORCIBLE ENTRY AND UNLAWFUL DETAINER
2. When Government Commences an Action .............................................................................. 161
Against Individuals or Associations .............. 145 1. Definitions and Distinction ....................... 161
3. When Individual May Commence an Action 2. Distinguish: Forcible Entry, Unlawful
.......................................................................... 145 Detainer, Accion Publiciana, and Accion
4. Judgment in Quo Warranto Action ............. 146 Reivindicatoria .................................................... 161
5. Rights of A Person Adjudged Entitled to 3. Jurisdiction in Accion Publiciana and Accion
Public Office ................................................... 146 Reivindicatoria ................................................ 162
6. Limitations .................................................. 146 a. R.A. 11576 (2021) ................................... 162
H. EXPROPRIATION ............................................ 146 4. Who May Institute the Action and When;
1. Matters to Allege in Complaint for Against Whom the Action May be Maintained
Expropriation .................................................. 147 .......................................................................... 162
2. Two Stages in Every Action for 5. Pleadings Allowed ...................................... 162
Expropriation .................................................. 147 6. Action on the Complaint ........................... 163
3. When Plaintiff Can Immediately Enter Into 7. When Demand is Necessary ...................... 164
Possession of Real Property .......................... 147 8. Preliminary Injunction and Preliminary
4. Guidelines for Expropriation Proceedings of Mandatory Injunction..................................... 165
the National Government .............................. 148 9. Resolving Defense of Ownership ............. 165
5. Defenses and Objections ........................... 150 10. How to Stay the Immediate Execution of
6. Order of Expropriation ............................. 150 Judgment ......................................................... 166
7. Ascertainment of Just Compensation ....... 150 11. Prohibited Pleadings and Motions .......... 167
8. Appointment of Commissioners; L. CONTEMPT ...................................................... 167
Commissioner’s Report; Court Action Upon 1. Kinds of Contempt .................................... 167
Commissioner’s Report.................................. 150 2. Purpose and Nature of Each ..................... 168
9. Rights of Plaintiff Upon Judgment and 3. Remedy Against Direct Contempt; Penalty
Payment ........................................................... 151 .......................................................................... 168
I. FORECLOSURE OF REAL ESTATE MORTGAGE 5. How Contempt Proceedings Are
.............................................................................. 152 Commenced .................................................... 169
1. Kinds of Foreclosure.................................. 152 6. Acts Deemed Punishable as Indirect
a. Judicial Foreclosure [Rule 68]................ 152 Contempt......................................................... 170
b. Extrajudicial Foreclosure....................... 154 7. When Imprisonment Shall Be Imposed ... 170
2. Writ of Possession ...................................... 157 8. Contempt Against Quasi-judicial Bodies.. 170
a. Ministerial Duty of the Court ................ 157
I. SPECIAL PROCEEDINGS................. 173
b. Enforcement Against Third Parties ..... 157
c. Pendency of Action for Annulment of Sale A. SUBJECT MATTER OF SPECIAL
..................................................................... 157 PROCEEDINGS; APPLICABILITY OF GENERAL
3. Annulment of Sale ...................................... 157 RULES ................................................................... 173
J. PARTITION ....................................................... 157 Action vs. Special Proceedings.................. 173
1. Who May File Complaint; Who Should Be Cases governed; Civil action vs. special
Made Defendants............................................ 157 proceeding................................................... 173
2. Matters to Allege in the Complaint for B. SETTLEMENT OF ESTATE OF DECEASED
Partition ........................................................... 158 PERSONS .............................................................. 173
3. Two Stages in Every Action for Partition 158 1. Modes of Settlement of Estate ............. 173
4. Order of Partition and Partition Agreement a. Extrajudicial (No Will, No Debts) ... 173
.......................................................................... 158 b. Judicial ................................................ 173
2. Venue and Process (Rule 73) ................ 173
 a. Extent of Jurisdiction of Probate Court a. Liquidation ......................................... 196
173 b. Project of Partition ............................ 197
b. Powers and Duties of Probate Court c. Remedy of an Heir Entitled to Residue
174 But Not Given His Share .......................... 197
3. Summary Settlement of Estates (Rule 74) d. Instances When Probate Court May
174 Issue Writ of Execution............................. 198
a. Extrajudicial Settlement by Agreement C. ESCHEAT (RULE 91) ....................................... 198
Between Heirs; When Allowed ................. 175 D. GUARDIANSHIP.............................................. 199
b. Two-Year Prescriptive period .......... 176 1. Venue (Rule 92)...................................... 200
c. Affidavit of Adjudication by Sole Heir 2. Appointment of Guardians (Rule 93) .. 200
176 3. General Powers and Duties of Guardians
d. Summary Settlement of Estates of (Rule 96) .......................................................... 201
Small Value; When Allowed ...................... 176 4. Termination of Guardianship (Rule 97)
e. Remedies of Aggrieved Parties After 202
Extrajudicial Settlement of Estate............. 177 a. Petition that competency of ward be
4. Production and Probate of Will............ 178 adjudged ...................................................... 202
a. Nature of Probate Proceedings ........ 178 E. WRIT OF HABEAS CORPUS ............................ 202
b. Who May Petition for Probate; Persons 1. Rule 102 .................................................. 202
Entitled to Notice ...................................... 179 2. Contents of the Petition ........................ 204
5. Allowance or Disallowance of Rules (Rule 3. Contents of the Return.......................... 205
76) 179 4. Peremptory Writ and Preliminary Citation
a. Evidence Required in Support of a Will 205
180 Distinction between the writ and the privilege
b. Grounds for Disallowing a Will ....... 181 of the writ ........................................................ 205
c. Reprobate; Requisites Before Will 5. When Not Proper or Applicable .......... 206
Proved Outside Allowed in the Philippines; 6. When Writ Disallowed or Discharged . 206
Effects of Probate ...................................... 182 7. Distinguished From Writ of Amparo and
6. Letters Testamentary and of Habeas Data...................................................... 207
Administration ................................................ 183 8. Writ of Habeas Corpus in Relation to
a. When and to Whom Letters of Custody of Minors (A.M. No. 03-04-04-SC) 207
Administration Granted............................. 183 F. CHANGE OF NAME (RULE 103)..................... 211
b. Order of Preference .......................... 184 1. Differences Under Rule 103, R.A. No.
c. Opposition to Issuance of Letters 9048, and Rule 108 ......................................... 211
Testamentary; Simultaneous Filing of 2. Grounds for Change of Name.............. 212
Petition for Administration ....................... 185 G. CANCELLATION OR CORRECTION OF ENTRIES
d. Powers and Duties of Executors and IN THE CIVIL REGISTRY (RULE 108) ................. 213
Administrators; Restrictions on the Powers 1. Entries Subject to Cancellation or
186 Correction under Rule 108, in relation to R.A.
e. Appointment of Special Administrator No. 9048 .......................................................... 213
186 2. Opposition.............................................. 214
f. Grounds for Removal of Administrator 3. Effect of R.A. 9048................................ 214
188 H. CLERICAL ERROR LAW (R.A. NO. 9048) ..... 215
g. Actions by and Against Executors and I. WRIT OF AMPARO (A.M. NO. 07-9-12-SC) ... 217
Administrators ............................................ 189 1. Coverage ................................................. 217
7. Claims Against the Estate (Rule 86) ..... 190 2. Differences Between Amparo and Search
a. Time Within Which Claims Shall Be Warrant ............................................................ 218
Filed; Exceptions ........................................ 190 3. Who May File ......................................... 218
b. Statute of Non-Claims ...................... 191 4. Where to file ........................................... 219
8. Payment of the Debts of the Estate (Rule 5. Contents of the petition ........................ 219
88) 193 6. Contents of Return ................................ 219
9. Sales, Mortgages, and Other 7. Effects of Failure to File Return........... 220
Encumbrances of Property or Decedent (Rule 8. Omnibus Waiver Rule ........................... 220
89) 194 9. Procedure for Hearing ........................... 221
10. Distribution and Partition (Rule 90) 196 10. Institution of Separate Action .......... 221
 11. Effect of Filing a Criminal Action ... 221 I. AMENDMENT OR SUBSTITUTION OF
12. Consolidation ..................................... 221 COMPLAINT OR INFORMATION ......................... 244
13. Interim Reliefs Available to Petitioner J. VENUE OF CRIMINAL ACTIONS................ 247
and Respondent .............................................. 221 K. INTERVENTION OF OFFENDED PARTY
a. Interim Reliefs Available to the 248
Petitioner ..................................................... 221
III. PROSECUTION OF CIVIL ACTION
1. Temporary Protection Order ........... 221
249
14. Quantum of Proof in Application for
Issuance of Writ of Amparo ........................... 222 A. RULE ON IMPLIED INSTITUTION OF CIVIL
J. WRIT OF HABEAS DATA (A.M. NO. 08-1-16- ACTION WITH CRIMINAL ACTION .................... 249
SC) ........................................................................ 223 B. WHEN CIVIL ACTION MAY PROCEED
1. Scope of Writ ......................................... 223 INDEPENDENTLY ............................................... 249
2. Availability of Writ................................. 223 C. WHEN SEPARATE CIVIL ACTION IS
3. Who May File ......................................... 224 SUSPENDED ......................................................... 250
4. Contents of the Petition ........................ 224 D. EFFECT OF DEATH OF THE ACCUSED OR
5. Contents of Return ................................ 224 CONVICTED ON CIVIL ACTION ........................ 250
6. Instances When Defenses May Be Heard E. PREJUDICIAL QUESTION ........................... 251
in Chambers .................................................... 225 F. RULE ON FILING FEES IN CIVIL ACTION
7. Consolidation ......................................... 225 DEEMED INSTITUTED WITH THE CRIMINAL
8. Effect of Filing Criminal Action........... 225 ACTION ................................................................ 251
9. Institution of Separate Action............... 225
IV. PRELIMINARY INVESTIGATION
10. Quantum of Proof in Application for
Issuance of Writ of Habeas Data .................... 225 253
K. RULES OF PROCEDURE ON ENVIRONMENTAL A. NATURE OF RIGHT .................................... 253
CASES (A.M. NO. 09-6-8-SC) ............................. 226 B. PURPOSES OF PRELIMINARY
1. Temporary Environmental Protection INVESTIGATION .................................................. 254
Order (TEPO) ................................................ 226 C. WHO MAY CONDUCT DETERMINATION OF
2. Writ of Continuing Mandamus............. 226 EXISTENCE OF PROBABLE CAUSE .................... 254
3. Writ of Kalikasan ................................... 227 D. RESOLUTION OF THE INVESTIGATING
PROSECUTOR....................................................... 256
CRIMINAL PROCEDURE E. REVIEW ....................................................... 257
F. WHEN WARRANT OF ARREST MAY ISSUE258
I. GENERAL MATTERS ........................ 230
G. CASES NOT REQUIRING PRELIMINARY
A. JURISDICTION OVER SUBJECT MATTER AND INVESTIGATION NOR COVERED BY THE RULE
JURISDICTION OVER PERSON OF THE ACCUSED ON SUMMARY PROCEDURE................................ 258
DISTINGUISHED.................................................. 230 H. REMEDIES OF ACCUSED IF THERE WAS
B. REQUISITES FOR EXERCISE OF CRIMINAL NO PRELIMINARY INVESTIGATION .................. 259
JURISDICTION ...................................................... 232 I. INQUEST...................................................... 260
C. JURISDICTION OF CRIMINAL COURTS ...... 232
D. WHEN INJUNCTION MAY BE ISSUED TO V. ARREST ............................................ 261
RESTRAIN CRIMINAL PROSECUTION ................ 234 A. ARREST, HOW MADE................................. 261
B. ARREST WITHOUT WARRANT, WHEN
II. PROSECUTION OF OFFENSES .. 235
LAWFUL................................................................ 261
A. CRIMINAL ACTIONS; HOW INSTITUTED .. 235 C. METHOD OF ARREST ................................. 265
B. WHO MAY FILE; CRIMES THAT CANNOT BE D. REQUISITES OF A VALID WARRANT OF
PROSECUTED DE OFFICIO ................................. 236 ARREST................................................................. 267
C. CRIMINAL ACTIONS, WHEN ENJOINED .. 238 E. DETERMINATION OF PROBABLE CAUSE FOR
D. CONTROL OF PROSECUTION ................ 238 ISSUANCE OF WARRANT OF ARREST ................ 267
E. SUFFICIENCY OF COMPLAINT OR F. SEIZURE OF MINORS ................................. 267
INFORMATION..................................................... 240
F. DESIGNATION OF OFFENSE ..................... 242 VI. BAIL .................................................. 273
G. CAUSE OF THE ACCUSATION................ 243 A. NATURE ...................................................... 273
H. DUPLICITY OF THE OFFENSE; B. WHEN A MATTER OF RIGHT; EXCEPTIONS
EXCEPTION ......................................................... 244 273
 C. WHEN A MATTER OF DISCRETION .......... 275 D. NON-APPEARANCE DURING PRE-TRIAL
D. HEARING OF APPLICATION FOR BAIL IN 299
CAPITAL OFFENSES ............................................ 276 E. PRE-TRIAL ORDER..................................... 299
E. GUIDELINES IN FIXING AMOUNT OF BAIL
XI. TRIAL ............................................... 301
277
F. WHEN BAIL NOT REQUIRED.................... 277 A. INSTANCES WHEN PRESENCE OF ACCUSED
G. INCREASE OR REDUCTION OF BAIL .... 278 IS REQUIRED BY LAW ......................................... 301
H. FORFEITURE AND CANCELLATION OF B. SUSPENSION ON ACCOUNT OF ABSENCE OF
BAIL 278 WITNESSES .......................................................... 301
I. APPLICATION NOT A BAR TO OBJECTIONS C. TRIAL IN ABSENTIA ................................... 301
ON ILLEGAL ARREST, LACK OF OR IRREGULAR D. REMEDY WHEN ACCUSED IS NOT
PRELIMINARY INVESTIGATION ......................... 279 BROUGHT TO TRIAL WITHIN THE PRESCRIBED
PERIOD ................................................................ 301
VII. RIGHT TO SPEEDY TRIAL,
E. REQUISITES FOR DISCHARGE OF THE
TRAVEL, AND REMEDIES AGAINST ACCUSED TO BECOME A STATE WITNESS ....... 302
WRONGFUL OR UNLAWFUL F. EFFECTS OF DISCHARGE OF ACCUSED AS
DETENTION ............................................. 280 STATE WITNESS .................................................. 303
A. RIGHT TO A SPEEDY TRIAL ....................... 280 G. DEMURRER TO EVIDENCE ................... 303
B. RIGHT TO TRAVEL...................................... 282 XII. JUDGMENT ..................................... 305
C. REMEDIES AGAINST WRONGFUL OR
UNLAWFUL DETENTION..................................... 283 A. REQUISITES OF A JUDGMENT ................... 305
B. CONTENTS OF JUDGMENT ........................ 305
VIII. ARRAIGNMENT AND PLEA .... 284 2. Acquittal ...................................................... 306
A. HOW MADE ................................................ 284 C. PROMULGATION OF JUDGMENT; INSTANCES
B. WHEN A PLEA OF NOT GUILTY SHOULD BE OF PROMULGATION OF JUDGMENT IN ABSENTIA
ENTERED ............................................................. 285 .............................................................................. 306
C. WHEN ACCUSED MAY ENTER A PLEA OF D. INSTANCES WHEN JUDGMENT BECOMES
GUILTY TO A LESSER OFFENSE ........................ 286 FINAL ................................................................... 307
D. ACCUSED PLEADS GUILTY TO CAPITAL XIII. MOTION FOR NEW TRIAL OR
OFFENSE; WHAT THE COURT SHOULD DO..... 286
RECONSIDERATION ............................... 309
E. SEARCHING INQUIRY ................................ 287
F. IMPROVIDENT PLEA OF GUILTY TO A A. GROUNDS FOR NEW TRIAL ...................... 309
CAPITAL OFFENSE.............................................. 288 B. GROUNDS FOR RECONSIDERATION ........ 309
C. REQUISITES BEFORE A NEW TRIAL MAY BE
IX. MOTION TO QUASH .................... 289 GRANTED ON GROUND OF NEWLY DISCOVERED
A. GROUNDS ................................................... 289 EVIDENCE ........................................................... 309
B. DISTINGUISH MOTION TO QUASH FROM D. EFFECTS OF GRANTING A NEW TRIAL OR
DEMURRER TO EVIDENCE ................................ 292 RECONSIDERATION ............................................ 310
C. EFFECTS OF SUSTAINING THE MOTION TO
XIV. SEARCH AND SEIZURE ........... 311
QUASH ................................................................. 293
D. EXCEPTION TO THE RULE THAT A. NATURE OF SEARCH WARRANT ............... 311
SUSTAINING THE MOTION IS NOT A BAR TO B. DISTINGUISH FROM WARRANT OF ARREST
ANOTHER PROSECUTION .................................. 294 312
E. DOUBLE JEOPARDY ................................... 294 C. APPLICATION FOR SEARCH WARRANT;
F. PROVISIONAL DISMISSAL .......................... 296 WHERE FILED ..................................................... 313
GENERAL RULE: IT MAY BE FILED IN ANY COURT
X. PRE-TRIAL ...................................... 297 WITHIN WHOSE TERRITORIAL JURISDICTION THE
A. MATTERS TO BE CONSIDERED DURING CRIME WAS COMMITTED. HOWEVER, IF THE
PRE-TRIAL ........................................................... 297 ALLEGED ACT CONSTITUTES A CONTINUING OR
B. WHAT THE COURT SHOULD DO WHEN TRANSITORY CRIME, THE APPLICATION MAY BE
PROSECUTION AND OFFENDED PARTY AGREE WITH ANY COURT WHERE ANY ELEMENT OF THE
TO THE PLEA OFFERED BY THE ACCUSED ...... 298 ALLEGED OFFENSE WAS COMMITTED [SONY
C. PRE-TRIAL AGREEMENT ........................... 299 COMPUTER V. EVERGREEN, G.R. NO. 161823
(2007)]. ................................................................. 313
 EXCEPTION: FOR COMPELLING REASONS, WHICH A. CONCEPT OF EVIDENCE ............................... 337
MUST BE STATED IN THE APPLICATION, IT MAY 1. Scope and Applicability of the Rules of
ALSO BE FILED: .................................................... 313 Evidence .......................................................... 337
1. IF THE PLACE OF THE COMMISSION OF THE a. Scope of Application.............................. 337
CRIME IS KNOWN, ANY COURT WITHIN THE b. Uniformity of Application..................... 337
JUDICIAL REGION WHERE THE CRIME WAS Distinguish: Proof v. Evidence...................... 337
COMMITTED......................................................... 313 2. Construction of the Rules of Evidence .... 337
2. ANY COURT WITHIN THE JUDICIAL REGION B. EQUIPOISE RULE............................................ 338
WHERE THE WARRANT SHALL BE ENFORCED .. 313
II. ADMISSIBILITY .................................... 339
D. PROBABLE CAUSE FOR ISSUANCE OF
SEARCH WARRANT ............................................. 313 A. ADMISSIBILITY OF EVIDENCE ...................... 339
E. PERSONAL EXAMINATION BY JUDGE OF 1. Requisites for Admissibility; Relevance and
THE APPLICANT AND WITNESS ......................... 314 Competence .................................................... 339
F. PARTICULARITY OF PLACE TO BE a. Relevance ................................................ 339
SEARCHED AND THINGS TO BE SEIZED .......... 314 b. Competence............................................ 342
G. PERSONAL PROPERTY TO BE SEIZED .. 314 2. Exclusionary Rules of Evidence................ 342
H. EXCEPTIONS TO THE SEARCH WARRANT a. Constitutional exclusionary rules .......... 342
REQUIREMENT .................................................... 315 b. Statutory exclusionary rules................... 342
I. REMEDIES FROM UNLAWFUL SEARCH AND
III. JUDICIAL NOTICE AND JUDICIAL
SEIZURE ............................................................... 320
ADMISSIONS .............................................. 343
J. CYBERCRIME WARRANTS .......................... 321
K. WARRANTS RELATING TO BANK A. WHAT NEED NOT BE PROVED.................... 343
ACCOUNTS ........................................................... 321 B. MATTERS OF JUDICIAL NOTICE.................... 343
1. When Mandatory ........................................ 343
XV. PROVISIONAL REMEDIES IN
2. When Discretionary.................................... 343
CRIMINAL CASES ..................................... 322
C. JUDICIAL ADMISSIONS ................................... 345
A. NATURE ...................................................... 322 1. Effect of Judicial Admissions .................... 346
B. KINDS OF PROVISIONAL REMEDIES ........ 322 2. How Judicial Admissions May Be
C. OTHER PROVISIONAL REMEDIES ............ 323 Contradicted.................................................... 346
XVI. GUIDELINES ON CONTINUOUS IV. OBJECT (REAL) EVIDENCE ............ 348
TRIAL 324 A. NATURE OF OBJECT EVIDENCE.................... 348
A. APPLICABILITY ........................................... 324 B. REQUISITES FOR ADMISSIBILITY .................. 348
B. PROHIBITED AND MERITORIOUS MOTIONS C. CATEGORIES OF OBJECT EVIDENCE ........... 349
324 D. CHAIN OF CUSTODY IN RELATION TO SEC. 21
C. ARRAIGNMENT AND PRE-TRIAL .............. 324 OF THE COMPREHENSIVE DANGEROUS DRUGS
D. TRIAL AND MEMORANDA..................... 325 ACT OF 2002 ....................................................... 349
E. PROMULGATION ........................................ 326 E. DNA EVIDENCE ............................................ 350
a. Application for DNA testing order ........... 350
XVII. RULE ON CYBERCRIME b. Post-conviction DNA Testing; Remedy .. 351
WARRANTS ................................................. 327 c. Assessment of Probative Value of DNA
A. SCOPE AND APPLICABILITY ...................... 327 Evidence and Admissibility............................ 351
B. GENERAL PROVISIONS .............................. 327 d. Rules on Evaluation of Reliability of the
C. DISCLOSURE OF COMPUTER DATA .......... 328 DNA Testing Methodology........................... 352
D. INTERCEPTION....................................... 329
V. DOCUMENTARY EVIDENCE............ 353
E. SEARCH, SEIZURE, AND EXAMINATION OF
COMPUTER DATA ............................................... 330 A. MEANING OF DOCUMENTARY EVIDENCE . 353
F. CUSTODY OF COMPUTER DATA ............... 331 1. Requisites for Admissibility ....................... 353
G. DESTRUCTION OF COMPUTER DATA .. 332 B. BEST EVIDENCE/ORIGINAL DOCUMENT
RULE..................................................................... 353
XVIII. PROBATION................................ 333 1. Meaning of the Rule ................................... 353
EVIDENCE 2. When Not Applicable ................................ 353
3. Meaning of Original Document and
I. GENERAL PRINCIPLES ....................... 337 Duplicate ......................................................... 353
 4. Exception; Secondary Evidence; Summaries a. Husband and Wife.................................. 362
.......................................................................... 354 b. Attorney and Client................................ 363
a. When the original is unavailable............ 354 c. Physician and Patient ............................. 364
b. When the original is in the custody or d. Priest and Penitent ................................. 365
control of the adverse party OR original e. Public Officers ........................................ 365
cannot be obtained by local judicial 3. Parental and Filial Privilege Rule ............... 366
processes or procedures............................. 354 4. Trade Secrets ............................................... 366
c. When the contents of documents, records, 5. Other Privileged Communication Not in the
photographs, or numerous accounts are Rules of Court ................................................. 366
voluminous and cannot be examined in court a. Newsman’s Privilege .............................. 366
without great loss of time, and the fact b. Information in Conciliation Proceedings
sought to be established from them is only ..................................................................... 366
the general result of the whole c. Data Privacy Act..................................... 367
(“Summaries”) ............................................ 354 d. Food and Drug Administration Act ..... 367
d. When the original is a public record in the C. ADMISSIONS AND CONFESSIONS .................. 367
custody of a public officer or is recorded in a 1. Admission by a Party.................................. 367
public office ................................................ 354 2. Res Inter Alios Acta Rule .......................... 367
e. When original is outside the jurisdiction of 3. Admission by a Third Party ....................... 368
the court ...................................................... 355 4. Admission By a Co-Partner or Agent ....... 368
C. PAROL EVIDENCE RULE ............................... 355 5. Admission by a Conspirator ...................... 368
1. Meaning of the Rule ................................... 355 6. Admission by Privies .................................. 369
2. Application of the Parol Evidence Rule ... 355 7. Admission by Silence ................................. 369
3. When Parol Evidence Can Be Introduced 355 8. Confessions ................................................. 370
a. Intrinsic Ambiguity, Mistake or 9. Admissibility of Offers of compromise.... 371
Imperfection in the Written Agreement... 355 D. PREVIOUS CONDUCT AS EVIDENCE............ 371
b. Failure of the Written Agreement to 1. Similar Acts as Evidence ............................ 371
Express the True Intent and Agreement of 2. Unaccepted Offer ....................................... 372
the Parties Thereto ..................................... 356 E. TESTIMONIAL KNOWLEDGE; HEARSAY RULE
c. Validity of the Written Agreement ....... 356 .............................................................................. 372
4. Distinction Between the Original Document 1. Meaning of Hearsay.................................... 372
Rule and Parol Evidence Rule ....................... 356 2. Reason for Exclusion of Hearsay Evidence
D. INTERPRETATION OF DOCUMENTS............. 356 .......................................................................... 373
1. General Rule; Literal, Legal Meaning........ 357 3. Exceptions to the Hearsay Rule ................ 374
2. Construction So as to Give Effect to All a. Dying Declaration .................................. 374
Provisions ........................................................ 357 b. Statement of Decedent or Person of
3. Construction of general and particular Unsound Mind ........................................... 374
provisions ........................................................ 357 c. Declaration Against Interest.................. 375
4. Construction according to circumstances 357 d. Act or Declaration About Pedigree ...... 375
5. Construction of peculiar signification of e. Family Reputation or Tradition Regarding
terms ................................................................ 358 Pedigree ....................................................... 376
6. Written Words Control Printed ................ 358 f. Common Reputation .............................. 377
7. Experts and Interpreters; When Resorted To g. Part of the Res Gestate .......................... 377
.......................................................................... 358 h. Records of Regularly Conducted Business
8. Preferred Among Two Constructions ...... 358 Activity ........................................................ 378
9. Construction in favor of natural rights ..... 358 i. Entries in Official Records ..................... 379
10. Interpretation According to Usage ......... 359 j. Commercial Lists and the Like .............. 379
k. Learned Treatises ................................... 379
VI. TESTIMONIAL EVIDENCE .............. 360
l. Testimony or Deposition at a Former Trial
A. QUALIFICATIONS OF A WITNESS.................. 360 ..................................................................... 380
B. TESTIMONIAL PRIVILEGE; m. Residual Exception ............................... 380
DISQUALIFICATIONS OF WITNESSES ................ 361 4. Independently Relevant Statements (IRS) 380
1. Disqualification by Reason of Marriage.... 361 F. OPINION RULE ............................................... 381
2. Disqualifications by Reason of Privileged 1. Opinion of Expert Witness; Weight given381
Communications; Rule on Third Parties ...... 362 a. Admitting Expert Testimony ................ 381
 b. Examining an Expert Witness .............. 381 B. AUTHENTICATION AND PROOF OF
2. Opinion of Ordinary Witness.................... 382 DOCUMENTS ....................................................... 396
a. Identity of a Person About Whom He Has 1. Meaning of Authentication ........................ 396
Adequate Knowledge................................. 382 2. Classes of Documents ................................ 396
b. Handwriting With Which He Has 3. When a Private Writing Requires
Sufficient Familiarity .................................. 382 Authentication; Proof of Private Writing ..... 397
c. Mental Sanity of a Person With Whom He 4. When Evidence of Authenticity of a Private
Is Sufficiently Acquainted.......................... 382 Writing Is Not Required ................................ 397
d. Impressions of the Emotion, Behavior, 5. Genuineness of a Handwriting .................. 397
Condition or Appearance of a Person ...... 382 6. Public Documents as Evidence; Proof of
G. CHARACTER EVIDENCE................................ 383 Official Records .............................................. 397
1. Criminal Cases ............................................ 383 7. Attestation of a Copy of a Document or
2. Civil Cases ................................................... 383 Record.............................................................. 398
3. Criminal and Civil Cases ............................ 384 8. Public Record of Private Documents ....... 398
9. Proof of Lack of Record ............................ 398
VII. BURDEN OF PROOF AND
10. How a Judicial Record is Impeached ...... 398
PRESUMPTIONS ....................................... 385
11. Proof of Notarial Documents ................. 398
A. BURDEN OF PROOF AND BURDEN OF 12. Alterations in a Document ...................... 399
EVIDENCE ........................................................... 385 13. Documentary Evidence in an Unofficial
B. PRESUMPTIONS ............................................... 385 Language.......................................................... 399
1. Conclusive Presumptions .......................... 386 C. OFFER AND OBJECTION................................ 399
2. Disputable Presumptions ...................... 387 1. Offer of Evidence....................................... 399
3. Presumptions in Civil Actions and 2. When to Make an Offer ............................. 400
Proceedings; Against an Accused in Criminal 3. Objection..................................................... 400
Cases ................................................................ 389 4. Repetition of an Objection ........................ 401
5. Ruling........................................................... 401
VIII. PRESENTATION OF EVIDENCE 390
6. Striking Out an Answer ............................. 402
A. EXAMINATION OF A WITNESS...................... 390 7. Tender of Excluded Evidence................... 402
1. Rights and Obligations of a Witness......... 390
IX. JUDICIAL AFFIDAVIT RULE (A.M.
2. Order in the Examination of an Individual
NO. 12-8-8-SC) ............................................. 404
Witness ............................................................ 390
3. Leading and Misleading Questions ........... 391 A. SCOPE .............................................................. 404
4. Impeachment of Witness ........................... 391 B. SUBMISSION IN LIEU OF DIRECT TESTIMONY
a. Adverse Party’s Witness......................... 391 .............................................................................. 404
b. By Evidence of Conviction of Crime... 392 C. CONTENTS ...................................................... 404
c. Own Witness .......................................... 392 D. OFFER AND OBJECTION ............................... 405
d. How the Witness Is Impeached By F. EFFECT OF NON-COMPLIANCE ..................... 406
Evidence of Inconsistent Statements ....... 392
X. WEIGHT AND SUFFICIENCY OF
5. Referral of Witness to Memorandum ....... 392
6. Examination of a Child Witness (A.M. No.
EVIDENCE ................................................. 407
004-07-SC)....................................................... 393 A. QUANTUM OF EVIDENCE ............................. 407
a. Applicability of the Rule ........................ 393 1. Proof Beyond Reasonable Doubt ............. 407
b. Meaning of “Child Witness" ................. 393 2. Preponderance of Evidence ...................... 407
c. Competency of a child witness.............. 393 3. Substantial Evidence .................................. 407
d. Examination of a Child Witness ........... 393 4. Clear and Convincing Evidence ................ 407
e. Live-link TV Testimony of a Child B. POWER TO STOP FURTHER EVIDENCE........ 408
Witness ........................................................ 394 C. EVIDENCE ON MOTION ................................ 408
f. Videotaped Deposition of a Child Witness
..................................................................... 394
XI. RULES ON ELECTRONIC EVIDENCE
g. Hearsay Exception in Child abuse Cases (A.M. NO. 01-7-01-SC) ................................. 409
..................................................................... 394 A. MEANING OF ELECTRONIC EVIDENCE;
h. Sexual Abuse Shield Rule ...................... 395 ELECTRONIC DATA MESSAGE .......................... 409
i. Protective Orders .................................... 395
 B. PROBATIVE VALUE OF ELECTRONIC 2. Review of Final Judgments or Final
DOCUMENTS OR EVIDENTIARY WEIGHT; Orders of The Civil Service Commission..... 429
METHOD OF PROOF ........................................... 410 3. Review of Final Judgments or Final
C. AUTHENTICATION OF ELECTRONIC Orders of The Ombudsman .......................... 430
DOCUMENTS AND ELECTRONIC SIGNATURES 410 4. Review of Final Judgments or Final
D. ELECTRONIC DOCUMENTS AND HEARSAY Orders of The National Labor Relations
RULE..................................................................... 410 Commission .................................................... 430
1. Audio, Photographic, Video and Ephemeral E. REVIEW OF FINAL JUDGMENTS OR FINAL
evidence ........................................................... 411 ORDERS OF QUASI-JUDICIAL AGENCIES.......... 430
F. RULE 45 – APPEALS BY CERTIORARI TO THE
APPELLATE PROCEEDINGS SUPREME COURT ................................................ 432
1. Appeal from Judgments or Final Orders
I. APPEALS; GENERAL PRINCIPLES 413
of The Court of Appeals ................................ 432
A. NATURE OF THE RIGHT TO APPEAL ........ 413 2. Appeal from Judgments or Final Orders
1.
Issues to Be Raised on Appeal.............. 414 of The Sandiganbayan .................................... 435
2.
Period of Appeal .................................... 415 3. Appeal from Judgments or Final Orders
3.
Perfection of Appeal.............................. 415 of The Court of Tax Appeals ........................ 435
B. JUDGMENTS AND FINAL ORDERS SUBJECT G. RULE 64 – REVIEW OF JUDGMENTS OR
TO APPEAL........................................................... 415 FINAL ORDERS OF THE COA AND COMELEC
C. MATTERS NOT APPEALABLE ; AVAILABLE 436
REMEDIES ............................................................ 415 1. Review of Final Judgments or Final
D. DOCTRINE OF FINALITY/ IMMUTABILITY Orders of The Commission on Audit........... 436
OF JUDGMENT ; EXCEPTIONS ........................... 416 2. Review of Final Judgments or Final
Orders of The Commission on Elections .... 436
II. POST-JUDGMENT REMEDIES
a. Dismissal, reinstatement, and
OTHER THAN APPEAL ........................... 417
withdrawal of appeal .................................. 436
A. PETITION FOR RELIEF FROM JUDGMENT 417
IV. APPEALS IN CRIMINAL CASES:
1.Grounds for Availing of the Remedy... 418
MODES OF APPEAL FROM JUDGMENTS
2.Time to File Petition .............................. 418
3.Contents of Petition .............................. 418 OR FINAL ORDERS OF VARIOUS
B. ANNULMENT OF JUDGMENT BY THE COURT COURTS/TRIBUNALS ............................. 439
OF APPEALS ......................................................... 419 A. EFFECT OF AN APPEAL.............................. 439
1. Grounds for Annulment ....................... 420 B. WHERE TO APPEAL.................................... 439
2. Period to File Action ............................. 420 C. HOW APPEAL TAKEN............................ 439
3. Effects of Judgment of Annulment ..... 420 1. Procedure in the Lower Courts
C. COLLATERAL ATTACK ON JUDGMENTS, (MeTC/MTC/MCTC and RTC) .................. 440
WHEN PROPER.................................................... 421 2. Procedure in the Court of Appeals ...... 440
D. RULE 65 AS A REMEDY FROM JUDGMENT a. Parties and Title ................................. 440
422 b. Briefs................................................... 440
III. APPEALS IN CIVIL PROCEDURE; 3. Dismissal of Appeal for Abandonment or
Failure to Prosecute; Grounds....................... 441
MODES OF APPEAL FROM JUDGMENTS
a. Appellant fails to file his brief within
OR FINAL ORDERS OF VARIOUS
the prescribed time ..................................... 441
COURTS / TRIBUNALS ........................... 423
b. Appellant escapes, jumps bail, or flees . 441
A. RULE 40 – APPEAL FROM MTCS TO RTCS c. Prompt Disposition of Appeal.............. 441
423 d. Reversal or Modification of Judgment on
B. RULE 41 – APPEAL FROM RTCS................ 424 Appeal ......................................................... 441
C. RULE 42 – PETITION FOR REVIEW FROM e. Scope of the CA’s Judgment ................. 442
RTCS TO CA ........................................................ 427 f. CA’s Power to Receive Evidence .......... 442
D. RULE 43 – APPEALS FROM CTA, CSC, g. Post-CA Judgment ................................. 442
AND QJA.............................................................. 429 h. Procedure in the Supreme Court .......... 443
1. Appeal from Judgments or Final Orders i. Appeals from the Office of the
of The Court of Tax Appeals ........................ 429 Ombudsman ............................................... 444
 j. Appeals from the Resolutions of the Office 3. Government Remedies for Collection of
of the City Prosecutor................................ 444 Delinquent Taxes ............................................ 468
k. Appeals from the Sandiganbayan ......... 444 a. Requisites: ............................................... 468
l. Effect of Appeal by Any of Several b. Prescriptive Periods; Suspension of
Accused ....................................................... 444 Running of Statute of Limitations ............ 468
m. Grounds for Dismissal of Appeal ....... 445 c. Administrative Remedies .................. 469
d. No Injunction Rule; Exceptions ...... 474
V. PROCEDURE IN TAX CASES ...... 446
4. Civil Penalties .............................................. 475
VI. PROCEDURE IN THE COURT OF a. Delinquency Interest and Deficiency
APPEALS...................................................... 446 Interest ........................................................ 475
e. Surcharge ............................................ 475
A. RULE 44 – ORDINARY APPEALED CASES . 446
f. Compromise Penalty ......................... 476
B. RULE 46 – ORIGINAL CASES...................... 447
C. RULE 47 – ANNULMENT OF JUDGMENTS II. TAX REMEDIES UNDER THE LOCAL
OR FINAL ORDERS AND RESOLUTION ............. 448 GOVERNMENT CODE OF 1991 .............. 477
a. Grounds for Annulment ........................ 449
A. TAXPAYER’S REMEDIES................................. 477
b. Period to File Action ............................. 450
1. Protest of Assessment ....................... 477
c. Effects of Judgment of Annulment . 450
2. Claim for Refund or Tax Credit of
D. RULE 50 – DISMISSAL OF APPEAL ......... 450
Erroneously or Illegally Collected Tax, Fee,
E. RULE 51 – JUDGMENT ; HARMLESS ERROR
or Charge..................................................... 477
451
3. Question the Legality of the Ordinance477
F. RULE 53 – NEW TRIAL ............................... 452
B. ASSESSMENT AND COLLECTION OF LOCAL
VII. PROCEDURE IN THE SUPREME TAXES................................................................... 478
COURT......................................................... 454 1. Remedies of LGUs ............................... 478
a. Local Government’s Lien ................. 478
A. RULE 56-A – ORIGINAL CASES ................. 454
b. Civil Remedies, in General ............... 478
a. Rule 56-B – Appealed cases ....................... 454
C. JUDICIAL ACTION .................................. 479
D. REMEDIES UNDER THE LGC ON REAL
TAX REMEDIES
PROPERTY TAX ................................................... 479
I. TAX REMEDIES UNDER THE NIRC 456 1. Remedies of LGUs ............................ 479
2. Taxpayer’s Remedies.............................. 480
A. GENERAL CONCEPTS ................................ 456
a. Contesting the Valuation of Real
Taxpayer Remedies ......................................... 456
Property....................................................... 480
1. Assessment of Internal Revenue Taxes .... 456
g. Contesting a Deficiency Tax
Procedural due process in tax
Assessment.................................................. 481
assessments [Sec. 228, NIRC; RR 12-99, as
h. Compromising an RPT Assessment 482
amended by RR 18-13, RR 7-18 and RR 22-
2020] ............................................................ 456 III. THE COURT OF TAX APPEALS ...... 483
viii. Tax Delinquency as Distinguished from
A. JURISDICTION OF THE COURT OF TAX
Tax Deficiency............................................ 459
APPEALS ............................................................... 483
d. Prescriptive Period for Assessment . 459
1. Civil Cases ................................................... 483
2. Taxpayer’s Remedies .................................. 461
b. Exclusive Original Jurisdiction of the
a. Protesting the Assessment ................ 461
Court in Divisions ...................................... 483
B. DECISION ON THE PROTEST FILED ......... 462
b. Exclusive Appellate Jurisdiction in Civil
1. Denial of the protest through the issuance of
Cases ............................................................ 483
a Final Decision on Disputed Assessment
2. Criminal Cases ............................................ 485
(FDDA) ........................................................... 462
a. Exclusive Original Jurisdiction of the
2. Indirect denial of the protest ..................... 463
Court in Divisions ...................................... 485
3. Inaction by the CIR or his duly authorized
b. Exclusive Appellate Jurisdiction in
representative .................................................. 463
Criminal Cases ............................................ 485
a. Recovery of Tax Erroneously or Illegally
b. Local Taxes ........................................ 486
Collected ..................................................... 463
3. Civil Cases ................................................... 486
a. Power of Commissioner of Internal
a. Who May Appeal, Mode of Appeal; Effect
Revenue to Compromise ........................... 466
of Appeal..................................................... 486
b. Non-retroactivity of Rulings............. 468
 i. Suspension of Collection of Taxes .. 486
j. Injunction not Available to Restrain
Collection .................................................... 487
4. Criminal Cases ............................................ 488
a. Institution and Prosecution of Criminal
Actions ........................................................ 488
k. Institution of Civil Action in Criminal
Action .......................................................... 488
l. Period to Appeal................................ 489
m. Appeal to the CTA En Banc ........ 489
n. Petition for Review on Certiorari to the
Supreme Court ........................................... 489

LEGAL ETHICS
I. CODE OF PROFESSIONAL
RESPONSIBILITY ..................................... 491
II. JUDICIAL ETHICS ............................... 532
CIVIL PROCEDURE
REMEDIAL LAW AND
LEGAL ETHICS
CIVIL PROCEDURE REMEDIAL LAW AND ETHICS
I. GENERAL PRINCIPLES IN c. Not diminish, increase or modify
substantive rights. [Sec. 5(5), Art. VIII,
REMEDIAL LAW Constitution]

A. Distinguish: Substantive Law II. JURISDICTION

and Remedial Law
Jurisdiction is the power of the court to hear,
try, and decide a case. [Cuenca v. PCGG,
Substantive Remedial G.R. Nos. 159104-05 (2007)]
Creates, defines, Lays down methods It includes the authority of the court to
and regulates rights by which the rights execute its decisions since such is an
and duties and obligations essential aspect of jurisdiction and is the most
concerning life, arising from important part of litigation [Echegaray v. Sec.
liberty, or property substantive law are of Justice, G.R. No. 132601 (1999)]
the violation of which protected, enforced,
gives rise to a cause and given effect. Note: Jurisdiction is not the authority of the
of action. judge to hear a case, but that of the court.
[Bustos v. Lucero, G.R. No. L-2068 (1948)] Jurisdiction over a case attaches to the court,
and not the judge hearing it. It is not the
B. Rule-Making Power of the decision rendered, but rather the authority of
the court to decide the case.
Supreme Court
Sec. 5(5), Art. VIII of the Constitution provides
A. Principle of Judicial
that: Hierarchy
1. The SC shall have the power to
promulgate rules concerning: Also known as “The Doctrine of Hierarchy of
a. The protection and enforcement of Courts”
constitutional rights,
b. Pleading, practice, and procedure in General Rule: A case must be filed with the
all courts, lowest court possible having the appropriate
c. Admission to the practice of law, jurisdiction.
d. The Integrated Bar, and
e. Legal assistance to the For example, although the SC, CA, and the
underprivileged. RTC have concurrent jurisdiction over
2. Rules of procedure of special courts and certiorari, prohibition, and mandamus, a direct
quasi-judicial bodies shall remain effective invocation of the SC is improper. A petition
unless disapproved by the Supreme Court. must be first made to the lowest court - the
RTC. [1 Riano 42, 2016 Bantam Ed]
The SC has the sole prerogative to amend,
repeal, or even establish new rules for a Exception: The Supreme Court may disregard
more simplified and inexpensive process, and hierarchy of courts if warranted by the following
the speedy disposition of cases. [Neypes v. reasons:
CA, G.R. No. 141524 (2005)] 1. Where special and important reasons are
present,
1. Limitations on the Rule-Making 2. When dictated by public welfare and policy,
Power of the Supreme Court 3. When demanded by interest of justice,
4. Where the challenged orders are patent
The rules of procedure promulgated by the SC nullities,
must: 5. Where compelling circumstances warrant,
a. Provide a simplified and inexpensive and
procedure for speedy disposition of cases, 6. Where genuine issues of constitutionality
b. Uniform for all courts of the same grade; must be immediately addressed. [1 Riano
and 44-45, 2016 Bantam Ed]

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Rationale Once jurisdiction is vested, the same is
1. It would be an imposition upon the limited retained up to the end of the litigation. [De la
time of the Court; and Rosa v. Roldan, G.R. No. 133882 (2006)]
2. It would inevitably result in a delay, in the
adjudication of cases, which are remanded D. Distinguish: Original and
or referred to the lower court as the proper
forum, or a trier of facts [People v. Appellate
Azarraga, G.R. No. 187117 (2011)]
Original Appellate
A disregard of the doctrine of hierarchy of
courts warrants, as a rule, the outright A court is one with A court is one with
dismissal of a petition [De Castro v. Carlos, original appellate jurisdiction
G.R. No. 194994 (2013)] jurisdiction when when it has the
actions or
power to review on
proceedings may be appeal the decisions
B. Doctrine of Non-Interference / originally filed with it.
or orders of a lower
Judicial Stability court.
[1 Riano 47, 2016 Bantam Ed.]
The Doctrine of Non-Interference/ Doctrine
of Judicial Stability holds that courts of equal E. Distinguish: General and
and coordinate jurisdiction cannot interfere with
each other’s orders. [Lapu-Lapu Devt Corp v. Special
Group Management Corp, G.R. No. 141407
(2002)] General Special
Courts of special
It also bars a court from reviewing or interfering jurisdiction are those
Courts of general
with the judgment of a co-equal court over which have
jurisdiction are
which it has no appellate jurisdiction or power jurisdiction only for a
those with
of review. [Villamor v. Salas, GR No. 101041 particular purpose or
competence to
(1991)] clothed with special
decide on their own
powers for the
jurisdiction and take
Note: Such doctrine applies also to performance of
cognizance of all
administrative bodies. When the law provides specified duties
cases of a particular
for an appeal to the CA or SC from the decision beyond which they
nature.
of an administrative body, it means that such have no authority of
body is co-equal with the RTC and is then any kind.
beyond the control of the latter. [Philippine [1 Riano 47, 2016 Bantam Ed.]
Sinter Corp v. Cagayan Electric Power and
Light Co. Inc., G.R. No. 127371 (2002)]

When not applicable

The doctrine of judicial stability does not apply
where a third-party claimant is involved – this
is in consonance with the well-established
principle that no man shall be affected by any
proceeding to which he is a stranger [Sps.
Crisologo v. Omelio, A.M. No. RTJ-12-2321
(2012), citing Sec. 16, Rule 39, and quoting
Naguit v. CA, G.R. No. 137675 (2000)]

C. Continuity of Jurisdiction
Doctrine of Continuity of Jurisdiction
Also known as the doctrine of adherence of
jurisdiction.

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F. Distinguish: Exclusive and briefs are not disputed by the respondents;
and
Concurrent j. When the findings of fact of the Court of
Appeals are premised on the supposed
Concurrent/ absence of evidence and contradicted by
Exclusive
Coordinate the evidence on record. [Aklan v. Enero,
Concurrent G.R. No. 178309, January 27, 2009]
jurisdiction is also
called coordinate a. Exclusive Original Jurisdiction
Exclusive jurisdiction. It is the
jurisdiction power of different Petitions for certiorari, prohibition, and
precludes the idea of courts to take mandamus against appellate courts, namely:
co-existence and cognizance of the 1. Court of Appeals, [Sec. 17, R.A. 296]
refers to jurisdiction same subject 2. Commission on Elections, [Sec 7, Art. IX,
possessed to the matter. Constitution]
exclusion of others. Where such 3. Commission on Audit, [Sec. 7, Art. IX,
[Cubero v. Laguna jurisdiction exists, Constitution]
West Multi-Purpose the court first taking 4. Sandiganbayan, and [P.D. 1606 as
Cooperatives, Inc., cognizance of the amended]
G.R. No. 166833 case assumes [1 Riano 106, 2014 Bantam Ed.]
(2006)] jurisdiction to the 5. Court of Tax Appeals (not en banc). [1
exclusion of the Riano 92, 2016 Bantam Ed.] (if en banc,
other courts. SC in appellate jurisdiction)
[1 Riano 49, 2016 Bantam Ed.] b. Concurrent Original Jurisdiction
1. With CA
G. Original Jurisdiction of a. Petitions for certiorari, prohibition, and
Various Philippine Courts mandamus against first-level courts
and bodies, namely
1. Supreme Court i. RTCs [Sec. 21(1), B.P. 129]
ii. Civil Service Commission [R.A.
General Rule: The SC is not a trier of facts. 7902]
iii. Central Board of Assessment
Exception: The SC can look into the facts of a Appeals [P.D. 464; B.P. 129; R.A.
case: 7902]
a. When the conclusion is a finding grounded iv. NLRC and [St. Martin Funeral
entirely on speculation, surmises and Homes v. NLRC, G.R. No. 130866
conjectures; (1998); R.A. 7902]
b. When the inference made is manifestly v. Other Quasi-Judicial Agencies.
mistaken, absurd or impossible; [B.P. 129; R.A. 7902; Heirs of
c. Where there is a grave abuse of discretion; Hinog v. Melicor, G.R. No. 140954
d. When the judgment is based on a (2005) [1 Riano 106-107, 2014
misapprehension of facts; Bantam Ed.]
e. When the findings of fact are conflicting;
f. When the Court of Appeals, in making its Note: Although there is concurrent
findings, went beyond the issues of the jurisdiction as the Constitution
case and the same is contrary to the grants this to the SC, SC A.M. No.
admissions of both appellant and appellee; 07-7-12 issued on 4 December
g. When the findings are contrary to those of 2007 provides that if the petition
the trial court; involves an act/omission of a
h. When the findings of fact are conclusions Quasi-Judicial Agency, the
without citation of specific evidence on petition shall only be cognizable
which they are based; by the CA and must be filed there
i. When the facts set forth in the petition as b. Quo Warranto petitions,
well as in the petitioners' main and reply c. Writ of Habeas Corpus,
d. Writ of Amparo,
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e. Writ of Habeas Data, and [1 Riano 93- f. Writ of KaIikasan. [Sec. 3, Rule 7,
94, 2016 Bantam Ed.] Part 3, Rules of Procedure for
f. Writ of KaIikasan. [Sec. 3, Rule 7, Part Environmental Cases]
3, Rules of Procedure for
Environmental Cases] 2. With RTC
a. Petitions for certiorari, prohibition and
2. With RTC mandamus against lower courts and
a. Cases affecting ambassadors, public bodies
ministers, and consuls [Sec. 21(2), b. Quo warranto petitions, and
B.P. 129] c. Writ of Habeas Corpus [1 Riano 96,
b. Petitions for certiorari, prohibition, and 2016 Bantam Ed.]
mandamus against lower courts [1 d. Writ of Amparo, and [Sec. 3, Rule on
Riano 93, 2016 Bantam Ed.] the Writ of Amparo]
c. Quo Warranto petitions, e. Writ of Habeas Data [Sec. 3, Rule on
d. Writ of Habeas Corpus, the Writ of Habeas Data]
e. Writ of Amparo, and
f. Writ of Habeas Data. 3. With Sandiganbayan
a. Writ of Amparo, and
3. With Sandiganbayan b. Writ of Habeas Data
a. Writ of Amparo, and
b. Writ of Habeas Data. 3. Court of Tax Appeals

2. Court of Appeals a. Exclusive Original Jurisdiction

a. Exclusive Original Jurisdiction Over tax collection cases involving final and
executory assessments for taxes, fees,
Actions for annulment of judgments of the RTC charges, and penalties; Provided, however,
[see: Sec. 9(2), B.P. 129; Sec. 1, Rule 47] that collection cases where the principal
amount of taxes and fees. exclusive of charges
b. Concurrent Original Jurisdiction and penalties claimed, is less than P1,000,000
shall be tried by the proper Municipal Trial
1. With SC Court Metropolitan Trial Court, and Regional
a. Petitions for certiorari, prohibition, and Trial Court.
mandamus against first-level courts
and bodies, namely 4. Sandiganbayan
i. RTCs [Sec. 21(1), B.P. 129]
ii. Civil Service Commission [R.A. a. Exclusive Original Jurisdiction
7902]
iii. Central Board of Assessment 1. Violations of R.A. 3019 or the Anti-Graft
Appeals [P.D. 464; B.P. 129; R.A. and Corrupt Practices Act
7902] 2. Violations of R.A. 1379 or An Act Declaring
iv. NLRC and [St. Martin Funeral Forfeiture in Favor of the State Any
Homes v. NLRC, G.R. No. 130866 Property Found to Have Been Unlawfully
(1998); R.A. 7902] Acquired by Any Public Officer or
v. Other Quasi-Judicial Agencies. Employee and Providing for the
[B.P. 129; R.A. 7902; Heirs of Proceedings Therefor
Hinog v. Melicor, G.R. No. 140954 3. Bribery (Chapter II, Sec. 2, Title VII, Book
(2005) [1 Riano 106-107, 2014 II, RPC), where one or more of the principal
Bantam Ed.] accused are occupying the following
b. Quo Warranto petitions, positions in government, whether in a
c. Writ of Habeas Corpus, permanent, acting or interim capacity, at
d. Writ of Amparo, the time of the commission of the offense
e. Writ of Habeas Data, and [1 Riano a. Officials of the executive branch
93-94, 2016 Bantam Ed.] occupying the positions of regional
director and higher, otherwise

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classified as Grade 27 and higher, of mentioned above [Sec. 4, P.D. 1606,
the Compensation and Position as amended by R.A. 10660]
Classification Act of 1989 (R.A. 6758),
specifically including: 4. Other offenses or felonies whether
i. Provincial governors, vice- simple or complexed with other crimes
governors, members of the committed by the public officials and
sangguniang panlalawigan, and employees mentioned in subsection a. of
provincial treasurers, assessors, section 4 (as amended) in relation to their
engineers, and other provincial office
department heads 5. Civil and criminal cases filed pursuant to
ii. City mayors, vice-mayors, and in connection with E.O. Nos. 1, 2,
members of the sangguniang 14-A
panlungsod, city treasurers, 6. Petitions for mandamus, prohibition,
assessors, engineers, and other certiorari, habeas corpus, injunctions, and
city department heads other ancillary writs and processes in aid
iii. Officials of the diplomatic service of its appellate jurisdiction, and petitions of
occupying the position of consul similar nature, including quo warranto,
and higher arising or that may arise in cases filed or
iv. Philippine army and air force which may be filed under Executive
colonels, naval captains, and all Order Nos. 1, 2, 14 and 14-A, issued in
officers of higher rank; 1986 [Sec. 4, P.D. 1606, as amended by
v. Officers of the Philippine National R.A. 10660]
Police while occupying the position
of provincial director and those b. Concurrent Original Jurisdiction
holding the rank of senior
superintendent and higher With SC, CA, and RTC for petitions for writs of
vi. City and provincial prosecutors and amparo [Sec. 3, Rule on the Writ of Amparo]
their assistants, and officials and and habeas data [Sec. 3, Rule on the Writ of
prosecutors in the Office of the Habeas Data]
Ombudsman and special
prosecutor;
vii. Presidents, directors or trustees, or
managers of government-owned or
controlled corporations, state
universities or educational
institutions or foundations
b. Members of Congress and officials
thereof classified as Grade 27 and up
under R.A. 6758
c. Members of the Judiciary without
prejudice to the provisions of the
Constitution
d. Chairmen and Members of the
Constitutional Commissions without
prejudice to the provisions of the
Constitution
e. All other national and local officials
classified as Grade 27 and higher
under R.A. 6758

Note: Exclusive original jurisdiction

shall be vested in the proper RTC or
MTC, as the case may be, where none
of the accused are occupying positions
corresponding to Salary Grade 27 or
higher, or military and PNP officers
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5. Summary: Original Jurisdiction of Various PH Courts (RTC, MTC, MeTC, MCTC)
Pre-RA 11576 RA 11576

Regional Trial Court

Exclusive Original Jurisdiction

All civil actions in which the subject of the litigation is incapable of pecuniary estimation [Sec.
19(1), B.P. 129, as amended by R.A. 7691]

Civil actions involving title to, or possession of Civil actions involving title to, or possession of
real property, or any interest therein, where real property, or any interest therein, where
assessed value exceeds P20,000 outside Metro assessed value exceeds P400,000 [Sec. 19(2),
Manila, or exceeds P50,000 in Metro Manila B.P. 129, as amended by R.A. 11576]
[Sec. 19(2), B.P. 129, as amended by R.A. 7691]

Exception: Forcible entry and unlawful detainer (FEUD) cases, as FEUD cases are within the
exclusive original jurisdiction of the MTC. [Sec. 33(2), B.P. 129, as amended by R.A. 7691]

Any action if the amount involved exceeds If the amount involved exceeds P2,000,000 in
P300,000 outside Metro Manila or exceeds the following cases:
P400,000 in Metro Manila in the following cases A. Damages (apply totality rule).
[B.P. 129, as amended by RA 7691] B. Collection of sum of money, exclusive of
1.Actions in admiralty and maritime jurisdiction, damages claimed and interests.
where the amount refers to demand or claim C. Admiralty and maritime cases
[Sec. 19(3)] 2.Matters of probate (testate or D. Matters of Probate
intestate), where the amount refers to gross E. Other actions involving property [B.P. 129, as
value of estate [Sec. 19(4)] amended by R.A. 11576]
3.In all other cases where the amount refers to
the demand, exclusive of interest, damages of
whatever kind, attorney’s fees, litigation
expenses, and costs [Sec. 19(8)]

Cases not falling within the jurisdiction of any court, tribunal, person or body
exercising judicial or quasi-judicial functions. This jurisdiction is often described as the “general
jurisdiction” of the RTC making it a court of general jurisdiction. [1 Riano 146, 2014 Bantam Ed.]

All actions involving the contract of marriage and family relations [Sec. 19(5), B.P. 129, as
amended by R.A. 7691], and all civil actions and special proceedings falling within exclusive original
jurisdiction of Juvenile and Domestic Relations Court [Sec. 19(7), B.P. 129, as amended by R.A.
7691]

Note: This jurisdiction is deemed modified by Sec. 5, R.A. 8369, the law establishing the Family
Courts. However, in areas where there are no Family Courts, the cases within their jurisdiction shall
be adjudicated by the RTC [Sec. 17, R.A. 8369; 1 Riano 147, 2014 Bantam Ed.]

All civil actions and special proceedings falling within exclusive original jurisdiction of the Court
of Agrarian Reform [Sec. 19(7), B.P. 129, as amended by R.A. 7691]

Intra-corporate controversies
1. Cases involving devises or schemes employed by or any acts, of board of directors,
business associates, its officers or partnership, amounting to fraud and misrepresentation
which may be detrimental to interest of public and/or of stockholders, partners, members of
associations or organizations registered with SEC

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Pre-RA 11576 RA 11576

2. Controversies arising out of intra-corporate or partnership relations, between and among

stockholders, members or associates; between any or all of them and corporation,
partnership or association of which they are stockholders, members or associates,
respectively; and between such corporation, partnership or association and the state insofar
as it concerns their individual franchise or right to exist as such entity
3. Controversies in election or appointments of directors, trustees, officers or managers of such
corporations, partnerships or associations
4. Petitions of corporations, partnerships or associations to be declared in state of suspension
of payments in cases where corporation, partnership of association possesses sufficient
property to cover all its debts but foresees impossibility of meeting them when they
respectively fall due or in cases where corporation, partnership or association has no
sufficient assets to cover its liabilities, but is under management of a Rehabilitation Receiver
or Management Committee [Sec. 52, Securities and Regulations Code]

Petitions for declaratory relief [Sec. 1, Rule 63]

b. Cases originally falling within the exclusive original jurisdiction of the Sandiganbayan where the
information:
1. Does not allege any damage to the government or any bribery; or
2. Alleges damage to the government or bribery arising from the same or closely related
transactions or acts in an amount not exceeding P1 million. [Sec. 4, P.D. 1606, as amended
by R.A. 10660]

Concurrent Original jurisdiction

With SC a. Cases affecting ambassadors, public

ministers, and consuls [Sec. 21(2), B.P.
129]
b. Petitions for certiorari, prohibition, and
mandamus against lower courts [1 Riano
93, 2016 Bantam Ed.]
c. Quo Warranto petitions,
d. Writ of Habeas Corpus,
e. Writ of Amparo, and
f. Writ of Habeas Data

With SC and CA g. Petitions for certiorari, prohibition and

mandamus against lower courts and
bodies
h. Quo warranto petitions, and
i. Writ of Habeas Corpus [1 Riano 96, 2016
Bantam Ed.]
j. Writ of Amparo, and [Sec. 3, Rule on the
Writ of Amparo]
k. Writ of Habeas Data [Sec. 3, Rule on the
Writ of Habeas Data]
l. Writ of continuing mandamus on
environmental cases

With SC, CA, Sandiganbayan m. Writ of Amparo, and

n. Writ of Habeas Data

With the Insurance Commissioner Claims not exceeding P100,000

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Pre-RA 11576 RA 11576

Municipal Trial Court, Metropolitan Trial Court, Municipal Circuit Trial Court

Exclusive original jurisdiction

Where the value of personal property, If the amount involved does not exceed
estate, or amount of demand does not P2,000,000 in the following cases:
exceed P300,000 outside Metro Manila or A. Actions involving personal property
does not exceed P400,000 in Metro Manila, B. Probate Proceeding based on gross value of
exclusive of interest, damages of whatever the estate
kind, attorney’s fees, litigation expenses, and C. Admiralty and maritime cases
costs, in the following cases: D. Demand for collection of money, exclusive of
1. Civil actions, damages claimed and interests.
2. Probate proceedings, (testate or E. damages
intestate) [Sec. 33(1), B.P. 129, as amended by R.A.
3. Provisional remedies in proper cases. 11576]
[Sec. 33(1), B.P. 129, as amended by R.A.
7691]

Forcible entry and unlawful detainer cases;

All civil actions involving title to, or All civil actions involving title to, or possession of,
possession of, real property, or any interest real property, or any interest therein where
therein where assessed value of property or assessed value of property or interest therein
interest therein does not exceed P20,000 does not exceed P400,000 exclusive on interest,
outside Metro Manila, or does not exceed damages of whatever kind, attorney’s fees,
P50,000 in Metro Manila [Sec. 33(3), B.P. litigation expenses and costs: Provided, that in
129, as amended by R.A. 7691] cases of land not declared for taxation purposes,
the value of such property shall be determined
by the assessed value of the adjacent lots. [Sec.
33(3), B.P. 129, as amended by R.A. 11576]

Those governed by the Rules on Summary

Procedure.

Inclusion and exclusion of voters [Sec. 49,

Omnibus Election Code]

Note: The cutoff date for the coverage of the 2022 Bar Examinations is 30 June 2021 as per Bar
Bulletin No. 2, s. of 2022. RA 11576 was signed into law on 30 July 2021 and took effect last 21 August
2021.

a. Notes on Jurisdiction: 1. RTC

Totality Rule Test if incapable of pecuniary estimation: If

If several claims or causes of action are it is primarily for the recovery of a sum of
embodied in the same complaint, the amount money, the claim is considered capable of
of all the demands shall be the basis in pecuniary estimation. On the other hand,
computation of the amount involved, if where the basic issue is something other than
a. Claims are in the same complaint the right to recover a sum of money, and the
b. Claims are against the same defendant money claim is purely incidental to, or a
c. No misjoinder of parties [1 Riano 104, consequence of, the principal relief sought,
2016 Bantam Ed.] such actions are cases where the subject of the
litigation is incapable of pecuniary estimation.
[Heirs of Padilla v. Magdua, G.R. No. 176858
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(2010), quoting Singson v. Isabela Sawmill, 6. Family Courts
G.R. No. L-27343 (1979)]
a. Criminal cases where one or more accused
However, if the principal nature of an action to is below 18 but not less than 9 years old or
cancel a contract to sell, where the where one or more victims was a minor at
defendant has already taken possession of time of commission of offense,
the property, involves a determination on b. Petitions for guardianship, custody of
whether a suspensive condition has been children and habeas corpus in relation to
fulfilled – then the subject matter involved children,
is one that is incapable of pecuniary c. Petitions for adoption of children and
estimation: In Olivarez Realty v. Castillo [G.R. revocation thereof,
No. 196251 (2014)], the action instituted in the d. Complaints for annulment of marriage,
trial court was one for the cancellation of a declaration of nullity of marriage and those
contract to sell, and prior to the institution of the relating to status and property relations of
action the defendant had already proceeded to husband and wife or those living together
occupy the property involved. In this instance, under different status and agreements, and
the SC held that the action involved a subject petitions for dissolution of conjugal
matter that was incapable of pecuniary partnership of gains,
estimation. The difference in the ruling of the e. Petitions for support and/or
SC here and in Home Guaranty lies in that fact acknowledgment,
that in Olivarez Realty, what the plaintiff had f. Summary judicial proceedings brought
principally sought was a determination that a under the provisions of Family Code,
suspensive condition for the perfection of the g. Petitions for declaration of status of
contract had not been fulfilled: “the trial court children as abandoned, dependent or
principally determined whether Olivarez Realty neglected children, voluntary or involuntary
Corporation failed to pay installments of the commitment of children, suspension,
property’s purchase price as the parties agreed termination or restoration of parental
upon in the deed of conditional sale. The authority, and other cases cognizable
principal nature of Castillo’s action, therefore, under P.D. 603, E.O. 56, s. 1986, and other
is incapable of pecuniary estimation.” related laws,
h. Petitions for constitution of family home,
See also: Heirs of Bautista v. Lindo [G.R. No. i. Cases against minors cognizable under
208232 (2014)], where an action to redeem a Dangerous Drugs Act, as amended, (now
land subject of a free patent was characterized R.A. 9165)
by the SC as one whose subject matter was j. Violations of R.A. 7610, or the “Special
incapable of pecuniary estimation since the Protection of Children Against Child Abuse,
reacquisition of the land was merely incidental Exploitation and Discrimination Act”, and
to and an offshoot of the exercise of the right to k. Cases of domestic violence against
redeem the land, pursuant to Sec. 119 of CA Women and Children. [Sec. 5, R.A. 8369]
141.
H. Aspects of Jurisdiction
An expropriation suit is incapable of
pecuniary estimation [Barangay San Roque
v. Heirs of Francisco Pastor, G.R. No. 138896 1. Jurisdiction over the Parties
(2000)]
Jurisdiction over the parties refers to the
2. METC power of the court to make decisions that are
Forcible entry and unlawful detainer (FEUD) binding on persons. [De Pedro v. Romansan
When defendant raises questions of ownership Development Corp, G.R. No. 194751 (2014)]
in his pleadings and the question of possession
cannot be resolved without deciding issue of It is an element of due process that is essential
ownership, the latter issue shall be resolved in all actions, civil or criminal, except in actions
only to determine the former issue [Sec. 33(2), in rem or quasi in rem. [Guy v. Gacott, G.R. No.
B.P. 129, as amended by R.A. 7691] 206147 (2016)]

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Kinds: Bantam Ed., citing Black’s Law Dictionary 767,
a. Over the plaintiff 5th Ed.]
b. Over the defendant
c. Over non-parties – It is a principle of b. How Jurisdiction is Conferred and
equity that jurisdiction over a person not Determined
formally or originally a party to a litigation
may nevertheless be acquired, under Jurisdiction over the subject matter of a case is
proper conditions, through the voluntary conferred by law and determined by the
appearance of that person before the court. allegations in the complaint which comprise
[Rodriguez v. Alikpala, G.R. No. L-38314 a concise statement of the ultimate facts
(1974)] constituting the plaintiff's cause of action.
[Medical Plaza Makati Condominium v. Cullen,
a. How jurisdiction over the plaintiff is G.R. No. 181416 (2013)]
acquired
The allegations in the body of the complaint
Courts acquire jurisdiction over a party plaintiff define the cause of action. The caption or title
upon the filing of the complaint [De Pedro v. of the cause of action is not controlling. [Dela
Romansan Development Corp, G.R. No. Cruz v. CA, G.R. No. 139442 (2006)]
194751 (2014)]
Consequences of rule that jurisdiction is
By the mere filing of the complaint, the plaintiff, conferred by law; it cannot be:
in a civil action, voluntarily submits himself to 1. Conferred by voluntary act or agreement of
the jurisdiction of the court. [Guy v. Gacott, the parties,
G.R. No. 206147 (2016)] 2. Acquired, waived, enlarged, or diminished
by any act or omission of the parties, or
b. How jurisdiction over the defendant 3. Conferred by the acquiescence of the
is acquired courts,
[De la Rosa v. Roldan, G.R. No. 133882
Jurisdiction over the person of the defendant is (2006)]
acquired: 4. Conferred by administrative policy of any
1. By his voluntary appearance in court and court, or [Arranza v. B.F. Homes, Inc., G.R.
his submission to its authority, or No. 131683 (2000)]
2. By service of summons. 5. Conferred by a court’s unilateral
[Sec. 23, Rule 14; Macasaet v. Co, G.R. No. assumption of jurisdiction. [Tolentino v.
156759 (2013)] Social Security Commission, G.R. No. L-
28870 (1985)]
Voluntary Appearance of the defendant gives [1 Riano 75-76, 2014 Bantam Ed.]
the court jurisdiction over his person despite
lack of service of summons or a defective Jurisdiction is not affected by the pleas set up
service of summons. Since his voluntary by the defendant in his answer or in a motion
appearance in the action shall be equivalent to to dismiss, otherwise, jurisdiction would be
service of summons. dependent on his whims. [Sindico v. Diaz, G.R.
No. 147444 (2004)]
For further discussion on voluntary
appearance, see section on Summons. 1. Distinguish: Doctrine of Primary
Administrative Jurisdiction and Doctrine
2. Jurisdiction over the Subject of Exhaustion of Administrative
Matter Remedies

a. Meaning of Jurisdiction over the General Rule: The doctrine of primary

jurisdiction holds that if a case is such that its
Subject Matter
determination requires the expertise,
specialized training and knowledge of the
Jurisdiction over the subject matter is the
proper administrative bodies, relief must first
power of a particular court to hear the type of
be obtained in an administrative proceeding
case that is then before it [1 Riano 71, 2014
before a remedy is supplied by the courts even
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if the matter may well be within their proper of jurisdiction over the subject matter of the
jurisdiction. [Province of Aklan v. Jody King claim. [Sec. 12, Rule 15] Moreover, under the
Construction and Dev’t Corp., G.R. No. 197592 Amended Rules, lack of jurisdiction over the
(2013)] subject matter is also an affirmative defense
which can be raised in a defendant’s answer.
Exceptions: [Sec. 12(d), Rule 8 in relation to Sec. 5(b), Rule
a. Where there is estoppel on the part of the 6]
party invoking the doctrine,
b. Where the challenged administrative act is 1. Effect of Estoppel on Objection to
patently illegal, amounting to lack of Jurisdiction
jurisdiction,
c. Where there is unreasonable delay or General Rule:
official inaction that will irretrievably Lack of jurisdiction over the subject matter may
prejudice the complainant, be raised at any stage of the proceedings,
d. Where the amount involved is relatively even for the first time on appeal. [Asiatrust
small, Development Bank v. First Aikka Development,
e. Where the question involved is purely legal Inc., G.R. No. 179558 (2011)]
and will ultimately have to be decided by
the courts, Exception: Tijam v. Sibonghanoy [G.R. No. L-
f. Where judicial intervention is urgent, 21450 (1968)] espoused the doctrine of
g. When its application may cause great and estoppel by laches, which held that a party
irreparable damage, may be barred from questioning a court’s
h. Where the controverted acts violate due jurisdiction after invoking the court’s authority
process, in order to secure affirmative relief against its
i. When the issue of non-exhaustion of opponent, when laches would prevent the
administrative remedies has been issue of lack of jurisdiction from being raised for
rendered moot, the first time on appeal by a litigant whose
j. When there is no other plain, speedy, purpose is to annul everything done in a trial in
adequate remedy, which it has actively participated [Francel
k. When strong public interest is involved, Realty Corp. v. Sycip, G.R. No. 154684 (2005)]
and
l. In quo warranto proceedings. Note: Tijam v. Sibonghanoy must be
[Province of Aklan v. Jody King Construction construed as an exception to the general
and Dev’t Corp., G.R. No. 197592 (2013)] rule and applied only in the most exceptional
cases where the factual milieu is similar to that
The doctrine of primary jurisdiction is corollary in the said case [Figueroa v. People, G.R. No.
to the doctrine of exhaustion of 147406 (2008)]
administrative remedies in which courts
cannot determine a controversy involving a Note: Even if Sec. 12(b), Rule 8 of the
question which is within the jurisdiction of the Amended Rules provides that the failure to
administrative tribunal prior to the resolution of raise an affirmative defense at the earliest
that question by the administrative tribunal. opportunity constitutes a waiver thereof, the
[International Service v. Greenpeace failure to raise lack of jurisdiction over the
Southeast Asia, G.R. No. 209271 (2015)] subject matter as an affirmative defense in
the answer does not waive such defense.
c. Objections to Jurisdiction over the The retention of Sec. 1, Rule 9 maintains the
Subject Matter status of lack of jurisdiction over the subject
matter as a non-waivable defense. As such,
When it appears from the pleadings or the proper action if one failed to raise the
evidence on record that the court has no court’s lack of jurisdiction over the subject
jurisdiction over the subject matter, the court matter in the answer would be to file a motion
shall dismiss the claim. [Sec. 1, Rule 9] to dismiss, which can be filed at any point
during the proceedings, subject to the doctrine
Under the Amended Rules, a motion to in Tijam.
dismiss is now a prohibited motion, but one of
the exceptions provided is the ground of lack
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3. Jurisdiction over the Issues jurisdiction over the res) [Biaco v.
Philippine Countryside Rural Bank, G.R.
Jurisdiction over the issues is the power of No. 161417 (2007); El Banco Español-
the court to try and decide the issues raised in Filipino v. Palanca, G.R. No. 11390 (1918)]
the pleadings of the parties [Reyes vs Diaz,
G.R. No. 48754 (1941)] In order that the court may exercise power over
the res, it is not necessary that the court
Generally, jurisdiction over the issues is should take actual custody of the property,
conferred and determined by potential custody thereof being sufficient.
1. The pleadings of the parties, which [Marcos, Jr. v. Republic, G.R. No. 189434
present the issues to be tried and (2014); Perkins v. Dizon [G.R. No. 46631
determine whether or not the issues are of (1939)]
fact or law [Reyes v. Diaz, G.R. No. L-
48754 (1941)] Example: A land registration case is a
2. Stipulation of the parties as when, in the proceeding in rem. In such a case, actual
pre-trial, the parties enter into stipulations possession of the land by the court is not
of facts or enter into agreement simplifying necessary. It is enough that there is
the issues of the case [Sec. 2(c), Rule 18] constructive seizure of the land through
3. Waiver or failure to object to evidence on publication and service of notice. [1 Riano 89,
a matter not raised in the pleadings. Here 2016 Bantam Ed.]
the parties try with their express or implied
consent on issues not raised by the Jurisprudence holds that if the action is in rem
pleadings. [Sec. 5, Rule 10] or quasi in rem, jurisdiction over the person
[1 Riano 83-84, 2016 Bantam Ed.] of the defendant is not required. What is
required is jurisdiction over the res, although
The rule is that a party is entitled only to such summons must also be served upon the
relief consistent with and limited to that sought defendant in order to satisfy the requirements
by the pleadings or incidental thereto. A trial of due process. [Gomez vs CA, G.R. No.
court would be acting beyond its 127692 (2004)]
jurisdiction if it grants relief to a party
beyond the scope of the pleadings. I. Distinguish : Jurisdiction vs.
[Gonzaga v. CA, G.R. No. 142037 (2004)]
Exercise of Jurisdiction
4. Jurisdiction over the Res or Jurisdiction is the authority to decide a case.
Property in Litigation It is the power of the court.

Jurisdiction over the res refers to the court’s Exercise of Jurisdiction is the exercise of
jurisdiction over the thing or the property which such power or authority. Where there is
is the subject of the action [1 Riano 104, 2014 jurisdiction over the person and the subject
Bantam Ed.] matter, the decision on all other questions
arising in the case is an exercise of that
“Res,” in civil law is a “thing” or “object.” It is jurisdiction. [Republic v. G Holdings, Inc, G.R.
everything that may form an object of rights, as No. 141241 (2005)]
opposed to a “persona,” which is the subject of
rights. It includes object, subject matter or
status [1 Riano 86, 2016 Bantam Ed., citing
J. Distinguish : Jurisdiction vs.
Black’s Law Dictionary 1172, 5th Ed.] Venue
How Acquired: Venue Jurisdiction
1. By seizure of the thing under legal process Place where the
Authority to hear and
whereby, it is brought into actual custody of case is to be heard
determine a case
the law (custodia legis); or or tried
2. From the institution of legal proceedings Procedural Substantive
wherein, under special provisions of law, Establishes a Establishes a
the power of the court over the property is relation between relation between the
recognized and made effective (potential
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plaintiff and court and the subject Except:
defendant, or matter a. Where one party is the government or any
petitioner and subdivision or instrumentality thereof
respondent b. Where one party is a public officer or
May be changed by employee, and the dispute relates to the
Fixed by law and performance of his official functions
the written
cannot be conferred c. Offenses punishable by imprisonment
agreement of the
by the act or exceeding one (1) year or a fine exceeding
parties or waived
agreement of the P5,000
expressly or
parties d. Offenses where there is no private
impliedly
The court may offended party
The court may not dismiss an action e. Where the dispute involves real properties
dismiss an action motu proprio in case located in different cities or municipalities
motu proprio for of lack of jurisdiction unless the parties thereto agree to submit
improper venue over the subject their differences to amicable settlement by
[Rudolf Lietz matter an appropriate lupon
Holdings, Inc. v. [Rudolf Lietz f. Disputes involving parties who actually
Registry of Deeds of Holdings, Inc. v. reside in barangays of different cities or
Parañaque City, Registry of Deeds of municipalities, except where such
G.R. No. G.R. No. Parañaque City, barangay units adjoin each other and the
133240 (2000)] G.R. No. G.R. No. parties thereto agree to submit their
133240 (2000)] differences to amicable settlement by an
Jurisdiction over the appropriate lupon
subject matter may g. Such other classes of disputes which the
The objection to an be raised at any President may determine in the interest of
improper venue stage of the justice or upon the recommendation of the
must be raised in the proceedings since it Secretary of Justice
answer as an is conferred by law, [Sec. 408, Local Government Code]
affirmative defense. although a party may h. Any complaint by or against corporations,
[Sec 12, Rule 8] be barred from partnerships, or juridical entities, since only
It is no longer a valid raising it on the individuals shall be parties to barangay
ground for a motion ground of estoppel conciliation proceedings either as
to dismiss. [La’o v. Republic, complainants or respondents, [Sec. 1, Rule
G.R. No. 160719 VI, Katarungang Pambarangay Rules; also
(2006)] see SC Administrative Circular No. 14-93]
[Nocum v. Tan, G.R. No. 145022 (2005)] i. Disputes where urgent legal action is
[1 Riano 196, 2014 Bantam Ed.] necessary to prevent injustice from being
committed or further continued,
specifically:
K. Jurisdiction Over Cases i. A criminal case where the accused is under
Covered by Barangay police custody or detention,
Conciliation, Small Claims ii. A petition for habeas corpus by a
person illegally detained or deprived of
Cases, and Cases Covered by his liberty or one acting in his behalf,
Summary Procedure iii. Actions coupled with provisional
remedies, such as preliminary
injunction, attachment, replevin and
1. Cases Covered by Barangay
support pendente lite, or
Conciliation iv. Where the action may be barred by the
Statute of Limitations,
The Lupon of each barangay shall have the j. Labor disputes or controversies arising
authority to bring together the parties actually from employer-employee relationship,
residing in the same municipality or city for k. Where the dispute arises from the CARL,
amicable settlement of all disputes. or

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l. Actions to annul judgment upon a a money claim covered by this Rule
compromise which may be directly filed in pursuant to Sec. 417 of the LGC.
court. [Sec. 2, A.M. No. 08-8-7-SC, February 1, 2016]
[Supreme Court Administrative Circular No. 14-
93] 3. Cases Covered by Rules on
Summary Procedure
Note: Barangay conciliation is a condition
precedent for filing a case. However, failure to a. All cases of forcible entry and unlawful
comply with a condition precedent is no longer detainer (FEUD), irrespective of the
a ground for a motion to dismiss under the amount of damages or unpaid rentals
Amended Rules. It is now included in the sought to be recovered,
enumerated Affirmative Defenses that may be b. All other cases, except probate
set out in the answer under Sec. 12(a), Rule 8. proceedings, where the total amount of the
Being a waivable defense, the failure to raise plaintiff‘s claim does not exceed
non-compliance with condition precedent in the P100,000 outside Metro Manila or
answer constitutes a bar from raising such P200,000 in Metro Manila, exclusive of
defense later in the proceedings. interest and costs
[Sec. 1, Revised Rule on Summary Procedure,
2. Cases Covered by Revised Rules as amended by A.M. No. 02-11-09-SC]
of Procedure for Small Claims Cases

This Rule shall govern the procedure in actions

II. GENERAL PROVISIONS
before the Metropolitan Trial Courts (MeTCs),
Municipal Trial Courts, (MTCs) and Municipal A. Applicability
Circuit Trial Courts (MCTCs) for payment or
reimbursement of a sum of money where the The Rules of Court shall apply in all the courts,
value of the claim does not exceed One Million except as otherwise provided by the Supreme
Pesos (P1,000,000.00) [Rule IV, March 1, Court. [Sec. 2, Rule 1]
2022 Resolution in A.M. No. 08-8-7-SC] [OCA
Circular No. 69-2022] Actions or Proceedings Governed by the
Rules of Court
Note: The cutoff date for the coverage of the 1. Civil actions
2022 Bar Examinations is 30 June 2021 as per 2. Criminal actions
Bar Bulletin No. 2, s. of 2022. 3. Special Proceedings
[Sec. 3, Rule 1]
Prior to the amendment, small claims are civil
claims which are exclusively for the payment or Actions or Proceedings Not Governed by
reimbursement of a sum of money not the Rules of Court
exceeding P400,000.00 or P300,000.00, 1. Election cases
depending on the venue of the claim [as 2. Land registration cases
amended by OCA Circular No. 45-2019, 3. Cadastral cases
effective 01 April 2019]. 4. Naturalization cases
5. Insolvency proceedings
Applicability
All actions which are purely civil in nature, However, the Rules may still apply to the
where the claim or relief prayed for by the cases above by analogy or in suppletory
plaintiff is solely for payment or reimbursement character and whenever practicable and
of sum of money. convenient. [Sec. 4, Rule 1]

The claim or demand may be: B. Construction

a. For money owed under a contract of lease,
loan, services, sale, or mortgage, The Rules shall be liberally construed in order
b. For liquidated damages arising from to promote a just, speedy, and inexpensive
contracts, or disposition of every action and proceeding.
c. The enforcement of a barangay amicable [Sec. 6, Rule 1]
settlement or an arbitration award involving
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A strict and rigid application of the rules of 3. Distinguish: Civil Actions and
procedure, especially on technical matters, Special Proceedings
which tend to frustrate rather than promote
substantial justice, must be avoided. [Tiorosio- Special
Espinosa v. Hofileña-Europa, G.R. No. Civil Action
Proceeding
185746 (2016)] A civil action is one
A special
by which a party sues
However, compliance with the procedural proceeding is a
another for the
rules is still the general rule, and remedy by which a
enforcement or
abandonment thereof should only be done in party seeks to
protection of a right,
the most exceptional circumstances. [Pilapil v. establish a status, a
or the prevention or
Heirs of Briones, 514 SCRA 197 (2007)] right, or a particular
redress of a wrong
fact [Sec. 3(c), Rule
[Sec. 3(a), par. 1,
C. Commencement of Civil 1]
Rule 1]
Action
The rules of ordinary civil actions have
The filing of the original complaint in court suppletory application in special proceedings.
signifies the commencement of the civil action. [1 Riano 192, 2016 Bantam Ed.] (also see Sec.
[Sec. 5, Rule 1] 2, Rule 72)

1. Meaning of Ordinary Civil Actions 4. Distinguish : Personal Actions and

Real Actions
An ordinary civil action is one which is
governed by the rules for ordinary civil actions. Real Action Personal Action
[Sec. 3(a), par. 2, Rule 1] It is an action
Rules for Ordinary Civil Actions refer to Rule 2 affecting title to or It refers to all other
(Cause of Action) until Rule 61 (Provisional possession of real actions which are
Remedies). property, or interest not real actions.
a. General Rules on Ordinary Civil Action - therein. [See Sec. 1, [Sec. 2, Rule 4]
Rule 2 to Rule 5 Rule 4]
b. Procedure in Trial Courts - Rule 6 to Rule
39 Why distinction is important
c. Appeals - Rule 40 to Rule 43 In order to determine the proper venue of the
d. Procedure in the Court of Appeals - Rule action. [Sec.1, Rule 4 in relation to Sec. 2, Rule
44 to Rule 55 4]
e. Procedure in the SC - Rule 56
f. Provisional Remedies - Rule 57 to Rule For purposes of determining venue, the
61 question of whether or not the venue has been
properly laid depends to a great extent on the
2. Meaning of Special Civil Actions kind of action (real or personal) presented by
the complaint. [PICOP v. Samson, G.R. No. L-
A special civil action is one which is subject 30175 (1975)]
to the specific rules prescribed for a special civil
action but also governed by the rules for Not every action involving real property is a
ordinary civil actions. [Sec. 3(a), par. 2, Rule 1] real action because the realty may only be
incidental to the subject matter of the suit. In
Rules 62 to 71 provide for special civil actions. the cases of Heirs of Bautista v. Lindo [G.R.
However, despite having particular rules which No. 208232 (2014)] involving a complaint to
govern the special civil actions, the rules for redeem a parcel of land subject of a free patent
ordinary civil action still apply. and Olivarez Realty vs Castillo [G.R. No.
196251 (2014) involving an action for
rescission of a contract involving real property],
the SC held that the conveyance of real
property was only incidental to the
determination of matters incapable of
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pecuniary estimation. The cases were deemed
personal actions because the principal action
or remedy sought does not involve title to or
possession of real property.

a. Local and Transitory Actions

Local Action Transitory Action

A transitory action is
A local action is one
one which may be
which has to be filed
filed in the residence
in the place where
of the plaintiff or
the property is
defendant, at the
located. [Sec.1, Rule
option of the plaintiff.
4]
[Sec. 2, Rule 4]
One that could be
One that could be
prosecuted in any
instituted in one
one of several
specific place.
places.
[Manila Railroad v.
[ManilaRailroad v.
Attorney-General,
Attorney-General,
G.R. No. L-6287
G.R. No. L-6287
(1911)]
(1911)]

b. Actions in rem, in personam, and

quasi in rem

Why distinction is important

● To determine the binding effect of a
decision the court may render over a
party, whether impleaded or not
[Paderanga v. Buissan, G.R. No. 49475
(1993)]
● To determine whether or not jurisdiction
over the person of the defendant is
required, and the type of summons to be
employed [1 Riano 206, 2016 Bantam Ed.]

Actions in rem, in personam, and quasi in rem

Action in rem Action in personam Action quasi in rem
Action against the thing Names a person as
or res itself, instead of One which seeks to defendant, but its object is
against the person enforce personal rights to subject that person's
[Hernandez v. Rural and obligations brought interest in a property to a
Definition
Bank of Lucena, Inc. against the person. corresponding lien or
G.R. No. L-29791, [Paderanga v. Buissan, obligation [Lucas v. Lucas,
(1978)] GR. No. 49475 (1993)] G.R. No. 190710 (2011)]

Not a prerequisite to
Necessary for the court to Not a prerequisite to
confer jurisdiction on
validly try and decide the confer jurisdiction on the
Jurisdiction the court, provided that
case which can be made court, provided that the
over the the latter has
through service of latter has jurisdiction over
person jurisdiction over the res
summons [Lucas v. Lucas, the res [Lucas v. Lucas,
[Lucas v. Lucas, G.R.
G.R. No. 190710 (2011)] G.R. No. 190710 (2011)]
No. 190710 (2011)]

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Action in rem Action in personam Action quasi in rem
Jurisdiction over the res
is acquired either (a) by Jurisdiction over the res is
the seizure of the acquired either (a) by the
property under legal seizure of the property
process, whereby it is under legal process,
brought into actual Jurisdiction is acquired whereby it is brought into
How custody of the law, or through service of actual custody of the law,
jurisdiction (b) as a result of the summons as provided in or (b) as a result of the
is acquired institution of legal the Rule 14 or voluntary institution of legal
proceedings, in which appearance proceedings, in which the
the power of the court is power of the court is
recognized and made recognized and made
effective [Lucas v. effective [Lucas v. Lucas,
Lucas, G.R. No. 190710 G.R. No. 190710 (2011)]
(2011)]
Any judgment therein is
The decision is binding Judgments therein are
binding only upon the
Binding as against the whole binding only upon the
parties properly
effect of world [Paderanga v. parties who joined in the
impleaded [Paderanga v.
decisions Buissan, G.R. No. action [Macasaet v. Co,
Buissan, GR. No. 49475
49475 (1993)] G.R. No. 156759 (2013)]
(1993)]
Petition for adoption,
Attachment, foreclosure of
annulment of marriage, Action for a sum of money;
mortgage, action for
or correction of entries action for damages [1
Examples partition and action for
in the birth certificate Riano 221, 2014 Bantam
accounting [1 Riano 227,
[Lucas v. Lucas, G.R. Ed.]
2014 Bantam Ed.]
No. 190710 (2011)]

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D. Cause of Action The cause of action
of the plaintiff is
1. Meaning of Cause of Action A right of action is determined by the
determined by averments in the
A cause of action is an act or omission by substantive law. pleading regarding
which a party violates a right of another [Sec. the acts committed
2, Rule 2] by the defendant.
[1 Regalado 21, 2010 Ed.]
Without a cause of action, one cannot seek
judicial relief for a violation of one’s rights There can be no right of action without a
because every ordinary civil action must be cause of action being first established.
based on a cause of action [Sec. 1, Rule 2] [Español v. The Chairman and Members of the
Board of Administrators, Philippine Veterans
Elements of a cause of action Administration, G.R. No. L-44616 (1985)]
a. Plaintiff’s legal right;
b. Defendant’s correlative obligation to 3. Distinguish: Failure of the
respect plaintiff’s right; and Complaint to State a Cause of Action
c. Defendant’s act/omission in violation of and Lack of Cause of Action
plaintiff’s right
[Ma-ao Sugar Central v. Barrios, G.R. No. L- Failure to state a cause of action is no longer a
1539 (1947)] ground for a motion to dismiss under the
Amended Rules. It is, however, one of the
When cause of action must exist enumerated Affirmative Defenses that must be
A cause of action must exist at the time of the set out in the Answer or else it is deemed
filing of the complaint – else, the case shall waived. [Sec 12, Rule 8]
be dismissible for being a groundless suit.
[Swagman Hotels and Travel v. CA, G.R. No. The complaint must contain a concise
161135 (2005), reiterating Surigao Mine statement of the ultimate or essential facts
Exploration v. Harris, G.R. No. L-45543 (1939)] constituting the plaintiff’s cause of action. The
focus is on sufficiency, not veracity, of the
A complaint whose cause of action has not yet material allegations. [Anchor Savings Bank v.
accrued cannot be cured by an amended or Furigay, G.R. No. 191178 (2013)]
supplemental pleading alleging the existence
or accrual of a cause of action during the Failure to State Lack of Cause of
pendency of the action. At that point in time, it Cause of Action Action
was premature. [Turner v. Lorenzo Shipping, Refers to the Refers to a situation
G.R. 157479 (2010)] insufficiency of the where the evidence
allegations in the failed to prove the
2. Distinguish: Right of Action and pleading. cause of action.
Cause of Action The proper remedy
when there is a
The proper remedy
Right of Action Cause of Action failure to state a
when the complaint
The delict or cause of action is to
The remedial right or is not based on a
wrongful act or allege the same as
right to relief granted cause of action is to
omission committed an affirmative
by law to a party to file a Demurrer of
by the defendant in defense in the
institute an action Evidence. [Rule 33]
violation of the Answer. [Sec. 12(4),
against a person Rule 8]
primary rights of the
who has committed [Macaslang v. Zamora, G.R. No. 156375
plaintiff. [Racoma v.
a delict or wrong (2011)]
Fortich, G.R. No. L-
against him.
29380 (1971)]
Right to sue as a
consequence of the The delict or wrong.
delict.

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4. Test of Sufficiency of Cause of 5. Splitting a Single Cause of Action
Action and its Effects

The test of sufficiency of a cause of action The act of instituting two or more suits on
rests on whether, hypothetically admitting the basis of the same cause of action [Sec.
the facts alleged in the complaint to be true, 4, Rule 2], or splitting a single cause of action,
the court can render a valid judgment upon is prohibited by the Rules. Such is referred to
the same, in accordance with the prayer in the as “splitting a single cause of action”. A
complaint. [Heirs of Maramag v. Maramag, party may not institute more than one suit for a
G.R. No. 181132 (2009)] single cause of action. [Sec. 3, Rule 2]

However, there is no hypothetical admission Such violates the policy against multiplicity of
of the veracity of the allegations if suits, whose primary objective is to avoid
a. The falsity of the allegations is subject to unduly burdening the dockets of the court
judicial notice; [Dynamic Builders & Construction Co Inc v.
b. The allegations are legally impossible; Presbitero, Jr. G.R. No. 174202 (2015)]
c. The allegations refer to facts which are
inadmissible in evidence; Tests to determine a “single” cause of
d. By the record or document in the pleading, action
the allegations appear unfounded; or The tests to ascertain whether two suits relate
e. There is evidence which has been to a single or common cause of action are:
presented to the court by stipulation of the a. Whether the same evidence would support
parties or in the course of hearings related and sustain both causes of action (Same
to the case Evidence Test);
[Heirs of Maramag v. Maramag, G.R. No. b. Whether the defenses in one case may be
181132 (2009)] used to substantiate the complaint in the
other; and
How to determine existence of cause of c. Whether the cause of action in the second
action case existed at the time of filing of the first
General Rule: complaint.
Determination shall be based only on facts [Umale v. Canoga Park Development
alleged in the complaint and from no other, Corp., G.R. No. 167246 (2011)]
and the court cannot consider other matters
aliunde [Manaloto v. Veloso III, G.R. No. Plaintiff's remedy if other reliefs not
171635 (2010)] included in the complaint: Amendment
In the event that a plaintiff has omitted to
Exception: include in the complaint one or several other
Instances when the SC considered matters reliefs to which he may be entitled, the proper
aside from the facts alleged in the complaint, remedy of the plaintiff is not to institute
such as: another or several other actions – instead he
a. Documents attached to the complaint should move to amend the complaint to include
[Agrarian Reform Beneficiaries Association the omitted relief or reliefs [Bayang v. CA, G.R.
v. Nicolas, G.R. No. 168394 (2008)] – this No. L-53564 (1987)]
case refers to actionable documents which
by express provision of the ROC are Dismissal as effect of splitting of cause of
deemed part of the pleading. action
b. Appended annexes, other pleadings, and The filing of one or a judgment upon the merits
admissions on record [Zepeda v. China in any one is available as a ground for the
Banking Corp., G.R. No. 172175 (2006)] – dismissal of the others [Sec. 4, Rule 2]
the jurisprudence establishing this
supposed exception ultimately points to The defendant facing a complaint which is
dismissals based on a lack of a cause of infirm due to the plaintiff splitting causes of
action, opposed to a failure of the action may either allege the infirmity as an
complaint to state a cause of action. Affirmative Defense in his Answer [Sec. 5(b),
Rule 6], or file a Motion to Dismiss on the
following grounds:
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a. Litis Pendentia: There is another action 2 are not met. [Perez v. Hermano, G.R. No.
pending between the same parties for the 147417 (2005)]
same cause [Sec. 12 (a)(2), Rule 15], or
b. Res Judicata: The cause of action is barred An erroneously joined cause of action may, on
by a prior judgment. [Sec. 12 (a)(3), Rule motion of a party or on the initiative of the court,
15] be severed and proceeded with separately.
Misjoinder is not a ground for dismissal of an
6. Joinder and Misjoinder of Causes action [Sec. 6, Rule 2]
of Action
Subject to waiver
Joinder of causes of action If there is no objection to the improper joinder
It is the assertion of as many causes of action or the court did not motu proprio direct a
as a party may have against another in one severance, then there exists no bar in the
pleading alone. [Sec. 5, Rule 2] It is the process simultaneous adjudication of all the
of uniting two or more demands or rights of erroneously joined causes of action, as long as
action in one action. [1 Riano 187, 2016 the court trying the case has jurisdiction
Bantam Ed.] over all of the causes of action therein
notwithstanding the misjoinder [Ada v. Baylon,
Rule merely permissive G.R. No. 182435 (2012)]
The rule however is purely permissive as there
is no positive provision of law or any rule of If the court has no jurisdiction to try the
jurisprudence which compels a party to join all misjoined action, then it must be severed.
his causes of action and bring them at one and Otherwise, adjudication rendered by the court
the same time. [Nabus v. CA, G.R. No. 91670 with respect to it would be a nullity. [Ada v.
(1991)] Baylon, G.R. No. 182435 (2012)]

Requisites E. Parties to Civil Actions

a. The plaintiff asserts numerous causes of
action in one pleading Plaintiff
b. The causes of action are against the May refer to the claiming party, counter-
opposing party claimant, cross-claimant, or third-party plaintiff.
c. The party joining the causes of action [Sec. 1, Rule 3]
complies with the rules on joinder of parties
under Sec 6, Rule 3, and Defendant
d. The joinder shall not include special civil May refer to the original defending party, the
actions or actions governed by special defendant in a counterclaim, the cross-
rules. defendant, or the third (fourth, etc.)-party
defendant. [Sec. 1, Rule 3]
Where causes of action are between the same
parties but pertain to different venues or Also includes an unwilling co-plaintiff - any
jurisdictions, the joinder may be allowed in party who should be joined as plaintiff but
the RTC provided one of the causes of action whose consent cannot be obtained. He may be
are within that court’s jurisdiction and venue made a defendant and the reason therefore
lies therein. shall be stated in the complaint. [Sec. 10, Rule
[Sec. 5, Rule 2] 3]

Totality Rule applies in Joinder of Actions Who may be parties

Where the claims in all the causes of action are 1. Natural persons [Sec. 1, Rule 3]
principally for recovery of money, the 2. Juridical persons [Sec. 1, Rule 3]
aggregate amount claimed shall be the test of a. The State and its political subdivisions
jurisdiction b. Other corporations, institutions and
entities for public interest or public
Misjoinder of causes of action purpose, created by law, and
There is misjoinder of causes of action when c. Corporations, partnerships, and
conditions for joinder under Section 5, Rule associations for private interest or
purpose to which the law grants a
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judicial personality, separate and 1. Real Parties in Interest;
distinct from that of each shareholder, Indispensable Parties;
partner, or member [Art. 44, Civil Code] Representatives as Parties;
3. Entities authorized by law [Sec. 1, Rule
3]
Necessary Parties; Indigent Parties;
a. A corporation by estoppel is precluded Alternative Defendants
from denying its existence, and the
members are liable as general partners a. Real Parties in Interest
[Sec. 21, Corporation Code]
b. A partnership with capital of at least The party who stands to be benefited or injured
P3,000 which fails to comply with the by the judgment in the suit, or the party entitled
registration requirements is liable as a to the avails of the suit [Sec. 2, Rule 3]
partnership to third persons [Arts.
1768, 1772, Civil Code] Nature of interest
c. The estate of a deceased person is a The interest must be a present and substantial
juridical entity that has a personality of interest, as distinguished from a mere
its own [Nazareno v. C.A., G.R. No. expectancy or a future, contingent,
138842 (2000), citing Limjoco v. subordinate, or consequential interest. [Rayo v.
Intestate Estate of Fragrante, G.R. No. Metrobank, G.R. No. 165142 (2007)]
L-770 (1948)]
d. A legitimate labor union may sue and It should be material and direct, as
be sued in its registered name [Art. distinguished from a mere incidental interest
251(e), Labor Code] [Mayor Rhustom Dagadag v. Tongnawa, G.R.
e. The Roman Catholic Church may be a No. 161166-67 (2005)]
party; as to its properties, the
Archbishop of diocese to which they Why necessary to determine the real party
belong may be a party [Barlin v. in interest
Ramirez, G.R. No. 2832 (1906); General Rule: Every action must be
Versoza v. Fernandez, G.R. No. 32276 prosecuted or defended in the name of the real
(1930)] party in interest.
f. A dissolved corporation may prosecute
and defend suits by or against it Exception: Unless otherwise provided by law
provided that the suits (i) occur within or the Rules. [Sec. 2, Rule 3]
three (3) years after its dissolution, and
(ii) the suits are in connection with the If the suit is not brought in the name of or
settlement and closure of its affairs against the real party-in-interest, the defendant
[Sec. 139, Revised Corporation Code] must set out in his answer as an Affirmative
4. [1 Riano 214, 2016 Bantam Ed.] Defense the ground that the complaint “states
a. Two or more persons not organized as no cause of action.” [Sec 12, Rule 8]
an entity with juridical personality but
enter into a transaction Spouses as parties
b. [Sec. 15, Rule 3] General Rule: Husband and wife shall sue and
be sued jointly.
Legal capacity to sue
Facts showing the capacity of a party to sue or Exception: As provided by law.
be sued, or the authority of a party to sue or be [Sec. 4, Rule 3]
sued in a representative capacity, or the legal Remedies for the Plaintiff
existence of an organized association of 1. Amendment of pleadings [Alonso v.
persons that is made a party, must be Villamor, G.R. No. L-2352 (1910)]; or
averred. [Sec. 4, Rule 8] 2. Complaint may be deemed amended to
include the real party-in-interest [Balquidra
v. CFI Capiz, G.R. No. L-40490 (1977)]

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When real party-in-interest bound despite joined as a party if complete relief is to be
not being formally impleaded accorded as to those already parties, or for a
As an exception, the real litigant may be held complete determination or settlement of the
bound as a party even if not formally claim subject of the action. [Sec. 8, Rule 3]
impleaded, provided he had his day in court.
[Albert v. University Publishing Co., G.R. No. L- Indispensable
Necessary Parties
9300 (1958)] Parties
Must be joined May be joined
b. Indispensable Parties under any and all whenever possible
conditions [Borlasa [Borlasa v. Polistico,
A real party-in-interest without whom no final v. Polistico, G.R. No. G.R. No. 22909
determination can be had of an action [Sec. 7, 22909 (1925)] (1925)]
Rule 3] Presence is Presence is not
mandatory, he must mandatory because
An indispensable party is one whose interest be joined because his interest is
in the subject matter of the suit and the relief the court cannot separable from that
sought are so inextricably intertwined with the proceed without him of the indispensable
other parties that his legal presence as a party [1 Riano 281, 2014 party. [1 Riano 281,
to the proceeding is an absolute necessity. Bantam Ed.] 2014 Bantam Ed.]
[Benedicto-Munoz v. Cacho-Olivares, G.R. No. Final decree can be
179121 (2015)] had in a case even
No final without a necessary
A party is not indispensable if his interest in determination can party. [Chua v.
the controversy or subject matter is distinct and be had of a case Torres, G.R. No.
divisible from the interest of the other parties without his 151900 (2005);
and will not necessarily be prejudiced by a presence. Seno v. Mangubat,
judgment which does not complete justice to G.R. No. L-44339
the parties in court. [Benedicto-Munoz v. (1987)]
Cacho-Olivares, G.R. No. 179121 (2015)]
e. Indigent Parties
c. Representatives as Parties
Indigent Parties Indigent Litigants
A representative may be a trustee of an [ Rule 21] [Sec 19, Rule 141]
express trust, a guardian, an executor or One whose gross
administrator, or a party authorized by law or income and that of
the ROC. [Sec. 3, Rule 3] their immediate
One who has no family do not exceed
Beneficiary to be included in the title of the money or property an amount double
case sufficient and the monthly
Where the action is allowed to be prosecuted available for food, minimum wage of an
or defended by a representative or someone shelter, and basic employee, and who
acting in a fiduciary capacity, the beneficiary necessities [Sec. 21, does not own real
shall be included in the title of the case and Rule 3] property with a fair
shall be deemed to be the real party in interest. market value of
[Sec. 3, Rule 3] more than
PHP300,000
Minor or incompetent person as party To be entitled to the
A minor or a person alleged to be incompetent exemption herein
may sue or be sued, with the assistance of his provided, the
father, mother, guardian, or if he has none, a litigant shall
guardian ad litem. [Sec. 5, Rule 3] execute an
affidavit that he and
d. Necessary Parties his immediate family
do not earn a gross
A necessary party is not one who is income above
indispensable but, rather, one who ought to be mentioned, nor they
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own any real On the other hand, when the application does
property with the not satisfy one or both requirements, then the
assessed value application should not be denied outright;
aforementioned, instead, the court should apply the "indigency
supported by an test" under Sec. 21, Rule 3 and use its sound
affidavit of a discretion in determining the merits of the
disinterested prayer for exemption. [Sps. Algura v. City of
person attesting to Naga, G.R. No. 150135 (2006)]
the truth of the
litigant’s affidavit f. Alternative Defendants
1. Exemption from
payment of Where the plaintiff is uncertain against whom
docket and other of several persons he is entitled to relief, he
lawful fees, and may join any or all of them in the alternative,
of transcripts of although a right to relief against one may be
1. Exempt from the
stenographic inconsistent with a right to relief against the
payment of legal
notes which the other [Sec. 13, Rule 3]
fees.
court may order
to be furnished 2. Compulsory and Permissive
2. The legal fees
him Joinder of Parties
shall be a lien on
2. Amount of the
any judgment
docket and other General Rule:
rendered in the case
lawful fees shall The joinder of parties is permissive
favorably to the
be a lien on any
indigent litigant,
judgment Exception:
unless the court
rendered in the It is compulsory when the one involved is an
otherwise provides
case favorable to indispensable party.
the indigent, [Crisologo v. JEWN Agro-Industrial
unless the court Corporation, G.R. No. 196894 (2014)]
otherwise
provides a. Compulsory Joinder
Consequence if
party not actually Parties in interest without whom no final
indigent: Any falsity in the determination can be had of an action (i.e.
The proper docket affidavit of a litigant indispensable parties) shall be joined either as
and other lawful fees or a disinterested plaintiffs or defendants. [Sec. 7, Rule 3]
shall be assessed party shall be
and collected by the sufficient cause to Effect of non-joinder of indispensable
clerk of court. dismiss the parties
If payment is not complaint or action The absence of an indispensable party renders
made within the time or to strike out the all subsequent actions of the trial court null
fixed by the court, pleading of that and void for want of authority to act, not only
execution shall issue party, without as to the absent parties but even as to those
or the payment prejudice to present. [Moldes v. Villanueva, G.R. No.
thereof, without whatever criminal 161955 (2012)]
prejudice to such liability may have
other sanctions as been incurred Failure to implead an indispensable party is not
the court may a ground for dismissal of an action, as the
impose remedy in such a case is to implead the
party claimed to be indispensable,
Summary of rules for indigent litigants considering that the parties may be added by
If the applicant for exemption meets the salary order of the court, on motion of the party or on
and property requirements under Sec. 19 of its own initiative at any stage of the action.
Rule 141, then the grant of the application is [Galido v. Magrare, G.R. No. 206584 (2016)]
mandatory.

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Effect of misjoinder or non-joinder of 2. There is a question of law or fact common
parties; when ordered by the court to all the plaintiffs or defendants; and
It is when the order of the court to implead 3. Such joinder is not otherwise proscribed by
an indispensable party goes unheeded that the provisions of the ROC on jurisdiction
the case may be dismissed. The court has and venue [1 Regalado 91, 2010 Ed.]
authority to dismiss a complaint due to the fault A party may in one pleading assert, in the
of the plaintiff when he does not comply with alternative or otherwise, as many causes of
any order of the court [Plasabas v. CA, G.R. action as he may have against an opposing
No. 166519 (2009)] party. One of the conditions for such joinder
of causes of action is that the party joining the
Effect of non-joinder of necessary parties causes of action shall comply with the rules
Non-joinder of a necessary party does not on joinder of parties. [Sec. 5, Rule 2]
prevent the court from proceeding in the action.
The judgment rendered therein shall not c. Misjoinder and Non-Joinder of
prejudice the rights of such necessary party Parties
[Sec. 9, par. 3, Rule 3]
Misjoinder
Remedy in case of non-joinder of necessary When one is made a party to the action
parties although he should not be impleaded. [1 Riano
When a pleading asserting a claim omits to join 285, 2014 Bantam Ed.]
a necessary party, the pleader must:
1. Set forth the name of the necessary party, Non-joinder
if known, and When one is supposed to be joined but is not
2. State the reason why he is omitted impleaded in the action. [1 Riano 285, 2014
[Sec. 9, par. 1, Rule 3] Bantam Ed.]

Should the court find the reason for the non- Effect of misjoinder or non-joinder of
joinder of a necessary party unmeritorious, it parties
may order the inclusion of such necessary Neither misjoinder nor non-joinder of parties is
party, if jurisdiction over his person may be a ground for dismissal of an action [Sec. 11,
obtained. Failure to comply with such order Rule 3]
without justifiable cause shall be deemed a
waiver of the claim against such party [Sec. Objections to defects in parties
9, pars. 1-2, Rule 3] Objections should be made at the earliest
opportunity. Thus, objections to misjoinder
b. Permissive Joinder cannot be raised for the first time on appeal.
[Lapanday Agricultural & Development
All persons in whom or against whom any right Corporation v. Estita, G.R. No. 162109 (2005)]
to relief in respect to or arising out of the same
transaction or series of transactions is alleged 3. Class Suit
to exist, whether jointly, severally, or in the
alternative, may except as otherwise provided Requisites
in these Rules, join as plaintiffs or be joined a. Subject matter of the controversy is one of
as defendants in one complaint, where any common or general interest to many
question of law or fact common to all such persons;
plaintiffs or to all such defendants may arise in b. The persons are so numerous that it is
the action; but the court may make such orders impracticable to join them all as parties;
as may be just to prevent any plaintiff or c. The court finds a number of them
defendant from being embarrassed or put to sufficiently numerous and representative of
expense in connection with any proceedings in the class as to fully protect the interests of
which he may have no interest [Sec. 6, Rule 3] all concerned; and
d. The representative sues or defends for the
Requisites benefit of all.
1. The right to relief arises out of the same [Sec. 12, Rule 3]
transaction or series of transactions;

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Only general interest in the subject matter distinct reputation in the community not shared
of litigation required by the others [Newsweek, Inc. v. Intermediate
A class suit does not require a commonality of Appellate Court, G.R. No. 63559 (1986)]
interest in the questions involved in the suit.
What is required by the Rules is a common or There is no class suit in an action for damages
general interest in the subject matter of the filed by the relatives of the fatalities in a plane
litigation [Mathay v. Consolidated Bank & Trust crash. There is no common or general interest
Company, G.R. No. L-23136 (1974)] in the injuries or death of all passengers in the
plane. Each has a distinct and separate
Right to intervene interest which must be proven individually [1
In a class suit, any party in interest shall have Riano 244, 2016 Bantam Ed.]
the right to intervene to protect his individual
interest [Sec. 12, Rule 3] 4. Suits Against Entities Without
Juridical Personality
No dismissal upon the instance of plaintiff
or due to compromise Requisites
A class suit shall not be dismissed or a. There are 2 or more persons not organized
compromised without the approval of the court as a juridical entity; and
[Sec. 2, Rule 17] b. They enter into a transaction. [Sec. 15,
Rule 3]
Examples of Class Suits
a. Taxpayer’s suit Persons associated in an entity without juridical
A taxpayer's suit or a stockholder's derivative personality may be sued under the name by
suit is in the nature of a class suit, although which they are generally or commonly
subject to the other requisites of the known. [Sec. 15, Rule 3]
corresponding governing law especially on the
issue of locus standi [1 Regalado 99, 2010 Ed.] Note: The authority to be a party under Sec. 15,
Rule 3 is confined only to being a defendant
b. Derivative suit and not as a plaintiff. This is evident from the
A derivative suit is an action brought by a words, “they may be used” [1 Riano 265, 2014
stockholder on behalf of the corporation to Bantam Ed.]
enforce corporate rights against the
corporation’s directors, officers or other When persons associated in an entity without
insiders. Under the Revised Corporation Code, juridical personality are sued, the service of
the directors or officers, as provided under the summons may be effected upon all the
by-laws, have the right to decide whether or not defendants by serving upon any of them, or
a corporation should sue. Since these directors upon the person in charge of the office or place
or officers will never be willing to sue of business maintained under such name.
themselves, or impugn their wrongful or [Sec. 7, Rule 14]
fraudulent decisions, stockholders are
permitted by law to bring an action in the 5. Effect of Death of Party Litigant
name of the corporation to hold these
directors and officers accountable. In derivative Duty of counsel upon death of client
suits, the real party in interest is the a. Inform court of such fact within 30 days
corporation, while the stockholder is a mere after the death; and
nominal party [Ang v. Ang, G.R. No. 201675 b. Give the name and address of the legal
(2013)] representative. [Sec. 16, Rule 3]
Not a Class Suit Effect of failure to comply
There is no class suit in an action filed by Failure to comply is a ground for disciplinary
associations of sugar planters to recover action [Sec. 16, Rule 3]
damages on behalf of individual planters for an
allegedly libelous article in an international Action of court upon notice of death
magazine. There is no common or general Upon receipt of notice, the court shall
interest in the reputation of a specific individual. determine if the claim is extinguished by such
Each of the sugar planters has a separate and death.
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a. Claim does not survive: substitution against such deceased party shall be null and
would not be ordered void for lack of jurisdiction over the persons of
b. Claim survives: the court shall order the the legal representative or of the heirs upon
legal representative of the deceased to whom the trial and the judgment would be
appear and be substituted for him within 30 binding [The Heirs of Vda. De Haberer v. Court
days [Sec. 16, Rule 3] of Appeals, et al., G.R. Nos. L-42699 to L-2709
[1 Riano 286, 2014 Bantam Ed., suggesting (1981)]
Aguas v. Llemos, G.R. No. L-18107 (1962)]
Rule in case of death or separation of party
a. Survival of Action who is a public officer
Survival depends on the nature of the action The action may be continued or maintained by
and the damage sought. or against his successor [Sec. 17, Rule 3]

Actions that do not Requisites:

Actions that survive
survive 1. A public officer is a party to an action in his
The wrong complained official capacity;
The injury complained
of affects primarily and 2. During the pendency of the action, he dies,
of is personal to the
principally property resigns, or otherwise ceases to hold office;
person
and property rights 3. Within 30 days after the successor takes
Property and property
Injuries to the person office or such time as may be granted by
rights affected are
are merely incidental the court, any party shows to the
incidental
[Cruz v. Cruz, G.R. No. satisfaction of the court, that
[Cruz v. Cruz, G.R. No.
173292 (2010)] ● there is a substantial need for
173292 (2010)]
E.g. Actions to recover continuing or maintaining such action;
real and personal and
property from the
E.g. Action for support, ● the successor adopts or continues his
estate; actions to
annulment of predecessor’s action, or threatens to
enforce a lien thereon; do so
marriage, legal
and actions to recover 4. Before a substitution is made, the party or
separation
damages for an injury
[1 Riano 291, 2014 officer to be affected shall be given
to person or property
Bantam Ed.] reasonable notice of the application
[Sec. 1, Rule 88;
Aguas v. Llemos, G.R. therefor and accorded an opportunity to be
No. L-18107 (1962)] heard UNLESS he expressly assents
thereto
Court may order the opposing party, within a [Sec. 17, Rule 3]
specific time, to procure the appointment of an
administrator or executor of the estate in the ff. Action on contractual money claims
cases Shall not be dismissed but shall instead be
1. No legal representative is named; or allowed to continue until entry of final judgment
2. The one so named fails to appear within the [Sec. 20, Rule 3]
specified period. [Sec. 16, Rule 3]
Requisites
b. Substitution a. Action is for recovery of money,
b. The claim arose from express or implied
Summons not necessary contract, and
The substitute defendant need not be c. Defendant dies before the entry of final
summoned. The order of substitution shall judgment in the court in which the action
be served upon the parties substituted for the was pending. [Sec. 20, Rule 3]
court to acquire jurisdiction over the substitute
party [Ferreria v. Vda de Gonzales, G.R. No. L- Effect
11567 (1986)] If the plaintiff obtains a favorable judgment,
said judgment shall be enforced following the
Effect of failure to order substitution procedure provided for in the ROC for
Results in failure to acquire jurisdiction over prosecuting claims against the estate of a
the representative or heirs of the deceased deceased person [Sec. 20, Rule 3] He/She is
party. Consequently, any judgment rendered not supposed to file a motion for the issuance
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of an order and writ of execution of the by the singularity or plurality of the transactions
judgment [1 Riano 201, 2014 Bantam Ed.] involving said parcels of land. Thus, where said
parcels are the objects of one and the same
F. Venue transaction, the venue is in the court of any of
the provinces wherein a parcel of land is
In civil cases, it is a procedural matter and not situated. [1 Regalado 118, 2010 Ed., citing El
jurisdictional, as compared to criminal cases, Hogar Filipino v. Seva, G.R. No. 36627 (1932)]
where the venue is jurisdictional.
Venue relates only to the place of trial or the 2. Venue of Personal Actions
geographical location in which an action or
proceeding should be brought. It is intended to All other actions may be commenced and tried,
accord convenience to the parties and does not at the plaintiff’s election:
equate to the jurisdiction of the court. [Dolot v. a. Where the plaintiff or any of the principal
Paje, G.R. 199199 (2013)] plaintiffs resides, or
b. Where the defendant or any of the principal
On dismissal based on improper venue defendants resides, or
Improper venue is no longer one of the c. In case of a non-resident defendant, where
grounds for a motion to dismiss under the he may be found. [Sec. 2, Rule 4]
Amended Rules. However, the ground of the
venue being improperly laid is one of those that The plaintiff or the defendant must be
may be set as an Affirmative Defense in the residents of the place where the action has
answer. The failure to raise the affirmative been instituted at the time the action is
defense in the answer will constitute a waiver commenced [Ang v. Sps. Ang, G.R. No.
of such. [Sec 12, Rule 8] 186993 (2012)]

However, the court may make a motu proprio Definition of residence

dismissal for improper venue, inter alia, in
actions covered by the Rules on Summary The residence of a person is his personal,
Procedure [Sec. 4], Rule of Procedure for actual or physical habitation or his actual
Small Claims cases [Sec. 9], and in ejectment residence or place of abode, which may not
cases. [Sec. 5, Rule 70] necessarily be his legal residence or domicile
provided he resides therein with continuity and
1. Venue of Real Actions consistency [Boleyley v. Villanueva, G.R. No.
128734 (1999)]
Real actions shall be commenced and tried in
the proper court which has jurisdiction over the A corporation cannot be allowed to file
area wherein the real property involved, or a personal actions in a place other than its
portion thereof is situated. principal place of business unless such
place is also the residence of a co-plaintiff or
Forcible entry and detainer actions shall be defendant. [Davao Light v. CA, G.R. No.
commenced and tried in the municipal court of 111685 (2001)]
the municipality or city wherein the real
property involved, or a portion thereof, is 3. Venue of Actions Against Non-
situated. Residents
[Sec. 1, Rule 4]
Non-resident found in the Philippines
The rule, in its simplified form, means that if the a. Personal action: where the nonresident
action is real, the action is local, as opposed defendant may be found, as authorized by
to transitory, and the venue is the place where Sec. 2, Rule 4, but with an additional
the real property involved, or any portion alternative venue, i.e., the residence of any
thereof, is situated. [1 Riano 151, 2016 Bantam of the principal plaintiffs, pursuant to Secs.
Ed.] 2 and 3, Rule 4. [1 Regalado 121, 2010
Ed.]
Where the subject-matter of the action b. Real action: in the proper court which has
involves various parcels of land situated in jurisdiction over the area wherein the real
different provinces, the venue is determined
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CIVIL PROCEDURE REMEDIAL LAW AND ETHICS
property involved, or a portion thereof is a. In writing,
situated. [Sec. 1, Rule 4] b. Made before the filing of the action, and
c. Exclusive as to the venue
Non-resident not found in the Philippines,
and the action affects: Types of stipulations on venue
a. Personal status of plaintiff – where a. Restrictive: suit may be filed only in the
plaintiff resides, or place agreed upon
b. Property of defendant in the Philippines b. Permissive: parties may file their suit not
– where the property, or any portion only in the place agreed upon but also in
thereof, is situated or found [Sec. 3, Rule 4] the places fixed by the rules
[Briones v. CA and Cash Asia, G.R. No.
4. When the Rules on Venue Do Not 204444 (2015)]
Apply
Requirement to be binding
a. Cases where a specific rule or law provides To be binding, the parties must have agreed
otherwise; examples: on the exclusive nature of the venue of any
i. Quo warranto proceeding commenced prospective action between them. The
by the Solicitor General, [Sec. 7, Rule agreement of parties must be restrictive and
66] not permissive [1 Regalado 124, 2010 Ed.]
1. The action may be brought in the
Supreme Court, the Court of In the absence of qualifying or restrictive
Appeals, or in a Regional Trial words (e.g. “only/solely/exclusively in such
Court in the City of Manila. court”), venue stipulation is merely
ii. Petition for a continuing writ of permissive; that is, the stipulated venue is in
mandamus, and [Sec. 2, Rule 8, Rules addition to the venue provided for in the rules
of Procedure for Environmental Cases] [Polytrade Corp. v. Blanco, G.R. No. L-27033
1. The petition shall be filed with the (1969)]
Regional Trial Court exercising
jurisdiction over the territory where When stipulation may be disregarded
the actionable neglect or omission The court may declare agreements on venue
occurred or with the Court of as contrary to public policy if such stipulation
Appeals or the Supreme Court. unjustly denies a party a fair opportunity to
iii. Civil and criminal action for damages file suit in the place designated by the Rules.
in written defamation. [Art. 360, RPC] The court shall take into consideration the
1. Note that for written defamations, economic conditions of the parties, the
the default venue would be the practical need to avoid numerous suits filed
place where the libelous article is against the defendant in various parts of the
first published or where any of the country and the peculiar circumstances of the
offended parties reside case [1 Regalado 124-125, 2010 Ed., citing
2. In case that the offended party is Hoechst Philippines v. Torres, G.R. No. L-
a public officer, the proper venue 44351 (1978)]
would be either where he holds
office at the time of the A complaint directly assailing the validity of
commission of the crime, or the the written instrument itself should not be
place where the libelous article is bound by the exclusive venue stipulation
first published [Art. 360, RPC] contained therein and should be filed in
accordance with the general rules on
b. Parties have validly agreed in writing venue. [Briones v. CA and Cash Asia, G.R. No.
before the filing of an action on the 204444 (2015)]
exclusive venue thereof.
[Sec. 4, Rule 4]

5. Effects of Stipulations on Venue

The parties may stipulate on the venue as long

as the agreement is:
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III. PROCEDURE 2. To inform the defendant of all material facts
on which the plaintiff relies to support his
demand.
A. Pleadings 3. To state the theory of a cause of action
which forms the basis of the plaintiff's claim
Pleadings are the written statements of the of liability [Tantuico v. Republic, G.R. No.
respective claims and defenses of the parties, 89114 (1991)]
submitted to the court for appropriate judgment
[Sec. 1, Rule 6] Facts alleged in the complaint are judicial
admissions that bind the plaintiff and may be
Pleadings vs. Motions the basis to dismiss the complaint [Luzon
Pleadings Motion Development Bank v. Conquilla, G.R. No.
Purpose is to 163338 (2005)].
Application for
submit a claim
relief other
Purpos or defense for Allegations of the complaint determine the
than by a
e appropriate nature of the cause of action and the body or
pleading [Sec.
judgment [Sec. court which has jurisdiction over the action
1, Rule 15]
1, Rule 6] [Ching vs Subic Bay Golf and Country Club,
Judgment, Inc, G.R. No. 174353 (2014)]
which by its Other reliefs
Relief character that are not b. Answer
Sought finally included in a
disposes of the judgment An answer is a pleading in which a defending
case party sets forth his or her defenses. [Secs. 2
[1 Riano 339, 2005 Ed.] and 4, Rule 6]

Prior to the Amended Rules, evidentiary facts 1. Negative Defenses

were supposed to be omitted from pleadings,
as these matters should be presented during A negative defense is the specific denial of
trial. However, the contents of pleadings are no the material fact or facts alleged in the pleading
longer limited to ultimate facts since under Sec. of the claimant essential to his or her cause or
6, Rule 7, the witnesses, summaries of their causes of action. [Sec. 5 (a), Rule 6]
testimonies, their judicial affidavits, and
documentary and object evidence should Note: A general denial is considered as an
already be included in the pleading. Likewise, admission. [1 Riano 293, 2016 Bantam Ed.]
Sec. 1 of Rule 8 also states that every pleading
must contain the ultimate facts, including the i. Specific denials
evidence on which the party pleading relies.
Three kinds of specific denials:
1. Kinds a. Specific Denial - Defendant specifies
each material allegation of fact, the truth
a. Complaint of which he does not admit and whenever
practicable, sets forth the substance of the
The complaint is the pleading alleging the matters upon which he relies to support
plaintiff’s or claiming party’s cause or causes of his denial. [Rule 8, Section 10]
action. [Sec. 3, Rule 6] b. Partial Denials - made when the
defendant does not make a total denial of
Note: Counterclaims, cross-claims, third-party the material allegations, but denies only a
complaints, and complaints-in-intervention are part of the averment. Here, he specifies
kinds of complaints. [Sec. 2, Rule 6] which part of the truth he admits and
likewise denies. [1 Riano 269, 2016
Function Bantam Ed.]
1. To inform the defendant clearly and c. Denial through Disavowal of Knowledge
definitely of the claims made against him so - made when the defendant alleges he “is
that he may be prepared to meet the issues without knowledge or information sufficient
at trial. to form a belief as to the truth of the
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material averments in the complaint”. 3. Non-material allegations or averments,
[Republic v. Sandiganbayan, G.R. No. because the rules provide that only
152154 (2003)] material allegations have to be denied. [1
Riano 300, 2016 Bantam Ed.]
The purpose of requiring the defendant to
make a specific denial is to make him disclose iii. When a specific denial requires an
the matters alleged in the complaint which he oath
succinctly intends to disprove at the trial,
together with matters which he relied upon to Specific denial under oath is required for the
support the denial. [Philippine Bank of denial of the genuineness and due execution of
Communications v. Go, G.R. No. 175514 an actionable document. But, as previously
(2011)] mentioned, an oath is not required when the
adverse party does not appear to be a party to
A denial does not become specific merely the instrument or when compliance with an
because it is qualified by the word “specific” or order for inspection of the original instrument is
“specifically”. [Republic v. Gimenez, G.R. No. refused. [Sec. 8, Rule 8]
174673 (2016)]
Note: The provisions on usury were deleted by
Material averments in any pleading asserting the amended rules.
a claim, other than those as to the amount of
unliquidated damages, shall be deemed 2. Negative Pregnant
admitted when not specifically denied. [Sec.
11, Rule 8] A negative pregnant does not qualify as a
specific denial. It is conceded to be actually an
Note: Under the previous Rules, only material admission. It refers to a denial which implies
averments in the complaint were deemed its affirmative opposite by seeming to deny only
admitted if not specifically denied. Under the a qualification or an incidental aspect of the
Amended Rules widens the scope of such rule allegation but not the main allegation itself [1
to include any pleading asserting a claim. It Riano 358, 2014 Bantam Ed.]
is submitted, therefore, that this rule now
covers: Examples: When the defense alleges “I have
1. Counterclaims never borrowed money from the plaintiff from
2. Cross-claims (both compulsory and 2011 to 2013,” such may imply that there was
permissive) borrowing of money at other times. [1 Riano
3. Third (fourth, etc.) party complaints, and 297, 2016 Bantam Ed.]
4. Complaints-in-intervention.
As to answers, any new allegations set forth 3. Affirmative Defenses
therein are deemed controverted. [Sec. 10,
Rule 6] An affirmative defense is an allegation of a
new matter which, while hypothetically
ii. Effect of failure to make specific admitting the material allegations in the
denials pleading of the claimant, would nevertheless
prevent or bar recovery by him or her.
General Rule: Material averments in a
pleading asserting a claim or claims shall be Where raised: Answer. [Sec. 12, Rule 8]
deemed admitted when not specifically denied
[Sec. 11, Rule 8] The grounds shall be limited to those under
Sec. 5(b), Rule 6 and those enumerated under
Exceptions: Sec. 12, Rule 8.
The following averments in the complaint are
not deemed admitted even if not specifically The following are the affirmative defenses
denied: that should be raised in the answer:
1. Amount of unliquidated damages [Sec. 11,
Rule 8] Under Sec. 5(b), Rule 6, 1st paragraph:
2. Conclusions in a pleading, because it is for a. Fraud,
a court to make conclusions, and b. Statute of limitations,
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c. Release, d. Statute of limitations. [Sec. 1, Rule 9]
d. Payment,
e. Illegality, Note: If the non-waivable grounds are not
f. Statute of frauds, raised in the answer, the Amended Rules
g. Estoppel, allow them to be proper grounds for a
h. Former recovery, motion to dismiss. [Sec. 12, Rule 15]
i. Discharge in bankruptcy, and
j. Any other matter by way of confession and Remedy if the affirmative defense is denied
avoidance. Affirmative defenses, if denied, shall not be the
subject of a motion for reconsideration, or a
Note: The court is allowed to conduct a petition for certiorari, prohibition, or
summary hearing within 15 calendar days mandamus, but may be among the matters to
from the allegation of these affirmative be raised on appeal after a judgment on the
defenses in the answer. After such hearing, merits. [Sec. 12(e), Rule 8]
they must be resolved by the court within 30
calendar days from the end of the summary Note: If denied, the case will proceed to trial.
hearing. [Sec. 12(d), Rule 8] The defendant may raise the matter on appeal
after judgment on the merits.
Under Sec. 5(b), Rule 6, 2nd paragraph
a. Lack of jurisdiction over the subject matter; c. Counterclaims
b. Litis pendentia, and
c. Res judicata. Any claim which a defending party may have
against an opposing party [Sec. 6, Rule 6]
Note: The foregoing three (3) grounds need not Compulsory Permissive
be included in the answer due to the use of the Counterclaim Counterclaim
word “may”. Also note that these grounds for A compulsory
dismissal (in addition to statute of limitations) counterclaim, which
may still be raised at any time since they are a party has at the
not waivable. [Sec. 1, Rule 9 in relation to Sec. Not subject to the
time the answer is
12 (a), Rule 15] rule on compulsory
filed, shall be
counterclaims.
contained in the
Under Sec. 12, Rule 8: Hence, it may be set
answer [Sec. 8, Rule
a. Lack of jurisdiction over the person of the up as an
11] because a
defendant, independent action
compulsory
b. Improper venue, and will not be
counterclaim not
c. Lack of legal capacity to sue of the plaintiff, barred if not
raised in the same
d. Failure to state a cause of action, and contained in an
action shall be
e. Failure to comply with a condition answer to the
barred, unless
precedent. complaint.
otherwise allowed
by these rules.
Note: The court must motu proprio resolve [Sec. 7, Rule 6]
these affirmative defenses within 30 calendar Not an initiatory
days from the filing of the answer. [Sec. 12(c), Initiatory pleading
pleading
Rule 8] Should be
accompanied by a
Effect of failure to raise the affirmative certification against
defense at the earliest opportunity forum shopping and,
General Rule: Failure to raise an affirmative Said certifications whenever required
defense in the answer or at the earliest are not required by law, also a
opportunity constitutes a waiver of the certificate to file
defense. action issued by the
Lupong
Exception: Non-waivable grounds Tagapamayapa
a. Lack of jurisdiction over the subject matter; Failure to answer a Must be answered
b. Litis pendentia; compulsory by the party against
c. Res judicata; and counterclaim is not a whom it is
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cause for a default interposed, in default, principally because the issues raised
declaration. otherwise he may be in the counterclaim are deemed automatically
declared in default joined by the allegations in the complaint [Gojo
as to the v. Goyala, G.R. No. L-26768 (1970)].
counterclaim
[1 Riano 385-387, 2014 Bantam Ed.] The filing of a motion to dismiss and the
setting up of a compulsory counterclaim are
How raised incompatible remedies. If he files a motion to
1. By including it in the Answer dismiss, he will lose his counterclaim. But if he
● A compulsory counterclaim or a cross- opts to set up his counterclaim, he may still
claim that a defending party has at the plead his ground for dismissal as an affirmative
time he or she files his or her answer defense in his answer. [Financial Building
shall be contained therein. [Rule 11, Corp. v. Forbes Park Association, G.R. No.
Sec. 8] 133119 (2000)]
2. By filing after the Answer
● Omitted Compulsory Counterclaim - On amounts
If a counterclaim already existed at the a. In an original action before the RTC, the
time of the filing of the answer and the counterclaim may be considered
defendant fails to raise it, it shall compulsory regardless of the amount.
generally be barred. [Sec. 7, Rule 6] [Sec. 7, Rule 6]
b. If a counterclaim is filed in the MTC in
However, an exception to this would be excess of its jurisdictional limits, the excess
a counterclaim by amendment before is considered waived. [Agustin v. Bacalan,
judgment, when the counterclaim was G.R. No. L-46000 (1985)]
not set up due to oversight,
inadvertence, or excusable neglect.
[Sec. 10, Rule 11]

● Compulsory Counterclaim arising

after Answer - A counterclaim, which
either matured or was acquired by a
party after serving his answer may,
with permission of the court, be
presented as a counterclaim by
supplemental pleading before
judgment. [Sec. 9, Rule 11]

1. Compulsory

Requisites
a. It arises out of, or is connected with the
transaction or occurrence constituting the
subject matter of the opposing party's
claim,
b. It does not require for its adjudication the
presence of third parties of whom the court
cannot acquire jurisdiction, and
c. It must be within the jurisdiction of the court
both as to the amount and the
nature, except that in an original action
before the RTC, the counter-claim may be
considered compulsory regardless of the
amount. [Sec. 7, Rule 6]

A plaintiff who fails or chooses not to answer a

compulsory counterclaim may not be declared
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2. Permissive case, after the defendant had filed a
responsive pleading
A counterclaim is permissive if it does not 2. Dismissal under Sec. 3, Rule 17 – where
arise out of, nor is necessarily connected with, the complaint is dismissed due to the fault
the subject matter of the opposing party’s of the plaintiff
claim. This is not barred even if not set up in
the action. [1 Herrera 686, 2007 Ed.] Basically, d. Cross-claims
a permissive counterclaim is one where any of
the aforementioned requirements of a A cross-claim is any claim by one party
compulsory counterclaim are missing. [1 Riano against a co-party arising out of the transaction
320, 2016 Bantam Ed.] or occurrence that is the subject matter either
of the original action or of a counterclaim
Docket fees have to be paid for the trial court therein. Such cross- claim may cover all or part
to acquire jurisdiction. [1 Riano 387, 2014 of the original claim. [Sec. 8, Rule 6]
Bantam Ed., citing GSIS v. Heirs of Caballero,
G.R. No. 158090 (2010)] Existing Cross-claim - A cross-claim that a
defending party has at the time he or she files
Note: Even if the counterclaim arises out of the his or her answer shall be contained therein.
subject-matter of the opposing party's claim but [Sec. 8, Rule 11]
it is not within the jurisdiction of the regular
courts of justice, or it requires for its Exception: Across-claim by amendment
adjudication the presence of third parties before judgment, when the counterclaim was
over whom the court cannot acquire not set up due to oversight, inadvertence, or
jurisdiction, it is considered as only a excusable neglect. [Sec. 10, Rule 11]
permissive counter-claim and is not barred
even if not set up in the action. (see also Sec. Cross-claim arising after Answer - A cross-
2, Rule 9) [1 Regalado 143-144, 2010 Ed.] claim, which either matured or was acquired by
a party after serving his answer may, with
Determining whether a counterclaim is permission of the court, be presented as a
compulsory or permissive cross-claim by supplemental pleading before
A positive answer on all four the following tests judgment. [Sec. 9, Rule 11]
would indicate that the counterclaim is
compulsory When a cross-claim is proper
a. Are the issues of fact and law raised by the 1. It arises out of the subject matter of the
claim and counterclaim largely the same? complaint.
b. Would res judicata bar a subsequent suit 2. It is filed against a co-party.
on defendant’s claims, absent the 3. The cross-claimant stands to be prejudiced
compulsory counterclaim rule? by the filing of the action against him
c. Will substantially the same evidence [Londres v. CA, G.R. No. 136427 (2002)]
support or refute the plaintiff's claim as well
as the counterclaim? Improper cross-claims
d. Is there any logical relation between the 1. Where the cross-claim is improperly
claim and counterclaim? allowed, the remedy is certiorari [Malinao v.
[GSIS v. Heirs of Caballero, G.R. No. 158090 Luzon Surety, G.R. No. L-16082 (1964)]
(2010)] 2. The dismissal of a cross-claim is
unappealable when the order dismissing
3. Effect on counterclaim when the complaint becomes final and executory
complaint is dismissed [Ruiz, Jr. v. CA, G.R. No. 101566 (1993)]
3. A cross-claim is not allowed after
The dismissal of the complaint shall be without declaration of default of cross-claimant. To
prejudice to the prosecution in the same or allow the cross-claim to remain would be
separate action of a counterclaim pleaded in tantamount to setting aside the order of
the answer in the following cases default the cross-claimant, who had been
1. Dismissal under Sec. 2, Rule 17 – where previously declared default, would re-
the plaintiff files a motion to dismiss the obtain a standing in court as party litigant

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[Tan v. Dimayuga, G.R. No. L-15241 Corporation v. Sandiganbayan, G.R. No.
(1962)] 88345 (1996)]

e. Third (fourth, etc.) party complaints Further discussion under Section 11.
Intervention
A third (fourth, etc.) party complaint is a
claim that a defending party may, with leave of g. Reply
court, file against a person not a party to the
action, called the third (fourth, etc.)-party A reply is a pleading, the office or function of
defendant for contribution, indemnity, which is to deny, or allege facts in denial or
subrogation or any other relief, in respect of his avoidance of new matters alleged in, or relating
or her opponent's claim. [Sec. 11, Rule 6] to actionable documents attached to an
answer. This is so, because under the
Requisites Amended Rules, the plaintiff may file a reply
1. The party to be impleaded must not yet be only if the defending party attaches an
a party to the action actionable document to his or her answer.
2. The claim against the third-party defendant [Sec. 10, Rule 6]
must belong to the original defendant
3. The claim of the original defendant against Note: An actionable document is a written
the third-party defendant must be based document that’s the basis of one’s cause of
upon the plaintiff's claim against the action or defense. [1 Riano 280, 2016 Bantam
original defendant, Ed.]
4. The defendant is attempting to transfer to
the third-party defendant the liability Note: The function of a reply is to merely deny
asserted against him by the original plaintiff the allegations raised in the answer with the
[Philtranco Service Enterprises, Inc. v. actionable document, not to impose new
Paras, G.R. No. 161909 (2012)], and causes of action which arise from the answer.
5. The court grants leave of court for the filing
of the same [Sec. 11, Rule 6] If the plaintiff wants to interpose a new claim
on the basis of the actionable document
When the third (fourth, etc.) party complaint attached in the answer, he should do this
will not be granted leave, and the court will through an amended or supplemental
require the filing of a separate action: complaint.
1. Where matters extraneous to the issue in 1. The amended complaint must be with
the principal case are raised, or leave of court following Sec. 3, Rule 10.
2. Where a new and separate controversy 2. The supplemental complaint is allowed
would be introduced in the action. [Sec. only if it pertains to transactions,
11, Rule 6] occurrences, or events which have
happened since the date of the complaint
When, despite grant of leave allowing the following Sec. 6, Rule 10.
filing of a third-party complaint, the court
dismisses the third (fourth) party complaint A reply is not the proper responsive pleading to
1. The third-party defendant cannot be a counterclaim or a cross-claim, as the proper
located within 30 days from grant of leave. responsive pleading would be an answer to the
[Sec. 11, Rule 6] counterclaim/cross-claim. [1 Riano 335, 2016
Bantam Ed.]
f. Complaint-in-intervention
If an actionable document is attached to the
Intervention is a remedy by which a third reply, the defendant may file a rejoinder. The
party, not originally impleaded in a proceeding, rejoinder must only deny, or allege facts in
becomes a litigant therein to enable him to denial or avoidance of the new matters alleged
protect or preserve a right or interest which in actionable document attached to the reply.
may be affected by such proceeding. [Sec. 10, Rule 6]
[Restaurante Las Conchas v. Llego, G.R. No.
119085 (1999), citing First Philippine Holdings

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General Rule: There is no need to file a reply 1. Paragraphs
since all new matters alleged in the answer are
deemed controverted. [Sec. 10, Rule 6] The paragraphs of the body must be so
numbered as to be readily identified, each of
Exception: When an actionable document is which shall contain a statement of a single set
attached to the answer, the plaintiff must file a of circumstances so far as that can be done
reply in order to avoid the admission of the with convenience. A paragraph may be
genuineness and due execution of the referred to by its number in all succeeding
document attached. Failure to file a reply would pleadings.
lead to the admission of the aforementioned
matters. [1 Riano 336, 2016 Bantam Ed.] 2. Headings

2. Extensions of time to file When two or more causes of action are joined,
the statement of the first shall be prefaced by
General Rule: the words “first cause of action," of the second
A motion for extension to file any pleading is by "second cause of action," and so on for the
prohibited and is considered a mere scrap of others.
paper. [Sec. 11, Rule 11]
When one or more paragraphs in the answer
A motion for extension of time to file pleadings, are addressed to one of several causes of
affidavits, or any other papers is a prohibited action in the complaint, they shall be prefaced
motion and shall not be allowed. [Sec. 12 (e), by the words "answer to the first cause of
Rule 15] action" or "answer to the second cause of
action" and so on; and when one or more
Exception: paragraphs of the answer are addressed to
A motion for extension of time to file an several causes of action, they shall be
answer may be allowed if: prefaced by words to that effect.
1. For meritorious reasons,
2. For a period not more than 30 calendar 3. Relief
days, and
3. A party may only avail of 1 motion for The relief sought must be specified, but it may
extension add a general prayer for such further or other
relief as may be deemed just or equitable.
The court may still allow, in its discretion, any
other pleading to be filed after the time fixed by General Rule: A court cannot grant a relief not
the Rules. [Sec. 11, Rule 11] prayed for by a party in the pleadings, or in
excess of that being sought. [Bucal v. Bucal,
3. Parts and Contents of a Pleading G.R. No. 206957 (2015)]

a. Caption Exception: Because the rules allow a general

prayer for such other reliefs as may be deemed
Sets forth the: just and equitable, the court may grant reliefs
1. Name of the court that are not specifically prayed for as long as
2. Title of the action (i.e. the names of the they are just and equitable. [1 Riano 257, 2016
parties and respective participation) and Bantam Ed.]
3. The docket number, if assigned
[Sec. 1, Rule 7] 4. Date

b. Body Every pleading shall be dated. [Sec. 2, Rule 7]

Body – Sets forth the pleading’s designation, c. Signature and address

the allegations of party's claims or defenses,
the relief prayed for, and its date Every pleading and other written submissions
to the court must be signed by the party or
counsel representing him or her. [Sec. 3, Rule
7]
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The signature of counsel constitutes a d. Verification
certificate that he or she has read the pleading
and document and that such pleading or General Rule: Pleadings need not be under
document: oath or verified. [Sec. 4, Rule 7]
1. Is not being presented for any improper
purpose to harass, delay, or increase cost Exception: When otherwise specifically
of litigation required by law or rule. [Sec. 4, Rule 7]
2. Has claims, defenses, and other legal
contentions that are warranted by law or The following pleadings require verification, to
jurisprudence, and not merely based on wit:
frivolous arguments contrary to 1. Pleadings filed in the inferior courts in
jurisprudence cases covered by the Rules on Summary
3. Has factual contentions that have Procedure [Sec. 1, Rule III, Rules on
evidentiary basis or will most likely be Expedited Procedure in the First Level
supported by evidence after availment of Courts]
modes of discovery, and 2. Petition for relief from judgment or order
4. The denials of facts are based on evidence [Sec. 3, Rule 38]
or based on belief of lack of information if 3. Petition for review from RTC to the CA
specially so identified. [Sec. 3, Rule 7] [Sec. 1, Rule 42]
4. Petition for review from quasi-judicial
Effect of violation of the rule: agencies to the CA [Sec. 5, Rule 43]
The court may on motion or motu proprio, after 5. Appeal by certiorari from the CTA to the SC
notice and hearing, impose an appropriate [Sec. 12, R.A. 9282 amending Sec. 19,
sanction or refer such to the proper office for R.A. 1125]
disciplinary action, unless exceptional 6. Appeal by certiorari from CA to the SC
circumstances are present. [Sec. 1, Rule 45]
7. Petition for annulment of judgments or final
On whom sanction imposed: orders and resolutions [Sec. 1, Rule 47]
The attorney, law firm, or the party that violated 8. Complaint for injunction [Sec. 4, Rule 58]
the rule. 9. Application for appointment of receiver
[Sec. 1, Rule 59]
Note: The law firm shall be jointly and severally 10. Application for support pendente lite [Sec.
liable for a violation committed by its partner, 1, Rule 69]
associate, or employee. 11. Petition for certiorari against judgments,
final orders, or resolutions of constitutional
Sanction may include, but shall not be commissions [Sec. 2, Rule 64]
limited to: 12. Petition for certiorari [Sec. 1, Rule 65]
1. Non-monetary directive or sanction 13. Petition for prohibition [Sec. 2, Rule 65]
2. An order to pay a penalty in court 14. Petition for mandamus [Sec. 3, Rule 65]
3. An order directing payment of attorney’s 15. Petition for quo warranto [Sec. 1, Rule 66]
fees and other expenses 16. Complaint for expropriation [Sec. 1, Rule
67]
Note: the lawyer or law firm cannot pass on the 17. Complaint for forcible entry or unlawful
monetary penalty to the client. [Sec. 3, Rule 7] detainer [Sec. 4, Rule 70]
18. Petition for indirect contempt [Sec. 4, Rule
Under the Amended Rules, an unsigned 71]
pleading may no longer be remedied since the 19. Petition for appointment of a general
provision for such has been deleted from the guardian [Sec. 2, Rule 93]
amended rules of court. The lawyer, law firm, 20. Petition for leave to sell or encumber
or party responsible for filing an unsigned property of the ward by a guardian [Sec. 1,
pleading may thus be sanctioned under this Rule 95]
rule unless there are exceptional 21. Petition for declaration of competency of a
circumstances. Also note that an unsigned ward [Sec. 1, Rule 97]
pleadings remains to be without legal effect, 22. Petition for habeas corpus [Sec. 3, Rule
and is treated as “a mere scrap of paper.” 102]

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23. Petition for change of name [Sec. 2, Rule render the pleading fatally defective and the
103] court may order its subsequent submission
24. Petition for voluntary judicial dissolution of or correction if such serves the ends of
a corporation [Sec. 1, Rule 104] justice. [Vda. de Formoso v. PNB, 650 SCRA
25. Petition for cancellation or correction of 35 (2001)]
entries in the civil registry [Sec. 1, Rule
108] e. Certification Against Forum
Shopping
How Verified
By an affidavit under oath with the following Forum shopping
attestations: The repeated availment of several judicial
1. The allegations in the pleading are true and remedies in different courts, simultaneously or
correct based on personal knowledge or successively, all substantially founded on the
authentic documents; same transactions and the same essential
2. The pleading is not filed to harass, cause facts and circumstances, and all raising
unnecessary delay, or needlessly increase substantially the same issues, either pending in
the cost of litigation; and or already resolved adversely by some other
3. The factual allegations therein have court [Asia United Bank v. Goodland Company,
evidentiary support or, if specifically so Inc., G.R. No. 191388 (2011)]
identified, will likewise have evidentiary
support after a reasonable opportunity for Test to determine existence of forum
discovery. shopping
Whether in the two or more cases pending,
The authorization of the affiant to act on there is identity of
behalf of the party, whether in the form of a 1. Parties
secretary’s certificate or a special power of 2. Rights or causes of action, and
attorney, should be attached to the pleading. 3. Relief sought
[Sec. 4, Rule 7] [Huibonhoa v. Concepcion, G.R. No. 153785
(2005)]
Note: It is submitted that the requirement of the
attachment of the document of authorization Certificate of Non-Forum Shopping (CNFS)
implies that the authority of such person may The plaintiff or principal party shall certify
no longer be proven during trial. This, under oath in the complaint or other
therefore, overturns existing jurisprudence initiatory pleading asserting a claim for relief
which provides that proof of one’s authority to or in a sworn certification annexed thereto and
sign a verification may be taken up during trial. simultaneously filed therewith
[246 Corp v. Daway, G.R. No. 157216 (2003)] 1. That he or she has not commenced any
Proof of authority should already be action or filed any claim involving the same
established by attaching said proof to the issues in any court, tribunal or quasi-
pleading. judicial agency and, to the best of his
knowledge, no such other action is pending
Effect of noncompliance or defective 2. If there is such other pending action or
verification claim, a complete statement of the present
General Rule: A pleading required to be status thereof, and
verified that contains a verification based on 3. If he or she should learn that the same or a
"information and belief", or upon "knowledge, similar action or claim has been filed or is
information and belief", or lacks a proper pending, he shall report that fact within 5
verification, shall be treated as an unsigned calendar days to the court wherein his
pleading. [Sec. 4, Rule 7] aforesaid complaint or initiatory pleading
has been filed. [Sec. 5, Rule 7]
Note: An unsigned pleading produces no legal
effect and is a “mere scrap of paper.” What pleadings require a certification
against non-forum shopping (Initiatory
Exception: Lack of verification is a mere pleadings)
formal, and not a jurisdictional, requirement. As 1. Complaint
such, a defect in the verification does not 2. Permissive counterclaim
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3. Cross-claim upon motion and
4. Third (fourth, etc.) party complain after hearing
5. Complaint-in-intervention False certification Constitutes indirect
contempt of court,
Who signs: Non-compliance
without prejudice to
General Rule: Plaintiff or Principal party with any of the
administrative and
undertakings therein
criminal actions
Exception: Authorized person, usually Ground for summary
counsel dismissal, with
prejudice
If, for justifiable reasons, the party-pleader is
unable to sign, he must execute a Special When there is willful
Direct contempt of
Power of Attorney designating his counsel of and deliberate forum
court
record to sign on his behalf [Vda. de Formoso shopping
v. PNB, G.R. No. 154704 (2011)] In cases of a Cause for
juridical entity, the certification may be administrative
executed by a properly authorized person sanctions
through due authorization by a board [Sec. 5, Rule 7]
resolution. [Cosco v. Kemper, 670 SCRA 343
(2012)] f. Other Contents of a Pleading
Note: Similar to the new requirement under Every pleading stating a party's claims or
verification, the authorization of the affiant to defenses shall, in addition to those mandated
act on behalf of the party, should be attached by Section 2, Rule 7, state the following:
to the pleading. 1. Names of witnesses who will be
presented to prove a party's claim or
The failure of all petitioners to sign the defense;
document is not a sufficient ground for the 2. Summary of the witnesses' intended
Petition's outright dismissal. Jurisprudence testimonies, provided that the judicial
confirms that petitioners substantially complied affidavits of said witnesses shall be
with the verification requirement. The 30 attached to the pleading and form an
signatories provided the guarantee that: (1) integral part thereof, and
they had ample knowledge as to the truth of the
allegations in the Petition; and (2) the Petition General Rule:
was made in good faith. For the certification Only witnesses whose judicial affidavits are
against forum shopping, Altres stated the attached to the pleading shall be presented
general rule that non-signing petitioners will be by the parties during trial.
dropped as parties to the case. Nonetheless,
there is an exception: when all petitioners Exception:
share a common interest, the signature of one If a party presents meritorious reasons as
(1) petitioner in the certification against forum basis for the admission of additional
shopping is enough to satisfy the substantial witnesses
compliance rule. [Cordillera Global Network v.
Paje, G.R. No. 215988 (2019)] 3. Documentary and object evidence in
support of the allegations contained in the
Effect of noncompliant CNFS pleading. [Sec. 6, Rule 7]
Defect Effect
Not curable by mere Rationale:
amendment of the To ensure that a person filing a case or a
complaint or other pleading would, at the time of filing, already
Failure to comply initiatory pleading have evidentiary basis to back the same up,
with the and there would be no delay caused by parties
requirements Cause for dismissal still trying to find evidence as basis for the
of the case, without claims during the pendency of the case.
prejudice, unless
otherwise provided,
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Moreover, all papers and pleadings filed in 1. Facts showing the capacity of a person to
court must likewise bear the following items: sue or be sued,
1. Professional Tax Receipt Number 2. The authority of a party, to sue and be sued
2. IBP Official Receipt Number in a representative capacity, or
3. Roll of Attorneys’ Number 3. The legal existence of an organized
4. MCLE Certificate of Compliance, or association of persons that is made a party.
Certificate of Exemption
Moreover, a party desiring to raise an issue as
Note: Failure to comply with the first three to the legal existence of any party to sue or be
requirements allow the court to not take action sued in a representative capacity must do so
with the pleading, without prejudice to possible via specific denial. [Sec. 4, Rule 8]
disciplinary actions against the erring counsel.
Failure to comply with the fourth requirement b. Judgments
causes the dismissal of the case and
expunction of the pleadings from the records. It is sufficient to aver the judgment or decision
[1 Riano 262-263, 2016 Bantam Ed.] without setting forth matter showing jurisdiction
to render it.
4. Manner of Making Allegations
However, an authenticated copy of the
Every pleading shall contain in a methodical judgment or decision pleaded must be
and logical form: attached to the pleading. [Sec. 6, Rule 8]
1. a plain, concise and direct statement of
the ultimate facts, c. Official documents or acts
2. the evidence on which the party pleading
relies for his or her claim or defense, as It is sufficient to aver that the document was
the case may be issued or the act was done in compliance with
3. If the cause of action or defense is based law. [Sec. 9, Rule 8]
on law, the pertinent provisions of the law
and its applicability. [Sec. 1, Rule 8] d. Condition precedent

A general averment of the performance or

Alternative Causes of Action occurrence of all conditions precedent shall
A party may set forth two or more claims or be sufficient. [Sec. 3, Rule 8]
defenses alternatively in one cause of action.
Such happens when a party is not certain All valid conditions precedent to the institution
which cause of action would squarely fit the set of the particular action, whether prescribed by
of facts alleged in the complaint. [1 Riano 278, statute, fixed by agreement of the parties or
2016 Bantam Ed.] implied by law must be performed or complied
with before commencing the action, unless the
Also, a pleading which alleges alternative conduct of the adverse party has been such as
causes of action is not made insufficient by the to prevent or waive performance or excuse
insufficiency of one or more of the alternative non-performance of the condition. [Anchor
statements as long as one of them is sufficient. Savings Bank v. Furigay, G.R. No. 191178
[Sec. 2, Rule 8] (2013)]
Example: A plaintiff may be unsure as to Examples of conditions precedent:
whether the liability of the carrier is based 1. A tender of payment is required before
either on breach of contract or a quasi-delict. making a consignation [Art. 1256, NCC]
The rules allow him to state both causes of 2. Exhaustion of administrative remedies is
action in the alternative. [1 Riano 278, 2016 required in certain cases before resorting
Bantam Ed.] to judicial action [Lopez v. City of Manila,
G.R. No. 127139 (1999); Dy v. CA, G.R.
a. Capacity to sue or be sued No. 121587 (1999)]
3. Prior resort to barangay conciliation
The following must be averred, to wit: proceedings is necessary in certain cases
[Book III, Title I, Chapter 7, LGC]
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4. Earnest efforts toward a compromise must Note: Setting forth the substance of the
be undertaken when the suit is between actionable document and the attachment of
members of the same family and if no such to the pleading is the only way to plead
efforts were in fact made, the case must be the document under the Amended Rules.
dismissed, [Art. 151, FC]
5. Arbitration may be a condition precedent A variance in the substance of the document
when the contract between the parties set forth in the pleading and the document
provides for arbitration first before recourse annexed thereto does not warrant dismissal of
to judicial remedies the action. [Convets Inc. v. National Dev. Co.,
[1 Riano 333-334, 2014 Bantam Ed.] G.R. No. L-10232 (1958)]

Note: The failure to comply with a condition How to contest an actionable document
precedent before the filing of a complaint is no General Rule:
longer a ground for an allowable motion to The adverse party, under oath, specifically
dismiss under the Amended Rules. However, it denies them, and sets forth what he or she
is an affirmative defense that must be set out claims to be the facts
in the answer or else, it is deemed waived.
[Sec. 12, Rule 8] Exceptions: The requirement of an oath does
not apply when:
e. Fraud, mistake, malice, intent, a. The adverse party does not appear to be a
knowledge and other condition of the party to the instrument, or
mind b. Compliance with an order for an inspection
In all averments of fraud or mistake, the of the original instrument is refused. [Sec.
circumstances constituting fraud or 8, Rule 8]
mistake must be stated with particularity.
[Sec. 5, Rule 8] Effect of failure to deny under oath
The genuineness and due execution of the
Rationale: actionable document is deemed admitted.
The reason for this rule is that an allegation of [Sec. 8, Rule 8]
fraud concerns the morality of the defendant’s
conduct and he is entitled to know fully the Meaning of due execution and genuineness
ground on which the allegations are made, so That the party whose signature it bears admits
he may have every opportunity to prepare his that he signed it or that it was signed by another
case to clear himself at the trial [Guy v. Guy, for him with his authority; that it was in words
G.R. No. 189486 (2012)] and figures exactly as set out in the pleading of
the party relying upon it; that the document was
Malice, intent, knowledge or other condition of delivered and that any formal requisites
the mind of a person may be averred generally required by law, such as a seal, an
[Sec. 5, Rule 8] acknowledgment, or revenue stamp, which it
lacks, are waived by him [Hibberd v. Rohde
5. Pleading an actionable document and Mcmillian, G.R. No. 8418 (1915)]

Actionable document 6. Striking out of a pleading

Whenever an action or defense is based or
founded upon a written instrument or The court may order any pleading to be
document, said instrument or document is stricken out or that any sham or false,
deemed an actionable document [1 Riano redundant, immaterial, impertinent, or
359, 2014 Bantam Ed.] scandalous matter be stricken out therefrom.
[Sec. 13, Rule 8]
Pleading the document
a. The substance of such document shall be How done
set forth in the pleading, and 1. Upon motion by a party before responding
b. The original or a copy thereof shall be to a pleading;
attached to the pleading as an exhibit. 2. Upon motion by a party within 20 calendar
[Sec. 7, Rule 8] days after service of the pleading upon him

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or her, if no responsive pleading is allowed counterclaim or a cross-claim by
by the rules; or supplemental pleading before judgment.
3. Upon the court’s own initiative at any time. [Sec. 9, Rule 11]
[Sec. 13, Rule 8]
8. Default
7. Effect of failure to plead
Who may be declared in default: Defendant.
a. Failure to plead defenses and
objections Ground for declaration of default: Failure of
the defending party to answer within the time
General Rule: Defenses and objections not allowed therefor.[Sec. 3, Rule 9]
pleaded in either a motion to dismiss or in the
answer are deemed waived [Sec. 1, Rule 9] Failure to attend the pre-trial does not result
in the "default" of the defendant. The failure
Exceptions: of the defendant to attend shall be cause to
The court shall dismiss the case when it allow the plaintiff to present his evidence ex
appears from the pleadings or the evidence on parte and the court to render judgment on the
record that: basis thereof [Aguilar v. Lightbringers Credit
1. The court has no jurisdiction over the Cooperative, G.R. No. 209605 (2015)]
subject matter,
2. There is another action pending between Requisites before a declaration of default
the same parties for the same cause (litis 1. The court must have validly acquired
pendentia), jurisdiction over the person of the
3. The action is barred by a prior judgment defending party, either by service of
(res judicata), or summons or voluntary appearance;
4. The action is barred by statute of limitations 2. The defending party must have failed to
(prescription). [Sec. 1, Rule 9] file his answer within the time allowed
therefor;
Note: The aforementioned grounds are the 3. The claiming party must file a motion to
only grounds allowed in a motion to dismiss. declare the defending party in default;
[Sec. 12 (a), Rule 15] 4. The claiming party must prove that the
defending party has failed to answer within
b. Failure to plead compulsory the period provided by the ROC;
counterclaim and cross-claim [Sablas v. Sablas, G.R. No. 144568 (2007)]
5. The defending party must be notified of
General Rule: A compulsory counterclaim, or the motion to declare him in default; and
a cross-claim, not set up shall be barred. [Sec. [Sec. 3, Rule 9]
2, Rule 9] 6. There must be a hearing set on the motion
to declare the defending party in default
Exceptions: [Spouses de los Santos v. Carpio, G.R. No.
1. Omitted Counterclaim or Cross-claim 153696 (2006)]
When a pleader fails to set up a [1 Riano 364, 2014 Bantam Ed.]
counterclaim or cross-claim through
oversight, inadvertence, or excusable Effect of an order of default
neglect, or when justice requires, he may, A party in default shall be entitled to notices
by leave of court, set up the counterclaim or of subsequent proceedings but shall not take
cross-claim by amendment before part in the trial. [Sec. 3, Rule 9] The party
judgment. [Sec. 10, Rule 11] declared in default loses his standing in court.
The loss of such standing prevents him from
2. Counterclaim or Cross-claim after taking part in the trial. He forfeits his rights as a
Answer party litigant, has no right to present evidence
A counterclaim or a cross-claim which supporting his allegations, to control the
either matured or was acquired by a party proceedings, or cross-examine witnesses. [1
after serving his pleading may, with the Riano 305, 2016 Bantam Ed.]
permission of the court, be presented as a

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A party in default may still participate as a may impose in the interest of justice. [Sec. 3(b),
witness. [Cavili v. Florendo, G.R. No. 73039 Rule 9]
(1987)]
After judgment but before it has become
Court actions after default: final and executory
a. Proceed to render judgment granting the 1. Motion for new trial under Sec. 1(a), Rule
claimant such relief as his or her pleading 37 [Lina v. CA, G.R. No. L-63397 (1985)],
may warrant, or or
b. Require the claimant to submit evidence; 2. Appeal from the judgment as being
such reception of evidence may be contrary to the evidence or the law
delegated to the clerk of court. [Republic v. Sandiganbayan, G.R. No.
[Sec. 3, Rule 9] 148154 (2007), cited in 1 Riano 373, 2014
Bantam Ed.]
A declaration of default is not tantamount to
an admission of the truth or validity of the After judgment has become final and
plaintiff’s claims. [Monarch Insurance v. CA, executory
G.R. No. 92735 (2000)] 1. Petition for relief under Rule 38 [Lina v. CA,
G.R. No. L-63397 (1985)]
A defending party declared in default retains 2. Petition for certiorari under Rule 65 will lie
the right to appeal from the judgment by when said party was improperly declared
default. However, the grounds that may be in default. [1 Riano 374, 2014 Bantam Ed.]
raised in such an appeal are restricted to any
of the following: 1. Effect of a partial default
a. The failure of the plaintiff to prove the
material allegations of the complaint; Partial default takes place when the complaint
b. The decision is contrary to law; and states a common cause of action against
c. The amount of judgment is excessive or several defendants, and only some of whom
different in kind from that prayed for. answer. [Sec. 3, Rule 9]

In these cases, the appellate tribunal should Effects

only consider the pieces of evidence that were a. The court should declare defaulting
presented by the plaintiff during the ex parte defendants in default, and proceed to trial
presentation of his evidence. [Otero v. Tan, on answers of others
G.R. No. 200134 (2012)] b. If the defense is personal to the one who
answered, it will not benefit those who did
a. Reliefs from an order of default not answer.

Before judgment 2. Extent of relief

1. File a motion under oath to set aside the
order of default upon proper showing that: A judgment rendered against a party in default
i. His or her failure to answer was due shall neither:
to fraud, accident, mistake or a. Exceed the amount,
excusable negligence, and b. Be different in kind from that prayed for, nor
ii. He has a meritorious defense - such c. Award unliquidated damages. [Sec. 3(d),
that the motion must be accompanied Rule 9]
by a statement of the evidence which
he intends to present if the motion is b. Actions where default are not
granted and which is such as to warrant allowed
a reasonable belief that the result of the
case would probably be otherwise if a In case of failure to file an answer in an action
new trial is granted [Kilosbayan v. for:
Janolo, G.R. No. 180543 (2010)] [Sec. 1. Annulment or declaration of nullity of
3(b), Rule 9] marriage, or
2. Legal separation
In such a case, the order of default may be set
aside in such terms and conditions as the judge
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The court shall order the Solicitor General, or amendments, which shall be indicated by
his or her deputized public prosecutor: appropriate marks, shall be filed. [Sec. 7, Rule
1. To investigate whether or not a collusion 10]
between the parties exists, or
2. To intervene for the State in order to see No amendment necessary to conform to or
to it that the evidence submitted is not authorize presentation of evidence
fabricated, if there is no collusion. [Sec. When issues are not raised in the pleadings but
3(e), Rule 9] are tried with the consent of the parties, they
shall be treated as if they had been raised in
Other instances where default is not the pleading. No amendment of such
allowed: pleadings deemed amended is necessary to
1. Special civil actions of certiorari, cause them to conform to the evidence.
prohibition and mandamus where [Sec. 5, Rule 10]
comment instead of an answer is required
to be filed. [Sec. 6, Rule 65] 1. Amendment as a matter of right
2. Cases covered by the Rule on Summary
Procedure [See Sec. 6, Rule on Summary A party may amend his pleading once as a
Procedure, which requires the court to matter of right
render. judgment if the defendant fails to a. At any time before a responsive pleading is
answer] served, or
3. In expropriation proceedings, whether or b. In the case of a reply, at any time within 10
not a defendant has previously appeared calendar days after it is served
or answered, he may present evidence as [Sec. 2, Rule 10]
to the amount of compensation to be paid
for his property in the trial of the issue of A motion to dismiss is not a responsive
just compensation. [Sec. 3(2), Rule 67] pleading and does not preclude the exercise of
the plaintiff’s right to amend his complaint.
9. Amended and Supplemental [Remington Industrial Sales v. CA, G.R. No.
Pleadings 133657 (2002)]

a. Amendment 2. Amendments by leave of court

How to amend pleadings Substantial amendments may be made only

1. Adding an allegation, upon leave of court [Sec. 3, Rule 10]
2. Adding the name of any party,
3. Striking out an allegation, Requisites
4. Striking out the name of any party, a. Motion for leave of court, accompanied by
5. Correcting a mistake in the name of a party, the amended pleading sought to be
or admitted; [Sec. 10, Rule 15]
6. Correcting a mistaken or inadequate b. Notice is given to the adverse party; and
allegation or description in any other c. Parties are given the opportunity to be
respect. [Sec. 1, Rule 10] heard. [Sec. 3, Rule 10]

Purpose of Amendments to a Pleading When leave of court to substantially amend

The courts should be liberal in allowing a pleading shall be refused
amendments to pleadings to avoid a multiplicity If it appears to the court that the motion was
of suits and in order that the real controversies made:
between the parties are presented, their rights a. With intent to delay;
determined, and the case decided on the b. With intent to confer jurisdiction on the
merits without unnecessary delay. [Tiu v. Phil. court; or
Bank of Communication, G.R. No. 151932 c. The pleading stated no cause of action
(2009)] from the beginning. [Sec. 3, Rule 10]

How to file amended pleadings Note: This rule merely integrates into the Rules
When any pleading is amended, a new copy of of Court the landmark case of Swagman Hotels
the entire pleading, incorporating the v. Court of Appeals which provided that a
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complaint whose cause of action has not have happened since the date of the pleading
yet accrued cannot be cured or remedied by sought to be supplemented. [Sec. 6, Rule 10]
an amended or supplemental pleading
alleging the existence or accrual of a cause of How made
action while the case is pending. [Swagman v. Upon motion of a party, the court may, upon
CA, G.R. No. 161135 (2005)] reasonable notice and upon such terms as are
just, permit him or her to serve a supplemental
3. Formal amendment pleading

When proper Note: The admission or non-admission of a

a. Defect in the designation of the parties, or supplemental pleading is not a matter of right
b. Other clearly clerical or typographical but is discretionary on the court. Note the
errors language of Sec. 6, Rule 10: “may”.
[Sec. 4, Rule 10]
The adverse party may plead thereto within
How made ten (10) calendar days from notice of the order
Such defects or errors are summarily admitting the supplemental pleading.
corrected by the court, at any stage of the [Sec. 6, Rule 10]
action, at its initiative or on motion, provided no
prejudice is caused thereby to the adverse Purpose
party. To bring into the records new facts which will
[Sec. 4, Rule 10] enlarge or change the kind of relief to which the
plaintiff is entitled. [Ada v. Baylon, G.R. No.
4. Effect of amended pleading 182435 (2012)]

a. Supersedes the pleading that it amends, Supplemental

Amended Pleadings
i. When a pleading is amended, the Pleadings
original pleading is deemed to have Refer to transactions,
been abandoned. The original ceases occurrences or
Refer to facts existing
to perform any further function as a events which have
at the time of the
pleading. [Ching and Powing happened since the
commencement of
Properties Inc. v. Cheng, G.R. No. date of the pleading
the action
175507 (2014)] sought to be
supplemented
b. Admissions in the superseded pleadings
Either as a matter of
may be offered in evidence against the right or by leave of
Always by leave of
pleader court
court
Note: The amended rules changed the Merely supplements,
word “received” into “offered”, meaning Supersedes the and exists side-by-
that the admissions in the superseded pleading that it side with the original
pleadings may not necessarily be amends [1 Riano 366, 2011
received in evidence. They are Ed.]
considered extrajudicial admissions. A new copy of the
entire pleading,
c. Claims or defenses alleged in the incorporating the
No such requirement
superseded pleading but not amendments, which
exists
incorporated or reiterated in the amended shall be indicated by
pleading are deemed waived. [Sec. 8, appropriate marks,
Rule 10] shall be filed

b. Supplemental pleadings 10. When to File Responsive

Pleadings
When proper
A supplemental pleading is filed to set forth a. After
transactions, occurrences or events which
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i. Service of the bill of particulars or of a What cannot be done in a bill of particulars
more definite pleading, or a. To supply material allegations necessary to
ii. Notice of denial of his motion the validity of a pleading
b. The moving party may file his responsive b. To change a cause of action or defense
pleading stated in the pleading
i. Within the period to which he was c. To state a cause of action or defense other
entitled at the time of filing his motion, than the one stated
ii. Which shall not be less than 5 calendar d. To set forth the pleader’s theory of his
days in any event. [Sec. 5, Rule 12] cause of action or a Rule of evidence on
which he intends to reply
a. Bill of Particulars e. To furnish evidentiary information [Virata v.
Sandiganbayan, G.R. No. 103527 (1993)]
A party may move for a definite statement or
for a bill of particulars of any matter which is not b. Actions of The Court
averred with sufficient definiteness or
particularity to enable him properly to prepare Upon the filing of the motion, the clerk of court
his responsive pleading. [Sec. 1, Rule 12] must immediately bring it to the attention of the
court, which may either
An action cannot be dismissed on the ground 1. Deny, or
that the complaint is vague or indefinite. The 2. Grant the motion outright, or
remedy of the defendant is to move for a bill of 3. Allow the parties the opportunity to be
particulars, or avail of the proper mode of heard. [Sec. 2, Rule 12]
discovery. [Galeon v. Galeon, G.R. No. L-
30380 (1973)] 1. Compliance with the Order and Effect
of Non-compliance
1. Purpose and When Applied For
If motion is granted, either in whole or in part,
Purpose: To enable the movant to prepare his the pleader must file a bill of particulars or a
or her responsive pleading. [Sec. 1, Rule 12]. more definite statement, within 10 calendar
days from notice of order, unless the court fixes
It is not to enable the movant to prepare for a different period.
trial. When this is the purpose, the appropriate
remedy is to avail of Discovery Procedures The bill of particulars or a more definite
under Rules 23 to 29 [1 Riano 419, 2011 Ed.] statement ordered by the court may be filed
either in a separate pleading or in an amended
When applied for pleading, serving a copy thereof on the
a. Before responding to a pleading. adverse party [Sec. 3, Rule 12]
b. If the pleading is a reply, within 10 calendar
days from service thereof. [Sec. 1, Rule 12] A bill of particulars becomes part of the
pleading for which it was intended [Sec. 6, Rule
Contents 12]
The motion shall point out
a. The defects complained of, Effect of non-compliance
b. The paragraph wherein they are contained, a. If the order is not obeyed, or in case of
and insufficient compliance therewith, the court
c. The details desired. [Sec. 1, Rule 12] may
i. Order the striking out of the pleading or
The only question to be resolved in such the portions thereof to which the order
motion is whether the allegations in the is directed, or
complaint are averred with sufficient ii. Make such an order as it may deem
definiteness or particularity to enable the just. [Sec. 4, Rule 12]
movant to properly prepare his responsive b. If the plaintiff fails to obey, his complaint
pleading and to prepare for trial. [Tantuico, Jr. may be dismissed by the court. This
v. Republic, G.R. No. 89114 (1991)] dismissal shall have the effect of an
adjudication upon the merits, unless

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otherwise declared by the court. [Sec. 3, page must be consecutively numbered. [Sec.
Rule 17] 4, A.M. No. 11-9-4-SC]
c. If the defendant fails to obey, his answer
will be stricken off and his counterclaim Copies to be Filed
dismissed, and he will be declared in 1. Supreme Court
default upon motion of the plaintiff. [Sec. 3, a. One original (properly marked) and
Rule 9; Sec. 4, Rule 12; Sec. 4, Rule 17] [1 four copies
Riano 422, 2011 Ed.] b. If En Banc, parties shall file ten
additional copies
2. Effect on The Period To File A c. In both cases, just two sets of annexes,
Responsive Pleading one attached to the original and an
extra copy
Provided that the Motion for Bill of Particulars d. Parties to cases before the Supreme
is sufficient in form and substance, it stays the Court are further required, on voluntary
period for the movant to file his responsive basis for the first six months following
pleading. [1 Riano 422, 2011 Ed.] the effectivity of this Rule and
compulsorily afterwards unless the
After service of the bill of particulars or of a period is extended, to submit,
more definite pleading, or after notice of denial simultaneously with their court-bound
of his motion, the moving party may file his papers, soft copies of the same and
responsive pleading within the period to which their annexes (the latter in PDF format)
he was entitled at the time of filing his motion, either by email to the Court’s e-mail
which shall not be less than five (5) calendar address or by compact disc (CD). This
days in any event. [Section 5, Rule 12] requirement is in preparation for the
eventual establishment of an e-filing
11. Efficient Use of Paper Rule ; E- paperless system in the judiciary
Filing 2. Court of Appeals and Sandiganbayan
a. One original (properly marked) and two
copies with their annexes
a. Format and Style
3. Court of Tax Appeals
a. One original (properly marked) and two
Prescribed format : Single space with one-
copies with annexes
and-a-half space between paragraphs, using
b. On appeal to the En Banc, one original
an easily readable font style of the party’s
(properly marked) and eight copies
choice, of 14-size font, and on a 13-inch by 8.5-
with annexes
inch white bond paper
4. Other courts
a. One original (properly marked) with the
Coverage of Format Requirement
stated annexes attached
1. All pleadings, motions and similar papers
[Sec. 5, A.M. No. 11-9-4-SC]
intended for the court and quasi-judicial
body’s consideration and action;
2. All decisions, resolutions and orders issued Annexes Served on Adverse Party
by courts and quasi-judicial bodies under A party required by the rules to serve a copy of
the administrative supervision of the his court-bound on the adverse party need not
Supreme Court; enclose copies of those annexes that based on
3. Reports submitted to the courts and the record of the court such party already has
transcripts of stenographic notes [Sec. 3, in his possession. In the event a party requests
A.M. No. 11-9-4-SC] a set of the annexes actually filed with the
court, the part who filed the paper shall comply
Margins and Prints with the request within five days from receipt.
The parties shall maintain the following [Sec. 6, A.M. No. 11-9-4-SC]
margins on all court-bound papers: a left hand
margin of 1.5 inches from the edge; an upper
margin of 1.2 inches from the edge; a right
hand margin of 1.0 inch from the edge; and a
lower margin of 1.0 inch from the edge. Every

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B. Filing and Service of ● Where the trial court acquires
jurisdiction over a claim by the filing of
Pleadings, Judgments, Final the pleading and the payment of the
Orders, and Resolutions prescribed filing fee, but subsequently,
the judgment awards a claim not
1. Rules on Payment of Docket Fees specified in the pleading, or cannot
then be estimated, or a claim left for
It is not simply the filing of the complaint or determination by the court, then the
appropriate initiatory pleading but the payment additional filing fee shall constitute a
of the prescribed docket fee that vests a trial lien on the judgment
court with jurisdiction over the subject matter or [Heirs of Hinog v. Melicor, G.R. No. 140954
nature of the action [Proton Pilipinas v. Banque (2005)]
National de Paris, G.R. No. 151242 (2005)]
5. Limitation on the claims covered by
Payment of docket fees is mandatory and fees as lien
jurisdictional [National Transmission Claims not specified or claims although
Corporation v. Heirs of Teodulo Ebesa, G.R. specified are left for determination of the
No. 186102 (2016)]. court are limited only to any damages that
may arise after the filing of the complaint or
a. Effect of Failure to Pay Docket Fees similar pleading for then it will not be
at Filing possible for the claimant to specify nor
speculate as to the amount thereof
1. The Manchester Rule [Metrobank v. Perez, G.R. No. 181842
● Automatic Dismissal (2010)]
● Any defect in the original pleading
resulting in underpayment of the 2. Rule 13
docket fees cannot be cured by
amendment, such as by the reduction Coverage
of the claim as, for all legal purposes, The filing of all pleadings, motions, and
there is no original complaint over other court submissions, as well as the
which the court has acquired service thereof, except those for which a
jurisdiction different mode of service is prescribed. [Sec. 1,
[Manchester v. CA, G.R. No. 75919 (1987)] Rule 13]

2. Relaxation of the Manchester Rule (Sun Note: Due to the revision, the rule now
Insurance Doctrine) contemplates filing of submissions that are not
● NOT automatic dismissal paper-based, such as those made through
● Court may allow payment of fees within electronic means.
a reasonable time, but in no case
beyond the expiration of the applicable Papers required to be filed and served
prescriptive period of the action filed a. Judgment
[Sun Insurance v. Asuncion, G.R. No. 79937 b. Resolution
(1989)] c. Order
d. Pleading subsequent to the complaint
3. Exception to the Sun Insurance doctrine e. Written motion
– The Sun Insurance rule allowing payment f. Notice
of deficiency does not apply where plaintiff g. Appearance
never demonstrated any willingness to h. Demand
abide by the Rules to pay the docket fee i. Offer of judgment; or
but stubbornly insisted that the case filed j. Similar papers. [Sec. 4, Rule 13]
was one for specific performance and
damages [Gochan v. Gochan, G.R. No. a. Filing of Pleadings
146089 (2001)]
Filing is the act of submitting the pleading or
4. Further modification other paper to the court. [Sec. 2, Rule 13]
● Docket fees as lien
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1. Periods of Filing of Pleadings Service of
Within 15 the
Responsive Reply [Sec. 6] calendar pleading
Reckonin
Pleadings [Rule Period days responded
g Point
11] to
Within 30 Within 20
calendar calendar
days days Notice of
Answer to
(unless a the order
Answer to the supplemental
Exceptio different admitting
complaint [Sec. 1] Service of complaint [Sec. 7]
n: unless period is the same
summons
a fixed by
different the court)
period is
fixed by Note: The Rules allow for a motion to extend
the court time to file an answer, as long as it is for
Answer of a meritorious reasons. Such may only be availed
defendant foreign of by the defendant once and may not exceed
private juridical 30 calendar days. [Sec. 1, Rule 11]
Receipt of
entity whose Within 60
summons
summons was calendar 2. Manner of filing
by such
served on the days
entity
government How filed
official designated The filing of pleadings and other court
by law [Sec. 2] submissions shall be made by:
Answer to Service of a. Submitting personally the original to the
amended Within 30 a copy of court;
complaint as a calendar the b. Sending them by registered mail;
matter of right days amended c. Sending them by accredited courier; or
[Sec. 3] complaint d. Transmitting them by electronic mail or
Notice of other electronic means as may be
Answer to authorized by the Court, in places where
the order
amended Within 15 the court is electronically equipped. [Sec.
admitting
complaint NOT as calendar 3, Rule 13]
the
a matter of right days
amended
[Sec. 3]
complaint Mode of
Date of Filing
Answer to an Filing
amended The clerk of court shall
Personal
counterclaim endorse on the pleading
Same as Filing
amended cross- the date and hour of filing
answer Same as
claim, amended Filing by The date of the mailing of
to answer to
third (fourth, etc.) Registered motions, pleadings, and
amended amended
-party complaint, Mail other court submissions,
complain complaint
and amended and payments or deposits,
t
complaint-in- as shown by the post office
Filing by
intervention [Sec. stamp on the envelope or
Accredited
3] the registry receipt shall be
Courier
Answer to considered as the date of
Within 20
counterclaim or their filing.
calendar Service
cross-claim [Sec. Transmittal by
days
4] electronic mail
The date of electronic
Same as or other
Answer to third Same as transmission
answer electronic
(fourth, etc.) - answer to
to the means
party complaint the
complain [Sec. 3, Rule 13]
[Sec. 5] complaint
t
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b. Service of Pleadings days prior to the scheduled date of
hearing
To whom service made b. Addressee is from outside the
General Rule: judicial region of the court where the
Serve the copy of the pleading or the court case is pending
submission to the party himself. ● if such notice appears on the records to
have been mailed at least 30 calendar
Exception: days prior to the scheduled date of
If a party has appeared by counsel, service hearing. [Sec. 10, Rule 13]
upon such party shall be made upon his or her
counsel or one of the counsels. Note: Since it is provided as a mere
presumption, it may be subject to proof to the
Exception to Exception: contrary, such as when counsel adduces
The court orders service upon both the party evidence that notice of the court setting was
and counsel. [Sec. 2, Rule 13] indeed not served.

When several parties/several counsel i. Personal service

Where one counsel appears for several
parties, such counsel shall only be entitled to How personal service is made
one copy of any paper served upon him by the Service by personal service shall be made by:
opposite side. 1. By personal delivery of a copy to the party,
counsel, or to their authorized
Where several counsels appear for one representative named in the appropriate
party, such party shall be entitled to only one pleading or motion, or
copy of any pleading or paper to be served 2. By leaving it in his or her office with his or
upon the lead counsel if one is designated or her clerk, or with a person having charge
upon any one of them is there no designation thereof
of a lead counsel. ● If (a) no person is found in his or her
[Sec. 2, Rule 13] office, or (b) his or her office is not
1. Modes of Service known, or (c) he or she has no office,
then by leaving the copy at the party or
Pleadings, motions, orders, judgments, and counsel's residence, if known, with a
other court submissions shall be served: person of sufficient age and discretion
a. Personally, residing therein.
b. By registered mail, ● Such must be served at the residence
c. By accredited courier, at a time between 8 am to 6 pm. [Sec.
d. By electronic mail, facsimile transmission, 6, Rule 13]
or other electronic means as may be
authorized by the Court, ii. Service by registered mail
e. By service as provided for in international
conventions to which the Philippines is a How service by registered mail is made
party, and 1. Depositing the copy in the post office in a
f. Substituted service. [Sec. 5, Rule 13] sealed envelope,
2. The copy must be plainly addressed to the
Note: As to which modes of service are party or counsel at his office, if known.
preferred, refer below to the discussion on Otherwise, address to his residence, if
conventional service of orders, pleadings, and known,
other documents. 3. Postage must be fully prepaid, and
4. Copy must come with instructions to the
Presumptive Service postmaster to return the mail to the sender
There shall be presumptive service of a notice after 10 calendar days if the copy remains
to a party of a court setting: undelivered.
a. Addressee is in the same judicial region
of the court where the case is pending Ordinary mail – If no registry service is
● if such notice appears on the records to available in the locality of either the sender or
have been mailed at least 20 calendar
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addressee, service can be made through enable the court to ascertain from the
ordinary mail. [Sec. 7, Rule 13] title:
a. The parties filing or serving the
iii. Service by accredited courier paper,
b. The nature of the paper,
How service by accredited courier is done c. The party or parties against whom
Note: Unlike the other means of service, there relief, if any, is sought, and
is no provision under the Amended Rules d. The nature of the relief sought.
which outlines how service via accredited [Sec. 12, Rule 13]
courier is done.
Change of electronic mail or facsimile
At most, the Amended Rules only provide that number
in the case of judgments, finals orders, and A party who changes his e-mail address or
resolutions, such service must be preceded by facsimile number while the action is pending
an ex parte motion requested by any party to must file, within 5 calendar days, a notice of
the proceedings. [Sec. 13, Rule 13] change of e-mail address or facsimile number
with the court, and serve notice on all other
iv. Service by electronic mail, facsimile parties. [Sec. 11, Rule 13]
transmission, or other electronic means
Service through the registered e-mail of the
When service by electronic means or party shall be presumed valid unless such
facsimile is allowed party notifies the court of any change as
Service by electronic means and facsimile shall aforementioned. [Sec. 11, Rule 13]
be made if the party concerned consents to
such modes of service. [Sec. 9, Rule 13] Note: Due to the rule providing for such
presumption, any actual change in the e-mail
How service by electronic means or addresses or facsimile numbers of the parties
facsimile is made will not bind the court unless the party gives
notice of the change.
Service by electronic means
1. By sending an e-mail to the party’s or v. Service as provided for in international
counsel’s e-mail address, or conventions
2. Through other electronic means of
transmission. An example of an international convention
which the Philippines is a party to which
Before service by electronic means can be likewise relates to service of court documents
availed of, either the agreement of the parties would be the Convention on the Service
or the direction of the court is required. [Sec. 9, Abroad of Judicial and Extrajudicial Documents
Rule 13] in Civil or Commercial Matters.

Service by facsimile vi. Substituted service

By sending a facsimile copy to the party or
counsel’s given facsimile number. When substituted service is allowed
[Sec. 9, Rule 13] When service cannot be made personally or by
mail because the office and place of residence
Subject format of electronically served of the party or his counsel being unknown.
documents and facsimiles [Sec. 8, Rule 13]
The subject of the e-mail and facsimile must
follow the prescribed format: How substituted service is made
1. Case number, followed by 1. Delivering the copy to the clerk of court
2. Case title, followed by 2. With proof of failure of both personal
3. The pleading, order or document title. service and service by mail. [Sec. 8, Rule
● The title of each electronically-filed or 13]
served pleading or document, and
each submission served by facsimile,
shall contain sufficient information to
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Papers that may be served through At the time of the electronic
substituted service transmission of the
1. Pleadings document or
2. Motions at the time that the
3. Notices electronic notification of
4. Resolutions, and service of the document is
Electronic
5. Other papers. [Sec. 8, Rule 13] sent.
Service
Judgments, final orders, or resolutions cannot Note: It is not effective or
be served by substituted service. [1 Regalado complete if the party
233, 2010 Ed.] serving learns that it did not
reach the person to be
vii. Conventional service or filing of served.
orders, pleadings, and other documents Service by Upon receipt by the other
facsimile party as indicated in the
General Rule: The following should not be transmission facsimile printout.
served or filed electronically, and shall be filed At the time of delivery of the
Substituted
or served personally or by registered mail: copy to the clerk of court.
service
1. Initiatory pleadings and initial responsive [Sec. 8, Rule 13]
pleadings (answer); [Sec. 15, Rule 13]
2. Subpoena, protection orders, and writs;
3. Appendices and exhibits to motions, or i. Proof of filing and service
other documents that are not readily
amenable to electronic scanning; and Proof of Filing
4. Sealed and confidential documents or General Rule: The filing of a pleading or any
records. other court submission shall be proved by its
existence in the record of the case.
Exception: When the court gives express Exception: If the pleading or any other court
permission for them to be filed electronically. document is not in the record, but is claimed to
[Sec. 14, Rule 13] have been filed by the following modes, proof
shall be:
2. When Service is Deemed Complete
Mode Proof of Filing
Mode of By the written or stamped
Completeness of Service
Service acknowledgment of its
Personal Personal
Upon actual delivery. filing by the clerk of court
Service Filing
on a copy of the pleading or
Upon the expiration of the court submission.
Service by 10 calendar days after By the registry receipt and
ordinary mail mailing, unless the court the affidavit of the person
otherwise provides. who mailed it containing a
Upon the actual receipt by full statement of the date
the addressee, or and place of deposit of the
Service by after 5 calendar days from mail in the post office in a
registered the date he or she received Filing by
sealed envelope
mail the first notice of the registered
addressed to the court, with
postmaster, whichever is mail
postage fully prepaid, and
earlier. with the instructions to the
Upon actual receipt by the postmaster to return the
addressee or mail to the sender after 10
after at least 2 attempts to calendar days if not
Service by
deliver or delivered.
accredited
upon the expiration of 5 Filing by By an affidavit of service of
courier
calendar days after the first accredited the person who brought the
attempt to deliver, courier pleading or other document
whichever is earlier.
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to the service provider, and An affidavit of service
the courier’s official receipt executed by the person
and document tracking Service by who brought the pleading
number. accredited or paper to the service
By an affidavit of electronic courier provider, and the courier’s
filing of the filing party, and official receipt or document
a paper copy of the tracking number.
pleading or other document Service by
Electronic
transmitted, or electronic An affidavit of service
Filing
mail, executed by the person
A written or stamped facsimile, or who sent the e-mail,
acknowledgment of its other facsimile, or other
filing by the clerk of court. authorized electronic transmission,
By an affidavit of electronic electronic and printed proof of
Filing by other
filing of the filing party, and means of transmittal.
authorized
a copy of the electronic transmission
electronic
acknowledgment of its [Sec. 17, Rule 13]
means
filing by the court.
[Sec. 16, Rule 13] c. Service of Judgments, Final Orders,
or Resolutions; Service of Court-
Proof of Service Issued Orders and Other Documents
Mode Proof of Service
A written admission of the Service of judgments, final orders, or
party served, or resolutions
Judgments, final orders, or resolutions shall be
The official return of the served either:
server, or 1. Personally,
Personal
Service 2. By registered mail,
The affidavit of the party 3. By accredited courier, upon ex parte
serving, containing a motion of any party
statement of the date, 4. By publication, when a party summoned by
place, and manner of publication has failed to appear in the
service action. Expenses of publication must be
Service by borne by the prevailing party. [Sec. 13,
ordinary mail Rule 13]

Note: This Note: Curiously, both Sec. 5, Rule 13 and Sec.

mode of 13, Rule 13 mandate different methods of
service may An affidavit of the person service when it comes specifically to
only be mailing stating the facts “judgements” and “final orders”. It is
availed of if no showing compliance with submitted that the enumeration in Sec. 13,
registry Sec. 7, Rule 13. Rule 13 should govern when it comes to these
service is two court documents, as such rule specifically
available in provides for the method of service of
the locality as “judgements” and “final orders”. Sec. 5, Rule
per Sec. 7, 13 on the other hand, covers the method of
Rule 13. service for a more general list of court
An affidavit of the person documents. Lex specialis derogat legi generali.
mailing stating the facts Specific provisions of law govern over general
Service by showing compliance with provisions.
registered Sec. 7, Rule 13 and the
mail registry receipt issued by Service of court-issued orders and other
the mailing office. documents
The court may electronically serve orders and
other documents to all the parties in the case

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which shall have the same effect and validity 1. Nature and Purpose of Summons
as provided herein. in Relation to Actions In Personam,
In Rem, and Quasi In Rem
A paper copy of the order or other document
electronically served shall be retained and
attached to the record of the case. In personam In rem and quasi in
[Sec. 18, Rule 13] rem

Note: It is submitted that despite Sec. 18, Rule Nature

13 allowing for service of orders and other
documents electronically, such mode of Confers Summons is
service may be done only in addition to the jurisdiction over served for
four modes of service in the case of the person of the purposes of due
judgements, final orders, and resolutions as defendant in a process.
dictated by Sec. 13, Rule 13. This is so civil case.
because Sec. 13, Rule 13 uses the word “shall” Jurisdiction over
in enumerating the modes of service applicable Where the action is the person of the
to such documents. Electronic service in personam, that is, defendant is not
cannot replace these modes of service, and one brought against a prerequisite to
may only supplement the same. It appears, a person on the basis confer
therefore, that the rationale for allowing of his personal jurisdiction on
electronic service in these cases is to ensure liability, jurisdiction the court
receipt by the parties to the case. over the person of provided that the
the defendant is court acquires
necessary for the jurisdiction over
C. Summons court to validly try the res, which
and decide the case. does NOT mean
Definition [Velayo-Fong v. that service of
The writ by which the defendant is notified of Velayo, G.R. No. summons may
the action brought against him [Licaros v. 155488 (2006)] be dispensed
Licaros, G.R. No. 150656 (2003)] with. (Due
process)
By whom issued
Clerk of court upon directive of the court. [Sec. Purpose
1, Rule 14]
a. To acquire a. Not to acquire
Leave of court in case service requires prior jurisdiction over jurisdiction over
leave the person of the the defendant
Any application under this rule for leave to defendant in a but mainly to
effect service in any manner for which leave of civil case satisfy the
court is necessary shall be made by: b. To give notice to constitutional
a. A motion in writing, the defendant requirement of
b. Supported by affidavit of the plaintiff or that an action due process
some person on his behalf setting forth the has been b. Jurisdiction over
grounds for the application. [Sec. 19, Rule commenced the defendant is
14] against him. [1 not required
Riano 376, 2011 c. The court
Ed.] acquires
jurisdiction over
an action as long
as it acquires
jurisdiction over
the res that is the
subject matter of
the action.
[Macasaet v. Co,

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judicial region of the court. In the latter
Jr., G.R. No.
case, there would be no need for the
156759 (2013)]
sheriff, his deputy, or the proper court
officer to have first failed to serve the
2. Rule 14 summons before the plaintiff may be
authorized by court to serve summons.
a. When summons are issued [Sec. 3, Rule 14]

Summons shall be issued: c. A direction that the defendant answer

1. Within 5 calendar days from receipt of the within the time fixed by the ROC; and
initiatory pleading, and d. A notice that unless the defendant so
2. Upon proof of payment of the requisite answers, plaintiff will take judgment by
legal fees default and may be granted the relief
● Note: The new rules now require proof applied for
of such payment to be submitted with 3. The following shall be attached to the
the initiatory pleading. original and each copy of the summons
a. A copy of the complaint, and
Summons shall not be issued, and the case b. An order for appointment of guardian
shall be dismissed if the complaint on its face ad litem, if any. [Sec. 2, Rule 14]
is dismissible under Sec. 1, Rule 9. Such
provides for the non-waivable grounds for c. Duty of Counsel
dismissal of a complaint, to wit:
1. The court has no jurisdiction over the When counsel may be deputized by the
subject matter court to serve summons on his client
2. Litis pendentia 1. Where summons is improperly served, and
3. Res judicata 2. A lawyer makes a special appearance on
4. The action is barred by the statute of behalf of the defendant to question the
limitations. [Sec. 1, Rule 14] validity of service of summons. [Sec. 13,
Rule 14]
Note: The rule directing the court not to issue
summons in case any of the grounds are Note: Due to this new provision in the rules,
present is similar to the Rules on Small Claims when the defendant claims lack of jurisdiction
and Summary Procedure. However, the over his person by special appearance, the
grounds under the amended provision are court will no longer dismiss the case but
limited to the non-waivable grounds in Sec. 1, instead will deputize the counsel to serve
Rule 9. summons on his client. This is also in line
with the amendment removing lack of
b. Contents of Summons jurisdiction over the person of the defendant as
a ground for an allowable motion to dismiss. It
Contents remains, however, as an affirmative defense
1. Summons shall be that may be raised in the answer.
a. Directed to the defendant, and
b. Signed by the clerk of court under seal d. Return
2. Summons shall contain
a. The name of the court, and the names When summons shall be served
of the parties to the action; The server shall complete its service within 30
b. When authorized by the court upon ex calendar days from issuance of summons by
parte motion, an authorization for the the clerk of court and receipt of such. [Sec. 20,
plaintiff to serve summons to the Rule 14]
defendant;
Return of summons
Note: The plaintiff may serve summons Within 5 calendar days from service of
together with the sheriff, only when the summons, the server shall:
sheriff, his deputy or proper court 1. File with the court a copy of the return, and
officer fails to serve summons, or if the 2. Serve a copy of the return to the plaintiff’s
summons is to be served outside the counsel personally, by registered mail, or
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CIVIL PROCEDURE REMEDIAL LAW AND ETHICS
by electronic means authorized by the It is also submitted that the allegation of any of
rules. [Sec. 20, Rule 14] the old grounds for a motion to dismiss under
Rule 16 of the old rules of Civil Procedure
Contents of the return when substituted would be tantamount to a voluntary
service was availed of appearance by the defendant.
1. The impossibility of prompt personal
service within 30 calendar days from issue f. Who may Serve Summons
and receipt of summons;
2. The date and time of the 3 attempts on at Who may serve summons
least 2 different dates to cause personal 1. The sheriff,
service and the details of the inquiries 2. His or her deputy,
made to locate the defendant; and 3. Other proper court officer, or
3. Information on the person to whom the 4. The plaintiff together with the sheriff. [Sec.
summons was served: 3, Rule 14]
a. The name of the person at least 18
years of age and of sufficient discretion The enumeration of persons who may validly
residing thereat, serve summons is exclusive. [1 Regalado
b. The name of the competent person in 245, 2010 Ed.]
charge of the defendant’s office or
regular place of business, or Rules for service of summons by plaintiff
c. The name of the officer of the The court shall authorize the plaintiff to serve
homeowners’ association or summons together with the sheriff upon ex
condominium corporation or its chief parte motion in 2 instances:
security officer in charge of the 1. In case of failure of service of summons by
community or building where the the aforementioned persons, or
defendant may be found. [Sec. 20, 2. In cases where summons is to be served
Rule 14] outside the judicial region of the court
where the case is pending.
Note: The enumeration of persons to whom - Note: There is no need for prior failure
summons was made is the enumeration of to serve in this case before the plaintiff
persons upon whom substituted service may may be authorized by the court to
be made under Sec. 6, Rule 14. serve.

e. Voluntary Appearance If the plaintiff is a juridical entity

1. It shall notify the court, in writing, name its
The defendant’s voluntary appearance in the authorized representative, and
action shall be equivalent to service of 2. A board resolution or secretary’s certificate
summons. must be attached stating that such
representative is duly authorized to serve
The inclusion in a motion to dismiss of other the summons on behalf of the plaintiff.
grounds aside from the lack of jurisdiction over
the person of the defendant shall be deemed a If the plaintiff misrepresents that the
voluntary appearance. [Sec. 23, Rule 14] defendant was served summons, and it is
later proved that no summons was served:
Note: It is submitted that despite Sec. 23, Rule a. The case shall be dismissed with
14 mentioning lack of jurisdiction over the prejudice,
person as a ground to be included in a motion b. The proceedings shall be nullified, and
to dismiss, such still remains to be a prohibited c. The plaintiff shall be meted appropriate
motion under Sec. 12, Rule 15, as the only sanctions.
allowable grounds for a motion to dismiss are
lack of jurisdiction over the subject matter, litis If summons is returned without being
pendencia, res judicata, and prescription. A served on any or all the defendants,
motion to dismiss on the basis of lack of The court shall order the plaintiff to cause the
jurisdiction over the defendant should be service of summons by other means available
dismissed outright. [Sec. 12, Rule 15] under the Rules.

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● Failure to comply with the order shall lead ● A competent person includes, but is not
to dismissal without prejudice. [Sec. 3, limited to, one who customarily
Rule 14] receives correspondences for the
defendant;
g. Modes of Service ● Must be the one managing the office or
business of the defendant, such as the
1. Personal Service president or manager; and such
individual must have sufficient
How done knowledge to understand the obligation
a. By handing a copy to the defendant in of the defendant in the summons, its
person and informing the defendant that he importance, and the prejudicial effects
or she is being served, or arising from inaction on the summons.
b. If he or she refuses to receive and sign for [Prudential Bank v. Magdamit, G.R.
it, by leaving the summons within the view No. 183795 (2014)]
and in the presence of the defendant. [Sec. c. By leaving copies of the summons, if
5, Rule 14] refused entry upon making his or her
authority and purpose known, with any of
Note: The old provision provides for the officers of the homeowners' association
“tendering” as a means of service whenever or condominium corporation, or its chief
handing a copy to the defendant in person is security officer in charge of the community
not possible. The amendment merely explains or the building where the defendant may
what tendering means and how it is done. be found [This reflects the ruling in the
case of Robinson v. Miralles, G.R. No.
2. Substituted Service 163584 (2006)]; and
d. By sending an electronic mail to the
When availed of defendant's electronic mail address, if
Substituted service may be availed of when for allowed by the court. [Sec. 6, Rule 14]
justifiable reasons, the defendant cannot be
served personally after at least 3 attempts on 2 3. Constructive Service
different dates. [This reflects the ruling in the
case of Manotoc v. CA, 499 SCRA 21 (2006)] i. Service upon a defendant where his
identity is unknown or where his
Note: As per Sec. 20, Rule 14, the attempts whereabouts are unknown
must be done within the 30 calendar day period
provided for the completion of service of Service is made by publication
summons. a. With leave of court,
● The order shall specify a reasonable
How done [Sec. 6, Rule 14] time not less than 60 calendar days
a. By leaving copies of the summons at the within which the defendant must
defendant's residence to a person at answer.
least eighteen (18) years of age and of b. Effected within 90 calendar days from
sufficient discretion residing therein; commencement of the action,
● To be of sufficient discretion, a c. In a newspaper of general circulation and
person must know how to read and in such places and for such time as the
understand English to comprehend the court may order.
import of the summons, and fully
realize the need to deliver the Note: The defendant’s whereabouts must be
summons and complaint to the ascertained with diligent inquiry.
defendant at the earliest possible time [Sec. 16, Rule 14]
for the person to take appropriate
action. [Prudential Bank v. Magdamit, ii. Service upon residents temporarily
G.R. No. 183795 (2014)] outside the Philippines
b. By leaving copies of the summons at the
defendant's office or regular place of Service may, by leave of court, be also effected
business with some competent person in out of the Philippines as by the means provided
charge thereof.
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under extraterritorial service. [Sec. 18, Rule 14 second mode) or through other means (as
in re Sec. 17] exhibited in Romualdez-Licaros) – in addition
to the publication of the summons is amply
Note: The section referred to is that on justified by the circumstances of this case. As
extraterritorial service of summons. the records show, it is undisputed that Melania
had left the Philippines and had been
4. Extraterritorial Service estranged from Cris as early as 1991. Since
then, Melania has been residing in San Diego,
When allowed California, without any showing that she had
a. When the defendant does not reside and is informed Cris or that Cris knew of her foreign
not found in the Philippines, and address. Hence, given this backdrop, it is quite
b. The action understandable why it would have been futile,
i. Affects the personal status of the more so, logistically improbable, to have the
plaintiff or summons sent to Melania's "last known
ii. Relates to, or the subject of which is, address." At the very least, the publication of
property within the Philippines, in which summons should be considered as substantial
the defendant has or claims a lien or compliance with the rules on service. [Arrieta v.
interest, actual or contingent, or Arrieta, G.R. 234808 (2018)]
iii. In which the relief demanded consists,
wholly or in part, in excluding the 5. Service upon prisoners and minors ;
defendant from any interest therein, or upon spouses
iv. The property of the defendant has
been attached within the Philippines. Upon prisoners
[Sec. 17, Rule 14] Where the defendant is a prisoner confined
in a jail or institution, service shall be effected
How summons served upon him by the officer having the
By leave of court, be effected outside the management of such jail or institution.
Philippines ● Such officer is deemed a special sheriff
a. By personal service; ● He or she shall file a return within 5
b. By means provided for in international calendar days from service of summons.
conventions to which the Philippines is a [Sec. 8, Rule 14]
party;
c. By publication in a newspaper of general Upon minors or incompetent persons
circulation in such places and for such time Where the defendant is a minor, insane, or
as court may order; or incompetent person, service of summons shall
● a copy of the summons and order of the be made:
court shall be sent by registered mail to a. Upon him or her personally, and
the last known address of the b. On his or her legal guardian
defendant i. If none, on his or her guardian ad litem
d. In any other manner the court may deem whose appointment shall be applied for
sufficient. by the plaintiff
ii. In the case of a minor, on his or her
Any order granting such leave shall specify a parent or guardian. [Sec. 10, Rule 14]
reasonable time within which the defendant
must answer, which shall not be less than 60 Upon spouses
calendar days after notice. [Sec. 17, Rule 14] When spouses are sued jointly, service of
summons should be made to each spouse
Notably, publishing a copy of the summons individually. [Sec. 11, Rule 14]
does not necessarily mean that the trial court
intended to direct extraterritorial service of
summons under the second mode of service
provided in Section 15, Rule 14 of the Rules.
RTC's call not to have a copy of the summons
sent to Melania's last known address – whether
through registered mail (in such case, the
mode of service would qualify under the
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6. Service upon domestic or foreign [Sec. 6, Rule 14] However, with such provision
private juridical entities under this section, it appears that the
requirement of 3 attempts on 2 different dates
i. Upon an entity without juridical does not apply in this instance. As soon as
personality service cannot be made on the officers or their
secretaries, service can already be made on
a. When applicable the person customarily receiving
1. Persons are associated in an entity correspondence.
without juridical personality, and
2. They are sued under the name by Domestic juridical entity under receivership
which they are generally or commonly or liquidation
known Service of summons shall be made on the
b. Service may be effected upon all the receiver or liquidator. [Sec. 12, Rule 14]
defendants by serving upon
1. Any one of them, or Note: In case of refusal by any of the persons
2. The person in charge of the office or mentioned to receive summons for
place of business maintained in such domestic juridical entities despite at least 3
name. attempts on 2 different dates, service may be
made electronically, if allowed by the court.
Note: Such service shall not bind any person [Sec. 12, Rule 14]
whose connection with the entity has, upon due
notice, been severed before the action was iii. Upon foreign private juridical entities
filed. [Sec. 7, Rule 14]
Juridical entity registered/ has a resident
ii. Upon domestic private juridical entity agent and is doing business in the
Philippines
Service is effected upon: Service may be made on:
a. The president, a. Its resident agent designated in
b. Managing partner, accordance with law,
c. General manager, b. If there is no such agent, on the
d. Corporate secretary, government official designate by law to that
e. Treasurer, or effect, or
f. In- house counsel. c. On any of its officers, agents, directors, or
trustees within the Philippines. [Sec. 14,
Service may be effected wherever they may be Rule 14]
found, or in their absence or unavailability, on
their secretaries. [Sec. 12, Rule 14] Juridical entity not registered/ has no
resident agent but has transacted or is
Note: This is a new provision that seeks to doing business in the Philippines
address the issue of plaintiffs under the old Service may, with leave of court, be effected
rules frequently having to ask for alias outside the Philippines through:
summons that would include new addresses of a. Personal service coursed through the
the officers. This is in line with the amended appropriate court in the foreign country with
rule that alias summons will only be issued for the assistance of the DFA;
lost summons. b. Publication once in a newspaper of general
circulation in the country where the
If service cannot be made on the enumerated defendant may be found and by serving a
officers or their secretaries, it shall be made copy of the summons and the court order
upon the person who customarily received by registered mail at the last known
the correspondence for the defendant at its address of the defendant;
principal office. [Sec. 12, Rule 14] c. Facsimile;
d. Electronic means with the prescribed proof
Note: A person who customarily receives of service; or
correspondence is also a person to whom e. Other means as the court, in its discretion,
substituted service of summons may be made may direct. [Sec. 14, Rule 14]
after at least 3 attempts on 2 different dates.
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7. Service upon public corporations indeed served. [Santiago Syjuco, Inc. v.
To Whom Castro, G.R. No. 70403 (1989)].
Defendant 3. Party alleging valid summons will now
Summons Served
prove that summons was indeed served.
The Republic of the [Heirs of Manguiat v. CA, G.R. No. 150768
Solicitor General
Philippines
(2008)].
Executive head or 4. If there are no valid summons, the court did
Province, City, not acquire jurisdiction which renders null
such other officer/s
Municipality, or like and void all subsequent proceedings and
as the law or the
public corporations issuances. [Santiago Syjuco, Inc. v.
court may direct.
Castro, G.R. No. 70403 (1989)].
[Sec. 15, Rule 14]
D. Motions
h. Proof of service

Proof of service shall 1. In General

1. Be made in writing by the server and
2. Set forth the manner, place, and date of a. Definition of a Motion
service; any papers which have been
served with the process, and the name of A motion is any application for relief other
the person who received the papers served than by a pleading. [Sec. 1, Rule 15]
3. Be sworn to when made by a person, other
than the sheriff or his or her deputy. [Sec. b. Motions vs. Pleadings
21, Rule 14]
Motion Pleading
Summons made by electronic mail
Proof of service shall be: Contains allegations Contains allegations
1. A print out of said e-mail, of facts [Sec. 3, Rule of the ultimate facts
2. Copy of the summons as served, and 15] [Sec. 1, Rule 8]
3. The affidavit of the person mailing. [Sec.
21, Rule 14] Prays for a relief [Sec. 1, Rule 15]

Summons made by publication Generally in writing, Always in writing

Proof of service shall be: except when made [Sec. 1, Rule 6]
1. The affidavit of the publisher, business or in open court or
advertising manager, during the course of
2. Copy of the publication, and a hearing or trial.
3. An affidavit showing the deposit of a copy [Sec. 2, Rule 15]
of the summons and order for publication in
the post office, postage prepaid, directed to c. Contents and Form of Motions
the defendant by registered mail to his or
her last known address [Sec. 22, Rule 14] Contents
1. Relief sought to be obtained,
Note: The amended rules changed printer to
2. Grounds upon which it is based, and
publisher and removed the foreman or principal
3. With supporting affidavits and other
clerk from those who may execute the affidavit.
papers if
Effect of defect of proof of service a. Required by the ROC, or
1. Where the sheriff's return is defective, the b. Necessary to prove facts alleged
presumption of regularity in the therein. [Sec. 3, Rule 15]
performance of official functions will not lie.
[Sps. Venturanza v. CA, G.R. No. 77760 Form
(1987)]. General Rule: In writing
2. Defective return is insufficient and The rules applicable to pleadings shall apply to
incompetent to prove that summons was written motions so far as concerns caption,

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designation, signature, and other matters of 2. Non-litigious Motions
form. [Sec. 11, Rule 15]
What are Non-Litigious motions
Exceptions: Oral motions made in: Motions which the court may act upon without
1. Open court or prejudicing the rights of adverse parties. Such
2. The course of a hearing or trial motions shall not be set for hearing and the
court shall resolve the motion within 5
Note: Such motions should be immediately calendar days from receipt of the motion.
resolved in open court, after the adverse party
is given the opportunity to argue his or her Non-litigious motions include:
opposition. However, when the motion is based a. Motion for issuance of an alias summons;
on facts not appearing on record, the court may b. Motion for extension to file an answer;
conduct a hearing to: c. Motion for postponement;
1. Hear the matter on affidavits or d. Motion for the issuance of a writ of
depositions presented by the parties, or execution;
2. The court may direct that the matter be e. Motion for the issuance of an alias writ of
heard wholly or partly on oral testimony execution
or depositions. [Sec. 2, Rule 15] f. Motion for the issuance of a writ of
possession;
d. Motion for leave g. Motion for the issuance of an order
directing the sheriff to execute the final
A motion for leave to file a pleading or motion certificate of sale; and
shall be accompanied by the pleading or h. Other similar motions. [Sec. 4, Rule 15]
motion sought to be admitted. [Sec. 10, Rule
15] 3. Litigious Motions
e. Motion Day What are Litigious Motions
One which requires the parties to be heard
General Rule: Where the court decides to before a ruling on the motion is made by the
conduct a hearing on a litigious motion, it shall court. [1 Riano 368, 2011 Ed.]
be set on a Friday.
Litigious motions include:
Exception: When a motion requires immediate a. Motion for bill of particulars;
action. [Sec. 8, Rule 15] b. Motion to dismiss;

1. Omnibus Motion Rule Note: Since a motion to dismiss is now

classified as a litigious motion, such motion
General Rule: A motion attacking a pleading, should be resolved within 15 calendar days
order, judgment, or proceeding shall include all from the filing of the opposition to the motion to
objections then available. All objections not dismiss. [Sec. 5(c), Rule 15] Therefore, this
included in the motion are deemed waived clearly repeals Secs. 2 and 3, Rule 16 of the
[Sec. 9, Rule 15] old Rules of Court on hearing and resolution of
a motion to dismiss.
Purpose: To require the movant to raise all
available exceptions for relief during a single c. Motion for new trial;
opportunity so that multiple and piece-meal d. Motion for reconsideration;
objections may be avoided. [Manacop v. Court e. Motion for execution pending appeal;
of Appeals, G.R. No. 104875 (1992)] f. Motion to amend after a responsive
pleading has been filed;
Exceptions: Non-waivable grounds under g. Motion to cancel statutory lien;
Sec. 1, Rule 9, namely: h. Motion for an order to break in or for a writ
a. Lack of jurisdiction over subject matter of demolition;
b. Litis pendentia i. Motion for intervention;
c. Res judicata j. Motion for judgment on the pleadings;
d. Prescription [Sec. 9, Rule 15] k. Motion for summary judgment;
l. Demurrer to evidence;
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m. Motion to declare defendant in default; and subject matter, litis pendentia, res judicata, and
n. Other similar motions. [Sec. 5(a), Rule 15] prescription. [Sec. 12, Rule 15] Notably, the
Amended Rules empower the court to dismiss
The period to file an opposition would be 5 a case motu proprio if the aforementioned non-
calendar days from the receipt of the litigious waivable grounds are apparent on the face of
motion. The court shall then resolve the motion the complaint. [Sec. 1, Rule 14]
within 15 calendar days from receipt of the
opposition or upon expiration of the period to The other grounds for a motion to dismiss
file such opposition. under Rule 16 of the old Rules (i.e. lack of
jurisdiction over the person, improper venue,
Note: No other submissions, other than the lack of capacity to sue, payment/release,
opposition, shall be considered by the court in unenforceability under the statute of frauds,
resolving the motion. [Sec. 5(c), Rule 15] failure to comply with condition precedent) can
now only be raised as affirmative defenses.
Service of Litigious Motions [Sec. 12, Rule 8, citing Sec. 5(b), Rule 6]
Litigious motions shall be served by:
1. Personal service; When a Motion to Dismiss can be Filed
2. Accredited private courier; The current Rules do not provide specifically
3. Registered mail; or when a motion to dismiss can be filed. It is
4. Electronic means. [Sec. 5(b), Rule 15] therefore submitted that it is unnecessary for
the rules to provide a period for filing a motion
Note: Remember that electronic means of to dismiss, since the grounds under Sec. 1,
service may only be availed of with consent of Rule 9 are non-waivable. Thus, a motion to
the other party or with authorization of the dismiss can be filed at any time during the
court. [Sec. 9, Rule 13] proceedings, subject to the exception of
estoppel by laches provided for in Tijam v.
No written motion shall be acted upon by the Sibonghanoy [23 SCRA 29 (1968)].
court without proof of service thereof pursuant
to Section 5(b). [Sec. 7, Rule 15] Remedies from the Denial of a Motion to
Dismiss
Hearing on Litigious Motions Affirmative defenses if denied, cannot be the
The court may call for a hearing if deemed subject of a motion for reconsideration, or
necessary for the motion’s resolution and send petition for certiorari, prohibition, or
notice to all parties concerned, specifying the mandamus. [Sec. 12, Rule 8]
time and date of the hearing. [Sec. 6, Rule 15]
Note that the allowance for hearing only Exception: Iff the non-waivable grounds under
applies to litigious motions, since non-litigious Sec. 1, Rule 9 are raised not as affirmative
motions cannot be set for hearing. [Sec. 4, Rule defenses, but in a motion to dismiss, it is
15] submitted that the movant may still file a
motion for reconsideration or a petition for
4. Prohibited Motions certiorari, mandamus, or prohibition against
the order of denial of the motion to dismiss.
The following motions shall not be allowed: This is because there is no prohibition against
its filing, as opposed to if the ground is set forth
a. Motion to dismiss as an affirmative defense in the answer and the
affirmative defense is denied.
Exception: Motion to dismiss on the following
grounds: Note: The remedy of a petition for certiorari
1. Lack of jurisdiction over the subject matter, under Rule 65 is available only when the denial
2. Litis pendentia, or of the motion to dismiss is tainted with grave
3. That the action is barred by res judicata or abuse of discretion. Generally, the proper
the statute of limitations. [Sec. 12, Rule 15] remedy against the denial of a motion to
dismiss would be going through the usual trial
Motion to Dismiss process, and later, filing a timely appeal
The grounds under the current Rules are against an adverse judgement. [1 Riano 412,
limited only to lack of jurisdiction over the 2016 Bantam Ed.]
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b. Motion to hear affirmative defenses; e. Motion for extension of time to file
pleadings, affidavits, or any other
Note: Such motion is prohibited since the court papers,
is required to act on the affirmative defenses
set out in the answer within 30 calendar days if Exception: a motion for extension to file an
the affirmative defense is among those listed in answer as provided by Sec. 11, Rule 11.
Sec. 12, Rule 8. The court is also allowed to
avail of a summary hearing within 15 calendar Any pleading may still be filed out of time
days from the filing of the answer, and is without seeking for motion for extension of
thereafter mandated to resolve the affirmative time, and it will depend on the court whether it
defense within 30 calendar days from the will be admitted. The Rules authorize the court,
termination of the summary hearing if the in its discretion, to accept a pleading, although
affirmative defenses are those set forth in the filed late. [Sec. 11, Rule 11]
first paragraph of Sec. 5(b), Rule 6. [Sec. 12,
Rule 8] f. Motion for postponement intended
for delay, except if it is based on:
c. Motion for reconsideration of the
court’s action on affirmative defenses; Exceptions:
1. Acts of god,
Note: The denial of an affirmative defense 2. Force majeure, or
shall not be the subject of a motion for 3. Physical inability of the witness to appear
reconsideration or a petition for certiorari, and testify. [Sec. 12, Rule 15]
prohibition, or mandamus. [Sec. 12, Rule 8]
Allowed motions for postponement
However, it is not clear from the amended rules If the motion for postponement is granted, the
whether the court’s action of approving an presentation of evidence by the moving party
affirmative defense cannot be the subject to a must still be terminated on the dates previously
motion for reconsideration, since Sec. 12(c), agreed upon. [Sec. 12, Rule 15]
Rule 15 merely provides that a motion for
reconsideration of the court’s action on an Note: The dates previously agreed upon refer
affirmative defense is a prohibited pleading. It to those set forth in the schedule of trial as
does not distinguish whether between the required under Sec. 1, Rule 30.
court’s act of either denying or approving the
affirmative defense. The motion for postponement, whether written
or oral, shall be accompanied by the original
d. Motion to suspend proceedings official receipt from the clerk of court
without a TRO or injunction issued by evidencing payment of the postponement fee.
a higher court;
Such receipt evidencing payment of the fee
Note: The principle of judicial courtesy justifies shall be submitted at the time of the filing of the
the suspension of proceedings before the motion or not later than the next hearing date.
lower courts even without an injunctive writ or The clerk shall not accept the motion unless
order from the higher court. However, this accompanied by said receipt. [Sec. 12, Rule
remains an exception and may be applied only 15]
if there is a strong probability that the issues
before the higher court would be rendered Note: Sec. 3, Rule 30 allows postponement of
moot and moribund as a result of the trial due to illness of party or counsel, provided
continuation of the proceedings in the lower that their presence is indispensable and that
court. [Trajano v. Uniwide Sales Warehouse the character of illness is such as to render the
Club, G.R. No. 190253, (2014)] non-attendance excusable.

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E. Dismissal of Actions filing of the notice [1 Riano 489, 2014 Bantam
Ed.]

1. With Prejudice vs. Without General Rule: Dismissal is without prejudice

Prejudice ; Dismissals Which Have
an Effect of an Adjudication on the Exceptions:
Merits 1. Unless otherwise stated in the notice
2. A notice operates as an adjudication upon
With prejudice the merits when filed by a plaintiff who has
When a motion to dismiss or an affirmative once dismissed in a competent court an
defense is granted on the following grounds, action based on or including the same
the order shall bar the refiling of the same claim
action or claim: [Sec. 1, Rule 17]
a. The cause of action is barred by prior
judgment; Two-dismissal Rule
b. The cause of action is barred by the The notice of dismissal operates as an
statute of limitations; adjudication upon the merits [Sec. 1, Rule
c. That the claim or demand set forth in the 17]
plaintiff’s pleading has been paid, waived,
abandoned, or otherwise extinguished; or Applies when the plaintiff has
d. That the claim on which the action is 1. A twice dismissed action,
founded is unenforceable under the 2. Based on or including the same claim,
provisions of the statute of frauds. 3. In a court of competent jurisdiction. [1
Riano 490, 2014 Bantam Ed.]
Note: Such rule does not bar the filing of an
appeal to challenge the granting of the motion b. Dismissal Upon Motion by Plaintiff
to dismiss or the affirmative defense. [Sec. 13,
Rule 15] A complaint shall not be dismissed at the
plaintiff’s instance save upon approval of the
2. Rule 17 court and upon such terms and conditions as
the court deems proper [Sec. 2, Rule 17]
a. Dismissal Upon Notice by Plaintiff
General Rule: Dismissal is without prejudice
A complaint may be dismissed by the plaintiff
by filing a notice of dismissal at any time before Exception: Otherwise specified in the order
service of [Sec. 2, Rule 17]
1. The answer, or
2. A motion for summary judgment 1. Effect on counterclaim

Upon such notice being filed, the court shall The dismissal shall be without prejudice to the
issue an order confirming the dismissal. [Sec. right of the defendant to prosecute his
1, Rule 17] counter-claim in a separate action unless
within 15 calendar days from notice of the
Note: Sec. 1, Rule 17 refers to “before service”, motion he manifests his preference to have his
not “before filing.” counterclaim resolved in the same action [Sec.
2, Rule 17]
Withdrawal is not automatic but requires an
order by the court confirming the dismissal. Note: Sec. 2, Rule 17 is clear: the counterclaim
Until thus confirmed, the withdrawal does not is not dismissed, whether it is a compulsory or
take effect [1 Herrera 1055, 2007 Ed.] a permissive counterclaim because the rule
makes no distinction [1 Riano 491, 2014
It is not the order confirming the dismissal Bantam Ed.]
which operates to dismiss the complaint. As
the name of the order implies, it merely
confirms the dismissal already effected by the

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c. Dismissal Due to the Fault of Plaintiff 1. Effect on counterclaim

The complaint may be dismissed upon Dismissal is without prejudice to the right of the
motion of the defendant or upon the court’s defendant to prosecute his counterclaim in the
own motion if, for no justifiable cause, the same or in a separate action [Sec. 3, Rule 17]
plaintiff:
1. Fails to appear on the date of the d. Dismissal of Counterclaim, Cross-
presentation of his evidence in chief on the claim, or Third-party Complaint
complaint
a. Provisions of Rule 17 shall apply to the
2. Fails to prosecute his action for an dismissal of any counterclaim, cross-claim, or
unreasonable length of time, also called as third-party complaint.
non-prosequitur
a. The true test for the exercise of such Voluntary dismissal by the claimant by notice
power is whether, under the prevailing as in Sec. 1, Rule 17 shall be made:
circumstances, the plaintiff is culpable 1. Before a responsive pleading or a motion
for want of due diligence in failing to for summary judgment is served; or
proceed with reasonable promptitude. 2. If there is none, before the introduction of
As to what constitutes "unreasonable evidence at trial or hearing. [Sec. 4, Rule
length of time," this Court has ruled that 17]
it depends on the circumstances of
each particular case. [Allied Banking F. Pre-Trial
Corp v. Sps. Madriaga, G.R. No.
196670 (2016)]
b. The action should never be dismissed 1. Concept of Pre-Trial
on a non-suit for want of prosecution
when the delay was caused by the Pre-trial is a procedural device by which the
parties looking towards a settlement. court is called upon, after the filing of the last
[Goldloop Properties Inc. v. CA, G.R. pleading, to compel the parties and their
No. 99431 (1992)] lawyers to appear before it, and negotiate an
3. Fails to comply with the ROC or any court amicable settlement or otherwise make a
order. [Sec. 3, Rule 17] formal settlement and embody in a single
a. A case may be dismissed for failure to document the issues of fact and law involved in
answer written interrogatories under the action, and such other matters as may aid
Rule 25 even without an order from the in the prompt disposition in the action, such as
court to answer. [Arellano v. CFI the
Sorsogon, G.R. No. L-34897 (1975)] a. Number of witnesses the parties intend to
[also see Sec. 5, Rule 29] present
b. Tenor or character of their testimonies
General Rule: This dismissal shall have the c. Documentary evidence
effect of an adjudication upon the merits and is d. Nature and purpose of each of them
thus a dismissal with prejudice. [AFP e. Number of trial dates that each will need to
Retirement v. Republic, 694 SCRA 118 (2013)] put on his case. [1 Herrera 1074, 2007 Ed.]

Exception: Otherwise declared by the court. 2. Nature and Purpose

[Sec. 3, Rule 17]
Pre-trial is mandatory and should be
Note: Under Sec. 3, Rule 14, the plaintiff’s terminated promptly. [Sec. 2, Rule 18]
failure to comply with the order of the court
to serve summons shall cause the dismissal Purpose of pre-trial is to consider
of the initiatory pleading without prejudice. a. Possibility of an amicable settlement or of a
This rule can be seen as an exception to the submission to alternative modes of dispute
general rule that dismissal due to failure to resolution
comply with the order of the court shall cause 1. Simplification of the issues
dismissal with prejudice.

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2. Possibility of obtaining stipulations or Note: Both waivers mentioned above are
admissions of facts and of documents to based on lack of just cause either to appear
avoid unnecessary proof during pre-trial or to bring the evidence
3. Limitation of the number and identification required.
of witnesses and the setting of trial dates
4. Advisability of a preliminary reference of 3. Notice of Pre-Trial
issues to a commissioner
5. Propriety of rendering judgment on the After the last responsive pleading has been
pleadings, or summary judgment, or of served and filed, the branch clerk of court shall
dismissing the action should a valid ground issue a notice of pre-trial within 5 calendar
therefore be found to exist days from filing. [Sec. 1, Rule 18]
6. The requirement for the parties to:
a. Mark their evidence if not yet marked in Note: There is no longer a need for the plaintiff
the judicial affidavits of their witnesses, to move ex parte for the case to be set for pre-
trial. It is now directly vested with the clerk of
Note: The Judicial Affidavit Rule court.
requires that documentary or object The “last pleading” need not be literally
evidence must be marked and construed as the actual filing of the last
attached to the judicial affidavits, with pleading. For the purpose of pre-trial, the
such evidence being marked as Exhibit expiration of the period for filing the last
A, B, C for the plaintiff, and Exhibit 1, 2, pleading is sufficient. [Sarmiento v. Juan, G.R.
3 for the defendant. [Sec. 2(a)(2), AM No. L-56605 (1983)]
No. 12-8-8-SC]
The sufficiency of the written notice of pre-trial
b. Examine and make comparisons of the is irrelevant where evidence shows that
adverse parties’ evidence vis-a-vis the counsel and the parties actually knew of the
copies to be marked, pre-trial. [Bembo v. CA, G.R. No. 116845
c. Manifest for the record, stipulations (1995)]
regarding the faithfulness of the
reproductions and the genuineness When pre-trial conducted
and due execution of the adverse The notice of pre-trial shall set pre-trial to be
parties’ evidence, conducted not later than 60 calendar days
d. Reserve evidence not available at the from the filing of the last responsive pleading.
pre-trial, but only in the following [Sec. 1, Rule 18]
manner, or else it shall not be allowed
i. Testimonial evidence: by giving Contents of Notice of Pre-Trial
the name or position and the nature The notice of pre-trial shall include the dates
of the proposed witness set for:
ii. Documentary/Object evidence: a. Pre-trial;
by giving a particular description of b. Court-Annexed Mediation (CAM); and
the evidence c. Judicial Dispute Resolution (JDR), if
7. Such other matters as may aid in the necessary [Sec. 3, Rule 18]
prompt disposition of the action
Service of Notice of Pre-Trial
Failure without just cause of a party and The notice of pre-trial shall be served on
counsel to appear during pre-trial, despite counsel, or on the party if he or she has no
notice, shall result in a waiver of any counsel [Sec. 3, Rule 18]
objections to the faithfulness of the
reproductions marked, or their genuineness 4. Appearance of Parties
and due execution
It shall be the duty of the parties and their
Failure without just cause to bring the evidence counsel to appear at:
required shall be deemed a waiver of the a. Pre-trial,
presentation of such evidence. [Sec. 2, Rule b. Court-annexed mediation, and
18] c. Judicial dispute resolution, if necessary.
[Sec. 4, Rule 18]
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Note: Both parties and their counsel are
court. [Sec. 5, termination of
required to attend. Appearance of either only
Rule 18] pre-trial, and
the party or his counsel counts as non-
judgment shall
appearance, unless:
be rendered
based on the
Excused non-appearance
evidence
Appearance of a party and counsel may only
offered. [Sec.
be excused for:
5, Rule 18]
a. Acts of god,
b. Force majeure, or Remedy Motion for Motion for
c. Duly substantiated physical inability. [Sec. reconsideratio reconsideratio
4, Rule 18] n, then appeal n, and if the
denial is
Appearance by Representative tainted with
A representative may appear on behalf of a grave abuse of
party, but must be fully authorized in writing to: discretion, a
a. Enter into an amicable settlement, petition for
b. To submit to alternative modes of dispute certiorari
resolution, and
c. To enter into stipulations or admissions of
facts and documents. [Sec. 4, Rule 18] The non-appearance of the defendant in pre-
trial is not a ground to declare him in default.
Note: It is not sufficient for the representative to While the effect of the failure of the defendant
be given the power to enter into one or two of to appear at the pre-trial is similar to that of
the matters enumerated. An incomplete default (possible presentation of evidence ex
authority does not satisfy the requirement of parte), under the Rules, this consequence is
the Rules and should be deemed the not to be called a declaration of default. [1
equivalent of having no authority at all. [1 Riano Riano 302, 2016 Bantam Ed.]
429, 2016 Bantam Ed.]
Default by Failure to appear
The written authorization must be in the form of defendant [Sec. 3, by defendant [Sec.
a special power of attorney as authority to Rule 9] 5, Rule 18]
enter into amicable settlement must be in such
form [Sec. 23, Rule 138; Art. 1878(3), Civil
Code] Upon motion of the Not required
claiming party with
a. Effect of failure to appear notice to the
defending party
Note: The party and counsel must have been
duly notified and their failure to appear was Requires proof of Not required
without valid cause. It is only then that the failure to answer
following effects occur upon non-appearance
of both party and counsel:
Court may render Court renders
judgment without judgment based on
Plaintiff and Defendant receiving evidence the evidence
counsel and counsel presented ex parte
Effect The action The plaintiff
shall be shall be Judgment by default Judgment ex parte
dismissed with allowed to
prejudice, present
unless evidence ex
otherwise parte within 10
ordered by the calendar days
from

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Relief awarded must No such limitation Effects of pre-trial order
be the same in The contents of the order shall control the
nature and amount subsequent course of the action, unless:
as prayed for in the a. The order is modified before trial to prevent
complaint manifest injustice, or [Sec. 7, Rule 18]
b. There are issues impliedly included therein
or may be inferable therefrom by
necessary implication. [Philippine Export
5. Pre-Trial Brief and Foreign Loan Guarantee Corp. v.
Amalgamated Management and
When to file and serve pre-trial brief Development Corp., G.R. No. 177729
The parties shall file with the court and serve (2011)]
on the adverse party to ensure receipt at least
3 calendar days before the date of pre-trial Contents of a pre-trial order
their pre-trial briefs. [Sec. 6, Rule 18] a. An enumeration of the admitted facts;
b. The minutes of the pre-trial conference
Contents of pre-trial brief: prepared by the branch clerk of court [Sec.
a. A concise statement of the case and the 2, Rule 18];
reliefs prayed for; c. The legal and factual issued to be tried;
b. A summary of admitted facts and proposed d. The applicable law, rules, and
stipulation of facts; jurisprudence;
c. The main factual and legal issues to be e. The evidence marked;
tried or resolved; f. The specific trial dates for continuous trial,
d. The propriety of referral of factual issues to which shall be within the period provided by
commissioners; the rules;
e. The documents or other object evidence to g. The case flowchart to be determined by the
be marked, stating the purpose thereof; court
f. The names of the witnesses, and the ● Contains the different stages of the
summary of their respective testimonies; proceedings up to the promulgation of
and the decision and the use of time frames
g. A brief statement of points of law and for each stage in setting the trial dates.
citation of authorities. [Sec. 6, Rule 18] h. A statement that the one-day examination
of witness rule and most important witness
Legal effect of representations and rule shall be strictly followed; and
statements in the pre-trial brief ● One day examination of witness rule
The parties are bound by the representations The One-Day Examination of Witness
and statements in their respective pre-trial Rule, that is, a witness has to be fully
briefs. [A.M. 03-1-09-SC (2004)] examined in one (1) day only, shall be
strictly adhered to subject to the courts'
Note: Representations and statements in the discretion during trial on whether or not
pre-trial briefs are in the nature of judicial to extend the direct and/or cross-
admissions [Sec. 4, Rule 129] examination for justifiable reasons
[Item I-A-5-i, A.M. No. 03-1-09-SC]
Effect of failure to file:
Failure to file the pre-trial brief shall have the
● Most important witness rule
same effect as failure to appear at the pre-trial. The court shall determine the most
[Sec. 6, Rule 18] important witnesses to be heard and
limit the number of witnesses (Most
6. Pre-Trial Order Important Witness Rule) [Item I-A-5-j,
AM No. 03-1-09-SC]
When is a Pre-trial order Issued The court shall require the parties
The court shall issue and order within 10 and/or counsel to submit to the Branch
calendar days from termination of pre-trial. COC the names, addresses and
[Sec. 7, Rule 18] contact numbers of the witnesses to be
summoned by subpoena [Item I-A-5-l,
AM No. 03-1-09-SC]
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i. A statement that the court shall render a. There be no more controverted facts,
judgment on the pleadings or summary b. No more genuine issue as to any material
judgment, as the case may be. [Sec. 7, fact,
Rule 18] c. There be an absence of any issue, or
d. Should the answer fail to tender an issue.
Use of Judicial Affidavits [Sec. 10, Rule 18]
The direct testimony of witnesses for the
plaintiff shall be in the form of judicial Note: Such order is deemed an interlocutory
affidavits. However, even witnesses for the order as it is included in the pre-trial order.
defendant are required to submit judicial However, the order of the court submitting the
affidavits, which likewise take the place of their case for such judgment shall not be subject to
direct testimony. [AM No. 12-8-8-SC, Sec. appeal or certiorari as provided for expressly
2(a)(1)] under Sec. 10, Rule 18.

After identification of such affidavits, cross- Judgment shall be rendered within 90 calendar
examination shall proceed immediately. [Sec. days from termination of pre-trial. [Sec. 10,
7, Rule 18] Rule 18]

Postponement of presentation of witnesses Court-Annexed Mediation (CAM)

General Rule: Postponement of presentation After pre-trial and after the issues are joined,
of the parties’ witnesses at a scheduled date is the court shall refer the parties for mandatory
prohibited. CAM.
● Effect of failure to appear without valid
cause: The presentation of the scheduled Period: Not exceeding 30 calendar days
witness will proceed with the absent party without extension.
[Sec. 8, Rule 18]
Exception: A motion for postponement for
presentation of witnesses is allowed if the Note: A.M. 11-1-6-SC-PHILJA insofar as it
postponement is based on: provides that an extended period of another 30
a. Acts of God, days may be granted by the court upon motion
b. Force majeure, or by the mediator and with the conformity of the
c. Duly substantiated inability of the witness parties shall no longer apply.
to appear and testify.
Note: The party causing the postponement Effect of failure of mediation:
must still finish his presentation of evidence a. Proceed with trial; or
within the remaining dates previously agreed b. If the judge is convinced that settlement is
upon. [Sec. 7, Rule 18 in relation to Sec. 2, possible, referral to another court to
Rule 30] proceed with JDR.

Conduct of pre-trial Judicial Dispute Resolution (JDR)

The judge shall be the one to ask questions If the judge of the court to which the case is
on issues raised by the parties, and all originally raffled is convinced that settlement is
questions or comments by counsel or parties still possible, the case may be referred to
must be directed to the judge to avoid hostilities another court for JDR.
between the parties. [A.M. No. 03-1-09-SC
(2004)] Period: Non-extendible period of 15 calendar
days from notice of failure of CAM. Note that
Motu proprio order for summary judgment the period to conduct JDR is included in the
or judgment on the pleadings period for the presentation of plaintiff’s
The court may motu proprio include in the pre- evidence. [Sec. 1[a][i], Rule 30]
trial order that the case be submitted for
summary judgment or judgment on the Effect of failure: Trial before the original court
pleadings without need of position papers or shall proceed on the dates agreed upon.
memoranda, and without prejudice to a party [Sec. 9, Rule 18]
moving for either judgment on the pleadings or
summary judgment when:
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Note: JDR is no longer mandatory as provided 7. Pre-Trial in Civil Cases vs. Pre-Trial
for under A.M. 11-1-6-SC-PHILJA due to the in Criminal Cases
amended rules. The aforementioned A.M. also
provides for a 30-day JDR for first level courts,
a 60-day JDR for second level courts, and Pre-trial in a Pre-trial in a
discretion on the part of the JDR judge to order Civil Case Criminal Case
a longer period of JDR. Such provisions are [Rule 18] [Rule 118]
now repealed due to the Amended Rules
providing for a non-extendible shorter period of As to Not later than After
when 60 calendar arraignment
15 calendar days for JDR.
conducted days from the and within 30
Confidentiality filing of the last days from the
All proceedings during CAM and JDR shall be responsive date the court
confidential. [Sec. 9, Rule 18] pleading. acquires
[Sec. 1] jurisdiction
Effect of non-appearance at CAM or JDR over the
Note: Non-appearance at CAM or JDR, if person of the
necessary, shall be deemed as non- accused
appearance at pre-trial. [Sec. 3, Rule 18]
Exception: If
Therefore, the following sanctions are meted special laws
out to non-appearing parties at CAM or JDR: and circulars
1. Waiver of any objections to the faithfulness provide for a
of the reproductions marked, or their shorter period
genuineness and due execution, [Sec. 2,
Rule 18] [Sec. 1]
2. If plaintiff and counsel fail to appear As to need There is no Ordered by the
● The action will be dismissed with of motion longer a need court and no
prejudice, unless otherwise ordered by for the plaintiff motion is
the court to move ex required from
If defendant and counsel fail to appear parte to set the either party
● The plaintiff shall be allowed to present case for pre- [Sec. 1]
evidence ex parte within 10 calendar trial. Under the
days from termination of pre-trial, and Amended
judgment shall be rendered based on Rules, the
the evidence offered. [Sec. 5, Rule 18] clerk of court
should issue
the notice of
pre-trial within
5 calendar
days from
filing of the last
responsive
pleading.
[Sec. 1]

As to Mandatory Mandatory
whether or [Sec. 2] [Sec. 1]
not
mandatory

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As to Of the plaintiff If the counsel 2. Uniting with defendant in resisting the
effect of – the case for the accused claims of the plaintiff, or
failure to shall be or the 3. Demanding something adverse to both of
appear dismissed with prosecutor them. [1 Herrera 1117, 2007 Ed., citing
prejudice, does not Gutierrez v. Villegas, G.R. No. L-11848
unless the appear at the (1962)]
court orders pre-trial
conference Purpose of Intervention
Of the and does not Its purpose is to afford one not an original party,
defendant – offer an yet having a certain right/interest in the pending
the plaintiff acceptable case, the opportunity to appear and be
shall be excuse for his joined so he could assert or protect such
allowed to lack of right/interest [Cariño v. Ofilada, G.R. No.
present cooperation, 102836 (1993)]
evidence ex the court may
parte, and impose proper Nature of Intervention
judgment shall sanctions or Intervention cannot alter the nature of the
be rendered penalties. [Sec. action and the issues already joined. [Castro v.
based thereon 3] David, 100 Phil 454 (1956)]
[Sec. 5, Rule
18] Intervention is never an independent action,
but is ancillary and supplemental to the
As to The court shall Not in the existing litigation. [Saw vs CA, 195 SCRA 740
possibility consider this enumeration to (1991)]
of an matter [Sec. be considered.
amicable 2(a)] [Sec. 1] 1. Requisites for Intervention
settlement
a. A motion for leave to intervene filed at any
time before rendition of judgment by the
As to A pre-trial brief A pre-trial brief
requireme trial court [Sec. 2, Rule 19]
is specifically is not required
nt of Pre- required to be under Rule
Trial Brief Note: A motion for intervention is a litigious
submitted 118.
motion. Therefore, the court shall resolve
[Sec. 6]
the motion within 15 calendar days from
As to The pre-trial Shall be receipt of the opposition or upon expiration
agreement order shall reduced in of the period to file such opposition. The
s of include an writing and period to file an opposition would be 5
admission enumeration signed by the calendar days from the receipt of such
s made of the admitted accused and opposition. [Sec. 5, Rule 15]
facts and counsel,
proposed otherwise, they b. A legal interest:
stipulation of cannot be used i. In the matter in litigation;
facts. [Sec. against the ii. In the success of either of the parties;
7(a)] accused. [Sec. iii. An interest against both; or
2] iv. So situated as to be adversely affected
by a distribution or other disposition of
property in the custody of the court or
G. Intervention of an officer thereof
c. Intervention will not unduly delay or
Definition of Intervention prejudice the adjudication of rights of the
A proceeding in a suit or an action by which a original parties
third person is permitted by the court to d. Intervenor’s rights may not be fully
make himself a party, either: protected in a separate proceeding. [Sec.
1. Joining plaintiff in claiming what is sought 1, Rule 19; Lorenza Ortega v. CA, G.R. No.
by the complaint, 125302 (1998)]

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Notwithstanding the presence of a legal
and there is no other
interest, permission to intervene is subject to
plain, speedy and
the sound discretion of the court, the
adequate remedy,
exercise of which is limited by considering
mandamus. [1
"whether or not the intervention will unduly
Regalado 324, 2010
delay or prejudice the adjudication of the rights
Ed., citing Dizon v.
of the original parties and whether or not the
Romero, G.R. No. L-
intervenor’s rights may be fully protected in a
26252 (1968) and
separate proceeding [Virra Mall Tenants v.
Macias v. Cruz, G.R.
Virra Mall, G.R. No. 182902 (2011)]
No. L-28947 (1973)]
2. Time to Intervene
The motion to intervene may be filed at any H. Calendar of Cases
time before rendition of judgment by the trial
court. [Sec. 2, Rule 19] The clerk of court, under the direct supervision
of the judge, shall keep a calendar of cases for:
How effected 1. Pre-trial;
a. By filing a motion to intervene, 2. Trial;
b. Attaching a copy of the pleading-in- 3. Those whose trials were adjourned or
intervention, and postponed; and
c. Serving the motion and pleading-in- 4. Those with motions to set for hearing [see
intervention on the original parties [Sec. 2, Sec. 1, Rule 20]
Rule 19]
Preferred Cases
Pleadings-in-intervention Preference shall be given to:
a. Complaint-in-intervention – If intervenor 1. Habeas corpus cases;
asserts a claim against either or all of the 2. Election cases;
original parties 3. Special civil actions; and
b. Answer-in-intervention – If intervenor 4. Others required by law [see Sec. 1, Rule
unites with the defending party in resisting 20]
a claim against the latter
[Sec. 3, Rule 19] Assignment of cases to different branches
c. Answer to complaint-in-intervention - It of a court
shall be filed within 15 calendar days from 1. Done exclusively by raffle
notice of the order admitting the complaint- 2. Done in open session
in-intervention, unless a different period is 3. Adequate notice given so as to afford
fixed by the court [Sec. 4, Rule 19] interested parties the opportunity to be
present [see Sec. 2, Rule 20]
3. Remedies
I. Subpoena
If Denied If Granted
Definition
Appeal [1 Regalado An improper granting A process directed to a person requiring him or
324, 2010 Ed., citing of a motion for her:
Ortiz v. Trent, G.R. intervention may be 1. To attend and to testify at the hearing or the
No. 5099 (1909) and controlled by trial of an action, or at any investigation
Hospicio de San certiorari and conducted by competent authority, or for
Jose v. Piccio, G.R. prohibition. [1 the taking of his or her deposition
No. L-8540 (1956)] Regalado 324, 2010 2. Also to bring any books, documents, or
Ed., citing Pflieder v. other things under his or her control. [Sec.
De Britanica, G.R. 1, Rule 21]
No. L-19077 (1964)]

If there is grave
abuse of discretion

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When Supreme Court authorization
Subpoena Summons
required
When the subpoena for appearance or
A process directed to A direction that the attendance in any court is issued against a
a person requiring defendant answer prisoner:
him to attend and to within the time fixed 1. Sentenced to death, reclusion perpetua, or
testify. It may also by the ROC [Sec. 2, life imprisonment, and
require him to bring Rule 14] 2. Confined in any penal institution. [Sec. 2,
with him any books, Rule 21]
documents, or other
things under his Personal appearance in court; same effect
control [Sec. 1, Rule as subpoena
21] A person present in court before a judicial
officer may be required to testify as if he or she
Directed to a person Directed to the were in attendance upon a subpoena. [Sec 7,
[Sec. 1, Rule 21] defendant [Sec. 2, Rule 21]
Rule 14]
Subpoena for depositions
Costs for court Tender of costs not Proof of service of notice to take a deposition
attendance and the required by Rule 14 shall constitute sufficient authorization for the
production of issuance of subpoenas for the persons named
documents and other in such notice.
materials subject of
the subpoena shall be Note: In order to issue a subpoena duces
tendered or charged tecum, an order of the court shall be necessary.
accordingly. [Sec. 6, [Sec 5, Rule 21]
Rule 21]
1. Subpoena Duces Tecum
Who may issue
1. Court before whom the witness is required A process directed to a person requiring him to
to attend bring with him books, documents, or other
2. Court of the place where the deposition is things under his control [Sec. 1, Rule 21]
to be taken
3. Officer or body authorized by law to do so The subpoena duces tecum is, in all respects,
in connection with investigations like the ordinary subpoena ad testificandum,
conducted by said officer or body, or with the exception that it concludes with an
4. Any justice of the SC or of the CA, in any injunction that the witness shall bring with
case or investigation pending within the him and produce at the examination the
Philippines. [Sec. 2, Rule 21] books, documents, or things described in
the subpoena [see Sec. 1, Rule 21]
Form and contents
1. Shall state the name of the court and the Note the requirements for a subpoena duces
title of the action or investigation tecum, see item (3) of “Form and contents”
2. Shall be directed to the person whose above.
attendance is required
3. For subpoena duces tecum, shall also 2. Subpoena Ad Testificandum
contain a reasonable description of the
books, documents or things demanded A process directed to a person requiring him to
which must appear to the court prima facie attend and to testify at the hearing or the trial of
relevant. [Sec. 3, Rule 21] an action, or at any investigation conducted by
competent authority or for the taking of his
When issued against prisoners deposition [Sec. 1, Rule 21]
When applied for, the judge or officer shall
examine and study carefully the application to Note: This is the technical and descriptive term
determine whether it is made for a valid for the ordinary subpoena. [1 Regalado 330,
purpose. [Sec. 2, Rule 21] 2010 Ed.]
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3. Service of Subpoena where he or she is to testify by the ordinary
course of travel; or
Service of a subpoena shall be made in the b. Detention prisoner if no permission of the
same manner as personal or substituted court in which his or her case is pending
service of summons [Sec. 6, Rule 21] was obtained. [Sec. 10, Rule 21]

Formalities Viatory Right

a. The original is exhibited to the person The right not to be compelled to attend upon a
served; subpoena by reason of the distance from the
b. A copy is delivered to him; and residence of the witness to the place where he
c. Costs for court attendance and the is to testify is sometimes called the viatory
production of documents and other right of a witness [1 Regalado 334-335, 2010
materials subject of the subpoena shall be Ed.]
tendered or charged accordingly. [Sec. 6,
Rule 21] Note: Such right applies only in civil cases, not
criminal cases. [Genorga v. Quitain, A.M. No.
When made: must be made so as to allow the 981-CFI (1977)]
witness a reasonable time for preparation and
travel to the place of attendance [Sec. 6, Rule 5. Quashing of Subpoena
21]
For quashing subpoena duces tecum
4. Compelling Attendance of a. A motion is promptly made and, in any
Witnesses; Contempt event, at or before the time specified
therein
Warrant to compel attendance b. Grounds
The court which issued the subpoena may i. Subpoena is unreasonable and
issue a warrant to the sheriff or his or her oppressive, or
deputy to arrest the witness and to bring him or ii. Relevancy of the books, documents or
her before the court or officer where his or her things does not appear, or
attendance is required, upon iii. Person in whose behalf the subpoena
a. Proof of service, and is issued fails to advance the
b. Failure of witness to attend. [Sec. 8, Rule reasonable cost of the production
21] thereof
iv. Witness fees and kilometrage allowed
Costs by these Rules were not tendered
The cost of such warrant and seizure of such when the subpoena was served. [Sec.
witness shall be paid by the witness if the 4, Rule 21]
court issuing it shall determine that his or her
failure to answer the subpoena was willful and For quashing subpoena ad testificandum
without just excuse [Sec. 8, Rule 21] a. Witness is not bound thereby, or
b. Witness fees and kilometrage allowed by
Failure to obey the ROC were not tendered when the
Effect of failure by any person without subpoena was served. [Sec. 4, Rule 21]
adequate cause to obey a subpoena served
upon him or her: J. Computation of Time
a. Contempt of court who issued the
subpoena, or Applicability
b. Punishment in accordance with the In computing any period of time:
applicable law or rule if the subpoena was 1. Prescribed or allowed by the Rules,
not issued by a court. [Sec. 9, Rule 21] 2. By order of the court, or
3. By any applicable statute. [Sec. 1, Rule 22]
When Sec. 8 and Sec. 9 will not apply
Provisions regarding the compelling of How to compute time
attendance and contempt shall not apply to a: The day of the act/event from which the
a. Witness who resides more than 100 km designated period begins to run is the
from his or her residence to the place
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excluded and the date of performance Methods
included. 1. By oral examination, or
2. By written interrogatory. [Sec. 1, Rule 23]
Note: If the last day of the period falls on a
Saturday, Sunday, or legal holiday in the place Kinds of depositions
where the court sits, the time shall not run 1. Depositions pending action [Rule 23]
until the next working day. [Sec. 1, Rule 22] 2. Depositions before action or pending
appeal [Rule 24]
Effect of interruption
Should an act be done which interrupts the Depositions pending action
running of the period, the allowable period after The testimony of any person may be taken
such interruption shall start to run on the day upon ex parte motion of a party.
after notice of cessation of the cause
thereof. Note: The attendance of witnesses may be
compelled by the use of subpoena as provided
Note: The day of the act that caused the in Rule 21. [Sec. 1, Rule 23]
interruption, shall be excluded in the
computation of the period. [Sec. 2, Rule 22] Deposition of a person deprived of liberty
The deposition may be taken only by leave of
K. Modes of Discovery court on such terms as the court
prescribes. [Sec. 1, Rule 23]
Discovery
A device employed by a party to obtain The Supreme Court allowed the use of Rule 23
information about relevant matters on the suppletorily in criminal cases. But this is only
case from the adverse party in the preparation applied because of the unusual circumstances
for trial. [1 Riano 437, 2016 Bantam Ed.] of the Mary Jane Veloso case. By denying the
prosecution's motion to take deposition by
Purpose written interrogatories, the appellate court in
To permit mutual knowledge before trial of all effect silenced Mary Jane and denied her and
relevant facts gathered by both parties so that the People of their right to due process by
either party may compel the other to disgorge presenting their case against the said accused.
facts whatever he has in his possession [1 By its belief that it was rendering justice to the
Riano 437, 2016 Bantam Ed.] respondents, it totally forgot that it in effect
impaired the rights of Mary Jane as well as the
Modes of Discovery People. By not allowing Mary Jane to testify
1. Depositions pending actions [Rule 23] through written interrogatories, the Court of
2. Depositions before action or pending Appeals deprived her of the opportunity to
appeal [Rule 24] prove her innocence before the Indonesian
3. Interrogatories to parties [Rule 25] authorities and for the Philippine Government
4. Admission by adverse party [Rule 26] the chance to comply with the conditions set for
5. Production or inspection of documents or the grant of reprieve to Mary Jane. Mary Jane
things [Rule 27] cannot even take a single step out of the prison
6. Physical and mental examination of facility of her own volition without facing severe
persons [Rule 28] consequences. Her imprisonment in Indonesia
and the conditions attached to her reprieve
denied her of any opportunity to decide for
1. Depositions
herself to voluntarily appear and testify before
the trial court in Nueva Ecija where the cases
a. Meaning of Deposition of the respondents were pending. [People v.
Sergio, G.R. No. 240053 (2019)]
Deposition – taking of testimony out of court
of any person, whether party to the action or Before whom depositions are taken
not but at the instance of a party to the action.
1. Within the Philippines, it may be taken
It is taken out of court. [1 Riano 438, 2016
before a
Bantam Ed.]
a. Judge,
b. Notary public, or
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c. Any person authorized to administer c. For good cause shown [Sec.16, Rule
oaths, as stipulated by the parties in 23]
writing. [Sec. 14, Rule 23]
[Sec. 10, Rule 23] 3. The attendance of the witnesses may be
compelled by the use of a subpoena [Sec.
2. Within a foreign state or country, it may be 1, Rule 23]
taken
a. On notice before a secretary of 4. Examination and cross-examination of
embassy or legation, consul general, deponents may proceed as permitted at
consul, vice- consul, or consular agent the trial under Secs. 3 to 18 of Rule 132
of the Philippines, [Sec 3, Rule 23]
b. Before such person or officer as may
be appointed by commission or under 5. All objections made at the time of the
letters rogatory, or examination to the qualifications of the
c. Any person authorized to administer officer taking the deposition, or to the
oaths as stipulated by parties in writing. manner of taking it, or to the evidence
[Sec. 14, Rule 23] presented, or to the conduct of any party,
[Sec. 11, Rule 23] and any other objection to the proceedings,
shall be noted by the officer upon the
Disqualification by interest deposition. Evidence objected to shall be
No deposition shall be taken before a person taken subject to the objections [Sec. 17,
who is Rule 23]
1. A relative within the 6th degree of
consanguinity or affinity, Effect of taking depositions
2. An employee or counsel of any of the A party shall not be deemed to make a person
parties, his own witness for any purpose by taking his
3. A relative within the same degree, or deposition. [Sec. 7, Rule 23]
employee of such counsel, or
4. Any person financially interested in the Depositions before actions
action. [Sec. 13, Rule 23] Referred to as perpetuation of testimony
because their objective is to perpetuate the
Taking depositions upon oral examination testimony of a witness for future use, in the
1. A party desiring to take the deposition of event of further proceedings. [1 Regalado 363,
any person upon oral examination shall 2010 Ed.]
give reasonable notice in writing to
every other party to the action. The Requisites
notice shall state: 1. Any person who desires to perpetuate
a. The time and place for taking the a. his own testimony; or
deposition, b. the testimony of another person
b. The name and address of each person 2. Regarding any matter that may be
to be examined, if known, and cognizable in any court of the Philippines.
c. if the name is not known, a general [Sec. 1, Rule 24]
description sufficient to identify him or
the particular class or group to which Procedure for deposition before action
he belongs. 1. File a verified petition in the court of the
Note: On motion of any party upon whom the place of the residence of any expected
notice is served, the court may for cause shown adverse party. The petition shall be entitled
enlarge or shorten the time [Sec. 15, Rule 23] in the name of the petitioner and shall show
that:
2. An order for protection of the parties a. The petitioner expects to be a party to
and the deponent may be issued by the an action in a court of the Philippines
court where the action is pending: but is presently unable to bring it or
a. After notice is served, cause it to be brought,
b. Upon motion by any party or the person b. The subject matter of the expected
to be examined, action and his interest therein,

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c. The facts which he desires to Procedure for deposition pending appeal
establish by the proposed testimony 1. The party who desires to perpetuate the
and his reasons for desiring to testimony may make a motion in the said
perpetuate it, court for leave to take the depositions,
d. The names or a description of the upon the same notice and service thereof
persons he expects will be adverse as if the action was pending therein.
parties and their addresses so far as 2. The motion shall state the
known, and a. Names and addresses of the persons
e. The names and addresses of the to be examined,
persons to be examined and the b. The substance of the testimony which
substance of the testimony which he he expects to elicit from each, and
expects to elicit c. Reason for perpetuating their
testimony.
Note: Such petition shall ask for an order 3. If the court finds that the perpetuation of the
authorizing the petitioner to take the testimony is proper to avoid a failure or
depositions of the persons sought to be delay of justice, it may make an order
examined who are named in the petition for the allowing the depositions to be taken,
purpose of perpetuating their testimony. and thereupon the depositions may be
[Sec. 2, Rule 24] taken and used in the same manner and
under the same conditions as are
2. The petitioner shall serve a notice upon prescribed in these Rules for depositions
each person named in the petition as an taken in pending actions. [Sec. 7, Rule 24]
expected adverse party, together with a
copy of the petition, stating that the b. Uses; Scope of Examination
petitioner will apply to the court, at a time
and place named therein, for the order General uses of deposition
described in the petition. Intended as a means to compel disclosure of
facts resting in the knowledge of a party or
● At least 20 calendar days before the other person, which are relevant in a suit or
date of the hearing, the court shall proceeding. [1 Regalado 349, 2010 Ed.]
cause notice thereof to be served on
the parties and prospective deponents Scope of examination
in the manner provided for service of Unless otherwise ordered by the court as
summons. [Sec. 4, Rule 23] provided by Secs. 16 and 18, Rule 23, the
deponent may be examined regarding any
3. If the court is satisfied that the perpetuation matter:
of the testimony may prevent a failure or 1. Not privileged, and
delay of justice, it shall make an order 2. Relevant to the subject of the pending
designating or describing the persons action,
whose deposition may be taken and a. Whether relating to the claim or
specifying the subject matter of the defense of any other party;
examination and whether the depositions b. Including the existence, description,
shall be taken upon oral examination or nature, custody, condition, and location
written interrogatories. The depositions of any books, documents, or other
may then be taken in accordance with Rule tangible things, and
23 before the hearing [Sec. 4, Rule 24] c. Including the identity and location of
persons having knowledge of relevant
Deposition pending appeal facts.
If an appeal has been taken or the time for
taking such has not yet expired, the court in General Rule: A deposition is not a substitute
which the judgment was rendered may allow for the actual testimony in open court of a party
the taking of depositions of witnesses to or witness. If the witness is available to testify,
perpetuate their testimony for use in the event he should be presented in court to testify. If
of further proceedings in said court. [Sec. 7, available to testify, a party’s or witness’
Rule 24] deposition is inadmissible in evidence for being

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hearsay. [Dasmarinas Garments Inc. v. Reyes, attend or testify
G.R. No. 108229 (1993)] because of
age, sickness,
Exception: Depositions may be used as infirmity, or
evidence under the circumstances in Sec. 4, imprisonment,
Rule 23. or
4. Party offering
Specific uses of depositions the deposition
By has been
Deposition whom Purpose unable to
used procure the
Contradicting or attendance of
impeaching the the witness by
Any Any
testimony of subpoena; or
deposition party
deponent as a 5. Upon
witness application and
Deposition of notice, that
a party or of such
anyone who exceptional
at the time of circumstance
taking the s exist as to
deposition make it
was an desirable, in
officer, the interest of
director, or An justice and with
managing advers Any purpose due regard to
agent of a e party the importance
public or of presenting
private the testimony
corporation, of witnesses
partnership, orally in open
or court, to allow
association the deposition
which is a to be used;
party [Sec. 4, Rule 23]
Any purpose if the
court finds that Effect of using deposition
1. Witness is General Rule: The introduction in evidence of
dead, or the deposition or any part thereof for any
2. Witness purpose makes the deponent the witness of
resides more the party introducing the deposition
than 100 km
from the place Exceptions:
of trial or 1. The deposition is used to contradict or
Deposition of impeach the deponent.
hearing, or is
a witness, Any 2. The deposition of a party or of any one who
out of the
whether or party at the time of taking the deposition was an
Philippines,
not a party officer, director, or managing agent of a
unless it
appears that public or private corporation, partnership,
his absence or association which is a party may be used
was procured by an adverse party for any purpose. [Sec.
by the party 4(b), Rule 23]
offering the [Sec. 8, Rule 23]
deposition, or
3. Witness is
unable to
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Effect of only using a part of the deposition e. Effect of errors and irregularities in
If only part of a deposition is offered in evidence depositions
by a party, the adverse party may require him
to introduce all of it which is relevant to the Error and
part introduced, and any party may introduce Effect
Irregularities
any other parts. [Sec. 4(d), Rule 23] Waived
Objection as to the Unless written
c. When May Objections to notice for taking a objection is promptly
Admissibility Be Made deposition served upon party
giving notice
Subject to the provisions of Sec. 29, Rule 23, Waived
objection may be made at the trial or hearing Unless made
to receiving in evidence any deposition or part Objection to taking
(1) Before taking of
thereof for any reason which would require the a deposition
deposition begins or
exclusion of the evidence if the witness were because of
(2) As soon thereafter
then present and testifying [Sec. 6, Rule 23] disqualification of
as the disqualification
officer before
becomes known or
d. When May Taking of Deposition Be whom it is to be
could be discovered
taken
Terminated or its Scope Limited with reasonable
diligence
When the court/RTC of the place where the Not waived by failure
deposition is being taken may order the to make them before
termination or the scope of the deposition Objection to the
or during the taking of
limited competency of a
the deposition
a. At any time during the taking of the witness or
Unless the ground of
deposition, competency,
the objection is one
b. on motion or petition of any party or of the relevancy, or
which might have
deponent, materiality of
been obviated or
c. upon a showing that the examination is testimony
removed if presented
being conducted in bad faith or in such at that time
manner, as unreasonably to annoy, Occurring at oral Waived
embarrass, or oppress the deponent or examination and
party, other particulars
[Sec. 16, Rule 23]
Objection in the
Order terminating examination manner of taking
If the order made terminates the examination, the deposition, in
it shall be resumed only upon the order of the the form of
court in which the action is pending. questions or Unless reasonable
answers, in the objection thereto is
Suspension of taking of deposition oath or made at the time of
Upon demand of the objecting party or affirmation, or in taking the deposition
deponent, the taking of the deposition shall be conduct of parties
suspended for the time necessary to make a and errors of any
notice for an order. kind which might
be obviated or
Note: The court may impose upon either party removed if
or witness the requirement to pay reasonable promptly
costs and expenses. prosecuted
[Sec. 18, Rule 23] Waived
Objections to the
Unless served in
form of written
writing upon the party
interrogatories
propounding them
under Sec. 25 and
within the time
26
allowed for serving

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succeeding cross or [Philippine Health Insurance Corp vs Our Lady
other interrogatories of Lourdes Hospital, G.R. No. 193158 (2015)]
and within 3 days after
service of last Note: As compared to a bill of particulars
interrogatories which is directed to a pleading and designed
authorized to seek for a more definite statement or for
Waived particulars in matters not availed with sufficient
Unless a motion to definiteness in a pleading, interrogatories are
suppress the not directed against a particular pleading and
In the manner in what is sought is the disclosure of all material
deposition or some
which testimony and relevant facts from a party. [1 Riano 447,
part thereof is made
is transcribed or 2016 Bantam Ed.]
with reasonable
the deposition is
promptness after
dealt with by the Written interrogatories to parties differ from
such defect is
officer under Sec. the written interrogatories in a deposition
ascertained, or with
17, 19, 20, and 26 since such are not served upon the adverse
due diligence might
have been, party directly but rather on the officer
ascertained designated in the notice. [1 Riano 447, 2016
[Sec. 29, Rule 23] Bantam Ed.]

Orders of the court for the protection of Scope and use: Interrogatories may relate to
parties and deponents: any matters that can be inquired into under
Sec. 2 of Rule 23, and the answers may be
After notice is served for taking a deposition by used for the same purposes provided in Sec. 4
oral examination, upon motion by any party or of the same Rule [ Sec. 1, Rule 25]
by the person to be examined, and for good
cause shown, the court may order that: Procedure for interrogatories to parties
1. The deposition shall not be taken 1. Upon ex parte motion,
2. It may be taken only at some designated 2. Any party desiring to elicit material and
place other than that stated in the notice relevant facts from any adverse parties,
3. It may be taken only on written 3. Shall file and serve written interrogatories
interrogatories on the party
4. Certain matters shall not be inquired into 4. Such are to be answered by:
5. The scope of the examination shall be held a. the party served or,
with no one present except the parties to b. if the party served is a public or private
the action and their officers or counsel corporation or a partnership or
6. After being sealed the deposition shall be association, by any officer thereof
opened only by order of the court competent to testify in its behalf. [Sec.
7. Secret processes developments, or 1, Rule 25]
research need not be disclosed
8. The parties shall simultaneously filed Note: The interrogatories shall be answered
specified documents or information fully in writing and shall be signed and
enclosed in sealed envelope to be opened sworn to by the person making them [Sec. 2,
as directed by the court Rule 25]
9. The court may make any other order which
justice requires to protect the party or Number of interrogatories
witness from annoyance, embarrassment, No party may, without leave of court, serve
or oppression more than one set of interrogatories to be
[Sec. 16, Rule 23] answered by the same party [Sec. 4, Rule 25]

2. Interrogatories Answers as judicial admissions

Written interrogatories and the answers thereto
Purpose: To elicit material and relevant facts must both be filed and served. [Sec. 2, Rule 25]
from any adverse parties [Sec. 1, Rule 25]
and to assist the parties in clarifying the issues The answers constitute judicial admissions.
and in ascertaining the facts involved in a case. [Sec. 4, Rule 129]
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Service and filing b. Effect of Failure to Serve Written
The party upon whom the interrogatories have Interrogatories
been served shall file and serve a copy of the
answers on the party submitting the General Rule: A party not served with written
interrogatories within 15 calendar days after interrogatories may not be compelled by
service thereof, unless the court, on motion adverse party to:
and for good cause shown, extends or 1. Give testimony in open court; or
shortens the time. [Sec. 2, Rule 25] 2. Give a deposition pending appeal.

Objections to interrogatories; answers Exception: Allowed by the court for good

deferred cause shown and to prevent a failure of justice.
Objections to any interrogatories may be [Sec. 6, Rule 25]
presented to the court within 10 calendar
days after service thereof, with notice as in c. Admission by Adverse Party
case of a motion; and answers shall be
deferred until the objections are resolved, Rule 26, as a mode of discovery, contemplates
which shall be at as early a time as is interrogatories seeking clarification in order to
practicable. [Sec. 3, Rule 25] determine the truth of the allegations in a
pleading [1 Regalado 370, 2010 Ed.]
Grounds for objections
a. They require the statements of conclusions Purpose
of law or answers to hypothetical questions In order to allow one party to request the
or opinion, or mere hearsay, or matters not adverse party, in writing, to admit certain
within the personal knowledge of the material and relevant matters which, most
interrogated party. likely, will not be disputed during the trial. [1
b. Frivolous interrogatories need be Riano 448-449, 2016 Bantam Ed.]
answered
[2 Herrera 50, 2007 Ed.] In order to avoid unnecessary inconvenience
before trial, a party may request the other to:
a. Consequences of Refusal to Answer 1. Admit the genuineness of any material and
relevant document described in and
If a party or an officer or managing agent of a exhibited with the request, or
party fails to serve answers to 2. Admit the truth of any material and relevant
interrogatories submitted under Rule 25 after matter of fact set forth in the request. [Sec.
proper service of such interrogatories, the court 1, Rule 26]
on motion and notice, may:
1. Strike out all or any part of any pleading of How made
the party, A party may file and serve upon any other
2. Dismiss the action or proceeding or any party a written request for the purpose
part thereof, or mentioned above. [Sec. 1, Rule 26]
3. Enter a judgment by default against the Note: The request for admission must be
party, and served on the party, not the counsel. This is
4. In its discretion, order him to pay an exception to the general rule that notices
reasonable expenses incurred by the shall be served upon counsel and not upon the
other, including attorney’s fees. party. [Duque v. CA, G.R. 125383 (2002)]

Note: Such consequences also apply for willful When made

failure to appear before the officer who is to At any time after issues have been joined. [Sec.
take his deposition. 1, Rule 26]
[Sec. 5, Rule 29]
d. Implied Admission by Adverse Party

Each of the matters which an admission is

requested shall be deemed admitted unless
the party to whom request is directed files and

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serves upon the party requesting admission a of the action in accordance with the
sworn statement. [Sec. 2, Rule 26] claim of the party obtaining the order
2. An order refusing to allow the
Contents disobedient party to support or oppose
1. Denying specifically the matters of which designated claims or defenses
an admission is requested, or 3. An order striking out pleadings or parts
2. Setting forth in detail the reasons why he thereof, or staying further proceedings
cannot truthfully either admit or deny those until the order is obeyed, or dismissing
matters the action or proceeding or any part
[Sec. 2, Rule 26] thereof or rendering a judgment by
default against the disobedient party,
Period: Such party must file and serve such and
statement: 4. In lieu of any of the foregoing orders or
1. Within a period not less than 15 calendar in addition thereto, an order directing
days after service thereof, or the arrest of any party or agent of party
2. Within such further time as the court may for disobeying any of such orders.
allow on motion [Sec. 3, Rule 29]
[Sec. 2, Rule 26]
f. Effect of Admission
Objections
Objections to any request for admission shall Any admission made by a party pursuant to
be submitted to the court by the party such request is for the purpose of the
requested within the period for and prior to pending action only and shall not constitute
the filing of his sworn statement. an admission by him for any other purpose nor
● His compliance with the request for may the same be used against him in any other
admission shall be deferred until such proceeding [Sec. 3, Rule 26]
obligations are resolved, which resolution
shall be made as early as practicable. [Sec. Withdrawal of admission
2, Rule 26] The court may allow the party making the
admission under this Rule, to withdraw and
e. Consequences of Failure to Answer amend it upon such terms as may be just. [Sec.
Request for Admission 4, Rule 26]

The proponent may apply to the proper court g. Effect of Failure to File and Serve
for an order to compel an answer. [Sec. 1, Request for Admission
Rule 29]
General Rule: A party who fails to file and
If application is granted, the court serve a request for admission on the adverse
1. Shall require the refusing party to answer; party of material and relevant facts at issue
and which are, or ought to be, within the personal
2. May require the refusing party or counsel knowledge of the latter, shall not be permitted
to pay reasonable expenses for obtaining to present evidence on such facts.
the order, if the court finds that the refusal
to answer was without substantial Exception: Allowed by the court for good
justification. cause shown and to prevent a failure of justice.
[Sec. 5, Rule 29]
Effect of refusal to answer
Refusal to answer after being directed by the 3. Production or Inspection of
court would: Documents or Things
a. Constitute contempt of that court. [Sec. 2,
Rule 29] Purpose
b. Allow the court to make such orders This mode of discovery is not only for the
regarding the refusal as are just, like: benefit of a party, but also for the court and for
1. An order that the matters regarding it to discover all the relevant and material facts
which questions were asked shall be
taken as established for the purposes
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in connection with the case. [1 Riano 451, 2016 (2) Failure to
Edition] advance reasonable
costs of production
Procedure for production/inspection of [Sec. 4, Rule 21]
documents or things Disobedience would
a. Upon motion of any party, allow court to make
b. Showing good cause therefor, such orders in
c. The court in which an action is pending regard to the refusal
may order any party to: as are just, and
i. Produce and permit the inspection and among others, an
copying or photographing, by or on order refusing to
behalf of the moving party, of any allow the Disobedience
designated documents, papers, disobedient party to constitutes contempt
books, accounts, letters, support or oppose of court [Sec. 9, Rule
photographs, objects or tangible designated claims or 21]
things not privileged, which defenses or
constitute or contain evidence material prohibiting him from
to any matter involved in the action and introducing in
which are in his possession custody or evidence designated
control; or documents or things
ii. Permit entry upon designated land or or items of testimony
other property in his possession or [Sec. 3(b), Rule 29]
control for the purpose of inspecting,
measuring, surveying, or 4. Physical and Mental Examination
photographing the property or any of Persons
designated relevant object or operation
thereon When examination may be ordered
Such may be ordered in an action in which the
Note: The order shall specify the time, place mental or physical condition of a party is in
and manner of making the inspection and controversy. [Sec. 1, Rule 28]
taking copies and photographs, and may
prescribe such terms and conditions as are Procedure
just. A motion for the examination is filed in the
[Sec. 1, Rule 27] court where the action is pending:
a. Showing good cause for the examination,
Production/inspection of documents vs b. With notice to the party to be examined,
Subpoena duces tecum and to all other parties, and
Production or c. Specifying the time, place, manner,
Subpoena duces
inspection of conditions, scope, and person conducting
tecum
documents the examination.[Sec. 2, Rule 28]
May be directed to
Limited to the parties
non- party [Sec. 1, d. It cannot be done motu proprio.
of the action [Sec. 1,
Rule 21 refers to “a
Rule 27]
person”] Report of findings
Issued upon motion A copy of the detailed examination report shall
May be issued upon
of any party [Sec. 1, be given by the party causing the examination
ex parte application
Rule 27] upon request by the party examined.
Must show good Need not show good
cause [Sec. 1, Rule cause [see Secs. 3 Note: The party causing the examination shall
27] and 4, Rule 21] then be entitled, upon request, to receive from
Grounds for quashal the party examined, a report of any
May be quashed for (1) Unreasonable, examination previously or subsequently
lack of good cause oppressive, made.[Sec. 3, Rule 28]
shown irrelevant

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Refusal to deliver the report the order, including
If the party examined refuses to deliver such attorney’s fees.
report, the court on motion and notice may
make an order requiring delivery on such If the application is
terms as are just denied and the court
finds that it was filed
If a physician fails or refuses to make such a without substantial
report the court may exclude his testimony if justification, the court
offered at the trial.[Sec. 3, Rule 28] may require the
proponent or the counsel
Waiver of privilege advising the filing of the
The party examined waives any privilege application, or both of
regarding the testimony of every other person them, to pay to the
who has examined or may thereafter examine refusing party or
him in respect of the same mental/physical deponent the amount of
examination by: the reasonable expenses
a. Requesting and obtaining a report of the incurred in opposing the
examination ordered, or application, including
b. Taking the deposition of the examiner. attorney’s fees.
[Sec. 4, Rule 28] [Sec. 1, Rule 29]

Note: Since the results of the examination are The refusal may be
intended to be made public, the same are not considered a contempt
covered by physician-patient privilege under of that court. [Sec. 2, Rule
Sec. 24(b), Rule 130 [1 Regalado 376, 2010 29]
Ed.] The refusal may be
Refusal to be considered a contempt
5. Consequences of Refusal to sworn of that court. [Sec. 2, Rule
Comply with Modes of Discovery 29]
The court may make such
Form of orders in regard to the
Sanctions refusal as are just, and
refusal
Upon refusal to answer, among others the
the proponent may apply following
to the court for an order a. An order that the
to compel an answer. matters regarding
which the questions
If the application is Refusal to were asked, or the
granted, the court shall answer character or
a. require the refusing designated description of the
party or deponent to questions or thing or land, or the
answer the question refusal to contents of the
or interrogatory, and produce paper, or the physical
Refusal to documents or or mental condition of
b. if it also finds that the
answer any to submit to the party or any other
refusal to answer was
question physical or designated facts shall
without substantial
justification, it may mental be taken to be
require the refusing examination established for the
party or deponent or purposes of the
the counsel advising action in accordance
the refusal, or both of with the claim of the
them, to pay the party obtaining the
proponent the order;
amount of the b. An order refusing to
reasonable expenses allow the disobedient
incurred in obtaining party to support or
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CIVIL PROCEDURE REMEDIAL LAW AND ETHICS
oppose designated or serve a. Strike out all or any
claims or defenses or answers to part of any pleading of
prohibiting him from written disobedient party,
introducing in interrogatorie b. Dismiss the action or
evidence designated s [Sec. 5] proceeding or any
documents or things part thereof, or
or items of testimony, c. Enter a judgment by
or from introducing default against
evidence of physical disobedient party,
or mental condition; and
c. An order striking out d. d. In its discretion,
pleadings or parts order payment of
thereof, or staying reasonable expenses
further proceedings incurred by the other
until the order is including attorney’s
obeyed, or fees.
dismissing the action
or proceeding or any Note: Expenses and attorney’s fees are not to
part thereof or be imposed upon the Republic of the
rendering a judgment Philippines under Rule 29. [Sec. 6, Rule 29]
by default against the
disobedient party; L. Trial
and
d. In lieu of any of the Definition
foregoing orders or in Trial is the judicial examination and
addition thereto, an determination of the issues between the parties
order directing the to the action. [Black’s Law Dictionary 1348, 5th
arrest of any party or Ed.]
agent of party for
disobeying any of The judicial process of investigating and
such orders except determining the legal controversies, starting
an order to submit to with the production of evidence by the plaintiff
a physical or mental and ending with his closing argument. [Acosta
examination. v. People, G.R. No. L-17427 (1962)]
[Sec. 3, Rule 29]
The court, upon proper A hearing is a broader term. It is not confined
application, may issue an to the trial and presentation of the evidence
order requiring the other because it actually embraces several stages in
party to pay him the litigation. It includes the pre-trial and the
reasonable expenses determination of granting or denying a motion.
incurred, including [Trocio v. Labayo, G.R. No. L-35701 (1973)]
attorney’s fees
PROVIDED that party When trial unnecessary
Refusal to requesting proves A civil case may be adjudicated upon without
admit under genuineness of such the need for trial in any of the following cases:
Rule 26 document or truth 1. Where the pleadings tender no issue at all,
UNLESS the court finds: judgment on the pleadings may be
a. There were good directed by the court [Rule 34]
reasons for 2. Where from the pleadings, affidavits,
denial, or depositions and other papers, there is
b. Admissions actually no genuine issue, the court may
sought were of render a summary judgment [Rule 35]
no importance. 3. Where the parties have entered into a
[Sec. 4, Rule 29] compromise or an amicable settlement
Failure of The court on motion and either during the pre-trial or while the trial is
party to attend notice may” in progress [Rule 18; Art. 2028, Civil Code]
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4. Where the complaint has been dismissed Exception: If there are no third (fourth-etc.)-
with prejudice, or when the dismissal has party claim, counterclaim, or cross-claim, the
the effect of an adjudication on the merits presentation of evidence shall be terminated
[Sec. 13, Rule 15; Sec. 3, Rule 17; Sec. 5, within 6 months or 180 calendar days.
last par., Rule 7]
5. Where the case falls under the Rules on Note: Trial dates may be shortened depending
Summary Procedure, and on the number of witnesses to be presented.
6. Where the parties agree, in writing, upon [Sec. 1, Rule 30]
the facts involved in the litigation and
submit the case for judgment on the facts Period of decision
agreed upon, without the introduction of The court shall decide and serve copies of its
evidence [Sec. 7, Rule 30] decision to the parties within a period not
[1 Riano 563, 2014 Bantam Ed.] exceeding 90 calendar days from submission
of the case for resolution, with or without
Schedule of Trial memoranda. [Sec. 1, Rule 30]
The parties shall strictly observe the scheduled
hearings as agreed upon and set forth in the Hearing days
pre-trial order. [Sec. 1, Rule 30] Trial shall be held from Monday to Thursday.
● Courts shall call the cases at exactly
Trial dates 8:30am and 2:00pm pursuant to A.C.
The schedule of trial dates shall be continuous No. 3-99.
and within the following periods: ● Hearing on the motions shall be held on
a. Initial presentation of plaintiff’s evidence Fridays pursuant to Sec. 8, Rule 15.
● Shall be set not later than 30 calendar [Sec. 4, Rule 30]
days after termination of pre-trial
conference Court calendars
● Plaintiff shall be allowed to present All courts shall ensure the posting of their court
evidence within a period of 3 months or calendars outside their courtrooms at least 1
90 calendar days which shall include day before the scheduled hearings. [Sec. 4,
the date of JDR. Rule 30]
b. Initial presentation of defendant’s
evidence 1. Adjournments and Postponements
● Shall be set not later than 30 calendar
days after the court’s ruling on A court may adjourn a trial from day to day,
plaintiff’s formal offer of evidence. and to any stated time, as the expeditious and
● Defendant shall be allowed to present convenient transaction of business may
evidence within a period of 3 months or require. [Sec. 2, Rule 30]
90 calendar days.
c. The period for presentation of evidence on Note: The party who caused the postponement
the third (fourth-etc.)- party claim, is warned that presentation of its evidence
counterclaim, or cross-claim shall be must be terminated on the remaining dates
determined by the court. previously agreed upon.
● The total of which shall in no case
exceed 90 calendar days. Limitations on the authority to adjourn
d. If deemed necessary, the court shall set General Rule: The court has no power to
the presentation of the parties’ rebuttal adjourn a trial for a period longer than 1 month
evidence for each adjournment; nor more than 3
● Shall be completed within 30 calendar months in all.
days.
[Sec. 1, Rule 30] Exception: When authorized in writing by the
Court Administrator, Supreme Court.
Periods for presentation of evidence [Sec. 2, Rule 30]
General Rule: The presentation of evidence of
all parties shall be terminated within 10 Postponement
months or 300 calendar days. A motion for postponement should not be filed
in the last hour especially when there is no
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reason why it could not have been presented If the parties agree only on some of the facts in
earlier. [Cañete v. Judge, CFI Zamboanga del issue, trial shall be held as to the disputed facts
Sur, G.R. No. L-21743 (1968)] in such order as the court shall prescribe.
Postponements lie in the court’s discretion. [Sec. 7, Rule 30]
[Hap Hong Hardware Co., Inc. v. Philippine
Milling Company, G.R. No. L-16778 (1961)] An agreed statement of facts is conclusive
on the parties, as well as on the court. Neither
2. Requisites of Motion to Postpone of the parties may withdraw from the
Trial agreement, nor may the court ignore the same.
[McGuire v. Manufactures Life, G.R. L-3581
a. For Absence of Evidence (1950)]

Under the Old Rules, specifically Sec. 3 of Rule 3. Order of Trial; Reversal of Order
30, postponement of trial for absence of
evidence was allowed provided that the motion Order of trial
for such was accompanied by an affidavit General Rule: Trial shall be limited to the
showing the materiality/ relevance of the issues stated in the pre-trial order and proceed
evidence and that due diligence has been used as follows:
to procure it. Under the revised rules, however, a. Presentation of plaintiff’s evidence in chief
such section has been deleted, meaning that b. Presentation of defendant’s evidence in
absence of evidence can no longer be used chief and evidence in support of his
as a basis for postponement of trial. counterclaim, cross-claim and 3rd-party
complaint
Under Sec. 12(f), Rule 15, postponement may c. 3rd-party defendant shall adduce evidence
only be allowed due to acts of god, force of his defense, counterclaim, cross-claim,
majeure, or physical inability of the witness to and 4th party complaint
appear and testify. The amended Sec. 3 of d. 4th-party defendant shall adduce evidence,
Rule 30 also provides for an additional ground and so forth
which is illness of a party or counsel. e. Parties against whom any counterclaim or
cross-claim has been pleaded shall adduce
b. For Illness of Party or Counsel evidence in support of their defense, in the
order to be prescribed by court
Motion to postpone trial based on illness of a f. Parties may then respectively adduce
party or counsel may be granted if rebutting evidence only, unless the court
accompanied by affidavit or sworn permits them to adduce evidence upon
certification showing: their original case
1. The presence of such party or counsel at g. Upon admission of the evidence, the case
the trial is indispensable; and shall be submitted for decision, unless the
2. That the character of his or her illness is court directs parties to argue or to submit
such as to render his non-attendance respective memoranda or any further
excusable [Sec. 3, Rule 30] pleading

Note: Such ground for postponement of trial Note: Such is subject to the provisions of Sec.
was initially under Section 4 of the same rule. 2, Rule 31 on separate trials.

c. Agreed Statement of Facts Exception: When the court for special reasons
otherwise directs. [Sec. 5, Rule 30]
When all facts are agreed upon
The parties may agree, in writing, upon the Reverse order
facts involved in the litigation, and submit the Where the answer of the defendant admitted
case for judgment on the facts agreed upon, the obligation stated in the complaint,
without the introduction of evidence. although special defenses were pleaded, the
When only some facts are agreed upon plaintiff has every right to insist that it was for
the defendant to come forward with evidence
to support his special defenses. [Yu v. Mapayo,
G.R. No. L- 29742 (1972)]
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The reasoning behind this is that the plaintiff Court action
need not present evidence since judicial The court may
admissions do not require proof [Sec. 2, Rule a. Order a joint hearing or trial of any or all
129] matters in issue in the actions
b. Order all actions consolidated; and
Offer of exhibits c. Make such orders concerning proceedings
After the presentation of evidence, the offer of therein as may tend to avoid unnecessary
exhibits shall be made orally. The objections costs or delay.
shall then be made, and the court shall orally [Sec. 1, Rule 31]
rule on the same. [Sec 6, Rule 30]
Purpose: To avoid multiplicity of suits, guard
Note: This is consistent with the rule on against oppression or abuse, prevent delay,
continuous trial for criminal cases, as well as clear congested dockets, simplify the work of
the amendments to the Rules of Court. the trial court and save unnecessary costs and
expenses. [1 Regalado 392, 2010 Ed.]
4. Delegation of Reception of
Evidence Where a case has been partially tried before
one judge, the consolidation of the same with
General Rule: The judge of the court where another related case pending before another
the case is pending shall personally receive judge who had no opportunity to observe the
the evidence to be adduced by the parties [Sec. demeanor of the witness during trial makes the
9, Rule 30] consolidation not mandatory. [PCGG v.
Sandiganbayan, G.R. No. 102370-71 (1992)]
Exception: The court may delegate the
reception of evidence to its COC in: The Rules do not distinguish between
a. Default hearings cases filed before the same branch or judge
b. Ex parte hearings, or and those that are pending in different
c. Cases where parties agree in writing. branches or before different judges of the
same court, in order that consolidation may be
Note: In order to be able to receive evidence, proper, as long as the cases involve the
the clerk of court must be a member of the resolution of questions of law or facts in
bar. [Sec. 9, Rule 30] common with each other. [Active Woods
Products Co. Inc. v. CA, G.R. No. 86602
Objections (1990)]
The COC has no power to rule on objections
to any question or to the admission of exhibits. Kinds of consolidation
Objections shall be resolved by the court a. Quasi-consolidation – where all, except
upon submission of the clerk’s report and the one, of several actions are stayed until one
TSN within 10 calendar days from termination is tried, in which case, the judgment in the
of the hearing. [Sec. 9, Rule 30] one trial is conclusive as to others; not
actually consolidation but referred to as
such
M. Consolidation and Severance b. Actual consolidation – where several
actions are combined into one, lose their
Consolidation is a procedural device, granted
separate identity, and become one single
to the court as an aid in deciding how cases in
action in which judgment is rendered
its docket are to be tried, so that the business
of the court may be dispatched expeditiously c. Consolidation for Trial – where several
actions are ordered to be tried together, but
while providing justice to the parties. [Republic
each retains its separate character, and
v. Heirs of Oribello, G.R. No. 199501 (2013)]
requires the entry of separate judgment
[Republic v. Sandiganbayan, G.R. No.
When proper: When actions involving a
common question of fact or law are pending 152375 (2011)]
before the court. [Sec. 1, Rule 31]
Severance
The court may order a separate trial of any
claim, cross-claim, counterclaim, or third-party
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complaint, or of any separate issue. [Sec. 2, Note: The grant of a demurrer is considered an
Rule 31] adjudication on the merits and the proper
remedy would be to appeal the judgment.
When proper: In furtherance of convenience
or to avoid prejudice. [Sec. 2, Rule 31] The appellate court should not remand the
case for further proceedings but should render
When a separate trial of claims is conducted by judgment on the basis of the evidence
the court under this section, it may render submitted by the plaintiff. [Consolidated Bank
separate judgments on each claim. [see Sec. and Trust Corp. v. Del Monte Motor Works,
5, Rule 36] Inc., G.R. No. 143338 (2005)]

This provision permitting separate trials 4. Waiver of Right to Present

presupposes that the claims involved are Evidence
within the jurisdiction of the court. When
one of the claims is not within its jurisdiction, If the order granting the demurrer is
the same should be dismissed, so that it may reversed on appeal, the defendant is deemed
be filed in the proper court. [1 Regalado 394, to have waived his right to present evidence.
2010 Ed.] [Sec. 1, Rule 33; Republic v. Tuvera, G.R. No.
148246 (2007)]
N. Demurrer to Evidence
5. Action on Demurrer to Evidence
Demurrer to evidence
After the plaintiff has completed the A demurrer to evidence shall be subject to the
presentation of his evidence, the defendant provisions of Rule 15. [Sec. 2, Rule 33]
may move for dismissal on the ground that
upon the facts and the law the plaintiff has Being subject to the provisions of Rule 15, it
shown no right to relief. [Sec. 1, Rule 33] follows that a demurrer to evidence is
considered an allowable litigious motion. Rule
1. Ground 15 requires that there must be proof of service
to the other party who shall have 5 calendar
Insufficiency of evidence, that upon the facts days to file an opposition. The court shall
and the law the plaintiff has shown no right then resolve the motion within 15 calendar
to relief. [Sec. 1, Rule 33] days from the receipt of such opposition, or
upon expiration of the period to file opposition.
2. Effect of Denial [Sec. 5, Rule 15]

If the demurrer is denied, the defendant shall

have the right to present his evidence. [Sec.
1, Rule 33]

The order denying the demurrer to evidence

shall not be the subject of an appeal or petition
for certiorari, prohibition or mandamus before
judgment. [Sec. 2, Rule 33]

Note: The remedy then is to proceed to trial,

and if the defendant loses, to appeal the
judgment and include in the assigned errors,
the denial of the demurrer to evidence.

3. Effect of Grant

If the demurrer is granted, the case shall be

dismissed. [Sec. 1, Rule 33]

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6. Distinguish: Demurrer to Evidence The court does not do
in a Civil Case and Demurrer to so on its own
Evidence in a Criminal Case initiative.
[Riano 498, Criminal Procedure, 2016 Ed.]
Demurrer in Demurrer in
CIVIL CASE CRIMINAL CASE O. Judgments and Final Orders
Anchored upon the
failure of the Predicated upon Judgments in general
plaintiff to show prosecution’s The final ruling by a court of competent
that he is entitled to insufficiency of jurisdiction regarding the rights and obligations
relief, upon the facts evidence. [Sec. 23, of the parties, or other matters submitted to it
and the law. [Sec. 1, Rule 119] in an action or proceeding. [Macahilig v. Heirs
Rule 33] of Magalit, G.R. No. 141423 (2000)]
May be filed with or
without leave of Requisites of a valid judgment
court [Sec. 23, Rule 1. Court or tribunal must be clothed with
119] authority to hear and determine the matter
If the defense filed before it. [Acosta v. COMELEC, G.R. No.
the demurrer with 131488 (1998)]
leave of court, the 2. Court must have jurisdiction over the
defense may parties and the subject matter
present evidence 3. Parties must have been given an
upon denial of opportunity to adduce evidence on their
demurrer. behalf. [Acosta v. COMELEC, G.R. No.
131488 (1998)]
If the demurrer is When without 4. Evidence must have been considered by
denied, the defendant leave of court and the tribunal in deciding the case. [Acosta v.
does not lose his right the demurrer is COMELEC, G.R. No. 131488 (1998)]
to present his denied, the defense 5. Judgment must be in writing, personally
evidence. is deemed to have and directly prepared by the judge. [Corpus
waived the right to v. Sandiganbayan, G.R. No. 162214
present evidence (2004)]
and thus submits 6. Judgment must state clearly the facts and
the case for the law upon which the decision is based,
judgment on the signed by the judge and filed with the clerk
basis of evidence of court. [Sec. 1, Rule 36; Sec. 14, Art VIII,
offered by the 1987 Constitution]
prosecution.
No appeal is Form of judgment or final order determining
If the demurrer is the merits of the case
allowed when a
granted, the plaintiff a. In writing,
demurrer is granted
may appeal and if the b. Personally and directly prepared by the
because the
dismissal is reversed, judge,
dismissal is
the defendant is c. Stating clearly & distinctly the facts and the
deemed an
deemed to have law on which it is based,
acquittal. [People v.
waived his right to d. Signed by the judge, and
Tan, G.R. No.
present his evidence. e. Filed with the clerk of court.
167526 (2010)]
The court may, on [Sec. 1, Rule 36]
It is the defendant
its own initiative,
who invokes Parts of a judgment
may dismiss the
demurrer by moving a. The opinion of the court – contains the
action after giving
for the dismissal of findings of fact and conclusions of law
the prosecution an
the case. b. The disposition of the case – the final and
opportunity to be
heard. actual disposition of the rights litigated (the
dispositive part)
c. Signature of the judge
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[2 Herrera 155, 2007 Ed.] Note: Any action of the court on a motion for
judgment on the pleadings shall not be subject
Parts of a decision of an appeal or petition for certiorari, prohibition
In general, the essential parts of a good or mandamus. [Sec. 2, Rule 34]
decision consist of the following:
a. Statement of the case, Judgment on the pleadings is not proper in the
b. Statement of facts, ff. cases:
c. Issues or assignment of errors, a. Declaration of Nullity of Marriage;
d. Court ruling, in which each issue is, as a b. Annulment of marriage; and
rule, separately considered and resolved, c. Legal Separation.
and
e. Dispositive portion. Note: In such cases, the material facts alleged
in the complaint shall always be proved.
The ponente may also opt to include an [Sec. 1, Rule 34]
introduction or a prologue as well as an
epilogue, especially in cases in which 2. Summary Judgments
controversial or novel issues are involved.
[Velarde v. Social Justice Society, G.R. No. Definition
159357 (2004)] A judgment which a court may render before
trial, but after both parties have pleaded
1. Judgment on The Pleadings upon application by one party supported by
affidavits, depositions, or other documents,
When a judgment on the pleadings may be with notice upon the adverse party who may file
availed of an opposition supported also by affidavits,
The court may, motu proprio or on motion of depositions or other documents, should the
that party, direct judgment on such pleading court find after summarily hearing both parties
when the answer: with their respective proofs that there exists
a. Fails to tender an issue, or no genuine issue between them. [2 Herrera
b. Admits the material allegations of the 118, 2007 Ed., citing Evangelista v. Mercator
adverse party’s pleading. [Sec. 1 and 2, Financing Corporation, G.R. No. 148864
Rule 34] (2003)]

Note: The concept will not apply when no Summary Judgment is proper when it
answer is filed. It will come into operation when appears to the court that
an answer is served and filed but the same fails a. There exists no genuine issue as to any
to tender an issue, or admits the material material fact, except as to the amount of
allegations of the adverse party’s pleading. [1 damages, and
Riano 609, 2014 Bantam Ed.] When no answer b. The moving party is entitled to judgment
is filed, the remedy is to move that the as a matter of law.
defendant be declared in default. [Sec. 3, Rule
9] Genuine issue - an issue of fact which calls for
the presentation of evidence as distinguished
When availed of by motion of a party from a sham, fictitious, contrived, or false claim
The motion shall be subject to the provisions of [Philippine Bank of Communications v. Go,
Rule 15. [Sec. 2, Rule 34] G.R. No. 175514 (2011)]

From the reference to Rule 15, it follows that a Test: Whether or not the pleadings, affidavits
motion for a judgment on the pleadings is and exhibits in support of the motion are
considered an allowable litigious motion. As sufficient to overcome the opposing papers
such, there must be proof of service to the and to justify the finding that, as a matter of law,
other party who shall have 5 calendar days to that there is no defense to the action, or the
file an opposition. From receipt of such, the claim is clearly meritorious. [Estrada v.
court shall have 15 calendar days to resolve Consolacion, G.R. No. L- 40948 (1976)]
the motion.
The rendition of a summary judgment does not
always result in the full adjudication of all the
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issues raised in a case. In such event, a partial Note: Damages must still be proven even if not
summary judgment is rendered/ Clearly, such denied. Note language of Sec. 3, Rule 35,
a partial summary judgment - because it does “except as to the amount of damages.”
not put an end to the action at law by declaring
that the plaintiff either has or has not entitled Bases for summary judgment
himself to recover the remedy he sues for - a. Affidavits
cannot be considered a final judgment. It b. Depositions
remains to be an interlocutory judgment or c. Admissions
order, instead of a final judgment, and is not to [Secs. 1-2, Rule 35]
be dealt with and resolved separately from the
other aspects of the case. Thus, th remedy is b. When the Case Not Fully
not appeal, since only a final judgment of order Adjudicated
can be appealed. [Home Devlopment Mutual
Fund v. Sagun, G.R. No. 205698 (2018)] Partial summary judgment – applies when for
some reason there can be no full summary
However, an order or resolution granting a judgment. Trial should deal only with the facts
Motion for Summary Judgment which fully not yet specified or established.
determines the rights and obligations of the
parties relative to the case and leaves no other Duty of the court [Sec. 4, Rule 35]
issue unresolved, except the amount of If on motion for summary judgment, judgment
damages, is a final judgment. [Trade and is not rendered upon the whole case or for all
Investment Development Corporation of the the reliefs sought and a trial is necessary, the
Philippines v. Philippine Veterans Bank, G.R. court may:
No. 233850 (2019)] 1. Ascertain which material facts exist without
substantial controversy and the extent to
a. For the Claimant; For the Defendant which the amount of damages and other
reliefs is not in controversy by
When filed a. Examining the pleadings and evidence
1. If sought by the claimant – only after the before it; and
answer is served; [Sec. 1, Rule 35] b. Interrogating counsel
2. If sought by the defendant – at any time 2. Make an order which:
[Sec. 2, Rule 35] a. Specifies which facts ascertained are
deemed established, and
Procedure b. Directs further proceedings as are just
1. Movant files a motion for summary 3. Conduct trial on the controverted facts
judgment, citing the supporting affidavits,
depositions, or admissions, and the Effect: A partial summary judgment is not a
specific law relied upon. final judgment, but merely a pre-trial
2. The adverse party may file a comment and adjudication that said issues in the case shall
serve opposing affidavits, depositions, be deemed established for the trial of the case.
admissions within 5 calendar days from [Guevarra v. CA, G.R. No. L-49017 (1983)]
receipt of the motion.
3. A hearing will be conducted only if ordered c. Affidavits and Attachments
by the court
- Note: There is no longer a mandatory Form
hearing for the motion due to the 1. Made on personal knowledge
amendment of the rules. This is also 2. Setting forth such facts as would be
consistent with the amendments to admissible in evidence
Rule 15. 3. Showing affirmatively that the affiant is
4. Court renders summary judgment. competent to testify to the matters stated
therein
Note: Any action of the court on a motion for 4. Certified true copies of all papers or parts
summary judgment shall not be subject of an thereof referenced in the affidavit shall be
appeal or petition for certiorari, prohibition or attached or served with the affidavit
mandamus. [Sec. 5, Rule 35]
[Sec. 3, Rule 35]
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Affidavits in bad faith [Sec. 6, Rule 35] – Promulgation of judgment
those presented under this Rule which appear Promulgation is the process by which a
to the court at any time as presented in bad decision is published, officially announced,
faith or solely for the purpose of delay. made known to the public or delivered to the
COC for filing, coupled with notice to the parties
Effect of affidavits in bad faith or their counsel. [2 Herrera 151, 2007 Ed.,
The court: Neria v. Commissioner of Immigration, G.R.
1. Shall order the offending party or counsel No. L-24800 (1968)]
to pay the other party the amount of
reasonable expenses which the filing of the Period for rendition
affidavits caused him to incur; and a. All cases filed must be decided or resolved
2. May, after hearing, adjudge the offending by the Supreme Court within 24 months
party or counsel guilty of contempt. [Sec. 6, from the date of their submission for
Rule 35] decision.
b. Unless reduced by the SC, within 12
3. Distinguish: Judgment on the months for lower collegiate courts and
Pleadings and Summary Judgments within 3 months for all other lower courts.
[Sec. 15, Art. VIII, Constitution,]
Summary Judgment on the
judgment pleadings A case is deemed submitted for resolution
[Rule 35] [Rule 34] upon the filing of the last pleading, brief or
Absence of a factual memorandum required by the Rules of Court or
Involves an issue, issue in the case by the court. [Sec. 15, Art. VIII, Constitution]
but the issue is not because the answer
genuine. tenders no issue at An extension of the period may be set by the
all. SC upon request by the judge concerned on
Motion for summary account of heavy caseload or by other
Motion for judgment reasonable excuse. Without an extension, a
judgment may be
on the pleadings is delay in the disposition of cases is tantamount
filed by either the
filed by a claiming to gross inefficiency on the part of the judge.
claiming or the
party like a plaintiff or [Arap v. Mustafa, SCC-01-7 (2002)]
defending party.
a counterclaimant.
[Secs. 1-2]
[Sec. 1] a. Entry of Judgment and Final Order
May be ordered
May be ordered motu Entry of judgment
motu proprio by the
proprio by the court. The entry of judgment refers to the physical
court. [Sec. 10, Rule
[Sec. 10, Rule 18] act performed by the clerk of court in
18]
Based on the entering the dispositive portion of the judgment
Based on the in the book of entries of judgment after the
pleadings, affidavits,
pleadings alone same has become final and executory. [1
depositions and
[Sec. 1] Riano 615, 2014 Bantam Ed.]
admissions [Sec. 3]
[1 Riano 614-615, 2014 Bantam Ed.]
When entered: If no appeal, or motion for new
trial or reconsideration is filed within the time
4. Rendition and Entry of Judgments provided in the Rules, the judgment or final
and Final Orders order shall forthwith be entered by the clerk in
the book of entries of judgments [Sec. 2, Rule
Rendition of judgment 36]
Pronouncement of the judgment in open court
does not constitute rendition of judgment. It is Note: The date of finality of the judgment or
the filing of the signed decision with the final order shall be deemed to be the date of its
COC that constitutes rendition. Even if the entry. [Sec. 2, Rule 36] This is regardless of the
judgment has already been put in writing and date when the physical act of entry was done.
signed, it is still subject to amendment if it has [1 Riano 615, 2014 Bantam Ed.]
not yet been filed with the COC. [Ago v. CA,
G.R. No. L-17898 (1962)]
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Contents of record in the book of entries: Amended/clarified Supplemental
1. Dispositive part of the judgment or final judgment decision
order An entirely new Does not take the
2. Signature of the clerk; and decision and place of or extinguish
3. Certification that such judgment or final supersedes the the original
order has become final and executory. original judgment. judgment.
[Sec. 2, Rule 36] Court makes a
thorough study of
Final judgment rule the original
General Rule: Once a decision or order judgment and
becomes final and executory, it is removed renders the
from the power or jurisdiction of the court which Serves to add to the
amended and
rendered it to further alter or amend it. [Siliman original judgment.
clarified judgment
University v. Fontelo-Paalan, G.R. No. 170948 only after
(2007)] considering all the
factual and legal
Under the doctrine of immutability of issues.
judgments, a judgment that has attained [1 Regalado 418, 2010 Ed.]
finality can no longer be disturbed. The reason
is two-fold: P. Motion for New Trial or
1. To avoid delay in the administration of
justice, and to make orderly the discharge Reconsideration
of judicial business; and
2. To put an end to judicial controversies at Remedies before finality of judgment
the expense of occasional errors. 1. Motion for new trial [Rule 37]
[1 Riano 538-539, 2011 Ed.] 2. Motion for reconsideration [Rule 37]
3. Appeal [Rules 40-45]
Exceptions: [1 Riano 60, 2011 Ed.]
1. Correction of clerical errors [Filipinas
Palmoil Processing, Inc. v. Dejapa, G.R. In civil cases, this is under Rule 37. In criminal
No. 167332 (2011)] cases, this is under Rule 121.
2. Nunc pro tunc entries [Filipinas Palmoil
Processing, Inc. v. Dejapa, G.R. No. 1. Rule 37
167332 (2011)]
3. Whenever circumstances transpire after Note: The motion for reconsideration (MR)
finality of the decision, rendering its under Rule 37 is directed against a judgment
execution unjust and inequitable [Apo or final order. It does not refer to one for
Fruits Corp. v. Land Bank of the Phils., interlocutory orders, which often precedes a
G.R. No. 164195 (2010)] petition for certiorari under Rule 65. [1 Riano
4. In cases of special and exceptional nature, 558, 2011 Ed.]
when it is necessary in the interest of
justice to direct modification in order to These motions are prohibited in cases covered
harmonize the disposition with the by the Rule on Summary Procedure [Sec. 19]
prevailing circumstances [Industrial Timber and those falling under the Rules of Procedure
Corp. v. Ababon, G.R. No.164518 (2006)] on Small Claims Cases [Sec. 16].
5. In case of void judgments [FGU Insurance
v. RTC Makati, G.R. No. 161282 (2011)] MNT MR
6. Where there is a strong showing that a 1. Fraud, 1. Damages
grave injustice would result from an accident, awarded
application of the Rules [Almuete v. mistake, are
People, G.R. No. 179611 (2013)] Ground
or excessive
7. When there are grounds for annulment of s [Sec.
excusable 2. That the
judgment or petition for relief [Gochan v. 1, Rule
negligenc evidence
Mancao, G.R. No. 182314 (2013)] 37]
e (FAME) is
2. Newly insufficient
discovere to justify
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d the (c) The evidence is of such weight that if
evidence decision or admitted, would probably alter the
final order result of the action; and
3. That the (d) It must be material and not merely
decision or collateral, cumulative, or
final order corroborative. [Sec. 1, Rule 37]
is contrary
to law Ground Definition
A 2nd MNT The fraud must be extrinsic.
may be A 2nd MR of a ● Any fraudulent scheme
allowed if judgment or executed outside of the
based on a final order is trial by the prevailing party
Second
ground not not allowed. against the losing party,
MNT/MR
existing or Note: This who, because of such
[Sec. 5, Fraud
available prohibition fraud, is prevented from
Rule 37]
when the 1st does not apply presenting his side of the
MNT was to interlocutory case, or judgment was
made. orders. procured without fair
submission of the
The original controversy.
judgment or It may either be a mistake of
final order fact or mistake of law made in
shall be Mistake
The court may good faith by the defendant
vacated, and who was misled in the case.
amend the
the action It must be one that is imputable
judgment or
shall stand for to the party.
final order
trial de novo;
Effect if accordingly if
but the Excusable Note: The negligence of
granted the ground
recorded negligenc counsel is binding on the client
relied upon
evidence shall e except if it was so great as to
prevails.
be used in the prejudice the client and
[Sec. 3, Rule
new trial prevent fair presentation of the
37]
without case.
retaking the [1 Regalado, 2010 Ed.]
same. [Sec. 6,
Rule 37] Note: A motion for reopening the trial is
different from a motion for new trial—the
a. Grounds latter can only be done after promulgation of
judgment whereas the former may properly be
Grounds for Motion for New Trial (MNT) presented after either or both parties have
One or more of the following causes materially formally offered and closed their evidence
affecting the substantial rights of said party: before judgment. [1 Regalado 432, 2010 Ed.]
1. Fraud, accident, mistake or excusable
negligence (FAME) Grounds for Motion for Reconsideration
(a) Ordinary prudence could not have 1. Damages awarded are excessive;
guarded against, and 2. Evidence is insufficient to justify the
(b) By reason of which such aggrieved decision or final order; or
party has probably been impaired in his 3. Decision or final order is contrary to law.
rights. [Sec. 1, Rule 37]
2. Newly discovered evidence
(a) It was discovered after the trial, or Note: If the MR is based on the same grounds
(b) It could not have been discovered and as that for a MNT, it is considered a MNT.
produced at the trial even with the [Rodriguez v. Rovira, G.R. No. 45252 (1936)]
exercise of reasonable diligence; and

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b. When to File; Form Note: A pro forma MNT/MR shall not toll the
reglementary period of appeal. [Sec. 2, Rule
Within the period for taking an appeal [Sec. 1, 37]
Rule 37]
See Period of appeal below. When MNT considered pro forma
1. Based on the same ground raised in
Note: An MNT and MR may only be availed of preceding MNT/MR already denied;
by a party to the proceeding. [Alaban vs CA, 2. Contains the same arguments and manner
G.R. No. 156021 (2005)] of discussion in the prior opposition to a
motion to dismiss which was granted;
Contents 3. The new ground alleged in the 2 nd MNT
The motion shall be: was available and could have been alleged
1. Made in writing, in the first MNT which was denied;
2. Stating the ground or grounds therefor, and 4. Based on the ground of insufficiency of
3. A written notice of which shall be served by evidence/that the judgment is contrary to
the movant on the adverse party. law, but does not specify the supposed
defects in judgment; or
An MNT shall be proved in the manner 5. Based on FAME but does not specify the
provided for proof of motions. facts constituting these grounds and/or is
1. A motion based on FAME - supported by not accompanied by an affidavit of merits.
affidavits of merits which may be rebutted [1 Regalado 193, 2010 Ed.]
by affidavits.
2. A motion based on newly-discovered Single-motion rule [Sec. 5, Rule 37]
evidence - supported by affidavits of the Motion for New Trial
witnesses by whom such evidence is An MNT shall include all grounds then
expected to be given, or by duly available and those not so included shall be
authenticated documents which are deemed waived.
proposed to be introduced in evidence. ● A 2nd MNT, based on a ground not
existing nor available when the first
When MNT based on FAME not motion was made, may be filed within the
accompanied by affidavit of merits time herein provided excluding the time
General Rule: Denied during which the first motion had been
pending.
Exceptions:
1. The court has no jurisdiction over the Motion for Reconsideration
defendant/ subject matter, so the judgment A 2nd motion for reconsideration of a judgment
is null and void or final order is not allowed.
2. The judgment is defective as where a
judgment by default was rendered even Court action
before the reglementary period to answer The trial court may:
had expired. 1. (MNT) Set aside the judgment or final order
3. The defendant was deprived of his day and grant a new trial, upon such terms as
in court as when no notice of hearing was may be just
furnished him 2. (MR) Amend such judgment or final order
[1 Regalado 435, 2010 Ed.] accordingly if the court finds that
a. Excessive damages have been
A MR shall point out specifically the findings or awarded or that, or
conclusions of the judgment or final order b. Judgment or final order is contrary to
which are not supported by the evidence or the evidence or law
which are contrary to law, making express 3. Deny the motion [Sec. 3, Rule 37]
reference to the testimonial or documentary
evidence or to the provisions of law alleged to Court resolution
be contrary to such findings or conclusions. The motion shall be resolved within 30 days
from the time it is submitted for resolution. [Sec.
4, Rule 37]

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Note: The 30-day period to resolve the motion e. Remedy Against Denial and Fresh-
is mandatory. [Gonzales v. Bantolo, A.M. No. Period Rule
RTJ-06-1993 (2006)]
15-day period to file the notice of appeal
c. Denial of the Motion; Effect The SC has allowed a fresh period of 15 days
within which to file the notice of appeal in the
An order denying a MNT or MR is not RTC, counted from receipt of the order
appealable. dismissing a MNT/MR.
The remedy is an appeal from the judgment or - The fresh period of 15 days becomes
final order. [Sec 9, Rule 37] significant only when a party opts to file
a motion for new trial or motion for
Note: The order denying the motion may itself reconsideration.
be assailed by a petition for certiorari under [Neypes v. CA, G.R. No. 141524 (2005)]
Rule 65. [1 Regalado 437, 2010 Ed.]
Note: What is appealed is the judgment
d. Grant of the Motion; Effect itself, not the order denying the MNT/MR.
[Sec. 9, Rule 37]
Grant of MNT
The original judgment or final order shall be Q. Execution, Satisfaction, and
vacated, and the action shall stand for trial de
novo; Effect of Judgments

Note: The recorded evidence taken upon the Definition

former trial, insofar as the same is material and Execution is a remedy afforded by law for the
competent to establish the issues, shall be enforcement of a judgment. It is a judicial writ
used at the new trial without retaking the same. issued to an officer authorizing and requiring
[Sec. 6, Rule 37] him to execute the judgment of the court.
[Pamantasan ng Lungsod ng Maynila v. IAC,
Grant of MR G.R. No. L-65439 (1986), citing 2 Francisco,
The court may amend such judgment or final 592-593, 1966 Ed.]
order. [Sec. 3, Rule 37]
Note: The prevailing party can secure certified
Partial grant of new trial or reconsideration true copies of the judgment or final order of the
If the grounds for a motion under this Rule appellate court, the entry thereof, and submit it
appear to the court to affect: to the court of origin to justify a motion for a writ
1. The issues as to only a part, or of execution even without waiting for receipt of
2. Less than all of the matter in controversy, the records from the appellate court. [Circular
or No. 24-94]
3. Only one, or less than all, of the parties to
it, The appellate court can also direct the
the court may order a new trial or grant issuance of the writ of execution upon motion
reconsideration as to such issues if in the same while the records are still with the
severable without interfering with the judgment appellate court, or even after remand to the
or final order upon the rest. [Sec. 7, Rule 37] lower court. [1 Regalado 452, 2010 Ed.]

Partial new trial; effect 1. Difference Between Finality of

When less than all of the issues are ordered Judgment for Purposes of Appeal
retried, the court may either and for Purposes of Execution
1. Enter a judgment or final order as to the
rest, or A judgment is final if it disposes of the action
2. Stay the enforcement of such judgment or as distinguished from an interlocutory order
final order until after the new trial. which leaves something to be done with
[Sec. 8, Rule 37] respect to the merits of the case, and it is
executory if the period to appeal has expired
and no appeal is taken. [2 Herrera 281, 2007
Ed.; 1 Regalado 450, 2010 Ed.]
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Finality for purposes of appeal refers to the
distinction between “final judgments or orders” After the lapse of the
and “interlocutory orders,” which cannot be During that period,
reglementary period
appealed according to Sec. 1(b), Rule 41 [1 to appeal, the
the winning party
Regalado 450, 2010 Ed.] prevailing party is
cannot demand the
entitled to a writ of
execution of the
A final judgment or order is one that finally execution, and
judgment yet as a
disposes of a case, leaving nothing more to be issuance thereof is a
right. [City of Manila
done by the court in respect thereto. Examples ministerial duty of
v. CA, G.R. No.
include: the court. [City of
100626 (1991)]
a. An adjudication on the merits which, on the Manila v. CA, G.R.
basis of the evidence presented at the trial, No. 100626 (1991)]
declares categorically what the rights and
obligations of the parties are and which
party is in the right; or 2. When Execution Shall Issue
b. A judgment or order that dismisses an
action on the ground, for instance, of res General Rule: Execution shall issue as a
judicata or prescription. matter of right, on motion, upon a judgment or
[Heirs of Dimaampao v. Alug, G.R. No. 198223 order that disposes of the action or
(2015)] proceeding upon the expiration of the period
to appeal therefrom if no appeal has been duly
Finality for purposes of execution refers to perfected. [Sec. 1, Rule 39]
the judgment being “final and executory” upon
the lapse of the appeal period if no appeal is Exceptions: The following are immediately
taken, upon which execution shall issue as a executory without the expiration of the period
matter of right according to Sec. 1, Rule 39. [1 to appeal
Regalado 449-450, 2010 Ed., see Perez v. a. Judgments in actions for injunction,
Zulueta, G.R. No. L-10374 (1959)] receivership, accounting and support,
and such other judgments as are now or
A judgment becomes “final and executory” may hereafter be declared to be
by operation of law. [Prieto v. Alpadi immediately executory. [Sec. 1, Rule 39]
Development Corporation, G.R. No. 191025 b. Judgments in an action for forcible entry
(2013)] or unlawful detainer rendered against the
defendant. [Sec. 19, Rule 39]
Final and c. The decision of the Regional Trial Court in
Final Judgments Executory civil cases governed by the Rules on
Judgments Summary Procedure. [Sec. 21, Rules on
Final judgments Summary Procedure]
finally dispose of, Judgments become d. The decision of the Labor Arbiter
adjudicate, or final and executory reinstating a dismissed or separated
determine the rights by operation of law employee. [Art. 229, Labor Code]
of the parties, after the lapse of the
HOWEVER, they period for appeal Exception to the exception: The appellate
are not yet “final and without an appeal court in its discretion may make an order
executory” pending being filed. [Cadena suspending, modifying, restoring or granting
the expiration of the v. Civil Service the injunction, receivership, accounting, or
reglementary period Commission, G.R. award of support. The stay of execution shall
for appeal. [1 No. 191412 (2012)] be upon such terms as to bond or otherwise as
Regalado 450, 2010 may be considered proper for the security or
Ed.] protection of the rights of the adverse party.
[Sec. 1, Rule 39]

Quashal of a writ of execution

General Rule: The execution of final and
executory judgments may no longer be

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contested and prevented, and no appeal [Sec. 1, Rule 39]
should lie therefrom. [1 Riano 609, 2016 Ed.]
Necessity of hearing
Exception: These exceptional circumstances An ex parte motion for the issuance of the writ
may prevent the execution of a judgment or would suffice since the trial court may take
allow the quashal of a writ of execution already judicial notice of the record of the case to
issued: determine the propriety of the issuance thereof.
a. Improvidently issued
b. Defective in substance However, where the losing party shows that
c. Issued against wrong party subsequent facts had taken place which would
d. Issued without authority render execution unjust, a hearing on the
e. Inequitable due to change in situation of motion should be held. [Luzon Surety Co. v.
parties Beson, G.R. No. L-26865-66 (1976)]
f. Controversy was never validly submitted to
court [Sandico v. Piguing, G.R. No. L- General Rule:
26115 (1971)] Issuance of the writ of execution is a matter of
g. The writ varies the terms of the judgment, right on the part of the prevailing party when
there is ambiguity in the terms of the the judgment or order becomes executory.
judgment or when it is sought to be [1 Regalado 453, 2010 Ed.]
enforced against property exempt from
execution [Limpin v. IAC, G.R. No 70987 Exceptions:
(1987)] The issuance of a writ of execution which
h. There is substantial variance between the issues as a matter of right can be countered in
judgment and the writ of execution issued any of the following cases:
to enforce the same [Malacora v. CA, G.R. a. When the judgment has already been
No. 51042 (1982)] executed by the voluntary compliance
[1 Regalado 453, 2010 Ed.] thereof by the parties;
b. When a judgment has been novated by the
Note: These defects may be challenged on parties;
appeal or in certiorari, prohibition or mandamus c. When a petition for review is filed and
actions. [Limpin v. IAC, G.R. No 70987 (1987)] preliminary injunction is granted; Also,
when execution of the judgment has been
3. Execution as a Matter of Right enjoined by a higher court;
d. When the judgment sought to be executed
Execution as a matter of right is available in is conditional or incomplete;
two instances e. When facts and circumstances transpire
a. Upon the expiration of the period to appeal which would render execution inequitable
therefrom if no appeal has been duly or unjust;
perfected. f. When execution is sought more than five
b. Appeal has been duly perfected and finally (5) years from its entry without it having
resolved. been revived;
[Sec. 1, Rule 39] g. When execution is sought against property
exempt from execution;
How done h. When refusal to execute the judgment has
a. If no appeal is perfected upon the become imperative in the higher interest of
expiration of the period to appeal justice.
therefrom, on motion. [1 Riano 647-648, 2014 Bantam Ed.]
b. If the appeal has been duly perfected
and finally resolved, the execution may Supervening event doctrine
i. Be applied for in the court of origin, A supervening event can be invoked for the
ii. On motion of the judgment obligee, modification or alteration of a final judgment.
iii. Submitting certified true copies of This refers to:
the judgment or judgments or final a. Facts which transpire after judgment has
order or orders sought to be become final and executory;
enforced and of the entry thereof, b. New circumstances which developed after
with notice to the adverse party. the judgment has acquired finality;
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c. Matters which the parties were not aware c. Hearing on the motion for discretionary
of prior to or during the trial as they were execution,
not yet in existence at that time. d. There must be good reasons to justify the
discretionary execution, and
The supervening facts or circumstances must e. The good reasons must be stated in a
either special order. [Sec. 2, Rule 39]
a. Bear a direct effect upon the matters
already litigated and settled, or “Good reasons”
b. Create a substantial change in the rights or Compelling circumstances justifying the
relations of the parties therein which render immediate execution lest judgment becomes
execution of the final judgment unjust, illusory, or the prevailing party may after the
impossible, or inequitable. lapse of time become unable to enjoy it. [Far
[Abrigo, et al. v. Flores, et al., G.R. No. 160786 East Bank v. Toh, G.R. No. 144018 (2003)]
(2013)]
Mere issuance of a bond to answer for
4. Discretionary Execution damages is no longer considered a good
reason for execution pending appeal. [Planters
The issuance of a writ of execution is Products v. CA, G.R. No. 106052 (1999)]
discretionary on the part of the court when it
is for the Mere allegation that the appeal is dilatory is not
a. Execution of a judgment or final order a good reason to merit discretionary execution.
pending appeal, or Nor is the fact that the prevailing party is in
b. Execution of several, separate, or partial financial distress. [Intramuros Tennis Club vs
judgments. CA, G.R. No. 135630 (2000)]
[Sec. 2, Rule 39]
Examples of good reasons:
Note: The period to appeal where an MR has a. Where the goods subject of the judgment
been filed commences only upon the receipt of stand to perish or deteriorate during the
a copy of the order disposing of the MR. The pendency of the appeal. [Yasuda v. CA,
pendency of the MR prevents the running of the G.R. No. 112569 (2000)]
period to appeal. When there is a pending MR, b. The award of actual damages is for an
an order of execution pending appeal is amount fixed and certain, but not an award
improper and premature. [JP Latex for moral and exemplary damages. [Radio
Technology, Inc. v. Ballons Granger Balloons, Communications Inc. v. Lantin, G.R. No. L-
Inc., et al., G.R. No. 177121 (2009)] 59311 (1985)]
c. Insolvency of a defeated party. [Hacienda
Discretionary execution is not applicable in Navarro v. Labrador, G.R. No. L-45912
the case of the CA (1938)]
A judgment of the CA cannot be executed d. The prevailing party is of advanced age
pending appeal [Heirs of Justice JBL Reyes v. and in a precarious state of health and the
CA, G.R. No. 135180-81 (2000)] obligation in the judgment is non-
transmissible, being for support. [De Leon
Where motion filed v. Soriano, G.R. No. L-7648 (1954)]
a. In the trial court e. Where defendants were exhausting their
● While it has jurisdiction over the case income and have no other property aside
and is in possession of the original from proceeds of the property subject in
record or record on appeal litigation. [Lao v. Mencias, G.R. No. L-
b. In the appellate court 23554 (1967)]
● After the trial court has lost jurisdiction.
[Sec. 2, Rule 39] Stay of discretionary execution
Discretionary execution issued may be stayed
Requisites upon approval by the proper court of a
a. Motion filed by the prevailing party with sufficient supersedeas bond
notice to the adverse party, a. Filed by the party against whom it is
b. Filed with either the trial court or appellate directed, and
court,
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b. Conditioned upon the performance of the certiorari proceedings as the appeal could not
judgment or order allowed to be executed be an adequate remedy from such premature
in case it shall be finally sustained in whole execution. [Jaca v. Davao Lumber Co., G.R.
or in part. No. L-25771 (1982)]

Note: The bond may be proceeded against on 5. How a Judgment is Executed

motion with notice to the surety.
[Sec. 3, Rule 39] a. Execution by Motion or by
Independent Action
General Rule: The filing of a supersedeas
bond is sufficient to stay the enforcement of a Modes of enforcement of execution
discretionary execution. [Sec. 3, Rule 39] Mode When enforced
Within 5 years from the
Exception: Where the needs of the By motion
date of entry of judgment
prevailing party are urgent, the Court can
After the lapse of 5
order immediate execution despite such
years from date of entry
supersedeas bond. [1 Regalado 466, 2010
and before it is barred
Ed.]
by the statute of
By independent
limitations
If judgment is reversed totally or partially, action
Note: The Statute of
or annulled, on appeal or otherwise
Limitations is 10 years
The trial court may, on motion, issue such
from date of entry. [Art.
orders of restitution or reparation of
1144(3), CC].
damages as equity and justice may warrant
[Sec. 6, Rule 39]
under the circumstances. [Sec. 5, Rule 39]
Revival of judgment
Restitution - The property itself must be
An action for revival of judgment is a procedural
returned to the judgment debtor, if the same is
means of securing the execution of a previous
still in the possession of the judgment creditor,
judgment which has become dormant after the
plus compensation to the former for the
passage of 5 years without it being executed
deprivation and use of the property. [1
upon motion of the prevailing party. [Saligumba
Regalado 467, 2010 Ed.]
vs Palanog, 573 SCRA 8, 15-16 (2008)]
Reparation of damages:
The action must be filed within 10 years from
a. If the purchaser at the public auction
the date the judgment became final since an
was the judgment creditor, pay the full
action to enforce a judgment prescribes in 10
value of the property at the time of its
years from the finality of judgment. [Art.
seizure plus interest
1144(3), CC]
b. If the purchaser at public auction was a
third person, judgment creditor must pay
A revived judgment is deemed a new judgment
the judgment debtor the amount realized
separate and distinct from the original
from the sale with interest thereon; and
judgment. It is not a continuation. [PNB v.
c. If the judgment award was reduced on
Bondoc, G.R. No. L-20236 (1965)]
appeal, the judgment creditor must return
to the judgment debtor only the excess
How enforced
which he received over and above that to
A revived judgment may also be enforced the
which he is entitled under the final
same way. [Sec. 6, Rule 39]
judgment, with interest on such excess.
Note: The 10-year prescriptive period
[Po Pauco v. Tan Juco, G.R. No. L-63188
commences to run from the date of finality of
(1990)]
the revived judgment and not the original
judgment. [PNB v. Bondoc, G.R. No. L-20236
Remedy against discretionary execution
(1965)]
The remedy is certiorari by Rule 65.
Time periods
Note: The fact that the losing party has also
The time periods provided may be stayed by:
appealed from the judgment does not bar
a. Agreement of the parties for a definite time,
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b. Injunction, or interest to the court for consideration in the
c. Taking of an appeal or writ of error. same case and invites adjudication
[Yau vs Silverio, and Macapagal v. Gako, 543 regarding said interest [Jose v. Blue, G.R.
SCRA 520, 529 (2008)] No. L-28646 (1971)]
c. Where non-parties voluntarily signed the
The periods shall not apply to: compromise agreement or voluntarily
a. Special proceedings, and appeared before court [Rodriguez v.
b. Judgments for support. Alikpala, G.R. No. L-38314 (1974)]
[Rodil v. Benedicto, 95 SCRA 137, (1980) and
Canonizado v. Benitez, 127 SCRA 610 (1984)] Return of a writ of execution
a. Judgment satisfied within 30 days
b. Issuance and Contents of a Writ of The writ of execution shall be returnable to the
Execution court issuing it immediately after the judgment
has been satisfied in part or in full. [Sec. 14,
Contents of the writ of execution Rule 39]
The writ of execution is issued in the name of
the Republic of the Philippines and shall state: b. Judgment not satisfied within 30 days
1. The name of the court, 1. The officer shall report to the court and
2. The case number and title, state the reason therefore.
3. The dispositive part of the subject 2. The officer shall make a report to the
judgment or order, and court every 30 days on the proceedings
4. Shall require the sheriff or other proper taken thereon until the judgment is
officer to whom it is directed to enforce the satisfied in full, or its effectivity expires.
writ according to its terms. 3. The returns or periodic reports shall set
[Sec. 8, Rule 39] forth the whole of the proceedings
taken, and shall be filed with the court
Dispositive portion as subject of execution and copies thereof promptly furnished
The writ of execution should conform to the the parties
dispositive portion of the decision to be [Sec. 14, Rule 39]
executed. [Ex-Bataan Veterans Security
Agency Inc vs NLRC, G.R. No. 121428 (1995)] Entry of satisfaction of judgment
Satisfaction of a judgment shall be entered by
Issuance of a writ of execution the COC in the court docket, and in the
Effectivity execution book, upon the:
Such writ shall continue in effect during the a. Return of a writ of execution showing the
period within which the judgment may be full satisfaction of the judgment, or
enforced by motion. [Sec. 14, Rule 39] b. Filing of an admission to the satisfaction of
the judgment executed and acknowledged
Note: A judgment may be enforced by motion in the same manner as a conveyance of
within 5 years from date of entry of judgment. real property by the judgment obligee or by
[Sec. 6, Rule 39] his counsel unless a revocation of his
authority is filed, or
Against whom issued c. Endorsement of such admission by the
General Rule: Only real parties in interest in judgment obligee or his counsel on the face
an action are bound by judgment rendered of the record of the judgment.
therein and by the writs of execution. [Sec. 44, Rule 39]

Exceptions: The court may order the entry of satisfaction

There are certain cases where the writ may be even if the judgment was satisfied in fact or
issued against non-parties otherwise than upon execution:
a. One who is privy to judgment debtor can be a. With admission of satisfaction by the
reached by an order of execution and writ judgment obligee or counsel, or
of demolition [Vda. De Medina v. Cruz, ● On demand of the judgment obligor,
G.R. No. L-39272 (1988)] such persons must execute and
b. Issued against one who, not being acknowledge, or indorse, the
originally a party to the case, submits his admission
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● After notice and upon motion, the court Procedure if the judgment obligee or his
may order such persons to do so authorized representative is not present to
b. Without admission of satisfaction. receive payment
[Sec. 45, Rule 39] a. The judgment obligor shall deliver the
aforesaid payment to the executing sheriff.
Effect of death of a party to execution
a. Death of the judgment obligee Note: In no case shall the executing sheriff
- Will not prevent the execution of demand that any payment by check be
judgment made payable to him.
- Execution will issue upon the
application of the executor, b. The executing sheriff shall turn over all
administrator, or successor in the amounts coming into his possession
interest. within the same day to the COC of the court
b. Death of the judgment obligor that issued the writ, or if the same is not
- Will not prevent execution of judgment practicable, deposit said amounts to a
- Execution shall issue against his fiduciary account in the nearest
executor, administrator, or successor government depository bank of the. RTC of
in interest. the locality.
[Sec. 7, Rule 39] c. The COC shall thereafter arrange for the
remittance of the deposit to the account of
c. Execution of Judgments for Money the court that issued the writ whose COC
shall then deliver said payment to the
If the award is for payment of money, judgment obligee in satisfaction of the
execution is enforced by judgment.
1. Immediate payment on demand, d. The excess, if any, shall be delivered to the
2. Satisfaction by levy, or judgment obligor while the lawful fees shall
3. Garnishment of debts and credits [Sec. 9, be retained by the COC for disposition as
Rule 39] provided by law.
[Sec. 9(a), Rule 39]
Note: Levy can only be made under Sec. 9 of
Rule 39 2. Satisfaction By Levy

1. Immediate Payment On Demand Definition

Levy is the act whereby:
Procedure a. A sheriff/officer sets apart or appropriates,
a. The officer shall demand from the b. For the purpose of satisfying the command
judgment obligor the immediate payment of of the writ,
the full amount stated in the writ of c. A part or the whole of the judgment debtor’s
execution and all lawful fees. property. [Fiestan v. CA, G.R. No. 81552
b. The judgment obligor shall pay in cash, (1990)]
certified bank check payable to the
judgment obligee, or any other form of Condition before resort to satisfaction by
payment acceptable to the latter, the levy
amount of the judgment debt under proper If the judgment obligor cannot pay all or part of
receipt directly to the judgment obligee or the obligation in cash, certified bank check or
his authorized representative if present at other mode of payment acceptable to the
the time of payment. judgment obligee. [Sec. 9(b), Rule 39]
c. The lawful fees shall be handed under
proper receipt to the executing sheriff Procedure
who shall turn over the said amount within a. The officer shall levy upon the properties
the same day to the COC of the court that of the judgment obligor of every kind and
issued the writ. nature whatsoever which may be disposed
[Sec. 9(a), Rule 39] of for value and not otherwise exempt from
execution
b. The officer shall give the judgment obligor
the option to choose which property or
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part thereof may be levied upon, sufficient “break-open” order, to break open the
to satisfy the judgment. premises where there is no occupant therein.
c. If the judgment obligor does not exercise [Arcadio v. Ylagan, A.M. No. 2734 (1986)]
the option, the officer shall first levy on the
personal properties, if any, and then on Note: The rationale is that the writ of execution
the real properties if the personal itself is essentially an order to place the
properties are insufficient to answer for prevailing party in possession of the property.
the judgment. If the defendant refuses to surrender
possession of the property to the prevailing
Note: The sheriff shall sell only a sufficient party, the sheriff or other proper officer should
portion of the personal or real property of the oust him. No express order to this effect needs
judgment obligor which has been levied upon to be stated in the decision. [Guario v. Ragsac,
and only so much of the personal or real A.M. No. P-08-2571 (2009)]
property as is sufficient to satisfy the judgment
and lawful fees. 3. Garnishment of Debts and Credits

How the levy is done The process of levying shall be called

Real property, stocks, shares, debts, credits, garnishment if the property involved is
and other personal property, or any interest in money, stocks, or other incorporeal
either real or personal property, may be levied property in the hands of third persons.
upon in like manner and with like effect as Note: Garnishment merely sets apart such
under a writ of attachment. [Sec. 9(b), Rule funds but does not constitute the creditor as
39] owner of the garnished property. [De la Rama
v. Villarosa, G.R. No. L-19727 (1963)]
Note: If the judgment is for a sum of money
a. The judgment obligor dies before the What may be garnished
levy has been made on the property: The officer may levy on
judgment cannot be enforced by writ of a. Debts due the judgment obligor and
execution. Instead, it should be filed as a b. Other credits, including
claim against the estate. i. Bank deposits
b. If the judgment obligor dies after the ii. Financial interests,
entry of judgment but before levy on his iii. Royalties
property: Execution will issue if it is for the iv. Commissions and
recovery of real/personal property. v. Other personal property not capable of
[1 Regalado 475, 2010 Ed.] manual delivery in the possession or
control of third parties. [Sec. 9(c), Rule
“Break-open” order 39]
An order from the court authorizing the sheriff
to destroy, demolish or remove improvements Procedure
on property subject of execution. [Sec. 10(d), a. Notice shall be served upon the person
Rule 39] owing such debts or having in his
possession or control such credits to which
A special order of demolition is an order from the judgment obligor is entitled.
the court authorizing the sheriff to destroy, ● Note: The garnishment shall cover only
demolish or remove improvements on property such amount as will satisfy the
subject of execution. It is issued upon hearing judgment and all lawful fees.
and reasonable notice. Without one, the sheriff b. The garnishee shall make a written report
cannot destroy, demolish, or remove any to the court within 5 days from service of
improvements on the property. [Guario v. the notice of garnishment stating whether
Ragsac, A.M. No. P-08-2571 (2009); see Sec. or not the judgment obligor has sufficient
10(d), Rule 39] funds or credits to satisfy the amount of the
judgment. If not, the report shall state how
A writ of execution directing the sheriff to cause much funds or credits the garnishee holds
the defendant to vacate is in the nature of a for the judgment obligor.
habere facias possessionem and authorizes ● Note: Upon service of the writ of
the sheriff, without need of securing a garnishment, the garnishee becomes a
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“virtual party” or “forced intervenor” to some other person appointed by the court
the case and the trial court thereby and the act when so done shall have like
acquires jurisdiction to bind the effect as if done by the party.
garnishee to comply with its orders and b. If real or personal property is situated within
processes [BPI v. Lee, G.R. No. the Philippines, the court may by an order
190144 (2012)] divest the title of any party and vest it in
c. The garnished amount in cash, or others, which shall have the force and
certified bank check issued in the name of effect of a conveyance executed in due
the judgment obligee, shall be delivered form of law. [Sec. 10(a), Rule 39]
directly to the judgment obligee within
10 working days from service of notice on It is only when reconveyance is no longer
said garnishee requiring such delivery, feasible (e.g. passed on to a buyer for value in
except the lawful fees which shall be paid good faith, dissipated, etc.) that the judgment
directly to the court. obligor should pay the judgment obligee the fair
d. In the event there are two or more market value of the property. [Raymundo v.
garnishees holding deposits or credits Galen Realty and Mining Corp., G.R. No.
sufficient to satisfy the judgment, the 191594 (2013)]
judgment obligor, if available, shall have
the right to indicate the garnishee or 2. For Sale of Real or Personal Property
garnishees who shall be required to
deliver the amount due; otherwise, the If the judgment be for the sale of real or
choice shall be made by the judgment personal property, [an order for execution shall
obligee. be issued] to:
e. The executing sheriff shall observe the a. Sell such property, describing it, and
same procedure under Sec. 9(a), Rule 39 b. Apply the proceeds in conformity with the
with respect to delivery of payment to the judgment. [Sec. 10(b), Rule 39]
judgment obligee. [Sec. 9(c), Rule 39]
3. For Delivery Or Restitution Of Real
d. Execution of Judgments for Specific Property
Acts
a. The officer shall demand of the person
Under Section 10, a party is directed to against whom the judgment for the delivery
execute conveyance of land or to deliver deeds or restitution of real property is rendered
or other documents, or to perform any other and all persons claiming rights under him
specific acts in connection therewith but to peaceably vacate the property within 3
which acts can be performed by persons working days, and restore possession
other than said party. [1 Regalado 486, 2010 thereof to the judgment obligee.
Ed.] b. Otherwise, the officer shall oust all such
persons therefrom with the assistance, if
1. For Conveyance of Land or Personal necessary, of appropriate peace officers,
Property and employing such means as may be
reasonably necessary to retake
Conditions possession, and place the judgment
a. If a judgment directs a party to obligee in possession of such property.
i. Execute a conveyance of land or c. Any costs, damages, rents or profits
personal property, or awarded by the judgment shall be satisfied
ii. Deliver deeds or other documents, in the same manner as a judgment for
or money. [Sec. 10(c), Rule 39]
iii. Perform any other specific act in
connection therewith, and 4. Removal of Improvements on Property
b. The party fails to comply within the time Subject of Execution
specified [Sec. 10(a), Rule 39]
When the property subject of the execution
Procedure contains improvements constructed or planted
a. The court may direct the act to be done at by the judgment obligor or his agent, the
the cost of the disobedient party by
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officer shall not destroy, demolish or f. Effect of Levy on Third Person
remove said improvements except:
a. Upon special order of the court, issued The levy on execution shall create a lien in
upon motion of the judgment obligee after favor of the judgment obligee over the right,
due hearing and title and interest of the judgment obligor in such
b. After the former has failed to remove the property at the time of the levy, subject to
same within a reasonable time fixed by the liens and encumbrances then existing.
court. [Sec. 10(d), Rule 39] [Sec. 12, Rule 39]

5. Delivery of Personal Property Note: The power of the court in executing

judgments extends only over properties
In judgments for the delivery of personal unquestionably belonging to the judgment
property, the officer shall: debtor. [Corpuz v. Pascua, A.M. No. P-11-
a. Take possession of the same, and 2972 (2011)]
b. Deliver it to the party entitled thereto and
satisfy any judgment for money as therein A duly registered levy on attachment or
provided. [Sec. 10(e), Rule 39] execution is preferred over a prior unregistered
sale. Under the Torrens system, the auction
e. Execution of Special Judgments sale of property retroacts to the date the levy
was registered; now, under Secs. 51 and 2 of
A special judgment under Section 12 requires P.D. 1529, the act of registration is the
the performance of any act, other than the operative act to convey or affect the land
payment of money or the sale or delivery or real insofar as third persons are concerned. [Du v.
or personal property, which a party must Stronghold Insurance Co. Inc., G.R. No.
personally do because his personal 156580 (2004)]
qualifications and circumstances have been
taken into consideration. [1 Regalado 486, 6. Properties Exempt from Execution
2010 Ed.]
General Rule: The following property, and no
When proper other, shall be exempt from execution:
A judgment requires performance of any other a. The judgment obligor’s family home as
act than those mentioned in Secs. 9 and 10 provided by law, or the homestead in which
(payment of money or sale or delivery of he resides, and land necessarily used in
property). [Sec. 11, Rule 39] connection therewith
b. Ordinary tools and implements
Procedure personally used by him in his trade,
A certified copy of the judgment shall be employment, or livelihood
1. Attached to the writ of execution and c. Three horses, or three cows, or three
2. Served by the officer upon carabaos, or other beasts of burden, such
a. The party against whom the same is as the judgment obligor may select
rendered, or necessarily used by him in his ordinary
b. Any other person required thereby, or occupation
by law, to obey the same, and d. His necessary clothing and articles for
3. Such party or person may be punished for ordinary personal use, excluding jewelry
contempt if he disobeys such judgment e. Household furniture and utensils
[Sec. 11, Rule 39] necessary for house-keeping, and used for
that purpose by the judgment obligor and
Examples: his family, such as the judgment obligor
a. A judgment in mandamus to reinstate may select, of a value not exceeding PHP
petitioner as chief clinic of the hospital 100,000
[Vital-Gozon v. CA, G.R. No. 101428 f. Provisions for individual or family use
(1992)] sufficient for four months
b. A judgment directing the defendant to g. The professional libraries and
remove a fence from a certain place is a equipment of judges, lawyers, physicians,
special judgment [Marquez v. Marquez, pharmacists, dentists, engineers,
G.R. No. 47792 (1941)] surveyors, clergymen, teachers, and other
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professionals, not exceeding PHP 300,000 7. Proceedings Where Property is
in value Claimed by Third Persons; in
h. One fishing boat and accessories not Relation to Third Party Claim in
exceeding the total value of PHP 100,000
owned by a fisherman and by the lawful
Attachment and Replevin
use of which he earns his livelihood
i. So much of the salaries, wages, or
Sec. 16, Rule 39 and other provisions providing
earnings of the judgment obligor for his a mode for recovering property alleged to have
personal services within the four been wrongfully taken by sheriff pursuant to a
months preceding the levy as are writ of execution or other process, refer to a
necessary for the support of his family stranger to an action. [Tillson v. CA, G.R. No.
j. Lettered gravestones
89870 (1991)]
k. Monies, benefits, privileges, or annuities
accruing or in any manner growing out of Remedies of third-party claimant
a. Summary hearing before the court which
any life insurance
l. The right to receive legal support, or authorized the execution
b. “Terceria” or third-party claim filed with
money or property obtained as such
support, or any pension or gratuity from the the sheriff [Sec. 16, Rule 39]
c. Action for damages on the bond posted
Government
m. Properties specially exempted by law
by the judgment creditor
d. Independent Reinvindicatory action
[Sec. 13, Rule 39]

Examples of item (m) above Note: Such are cumulative remedies and may
1. Property mortgaged to the DBP [Sec. 26,
be resorted to by a third-party claimant
CA 458] independently of or separately from and
2. Savings of national prisoners deposited
without need of availing of the others. [Sy v.
with the postal savings bank [Act. 2489] Discaya, G.R. No. 86301 (1990)]
3. Benefits from private retirement systems of
companies and establishments with For a third-party claim to be sufficient
a. Must be filed by a person other than the
limitations [R.A. 4917]
4. Laborer’s wages except for debts incurred
defendant or his agent, at any time before
for food, shelter, clothing and medical sale
b. Must be under oath or supported by
attendance [Art. 1708, CC]
5. Benefit payments from SSS [Sec. 16, R.A.
affidavit stating the claimant’s title to, or
1161, as amended] right of possession of, the property, and
grounds therefor
c. Must be served upon the officer making
Exception: No article or species of property
mentioned in Sec. 13, Rule 39 (enumerated levy and a copy thereof upon the judgment
above) shall be exempt from execution issued creditor [Sec. 16, Rule 39]
upon a
On spouses
a. Judgment recovered for its price or
A spouse who was not a party to the suit but
b. Judgment of foreclosure of a mortgage
whose conjugal property is being executed
thereon [Sec. 13, Rule 39]
because the other spouse is the judgment
obligor is not considered a stranger to the suit
The exemptions must be claimed, otherwise
and cannot file a separate action to question
they are deemed waived. It is not the duty of
the execution since they could have easily
the sheriff to set off the exceptions on his own
questioned the execution in the main case
initiative. [Herrera v. Mcmicking, G.R. No. L-
itself. [1 Regalado 501, 2010 Ed.]
5329 (1909)]
The institution of a separate action was allowed
when the property was the exclusive or
paraphernal property of a spouse who was
not a party to the case the judgment wherein
was sought to be executed. In such a situation,
the aggrieved spouse was deemed to be a

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stranger to that main action. [Ching v. CA, G.R. The officer shall not be liable for damages
No. 118830 (2003)] for the taking or keeping of the property, to any
third-party claimant if such bond is filed.
Effect of third-party claim
The officer shall not be bound to keep the When bond not required
property, unless such judgment obligee, on When the writ of execution is issued in favor of
demand of the officer, files a bond approved by the Republic of the Philippines, or any officer
the court to indemnify the third-party claimant duly representing it, the filing of such bond shall
in a sum not less than the value of the property not be required.
levied on. [Sec. 16, Rule 39]
Note: If sheriff or levying officer is sued for
SUMMARY HEARING BEFORE COURT damages,
AUTHORIZING EXECUTION a. He shall be represented by the Solicitor
A third-person whose property was seized by a General, and
sheriff to answer for an obligation of a judgment b. If held liable, the actual damages adjudged
debtor may invoke the supervisory power of the by the court shall be paid by the National
court which authorized such execution. [Sy v. Treasurer out of such funds as may be
Discaya, G.R. No. 86301 (1990)] appropriated for the purpose.
[Sec. 16, Rule 39]
Procedure
a. Claimant files application The right of a third-party claimant to file a
b. Court conducts summary hearing, and terceria is founded on his title or right of
c. The court may: possession. Corollary thereto, before the court
1. Command that the property be can exercise its supervisory power to direct the
released from the mistaken levy and release of the property mistakenly levied and
restored to rightful owner or possessor, the restoration thereof to its rightful owner, the
or claimant must first unmistakably establish his
2. If the claimant's proofs do not ownership or right of possession thereon.
persuade, the claim will be denied by [Villasi v. Garcia, G.R. No. 190106 (2014)]
the court.
REIVINDICATORY ACTION
The court determination is limited only to a Nothing contained in Sec. 16, Rule 39 shall
determination of whether the sheriff has acted prevent such claimant or any third person from
rightly or wrongly in performance of his duties. vindicating his claim to the property in a
The court does not and cannot pass upon the separate action, or prevent the judgment
question of title. [Sy v. Discaya, G.R. No. 86301 obligee from claiming damages in the same or
(1990)] a separate action against a third-party claimant
who filed a frivolous or plainly spurious claim.
TERCERIA [Sec. 16, Rule 39]
When to file
Any time, as long as: Procedure
a. Sheriff has the possession of the property He must institute an action, distinct and
levied upon, or separate from that which the judgment is being
b. Before the property shall have been sold enforced, with the court of competent
under execution. jurisdiction
● In such ation, the validity and sufficiency of
Procedure title of the claimant will be resolved.
Claimant serves on the officer making levy an ● A writ of preliminary injunction against the
affidavit of his title and a copy thereof to sheriff may be issued.
judgment creditor. [Sec. 16, Rule 39]
Note: No need to file a claim in the court which
Bond issued a writ. The latter is not a condition sine
To enforce a claim for damages against the qua non for the former.
bond, the action must be filed within 120 days [Sy v. Discaya, G.R. No. 86301 (1990)]
from the filing of the bond.

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IN RE: THIRD PARTY CLAIMS IN b. If he redeems upon a mortgage or other
ATTACHMENT AND REPLEVIN lien,
If the claim is filed under Sec. 16, Rule 39, it 1. A memorandum of the record thereof,
must be filed in a separate action instituted for certified by the registrar of deeds; or an
the purpose. Intervention is no longer allowed original or certified copy of any
since judgment has already been rendered. [1 assignment necessary to establish his
Regalado 500-501, 2010 Ed.] claim; and
2. An affidavit executed by him or his
If it is filed under Sec. 14, Rule 57 agent, showing the amount then
(Attachment) or under Sec. 7, Rule 60 actually due on the lien. [Sec. 30, Rule
(Replevin), the claim may be litigated in the 39]
same action involved or in a separate suit.
Intervention is allowed. [1 Regalado 501, 2010 When redemption can be made
Ed.] Who When
Within 1 year from the
The reason for the difference is that the By the judgment
date of registration of
judgment in the case subject of Sec. 16, Rule obligor
the certificate of sale
39 is already final and executory, while Rules Within 1 year from the
57 and 60 involve actions still pending in By first
date of registration of
the trial court. [1 Regalado 501, 2010 Ed.] redemptioner
the certificate of sale
By all subsequent Within 60 days from
8. Rules on Redemption redemptioners last redemption
[Sec. 28, Rule 39]
When available
Only for real property, since nothing in the Note: There is no extension or interruption of
ROC provides for redemption of personal redemption period. [Sec. 28, Rule 39]
property. [Sec. 27, Rule 39] Redemption price
a. By the judgment debtor or first
Who may redeem redemptioner:
a. Judgment obligor, or his successor in 1. Purchase price,
interest in the whole or any part of the 2. 1% interest thereon up to time of
property redemption,
b. A creditor (redemptioner) having a lien by 3. Any amount of assessments or taxes
virtue of an attachment, judgment or which purchaser may have paid after
mortgage on the property sold, or on some purchase and interest on such last
part thereof, subsequent to the lien under named amount at the same rate, and
which the property was sold. [Sec. 27, 4. If the purchaser is also a creditor
Rule 39] having a prior lien to that of a
redemptioner, other than the judgment
If the lien of the creditor is prior to the under which such purchase was made,
judgment under which the property was sold: the amount of such other lien, also with
a. He is not a redemptioner; interest.
b. He cannot redeem since his interests in his b. By all subsequent redemptioners:
lien are fully protected. Any purchaser at a 1. Amount paid on last redemption,
public auction takes the same subject to 2. 2% interest thereon,
such prior lien which he has to satisfy. [1 3. Any amount of assessments or taxes
Regalado 512, 2010 Ed.] which purchaser may have paid after
purchase as well as interest on such
Proof required of redemptioner last named amount at the same rate,
A redemptioner must produce to the officer, or and
person from whom he seeks to redeem, and 4. The amount of any liens held by said
serve with his notice to the officer last redemptioner prior to his own, also
a. A copy of the judgment or final order under with interest. [Sec. 28, Rule 39]
which he claims the right to redeem,
certified by the clerk of the court wherein
the judgment or final order is entered; or,
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If redemption is made by the judgment to a conveyance and possession of the
obligor property; or,
a. No further redemption is allowed, and b. If so redeemed whenever 60 days have
b. He is restored to his estate. [Sec. 29, Rule elapsed and no other redemption has
39] been made, and notice thereof given, and
the time for redemption has expired, the
Note: When a judgment debtor redeems the last redemptioner is entitled to the
property, what is effected is the elimination of conveyance and possession.
the lien created by the levy on attachment or
judgment on the registration of mortgage General Rule: Under the expiration of the right
thereon. Note that he never lost ownership so of redemption, the purchaser or redemptioner
there is no recovery of ownership. [1 Regalado shall be substituted to and acquire all the rights,
513, 2010 Ed.] title, interest and claim of the judgment obligor
to the property as of the time of the levy -
Payment of redemption price may be made possession of the property shall be given to
to the: the purchaser or last redemptioner by the
a. Purchaser or redemptioner, or same officer
b. For him to the officer who made the sale
[Sec. 29, Rule 39] Exception: A third party is actually holding the
property adversely to the judgment obligor.
Duties upon redemption [Sec. 33, Rule 39]
The person to whom the redemption payment
is made must execute and deliver to him a Two documents which the sheriff executes
certificate of redemption. in case of real property
a. Acknowledged before a notary public or a. Certificate of sale
other officer authorized to take 1. Contents:
acknowledgments of conveyances of real i. A particular description of the real
property. property sold;
b. Filed and recorded in the registry of deeds ii. The price paid for each distinct lot
of the place in which the property is or parcel;
situated, and iii. The whole price paid by him; and
c. The registrar of deeds must note the record iv. A statement that the right of
thereof on the margin of the record of the redemption expires one year from
certificate of sale. [Sec. 29, Rule 39] the date of the registration of the
certificate of sale
RIGHTS PENDING REDEMPTION 2. Must be registered in the registry of
Right of judgment obligee deeds of the place where the property
Apply for injunction to restrain the commission is situated. [Sec. 25, Rule 39] - From
of waste on the property. [Sec. 31, Rule 39] registration of said certificate, the 1
year redemption period starts [Sec. 28,
It is not waste for a person in possession of Rule 39]
the property at the time of the sale, or entitled 3. Certificate of sale after execution sale
to possession afterwards, during the period is merely a memorial of the fact of sale
allowed for redemption, to and does not operate as conveyance [1
a. Continue to use it in the same manner in Regalado 508, 2010 Ed.]
which it was previously used b. Deed of Conveyance
b. Use it in the ordinary course of husbandry, 1. Executed upon the expiration of the
or period to redeem.
c. Make the necessary repairs to buildings Note: The purchaser or redemptioner
thereon while he occupies the property shall be substituted to and acquire all
[Sec. 31, Rule 39] the rights, title, interest and claim of the
judgment obligor to the property as of
Expiration of period to redeem the time of the levy.
a. II no redemption be made within 1 year 2. Executed by the officer making the
from the date of the registration of the sale.
certificate of sale, the purchaser is entitled
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3. Under the expiration of the right of 9. Examination of Judgment Obligor
redemption, [Sec. 33, Rule 39] When Judgment is Unsatisfied
Note: Hence, the certificate of sale of real When applicable
property does not confer any right to the When the return of the writ issued against
possession or ownership, of the real property property of a judgment obligor shows that
purchased. It is the deed of sale executed by judgment remains unsatisfied. [Sec. 36, Rule
the sheriff at the expiration of the period of 39]
redemption which entitles the purchaser to
possession of the property sold. [1 Regalado Procedure
508, 2010 Ed.] The judgment obligee, at any time after such
return is made, shall be entitled to an order
Recovery of purchase price if sale not from the court which rendered the said
effective judgment
a. If the purchaser of real property sold on a. Requiring such judgment obligor to appear
execution, or his successor in interest, and be examined concerning his property
● Fails to recover the possession thereof, and income before such court or before a
or commissioner appointed by it, at a
● Is evicted therefrom, in consequence of specified time and place; and
irregularities in the proceedings b. Proceedings may thereupon be had for the
concerning the sale, or application of the property and income of
b. Because the judgment has been reserved the judgment obligor towards the
or set aside, or satisfactions of the judgment.
c. Because the property sold was exempt
from execution, or When judgment obligor not required to
d. Because a third person has vindicated his appear/ be examined
claim, to the property, a. When he is required to appear before a
court or commissioner outside the province
The purchaser may, on motion in the same or city in which such obligor resides or is
action or in a separate action, found. [Sec. 36, Rule 39]
a. Recover from the judgment obligee the b. After the lapse of the five years within
price paid, with interest, or so much thereof which a judgment may be enforced by
as has not been delivered to the judgment motion. [Umali v. Coquia, G.R. No. L-
obligor; or 46303 (1988)]
b. Have the original judgment revived in his
name for the whole price with interest, or Order for payment in fixed monthly
so much thereof as has been delivered to installments
the judgment obligor. If upon investigation of his current income and
Note: The judgment so revived shall expenses, it appears that the earnings of the
have the same force and effect as an judgment obligor for his personal services are
original judgment would have as of the more than necessary for the support of his
date of the revival and no more. family, the court may order that:
[Sec. 34, Rule 39] a. He pay the judgment in fixed monthly
installments, and
Note: A purchaser’s right of possession is b. Upon his failure to pay any such installment
recognized only as against the judgment when due without good excuse, may
debtor and his successor-in-interest. It is not so punish him for indirect contempt. [Sec. 40,
against persons whose right of possession is Rule 39]
adverse. When a third party is in possession
of the property purchased, the possession is 10. Examination of Obligor of
presumed to be based on just title - a Judgment Obligor
presumption which may be overcome by the
purchaser in a judicial proceeding for recovery When applicable
of the property. [Villanueva v. Cherdan a. When the return of a writ of execution
Lending Investors Corp., G.R. No. 177881 against the property of a judgment obligor
(2010)]
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shows that the judgment remains a complaint for damages. [Phil. Transmarine
unsatisfied, in whole or in part, and Carriers v. CA, G.R. No. 122346 (2000)]
b. Upon proof that a person, corporation, or
other juridical entity has property of such OTHER REMEDIES
judgment obligor or is indebted to him. Order for application of property or income
[Sec. 37, Rule 39] The court may order any property of the
judgment obligor, or money due him, not
Procedure exempt from execution, in the hands of either
The court may, by an order himself or another person, or of a corporation
a. Require such person, corporation, or other or other juridical entity, to be applied to the
juridical entity, or any officer or member satisfaction of the judgment, subject to any
thereof, to appear before the court or a prior rights over such property. [Sec. 40, Rule
commissioner appointed by it, at a time and 39]
place within the province or city where such
debtor resides or is found, and After a writ of execution against property has
b. Be examined concerning the same. been issued, a person indebted to the
judgment obligor may pay to the sheriff
Effect of order holding the writ of execution the amount of
The service of the order shall his debt or so much thereof as may be
a. Bind all credits due the judgment obligor necessary to satisfy the judgment, in the
and all money and property of the judgment manner prescribed in Sec. 9, Rule 39 and the
obligor in the possession or in the control sheriffs receipt shall be a sufficient discharge
of such person, corporation, or juridical for the amount so paid or directed to be
entity from the time of service, and credited by the judgment obligee on the
b. The court may also require notice of such execution [Sec. 39, Rule 39]
proceedings to be given to any party to the
action in such manner as it may deem Appointment of receiver
proper. [Sec. 37, Rule 39] The court may appoint a receiver of the
property of the judgment obligor; and it may
Note: This is not applicable if there is no issue also forbid a transfer or other disposition of,
concerning the indebtedness of the bank and or any interference with, the property of the
there is no denial by the depositor of the judgment obligor not exempt from execution.
existence of the deposit with the bank which is [Sec. 41, Rule 39]
considered a credit in favor of the depositor
against the bank. [PCIB v. CA, G.R. No. 84526 If it appears that the judgment obligor has an
(1991)] interest in real estate in the place in which
proceedings are had, as mortgagor or
When alleged obligor denies debt or claims mortgagee or otherwise, and his interest
property therein can be ascertained without
The court may controversy, the receiver may be ordered to
a. Authorize the judgment obligee to institute sell and convey such real estate or the
an action against such person or interest of the obligor therein; and such sale
corporation for the recovery of such shall be conducted in all respects in the same
interest or debt, manner as is provided for the sale of real estate
b. Forbid a transfer or other disposition of upon execution, and the proceedings thereon
such interest or debt within 120 days from shall be approved by the court before the
notice of the order, and execution of the deed. [Sec. 42, Rule 39]
c. May punish disobedience of such order as
for contempt. 11. Effect of Judgment or Final
[Sec. 43, Rule 39] Orders
Impropriety of an action for damages as a Immutability of judgments
remedy A judgment that has acquired finality
Where the writ of execution is unsatisfied, becomes immutable and unalterable, and
the remedy to enforce it is Secs. 38-39, and not may no longer be modified in any respect, even
if the modification is meant to correct
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erroneous conclusions of fact and law, and Requisites
whether it be made by the court that rendered a. A final judgment or order
it or by the Highest Court of the land. [PNB v. b. Jurisdiction over the subject matter and the
Spouses Maranon, G.R. No. 189316 (2013)] parties by the court rendering judgment
c. Judgment upon merits
RES JUDICATA d. Between the two cases, there is identity of:
Dual aspect 1. Parties
a. Bar by former judgment 2. Subject matter
1. The judgment or final order is a bar to 3. Cause of action [1 Riano 430, 2011
the prosecution of a subsequent action Ed.]
based on the same claim or cause of
action General Rule: For res judicata to apply, trial
2. Described by Sec. 47, pars. (a) and (b), must be made on the merits of the case [1
Rule 39 Regalado 530, 2010 Ed.]
3. Also known as “Estoppel by Verdict”
b. Conclusiveness of judgment Exception: Sec. 3, Rule 17: Dismissal upon
1. The judgment or final order precludes fault of plaintiff - If plaintiff fails to appear at
the relitigation of particular issues or the time of the trial, or to prosecute his action
facts on a different demand or cause of for an unreasonable length of time, or to
action comply with these rules or any order of the
2. Described by Sec. 47, par. (c), Rule 39 court, the action may be dismissed upon
3. Also known as the Rule of Auter Action motion of the defendant or upon the court's
Pendant own motion. This dismissal shall have the
[1 Riano 541, 2011 Ed.; 1 Regalado 529, 2010 effect of an adjudication upon the merits,
Ed.] unless otherwise provided by court
[Development Bank v. CA, G.R. No. 110203
Bar by former Conclusiveness of (2001)]
judgment judgment
There is only identity Res judicata in judgments in rem
Requires identity of of parties and subject Judgments or final
Conclusive as to
parties, subject matter order
matter, and causes Against a specific
Title of the thing
of action Causes of action are thing
different Probate of a will or
Absolute Bar to: administration of the The will or
(a) all matters Conclusive as to estate of a deceased administration
directly adjudged; matters directly person
and adjudged and In respect to the
(b) those that might actually litigated personal, political, or
have been adjudged legal condition or Condition, status or
Claim Preclusion Issue Preclusion status of a particular relationship of the
[1 Riano 683-684, 2011 Ed.] person or his person
relationship to
The rule of res judicata applies to final another.
decisions of quasi-judicial agencies and to [1 Riano 542, 2011 Ed.]
judgments rendered in probate proceedings [1
Regalado 534, 2010 Ed.] Res judicata in judgments in personam
In other cases, the judgment or final order is,
BAR BY FORMER JUDGMENT with respect to the matter directly adjudged or
The judgment or decree of a court of competent as to any other matter that could have been
jurisdiction on the merits concludes the parties missed in relation thereto, conclusive
and their privies to the litigation and constitutes between
a bar to a new action or suit involving the same a. The parties and
cause of action either before the same or any b. Their successors in interest, by title
other tribunal. [Machoca v. Cariaga, G.R. No. subsequent to the commencement of the
75109-10 (1989)] action or special proceeding, litigating for
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the same thing and under the same title [1 Regalado cases as a the same
and in the same capacity 530, 2010 precedent. court and by
[Sec. 47(b), Rule 39] Ed., citing all courts of
Yusingco The ruling lower rank in
CONCLUSIVENESS OF JUDGMENT v.Ong Hing adhered to in subsequent
Any right, fact or matter in issue directly Lian, G.R. the particular cases where
adjudicated or necessarily involved in the No. L-26523 case need the same
determination of an action before a competent (1971); not be legal issue is
court in which a judgment or decree is rendered Vergara v. followed as a raised.
on the merits is conclusively settled by the Roque, G.R. precedent in [CDCP
judgment therein and cannot again be No. L-32984 subsequent Mining Corp.
litigated between the parties and their privies (1977)] litigation v. CIR, G.R.
whether or not the claim or demand, purpose between No. 122213
or subject matter of the two suits is the same. other (2005)]
[Machoca v. Cariaga, G.R. No. 75109-10 parties. [1
(1989)] Riano 544,
2011 Ed]
Requisites
a. A final judgment or order 12. Enforcement and Effect of
b. Jurisdiction over the subject matter and the Foreign Judgments or Final Orders
parties by the court rendering it
c. Judgment upon merits A valid judgment rendered by a foreign
d. Between the two cases, there is identity of: tribunal may be recognized insofar as the
1. Parties, and immediate parties the underlying cause of
2. Issues. action are concerned so long as it is
[1 Regalado 529-531, 2010 Ed.] convincingly shown that:
a. There has been an opportunity for a fair
Res judicata, law of the case, and stare hearing before a court of competent
decisis jurisdiction,
a. Stare decisis - When the SC has laid down b. Trial upon registered proceedings has
a principle of law applicable to a certain been conducted, and
state of facts, it will adhere to that principle c. There is nothing to indicate either a
and apply it to all future cases where the prejudice in court and in the system of laws
facts are substantially the same. [1 Riano under which it is sitting or fraud in procuring
533, 2011 Ed.] the judgment.
b. Law of the case - Whatever is once [Philippine Aluminum v. Fasgi Enterprises,
irrevocably established as the controlling G.R. No. 137378 (2000)]
legal rule or decision between the same
parties in the case continues to be the law Purpose
of the case whether correct on general a. To avoid repetitive litigation on claims and
principles or not, so long as the facts on issues,
which such decision was predicated b. Prevent harassment of the parties, and
continue to be the facts of the case before c. Avoid undue imposition on the courts.
the court. [1 Riano 544, 2011 Ed.] [1 Regalado 536, 2010 Ed.]
Res Law of the Stare Basis
judicata case decisis This policy of preclusion rests on principles of
The parties Operates Once a point comity, utility and convenience of nations. [1
and the only in the of law has Regalado 536, 2010 Ed., see also Raytheon
causes of particular been International, Inc. v. Rouzie, Jr., G.R. No.
action in and single established 162894 (2008)]
both actions case where by the court,
are identical the ruling that point of As a generally accepted principle of
or arises and is law will, international law, it is part of the law of the
substantially not carried generally, be Philippines by virtue of the Incorporation
the same. into other followed by Clause. [Sec. 2, Art. II, 1987 Constitution, 1
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CIVIL PROCEDURE REMEDIAL LAW AND ETHICS
Regalado 536, 2010 Ed. citing Raytheon v. IV. PROVISIONAL
Rouzie, G.R. No. 162894 (2008)]
REMEDIES
Nature
The civil action for enforcement of a foreign A. Nature, Purpose, and
judgment is one incapable of pecuniary
estimation. Jurisdiction Over Provisional
● Although the foreign judgment may result Remedies
in recovery of money or property, the
cause of action and subject matter of Nature of provisional remedies
the civil action is the foreign judgment They are temporary, auxiliary, and ancillary
itself (and not, as in an ordinary action for remedies available to a litigant for the
monetary relief, the violation of a right protection and preservation of his rights while
through an act or omission). The matter left the main action is pending. They depend on
for proof is the foreign judgment itself, not the existence of a principal action. [1
the facts from which it prescinds. [1 Regalado 684, 2010 Ed.]
Regalado 536, 2010 Ed.]
Orders granting or denying provisional
Effect of foreign judgments [Sec. 48, Rule remedies are merely interlocutory and cannot
39] be the subject of an appeal. They may however
Nature Effect be challenged before a superior court through
In judgments Judgment is a petition for certiorari under Rule 65. [Pahila-
against a specific conclusive upon the Garrido v. Tortogo, et. al., G.R. No. 156358
thing (in rem) title to the thing (2002)]
Judgment is
presumptive Purpose of provisional remedies
In judgments evidence of a right as 1. To preserve or protect litigants’ rights or
against a person (in between parties and interests during the pendency of the
personam) their successors-in- principal action;
interest by a 2. To secure the judgment;
subsequent title 3. To preserve the status quo of the the things
subject to the action or the relation
In both cases, judgment may be repelled by between the parties; and
evidence of 4. To preserve the subject matter of the
a. Want of jurisdiction, action. [2 Riano 2, 2016 Bantam Ed.]
b. Want of notice,
c. Collusion, Kinds of provisional remedies
d. Fraud, or 1. Preliminary attachment [Rule 57]
e. Clear mistake of law or fact. [Sec. 48, Rule 2. Preliminary injunction [Rule 58]
39] 3. Receivership [Rule 59]
4. Replevin [Rule 60]
A foreign judgment is presumed to be valid 5. Support pendente lite [Rule 61]
and binding in the country from which it
comes, until a contrary showing, on the basis Note: The enumeration above is not exclusive.
of a presumption of regularity of proceedings The court may invoke its equity jurisdiction and
and the giving of due notice in the foreign order the appropriate reliefs during the
forum. [Asiavest Merchant Bankers v CA, G.R. pendency of an action. [Reyes v. Lim, G.R. No.
No 110263 (2001)] 134241 (2003)]

Before our courts can give the effect of res Jurisdiction Over Provisional Remedies
judicata to a foreign judgment, it must be The court which grants or issues a provisional
shown that the parties opposed to the remedy is the court which has jurisdiction
judgment had been given ample opportunity to over the main action. [1 Regalado 685, 2010
do so on grounds under Section 48 of Rule 39 Ed.]
of the ROC. [Roehr v. Rodriguez, G.R. No.
142480 (2003)]
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The authority to grant provisional remedies is Who may apply
not the sole prerogative of superior courts. It may be applied for by
Inferior courts may also grant all appropriate a. The plaintiff, or
provisional remedies in an action pending with b. Any proper party. [Sec. 1, Rule 57]
it and is within its jurisdiction. In fact, the ● Any proper party includes a defendant
jurisdiction of the MTC includes the “grant of who filed a counterclaim, cross-claim,
provisional remedies in the proper cases.” or a third party complaint [Sec. 1, Rule
[Sec. 33 (1), B.P. 129] 3]

B. Preliminary Attachment Grant of Preliminary Attachment is

Discretionary
Definition The grant of the remedy of preliminary
Attachment is defined as a provisional remedy attachment is addressed to judicial
by which the property of an adverse party is discretion. [2 Riano 13, 2016 Bantam Ed.]
taken into legal custody, either at the
commencement of an action or at any time Strict Construction
thereafter, as a security for the satisfaction of It may only be granted when necessary and as
any judgment that can be recovered by the a last resort on concrete and specific grounds.
plaintiff or any proper party. [Northern Islands [2 Riano 14, 2016 Bantam Ed.]
v. Garcia, GR No. 203240 (2015)]
Grounds for Issuance [Sec. 1, Rule 57]
Purposes a. For the recovery of a specified amount of
1. To seize the property of the debtor in money or damages, other than moral and
advance of final judgment and to hold it for exemplary, on a cause of action arising
purposes of satisfying said judgment, as in from law, contract, quasi-contract, delict or
the grounds stated in Sec. 1(a) to (e), Rule quasi-delict against a party who is about
57, or to depart from the Philippines with
2. To acquire jurisdiction over the action intent to defraud his creditors.
by actual or constructive seizure of the ● It is not sufficient to show that the party
property in those instances where personal against whom the writ is sought to be
or substituted service of summons on the issued is about to depart from the
defendant cannot be effected, as in Sec. country. It must be shown that such
1(f), Rule 57 [PCIB v. Alejandro, G.R. No. departure was with “intent to defraud
175587 (2007)] his creditors”. [2 Riano 20, 2016
Bantam Ed.]
Note: Being a mere ancillary to a principal
proceeding, the attachment must fail if the b. For money or property embezzled or
principal suit itself cannot be maintained. fraudulently misapplied or converted to
Another consequence is that where the main his own use by a public officer, or an
action is appealed, the attachment is also officer of a corporation, or an attorney,
considered appealed and is removed from the factor, broker, agent, or clerk, in the course
jurisdiction of the lower court. [2 Riano 12, 2016 of his employment as such, or by any
Bantam Ed.] other person in a fiduciary capacity, or
for a willful violation of duty.
1. Grounds for Issuance of Writ of ● A fiduciary duty is one “founded in trust
and confidence”. [2 Riano 21, 2016
Attachment Bantam Ed.]
When Preliminary Attachment may be c. To recover the possession of property
Applied For unjustly or fraudulently taken, detained
An order for preliminary attachment may be or converted, when the property, or any
applied for part thereof, has been concealed,
a. At the commencement of the action, or removed, or disposed of to prevent its
b. At any time before entry of judgment. being found or taken by the applicant or an
[Sec. 1, Rule 57] authorized person.

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d. Against a party who has been guilty of 2. Applicant must post a bond executed to
fraud in contracting the debt or incurring the adverse party in the amount fixed by
the obligation upon which the action is the court in its order granting the issuance
brought, or in the performance thereof. of the writ. [Secs. 3-4, Rule 57]

e. Against a party who has removed or 3. Issuance and Contents of Order of

disposed of his property, or is about to Attachment; Affidavit and Bond
do so, with intent to defraud his creditors.
Contents of the order of attachment
f. Against a party who does not reside and It must:
is not found in the Philippines, or on 1. Require the sheriff of the court to attach
whom summons may be served by so much of the property in the Philippines
publication. of the party against whom it is issued, not
exempt from execution, as may be
Note: The aforementioned grounds are sufficient to satisfy the applicant’s demand
exclusive in nature. No other ground can 2. Fix the amount of deposit or bond, which
serve as the basis of a preliminary attachment. may be the
[PCIB v. Alejandro, G.R. No. 175587 (2007)] a. Amount sufficient to satisfy the
applicant’s demand or
Three stages in the grant of preliminary b. Value of the property to be attached as
attachment stated by the applicant, exclusive of
a. Court issues the order granting the costs. [Sec. 2, Rule 57]
application,
b. Writ of attachment issues pursuant to the First requisite of an order of attachment -
order granting the writ, and Affidavit
c. The writ is implemented. [1 Regalado 692, An order of attachment shall be granted only
2010 Ed.] when the affidavit of the applicant, or of some
● In this stage, the court must have other person who personally knows the facts,
already acquired jurisdiction over the alleges that:
person of the defendant because the 1. A sufficient cause of action exists,
court has no power over the property of 2. The case is one of those mentioned in Rule
the defendant without such jurisdiction. 57, Sec. 1
Hence, the rule on 3. There is no other sufficient security for the
prior/contemporaneous service of claim sought to be enforced by the action,
summons (to be discussed below). [2 and
Riano 33, 2016 Bantam Ed.] ● Therefore, if a mortgage exists to
secure the obligation, a writ of
2. Requisites for Issuance of Order of preliminary attachment cannot be
Preliminary Attachment granted. [2 Riano 30, 2016 Bantam
Ed.]
In order for the court to issue an order of 4. the amount due to the applicant, or the
preliminary attachment, the applicant must file value of the property the possession of
a motion with notice and hearing by the court which he is entitled to recover, is as much
in which the action is pending. as the sum for which the order is granted
above all legal counterclaims. [Sec. 3, Rule
However, the court may nonetheless issue an 57]
order of attachment ex parte. [Sec. 2, Rule 57]
Second requisite of an order of attachment
Requisites - Bond
Regardless of whether the order was granted The party applying for the order of attachment
through motion or ex parte, the following are must likewise give a bond executed to the
the requisites for the issuance of an order of adverse party. The amount of such bond is the
preliminary attachment, to wit: amount fixed by the court in the order of
1. The applicant, or some other who attachment. [Sec. 4, Rule 57]
personally knows the facts, must file an
affidavit.
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Conditions of applicant’s bond ● The sheriff is precluded from attaching
The party applying for the order will pay all the any property exempt from execution,
costs which may be adjudged to the adverse such as those enumerated in Sec. 13,
party and all damages which he may sustain Rule 39. [2 Riano 35, 2016 Bantam Ed.]
by reason of the attachment, if the court shall
finally adjudge that the applicant was not Exception: The sheriff shall not enforce the
entitled thereto. [Sec. 4, Rule 57] writ if the adverse party makes a deposit with
the court from which the writ is issued, or gives
Note: The bond shall only be applied to all a counter-bond executed to the applicant, in
damages and costs sustained due to the an amount equal to the bond fixed by the court
attachment. [Excellent Quality Apparel v. in the order of attachment or to the value of the
Visayan Surety & Insurance Corp., G.R. No. property to be attached, exclusive of costs.
21205 (2015)] [Sec. 5, Rule 57]

4. Rule on Prior or Contemporaneous Sheriff’s return

Service of Summons After enforcing the writ, the sheriff must without
delay, make a return to the court issuing the
General Rule: The sheriff is not allowed to writ, with:
make a levy on attachment if such levy is not 1. A full statement of his proceedings,
made with prior or contemporaneous 2. A complete inventory of the property
service of the following: attached, and
1. Service of summons 3. Any counter-bond given by the party
2. Copy of the complaint against whom attachment is issued. [Sec.
3. Application for attachment 6, Rule 57]
4. Applicant’s affidavit and bond, and
5. Order for writ of attachment. [Sec. 5, Rule ATTACHMENT OF SPECIFIC KINDS OF
57] PROPERTY
1. Real property, or growing crops
Exceptions: Levy on attachment would be thereon, or any interest therein, standing
justified even without prior or upon the record of the registry of deeds of
contemporaneous summons under the the province in the name of the party
following circumstances: against whom attachment is issued, or not
1. Summons could not be served personally appearing at all upon such records, or
or by substituted service despite diligent belonging to the party against whom
efforts, or attachment is issued and held by any other
2. Defendant is a resident of the Philippines person, or standing on the records of the
temporarily absent therefrom, or registry of deeds in the name of any other
3. Defendant is a non-resident of the person,
Philippines, or a. By filing with the registry of deeds a
4. The action is in rem or quasi in rem. [Sec. copy of the order, together with a
5, Rule 57] description of the property attached,
and a notice that it is attached, or that
5. Manner of Attaching Real and such real property and any interest
therein held by or standing in the name
Personal Property; When Property of such other person are attached, and
Attached is Claimed by Third Person by leaving a copy of such order,
description, and notice with the
General Rule: The sheriff enforcing the writ occupant of the property, if any, or with
shall without delay and with all reasonable such other person or his agent if found
diligence attach, to await judgment and within the province
execution in the action, only so much of the 2. Where the property has been brought
property in the Philippines of the party against under the operation of either the Land
whom the writ is issued, not exempt from Registration Act or the Property
execution, as may be sufficient to satisfy the Registration Decree, the notice shall
applicant’s demand. contain a reference to the number of the
certificate of title, the volume and page in
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the registration book where the certificate heir, legatee or devisee concerned. [Sec.
is registered, and the registered owner or 7, Rule 57]
owners thereof.
a. The registrar of deeds must index 12. Note: The attachment of the interest of an
attachments filed under this section in heir, legatee, or devisee in the property
the names of the applicant, the adverse belonging to the estate of a decedent shall
party, or the person by whom the not impair the powers of the executor,
property is held or in whose name it administrator, or other personal
stands in the records. If the attachment representative of the decedent over such
is not claimed on the entire area of the property for the purposes of administration.
land covered by the certificate of title, a [Sec. 9, Rule 57]
description sufficiently accurate for the
identification of the land or interest to Attachment of property in custodia legis
be affected shall be included in the 1. A copy of the writ of attachment shall be
registration of such attachment filed with the proper court or quasi-judicial
3. Personal property capable of manual agency, and
delivery, 2. Notice of the attachment served upon the
4. By taking and safely keeping it in his custodian of such property. [Sec. 7, Rule
custody, after issuing the corresponding 57]
receipt therefor
5. Stocks or shares, or an interest in A previously attached property may also be
stocks or shares, of any corporation or subsequently attached. What will arise in this
company, event will be a priority in the liens, where the
6. By leaving with the president or first attachment shall have priority over
managing agent thereof, a copy of the subsequent attachments. [2 Riano 38, 2016
writ, and a notice stating that the stock or Bantam Ed.]
interest of the party against whom the
attachment is issued is attached in Examination of party whose property
pursuance of such writ, whose property is attached or of persons
7. Debts and credits, including bank indebted to him
deposits, financial interest, royalties, The Rules of Court empower the court to
commissions and other personal property examine under oath the party whose property
not capable of manual delivery, is attached for the purpose of giving
8. By leaving with the person owing such information respecting his property. Also, all
debts, or having in his possession or under other persons in possession of property or
his control, such credits or other personal credit belonging to the person whose property
property, or with his agent, a copy of the is attached may also be required to appear and
writ, and notice that the debts owing by him be examined under oath. [Sec. 10, Rule 57]
to the party against whom attachment is
issued, and the credits and other personal When property attached is being claimed by
property in his possession, or under his third persons (Terceria, et al.)
control, belonging to said party, are A third person who has a claim to the property
attached in pursuance of such writ attached may avail of the following remedies:
9. The interest of the party against whom 1. File terceria or third-party claim
attachment is issued in property a. By making an affidavit of his title
belonging to the estate of the decedent, thereto, or right to the possession
whether as heir, legatee, or devisee, thereof, stating the grounds of such
10. By serving the executor or administrator right or title, and
or other personal representative of the b. Serving such affidavit upon the
decedent with a copy of the writ and notice sheriff while the latter has possession
that said interest is attached. of the attached property, and a copy
11. A copy of said writ of attachment and of thereof upon the attaching party. [Sec.
said notice shall also be filed in the office 14, Rule 57]
of the clerk of the court in which said
estate is being settled and served upon the 2. File an independent action to recover
property. [Imani v. Metropolitan Bank &
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Trust Company, G.R. No.187023 (2010)]; 2. Bond for lifting of writ [Secs. 5 and 12,
or Rule 57] – This is to secure the payment of
3. File motion for intervention (available only the judgment to be recovered.
before judgment is rendered) [Sec. 1, Rule [1 Regalado 709, 2010 Ed.]
19]
a. Note: The last method was allowed in Only the defendant or party whose property is
the case of Gopiao v. Metropolitan attached may move for its lifting. If the
Bank & Trust Co. [G.R. No. 188931 attachment is proper, the discharge should be
(2014)] by counter-bond under Sec. 12. [KO Glass v.
Valenzuela, G.R. No. L-48756 (1982)]
6. Discharge of Attachment and the
Counter-bond Effect of discharge of the attachment
Upon the discharge of the attachment, the
Discharge of attachment and Counter-bond property attached shall be delivered to the
After a writ of attachment has been enforced, party making the deposit or giving the
the party whose property has been attached, or counterbond or the person appearing on his
the person appearing on his behalf, may move behalf. [2 Riano 44, 2016 Bantam Ed.]
for the discharge of the attachment wholly or in Obviously, such is also the effect when the
part on the security given. [Sec. 12, Rule 57] discharge was made through a motion alleging
the grounds in Sec. 13, Rule 57.
Ways of discharging attachment
1. Counter-bond [Sec. 12, Rule 57] Effect of dissolution of preliminary
2. Motion for discharge [Sec. 13, Rule 57] attachment on plaintiff’s attachment bond
1. Dissolution of preliminary attachment upon
Grounds for discharge security given, or a showing if its irregular
1. Debtor has posted a counter-bond or has issuance, does not operate to discharge
made the requisite cash deposit. [Sec. 12, the sureties on the attachment bond
Rule 57] [Davao Light and Power Co. v. CA, G.R.
● The mere posting of a counter-bond No. 93262 (1991)]
does not automatically discharge the ● The bond is conditioned that the
writ of attachment. It is only after due applicant will pay all the costs which
notice and hearing and after the judge may be adjudged to the adverse party
orders the discharge of the attachment and all damages which he may sustain
that the same is properly discharged. [2 by reason of the attachment, if the court
Riano 42, 2016 Bantam Ed.] shall finally adjudge that applicant was
2. Attachment was improperly or irregularly not entitled thereto. [Sec. 4, Rule 57]
issued [Sec. 13, Rule 57] ● Until a determination is made, as to
a. As where there was no ground for applicant’s entitlement to an
attachment, or attachment, his bond must stand and
b. The affidavit and/or bond filed are cannot be withdrawn. [Mindanao
defective or insufficient. Savings & Loan Association Inc v. CA,
3. Judgment is rendered against attaching G.R. No. 84481 (1989)]
creditor. [Sec. 19, Rule 57]
4. Attachment is excessive; but the discharge Claim for damages on account of improper,
shall be limited to the excess. [Sec. 13, irregular, or excessive attachment
Rule 57] 1. When to be filed
5. Property attached is exempt from a. Before trial, or
execution. b. Before appeal is perfected, or
[1 Regalado 709, 2010 Ed.] c. Before the judgment becomes
executory
Bond for issuance vs bond for lifting 2. Requirements for damages to be awarded
1. Bond for issuance of writ [Sec. 4, Rule a. Due notice to the attaching party
57] – This is for damages by reason of the and his surety or sureties,
issuance of the writ. b. Setting forth the facts showing the
right of the party to damages and
the amount thereof.
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Note: Damages may be awarded If judgment be against the attaching party
only after the proper hearing, and All the proceeds of sales and money collected
shall be included in the judgment by the sheriff under the order of attachment,
on the main case. and all property attached remaining in any such
[Sec. 20, Rule 57] sheriff’s hands, shall be delivered to the party
against whom attachment was issued. [Sec.
7. Satisfaction of Judgment Out of 19, Rule 57]
Property Attached
If proceeds from realization of all property
If judgment be in favor of the attaching attached are not enough to satisfy
party judgement
General Rule: If judgment be recovered by the If such a scenario happens, the Rules of Court
attaching party and execution issue thereon, instruct that any balance shall be collected
the sheriff may cause the judgment to be by the sheriff as upon ordinary execution.
satisfied out of the property attached, if it be Whenever the judgement shall have been paid,
sufficient for that purpose, in the following the sheriff must return to the judgement debtor
manner: any attached property remaining in his hands.
1. By paying to the judgment obligee the [Sec. 16, Rule 57]
proceeds of all sales of perishable or other
property sold in pursuance of the order of Duration of an attachment lien
the court, or so much as shall be necessary While the provisions of Rule 57 are silent on
to satisfy the judgment the length of time within which an attachment
2. If any balance remains due, by selling so lien shall continue to subsist after the rendition
much of the property, real or personal, as of a final judgment. The lien continues until:
may be necessary to satisfy the balance, if 1. The debt is paid, or
enough for that purpose remain in the 2. The sale is had under execution issued on
sheriff’s hands, or in those of the clerk of the judgment, or
the court 3. Until the judgment is satisfied, or
3. By collecting from all persons having in 4. The attachment discharged or vacated in
their possession credits belonging to the the same manner provided by law. [Lim v.
judgment obligor, or owing debts to the Sps. Lazaro, G.R. No. 185734 (2013)]
latter at the time of the attachment of such
credits or debts, the amount of such credits 8. Compared with Garnishment and
and debts as determined by the court in the Levy on Execution
action, and stated in the judgment, and
paying the proceeds of such collection over Kinds of attachment as to availability and
to the judgment obligee. effects
1. Preliminary attachment - one issued at
The sheriff shall forthwith make a return in the commencement of the action or at any
writing to the court of his proceedings under time before entry of the judgment as
this section and furnish the parties with copies security for the satisfaction of any judgment
thereof. [Sec. 15, Rule 57] that may be recovered in the cases
provided for by the rules; [Sec. 1, Rule 57]
Exception: Even before judgment is entered 2. Levy on execution - writ issued by the
in favor of the attaching party, the court court after judgment by which the property
may order such property to be sold at public of the judgment obligor is taken into
auction in such manner as the court may direct, custody of the court before the sale of the
and the proceeds of such sale to be deposited property on execution before the
in court to abide the judgment in the action satisfaction of a final judgment. [Sec. 8,
whenever it shall be made to appear to the Rule 39] [1 Regalado 691, 2010 Ed.]
court in which the action is pending, upon
hearing with notice to both parties, that the: Kinds of attachment as to form and
1. Property attached is perishable, or procedure of attachment:
2. Interests of all the parties to the action will 1. Regular form of attachment – attachment
be subserved by the sale thereof. which refers to attachment of corporeal
[Sec. 11, Rule 57]
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property in possession of the party of a writ of preliminary injunction is
involved. [1 Regalado 691, 2010 Ed.] interlocutory in nature. [Recto v. Escaler, 634
2. Garnishment - A kind of attachment in SCRA 180 (2010)]
which the plaintiff seeks to subject either
the property of the defendant in the hands Lastly, the grant or denial of a writ of
of a third person called garnishee, to his preliminary injunction is discretionary
claim or the money which said third person because the assessment and evaluation of
owes the defendant; [Virata v. Aquino, G.R. evidence involve findings of fact left to the
L-35027 (1973)]. court’s discretion. Hence, the exercise of
judicial discretion in injunctive matters must not
C. Preliminary Injunction be interfered with except when there is
manifest abuse. [2 Riano 53-54, 2016 Bantam
Ed.]
1. Definitions and Differences:
Preliminary Injunction, Temporary Temporary Restraining Order (TRO)
Restraining Order, And Status Quo An order issued to preserve the status quo
Ante Order until the hearing of the application for a writ
of preliminary injunction because the
Preliminary Injunction injunction cannot be issued ex parte. [Bacolod
Two Kinds: Water v. Labayen, 446 SCRA 110 (2004)] By
a. Preliminary Prohibitory Injunction - its nature, it could be considered as a
commands one to refrain from performing “provisional remedy within a provisional
a particular act or acts. remedy” because it is issued to preserve the
b. Preliminary Mandatory Injunction - status quo for a limited period until the court
commands the performance of some decides to issue a writ of preliminary injunction.
positive act to correct a wrong made in the [2 Riano 67, 2016 Bantam Ed.]
past. [Dela Rosa v. Heirs of Valdez, 654
SCRA 467 (2015)] Status Quo Ante Order (SQAO)
In both cases, such orders are granted at any Unlike a TRO or a preliminary injunction, a
stage of an action prior to the judgement or SQAO is more in the nature of a cease and
final order of the court. [Sec. 1, Rule 58] desist order, since it neither directs the
undoing or doing of acts as in the case of
Purpose prohibitory or mandatory injunctive relief. A
A writ of preliminary injunction is issued by the SQAO seeks to only maintain the last, actual,
court to prevent threatened or continuous peaceable, and uncontested state of things
irreparable injury to parties before their which immediately preceded the controversy.
claims can be thoroughly studied and [Oca v. Custodio, G.R. No. 174996 (2014)]
adjudicated and during the pendency of an
action. [Manila International v. Rivera, 471 2. Requisites
SCRA 358 (2005)]
Formal requisite for issuance of a writ of
Nature preliminary injunction or a TRO
A preliminary injunction is an equitable A preliminary injunction or temporary
remedy, and one who comes to claim for restraining order may be granted only
equity must do so with clean hands. It is to be a. Upon verified application, showing facts
resorted to by a litigant to prevent or preserve entitling the applicant to the relief
a right where there is a pressing necessity to demanded, and
avoid injurious consequences which cannot be b. Unless exempted by the court, the
remedied under any standard of applicant files with the court where the
compensation. [Sps. Nisce v. Equitable, G.R. action or proceeding is pending, a bond
No. 170038 (2012)] executed to the party or person enjoined, in
an amount to be fixed by the court, to the
Moreover, an injunctive writ is not a judgment effect that the applicant will pay to such
on the merits of the case. A writ of preliminary party or person all damages which he may
injunction is generally based solely on initial sustain by reason of the injunction or
and incomplete evidence. Thus, the issuance temporary restraining order if the court
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should finally decide that the applicant was b. This right in esse is directly threatened by
not entitled thereto. Upon approval of the an act sought to be enjoined
requisite bond, a writ of preliminary c. A material and substantial invasion of such
injunction shall be issued. right; and
● If the person enjoined takes exception d. An urgent and paramount necessity for the
to the sufficiency of the bond, and there writ to prevent serious damage.
is a showing that the applicant’s bond [Dulnuan v. Metrobank, G.R. No. 196864
is insufficient in amount, the injunction (2015)]
shall be dissolved. [2 Riano 65, 2016
Bantam Ed.] Right in esse
c. When an application for a writ of The applicant's right must be clear or
preliminary injunction or a temporary unmistakable, that is, that the right is actual,
restraining order is included in a complaint clear and positive especially calling for judicial
or any initiatory pleading, the case, if filed protection. An injunction will not issue to
in a multiple-sala court, shall be raffled only protect a right not in esse and which may never
after notice to and in the presence of the arise or to restrain an act which does not give
adverse party or the person to be enjoined. rise to a cause of action. [Marquez v. Sanchez,
In any event, such notice shall be G.R. No. 141849 (2007)]
preceded, or contemporaneously
accompanied by service of summons, Irreparable injury
together with a copy of the complaint or Does not have reference to the amount of
initiatory pleading and the applicant’s damages that may be caused but rather to the
affidavit and bond, upon the adverse party difficulty of measuring the damages
in the Philippines. However, where the inflicted. This includes:
summons could not be served personally a. That degree of wrong of a repeated and
or by substituted service despite diligent continuing kind which produces hurt,
efforts, or the adverse party is a resident of inconvenience, or damage that can be
the Philippines temporarily absent estimated only by conjecture, and not by
therefrom or is a nonresident thereof, the any accurate standard of measurement.
requirement of prior or contem-poraneous b. Damage where there is no standard by
service of summons shall not apply. which their amount can be measured with
d. The application for a temporary reasonable accuracy
restraining order shall thereafter be acted c. A serious charge of, or is destructive to, the
upon only after all parties are heard in a property it affects, either physically or in the
summary hearing which shall be character in which it has been held and
conducted within twenty-four (24) hours enjoined, or when the property has some
after the sheriff’s return of service and/or peculiar quality or use, so that its pecuniary
the records are received by the branch value will not fairly recompense the owner
selected by raffle and to which the records of the loss thereof.
shall be transmitted immediately. [Sec. 4, If full compensation can be obtained, by way of
Rule 58] damages, equity will not favor the remedy of
e. As to a writ of preliminary injunction, the injunction. [Social Security Commission v.
court must conduct a hearing. A writ of Bayona, G.R. No. L-13555 (1962)]
preliminary injunction cannot be issued
without a prior notice and hearing. [Sec. 5, 3. Kinds of Injunctions; Kinds of
Rule 58] Temporary Restraining Orders
● Note: On the other hand, a TRO can be
issued ex parte pursuant to Sec. 5, Kinds of Preliminary injunctions
Rule 58. [2 Riano 65, 2016 Bantam
a. Preliminary injunction – an order granted
Ed.]
at any stage of an action or proceeding
prior to the judgment or final order,
The applicant must establish:
requiring a party or a court, agency or a
a. The existence of a clear and unmistakable
person to refrain from a particular act or
right that must be protected; that is, right in
acts.
esse

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b. Preliminary mandatory injunction – Note: Being preliminary, an order granting a
requires the performance of a particular act preliminary injunction need not clearly and
or acts [Sec. 1, Rule 58] distinctly state the findings of fact and
conclusions of law on which it is based. [UCPB
A preliminary mandatory injunction may also v. United Alloy Phils. Corp., G.R. No. 152238
issue in cases where the relative (2005)]
inconvenience bears strongly in the requesting
party’s favor, and where the effect of the When not allowed
mandatory injunction is to re-establish and a. Under RA 8975 (An Act to Ensure the
maintain a pre-existing continuing relation Expeditious Implementation and
between the parties, which was recently and Completion of Government Infrastructure
arbitrarily interrupted by another party, rather Projects);
than to establish a new relationship between
and among the parties. [WT Construction, Inc. Rationale: Injunctions and restraining
v. DPWH, G.R. No. 163352 (2007)] orders tend to derail the implementation
and completion of government
Kinds of Temporary Restraining Orders infrastructure projects. [2 Riano 72-73,
1. 20-day TRO 2016 Bantam Ed.]
If it appears from the facts that great or
irreparable injury would result to the applicant b. Under the Rule of Procedure in
before the matter can be heard, the court in Environmental Cases, no court can issue
which the application for preliminary injunction a TRO or a preliminary injunction against
was made may issue ex parte for a period not lawful actions of government agencies that
exceeding 20 days from service to the party enforce environmental laws. [Sec. 10, Rule
sought to be enjoined. [2 Riano 67, 2016 2, Part II, AM No. 09-6-8-SC]
Bantam Ed.] c. No TRO or injunction in any case
involving or growing out of a labor
2. 72-hour TRO dispute shall be issued by any court
If the matter is of extreme urgency and the except as otherwise provided in Arts. 218
applicant will suffer grave injustice and and 264 of the Labor Code. It is the NLRC
irreparable injury, the executive judge of a which may grant injunctive relief. [Ravago
multi-sala court or the presiding judge of a v. Esso, 453 SCRA 381 (2005)]
single-sala court may issue ex parte a TRO d. No court shall have the authority to grant
effective for only 72 hours from issuance, not injunction to restrain the collection of any
from service (the latter being the reckoning national internal revenue tax except
point for the 20-day TRO). when special circumstances warrant.
[Sarasola v. Trinidad, 40 Phil. 252 (1919)]
Within this period, a summary hearing to e. An injunction cannot be issued against
determine whether to extend the TRO to 20 consummated acts. The established
days must be conducted. The 72-hour period principle is that when the events sought to
shall be included in the maximum 20-day be prevented have already happened,
period set by the Rules. [2 Riano 68, 2016 nothing more could be enjoined. [Ramos
Bantam Ed.] Sr. v. CA, 173 SCRA 550 (1989)]

4. When Writ May Be Issued, When 5. Grounds for Issuance of

Writ May Not Be Issued Preliminary Injunction

When: At any stage of an action or proceeding A preliminary injunction may be granted when
prior to the judgment or final order. [Sec. 1, it is established that:
Rule 58] a. The applicant is entitled to the relief
demanded, and the whole or part of such
By whom: By the court where the action or relief consists in restraining the
proceeding is pending. If the action or commission or continuance of the act or
proceeding is pending in the CA or in the SC, it acts complained of, or in requiring the
may be issued by said court or any member performance of an act or acts, either for a
thereof. [Sec. 2, Rule 58] limited period or perpetually
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b. The commission, continuance or non- 7. Duration of Temporary Restraining
performance of the act or acts complained Orders
of during the litigation would probably work
injustice to the applicant, or Rule on non-extendibility
c. A party, court, agency or a person is doing, In the event that the application for
threatening, or is attempting to do, or is preliminary injunction is denied or not
procuring or suffering to be done, some act resolved within the said period, the TRO is
or acts probably in violation of the rights of deemed automatically vacated.
the applicant respecting the subject of the
action or proceeding, and tending to render The effectivity of a TRO is not extendible
the judgment ineffectual. [Sec. 3, Rule 58] without need of any judicial declaration to that
effect, and no court shall have authority to
6. Grounds for Objection To, or for extend or renew the same on the same ground
the Dissolution of Injunction or for which it was issued. [Sec. 5, Rule 58]
Restraining Order
Duration differs as per court issuing the
a. Upon a showing of its insufficiency TRO
● An application for injunction may be a. If issued by the RTC - The rule against
considered insufficient if it is not non-extendibility of the 20-day
verified and supported by any of the effectiveness of a TRO is absolute. [2
grounds for its issuance under Sec. 3 Riano 68, 2016 Bantam Ed.]
of Rule 58 OR if it is not supported by b. If issued by the CA - A TRO may be
the required bond under Sec. 4 of Rule issued by the CA or any member thereof. If
58. [2 Riano 82, 2016 Bantam Ed.] so issued, it shall be effective for 60 days
b. Other grounds upon affidavits of the from service on the party or person sought
party or person enjoined, which may be to be enjoined. A TRO issued by the CA
opposed by the applicant also by affidavits has a non-extendible lifetime of 60 days
c. If it appears after hearing that although the and automatically expires on the 60th day
applicant is entitled to the injunction or without need of judicial declaration. [2
restraining order, the issuance or Riano 70, 2016 Bantam Ed.]
continuance thereof, as the case may c. If issued by the SC - A TRO issued by the
be, would cause irreparable damage to SC shall be effective until further orders.
the party or person enjoined while the [2 Riano 71, 2016 Bantam Ed.]
applicant can be fully compensated for
such damages as he may suffer, and the When main case to be decided
former files a bond in an amount fixed by The trial court, the CA, the Sandiganbayan, or
the court conditioned that he will pay all the CTA that issued the preliminary injunction
damages which the applicant may suffer by against a lower court, board, officer, or quasi-
the denial or the dissolution of the judicial agency shall decide the main case or
injunction or restraining order. petition within 6 months from the issuance
● If the bond of the adverse party is found of the writ. [Sec. 5, Rule 58]
to be insufficient, the injunction shall be
granted or restored. [2 Riano 65, 2016 8. Rule on Prior or Contemporaneous
Bantam Ed.] Service of Summons in Relation to
Attachment
Note: If it appears that the extent of the
preliminary injunction or restraining order General Rule: When an application for a writ
granted is too great, it may be modified. of preliminary injunction or a temporary
[Sec. 6, Rule 58] restraining order is included in a complaint or
any initiatory pleading, the case, if filed in a
multiple-sala court, shall be raffled only after
notice to and in the presence of the adverse
party or the person to be enjoined. In any
event, such notice shall be preceded, or
contemporaneously accompanied by

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service of summons, together with a copy of [Ysasi v. Fernandez, G.R. L-28593 (1968); 2
the complaint or initiatory pleading and the Riano 129, 2012 Ed.]
applicant’s affidavit and bond, upon the
adverse party in the Philippines. Unlike the other provisional remedies which
can be availed of only before final judgment,
Exceptions: The requirement of prior or receivership may be resorted to even after
contemporaneous service of summons the judgment has become final and
shall not apply: executory, under Sec. 1(c), Rule 59 in relation
a. The summons could not be served to Sec. 41, Rule 39. [1 Regalado 747, 2010
personally or by substituted service despite Ed.]
diligent efforts, or
b. The adverse party is a resident of the The receivership under Rule 59 is directed to
Philippines temporarily absent therefrom or the property which is the subject of the
is a nonresident thereof action and does not refer to the receivership
[Sec. 4, Rule 58] authorized under banking laws and other rules
or laws. Rule 59 presupposes that there is an
Grant of final injunction action and that the property subject of the
If after the trial of the action it appears that the action requires its preservation. [2 Riano 128,
applicant is entitled to have the act or acts 2012 Ed.]
complained of permanently enjoined, the court
shall grant a final injunction perpetually If an action by its nature does not require such
restraining the party or person enjoined from protection or preservation, said remedy cannot
the commission or continuance of the act or be applied for and granted. [Commodities
acts or confirming the preliminary mandatory Storage v. CA, G.R. No. 125008 (1997)]
injunction. [Sec. 9, Rule 58]
1. Cases When Receiver May Be
D. Receivership Appointed

Receiver a. When it appears from the verified

A person appointed by the court on behalf of application, and such other proof as the
all the parties to the action for the purpose of court may require, that the party applying
preserving and conserving the property in for the appointment of a receiver has an
litigation and preventing its possible interest in the property or fund which is the
destruction or dissipation if it were left in the subject of the action or proceeding, and
possession of any of the parties. [Normandy v. that such property or fund is in danger of
Duque, G.R. No. L-25407 (1969)] being lost, removed, or materially
injured unless a receiver be appointed to
A receiver is not an agent of any party to the administer and preserve it;
action. He is an officer of the court exercising b. When it appears in an action by the
his functions in the interest of neither plaintiff mortgagee for the foreclosure of a
nor defendant but for the common benefit of all mortgage that the property is in danger of
the parties in interest. [2 Riano 87-88, 2016 being wasted or dissipated or materially
Bantam Ed.] injured, and that its value is probably
insufficient to discharge the mortgage debt,
Purpose or that the parties have so stipulated in the
Receivership, like injunction, may be the contract of mortgage;
principal action itself or just an ancillary c. After judgment, to preserve the property
remedy. [1 Regalado 745, 2010 Ed.] during the pendency of an appeal, or to
dispose of it according to the judg-ment, or
The purpose of a receivership as a provisional to aid execution when the execution has
remedy is to protect and preserve the rights been returned unsatisfied or the judgment
of the parties during the pendency of the main obligor refuses to apply his property in
action, during the pendency of an appeal, or as satisfaction of the judgment, or otherwise
an aid in the execution of a judgment when the to carry the judgment into effect;
writ of execution has been returned unsatisfied. d. Whenever in other cases it appears that
the appointment of a receiver is the most
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convenient and feasible means of 2. Requisites
preserving, administering, or disposing
of the property in litigation. [Sec. 1, Rule Requisites for appointment of a receiver
59] a. Verified application filed by the party
requesting for the appointment of the
Specific cases receiver [Sec. 1, Rule 59]
a. If a spouse without just cause abandons b. The grounds stated in Sec. 1, Rule 59
the other or fails to comply with his/her enumerated in Part D.1 of this (Provisional
obligations to the family, the aggrieved Remedies) reviewer.
spouse may petition the court for c. Application must be with notice and must
receivership [Art. 101, FC] be set for hearing;
b. The court may appoint a receiver of the d. Before appointing a receiver, the court
property of the judgment obligor; and it may shall require the applicant to post a bond
also forbid a transfer or other disposition of, executed to the party against whom the
or any interference with, the property of the application is presented, in an amount to
judgment obligor not exempt from be fixed by the court. [Sec. 2, Rule 59]
execution [Sec. 41, Rule 39] e. Before entering upon his duties, the
c. After the trial court loses jurisdiction over receiver must be sworn to perform his
the case (in appeals by notice of appeal) or duties faithfully and shall file a bond,
only over the subject matter (in appeals by executed to such person and in such sum
record on appeal), and prior to the as the court may direct [Sec. 4, Rule 59]
transmittal of the original record or the
record on appeal, the court may issue 3. Requirements Before Issuance of
orders for the protection and preservation an Order
of the rights of the parties [Sec. 9, Rule 41],
including necessarily the authority to Oath and bond of receiver
appoint a receiver who has the power to Before entering his duties, the receiver shall
take and keep possession of the property be sworn to perform them faithfully, and
in controversy [Acuña v. Calauag, G.R. No. shall file a bond, executed to such person and
L-10736 (1957)] in such sum as the court may direct, to the
d. After final judgment, a receiver may be effect that he will faithfully discharge his duties.
appointed as an aid to the execution of
judgment [Philippine Trust Company v.
Santamaria, G.R. 31951 (1929)]
4. General Powers of a Receiver
e. Appointment of a receiver over the property
in custodia legis may be allowed when it is Powers of a receiver
justified by special circumstances, as when Subject to the control of the court in which the
it is reasonably necessary to secure and action or proceeding is pending, a receiver
protect the rights of the real owner [Dolar v. shall have the power to
Sundiam, G.R. No. 27361 (1971)] a. Bring and defend, in such capacity, actions
in his own name
Who appoints a receiver b. Take and keep possession of the property
a. Court where the action is pending in controversy
b. CA c. Receive rents
c. SC d. Collect debts due to himself as receiver or
d. During the pendency of an appeal, the to the fund, property, estate, person, or
appellate court may allow an application for corporation of which he is the receiver
the appointment of a receiver to be filed in e. Compound for and compromise the same
and decided by the court of origin f. Make transfers
[Sec. 1, Rule 59] g. Pay outstanding debts
h. Divide the money and other property that
shall remain among the persons legally
entitled to receive the same
i. Generally to do such acts respecting the
property as the court may authorize

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j. Invest funds in his hands, only by order of 4. To the effect that he will faithfully
the court upon the written consent of all the discharge his duties in the action or
parties proceeding and obey the orders of the
[Sec. 6, Rule 59] court. [Sec. 4, Rule 59]

Liability for refusal or neglect to deliver Counterbond on opposition for

property to receiver appointment of a receiver
a. May be punished for contempt, and The party against whom the application for
b. Shall be liable to the receiver for the money appointment of a receiver may oppose the
or the value of the property and other things application or ask for the discharge of a
so refused or neglected to be surrendered, receiver already appointed. To make a
together with all damages that may have successful opposition, such party should file a
been sustained by the party or parties bond:
entitled thereto as a consequence of such a. Executed to the applicant,
refusal or neglect b. In an amount to be fixed by the court,
[Sec. 7, Rule 59] c. To the effect that such party will pay the
applicant all damages he may suffer by
Remedies against the receiver reason of acts, omissions, or other matters
An aggrieved party may: specified in the application as ground for
a. Take the matter to the court which such appointment. [Sec. 3, Rule 59]
appointed the receiver and ask either for an
accounting or take some other proceeding, 6. Termination of Receivership
and ask for consequent judgment on the
acts complained of; or Ground
b. Ask for leave of court to bring him an action The necessity for a receiver no longer exists.
directly [Sec. 8, Rule 59]

Note: Any action filed against a receiver Procedure

without the required judicial authority may a. The court shall determine that the
be dismissed through the allegation of necessity for a receiver no longer exists
failure to comply with a condition precedent i. Motu proprio or
as an affirmative defense to the action. [2 ii. On motion of either party
Riano 92, 2016 Bantam Ed.] b. Due notice should be given to all interested
parties
[De la Riva v. Molina Salvador, G.R. L-10106 c. Hearing shall be conducted
(1915)] d. After due notice and hearing, the court
shall
5. Two Kinds of Bonds i. Settle the accounts of the receiver
ii. Direct the delivery of the funds and
a. Applicant’s bond other property in his possession to the
1. Executed to the party against whom person adjudged to be entitled to
the application is presented receive them, and
2. In an amount to be fixed by the court iii. Order the discharge of the receiver
3. To the effect that the applicant will pay from further duty as such
such party all damages he may sustain iv. Allow the receiver such reasonable
by reason of the appointment in case compensation as the circumstances of
the applicant shall have procured such the case warrant, to be taxed as costs
without sufficient cause the court may, against the defeated party, or
in its discretion, at any time after the apportioned, as justice requires.
appointment, require an additional [Sec. 8, Rule 59]
bond as further security for such
damages. [Sec. 2, Rule 59] E. Replevin
b. Receiver’s bond
1. Before entering upon his duties Replevin is the provisional remedy seeking for
2. Executed to such person and the possession of the property prior to the
3. In such sum as the court may direct determination of the main action for
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replevin. [BA Finance Corp. v. CA, G.R. No. answers [Sec. 1, judgment [Sec. 1, Rule
102998 (1996)] Rule 60] 57]
Bond is double
Replevin may also be a main action with the the value of the Bond is fixed by the
ultimate goal of recovering personal property property [Sec. court [Sec. 4, Rule 57]
capable of manual delivery wrongfully detained 2(d), Rule 60]
by a person. In this sense, it is a suit in itself.
[BA Finance Corp. v. CA, G.R. No. 102998 1. When May Writ Be Issued
(1996)]
A party praying for the recovery of possession
Preliminary of personal property may, at the
Replevin
attachment commencement of the action or at any time
The purpose is to The purpose is to have before answer, apply for an order for the
recover personal the property put in the delivery of such property to him. [Sec. 1, Rule
property capable custody of the court to 60]
of manual secure the satisfaction
delivery from the of the judgment that Scope of Title of Applicant
defendant [1 may be rendered in An applicant need not be the holder of legal
Regalado 753, favor of the plaintiff title to the property in question. It is in the
2010 Ed.] [Sec. 1, Rule 57] nature of a possessory action. It is sufficient
The property that at the time he applied for a writ of replevin
either belongs to he is found to be entitled to a possession
The property does not
the plaintiff or one thereof. [Chiao Liong v. CA, G.R. No. 106251
belong to the plaintiff
over which the (1993)]
but to the defendant [1
plaintiff has a
Regalado 753, 2010
right of General Rule: Primarily, the action of replevin
Ed.]
possession [Sec. determines nothing more than the right of
2, Rule 60] possession.
May be sought
only when the Available even if Exception: When the title to the property is
principal action is recovery of property is distinctly put in issue by the defendant's plea,
for the recovery only incidental to the the question of ownership may be resolved in
of personal relief sought [1 the same proceeding. [Chiao Liong v. CA, G.R.
property [1 Regalado 753, 2010 No. 106251 (1993)]
Regalado 753, Ed.]
2010 Ed.] Where replevin writ was improperly
Can be sought implemented
only when the The proper remedy to an improperly
defendant is in May be resorted to even implemented writ of replevin is to file a motion
actual or if property is in to quash. [Siy v. Tomlin, G.R. No. 205998
constructive possession of a third (2017)]
possession of the person [1 Regalado But failure of a party to file a motion to quash
property [1 753, 2010 Ed.] does not prevent a party from assailing the
Regalado 753, improper service via a petition for certiorari.
2010 Ed.] The trial court is deemed to have acted without
Cannot be or in excess of its jurisdiction if improperly
availed of when served. It must restore the parties to their
property is in former positions by returning the seized
Can be availed of when property and by discharging the replevin bond.
custodia legis
property is in custodia [Rivera v. Vargas, G.R. No. 165895 (2009)]
[Montesa v.
legis [Sec. 7, Rule 57]
Manila Cordage.
G.R. L-44537 2. Requisites
(1978)]
Available from a. The applicant must show by his own
Available before
commencement but affidavit or that of some other person who
defendant
before entry of personally knows the facts the items stated
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in Part F.3 (Affidavit and bond; redelivery delivery of the property to the applicant, require
bond) the return thereof. [Sec. 5, Rule 60]
b. The applicant must also give a bond,
called a replevin bond. How return of property may be required;
[Sec. 2, Rule 60] Redelivery bond
File a bond with the court where the action is
Upon the filing of such affidavit and approval of pending. Such shall be:
the bond, the court shall issue an order and the a. Executed to the applicant,
corresponding writ of replevin describing the b. In double the value of the property as
personal property alleged to be wrongfully stated in the applicant’s affidavit
detained and requiring the sheriff forthwith to c. Conditions
take such property into his custody [Sec. 3, 1. The delivery thereof to the applicant, if
Rule 60] such delivery be adjudged, and
2. The payment of such sum to him as
3. Affidavit and Bond; Redelivery may be recovered against the adverse
Bond party, and by serving a copy of such
bond on the applicant.
Contents of the affidavit: [Sec. 5, Rule 60]
The affidavit shall show
a. That the applicant is the owner of the 4. Sheriff’s Duty in The
property claimed, particularly describing it, Implementation of The Writ; When
or is entitled to the possession thereof; Property Is Claimed by Third Party
b. That the property is wrongfully detained
by the adverse party, alleging the cause of a. Sheriff’s Duty in Implementation
detention thereof according to the best of
his knowledge, information, and belief; 1. Upon receiving the order, the sheriff must
c. That the property has not been distrained a. Serve a copy thereof on the adverse
or taken for a tax assessment or a fine party, together with a copy of the
pursuant to law, or seized under a writ of application, affidavit and bond, and
execution or preliminary attachment, or b. Forthwith take the property, if it be in
otherwise placed under custodia legis, or the possession of the adverse party, or
if so seized, that it is exempt from such his agent, and retain it in his custody.
seizure or custody; and 2. If the property or any part thereof be
d. The actual market value of the property. concealed in a building or enclosure, the
[Sec. 2, Rule 60] sheriff must
a. Demand its delivery, and
Applicant’s bond (Replevin Bond) b. If it be not delivered, he must cause the
a. Executed to the adverse party building or enclosure to be broken
b. Double the value of the property as stated open and take the property into his
in the affidavit possession.
c. Conditions: 3. After the sheriff has taken possession of
1. The return to of property to adverse the property, he must
party if such return be adjudged, and a. Keep it in a secure place and
2. The payment to adverse party of such b. Shall be responsible for its delivery to
sum as he may recover from the the party entitled thereto upon
applicant in the action. receiving his fees and necessary
[Sec. 2, Rule 60] expenses for taking and keeping the
same.
Return of property [Sec. 4, Rule 60]
If the adverse party objects to the sufficiency
of the Delivery of the property
a. Applicant’s bond, or The property shall be delivered to the
b. Surety or sureties thereon, applicant,
he cannot immediately require the return of the
property, but he may, at any time before the

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1. If within 5 days after the taking of the b. Its value in case delivery cannot be made,
property by the sheriff, the adverse party and
does not object to the sufficiency of c. For such damages as either party may
a. the bond, or prove, with costs.
b. of the surety or sureties thereon; or [Sec 9, Rule 60]
2. If the adverse party so objects and the
court affirms its approval of the applicant’s Recovering damages on an applicant’s
bond or approves a new bond, or bond
3. If the adverse party requires the return of Requirements
the property but his bond (redelivery bond) a. The defendant- claimant has secured a
is objected to and found insufficient and he favorable judgment the main action,
does not forthwith file an approved bond, meaning that the plaintiff has no cause of
action and was not entitled to the
If for any reason the property is not delivered replevin;
to the applicant, the sheriff must return it to the b. The application for damages, showing
adverse party. [Sec. 6, Rule 60] claimant’s right thereto and the amount
thereof, be filed in the same action before
b. When Property Claimed by Third trial or before appeal is perfected or before
Party the judgment becomes executory;
c. Due notice be given to the other party and
If the property taken is claimed by any person his surety or sureties, notice to the principal
other than the party against whom the writ of not being sufficient;
replevin had been issued or his agent, the d. A proper hearing and the award for
sheriff shall not be bound to keep the damages should be included in the final
property under replevin or deliver it to the judgment.
applicant if: [DBP v. Carpio, G.R. No. 195450 (2017)]
1. The third party makes an affidavit of his
title or right to the possession Note: DBP v. Carpio states that the same
2. Stating the grounds therefor, and requirements apply when recovering
3. Serves such affidavit upon the sheriff while damages under other provisional remedies,
he has possession of the property and a as provided in Sec. 20, Rule 57; Sec. 8, Rule
copy thereof upon the applicant. 58 and Sec. 9, Rule 59.

Unless the applicant or his agent, on demand Even where the judgment is that the defendant
of said sheriff, shall file a bond approved by is entitled to the property, but no order was
the court to indemnify the third-party claimant made requiring the plaintiff to return it or
in a sum not less than the value of the property assessing damages in default of return, there
under replevin as provided in Sec. 2, Rule 60. could be no liability on the part of the sureties
● No claim for damages for taking or keeping until judgment was entered that the property
the property may be enforced against the should be restored. [Sapugay et. al. v. CA, G.R.
bond unless the action therefor is filed No. 86792 (1990)]
within 120 days from the date of the filing
of the bond.

Note: In case of disagreement as to such value,

the court shall determine the same.
[Sec. 7, Rule 60]

Judgment
After trial of the issues, the court shall
determine who has the right of possession to
and the value of the property and shall render
judgment for the delivery of:
a. The property itself to the party entitled to
the same, or

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ACTIONS
REMEDIAL LAW

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I. SPECIAL CIVIL ACTIONS It may be filed Some special civil
initially either in the actions can only be filed
A. Nature of Special Civil MTC or the RTC. in the MTC (e.g. forcible
entry and unlawful
Actions detainer) while there
are some which can
A special civil action is governed by the rules NOT be commenced in
for ordinary civil actions, subject to the special the MTC (e.g. certiorari)
rules prescribed for a special civil action [Sec. [1 Regalado 771, 2010
3 (a), Rule 1]. Ed.].

B. Distinguish: Ordinary Civil C. Jurisdiction and Venue

Actions and Special Civil
Actions Jurisdiction over special civil actions is
determined by the Constitution (e.g. Sec. 5,
Art. VIII, for the Supreme Court) and statutes
Ordinary civil
Special civil action (e.g. B.P. 129).
action
A party sues another A party also files the Venue is a procedural matter and generally set
for the enforcement action for the by the Rules of Court. Hence, the venue of civil
or protection of a enforcement or actions is determined by the general rules on
right or prevention or protection of a right or venue, unless otherwise subject to special
redress of a wrong prevention or redress of rules for special civil actions (e.g. quo
[Sec. 3 (a), Rule 1]. a wrong [1 Riano 495, warranto) [1 Regalado 771, 2010 Ed.].
2007 Ed.].
Governed by the Also governed by
D. Interpleader
ordinary rules [Sec. ordinary rules but
3, Rule 1]. subject to specific rules Definition
prescribed [Sec. 3, Rule An interpleader is a special civil action filed by
1]. a person against whom two conflicting claims
are made upon the same subject matter and
Must be based on a Some special civil over which he claims no interest whatsoever,
cause of action actions do not have to or if he has an interest, it is one which, in whole
which means that be based on a cause of or in part, is not disputed by the claimants [Sec.
there must have action (e.g. 1, Rule 62].
been a violation of interpleader) [1
plaintiff’s rights [Sec. Regalado 771, 2010 Purpose of the Remedy
1, Rule 2]. Ed.]. a. To compel the conflicting claimants to
interplead and litigate their several claims
Venue is determined Venue is generally among themselves [Sec. 1, Rule 62].
by either the governed by the b. Not to protect a person against double
residence of the general rules on venue, liability but to protect him from double
parties when action except as otherwise vexation in respect of one liability [Beltran
is personal or by the indicated by special v. PHHC, G.R. No. L-25138 (1969)].
location of the rules [1 Regalado 771,
property when the 2016 Ed.]. Interpleader vs. Intervention
action is real [Secs.
Interpleader Intervention
1-2, Rule 4].
Original action Ancillary action, i.e.
Initiated by Initiated by complaint or
there is a pending
complaint [Sec. 5, petition [1 Regalado action
Rule 1]. 770, 2010 Ed.].

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Plaintiff either has Intervenor claims an Procedure
Filing of an action against the conflicting claimants
No interest or; interest that is to compel them to interplead and litigate their
An interest in the adverse to at least several claims among themselves [Sec. 1, Rule 62]
subject matter one of the existing ↓
undisputed by the parties, or will be Court order upon the filing of the complaint requiring
other parties adversely affected by the conflicting claimants to interplead with one
judgment in favor of another. If the interests of justice so require, the
either of the existing court may direct in such order that the subject matter
parties be paid or delivered to the court [Sec. 2, Rule 62]
↓
Defendants are sued Defendants to a Answer of each claimant setting forth his claim
to be impleaded complaint-in- within 15 days from service of the summons upon
him, serving a copy thereof upon each of the other
intervention are
conflicting claimants who may file their reply thereto
parties to a pending as provided by the ROC.
suit
[1 Regalado 321, 2010 Ed.] Counterclaims, cross-claims, third-party complaints
and responsive pleadings thereto, as provided by
the ROC, may be filed by the parties in an
1. Requisites for Interpleader interpleader action. [Sec. 5, Rule 62]

a. There must be 2 or more claimants with OR

adverse or conflicting interest;
Motion to dismiss filed by each claimant within the
b. The conflicting claims involves the time for filing an answer on the ground of impropriety
same subject matter; of the interpleader action or on other appropriate
c. The conflicting claims are made grounds specified in Rule 16. The period to file the
against the same person; and answer shall be tolled and if the motion is denied,
d. The plaintiff has no claim upon the the movant may file his answer within the remaining
period, but which shall not be less than 5 days in any
subject matter of the adverse claims or event, reckoned from notice of denial [Sec. 4, Rule
if he has an interest at all, such interest 62].
is not disputed by the claimants [Sec.
1, Rule 62]. Note: Even if a motion to dismiss is now a prohibited
pleading under the Amended Rules, it is submitted
that a motion to dismiss can still be filed on the basis
2. When to File of the impropriety of an interpleader, even if such
ground is not among those listed for an allowable
General Rule: An action for Interpleader motion to dismiss under Sec. 12, Rule 15. This is
should be filed within a reasonable time after a because the rules of ordinary civil actions are
dispute has arisen without waiting to be sued subject to the special rules prescribed for a special
by either of the contending parties. Otherwise, civil action [Sec. 3(c), Rule 1]. In light of Sec. 3(c),
Rule 1 as well, the grounds for an allowable motion
it may be barred by laches [Wack Wack Golf & to dismiss should likewise be allowed as proper
Country Club v. Lee Won, G.R. No. L-23851 grounds for a motion to dismiss an interpleader [See
(1976)]. Sec. 12(a) (1-3), Rule 15].
↓
Exception: Where the stakeholder acts with Pre-trial [Sec. 6, Rule 62]
reasonable diligence in view of environmental ↓
circumstances, the remedy is not barred [Wack Determination of the claimants’ respective rights
Wack Golf & Country Club v. Lee Won, G.R. and adjudicate their several claims [Sec. 6, Rule 62]
No. L-23851 (1976)].
Effect of Failure to Answer
If any claimant fails to plead within the time
Who May File
herein fixed, the court may, on motion,
The person against whom the conflicting
1. Declare him in default; and
claims are made and claims no interest in the
2. Render judgment barring him from any
subject matter [Sec. 1, Rule 62].
claim in respect to the subject
matter [Sec. 5, Rule 62].

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3. Dismissal Subject Matter of Petition for Declaratory
Relief
Proper Grounds to Dismiss an Interpleader The subject matter in a petition for declaratory
a. Impropriety of Interpleader [Sec. 4, Rule relief is any of the following:
62] 1. Deed;
b. Allowable grounds for a motion to dismiss, 2. Will;
namely: 3. Contract or other written instrument;
1. Lack of jurisdiction over the subject 4. Statute;
matter 5. Executive order or regulation;
2. Litis pendentia 6. Ordinance; or
3. Res judicata 7. Any other government regulation [Sec.
4. Prescription [Sec. 12 (a), Rule 15] 1, Rule 63].

E. Declaratory Reliefs and Note: The enumeration is exclusive [Mangahas

v. Paredes, G.R. No. 157866 (2007)].
Similar Remedies
Where to File Declaratory Relief
Two Types of Actions Under Rule 63 Jurisdiction
1. Petition for declaratory relief; and General Rule: Exclusive and original
2. Similar remedies jurisdiction is with the RTC since the subject in
a. Action for reformation of an a petition for declaratory relief is incapable of
instrument; pecuniary estimation [Sec. 19, B.P.129, as
b. Action to quiet title or remove amended by R.A. 7691].
clouds therefrom; and
c. Action to consolidate Exception: Where the action is a proceeding
ownership under Art. 1607, CC similar to declaratory relief (e.g. quieting of title
[Sec. 1, Rule 63] to real property), jurisdiction will depend on the
assessed value of the property [Malana v.
Definition Tappa, G.R. No. 181303 (2009)].
Declaratory relief is an action by any person
interested in a deed, will, contract or other
Venue: General rule on venue applies, see
written instrument, executive order or
Rule 4.
resolution, to determine any question of
construction or validity arising from the
instrument, executive order or regulation, or 1. Who May File Action
statute, and for a declaration of his rights and
duties thereunder [Sec. 1, Rule 63]. Any person:
1. Interested under a deed, will, contract,
or other written instrument;
The only issue that can be raised in such a
2. Whose rights are affected by a statute,
petition is the question of construction or
executive order or regulation,
validity of provisions in an instrument or
ordinance, or any other governmental
statute. Corollary is the general rule that such
regulation; and
an action must be justified, as no other
3. Who files before the breach or violation
adequate relief is available [2 Riano 142, 2016
thereof [Sec. 1, Rule 63].
Bantam Ed.].

Purpose
To secure an authoritative statement of the
rights and obligations of the parties under a
statute, deed, contract, etc. for their guidance
in its enforcement or compliance and not to
settle issues arising from its alleged breach
[Tambunting v. Sumabat and Baello, G.R. No.
144101 (2005)].

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Parties to the Action 3. When Court May Refuse to Make
1. All persons who have or claim any Judicial Determination
interest which would be affected by the
declaration [Sec. 2, Rule 63]. General Rule: The court, motu proprio or upon
2. In any action which involves the validity motion, may refuse to exercise the power to
of a statute, executive order or declare rights and to construe instruments in
regulation, or any other governmental any case where a decision would not terminate
regulation, the Solicitor General shall the uncertainty or controversy which gave rise
be notified by the party assailing the to the action, or in any case where the
same and shall be entitled to be heard declaration or construction is not necessary
upon such question [Sec. 3, Rule 63]. and proper under the circumstances.
3. In any action involving the validity of a Exception: Actions falling under the 2nd par of
local government ordinance, the Sec. 1, Rule 63
corresponding prosecutor or attorney 1. An action for the reformation of an
of the local government unit involved instrument, recognized under Articles
shall be similarly notified and entitled to 1359 to 1369 of the Civil Code;
be heard. If such ordinance is alleged 2. An action to quiet title, authorized by
to be unconstitutional, the Solicitor Articles 476 to 481 of the Civil Code;
General shall also be notified and and
entitled to be heard [Sec. 4, Rule 63]. 3. An action to consolidate ownership
required by Article 1607 of the Civil
Note: Non-joinder of interested persons is not Code in a sale with a right to
a jurisdictional defect; but persons not joined repurchase [Sec. 5, Rule 63].
shall not be prejudiced in their interests unless
provided by the Rules. 4. Conversion to Ordinary Action
2. Requisites The action may be converted into an ordinary
action if:
a. The subject matter of the controversy must 1. Before the final termination of the
be a deed, will, contract, or other written case,
instrument, statute, executive order or 2. A breach or violation of an instrument
regulation, or ordinance; or a statute, executive order,
b. The terms of said documents and the regulation, ordinance, or any other
validity thereof are doubtful and require governmental regulation should take
judicial construction; place.
c. There must have been no breach of the
documents in question; Note: The parties shall be allowed to
d. There must be an actual justiciable file such pleadings as may be
controversy or the “ripening seeds” of one necessary or proper [Sec. 6, Rule 63].
between persons whose interests are
adverse; A petition for declaratory relief is filed before
e. The issue must be ripe for judicial the occurrence of any breach or violation of the
determination; and deed, contract, statute, ordinance or executive
f. Adequate relief is not available through order or regulation. It will not prosper when
other means or other forms of action or brought after a contract or a statute has already
proceeding [Dupasquier v. Ascendas been breached or violated. If there has already
Philippines Corp., G.R. No. 211044 been a breach, the appropriate ordinary civil
(2019)]. action and not declaratory relief should be filed
[City of Lapu-Lapu v. PEZA, G.R. No. 184203
A justiciable controversy refers to an existing (2014)].
case or controversy appropriate or ripe for
judicial determination, not one that is
conjectural or merely anticipatory [Velarde v.
Social Justice Society, G.R. No. 159357
(2004)]

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5. Proceedings Considered as Similar Burden of Proof
Remedies The onus probandi is upon the party who
insists that the contract should be reformed
These remedies are considered similar to [Multi-Ventures Capital v. Stalwart
declaratory relief because they also result in Management Services Corp, G.R. No. 157439
the adjudication of legal rights of the litigants, (2007)].
often without the need of execution to carry the
judgment into effect: Prescriptive Period
1. An action for the reformation of an In an action for reformation, the plaintiff has 10
instrument, recognized under Articles years within which to bring it from the time the
1359 to 1369 of the Civil Code; right of action accrued [Veluz v. Veluz, G.R.
2. An action to quiet title, authorized by No. L-23261 (1968)].
Articles 476 to 481 of the Civil Code;
and CIVIL CODE PROVISIONS ON THE
3. An action to consolidate ownership REFORMATION OF AN INSTRUMENT
required by Article 1607 of the Civil
Code in a sale with a right to When the Remedy is Reformation of the
repurchase [Malana v. Tappa, G.R. No. Instrument
181303 (2009)]. 1. When, there having been a meeting of
the minds of the parties to a contract,
However, a distinction must be made between their true intention is not expressed in
these proceedings and an action for the instrument by reason of mistake,
declaratory relief because of Sec. 5, Rule 63 on fraud, inequitable conduct or accident
when the court’s action on such a petition is [Art. 1359, Civil Code]
discretionary. 2. When a mutual mistake of the parties
causes the failure of the instrument to
a. Reformation of an Instrument disclose their real agreement [Art.
1361, Civil Code]
Definition 3. If one party was mistaken and the other
Reformation is a remedy in equity, whereby a acted fraudulently or inequitably in
written instrument is made or construed so as such a way that the instrument does
to express or conform to the real intention of not show their true intention [Art. 1362,
the parties, where some error or mistake has Civil Code]
been committed [Multi-Ventures Capital v. 4. When one party was mistaken and the
Stalwart Management Services Corp., G.R. other knew or believed that the
No. 157439 (2007)]. instrument did not state their real
agreement, but concealed that fact
Nature: In personam. from the former, the instrument may be
reformed [Art. 1363, Civil Code]
Jurisdiction: RTC has exclusive original 5. When through the ignorance, lack of
jurisdiction. skill, negligence or bad faith on the part
of the person drafting the instrument or
What Are the Requisites for Reformation? of the clerk or typist, the instrument
1. There must have been a meeting of the does not express the true intention of
minds of the parties to the contract; the parties [Art. 1364, Civil Code]
2. The instrument does not express the 6. If two parties agree upon the mortgage
true intention of the parties; and or pledge of real or personal property,
3. Failure of the instrument to express the but the instrument states that the
true intention of the parties is due to property is sold absolutely or with a
mistake, fraud, inequitable conduct, or right of repurchase [Art. 1365, Civil
accident [Multi-Ventures Capital v. Code]
Stalwart Management Services Corp., 7. At the instance of either party or his
G.R. No. 157439 (2007)]. successors in interest, if the mistake
was mutual; otherwise, upon petition of
the injured party, or his heirs and
assigns [Art. 1368, Civil Code]
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When the Remedy Is for Annulment of the ineffective, voidable, or unenforceable, and
Contract may be prejudicial to said title, an action may
If mistake, fraud, inequitable conduct, or be brought to remove such cloud or to quiet the
accident has prevented a meeting of the minds title.
of the parties, the proper remedy is not
reformation of the instrument but annulment of An action may also be brought to prevent a
the contract [Art. 1359, Civil Code]. cloud from being cast upon title to real property
or any interest therein [Art. 476, Civil Code].
When Reformation Not Applicable The plaintiff must have legal or equitable title
There shall be no reformation in the following to, or interest in the real property which is the
cases: subject-matter of the action. He need not be in
a. Simple donations inter vivos wherein no possession of said property [Art. 477, Civil
condition is imposed, Code].
b. Wills, or
c. When the real agreement is void [Art. 1366, Nature: Quasi in rem.
Civil Code].
Jurisdiction: MeTC/MCTC/MTC or RTC,
When one of the parties has brought an action depending on the assessed value of the
to enforce the instrument, he cannot property.
subsequently ask for its reformation [Art. 1367,
Civil Code]. Requisites
1. The plaintiff or complainant has a legal or
b. Consolidation of Ownership an equitable title to or interest in the real
property subject of the action, and
In case of real property, the consolidation of 2. The deed, claim, encumbrance, or
ownership in the vendee by virtue of the failure proceeding claimed to be casting cloud on
of the vendor to comply with the provisions of his title must be shown to be in fact invalid
Art. 1616 shall not be recorded in the Registry or inoperative despite its prima facie
of Property without a judicial order, after the appearance of validity or legal
vendor has been duly heard [Art. 1607, Civil efficacy [Mananquil v. Moico, G.R. No.
Code]. 180076 (2012)].
The vendor cannot avail himself of the right of
repurchase without returning to the vendee the
F. Certiorari, Prohibition, and
price of the sale, and in addition: Mandamus
a. The expenses of the contract, and any
other legitimate payments made by 1. Definitions and Distinctions
reason of the sale;
b. The necessary and useful expenses Certiorari is a writ emanating from the proper
made on the thing sold [Art. 1616, CC]. court directed against any tribunal, board or
officer exercising judicial or quasi-judicial
Applicability: It applies only to conventional functions, the purpose of which is to correct
redemption under Article 1607, in relation to errors of jurisdiction - i.e. without or in excess
Article 1616, of the Civil Code. of jurisdiction, or with grave abuse of discretion
amounting to the same [Sec. 1, Rule 65].
Jurisdiction: MeTC/MCTC/MTC or RTC,
depending on the assessed value of the Prohibition is a writ issued by the proper court
property. and directed against any tribunal, corporation,
board, officer or person, whether exercising
c. Quieting of Title to Real Property judicial, quasi-judicial or ministerial functions,
commanding the respondent to desist from
Whenever there is a cloud on title to real further proceedings in the action or matter
property or any interest therein, by reason of specified therein [Sec. 2, Rule 65].
any instrument, record, claim, encumbrance or
proceeding which is apparently valid or Mandamus is a writ to compel a tribunal,
effective but is in truth and in fact invalid, corporation, board, officer or person to do the
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act required to be done to protect the rights of b. Excludes another from the use
the petitioner when the respondent unlawfully and enjoyment of a right or
neglects the performance of an act which the office to which such other is
law specifically enjoins as a duty resulting from entitled; and
an office, trust, or station, or excludes another 2. There is no other plain, speedy, and
from the use and enjoyment of a right or office adequate remedy in the ordinary
to which such other is entitled, and there is no course of law [Sec. 3, Rule 65].
other plain, speedy and adequate remedy in
the ordinary course of law [Sec. 3, Rule 65]. Note: The common requisite among certiorari,
prohibition, and mandamus is that there is no
2. Requisites other plain, speedy, or adequate remedy in
the ordinary course of law [Secs. 1, 2, 3, Rule
Certiorari 65].
1. Respondent is exercising judicial or quasi-
judicial function; 3. When Petition for Certiorari,
2. Respondent acted without or in excess of Prohibition, and Mandamus Is Proper
its jurisdiction or acted with grave abuse of
discretion amounting to lack of jurisdiction; Certiorari is a corrective remedy used to
and correct errors of jurisdiction, not errors of
3. There must be no appeal or no other plain, judgment.
speedy, and adequate remedy [Sec. 1,
Rule 65; Barbers v. COMELEC, G.R. No. Note: Errors of judgement are those errors
165691 (2005)]. arising from erroneous conclusions of law.
They are reviewable by appeal, not by
The acts that may be the object of the petition certiorari [Heirs of Valientes v. Ramas, 638
are: SCRA 444 (2010)].
a. Acts without jurisdiction – denotes that
the tribunal, board, or officers acted with Questions of fact cannot be raised in an original
absolute lack of authority action for certiorari. Only established or
b. Excess of jurisdiction – when the admitted facts may be considered [Suarez v.
respondent exceeds its power or acts NLRC, G.R. No. 124723 (1998)].
without any statutory authority
c. Grave abuse of discretion – connotes General Rule: Where an appeal is available,
capricious and whimsical exercise of certiorari will not lie [Jose v. Zulueta, G.R. No.
judgment as to be equivalent to lack or L-16598 (1961)].
excess of jurisdiction [2 Riano 205, 2016
Bantam Ed.] Exceptions:
a. Where appeal does not constitute a speedy
Prohibition and adequate remedy;
1. Respondent is exercising judicial or quasi- b. Where orders were also issued either in
judicial function; excess of or without jurisdiction;
2. Respondent acted without or in excess of c. For certain special considerations, as
its jurisdiction or acted with grave abuse of public welfare or public policy;
discretion amounting to lack of jurisdiction; d. Where, in criminal actions, the court rejects
and the rebuttal evidence for the prosecution
3. There must be no appeal or no other plain, as, in the case of acquittal, there could be
speedy, and adequate remedy. [Sec. 2, no remedy;
Rule 65; Barbers v. COMELEC, G.R. No. e. Where the order is a patent nullity; and
165691 (2005)] f. Where the decision in the certiorari case
will avoid future litigations [Villarica
Mandamus Pawnshop v. Gernale, G.R. No. 163344
1. Respondent unlawfully (2009)].
a. Neglects the performance of an
act which the law specifically
enjoins as a duty resulting from
an office, trust, or station; or
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General Rule: A Motion for Reconsideration is by those in the corridors of power who could
a condition sine qua non for the filing of a avoid judicial intervention and review by merely
Petition for Certiorari. speedily and stealthily completing the
commission of such illegality [Tan v.
Exceptions: COMELEC, G.R. No. 73155 (1986)].
a. The order is a patent nullity, as where the
court a quo has no jurisdiction; Mandamus
b. The questions raised in the certiorari There must be a well-defined, clear legal right
proceeding have been duly raised and or duty [Valmonte v. Belmonte, G.R. No. 74930
passed upon by the lower court or are the (1989)] which is enjoined by law; hence, a
same as those raised and passed upon in contractual duty cannot be enforced by
the lower court; mandamus [Province of Pangasinan v.
c. There is an urgent necessity for the Reparations Commission, G.R. No. L-27448
resolution of the question and any further (1977)].
delay would prejudice the interests of the
government or of the petitioner; The respondent must be exercising a
d. The subject matter of the action is ministerial duty [Roble Arrastre, Inc. v. Villaflor,
perishable; G.R. No. 128509 (2006)]. As such, mandamus
e. Under the circumstances, a motion for “will lie to compel discharge of the discretionary
reconsideration would be useless; duty itself but not to control the discretion to be
f. Petitioner was deprived of due process and exercised. In other words, a mandamus can be
there is an extreme urgency for relief; issued to require action, but not specific action”
g. In a criminal case, relief from order of arrest [Association of Small Landowners in the
is urgent and the granting of such relied by Philippines, Inc. v. Sec. of Agrarian Reform,
the court if improbable; G.R. No. 78742 (1989)].
h. The proceedings were done ex parte or in
which the petitioner had no opportunity to However, in extreme situations generally in
object; criminal cases, mandamus lies to compel the
i. Where the issue raised is one purely of law; performance by the fiscal of discretionary
or functions where his actuations are tantamount
j. Where public interest is involved [Republic to a willful refusal to perform a required duty [1
v. Bayao, G.R. No. 179492 (2013)]. Regalado 804, 2010 Ed.].
Prohibition Grounds
Prohibition is a preventive remedy. However, When any tribunal, corporation, board, officer
to prevent the respondent from performing the or person unlawfully
act sought to be prevented during the 1. NEGLECTS the performance of an act
pendency of the proceedings for the writ, the which the law specifically enjoins as a
petitioner should obtain a restraining order duty resulting from an office, trust, or
and/or a writ of preliminary injunction [1 station, or
Regalado 801, 2010 Ed.]. 2. EXCLUDES another from the use and
enjoyment of a right or office to which
The office of prohibition is not to correct errors such other is entitled [Sec. 3, Rule 65].
of judgment but to prevent or restrain
usurpation by inferior tribunals and to compel Mandamus is the proper remedy when the
them to observe the limitation of their respondent unlawfully excludes the petitioner
jurisdictions [3 Herrera 321, 2006 Ed.]. from a public office, position or franchise to
which the latter is entitled without usurping,
General Rule: Prohibition, as a rule, does NOT intruding into or unlawfully holding the office.
lie to restrain an act which is already fait However, if the respondent claims any right to
accompli (one that has already been done) the office and usurps, intrudes into or
[Cabañero and Mangornong v. Torres, G.R. unlawfully holds it against the petitioner, quo
No. L-43352 (1935)]. warranto is the proper remedy [Sec. 1, Rule
66].
Exception: A writ of prohibition will lie to
prevent the unlawful creation of a new province
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4. Injunctive Relief Raises only Raises questions of
questions of law jurisdiction, i.e.
General Rule whether a tribunal,
The petition shall not interrupt the course of board or officer
the principal case. exercising judicial or
• The public respondent shall proceed quasi-judicial
with the principal case within 10 days functions has acted
from filing of the petition for certiorari without jurisdiction or
with the higher court, absent a TRO or in excess of
preliminary injunction, or upon its jurisdiction or with
expiration. grave abuse of
• Failure of the public respondent to discretion amounting
proceed with the principal case may be to lack of jurisdiction
a ground for an administrative charge
[Sec. 7, Rule 65, as amended by A.M. Filed within 15 days Filed not later than 60
No. 07-7-12-SC]. from notice of days from notice of
judgment or final judgment, order, or
Exceptions: order appealed from, resolution sought to
When a TRO or a writ of preliminary or of the denial of be assailed.
injunction has been issued, enjoining the petitioner’s motion
public respondent from further proceeding with for reconsideration
the case [Sec. 7, Rule 65, as amended by A.M. or new trial.
No. 07-7-12-SC].
Extension of 30 days Extension granted
The doctrine of judicial courtesy: Even if
may be granted for only under
there is no injunction issued, the lower court
justifiable reasons. exceptional cases
should defer to the higher court where there is
(infra).
a strong probability that the issues before the
higher court would be rendered moot and Does not require a Motion for
moribund as a result of the continuation of prior motion for reconsideration is a
proceedings in the court of origin [Republic v. reconsideration condition precedent,
Sandiganbayan, G.R. No. 166859 (2006)]. subject to exceptions

5. Distinguish: Rule 45 and Rule 65 Stays the judgment Does not stay the
Certiorari as a Certiorari as a appealed from judgment or order
subject of the petition,
mode of appeal special civil action
[Rule 45] [Rule 65] unless enjoined or
restrained
A continuation of the An original action and
Parties are the The tribunal, board, or
appellate process not a mode of appeal
original parties with officer, exercising
over the original
the appealing party judicial or quasi-
case
as the petitioner and judicial functions is
Seeks to review final May be directed the adverse party as impleaded as
judgment or final against an the respondent, respondent
orders interlocutory order of without impleading
the court or where no the lower court or its
appeal or plain or judge
speedy remedy is
available in the
ordinary course of law

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Review by the SC is If the order is sufficient exercise judicial, quasi-judicial or ministerial
discretionary and will in form and substance, functions [Araullo v. Aquino, G.R. No. 209287
be granted only when the RTC shall: (2014)].
there are special or 1. order respondents
important reasons to comment, then 6. Distinguish: Prohibition,
[Sec. 6, Rule 45] 2. (a) hear the case or Mandamus, and Injunction
(b) require the parties
to file memoranda. Injunction Prohibition

But the SC/CA may Ordinary civil action Special civil action
require a comment
before giving the Directed only to the party Directed to the court
petition due course. litigants, without in any itself, commanding it
manner interfering with to cease from the
the court exercise of a
[1 Regalado 612, 2010 Ed.] jurisdiction to which it
has no legal claim
Note: The remedies of appeal and certiorari are
mutually exclusive and not alternative or Does not involve the It is based on the
successive. Thus, a petitioner must show valid jurisdiction of the court ground that the court
reasons why the issues raised in his petition for against whom the
certiorari could not have been raised on appeal writ is sought had
[Villamar-Sandoval v. Cailipan, G.R. No. acted without or in
200727 (2013)]. excess of jurisdiction
Main action or provisional Main action
Expanded Scope of Certiorari
remedy
The sole office of the writ of certiorari is the
correction of errors of jurisdiction, which [2 Riano 58, 2016 Bantam Ed.]
includes the commission of grave abuse of
discretion amounting to lack of jurisdiction. In
Injunction Mandamus
this regard, mere abuse of discretion is not
enough to warrant the issuance of the writ. The Ordinary civil action Special civil action
abuse of discretion must be grave, which
means either that the judicial or quasi-judicial
Directed against a
power was exercised in an arbitrary or despotic Directed against a
tribunal, corporation,
manner by reason of passion or personal litigant
board, or officer
hostility, or that the respondent judge, tribunal
or board evaded a positive duty, or virtually
refused to perform the duty enjoined or to act Purpose is to either
Purpose is for the
in contemplation of law, such as when such refrain the defendant
tribunal, corporation,
judge, tribunal or board exercising judicial or from performing an act or
board, or officer, to
quasi-judicial powers acted in a capricious or to perform not
perform a ministerial
whimsical manner as to be equivalent to lack of necessarily a legal and
and legal duty
jurisdiction. ministerial duty
[2 Riano 59, 2016 Bantam Ed.]
The remedies of certiorari and prohibition are
necessarily broader in scope and reach, and 7. When and Where to File Petition
the writ of certiorari or prohibition may be
issued to correct errors of jurisdiction Petition and Contents
committed not only by a tribunal, corporation, A verified petition is:
board or officer exercising judicial, quasi- 1. Filed in the proper court
judicial or ministerial functions but also to set a. Alleging the facts with certainty
right, undo and restrain any act of grave abuse b. Praying for the proper
of discretion amounting to lack or excess of judgment; and
jurisdiction by any branch or instrumentality of 2. Accompanied by:
the Government, even if the latter does not
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a. A certified true copy of the In election cases
judgment, order, resolution involving an act or an
subject thereof Commission on
omission of an MTC or
b. Copies of all pleadings and Elections
RTC [Sec. 4, A.M. No.
relevant and pertinent 07-7-12-SC]
documents
c. A sworn certification of non-
forum shopping [Secs. 1-3, Rule on Extension of Time for Filing
Rule 65]. General Rule: The 60-day period within which
to file a petition for certiorari under Rule 65 is
When to File non-extendible.
Not later than 60 days from notice of judgment,
order, or resolution. If a motion for Exceptions: Under the following exceptional
reconsideration or new trial is filed, the 60-day circumstances, the Court may extend the
period shall be counted from notice of denial of period according to its sound discretion:
motion [Sec. 4, Rule 65]. a. Most persuasive and weighty reasons;
b. To relieve a litigant from an injustice not
Where to File commensurate with his failure to comply
with the prescribed procedure;
Subject to the doctrine
c. Good faith of the defaulting party by
of hierarchy of courts
immediately paying within a reasonable
and only when
time from the time of the default;
compelling reasons
Supreme Court exist for not filing the d. The existence of special or compelling
circumstances;
same with the lower
e. The merits of the case;
courts [Uy v.
f. A cause not entirely attributable to the fault
Contreras, G.R. No.
or negligence of the party favored by the
111416-17 (1994)].
suspension of the rules;
If the petition relates to g. A lack of any showing that the review
an act or an omission sought is merely frivolous and dilatory;
of an MTC, h. The other party will not be unjustly
corporation, board, prejudiced thereby;
RTC i. Fraud, accident, mistake or excusable
officer or person [Sec.
4, Rule 65, as negligence without appellant’s fault;
amended by A.M. No. j. Peculiar legal and equitable circumstances
07-7-12-SC]. attendant to each case;
k. In the name of substantial justice and fair
If the petition involves play;
an act or an omission l. Importance of the issues involved; and
of a quasi-judicial m. Exercise of sound discretion by the judge
agency, unless guided by all the attendant circumstances
Court of Appeals
otherwise provided by [Thenamaris Philippines, Inc. v. CA, G.R.
only
law or rules [Sec. 4, No. 191215 (2014)].
Rule 65, as amended
by A.M. No. 07-7-12- 8. Reliefs Petitioner is Entitled to
SC]. Reliefs
Whether or not in aid of
Court of Appeals or appellate jurisdiction The Court may:
the Sandiganbayan [Sec. 4, A.M. No. 07-7- 1. Issue orders expediting the
12-SC] proceedings, and it may also grant a
temporary restraining order or a writ
of preliminary injunction for the
preservation of the rights of the parties
[Sec. 7, Rule 65].
2. Incidental reliefs as law and justice
may require [Secs. 1-2, Rule 65].
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3. Other reliefs prayed to which the Effect of Dismissal
petitioner is entitled [Sec. 8, Rule 65]. The court may award in favor of the respondent
4. Disciplinary sanctions for erring treble costs solidarily against the petitioner and
lawyers for patently dilatory and counsel, in addition to subjecting counsel to
unmeritorious petitions for certiorari administrative sanctions under Rules 139 and
[Sec. 8, Rule 65]. 139-B.

Prayers The Court may impose motu proprio, based on

Certiorari res ipsa loquitur, other disciplinary measures
1. That the judgment be rendered annulling or on erring lawyers for patently dilatory and
modifying the proceedings of such tribunal, unmeritorious petitioner for certiorari [Sec. 8,
board or officer; and Rule 65].
2. Granting such incidental reliefs as law and
justice may require [Sec. 1, Rule 65]. G. Quo Warranto
Prohibition A quo warranto proceeding is the proper
1. That the judgment be rendered legal remedy to determine the right or title to
commanding the respondent to desist from the contested public office and to oust the
further proceedings in the action or matter holder from its enjoyment [Defensor-Santiago
specified; or v. Guingona, Jr., G.R. No. 134577 (1998)].
2. Otherwise granting such incidental reliefs
as law and justice may require [Sec. 2, Subject matter
Rule 65]. An action for the usurpation of a public office,
position or franchise [Sec. 1, Rule 66].
Mandamus
1. That the judgment be rendered Against Whom May the Action Be Brought
commanding the respondent, immediately 1. A PERSON who usurps, intrudes into,
or at some other time to be specified by the or unlawfully holds or exercises a
court, to do the act required to be done to public office, position, or franchise;
protect the rights of the petitioner; and o Note: Sec. 2, Article XI of the
2. To pay the damages sustained by the Constitution allows the
petitioner by reason of the wrongful acts of institution of a quo warranto
the respondent [Sec. 3, Rule 65]. action against an impeachable
officer. After all, a quo warranto
9. Acts or Omissions of First- petition is predicated on
Level/Regional Trial Courts in grounds distinct from those of
Election Cases impeachment. The former
questions the validity of a
In election cases involving an act or omission public officer’s appointment
of a municipal or RTC, the petition [for while the latter indicts him for
certiorari, prohibition, or mandamus] shall be so-called impeachable
filed exclusively with the COMELEC, in aid of offenses without questioning
its appellate jurisdiction [Sec. 4, par. 3, Rule 65 his title to the office he holds
as amended by A.M. No. 07-7-12- SC (2007)]. [Republic v. Sereno, G.R. No.
237428 (2018)].
10. Effects of Filing of an 2. A PUBLIC OFFICER who does or
suffers an act, which, by the provision
Unmeritorious Petition of law, constitutes a ground for
forfeiture of office; or
The court may dismiss the petition if:
3. An ASSOCIATION which acts as a
1. It finds the same patently without merit
corporation within the Philippines
or prosecuted manifestly for delay; or
without being legally incorporated or
2. If the questions raised therein are too
without lawful authority so to act [Sec.
insubstantial to require consideration.
1, Rule 66].

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When Not Proper 1. Distinguish: Quo Warranto Under
1. Against persons who usurp an office in the Rules of Court and Quo
a private corporation [Calleja v. Warranto Under the Omnibus
Panday, G.R. No. 168696 (2006)]
2. If the dispute is as to the counting of
Election Code
votes or on matters connected with the
conduct of the election, a quo warranto Quo warranto in
is not the proper remedy but an election electoral
Quo warranto under
protest [Cesar v. Garrido, G.R. No. proceedings [Sec.
Rule 66
30705 (1929)] 253, Omnibus
3. Acts or omissions, even if it relates to Election Code]
the qualification of integrity, being a
continuing requirement but Filed by whom
nonetheless committed during the
The OSG, either Any voter
incumbency of a validly appointed
mandatory or
and/or validly elected official, cannot be
discretionary, as
the subject of a quo warranto
discussed below.
proceeding [Republic v. Sereno, G.R.
No. 237428 (2018)]
OR
Jurisdiction
1. Original jurisdiction to issue the writ of quo A person claiming to
warranto is vested in the SC, CA, and RTC be entitled to a public
[Sec. 5(1), Art. VIII, Constitution; Secs. 9 office or position
and 21, B.P. 129]. usurped or unlawfully
2. Quo warranto actions against corporations held or exercised by
with regard to franchises and rights granted another in his own
to them, as well as the dissolution of name [Sec. 5, Rule
corporations now fall under the jurisdiction 66].
of the RTC [Sec. 5.2, RA No. 8799 in
relation to P.D. 902-A; Unilongo v. CA, Where filed
G.R. No. 123910 (1999)].
When Commenced by If against the
3. The usurpation of an office in a private
Solicitor General: election of a
corporation falls under the jurisdiction of
RTC Manila, CA, or Member of
the RTC [Sec. 5.2, R.A. 8799 in relation to
SC Congress, regional,
P.D. 902-A; Calleja v. Panday, G.R. No.
provincial or city
168696 (2006)]
Otherwise: officer, file in the
RTC with jurisdiction COMELEC
over the territorial area
where respondent or If against a
any of the municipal or
respondents resides, barangay officer,
CA, or SC file in the
[Sec. 7, Rule 66] appropriate RTC or
MTC, respectively.

Period for filing

Within one year after Within 10 days after

the cause of such proclamation of
ouster, or the right of results
the petitioner to hold
such office or
position, arose [Sec.
11, Rule 66]

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Issue b. Upon complaint, where the
OSG has good reason to
Issue is legality of the Issue is eligibility of believe that any of the causes
occupancy of the the person elected. in Sec. 1, Rule 66 exists [Sec.
office by virtue of a 2, Rule 66].
legal appointment. b. May bring the action
(DISCRETIONARY)
Grounds a. At the request of another
(against occupants of public offices) person; and
b. With the permission of the court
A person who usurps, Ineligibility, or [Sec. 3, Rule 66].
intrudes into, or Disloyalty to the
unlawfully holds or Republic of the 3. When Individual May Commence
exercises a public Philippines
office, position or an Action
franchise; or
A public officer who An individual may commence the action if he
does or suffers an act claims to be entitled to the office or position
which, by the usurped or unlawfully held or exercised by
provision of law, another [Sec. 5, Rule 66].
constitutes a ground • He must aver and be able to show that
for the forfeiture of he is entitled to the office in dispute,
his office otherwise the action may be dismissed
[Sec. 1, Rule 66] at any stage [General v. Urro, G.R. No.
191560 (2011)].
Effect
A public utility may bring a quo warranto
When the respondent The occupant who action against another public utility which has
is found guilty of was declared usurped the rights of the former granted under
usurping, intruding ineligible or disloyal a franchise [Cui v. Cui, G.R. No. 39773 (1934)].
into, or unlawfully will be unseated but
holding or exercising the petitioner may Contents of a Quo Warranto Petition
a public office, be declared the The petition shall set forth:
position or franchise, rightful occupant of 1. The name of the person who claims to
judgment shall be the office if the be entitled thereto, if any,
rendered that such respondent is 2. With an averment of his right to the
respondent be ousted disqualified and the same and that the respondent is
and altogether petitioner received unlawfully in possession thereof [Sec.
excluded therefrom, the second number 6, Rule 66].
and that the petitioner of votes [Maquiling
or relator, as the case v. COMELEC, G.R. When Quo Warranto Filed
may be, recover his No. 195649 (2013)]. General Rule: Within 1 year after the cause of
costs [Sec. 9, Rule such ouster, or the right of the petitioner to hold
66]. such office or position, arose [Sec. 11, Rule
66].

2. When Government Commences an Exception: The prescriptive period does not

Action Against Individuals or apply if the failure to file the action can be
attributed to acts of a responsible government
Associations
officer and not of the dismissed employee
[Romualdez-Yap v. CSC, et. al., G.R. No.
The Solicitor General or a public prosecutor,
104226 (1993)].
a. Must bring the action
(MANDATORY) either
a. When directed by the The pendency of administrative remedies does
President; or not operate to suspend the period of 1 year
within which a petition for quo warranto should

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be filed [Torres v. Quintos, G.R. No. L-3304 6. Limitations
(1951)].
Rule 66 does not:
Reduction of Period 1. Authorize an action against a public
The court may reduce the period provided by officer or employee for his ouster from
the ROC for filing pleadings and for all other office unless the same be commenced
proceedings in the action in order to secure the within 1 year after the cause of such
most expeditious determination of the matters ouster, or the right of the petitioner to
involved therein consistent with the rights of the hold office arose; nor
parties. Such action may be given precedence 2. Allow the person entitled to the office to
over any other civil matter pending in the court file for damages unless the action is
[Sec. 8, Rule 66]. commenced within 1 year after the
entry of judgment establishing the
4. Judgment in Quo Warranto Action petitioner’s right to the office in
question [Sec. 11, Rule 66].
When respondent is found guilty of usurping
into, intruding into, or unlawfully holding or H. Expropriation
exercising a public office, position, or franchise,
judgment shall be rendered that: The power of eminent domain is an inherent
1. Such respondent is ousted and and indispensable power of the State.
altogether excluded therefrom; and
2. Petitioner, as the case may be, Requisites [EMAPO]:
recovers his costs. 1. The expropriator must Enter a private
property;
Note: Further judgment may be rendered 2. The entrance into private property must
determining the respective rights in and to the be for more than a Momentary period;
public office, position, or franchise of all parties 3. The entry into the property should be
to the action as justice requires [Sec. 9, Rule under warrant or color of legal
66]. Authority;
4. The property must be devoted to a
5. Rights of A Person Adjudged Public use or otherwise informally
Entitled to Public Office appropriated or injuriously affected;
and
When judgment is rendered in favor of a person 5. The utilization of the property for public
averred in the complaint to be entitled to the use must be in such a way to Oust the
public office, such person may take upon owner and deprive him of all beneficial
himself: enjoyment of the property [NPC v.
1. The execution of the office after taking Spouses Asoque, G.R. No. 172507
the oath of office and executing any (2016)].
official bond required by the law;
2. Demand of the respondent all the There is taking when the expropriator enters
books and papers in the respondent’s private property not only for a momentary
custody or control appertaining to the period but for a more permanent duration for
office to which judgment relates. the purpose of devoting the property to a public
o If the respondent refuses or use in such a manner as to oust the owner and
neglects to deliver any book or deprive him of all the beneficial enjoyment
paper pursuant to such thereof [Republic v. Sarabia, G.R. No. 157847
demand, he may be punished (2005)].
for contempt as having
disobeyed a lawful order of the Public use means public usefulness, utility, or
court [Sec. 10, Rule 66]. advantage, or what is productive of the general
benefit, so that any appropriation of private
property by the State under its right of eminent
domain, for purposes of great advantage to the
community, is a taking for public use [Reyes v.

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National Housing Authority, G.R. No. 147511 sought to be condemned upon the
(2003)]. payment of just compensation to be
determined as of the date of the filing of the
Just compensation is the full and fair complaint [National Power Corporation v.
equivalent of the property taken from its owner Posada, G.R. No. 191945 (2015)].
by the expropriator. It is considered to be a sum
equivalent to the market value of the property, Note: A final order sustaining the right to
which is defined as the price fixed by the seller expropriate the property may be appealed by
in the open market in the usual and ordinary any party aggrieved thereby. Such appeal,
course of legal action and competition [2 Riano however, shall not prevent the court from
284-285, 2016 Bantam Ed.]. determining the just compensation to be paid
[Sec. 4, Rule 67].
When market value should be fixed:
a. If plaintiff takes possession before the Second Stage: Just Compensation
institution of proceedings: value is fixed as 1. The determination by the Court of “the
of the time of taking; or just compensation for the property
b. If taking coincides with or is subsequent to sought to be taken” with the assistance
the commencement of proceedings: value of not more than three (3)
is fixed as of date of filing of the commissioners.
complaint [Republic v. Philippine National 2. The order fixing the just compensation
Bank, G.R. No. L-14158 (1961)]. on the basis of the evidence before,
and the findings of, the commissioners
Where to file would be final [Id].
File the complaint for expropriation in the RTC
where property is located. The MTC has no 3. When Plaintiff Can Immediately
jurisdiction since an action for expropriation is Enter Into Possession of Real
incapable of pecuniary estimation [Barangay Property
San Roque v. Heirs of Pastor, G.R. No. 138816
(2000)]. The plaintiff shall have the right to take or enter
upon possession of the real property upon:
1. Matters to Allege in Complaint for 1. Filing of complaint or at any time
Expropriation thereafter;
2. After due notice to defendant; and
The verified complaint shall 3. Making a preliminary deposit [Sec. 2,
1. State with certainty the right and purpose Rule 67].
of expropriation;
2. Describe the real or personal property
sought to be expropriated; and
3. Join as defendants all persons owning or
claiming to own, or occupying, any part
thereof or interest therein, showing, so far
as practicable, the separate interest of
each defendant.

2. Two Stages in Every Action for

Expropriation

First Stage: Propriety of Expropriation

1. The determination of the authority of the
plaintiff to exercise the power of eminent
domain and the propriety of its exercise in
the context of the facts involved in the suit.
2. Ends with an order of dismissal or order of
condemnation declaring that the plaintiff
has a lawful right to take the property

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Preliminary deposit Corporation v. NTC, G.R. Nos. 231655 and
If real property: 231670 (2018)].
An amount equivalent to the
assessed value of the property R.A. 10752
for purposes of taxation. Republic Act 10752, also known as “The Right
of Way Act” follows a similar declaration of
Value policy as RA 8974 for the expeditious
If personal property:
Its value shall be provisionally acquisition of the required right-of-way for the
ascertained and the amount to projects.
be deposited shall be promptly
fixed by the court. Whenever it is necessary to acquire real
property for the right-of-way sit or location for
With the authorized government any national government infrastructure through
Where to depository to be held by such expropriation, the appropriate implementing
deposit bank subject to the orders of the agency, through the Office of the Solicitor
court. General, the Office of the Government
Corporate Counsel, or their deputize
General Rule: In money. government or private legal counsel, shall
immediately initiate the expropriation
Exception: In lieu of money, the proceedings before the proper court.
court authorizes the deposit of a
Form of certificate of deposit of a Upon the filing of the complaint or at any time
deposit government bank of the thereafter, and after due notice to the
Republic of the Philippines defendant, the implementing agency shall
payable on demand to the immediately deposit to the court in favor of the
authorized government owner the amount equivalent to the sum of
depository. 1. 100% of the value of the land based on
the current relevant zonal valuation of
The court shall order the sheriff the BIR issued not more than 3 years
or other proper officer to prior to the filing of the expropriation
After forthwith place the plaintiff in complaint.
deposit is possession of the property 2. The replacement cost at current market
made involved and promptly submit a value of the improvements and
report thereof to the court with structures as determined by
service of copies to the parties. a. The implementing agency
[Sec. 2, Rule 67] b. A government financial
institution with adequate
experience in property
4. Guidelines for Expropriation
appraisal, and
Proceedings of the National c. An independent property
Government appraiser accredited by the
BSP.
R.A. 8974 (For national government 3. The current market value of crops and
infrastructure projects) trees located within the property as
Republic Act 8974 ensures that owners of real determined by a government financial
property acquired for national government institution or an independent property
infrastructure projects are promptly paid just appraiser to be selected as indicated in
compensation. Sec. 5(a).

However, R.A. 8974 has been repealed by Upon compliance with the guidelines above
R.A. 10752, which substantially maintained in mentioned, the court shall immediately issue to
Section 6 thereof the requirement of “deposit” the implementing agency an order to take
of 100% of the value of the land based on the possession of the property and start the
current relevant BIR zonal valuation issued not implementation of the project.
more than three (3) years prior to the filing of
the expropriation complaint [Felisa Agricultural
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If, within 7 working days after the deposit to the 2. BIR is mandated to come up with a zonal
court, it has not issued to the implementing valuation for the provinces, municipalities,
agency a writ of possession for the affected and other areas with no zonal valuation.
party, counsel of the implementing agency When: Within 60 days from the date of
shall immediately seek its issuance. The court expropriation case;
shall release the amount to the person 3. Implementing agency shall immediately
adjudged the same expropriation proceeding pay the owner of the property its proferred
as entitled thereto. value, taking into consideration the
standards under RA 8974.
In provinces, cities, municipalities, and other Applicability: In case the completion of
areas where there is no land classification, the the infrastructure is of utmost urgency and
city or municipal assessor is hereby mandated, importance + no existing valuation of the
within the period of 60 days from the date of concerned area.
filing of the expropriation case, to come up with
the required land classification and the Court action: Upon compliance with the above
corresponding declaration of real property and guidelines, the court shall immediately issue to
improvement for the area. the implementing agency an order to take
possession of the property and start the
In case the completion of a government implementation of the project.
infrastructure project is of utmost urgency and
importance, and there is no land classification Condition precedent to Writ of Possession:
or no existing zonal valuation of the area Implementing agency shall present a certificate
concerned or the zonal valuation has been in of availability of funds to the court, issued by
force for more than three (3) years, the the proper official concerned.
implementing agency shall use the BIR zonal
value and land classification of similar lands If the property owner contests the value: The
within the adjacent vicinity as the basis for the court shall determine the just compensation to
valuation. be paid to the owner within sixty (60) days from
the date of filing of the expropriation case.
In the event that the owner of the property When the decision of the court becomes final
contests the implementing agency’s proffered and executory, the implementing agency shall
value, the court shall determine the just pay the owner the difference between the
compensation to be paid the owner within 60 amount already paid and the just
days from the date of filing of the expropriation compensation as determined by the court.
case [Sec. 6, R.A. 10752].
Note that Section 16 of RA 10752 expressly
Infrastructure Projects [Sec. 4, RA 8974] repealed RA 8974. However, Section 4 of RA
Whenever it is necessary to acquire real 8974 is included under the 2022 Remedial Law
property for the right-of-way or location for any Bar Syllabus.
national government infrastructure project
through expropriation, the appropriate
implementing agency shall initiate the For Non-government Infrastructure
expropriation proceedings before the proper Projects
court under the following guidelines: If expropriation is engaged in by the national
1. The implementing agency shall government for purposes other than national
immediately pay the owner of the property infrastructure projects, the assessed value
the amount equivalent to the sum of 100% standard and deposit mode prescribed in Rule
the value of the real property based on the 67 continues to apply. In such a case, the
current relevant zonal valuation of the BIR government is required only to make an initial
+ value of the improvements and/or deposit with an authorized government
structures depository [2 Riano 297-298, 2016 Bantam
When: Upon filing of the complaint for Ed.].
expropriation and after due notice to the
defendant.

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5. Defenses and Objections 2. When no party appears to defend as
required by this Rule [Sec. 3, Rule 67].
No objection With
to taking objection to
Contents of Order
taking
The court may issue an order of expropriation
What to file Notice of Answer declaring that:
and serve appearance a. The plaintiff has a lawful right to take the
and a property sought to be expropriated,
manifestation b. For the public use or purpose described in
the complaint,
Period to file Within the time stated in the c. Upon the payment of just compensation to
summons be determined as of the date of the taking
of the property or the filing of the complaint,
Contents 1.Manifestati 1. Specifical- whichever came first [Sec. 4, Rule 67].
on to the ly designate
effect that he or identify the Remedy of Defendant
has no property in A final order sustaining the right to expropriate
objection or which he the property may be appealed by any party
defense; and claims to have aggrieved thereby.
2. Specifical- an interest;
ly 2. State the
Note: Such appeal, however, shall not prevent
designating/ nature and
the court from determining the just
identifying the extent of the
compensation to be paid [Sec. 4, Rule 67].
property in interest
which he claimed; and
claims to be 3. Adduce all 7. Ascertainment of Just
interested his objection Compensation
and defenses
to the taking Upon the rendition of the order of expropriation,
of this the court shall appoint not more than three (3)
property. competent and disinterested persons as
commissioners to ascertain and report to the
court the just compensation for the property
Prohibited Counterclaim, sought to be taken [Sec. 5, Rule 67].
cross-claim or
third-party 8. Appointment of Commissioners;
complaint in Commissioner’s Report; Court Action
the answer or
Upon Commissioner’s Report
any
subsequent
Qualifications
pleading
1. Competent; and
2. Disinterested [Sec. 5, Rule 67].
Effect of Failure to File Answer
The failure to file an answer does not produce Objection to the Appointment
the consequences of default in ordinary civil Objections to the appointment of any of the
actions. The defendant may still present commissioners shall be:
evidence as to just compensation [Robern 1. Filed with the court within 10 days from
Development Corp. v. Quitain, G.R. No. service, and
135042 (1999)]. 2. Resolved within 30 days after all the
commissioners shall have received copies
6. Order of Expropriation of the objections [Sec. 5, Rule 67].

When Issued Duties of Commissioners

1. If the objections to and the defenses The commissioners shall:
against the right of the plaintiff to a. After due notice to the parties to attend,
expropriate the property are overruled, or view and examine the property sought
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to be expropriated and its Note: The commissioners ’proceedings shall
surroundings, and may measure the not be effectual until the court shall have
same, after which either party may, by accepted their report and rendered judgment in
himself or counsel, argue the case. accordance with their recommendations [Sec.
a. Unless the parties consent to 7, Rule 67].
the contrary.
b. Assess the consequential damages to Action Upon Commissioner’s Report
the property not taken and deduct from a. Upon the expiration of the period of 10 days
such consequential damages the for the filing of objections to the
consequential benefits to be derived by commissioner’s report, or
the owner from the public use or b. Before the expiration of such period but
purpose of the property taken, the after all the interested parties have filed
operation of its franchise by the their objections to the report or their
corporation or the carrying on of the statement of agreement
business of the corporation or person
taking the property. The court may:
a. In no case shall the 1. After hearing, accept the report and render
consequential benefits judgment in accordance therewith, or
assessed exceed the 2. For cause shown, recommit the same to
consequential damages the commissioners for further report of
assessed, or the owner be facts, or
deprived of the actual value of 3. Set aside the report and appoint new
his property so taken [Sec. 6, commissioners, or
Rule 67]. 4. Accept the report in part and reject it in
part.
Action by the Court
The court may: The court may make such order or render such
1. Order the commissioners to report when judgment as shall secure to the
any particular portion of the real estate shall a. Plaintiff – the property essential to the
have been passed upon by them, and exercise of his right of expropriation, and to
2. Render judgment upon such partial report, the
and b. Defendant – just compensation for the
3. Direct the commissioners to proceed with property so taken [Sec. 8, Rule 67].
their work as to subsequent portions of the
property sought to be expropriated, and The appointment of commissioners to
may from time to time so deal with such ascertain just compensation for the property
property [Sec. 7, Rule 67]. sought to be taken is a mandatory
requirement in expropriation cases [2 Riano
Commissioners’ report 301, 2016 Bantam Ed.].
The commissioners shall make a full and
accurate report to the court of all their
proceedings.
9. Rights of Plaintiff Upon Judgment
• Except as otherwise expressly ordered and Payment
by the court, such reports shall be filed
within 60 days from the date the The plaintiff shall have the right to:
commissioners were notified of their a. Enter upon the property expropriated and
appointment. to appropriate it for the public use or
• Time for submission of the report may purpose defined in the judgment, or
be extended at the discretion of the b. Retain it should he have taken immediate
court. possession thereof under the provisions of
Sec. 2, Rule 67 [Sec. 10, Rule 67].
• Upon the filing the report, the COC
shall serve copies on all interested
Note: Such rights of the plaintiff are not delayed
parties, with notice that they are
by an appeal from the judgment [Sec. 11, Rule
allowed 10 days within which to file
67].
objections to the findings of the report,
if they so desire.
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When the Rights Arise b. Registration of property (by
a. Upon payment by the plaintiff to the recording of the judgment in
defendant of the compensation fixed by the the registry of deeds where the
judgment, with legal interest thereon from property is situated) [Sec. 13,
the taking of the possession of the Rule 67]
property, or
b. After tender to him of the amount so fixed I. Foreclosure of Real Estate
and payment of the costs [Sec. 10, Rule
67]. Mortgage

When Payment Is to the Court Foreclosure is the necessary consequence of

If the ownership as to the property is uncertain non-payment of mortgage indebtedness. The
or there are conflicting claims, the court may mortgage can be foreclosed only when:
order that the payment be made to the court for 1. The debt remains unpaid at the time it is
the benefit of the person adjudged to be due [Producers Bank v. CA, G.R. No.
entitled thereto. This is to enable the plaintiff to 111584 (2001)], or
enter the property or retain it [Sec. 9, Rule 67]. 2. In case of default in the payment of
obligation [PNB v. CA, G.R. No. 126908
(2003)]
If the defendant and his counsel absent
themselves from the court, or decline to receive
the amount tendered, the same shall be The cause of action in a foreclosure suit is
ordered to be deposited in court and such generally the non-payment of the mortgage
deposit shall have the same effect as actual loan, but it may be on other grounds which
payment thereof to the defendant or the person under the contract warrant the foreclosure,
ultimately adjudged entitled thereto [Sec. 10, such as the violation of the other conditions
Rule 67]. therein [1 Regalado 852, 2010 Ed.].

Effect of Non-payment of Just 1. Kinds of Foreclosure

Compensation
Non-payment of just compensation does not a. Judicial Foreclosure [Rule 68]
entitle the private landowner to recover
possession of the expropriated lots. However, Judicial foreclosure is a mode of foreclosure
in cases where the government failed to pay that is done pursuant to Rule 68 of the Rules of
just compensation within 5 years from the Court [2 Riano 313, 2016 Bantam Ed.].
finality of judgment in the expropriation
proceedings, the owners concerned shall have Nature of the Action
the right to recover possession of their property An action to foreclose a real estate mortgage
[Yujuico v. Atienza, G.R. No. 164282 (2005)]. may be rightly considered as an action
involving interest in real property, hence a real
10. Effect of Recording Judgment action [2 Riano 312-313, 2016 Bantam Ed.].

Contents of the Judgment Jurisdiction

The judgment rendered shall state definitely: Under BP 129, where the action is one
1. By an adequate description, the involving title to, or possession of, real
particular property or interest therein property, the determination of jurisdiction shall
expropriated, and be made by inquiring into the assessed value
2. The nature of the public use or purpose of the property. From this point of view,
for which it is expropriated [Sec. 13, exclusive original jurisdiction would fall either in
Rule 67]. the MTC or the RTC depending on the
assessed value [2 Riano 312-313, 2016
When Title to Property Vests Bantam Ed.].
1. Personal property – upon payment of
just compensation [Sec. 10, Rule 67]. Form
2. Real property – Upon The complaint shall set forth:
a. Payment of just compensation; 1. The date and due execution of the
and mortgage;
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2. Its assignments, if any; municipal or city hall, post office, and public
3. The names and residences of the market in the municipality or city where the sale
mortgagor and the mortgagee; is to take place. Such notice must particularly
4. A description of the mortgaged describe the property and state where the
property; property is to be sold [Sec 15(c), Rule 39].
5. A statement of the date of the note or
other documentary evidence of the Effect of Failure to Post Notice
obligation secured by the mortgage; The failure to post a notice is not per se a
6. The amount claimed to be unpaid; and ground for invalidating the sale provided that
7. The names and residences of all the notice thereof is duly published in a
persons having or claiming an interest newspaper of general circulation [DBP v.
in the property subordinate in right to Aguirre, G.R. No. 144877 (2001)].
the holder of the mortgage.
8. Such persons shall be made Publication
defendants in the action [Sec. 1, Rule If the assessed value of the property exceeds
68]. P50,000, one must also publish a copy of the
notice once a week for 2 consecutive weeks in
1. Where to File one newspaper having general circulation in
the province or city [Sec. 15 (c), Rule 39].
Venue
A foreclosure action must be brought in the Personal Notice to Mortgagor
RTC of the province where the land or any part The mortgagor is notified through the service of
thereof is situated. If a mortgage contract summons [Sec. 1, Rule 68].
covers several distinct parcels of land situated
in different provinces, the action may be Possession of Property
brought in the RTC of any of the provinces and General Rule: Upon the finality of the order of
the judgment will be enforceable against any of confirmation or upon the expiration of the
the parcels of land involved [Monte dfe Piedad period of redemption, the purchaser at the
v. Rodrigo, G.R. No. L-42928 (1936)]. auction sale or last redemptioner, if any, shall
be entitled to the possession of the property.
Where to Sell • Order of confirmation; After the
In Judicial Foreclosure foreclosure sale, the mortgagee should
When the defendant fails to pay the amount of file a motion for the confirmation of the
the judgment ascertaining the amount due to sale. Such requires notice and hearing.
the plaintiff upon the mortgage debt, the court, During the hearing, the mortgagor will
upon motion, shall order the property to be sold be allowed to show why the sale should
in the manner and under the provisions of Rule not be confirmed. If, after such, the
39 and other regulations governing sales of court finds ground to confirm, it shall
real estate under execution [Sec. 3, Rule 68]. issue the order of confirmation [2 Riano
318-319, 2016 Bantam Ed.].
Under Rule 39, the notice of sale shall specify • Such order removes from the parties
the place, date, and exact time of the sale. The the right to the property, and grants
place of the sale may be agreed upon by the such right to the purchaser, subject to
parties. redemption [2 Riano 319, 2016 Bantam
Ed.].
In the absence of such agreement, the sale of • Such order of confirmation is
real property shall be held in the office of the appealable [2 Riano 320, 2016 Bantam
clerk of court in the RTC or MTC which issued Ed.].
the writ, or which was designated by the
appellate court [Sec. 15, Rule 39]. Exception: When a third party is actually
holding the same adversely to the judgment
Posting Requirement obligor. In such a case, the purchaser or the
Before the sale of real property, it is required last redemptioner may secure a writ of
that there be posting for 20 days in 3 public possession, upon motion, from the court [Sec.
places, preferably in conspicuous areas of the 3, Rule 68].

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Remedy of Debtor if Foreclosure Not Proper Note: What Secs. 2-3, Rule 68 provide for is
The debtor-mortgagor is allowed the the mortgagor’s equity of redemption. This may
opportunity to show why the sale should not be be exercised by him even beyond the period to
confirmed during the hearing on the motion of pay the judgment obligation (i.e. 90-120 days)
confirmation of the sale [2 Riano 318, 2016 and even after the foreclosure sale itself,
Bantam Ed.]. provided it be before the order of the
confirmation of sale [Rosales v. Alfonso, G.R.
A failure to give notice of the hearing for motion No. 137792 (2003)].
of confirmation is good cause for setting aside
the sale [Grimalt v. Velasquez, 36 Phil 936 Who May Redeem
(1917)]. The equity of redemption is the mortgagor’s
equity to be able to extinguish the mortgage
Redemption and retain ownership of the property [2 Riano
There is no right of redemption in a judicial 316, 2016 edition].
foreclosure under Rule 68.
Amount
In judicial foreclosure, there is only an equity In equity of redemption, the price that needs to
of redemption which can be exercised prior to be paid in order to retain ownership of the
the order of confirmation of the foreclosure property and extinguish the mortgage would be
sale. This means that after the foreclosure sale the debt amount [2 Riano 317, 2016 Bantam
but before its confirmation, the mortgagor may Ed.].
exercise his right to pay the proceeds of the
sale and prevent the confirmation of the sale. b. Extrajudicial Foreclosure
• Exception: There is a right of
redemption in a judicial foreclosure if Extrajudicial foreclosure is a mode of
the foreclosure is in favor of banks, as foreclosure that is done pursuant to Act 3135,
provided for in the General Banking as amended by Act 4118 [2 Riano 313, 2016
Law [Sec. 47]. Bantam Ed.].

Equity of Redemption vs. Right of Need for Special Power of Attorney

Redemption Extrajudicial foreclosure is the mode to be used
if there is a special power inserted in the real
Right of
Equity of Redemption estate mortgage contract allowing an
Redemption
extrajudicial foreclosure sale. Where there is
Right of defendant Right of the debtor, no such special power, the foreclosure shall be
mortgagor to his successor in done judicially following Rule 68 [2 Riano 313,
extinguish the interest, or any 2016 Bantam Ed.].
mortgage and retain judicial creditor of
ownership of the said debtor or any Where to Sell
property by paying the person having a Said sale cannot be made legally outside of the
secured debt within the lien on the property province in which the property sold is situated;
90 to 120-day period subsequent to the and in case the place within said province in
after entry of judgment mortgage. which the sale is to be made is subject to
or even after the stipulation, such sale shall be made in said
foreclosure sale but place or in the municipal building of the
prior to its confirmation municipality in which the property or part
thereof is situated [Sec. 2, Act 3135].
Governed by Rule 68 Governed by Secs.
29-31, Rule 39 Notice
Period is 90-120 days Period is 1 year Notice shall be given by posting notices of the
sale for not less than 20 days in at least 3 public
after entry of judgment from date of
or even after registration of places of the municipality or city where the
property is situated [Sec. 3, Act 3135].
foreclosure sale but certificate of sale.
prior to confirmation.

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Publication redemption within one year from the date of
If such property is worth more than P400, such sale, but interpreted by the court to mean one
notice shall also be published once a week for year from the registration of the sale.
at least three consecutive weeks in a
newspaper of general circulation in the Who May Redeem
municipality or city [Sec. 3, Act 3135]. The debtor, his successors in interest or any
judicial creditor or judgment creditor of said
Republication debtor, or any person having a lien on the
During extrajudicial foreclosure proceedings property subsequent to the mortgage or deed
under Act 3135, republication as well as of trust under which the property is sold, may
reposting of the notice of sale is required if the redeem the same [Sec. 6, Act 3135].
foreclosure does not proceed on the date
originally intended. The lack of republication of Note: The period for redemption in extrajudicial
the notice of the foreclosure sale renders it void foreclosure is shortened when the mortgagor is
[Metrobank v. Nikko, G.R. No. 178479 (2009)]. a juridical person. The period of redemption is
“until but not after” the registration of certificate
Personal Notice to Mortgagor of sale with the Register of Deeds, “which in no
General Rule: Personal notice to the case shall be more than 3 months after
mortgagor in extrajudicial foreclosure foreclosure, whichever is earlier” [2 Riano 317,
proceedings is not necessary, and posting 2016 Bantam Ed.].
and publication will suffice.
Amount
Exception: When the parties stipulate that With respect to the right of redemption, the
personal notice is additionally required to be amount of the purchase price differs depending
given the mortgagor. Failure to abide by the on whether the entity redeeming is a bank or
general rule, or its exception, renders the not.
foreclosure proceedings null and void 1. Bank redemptioner – The redemption
[Paradigm v. BPI, G.R. No. 191174 (2017)]. price shall be:
a. The amount due under the
Possession of Property mortgage deed,
The purchaser may petition the RTC of the b. Interest rate specified in the
province or place where the property or any mortgage, and
part thereof is situated, to give him possession c. Expenses incurred by the bank
thereof during the redemption period, from the sale of the property.
furnishing bond in an amount equivalent to the 2. Non-bank redemptioner – The
use of the property for a period of twelve redemption price shall be
months, to indemnify the debtor in case it be a. Full amount paid by the
shown that the sale was made without violating purchaser,
the mortgage or without complying with the b. 1% interest per month on the
requirements of this Act [Sec. 7, Act 3135]. purchase price, up to the time
of redemption,
Remedy of Debtor if Foreclosure Not Proper c. Taxes assessed that purchaser
The debtor may, in the proceedings in which paid, and
possession was requested, but not later than d. Interest of 1% on the taxes
30 days after the purchaser was given assessed [De Leon 557,
possession, petition that the sale be set aside Comments and Cases on
and the writ of possession cancelled, Credit Transactions, 2016 Ed.].
specifying the damages suffered by him,
because the mortgage was not violated or the
sale was not made in accordance with the
provisions hereof [Sec. 8, Act 3135].

Redemption
This right exists only in extrajudicial
foreclosure where there is always a right of
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Judicial Foreclosure vs. Extrajudicial Foreclosure of REM Under the General
Foreclosure Banking Law
Judicial Extrajudicial In foreclosure (whether judicial or extrajudicial)
Foreclosure Foreclosure of any mortgage on real estate which is security
for any loan or other credit accommodation
Requires court No court intervention granted, the mortgagor or debtor whose real
intervention necessary property has been sold for the full or partial
payment of his obligation shall have the right to
There is only an Right of redemption redeem the property by paying the amount due
equity of exists; mortgagor has under the mortgage deed, with interest thereon
redemption [Huerta a right to redeem the at rate specified in the mortgage, and all the
Alba Resort, Inc. v. property within one costs and expenses incurred by the bank or
CA, G.R. No. year from registration institution from the sale and custody of said
128567 (2000)]. of the deed of sale property less the income derived therefrom,
[Huerta Alba Resort, within 1 year after the sale of the real estate.
Inc. v. CA, G.R. No.
128567 (2000), citing However, the purchaser at the auction sale
Act 3135]. shall have the right to enter upon and take
possession of such property immediately after
Governed by Rule Governed by Act 3135
the date of the confirmation of the auction sale
68
and administer the same in accordance with
There could be a No deficiency law.
deficiency judgment judgment because
[Sec. 6, Rule 68]. there is no judicial Any petition in court to enjoin or restrain the
proceeding in the conduct of foreclosure proceedings instituted
foreclosure of the pursuant to this provision shall be given due
mortgage itself [1 course only upon the filing by the petitioner of
Regalado 859, 2010 a bond in an amount fixed by the court
Ed.]. conditioned that he would pay all the damages
which the bank may suffer by the enjoining or
Deficiency Recovery of deficiency the restraint of the foreclosure proceeding.
judgment is through an
shall be rendered, independent action [1 Juridical persons whose property is being
on motion [1 Regalado 859, 2010 sold pursuant to an extrajudicial
Regalado 859, Ed.]. foreclosure, shall have the right to redeem
2010 Ed.]. the property until the registration of the
certificate of foreclosure sale with the
Exception: Exception: Juridical
applicable Register of Deeds, which in no case
Mortgagor may persons shall have the
shall be more than 3 months after foreclosure,
exercise right of right to redeem until,
whichever is earlier.
redemption within but not after, the
one year after the registration of the
sale, when the loan certificate of Owners of property that has been sold in a
or credit foreclosure sale with foreclosure sale prior to the effectivity of this
accommodation is the Register of Deeds Act shall retain their redemption rights until
granted by a bank which in no case shall their expiration [Sec. 47, RA 8791].
[Sec. 47, R.A. be more than 3
8791]. months after Effect of Pendency of Action for Annulment
foreclosure, whichever of Sale
is earlier [Sec. 47, The pendency of a suit for annulment of the
R.A. 8791]. foreclosure proceedings does not defeat the
right of the purchaser to a writ of possession to
which the purchaser becomes entitled to as a
matter of right.

Note: An injunction to prohibit the enforcement

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of the writ is entirely out of place [Carpo v. 3. Annulment of Sale
Chua, 471 SCRA 471 (2005)].
See discussion on Remedy of debtor if
2. Writ of Possession foreclosure not proper.

The writ of possession is a means of J. Partition

recognizing and enforcing the rights of the
purchaser, since the confirmation of the Definition
foreclosure sale operates to divest all parties to Partition is the separation, division and
the action of their rights in the property and assignment of a thing held in common among
vests them in the purchaser [2 Riano 320, 2016 those to whom it may belong. Every act which
Bantam Ed.]. is intended to put an end to indivision among
co-heirs and legatees or devisees is deemed to
a. Ministerial Duty of the Court be a partition [Marcos v. Heirs of Isidro Bangi,
G.R. No. 185745 (2014)].
The purchaser shall be entitled to a writ of
possession upon: Partition may be:
1. Finality of the order of confirmation, or a) Judicial – Procedure is Rule 69
2. Expiration of the period for redemption. b) Extrajudicial – No court intervention is
required
Such writ shall be issued upon motion. Hence
the purchaser or last redemptioner must file a Nothing in Rule 69 contained shall be
motion for the issuance of a writ of possession construed to restrict or prevent persons holding
[2 Riano 320, 2016 Bantam Ed.]. real estate jointly or in common from making an
amicable partition by agreement and suitable
b. Enforcement Against Third Parties instruments of conveyance without recourse to
an action [Sec. 12, Rule 69].
The obligation of a court to issue a writ of
possession ceases to be ministerial when a Nature
third-party in possession of the property claims Quasi in rem [Valmonte v. CA, G.R. No.
a right that is adverse to that of the debtor- 108538 (1996)].
mortgagor.
When Partition Can Be Done
Remedy General Rule: Prescription does not run in
Where such third-party claim and possession favor of a co-owner or co-heirs as long as there
exist, the trial court should conduct a hearing to is a recognition of the co-ownership, expressly
determine the nature of the adverse or impliedly [2 Riano 416, 2012 Bantam Ed.].
possession [Barican v. IAC, G.R. No. 79906
(1988)]. Such is the case because a third party Exception: If a co-owner asserts adverse title
cannot be dispossessed on the strength of a to the property, in which case, the prescription
mere possessory writ [De Leon 589, period runs from such time of assertion of the
Comments and Cases on Credit Transactions, adverse title [De Castro v. Echarri, G.R. No.
2016 Ed.]. 5609 (1911)].
c. Pendency of Action for Annulment of 1. Who May File Complaint; Who
Sale
Should Be Made Defendants
A pending suit for annulment of the mortgage
Who May File
or annulment of the foreclosure proceedings
A person having the right to compel the
does not defeat the right of the purchaser to a
partition of real estate [Sec. 1, Rule 69].
writ of possession to which the purchaser is
entitled to as a matter of right. An injunction to
prohibit the issuance or enforcement of the writ
is entirely out of place [Carpo v. Chua, G.R. No.
150773 (2005)].
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Who Should Be Made Defendants Second Stage - Actual Partitioning of the
All other persons interested in the property Subject Property
[Sec. 1, Rule 69]. There can be no partition again because there
is no more common property. [Noceda v. CA,
Jurisdiction G.R. No. 119730 (1999)]
The courts with jurisdiction over the action for
partition are the MTC or the RTC depending on The action for partition is subject to multiple
the value of the property. appeals and would require a record on appeal
[Roman Catholic Archbishop of Manila v. CA,
If the value of the property is below such G.R. No. 77425 (1991)].
threshold, then the MTC has jurisdiction. If the
value is greater, then the RTC has jurisdiction. 4. Order of Partition and Partition
Agreement
2. Matters to Allege in the Complaint
for Partition Order of Partition
If after the trial the court finds that the plaintiff
1. The nature and extent of his title; has the right thereto, it shall order the partition
2. Adequate description of the real estate of the real estate among all the parties in
of which partition is demanded; and interest [Sec. 2, Rule 69].
3. Join as defendants all other persons
interested in the property [Sec. 1, Rule Partition by Agreement
69]. 1. The parties may, if they are able to
4. Demand for accounting of the rents, agree, make the partition among
profits, and other income from the themselves by proper instruments of
property to which he may be entitled to conveyance,
as his share [Sec. 8, Rule 69] since 2. The court shall confirm the partition so
these cannot be demanded in another agreed upon by all the parties, and
action (because they are part of the 3. Such partition, together with the order
cause of action for partition), they are of the court confirming the same, shall
barred if not set up [2 Riano 420, 2012 be recorded in the registry of deeds of
Bantam Ed.]. the place in which the property is
situated [Sec. 2, Rule 69].
3. Two Stages in Every Action for
Partition 5. Partition by Commissioners;
Appointment of Commissioners,
First Stage - Determination of the Propriety Commissioner’s Report; Court Action
of Partition Upon Commissioner’s Report
This involves a determination of whether the
subject property is owned in common and When Proper
whether all the co-owners are made parties in When the parties are unable to agree upon the
the case [Lacbayan v. Samoy, G.R. No. partition [Sec. 3, Rule 69].
165427 (2011)].
Action of the Court
Remedy 1. The court shall appoint not more than 3
A final order decreeing partition and accounting competent and disinterested persons
may be appealed by any party aggrieved as commissioners to make the
thereby [Sec. 2, Rule 69]. partition,
2. Commanding them to set off to the
If not appealed, then the parties may partition plaintiff and to each party in interest
the common property in the way they want. If such part and proportion of the
they cannot agree, then the case goes into the property as the court shall direct [Sec.
second stage. However, the order of 3, Rule 69].
accounting may in the meantime be executed
[De Mesa v. CA, G.R. No.109387 (1994)].

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Duties of Commissioners and rendered judgment thereon [Sec. 6, Rule
a. View and examine the real estate, after due 69].
notice to the parties to attend at such view
and examination, Hearing on the Report
b. Hear the parties as to their preference in a. Upon the expiration of the period of 10
the portion of the property to be set apart to days to file objections, or
them and the comparative value thereof, b. Even before the expiration of such period
and but after the interested parties have filed
c. Set apart the same to the parties in lots or their objections to the report or their
parcels as will be most advantageous and statement of agreement therewith, the
equitable, having due regard to the court may
improvements, situation and quality of the a. Upon hearing, accept the report and
different parts thereof [Sec. 4, Rule 69]. render judgment in accordance
therewith, or,
Note: The provision authorizes the b. For cause shown, recommit the
commissioners merely to make or effect the same to the commissioners for
partition. It does not grant them the authority to further report of facts, or
adjudicate on questions of title or ownership [1 c. Set aside the report and appoint
Riano 424, 2012 Bantam Ed.]. new commissioners, or
d. Accept the report in part and reject it
Assignment of Real Estate to One Party in part.
General Rule: When it is made to appear to
the commissioners that the real estate, or a The court may order a fair and just partition of
portion thereof, cannot be divided without the real estate, or of its value, if assigned or
prejudice to the interests of the parties, the sold as above provided, between the several
court may order it assigned to one of the parties owners thereof [Sec. 7, Rule 69].
willing to take the same, provided he pays to
the other parties such amounts as the
commissioners deem equitable.

Exception: If one of the interested parties asks

that the property be sold instead of being so
assigned, in which case the court shall order
the commissioners to sell the real estate at
public sale under such conditions and within
such time as the court may determine [Sec. 5,
Rule 69].

Commissioner’s Report
1. The commissioners shall make a full
and accurate report to the court of all
their proceedings as to the partition, or
the assignment of real estate to one of
the parties, or the sale of the same.
2. Upon the filing of such a report, the
COC shall serve copies thereof on all
the interested parties with notice that
they are allowed 10 days within which
to file objections to the findings of the
report, if they so desire.

Note: No proceeding had before or conducted

by the commissioners shall pass the title to the
property or bind the parties until the court shall
have accepted the report of the commissioners

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6. Judgment and Its Effects so far as the same may be applicable [Sec. 13,
Rule 69].
Contents of
Judgment
Effects of Judgment 8. Prescription of Action

If actual partition is properly made General Rule:

The right of action to demand partition does
Judgment shall state Judgment shall vest in not prescribe [Bautista v. Grino-Aquino, G.R.
definitely, by metes each party to the action No. 79958 (1988)].
and bounds and in severalty the portion
adequate of the real estate Exception:
description, the assigned to him Where one of the interested parties openly and
particular portion of adversely occupies the property without
the real estate recognizing the co-ownership [Cordova v.
assigned to each Cordova, G.R. No. L-9936 (1958)].
party

If the whole property is assigned to one of Note: If a co-owner repudiates the co-
the parties after payment ownership and makes known such repudiation
to the other co- owners, then partition is no
Judgment shall state Judgment shall vest in longer a proper remedy of the aggrieved co-
the fact of such the party making the owner. He must file an accion reivindicatoria,
payment and of the payment the whole of which is prescriptible [Roque v. IAC, G.R. No.
assignment of the the real estate free from 75886 (1988)].
real estate to the any interest on the part
party making the of the other parties to 9. When Partition Is Not Allowed
payment the action
The following instances are cases when a co-
owner cannot demand partition, to wit:
If the property is sold and the sale 1. There is an agreement among the co-
confirmed by the court owners to keep the property undivided
for a certain period of time not
Judgment shall state Judgment shall vest the
exceeding 10 years. The term may
the name of the real estate in the
however be extended by a new
purchaser or purchaser or
agreement [Art. 494, Civil Code].
purchasers and a purchasers making the
2. When partition is prohibited by the
definite description payment or payments,
donor or testator for a period not
of the parcels of real free from the claims of
exceeding 20 years [Art. 494, Civil
estate sold to each any of the parties to the
Code].
purchaser action
3. When a partition is prohibited by law
[Art 494, Civil Code].
[Sec. 11, Rule 69] 4. When the property is not subject to a
physical division and to do so would
A certified copy of the judgment shall in either render it unserviceable for the use for
case be recorded in the registry of deeds of the which it is intended [Art. 495, Civil
place in which the real estate is situated, and Code].
the expenses of such recording shall be taxed 5. When the condition imposed upon
as part of the costs of the action [Sec. 11, Rule voluntary heirs before they can
69]. demand partition has not yet been
fulfilled [Art. 1084, Civil Code].
7. Partition of Personal Property

The provisions of Rule 69 shall apply to

partitions of estates composed of personal
property, or both real and personal property, in

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K. Forcible Entry and Unlawful The 1-year period is Period is counted from
Detainer generally counted the date of last
from the date of actual demand [Sarona v.
Ejectment cases are summary proceedings entry on land [1 Villegas, G.R. No. L-
intended to provide an expeditious means of Regalado 873, 2010 22984 (1968)] or last
protecting actual possession of property Ed.]. letter of demand [DBP
[Tubiano v. Razo, G.R. No. 132598 (2000)]. v. Canonoy, G.R. No.
L-29422 (1970)].
The actions for forcible entry and unlawful
detainer belong to the class of actions known
by the generic name accion interdictal In order to constitute force, the act of going to
(ejectment) where the issue is the right of the property and excluding the lawful
physical or material possession of the possessor necessarily implies the exertion of
subject real property independent of any claim force over the property which is all that is
of ownership by the parties involved [A. necessary and sufficient to show that the action
Francisco Realty and Development Corp. v. is based on Sec. 1, Rule 70 [Bunyi v. Factor,
CA, G.R. No. 125055 (1988)]. G.R. No. 172547 (2009)].

1. Definitions and Distinction 2. Distinguish: Forcible Entry,

Unlawful Detainer, Accion Publiciana,
Forcible Entry Unlawful Detainer and Accion Reivindicatoria
(Detentacion) (Desahucio)
Three (3) kinds of action for recovery of
Possession of land by Possession is initially possession
the defendant is lawful but it becomes
Accion
unlawful from the illegal by reason of the Accion Accion
Reivindica
beginning as he termination of his right Interdictal Publiciana
-toria
acquires possession to possession of the
by force, intimidation, property under his Summary Plenary action An action
strategy, threat, or contract (express or action for for recovery of for
stealth (FISTS) [Dikit implied) with the recovery of real right of recovery of
v. Ycasiano, G.R. No. plaintiff [Dikit v. physical possession possession
L-3621 (1951)] Ycasiano, G.R. No. L- possession when based on
3621 (1951)] where the dispossession ownership
dispossession has lasted for [1
has not lasted more than one Regalado
No previous demand Demand is for more than year [1 872, 2010
for the defendant to jurisdictional [Sec. 2, one year [1 Regalado 872, Ed.]
vacate the premises is Rule 70; Medel v. Regalado 871- 2010 Ed.]
necessary [Sec. 2, Militante, G.R. No. 872, 2010 Ed.]
Rule 70; Medel v. 16096 (1921)].
Militante, G.R. No. MTC has RTC has jurisdiction if the
16096 (1921)]. jurisdiction value of the property
[Sec. 33(2), exceeds P400,000
Plaintiff must prove Plaintiff need not have
B.P. 129, as
that he was in prior been in prior physical
amended] MTC has jurisdiction if value
physical possession of possession [Pharma
of the property does not
the premises until he Industries, Inc. v.
exceed the above amount
was deprived thereof Pajarillaga, G.R. No.
[R.A. 11576 (2021)]
by defendant [Pharma 53788 (1980)].
Industries, Inc. v.
Pajarillaga, G.R. No.
53788 (1980)].

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3. Jurisdiction in Accion Publiciana In Unlawful Detainer
and Accion Reivindicatoria 1. Lessor, vendor, vendee, or other
person against whom any land or
Accion Publiciana and Accion building is unlawfully withheld; or
Reivindicatoria 2. His legal representatives or assigns
[Sec. 1, Rule 70].
Pre-RA 11576 RA 11576
Period of Filing
RTC has jurisdiction RTC has jurisdiction
Within 1 year after the unlawful deprivation or
where the assessed where the assessed
withholding of possession [Sec. 1, Rule 70].
value of the property value of the property
exceeds PHP 20,000 exceeds PHP 400,000
or, in Metro Manila, Reckoning Points:
PHP 50,000 For forcible entry
General Rule: It is counted from the date of
actual entry on the land [1 Regalado 873, 2010
Ed.]

Exception: In case of stealth or strategy, from

the time plaintiff learned of entry [Vda. de Prieto
MTC has jurisdiction if MTC has jurisdiction if v. Reyes, G.R. No. L-21740 (1965)].
the assessed value the assessed value
does not exceed does not exceed said For unlawful detainer
above amounts amount It is counted from the date of last demand
[Sarona v. Villegas, G.R. No. L-22984 (1968)].

Against Whom May the Action Be

a. R.A. 11576 (2021) Maintained
Person or persons unlawfully withholding or
Note: The cutoff date for the coverage of the depriving of possession, or any person/s
2022 Bar Examinations is 30 June 2021 as per claiming under them [Sec. 1, Rule 70].
Bar Bulletin No. 2, s. of 2022. RA 11576 was
signed into law on 30 July 2021 and took effect
5. Pleadings Allowed
last 21 August 2021.
The only pleadings allowed to be filed are the
Where the basic issue is not possession but 1. Complaint
interpretation, enforcement and/or rescission 2. Compulsory counterclaim pleaded in
of the contract, it is no longer an ejectment suit the answer
[Villena v. Chavez, G.R. No. 148126 (2003)]. 3. Cross-claim pleaded in the answer,
and
Accion Interdictal 4. Answers thereto [Sec. 4, Rule 70]
Exclusive original jurisdiction over forcible
entry and unlawful detainer suits is with the
Note: Pleadings must be verified [Sec. 4, Rule
MTC [Sec. 33(2), B.P. 129].
70].
4. Who May Institute the Action and
When; Against Whom the Action May
be Maintained

In Forcible Entry
A person deprived of possession of any land or
building by force, intimidation, strategy, threat,
or stealth.

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What Must Be Alleged in the Complaints Answer
Forcible Entry Unlawful Detainer a. Within 10 days from service of summons,
the defendant shall file his answer to the
1. Plaintiff had prior 1. Initially, possession complaint and serve a copy thereof on the
physical possession of of property by the plaintiff.
the property defendant was by o Affirmative and negative
2. The defendant contract with or by defenses not pleaded therein
deprived him of such tolerance of the shall be deemed waived,
possession by means plaintiff except lack of jurisdiction over
of FISTS [Abad v. 2. Eventually, such the subject matter.
Farrales, G.R. No. possession became o Cross-claims and compulsory
178635 (2011), citing illegal upon notice by counterclaims not asserted in
Sec. 1, Rule 70] plaintiff to defendant the answer shall be considered
3. That the complaint of the termination of barred.
was filed within 1 year the latter's right of b. The answer to counterclaims or cross-
from dispossession possession claims shall be served and filed within 10
[Sec. 1, Rule 70; 1 3. Thereafter, the days from service of the answer in which
Regalado 533, 2010 defendant remained in they are pleaded [Sec. 6, Rule 70].
Ed.] possession of the
property and deprived Effect of Failure to Answer
Note: First two the plaintiff of the 1. The court, motu proprio or on motion of
requirements are enjoyment thereof, the plaintiff, shall render judgment as
jurisdictional [Abad v. and may be warranted by the facts alleged
Farrales, G.R. No. 4. Within one year in the complaint and limited to what is
178635 (2011)] from the last demand prayed for therein.
on defendant to o The court may in its discretion
vacate the property, reduce the amount of damages
the plaintiff instituted and attorney’s fees claimed for
the complaint for being excessive or otherwise
ejectment unconscionable, without
[French v. CA, G.R. prejudice to the applicability of
No. 220057 (2017)] Sec. 3(c), Rule 9 if there are
two or more defendants [Sec.
7, Rule 70].
Note: Mere failure to pay rent does not ipso
facto make unlawful the tenant’s possession. It Preliminary Conference
is the demand to vacate and refusal to vacate A preliminary conference shall be held not later
which makes unlawful the withholding of than 30 days after the last answer is filed.
possession [Canaynay v. Sarmiento, G.R. No. • The provisions of Rule 18 on pre-trial
L-1246 (1947)]. shall be applicable to the preliminary
conference unless inconsistent with the
6. Action on the Complaint provisions of Rule 70.

1. The failure of the plaintiff to appear in

Motu Proprio Dismissal
the preliminary conference shall be
The court may dismiss the case outright on any
of the grounds for the dismissal of a civil cause for the dismissal of his
action which are apparent therein [Sec. 5, complaint.
2. The defendant who appears in the
Rule 70]
absence of the plaintiff shall be entitled
to judgment on his counterclaim in
Issuance of Summons accordance with the next preceding
If no ground for dismissal is found, it shall section.
forthwith issue summons [Sec. 5, Rule 70]. 3. All cross-claims shall be dismissed.
4. If a sole defendant shall fail to appear,
the plaintiff shall likewise be entitled to

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judgment in accordance with the next Contents
preceding section. Demand made upon the lessee to
o This procedure shall not apply a. Pay or comply with the conditions of the
where one of two or more lease, and
defendants sued under a b. Vacate [Sec. 2, Rule 70].
common cause of action who
had pleaded a common Form
defense shall appear at the 1. By service of written notice of such
preliminary conference. demand upon the person found on the
premises, or
No postponement of the preliminary 2. By posting of the written notice on the
conference shall be granted except for highly premises if no person be found
meritorious grounds and without prejudice to thereon, or [Sec. 2, Rule 70]
such sanctions as the court in the exercise of 3. Orally [Jakihaca v. Aquino, G.R. No.
sound discretion may impose on the movant 83982 (1990)].
[Sec. 8, Rule 70].
Period to Comply With Demand
Submission of Affidavits and Position The defendant should comply with the demand
Papers within
Within 10 days from receipt of the order 1. 15 days in the case of lands, or
mentioned in the next preceding section, the 2. 5 days in the case of buildings [Sec. 2,
parties shall submit: Rule 70]
1. The affidavits of their witnesses,
2. Other evidence on the factual issues When Demand Not Required:
defined in the order, and 1. When parties stipulate that demand
3. Position papers setting forth the law shall not be necessary [Sec. 2, Rule
and the facts relied upon by them [Sec. 70]; or
10, Rule 70]. 2. When action is predicated on the
expiration of the lease [Labastida v.
Judgment CA, G.R. No. 110174 (1998)].
The court shall render judgment:
a. Within 30 days after receipt of the affidavits
and position papers, or
b. After the expiration of the period for filing
the same.

However, should the court find it necessary to

clarify certain material facts, it may, during the
said period, issue an order:
1. Specifying the matters to be clarified,
and
2. Requiring the parties to submit
affidavits or other evidence on the said
matters within 10 days from receipt of
said order.

When rendered: Within 15 days after the

receipt of the last affidavit or the expiration of
the period for filing the same [Sec. 11, Rule 70].

7. When Demand is Necessary

Unless otherwise stipulated, such action by the

lessor shall be commenced only after demand
[Sec. 2, Rule 70].
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When Possession Unlawful MTC can also issue a preliminary mandatory
It is only when the defendant fails to comply injunction in an unlawful detainer case [Day v.
with the demand within the periods provided RTC of Zamboanga, G.R. No. 71119 (1990)].
by Sec. 2 that his possession becomes
unlawful [Quevada v. Garcia, G.R. No. 140798 Preliminary Preventive Injunction
(2006)]. Preliminary preventive injunction is available in
either case. Note that Sec. 15 makes the
A person who occupies the land of another at provisions of Rule 58 applicable to Rule 70 [1
the latter's tolerance or permission, without any Regalado 891, 2010 Ed.].
contract between them is necessarily bound by
an implied promise that he will vacate upon 9. Resolving Defense of Ownership
demand, failing which, an action for unlawful
detainer may be instituted against him When the defendant raises the questions of
[Dakudao v. Consolacion, G.R. No. L-54753 ownership in his pleadings and the question of
(1983)]. possession cannot be resolved without
deciding the issue of ownership, the issue of
Note: Demand is not required in forcible entry ownership shall be resolved only to determine
suits [Dela Cruz v. CA, G.R. No. 139442 the issue of possession [Sec. 33(2), B.P. 129,
(2006)]. as amended by R.A. 7691].

8. Preliminary Injunction and Refugia Guidelines

Preliminary Mandatory Injunction 1. The primal rule is that the principal
issue must be that of possession, and
The court may grant preliminary injunction, that ownership is merely ancillary
to prevent the defendant from committing thereto, in which case the issue of
further acts of dispossession against the ownership may be resolved but only for
plaintiff [Sec. 15, Rule 70]. the purpose of determining the issue of
possession.
Preliminary Mandatory Injunction 2. It must sufficiently appear from the
A possessor deprived of his possession allegations in the complaint that what
through forcible entry or unlawful detainer may, the plaintiff really and primarily seeks is
within 5 days from the filing of the complaint, the restoration of possession.
present a motion in the action for forcible entry 3. The inferior court cannot adjudicate on
or unlawful detainer for the issuance of a writ of the nature of ownership where the
preliminary mandatory injunction to restore him relationship of lessor and lessee has
in his possession. The court shall decide the been sufficiently established in the
motion within 30 days from the filing thereof ejectment case, unless it is sufficiently
[Sec. 15, Rule 70]. established that there has been a
subsequent change in or termination of
When Available that relationship between the parties.
1. Within 5 days from the filing of the
o This is because under Sec.
complaint [Sec. 15, Rule 70] 2(b), Rule 131, the tenant is not
2. On appeal to the RTC upon motion of
permitted to deny the title of his
the plaintiff within 10 days from landlord at the time of the
perfection of appeal [Sec. 20, Rule 70] commencement of the relation
of landlord and tenant between
them.
Note: The injunction on appeal is to restore to o The rule in forcible entry cases,
plaintiff in possession if the court is satisfied but not in those for unlawful
that: detainer, is that a party who
1. Defendant’s appeal is frivolous or can prove prior possession can
dilatory, or recover such possession even
2. The appeal of plaintiff is prima facie against the owner himself.
meritorious [Sec. 20, Rule 70]. Regardless of the actual
condition of the title to the
property and whatever may be
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the character of his prior 10. How to Stay the Immediate
possession, if he has in his Execution of Judgment
favor priority in time, he has the
security that entitles him to Judgment of MTC
remain on the property until he General Rule: Judgment of the MTC against
is lawfully ejected by a person defendant in ejectment cases is immediately
having a better right through an executory upon motion.
accion publiciana or accion
reivindicatoria. Exceptions:
o Corollarily, if prior possession 1. An appeal has been perfected and
may be ascertained in some 2. The defendant who seeks to stay
other way, then the inferior execution files a sufficient
court cannot dwell upon or supersedeas bond, approved by the
intrude into the issue of MTC and executed in favor of the
ownership. plaintiff to pay the rents, damages, and
5. Where the question of who has prior costs accruing down to the time of the
possession hinges on the question of judgment appealed from, and
who the real owner of the disputed 3. During the pendency of the appeal, he
portion is, the inferior court may resolve deposits with the appellate court the
the issue of ownership and make a amount of rent due from time to time
declaration as to who among the under the contract, if any, as
contending parties is the real owner. In determined by the judgment of the
the same vein, where the resolution of MTC. In the absence of a contract, he
the issue of possession hinges on a shall deposit with the RTC the
determination of the validity and reasonable value of the use and
interpretation of the document of title or occupation of the premises for the
any other contract on which the claim preceding month or period at the rate
of possession is premised, the inferior determined by the judgment of the
court may likewise pass upon these lower court on or before the 10 day of
th

issues. This is because, and it must be each succeeding month or period [Sec.
so understood, that any such 19, Rule 70].
pronouncement made affecting
ownership of the disputed portion is to
be regarded merely as provisional, Note: All these requisites must concur.
hence, does not bar nor prejudice an
action between the same parties Judgment of the RTC
involving title to the land [Refugia v. The judgment of RTC against the defendant
CA, G.R. No. 118284 (1996)]. shall be immediately executory, without
prejudice to further appeal that may be taken
Judgment for ejectment cannot be enforced therefrom [Sec. 21, Rule 70].
against a co-owner who was not made a party
to the action [Cruzcosa v. Concepcion, G.R. Summary Procedure
No. L-11146 (1957)]. General Rule: All actions for forcible entry and
unlawful detainer shall be governed by the
summary procedure of Rule 70, irrespective of
the amount of damages or unpaid rentals
sought to be recovered.

Exceptions:
1. In cases covered by agricultural
tenancy laws; or
2. When the law otherwise expressly
provides [Sec. 3, Rule 70].

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11. Prohibited Pleadings and Motions 1. Kinds of Contempt

1. Motion to dismiss the complaint except According to Nature

on the ground of lack of jurisdiction
over the subject matter, or failure to Criminal Contempt Civil Contempt
comply with Sec. 12, Rule 70 (referral
for conciliation) Punitive in nature Remedial in nature
2. Motion for a bill of particulars
3. Motion for new trial, or for Purpose is to Purpose is to provide a
reconsideration of a judgment, or for preserve the court’s remedy for an injured
reopening of trial authority and to suitor and to coerce
4. Petition for relief from judgment punish for compliance with an
5. Motion for extension of time to file disobedience of its order; for the
pleadings, affidavits or any other paper orders preservation of the
6. Memoranda rights of private persons
7. Petition for certiorari, mandamus, or
prohibition against any interlocutory
order issued by the court Intent is necessary Intent is not necessary
8. Motion to declare the defendant in
default State is the real Instituted by the
9. Dilatory motions for postponement
prosecutor aggrieved party, or his
10. Reply
successor, or someone
11. Third-party complaints who has a pecuniary
12. Interventions
interest in the right to
[Sec. 13, Rule 70]
be protected

L. Contempt Proof required is Proof required is more

proof beyond than mere
Definition reasonable doubt preponderance of
Contempt of court is disobedience to the evidence
court by acting in opposition to its authority,
justice, and dignity. If accused is If judgment is for
• It signifies not only a willful disregard or acquitted, there can respondent, there can
disobedience to the court’s orders but be no appeal be an appeal
also conduct tending to bring the [1 Regalado 909, 2010 Ed.]
authority of the court and
administration of law into disrepute, or, Direct Contempt Indirect Contempt
in some manner, to impede the due
administration of justice [Siy v. NLRC, Act committed in the One not committed in
G.R. No. 158971 (2012)]. presence of or so near the presence of the
the court or judge as court. It is an act done
Nature to obstruct or interrupt at a distance which
The power to declare a person in contempt of the proceedings tends to belittle,
court and in dealing with him accordingly is an before the same. degrade, obstruct, or
inherent power of the court. It is used as a embarrass the court
means to protect and preserve the dignity of and justice.
the court, the solemnity of the proceedings, [Lorenzo Shipping v.
and administration of justice [Montenegro v. Distribution
Montenegro, G.R. No. 156829 (2004)]. Management, G.R.
No. 155849 (2011)]

Summary in nature There is charge and

hearing

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Punishment Punishment 3. Refusal to be sworn or to answer as a
1. If committed against 1. If committed witness, or to subscribe an affidavit or
the RTC: Fine of not against RTC: Fine not deposition when lawfully required to do
exceeding PHP 2,000 exceeding PHP so [Sec. 1, Rule 71].
and/or imprisonment 30,000 and/or
not exceeding 10 days imprisonment not Other examples:
or both exceeding 6 months 1. Willful and deliberate forum shopping
2. If committed against or both [Sec. 5, Rule 7]
the MTC: Fine not 2. If committed 2. Submission of pleadings containing
exceeding PHP 200 against MTC: Fine not derogatory, offensive, and malicious
and or imprisonment exceeding PHP 5,000 statements submitted to the court [Re:
not exceeding 1 day and/or imprisonment Letter of Atty. Noel Sorreda, A.M. No.
or both not exceeding 1 05-3-4-SC (2005)]
month or both
Procedure
Summarily adjudged in contempt by such court
[Sec. 1, Rule 71].
Remedy is certiorari or Remedy is appeal
prohibition INDIRECT CONTEMPT
Otherwise known as Otherwise known as See Acts deemed punishable as indirect
Contempt in Facie Constructive contempt below.
Curiae Contempt
3. Remedy Against Direct Contempt;
[1 Regalado 909, 2010 Ed.]
Penalty
Contempt, whether direct or indirect, may be
civil or criminal depending on the nature and The person adjudged in direct contempt by any
effect of contemptuous act [Montenegro v. court may not appeal therefrom, but may avail
Montenegro, G.R. No. 156829 (2004)]. himself of the remedies of certiorari or
prohibition [Sec. 2, Rule 71].
The real character of the proceedings in Effect of petition
contempt cases is to be determined by the The execution of the judgment shall be
relief sought or by the dominant purpose. suspended pending resolution of such
The proceedings are to be regarded as criminal petition, provided such person file a bond fixed
when the purpose is primarily punishment, and by the court which rendered the judgment and
civil when the purpose is primarily conditioned that he will abide by and perform
compensatory or remedial [Montenegro v. the judgment should the petition be decided
Montenegro, G.R. No. 156829 (2004)]. against him [Sec. 2, Rule 71].

2. Purpose and Nature of Each Penalties

Offense Penalty
DIRECT CONTEMPT
For a person to be adjudged guilty of direct If RTC or a court Fine not exceeding PHP
contempt, he must commit a misbehavior in the of equivalent or 2,000 or imprisonment not
presence of or so near a judge as to interrupt higher rank exceeding 10 days or
the administration of justice [SBMA v. both
Rodriguez, G.R. No. 160270 (2010)].
If lower court Fine not exceeding PHP
Grounds 200 or imprisonment not
Misbehavior in the presence of or so near a exceeding 1 day or both
court as to obstruct or interrupt the proceedings [Sec. 1, Rule 71]
before the same, including
1. Disrespect toward the court
2. Offensive personalities toward others,
or

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4. Remedy Against Indirect Contempt; If the contempt Offender may also be
Penalty consists in the ordered to make
violation of a writ complete restitution to
The judgment or final order of a court in a case of injunction, the party injured by such
of indirect contempt may be appealed to the TRO, or status violation of the property
proper court as in criminal cases. quo order involved or such amount
as may be alleged and
Effect of Appeal proved [Sec. 7, Rule 71]
Execution of the judgment or final order
shall not be suspended until a bond is filed If there is nothing more
by the person adjudged in contempt, in an to return, offender is
amount fixed by the court front which the personally liable for the
appeal is taken, conditioned that if the appeal restitution of the money
be decided against him he will abide by and equivalent to the lost
perform the judgment or final order [Sec. 11, thing [Rosario Textile
Rule 71]. Mills v. CA, G.R. No.
137326 (2003)]
A contempt proceeding, whether civil or
criminal, is still a criminal proceeding, hence,
acquittal is a bar to a second prosecution. If committed Penalty shall depend
The distinction is only for the purpose of against a person upon the provisions of
determining the character of the punishment to or entity the law which authorizes
be administered [Santiago v. Anunciacion, exercising quasi- penalty for contempt
G.R. No. 89318 (1990)]. judicial functions against such persons or
entities [Sec. 12, Rule
Penalties 71]
Offense Penalty
5. How Contempt Proceedings Are
If committed Fine not exceeding PHP Commenced
against RTC, or a 30,000 or imprisonment
court of not exceeding 6 months, DIRECT CONTEMPT
equivalent or or both [Sec. 7, Rule 71] By whom initiated:
higher rank a. Generally, civil contempt proceedings
should be instituted by an aggrieved party,
If committed Fine not exceeding PHP or his successor, or someone who has
against lower 500, or imprisonment not
pecuniary interest in the right to be
court exceeding 1 month, or
protected.
both [Sec. 7, Rule 71] b. In criminal contempt proceedings, it is
generally held that the State is the real
prosecutor [People v. Godoy, G.R. Nos.
115908-09 (1995)].

INDIRECT CONTEMPT
Two modes of commencing a proceeding
1. Motu proprio by the court against
which the contempt was committed by
an order or any other formal charge
requiring the respondent to show
cause why he should not be punished
for contempt.
2. By a verified petition with supporting
particulars and certified true copies of
documents or papers involved therein,
and upon full compliance with the
requirements for filing initiatory
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pleadings for civil actions in the court 3. Any abuse of or any unlawful
concerned. interference with the processes or
o If the contempt charges arose proceedings of a court not constituting
out of or are related to a direct contempt under Sec. 1, Rule 71
principal action pending in the 4. Any improper conduct tending, directly
court, the petition for contempt or indirectly, to impede, obstruct, or
shall allege that fact but said degrade the administration of justice
petition shall be docketed, 5. Assuming to be an attorney or an
heard and decided officer of a court, and acting as such
separately, unless the court in without authority;
its discretion orders the 6. Failure to obey a subpoena duly served
consolidation of the contempt 7. The rescue, or attempted rescue, of a
charge and the principal action person or property in the custody of an
for joint hearing and decision officer by virtue of an order or process
[Sec. 4, Rule 70]. of a court held by him [Sec. 3, Rule 71]

Where to file charge Other examples

1. Where committed against a RTC or a 1. Submission, of a false certification of
court of equivalent or higher rank, or non-forum shopping or non-
against an officer appointed by it, the compliance with any of the
charge may be filed with such court. undertakings [Sec. 5, Rule 7].
2. Where committed against a lower 2. Upon a judgment obligor’s failure to
court, the charge may be filed with the pay any such installment when due
RTC of the place in which the lower without good excuse, if the court orders
court is sitting; but the proceedings him to pay the judgment in fixed
may also be instituted in such lower monthly installments [Sec. 40, Rule
court subject to appeal to the RTC of 39].
such place in the same manner as
provided in Sec. 2, Rule 71 [Sec. 5, 7. When Imprisonment Shall Be
Rule 71]. Imposed
3. Where committed against persons or
entities exercising quasi-judicial 1. When the contempt consists in the
functions, the charge shall be filed in refusal or omission to do an act which
the RTC of the place wherein contempt is yet in the power of the respondent to
was committed [Sec. 12, Rule 71]. perform, he may be imprisoned by
order of the court concerned until he
performs it [Sec. 8, Rule 71].
6. Acts Deemed Punishable as 2. When the respondent “carried the keys
Indirect Contempt to his prison in his own pocket” [Galvez
v. Republic Surety & Insurance Co.,
1. Misbehavior of an officer of a court in Inc., G.R. No. L-12581 (1959)].
the performance of his official duties or
in his official transactions Only the judge who ordered the confinement of
2. Disobedience of or resistance to a the person for contempt of court can issue the
lawful writ, process, order, or judgment Order of Release [Inoturan v. Limsiaco, Jr.,
of a court, including the act of a person AM No. MTJ-01-1362 (2005)].
who, after being dispossessed or
ejected from any real property by the 8. Contempt Against Quasi-judicial
judgment or process of any court of Bodies
competent jurisdiction, enters or
attempts or induces another to enter Applicability of the rules
into or upon such real property, for the Unless otherwise provided by law, this Rule
purpose of executing acts of ownership shall apply to contempt committed against
or possession, or in any manner persons, entities, bodies or agencies
disturbs the possession given to the exercising quasi-judicial functions, or shall
person adjudged to be entitled thereto
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have suppletory effect to such rules as they
may have adopted pursuant to authority
granted to them by law to punish for contempt
[Sec. 12, Rule 71].

It is not within the jurisdiction and competence

of quasi-judicial bodies to decide indirect
contempt cases. (e.g. DARAB has no power to
decide the contempt charge filed before it)
[Land Bank v. Listana, G.R. No. 152611
(2003)].

Acts or violations against quasi-judicial bodies

punishable as contempt: Where a person,
without lawful excuse, fails to appear, make
oath, give testimony or produce documents
when required to do so by the official or body
exercising such powers. Other acts or
violations cannot be punished as contempt
unless specifically defined in the governing law
as contempt of court or if it authorizes the
quasi-judicial body to punish for contempt, and
providing the corresponding penalty [1
Regalado 921-922, 2010 Ed., citing People v.
Mendoza, G.R. No. L-5059-60 (1953), see
Sec. 13, Chapter 3, Book VII, Admin Code].

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PROCEEDINGS
REMEDIAL LAW AND
LEGAL ETHICS

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I. SPECIAL General Rule: Special proceedings are non-

adversarial in nature.
PROCEEDINGS Exception: May become adversarial when
there are oppositors to the petition [De Leon &
A. Subject Matter of Special Wilwayco, Special Proceedings: Essentials for
Bench and Bar (2015)]
Proceedings; Applicability of
General Rules A special proceeding has one definite party,
who petitions or applies for a declaration of a
In the absence of special provisions, the Rules status, right, or particular fact, but no definite
provided for in ordinary civil actions shall be, as adverse party [Montañer v. Shari’a District
far as practicable, applicable in special Court, G.R. No. 174975 (2009)].
proceedings [Sec. 2, Rule 72].
B. Settlement of Estate of
Rules in ordinary actions may be applied in
special proceedings as much as possible and
Deceased Persons
where doing so would not pose an obstacle to
said proceedings. Provisions of the ROC 1. Modes of Settlement of Estate
requiring a certification of non-forum shopping
for complaints and initiatory pleadings, a a. Extrajudicial (No Will, No Debts)
written explanation for non-personal service If only one heir – Affidavit of Self- adjudication
and filing, and the payment of filing fees for
money claims against an estate would not in If heirs are all of age or the minors are
any way obstruct probate proceedings, thus, represented, and all agree – Deed of
they are applicable to special proceedings Extrajudicial Settlement [Sec. 1, Rule 74].
such as the settlement of the estate of a
deceased person in the present case [Sheker b. Judicial
v. Sheker, G.R. No. 157912 (2007)]. 1. If no will, no debts, more than one heir, and
should heirs disagree – Partition [Rule 69].
Action vs. Special Proceedings 2. Summary Settlement of Estate of Small
An action is a formal demand of one’s right in a Value [Sec. 2, Rule 74].
court of justice in the manner prescribed by the 3. Petition for Letters of Administration [Rule
court or by the law. It is the method of applying 79].
legal remedies according to definite 4. Probate of a Will [Rules 75-79]
established rules. The term “special a. Petition for Letters Testamentary; or
proceedings” may be defined as an application b. Petition for Letters of Administration with
or proceeding to establish the status or right of the will annexed (if no named executor)
a party, or a particular fact. Usually, in special
proceedings, no formal pleadings are required 2. Venue and Process (Rule 73)
unless the statute expressly so provides. In
special proceedings, the remedy is granted a. Extent of Jurisdiction of Probate
generally upon application or motion [Natcher Court
v. CA, G.R. No. 133000 (2001)].
The probate jurisdiction relates only to matters
Cases governed; Civil action vs. having to do with the settlement of the estate
special proceeding and probate of wills of deceased persons, and
A civil action is one by which a party sues the appointment and removal of administrators,
another for the enforcement or protection of a executors, guardians, and trustees [Ramos v.
right, or the prevention or redress of a wrong. CA, G.R. No. 42108 (1989)]
A civil action may either be ordinary or special.
General Rule: A probate court cannot
A special proceeding is a remedy by which a adjudicate or determine title to properties
party seeks to establish a status, a right, or a claimed to be a part of the estate and which are
particular fact [Secs. 3(a), 3(b), Rule 1]. claimed to belong to outside parties [Ignacio v.
Reyes, G.R. No. 213192 (2017)]

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Exceptions: liquidated, and the debts thereof paid, in the
1. In a provisional manner to determine testate or the intestate proceedings of the
whether said property should be included or deceased spouse, and if both spouses have
excluded in the inventory, without prejudice died, the conjugal partnership shall be
to final determination of title in a separate liquidated in the testate or intestate
action [Cuizon v. Ramolete, G.R. No. L- proceedings of either. In these settlement
51291 (1984)]. proceedings, the probate court has the
2. With consent of all the parties, without authority to determine if the property is
prejudice to the rights of third persons conjugal or community in nature, for purposes
[Trinidad v. CA, G.R. No. 75579 (1991)]. of liquidation [Agtarap v. Agtarap, G.R. Nos.
3. If the question is one of collation or 177099 and 177192 (2011)].
advancement [Coca v. Borromeo, G.R. No.
L-27082 (1978)]. Presumption of death
4. When the estate consists of only one Sec. 4, Rule 73 is merely one of evidence
property [Portugal v. Portugal-Beltran, G.R. which permits the court to presume that a
No. 155555 (2005)]. person is dead after the fact that such person
had been unheard from for the periods fixed in
The court first taking cognizance of the the Civil Code. This presumption may arise and
settlement of estate of a decedent shall be invoked and made in a case, either in an
exercise jurisdiction to the exclusion of all other action or in a special proceeding, which is tried
courts [Sec. 1, Rule 73]. or heard by, and submitted for decision to, a
competent court. Independently of such an
Prior declaration of heirship in a separate action or special proceeding, the presumption
special proceeding of death cannot be invoked, nor can it be made
Note: De Leon cites Heirs of Ypon v. Ricaforte the subject of an action or special proceeding
[G.R. No. 198680 (2013)] under “Extent of [Valdez v. People, G.R. No. 180863 (2009),
jurisdiction of the probate court.” (pp. 15-18). citing In re: Szatraw, G.R. No. L-1780 (1948)].
This ruling has been expressly abandoned in
Treyes v. Larlar [G.R. No. 232579 (2020)]. b. Powers and Duties of Probate
Court
Unless there is a pending special proceeding
for the settlement of the decedent's estate or It is the duty of courts of probate jurisdiction to
for the determination of heirship, the guard jealously the estates of the deceased
compulsory or intestate heirs may commence person by intervening in the administration
an ordinary civil action to declare the nullity of thereof in order to remedy or repair any injury
a deed or instrument, and for recovery of that may be done thereto [Dariano v.
property, or any other action in the Fernandez Fidalgo, G.R. No. 4918 (1909)].
enforcement of their ownership rights acquired
by virtue of succession, without the necessity Ancillary powers of a probate court
of a prior and separate judicial declaration of 1. Issue warrants and processes to compel
their status as such [Treyes v. Larlar, supra]. attendance of a witness and to carry into
effect their orders and judgments
Jurisdictional Facts 2. Issue warrant for apprehension and
Jurisdictional facts refer to the fact of death of imprisonment of a person who refuses to
the decedent, his residence at the time of his perform an order or judgment
death in the province where the court is sitting, 3. All other powers granted to them by law
or if he is an inhabitant of a foreign country, the [Sec. 3, Rule 73].
estate he left in such province [Palaganas v.
Palaganas, G.R. No. 169144 (2011)]. 3. Summary Settlement of
Estates (Rule 74)
Where estate is settled upon dissolution of
marriage
General Rule: The estate of the decedent
Sec. 2, Rule 73 provides that when the
should be judicially administered through an
marriage is dissolved by the death of the
administrator or executor.
husband or the wife, the community property
shall be inventoried, administered, and
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Exceptions: extrajudicially or in an ordinary action for
Law allows heirs to resort to partition without submitting the same for
a. Extrajudicial settlement of estate (decedent judicial administration nor applying for the
died intestate and left no debts) [Sec. 1, appointment of an administrator by the court
Rule 74] [Sps. Villafria v. Plazo, supra].
b. Summary settlement of estate (for estates
of small value, when gross estate does not Where, in the extrajudicial settlement of the
exceed P10,000) [Sec. 2, Rule 74] estate, heirs were excluded and minor heirs
were not properly represented, the settlement
Recourse to an administration proceeding was not valid and binding upon them [Neri v.
even if the estate has no debts is sanctioned Heirs of Spouses Yusop, G.R. No. 194366
only if the heirs have good reasons for not (2012)].
resorting to an action for partition. Where
partition is possible, either in or out of court, the Requirement of public instrument
estate should not be burdened with an No law requires partition among heirs to be in
administration proceeding without good and writing and be registered in order to be valid.
compelling reasons [Sps. Villafria v. Plazo, The requirement in Sec. 1, Rule 74 that a
G.R. No. 187524 (2015)]. partition be put in a public document and
registered, has for its purpose the protection of
a. Extrajudicial Settlement by creditors and the heirs themselves against
Agreement Between Heirs; tardy claims. The requirement of Art. 1358 of
When Allowed the Civil Code is only for convenience, non-
compliance with which does not affect the
Requisites: validity or enforceability of the acts of the
1. Decedent died intestate, parties as among themselves [Kilario v. CA,
2. Left no debts, G.R. No. 134329 (2000)].
3. Heirs are all of age, or minors are
represented by their legal or judicial Note: The last sentence of the cited doctrine
representatives, and from Kilario implies that non-compliance with
4. All heirs agree [Sec. 1, Rule 74] Sec. 1, Rule 74 will be binding only as to the
parties to the partition but not to non-parties
Modes (e.g., creditors who did not know of the
1. If sole heir – Affidavit of Self-adjudication (of partition).
the whole estate)
2. If more than one heir – Procedure
a. Deed of Extrajudicial Settlement is Division of estate in a public instrument or affidavit
resorted to if there is no disagreement of adjudication
among the heirs ↓
b. If there is a disagreement, then they may
Publication of notice of the fact of extrajudicial
resort to an action for partition (judicial) settlement once a week for 3 consecutive weeks in
a newspaper of general circulation in the province,
Note: Both the Affidavit and the Deed are public and after such other notice to interested persons as
instruments [Sec. 1, Rule 74]. the court may direct
↓
General Rule: When a person dies intestate,
Filing of public instrument/affidavit with the proper
or, if testate, failed to name an executor in his Registry of Deeds and posting of a bond if the
will or the executor so named is incompetent, estate has personal property (bond equivalent to
or refuses the trust, or fails to furnish the bond amount of personal property)
required by the Rules, then the decedent’s
estate shall be judicially administered and the
competent court shall appoint a qualified The procedure outlined in Sec. 1 of Rule 74 is
administrator in the order established in Sec. 6, an ex parte proceeding. The rule plainly states,
Rule 78. An exception to this rule is found in however, that persons who do not participate
Sec. 1, Rule 74 wherein the heirs of a or had no notice of an extrajudicial settlement
decedent, who left no will and no debts due will not be bound thereby.
from his estate, may divide the estate either
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The requirement of publication is geared for the 2. Notice
protection of creditors and was never intended a. Published once a week for 3 consecutive
to deprive heirs of their lawful participation in weeks
the decedent's estate [Benatiro v. Heirs of b. In a newspaper of general circulation in
Cuyos, G.R. No. 161220 (2008), citing Cua v. the province
Vargas, G.R. No. 156536 (2006)]. 3. Other notice to interested persons as the
court may direct
Validity of compromise agreement 4. Hearing
Such is valid, binding upon the parties as a. Held not less than 1 month nor more than
individuals, upon the perfection of the contract, 3 months
even without previous authority of the court to b. Counted from the date of the last
enter into such agreement [Borja v. Vda. De publication of notice [Sec. 2, Rule 74]
Borja, G.R. No. L-28040 (1972)]. 5. Bond in an amount to be fixed by court if
personal property is to be distributed [Sec.
b. Two-Year Prescriptive period 3, Rule 74]

Heirs or other persons deprived of lawful Upon fulfillment of the requisites, the court may
participation in the estate may compel judicial proceed summarily without the appointment of
settlement of estate within 2 years from an executor/administrator and without delay –
settlement and distribution [Sec. 1, Rule 74]. 1. to grant, if proper, allowance of the will, if
there be any;
A lien shall be constituted on the real property 2. to determine who are persons legally
of the estate and together with the bond, it shall entitled to participate in the estate; and
be liable to creditors, heirs or other persons for 3. to apportion and divide the estate among
a full period of 2 years after such distribution. them after the payment of such debts of
the estate
Such lien will not be cancelled before the lapse
of two years even if a distributee offers to post The persons legally entitled to participate in the
bond to answer for contingent claims [Rebong estate (1) in their own right, if of lawful age; or
v. Ibañez, G.R. No. L-1578 (1947)]. (2) if otherwise, by their guardians or trustees
legally appointed and qualified, will be entitled
Disputable presumption of no debt to receive and enter into possession of the
It shall be presumed that the decedent left no portions of the estate so awarded to them
debts if no creditor files a petition for letters of respectively [Sec. 2, Rule 74].
administration within two (2) years after the
death of the decedent [Sec. 1, Rule 74]. Procedure
Death of the decedent
c. Affidavit of Adjudication by Sole ↓
Heir
Petition for summary settlement with allegation that
the gross value of the estate does not exceed
An Affidavit of Self-Adjudication is only proper P10,000
when the affiant is the sole heir of the
↓
decedent. This is clear from the second
sentence of Sec. 1, Rule 74 [Rebusquillo v. Publication of notice once a week for 3 consecutive
Sps. Galvez, G.R. No. 204029 (2014)]. weeks in a newspaper of general circulation in the
province
d. Summary Settlement of Estates ↓
of Small Value; When Allowed Giving of such other notice to interested persons as
the court may direct
Allowed whenever the gross value of estate of ↓
the decedent does not exceed P10,000
Hearing held not less than 1 month nor more than
3 months from the date of the last publication of
Procedural requirements: notice
1. Petition by an interested person alleging
↓
fact that estate does exceed P10,000

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Court to proceed summarily, without appointing an e. Remedies of Aggrieved Parties
executor/administrator, and to: After Extrajudicial Settlement of Estate
(1) Grant allowance of will, if any
(2) Determine persons entitled to estate
Within reglementary period of TWO YEARS
(3) Pay debts of estate which are due
1. Claim on the bond for personal properties
↓ [Sec. 4, Rule 74]
Filing of bond when required by the court [Sec. 3, 2. Claim on lien on real property,
Rule 74] notwithstanding any transfers of real
↓ property that may have been made [Sec. 4,
Rule 74]
Petition of estate
3. Judicial settlement of estate [Sec. 4, Rule
74]
4. Action to annul settlement (fraud — 4 years
Extrajudicial Summary
or implied trust — 10 years)
Settlement Settlement

Court intervention Summary judicial When applicable

not required adjudication needed If it shall appear at any time within 2 years after
the settlement and distribution of an estate that
Decedent left no will Decedent may or may an heir or other person
(allowed only in not have left a will a. Has been unduly deprived of his lawful
intestate (died participation in the estate
succession) intestate/testate) i. He shall have a right to compel the
settlement of the estate in the courts for
Decedent left no Decedent may have the purpose of satisfying such lawful
debts left debts participation
ii. If annulment on the ground of fraud, an
Heirs are all of age No such requirement action for reconveyance based on an
or minors are implied or constructive trust must be
represented filed within 10 years from accrual of the
cause of action [Amerol v.
Instituted only at the May be instituted by Bagumbaran, G.R. No. L-33261
instance and by any interested party (1987); Zuniga-Santos v. Santos-Gran,
agreement of all even by a creditor G.R. No. 197380 (2014)]
heirs without consent of the
heirs b. Has been unduly deprived of his lawful
participation payable in money, the court
Value of the estate Gross value of the having jurisdiction of the estate may, by
is immaterial estate must not order for that purpose, after hearing
exceed P10,000 i. settle the amount of such debts or lawful
participation, and
Bond filed with the Bond filed with and ii. may issue execution against the bond or
Register of Deeds in amount to be against the real estate belonging to the
an amount equal to determined by the deceased, or both [Sec. 4, Rule 74]
the value of the court
personal property of When not applicable
the estate 1. To persons who have participated or taken
part or had notice of the extrajudicial
Where the contention that the decedent’s partition
estate is less than P5,000 rests on a 2. When the provisions of Sec. 1 of Rule 74
controversial basis and no evidence was have been strictly complied with (all persons
adduced to ascertain the actual value of the or heirs of the decedent have taken part in
estate, the probate court is not precluded from the extrajudicial settlement or are
proceeding with the intestate proceedings represented by themselves or through
[Intestate Estate of Sebial v. Sebial, G.R. No. guardians)
L-23419 (1975)]. The buyer of real property, the title of which
contains an annotation pursuant to Sec. 4,
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Rule 74, cannot be considered innocent Within 60 days after petitioner learns of
purchasers for value [David v. Malay, G.R. No. judgment or final order, or other
132644 (1999)]. proceedings to be set aside, and not more
than 6 months after such judgment or order
The foregoing rule clearly covers transfers of is entered or taken [Rule 38].
real property to any person, as long as the
deprived heir or creditor vindicates his rights 4. Production and Probate of Will
within two years from the date of the settlement
and distribution of estate. The effects of this a. Nature of Probate Proceedings
provision are not limited to the heirs or original
distributees of the estate properties, but shall 1. In rem proceeding
affect any transferee of the properties [Sps. 2. Mandatory – no will shall pass either real or
Domingo v. Roces, G.R. No. 147468 (2003)]. personal property unless it is proved and
allowed in the proper court [Sec. 1, Rule 75]
Additional period for claim of minor or 3. Conclusive as to its due execution, but
incapacitated person subject to the right of appeal [Sec. 1, Rule
If on the date of the expiration of the period of 75]
2 years after the settlement or distribution of an 4. Right to ask for probate does not prescribe
estate, the person authorized to file a claim is [Guevara v. Guevara, G.R. No. L-5405
1. a minor or mentally incapacitated; (1956)]
2. in prison; or 5. Doctrine of estoppel does not apply
3. outside Philippines, he may present his [Fernandez v. Dimagiba, G.R. No. L- 23638
claim within 1 year after such disability is (1967); Testate Estate of Abada v. Abaja,
removed [Sec. 5, Rule 74]. G.R. No. 147145 (2005)]
Within the reglementary period, the judge of a Before any will can have force or validity, it
probate court has the power to reopen estate must be probated. Until admitted to probate, a
proceedings even after the issuance of an will has no effect whatsoever and no right can
order approving a project of partition and be claimed thereunder [Sps. Pascual v. CA,
closing the proceedings. Rather than requiring G.R. No. 115925 (2003)].
an allegedly preterited party to air his
grievances in a separate and independent The presentation of the will for probate is
proceeding, he may, within the reglementary mandatory and is a matter of public policy.
period, claim his relief sought in the same case Unless the will is probated, the right of a person
by reopening the same even after a project of to dispose of his property may be rendered
partition and final accounting had been nugatory [Maninang v. CA, G.R. No. L-57848
approved [Jerez v. Nietes, G.R. No. L-26876 (1982); Dy Yieng Seangio, et al. v. Reyes, G.R.
(1969)]. Nos. 140371-72 (2006)].
Even if the original motion did not afford legal Duty of custodian and executor to deliver
standing to the three legitimate minor children, the will
under Sec. 5, Rule 74, such motion may be Within 20 days after he knows of the testator’s
lodged with the court within one year after the death, the person who has custody of the will
minors have reached majority [In Re: Francisco shall deliver the will to the court having
v. Carreon, G.R. No. L-5033 (1954)]. jurisdiction, or to the executor named in the will
[Sec. 2, Rule 75].
Other Remedies
1. Action for reconveyance of real property – In seeking for the production of the original
based on an implied trust, reckoned 10 holographic will, the remedy of mandamus
years from issuance of title [Marquez v. CA, cannot be availed of because there lies another
G.R. No. 125715 (1998)] plain, speedy and adequate remedy in the
2. Rescission – in case of preterition of ordinary course of law. The ROC provides for
compulsory heir in partition tainted with bad the institution of probate proceedings for the
faith [Art. 1104, NCC] allowance of the will, whether it be in the
3. Petition for relief – on ground of fraud, possession of the petitioner or not [Sec. 1, Rule
accident, mistake, or excusable negligence.
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76; Uy Kiao Eng v. Lee, G.R. No. 176831 Meaning of interest in estate
(2010)]. An interested party is one who would be
benefited by the estate such as an heir or one
The person named executor shall present the who has a claim against the estate like a
will to the court having jurisdiction, unless the creditor [Sumilang v. Ramagosa, G.R. No. L-
will has reached it in any other manner, and 23135 (1967)].
shall signify in writing his acceptance/refusal of
the trust Persons entitled to notice
a. within 20 days after he knows of the death 1. Known heirs, legatees and devisees
of the testator; or resident in Philippines,
b. within 20 days after he knows that he is 2. Named executor if he is not petitioner, and
named executor if he obtained such 3. Named co-executors not petitioning if their
knowledge after the testator’s death [Sec. 3, place of residence is known [Sec. 4, Rule
Rule 75]. 76]

Person retaining the will may be committed to Note: If the testator himself asks for probate of
prison until the will is delivered if: his own will, notice shall be sent only to
a. There is a court order directing him to compulsory heirs [Sec. 4, Rule 76; Nittscher v.
deliver the will, and Nittscher, G.R. No. 160530 (2007)].
b. He neglects without reasonable cause to
deliver the same [Sec. 5, Rule 75]. Notice is required to be given to known heirs,
legatees, and devisees of the testator. In the
So much is the concern of the law for the will, the respondent was instituted as the sole
indispensability of probating a will that Sec. 4, heir of the decedent [Alaban v. CA, G.R. No.
Rule 75 penalizes with a fine not exceeding 156021 (2005)].
P2,000 the failure of the custodian of a will to
deliver the same to the court or to the executor Periods to give notice
named therein, as also the failure of the 1. Personal service – At least 10 days before
executor to present the will to the proper court hearing.
for probate; and under Section 5 of the same 2. By mail – at least 20 days before hearing
rule, such custodian may be detained by order [Sec. 4, Rule 76]
of the court until he makes the required delivery
of the will [Vda. De Precilla v. Narciso, G.R. No. 5. Allowance or Disallowance of
L-27200 (1972); Uy Kiao Eng v. Lee, supra]. Rules (Rule 76)
b. Who May Petition for Probate; Probate or allowance of wills is the act of
Persons Entitled to Notice proving in court a document purporting to be
the last will and testament of the deceased for
The executor, devisee, or legatee named in the the purpose of its official recognition,
will, or any other person interested in the registration and carrying out its provision in so
estate, may, at any time after the death of the far as they are in accordance with law [Festin
testator, petition the court having jurisdiction to 40, 2011 Ed.].
have the will allowed, whether the same be in
his possession or not, or is lost or destroyed General Rule: A probate proceeding only
[Secs. 1 and 2, Rule 76; Palaganas v. looks at extrinsic validity.
Palaganas, G.R. No. 169144 (2011)].
Exception: The probate of a will might become
A will may be probated: an idle ceremony if on its face it appears to be
a. Before the testator’s death – By testator intrinsically void. Where practical
himself (ante-mortem probate) considerations demand that the intrinsic
b. After the testator’s death – By executor, validity of the will be passed upon even before
devisee, or legatee named in the will or any it is probated, the court should meet the issue
person interested in the estate [Sec. 1, Rule [Nepomuceno v. CA, G.R. No. L-62952
76] (1985)].

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Extrinsic validity - due execution of the will testamentary or of administration with the will
which means: annexed [Sec. 2, Rule 76]
a. That the will was executed strictly in
accordance with the formalities required by Jurisdiction, how acquired
law Publication of the notice of hearing brings in the
b. That the testator was of sound and whole world as a party in the case for probate
disposing mind when the will was executed and vests the court with jurisdiction to hear and
c. That there was no vitiation of consent decide it. Thus, parties not mentioned in the
through duress, fear or threats petition for probate eventually became parties
d. That it was not procured by undue and as a consequence of publication [Alaban v. CA,
improper pressure or influence on part of G.R. No. 156021 (2005)].
beneficiary or other person for his benefit
e. That the testator’s signature is genuine (not The notice must be published 3 weeks
procured through fraud nor trick), and that successively, previous to the time set for
the testator intended that what he executed hearing, in a newspaper of general circulation
was his last will and testament [Sec. 9, in the province [Sec. 3, Rule 76].
Rule 76]
a. Evidence Required in Support of
The very existence of the will is in itself prima a Will
facie proof that the supposed testatrix has
willed that her estate be distributed in the Uncontested Will
manner provided for in the will and it is Notarial Will – Testimony of at least one
incumbent upon the State that, if legally subscribing witness that the will was executed
tenable, such desire be given full effect as required by law [Sec. 5, Rule 76]
independent of the attitude of the parties 1. If all subscribing witnesses reside outside of
affected thereby. What is decisive is that the the province but their deposition can be
court is convinced by evidence before it, not taken elsewhere, the court may, on motion,
necessarily from the attesting witnesses, order that it be taken and may authorize
although they must testify, that that will was or making of photocopy of the will to be
was not duly executed in the manner required presented to the witness [Sec. 7, Rule 76]
by law [Baltazar v. Laxa, G.R. No. 174489 2. If all subscribing witnesses are dead,
(2012)]. insane, or do not reside in the Philippines,
other witnesses not subscribing may be
Contents of Petition for Allowance of Will presented [Sec. 8, Rule 76]
1. Jurisdictional facts – refer to the fact of
death of the decedent, his residence at the Holographic Will
time of his death in the province where the 1. At least one witness who knows the
court is sitting, or if he is an inhabitant of a handwriting and signature of the testator
foreign country, the estate he left in such who explicitly declares that the will and
province [Palaganas v. Palaganas, G.R. signature are in the handwriting of the
No. 169144 (2011)] testator, or
2. Names, ages, and residences of the heirs, 2. In the absence of such competent witness
legatees, and devisees of the testator or and the court deems it necessary, expert
decedent testimony may be resorted to [Sec. 5, Rule
3. Probable value and character of the 76]
property of the estate
4. Name of the person for whom letters are If the testator himself petitions for probate of
prayed holographic will and it is not contested, the fact
5. If the will has not been delivered to the that he affirms that the holographic will and the
court, the name of the person having signature are in his own handwriting shall be
custody of it [Sec. 2, Rule 76] sufficient evidence of genuineness and due
execution thereof [Sec. 12, Rule 76].
Effects of defect in petition
No defect in petition shall render void the It is not mandatory that witnesses be presented
allowance of will, or the issuance of letters first before expert testimony maybe resorted to
unlike in notarial wills wherein attesting
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witnesses must first be presented [Azaola v. 2. Its existence at the time of testator’s death
Singson, G.R. No. L-14003 (1960)]. or that it has been fraudulently or
accidentally destroyed during testator’s
Contested Will lifetime without his knowledge, and
Anyone appearing to contest the will must state 3. Provisions of the will clearly and distinctly
in writing his grounds for opposing its proved by at least two credible witnesses
allowance and serve a copy to petitioner and
other interested parties [Sec. 10, Rule 76]. If lost will is proved, its provisions must be
distinctly stated and certified by the judge,
Notarial Will under seal of court, and the certificate must be
1. All subscribing witnesses and the notary if filed and recorded as other wills are filed and
present in the Philippines and not insane recorded [Sec. 6, Rule 76].
must be presented
2. If dead, insane or absent – said fact must be Holographic Wills
satisfactorily shown in court General Rule: If a holographic will has been
3. If present in the Philippines but outside the lost or destroyed and no other copy is
province – deposition must be taken [Sec. available, the will cannot be probated because
11, Rule 76; Baltazar v. Laxa, G.R. No. the best and only evidence is the handwriting
174489 (2012)] of the testator in said will.

Can testimony of the subscribing witnesses be Exceptions: A photostatic copy or xerox of the
dispensed with in a contested will? YES. If any holographic will may be allowed because
or all of the subscribing witness: comparison can be made with the standard
1. testify against the due execution of the will; writings of the testator [Rodelas v. Aranza,
2. do not remember having attested to it; or G.R. No. L-58509 (1982)].
3. are otherwise of doubtful credibility.
b. Grounds for Disallowing a Will
The court may allow the will if it is satisfied from
testimony of other witnesses and all evidence The will shall be disallowed if:
presented that the will was executed and 1. Not executed and attested as required by
attested in the manner required by law [Sec.11, law;
Rule 76]. 2. Testator was insane, or otherwise mentally
incapable to make a will, at the time of its
Holographic Will execution;
1. At least three witnesses who know the 3. Executed under duress, or the influence of
handwriting and signature of the testator fear, or threats;
who explicitly declare that the will and 4. Procured by undue and improper pressure
signature are in the handwriting of the and influence, on the part of the beneficiary,
testator. or of some other person for his benefit; or
2. In the absence of such competent 5. Signature of the testator was procured by
witnesses and the court deems it fraud or trick, and he did not intend that the
necessary, expert testimony may be instrument should be his will at the time of
resorted to [Sec. 11, Rule 76]. fixing his signature thereto [Sec. 9, Rule 76
cf. Art. 839, CC].
If the testator himself petitions for probate of
holographic will and it is contested, the The list is exclusive. Thus, in a petition to admit
contestant has the burden of disproving a holographic will to probate, the only issues to
genuineness. Testator may present additional be resolved are:
proof to rebut contestant’s evidence [Sec. 12, 1. whether the instrument submitted is,
Rule 76]. indeed, the decedent’s last will and
testament;
Lost Will 2. whether said will was executed in
Notarial Wills – even if lost, may be proved accordance with the formalities prescribed
through the following facts by law;
1. Execution and validity of the will,

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3. whether the decedent had the necessary 4. fact that the foreign tribunal is a probate
testamentary capacity at the time the will court, and
was executed; and 5. laws of a foreign country on procedure and
4. whether the execution of the will and its allowance of wills [Vda. De Perez v. Tolete,
signing were the voluntary acts of the G.R. No. 76714 (1994)]
descendants [Sps. Ajero v. CA, G.R. No.
106720 (1994)]. Our laws do not prohibit the probate of wills
executed by foreigners abroad although the
c. Reprobate; Requisites Before same have not as yet been probated and
Will Proved Outside Allowed in the allowed in the countries of their execution. A
Philippines; Effects of Probate foreign will can be given legal effect in our
jurisdiction [Palaganas v. Palaganas, G.R. No.
Effect of probate of will 169144 (2011)].
Decree of probate is conclusive as to its due
execution, subject to the right of appeal [Sec. Effect of Reprobate
1, Rule 75] 1. Will shall have the same effect as if
originally proved and allowed in Philippine
If a decision admitting a will to probate court [Sec. 3, Rule 77]
becomes final, there can no longer be any 2. The grant of letters testamentary or of
challenge to its due execution and authenticity. administration shall extend to all estate of
Thus, a criminal action will not lie against an the testator in Philippines
alleged forger of a will which had been duly 3. Payment of just debts and expenses of
admitted to probate by a court of competent administration, estate shall be disposed of
jurisdiction [Mercado v. Santos, G.R. No. according to the will
45629 (1938)]. 4. Residue disposed of in accordance with law
[Sec. 4, Rule 77]
Order allowing or disallowing a will may be the
subject of an appeal [Sec. 1, Rule 109]. Questions as to title of property

Reprobate General Rule: The probate court, whether in a

Wills proved and allowed in a foreign country, testate or intestate proceeding, can only pass
according to the laws of such country, may be upon questions of title provisionally. The
allowed, filed, and recorded by the proper court reason is that the probate court’s limited
in Philippines [Sec. 1, Rule 77]. jurisdiction and the principle that questions of
title or ownership, which result in exclusion or
Requisites before a Will Proved Abroad inclusion from the inventory of the property,
Would be Allowed in Philippines: can only be settled in a separate action [Aranas
1. Duly authenticated copy of will v. Mercado, G.R. No. 156407 (2014), citing De
2. Duly authenticated order or decree of its Leon v. CA, G.R. 128781 (2002); Jimenez v.
allowance in foreign country, and CA, G.R. No. 75773 (1990); Agtarap v.
3. Petition for allowance in Philippines filed by Agtarap, G.R. Nos. 177099 and 177192
the executor or other person interested (2011)].
[Sec. 5, Rule 76]
Exception: If the interested parties are all
The court having jurisdiction shall fix a time and heirs, or the question is one of collation or
place for the hearing and cause notice thereof advancement, or the parties consent to the
to be given as in case of an original will assumption of jurisdiction by the probate court
presented for allowance [Sec. 2, Rule 77]. and the rights of third parties are not impaired,
the probate court is competent to decide the
Evidence necessary for reprobate question of ownership [Cora v. Vda. De
1. due execution of the will in accordance with Pangilinan, G.R. Nos. L-27082 and L-29545
the foreign laws, (1978); Agtarap v. Agtarap, supra]
2. testator has his domicile in the foreign
country and not in Philippines,
3. will has been admitted to probate in such
country,
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6. Letters Testamentary and of The court may
Administration require a further
bond for sufficient
a. When and to Whom Letters of cause
Administration Granted
Who may administer the estate of a deceased Compensation First part of Sec. 7,
person: provided in the will Rule 85 applies
a. Executor controls, unless
b. Administrator renounced

If no provision for
Executor Administrator compensation, Sec.
7 of Rule 85 applies
Person named Appointed when
expressly by a. Testator did not
deceased person in appoint an Any competent person may serve as an
his will to administer, executor executor or administrator.
settle, and liquidate b. The appointment
estate, and was refused Executor of an executor shall not, as such,
subsequently c. The executor is administer the estate of first testator [Sec. 2,
appointed by court incompetent to Rule 78]
serve
d. The executor A married woman may serve as executor or
failed to file a administrator and a marriage of a single
bond when woman shall not affect her authority so to serve
required under a previous appointment [Sec. 3, Rule 78]
e. The will was
disallowed Who are incompetent to serve as executor
f. No will (intestate or administrator
succession) 1. Minor
2. Non-resident
Has duty to present No such duty 3. One who, in the opinion of the court, is unfit
the will to court to exercise the duties of the trust by reason
within 20 days after of
(a) he learns of the a. Drunkenness,
death of testator or b. Improvidence,
(b) after he knew he c. Want of understanding,
was appointed as d. Want of integrity, or
executor (if he e. Conviction of an offense involving moral
obtained such turpitude [Sec. 1, Rule 78]
knowledge after
death of testator), To be disqualified to serve as executor or
unless will has administrator under Sec. 1(e), Rule 78, it must
reached the court in be shown that the conviction must be for an
any other manner offense involving moral turpitude. Thus, one’s
failure to file a return as required by the NIRC
The testator may Required to file bond cannot be a basis for disqualification, it not
provide that he may unless exempted by being a crime involving moral turpitude
serve without a law [Republic v. Marcos II, G.R. Nos. 130371 and
bond, but the court 130855 (2009)].
shall direct him to
post a bond The courts may delve into the question of the
conditioned only to suitableness and fitness of an administrator,
pay debts notwithstanding the fact that both are
compulsory heirs, and may in fact appoint one
over the other even if both possess equal
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status in the order of preference [Marcelo b. Order of Preference
Investment and Management Corp. v. Marcelo,
Jr., G.R. No. 209651 (2014)]. Who are incompetent to serve as executor
or administrator
Other grounds in jurisprudence 1. Surviving spouse, or next of kin, or both, or
1. In this jurisdiction, one is considered to be to such person as the surviving spouse, or
unsuitable for appointment as administrator next of kin requests to have appointed, if
when he has an adverse interest of some competent and willing to serve;
kind or hostility to those immediately 2. If those enumerated above be incompetent
interested in the estate [Lim v. Diaz- or unwilling, or if the husband or widow, or
Millarez, G.R. No. L-17633 (1966)]. next of kin, neglects for 30 days after the
2. The administrator should be indifferent death of the person to apply for
between the estate and claimants of the administration or to request that
property, except to preserve it for due administration be granted to some other
administration, and he should be removed person, one or more of the principal
when his interests conflict with such right creditors, if competent and willing to serve;
and duty [Medina v. CA, G.R. No. L-34760 or
(1973)]. 3. If there is no such creditor, such other
person as the court may select [Sec. 6, Rule
The regular administrator is charged with the 78].
task of accomplishing and terminating the
administration of the estate with the utmost Next of kin are those entitled by law to receive
reasonable dispatch, with a view to an early the decedent’s properties [Ventura v. Ventura,
distribution of the net estate among the heirs G.R. No. L-26306 (1988)].
and persons entitled thereto [Medina v. CA,
supra]. The probate court may address the issue of
filiation especially when the applicant for letters
When are letters testamentary or of of administration claims to be the decedent’s
administration granted next of kin or heir [Angeles v. Maglaya, G.R.
Letters testamentary – an authority issued to No. 153798 (2005)].
an executor named in the will to administer the
estate. It is issued once the will has been The order of preference in the appointment of
proved and allowed, and if the executor named a regular administrator as provided in the
is competent, accepts the trust and gives bond afore-quoted provision does not apply to the
[Sec. 4, Rule 78]. selection of a special administrator. The
preference under Section 6, Rule 78 for the
Letters of administration – authority issued by next of kin refers to the appointment of a
court to a competent person to administer the regular administrator, and not of a special
estate if: administrator, as the appointment of the latter
a. No executor is named in will lies entirely in the discretion of the court, and is
b. Person dies intestate [Sec. 6, Rule 78] not appealable [Tan v. Gedorio, G.R. No.
c. The will is void or is not admitted to probate 166520 (2008)].

Letters of administration with the will annexed - Reason for order of preference
authority issued by court to a competent Those who would reap the benefit of a wise,
person to administer the estate if the executor speedy and economical administration of the
named in the will: estate, or, on the other hand, suffer the
a. refuses to accept the trust; consequences of waste, improvidence or
b. is incompetent; or mismanagement, have the highest interest and
c. fails to give the required bond [Sec. 6, Rule most influential motive to administer the estate
78] correctly [Gonzales v. Aguinaldo, et al., G.R.
No. 74769 (1990)].

In the appointment of the administrator of the

estate of the deceased person, the principal
consideration reckoned with is the interest in
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said estate of the one to be appointed as the decedent’s estate [Duran v. Duran, G.R.
administrator [Suntay III v. Cojuangco-Suntay, No. L-23372 (1967)].
G.R. No. 183053 (2012)].
Grounds
Mere failure to apply for letters of 1. Incompetency of the person/s for whom
administration does not remove preference [1 letters are prayed, or
ALR 1247]. 2. Contestant’s own right to the
administration (ex. preferential right under
Note: The order of preference is not absolute Sec. 6, Rule 78) [Sec. 4, Rule 79].
for it depends on the attendant facts and
circumstances of each case. The selection of Form required
an administrator lies in the sound discretion of Grounds for opposition must be stated in
the trial court [Suntay III v. Cojuangco-Suntay, writing; court shall then hear and pass upon
supra]. sufficiency of such grounds [Sec. 1, Rule 79].

30-day period may be waived Contents of petition for letters of

Just as the order of preference is not absolute administration
and may be disregarded for valid cause, so 1. Jurisdictional facts;
may the 30-day period be likewise waived a. Death of testator;
under the permissive tone in paragraph (b) of b. Residence at time of death in the
said rule which merely provides that said province where probate court is sitting;
letters, as an alternative, “may be granted to and
one or more of the principal creditors” [Gabriel c. If he is an inhabitant of foreign country,
v. CA, G.R. No. 101512 (1992)]. his having left his estate in such province
[Diez v. Serra, G.R. No. 27650 (1927)].
Co-administrators may be appointed [Matute v. 2. Names, ages and residences of heirs, and
CA, G.R. No. 26751 (1969)]. In the names and residences of creditors;
appointment of a co-administrator, the size of, 3. Probable value and character of the estate;
and benefits to the estate may be considered and
by the court. Thus, where the estate is large or, 4. Name of person for whom letters is prayed
from any cause, an intricate or perplexing one [Sec. 2, Rule 79; Palaganas v. Palaganas,
to settle, the appointment of co-administrators G.R. No. 169144 (2011)].
may be sanctioned by law [Uy v. CA, G.R. No.
167979 (2006)]. While recitals in the death certificate of the
decedent can be considered proof of a
c. Opposition to Issuance of decedent’s residence at the time of his death,
Letters Testamentary; Simultaneous the contents thereof, however, are not binding
Filing of Petition for Administration on the courts [Garcia-Quiazon v. Belen, G.R.
No. 189121 (2013)].
Who may oppose
Any person interested in a will [Sec. 1, Rule Defect in petition would not render void the
79] issuance of letters of administration [Sec. 2,
Rule 79].
Meaning of interested person
One who would be benefited by the estate, Publication and notice
such as an heir, or one who has a claim against Notice of hearing must be given in the manner
the estate, such as a creditor; thus, interest provided in Secs. 3 and 4, Rule 76, by (1)
must be material and direct, not merely indirect publication, and (2) personal service or by mail
or contingent [Maloles II v. Philips, G.R Nos. to the known heirs and creditors of the
129505 and 133359 (2000); Saguinsin v. decedent, and to any other persons believed to
Lindayag, G.R. No. L-17759 (1962)]. have an interest in the estate.

A legal heir who has validly assigned his Where no notice as required by Sec. 3, Rule 79
hereditary rights before the institution of has been given to persons believed to have an
settlement proceedings is no longer an interest in the estate of the deceased person,
“interested party.” He has no more interest in the proceedings for the settlement of the estate
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is void and should be annulled. The How liability on the bond is enforced
requirement as to notice is essential to the By motion or in a separate action [Festin 56,
validity of the proceeding in order that no 2011 Ed.]
person may be deprived of his right to property
without due process of law [De Guzman v. Conditions on the bond
Angeles, G.R. No. 78590 (1988)]. 1. Make and return to the court, within 3
months, a true and complete inventory of all
Simultaneous filing of opposition and goods, chattel, rights, credits, and estate of
petition the deceased which shall come to his
An interested person opposing the petition for possession or knowledge or to the
administration may pray in his opposition that possession of any other person for him;
letters be issued to himself, or to any 2. Administer according to these rules, and, if
competent person/s named in it [Sec. 4, Rule an executor, according to the will of the
79]. testator, all goods, chattel, rights, credits,
and estate of the deceased which shall
Order appointing the regular administrator is come to his possession or to the possession
appealable [Sec. 1, Rule 109] of any other person for him, and from the
proceeds to pay and discharge all debts,
When letters of administration are issued legacies, charges on the same, or dividends
If proven at a hearing that: as decreed by court;
1. Notice has been given as required; and 3. Render a true and just account of his
2. Decedent left no will, or there is no administration within 1 year and when
competent and willing executor [Sec. 5, required by court; and
Rule 79] 4. Perform all orders of the court [Sec. 1, Rule
81].
One who is named as executor in the will or
one who enjoys preference under the Rules is If the testator provides in his will that the
not automatically entitled to the issuance of executor shall serve without bond, or with only
letters testamentary/of administration. A his individual bond, the court may still allow him
hearing has to be held in order to ascertain her to file a bond conditioned only to pay debts of
fitness to act as executor/administrator the testator. But the court may require of the
[Baluyut v. Cruz Paño, G.R. No. L-42088 executor a further bond in case of change in his
(1976)]. circumstances or for other sufficient cause
[Sec. 2, Rule 81].
Letters of administration may be granted to any
qualified applicant, though it appears that there Bonds of joint executors and
are other competent persons having better administrators
right, if such persons fail to appear when The court may take a separate bond from each
notified and claim the issuance of letters to executor or administrator, or a joint bond from
themselves [Sec. 6, Rule 79]. all [Sec. 3, Rule 81].

d. Powers and Duties of Executors e. Appointment of Special

and Administrators; Restrictions on Administrator
the Powers
A special administrator is an officer of the court
Posting of bond who is subject to its supervision and control,
Before an executor or administrator enters expected to work for the best interest of the
upon the execution of his trust, and letters entire estate, with a view to its smooth
testamentary or of administration issue, he administration and speedy settlement
shall give a bond in such sum as the court [Ocampo v. Ocampo, G.R. No. 187879 (2010)].
directs [Sec. 1, Rule 81].
The probate court is justified in appointing joint
Purpose special administrators pending determination
The bond posted by the administrators and of the person or persons to whom letters of
executors is intended as an indemnity to the administration may be issued, inasmuch as
creditors, the heirs, and the estate. there was a disagreement as to who should be
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appointed [Ocampo v. Ocampo, supra; Heirs of Powers and duties
Castillo v. Lacuata-Gabriel, G.R. No. 162934 1. Take possession and charge of goods,
(2005)]. chattels, rights, credits, and estate of
deceased, and
To reiterate, the role of a special administrator 2. Preserve the same for
is to preserve the estate until a regular executor/administrator afterwards
administrator is appointed. Given this duty on appointed, and for that purpose may
the part of the special administrator, it would be commence and maintain suits as
prudent and reasonable to appoint someone administrator
interested in preserving the estate for its 3. May sell only such perishable and other
eventual distribution to the heirs. While the property as the court orders sold
court may use its discretion, there is no logical 4. Not liable to pay any debts of the deceased
reason to appoint a person who is a debtor of unless so ordered by the court [Sec. 2, Rule
the estate and otherwise a stranger to the 80]
deceased. To do so would be tantamount to
grave abuse of discretion [Manungas v. Loreto, When powers cease
G.R. No. 193161 (2011)]. When letters testamentary/administration are
granted on the estate of the deceased
When appointed 1. Special administrator shall deliver to
1. When there is delay in granting letters executor/administrator goods, chattels,
testamentary or administration by any money, and estate of the deceased in his
cause, including an appeal from allowance hands.
or disallowance of a will [Sec. 1, Rule 80]. 2. The executor/administrator may prosecute
2. When the executor or regular administrator final judgment suits commenced by such
has a claim against the estate, with respect special administrator [Sec. 3, Rule 80].
to the settlement or adjustment of that claim
[Sec. 8, Rule 86]. The appointment of a special administrator lies
entirely in the discretion of the court, and is not
Procedure appealable. Not being appealable, the only
There must first be notice and publication. remedy against the appointment of a special
Notice through publication of the petition is a administrator is certiorari under Rule 65 [Tan v.
jurisdictional requirement even in the Gedorio, G.R. No. 166520 (2008)]
appointment of a special administrator [De
Guzman v. Angeles, G.R. No. 78590 (1988)].
Regular Special
Administrator Administrator
The preference laid down under Sec. 6, Rule
78 refers to the appointment of a regular Appointed by the Appointed by the court
administrator, not to that of a special court in the when
administrator [Pijuan v. De Gurrea, G.R. No. L- following instances a. There is delay in
21917 (1966)]. a. Testator fails granting letters
to name an testamentary or
Conditions on the bond executor in administration by
More specifically, the bond is conditioned on the will any cause
the faithful execution of the administration of b. The b. The executor is a
the decedent’s estate requiring the special appointment claimant of the
administrator to was refused estate, but only to
1. Make and return true inventory in his c. The will was portion where
possession or knowledge, disallowed there is a claim
2. Render accounting when required by court, d. No will
3. Deliver estate of the deceased to the regular (intestate
executor or administrator, or other succession)
authorized person [Sec. 4, Rule 81;
Ocampo v. Ocampo, G.R. No. 187879 Should pay the Cannot pay debts of
(2010)] debts of the estate the estate unless
ordered by the court

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iii. Removal of Special Administrators
Order of Interlocutory and is
The probate court may appoint or remove
Appointment is not appealable.
special administrators based on grounds other
final and
than those enumerated in the Rules at its
appealable Remedy is Rule 65
discretion, such that the need to first pass upon
petition
and resolve the issues of fitness or unfitness
and the application of the order of preference
f. Grounds for Removal of under Section 6 of Rule 78, as would be proper
Administrator in the case of a regular administrator, do not
obtain. As long as the discretion is exercised
i. Removal of executor or administrator without grave abuse, and is based on reason,
equity, justice, and legal principles,
Grounds interference by higher courts is unwarranted
1. Neglects to [Ocampo v. Ocampo, G.R. No. 187879 (2010)].
a. render his account and settle the estate
according to law, or iv. Examples of valid removal of an
b. perform an order or judgment of the administrator by probate court
court, or a duty expressly provided by 1. The remaining executor/administrator may
these rules, administer the trust alone, unless the court
2. Absconds, grants letters to someone to act with him
3. Becomes insane, or 2. If there is no remaining executor/
4. Becomes incapable or unsuitable to administrator, administration may be to any
discharge the trust [Sec. 2, Rule 82] suitable person [Sec. 2, Rule 82]

List enumerated is not exclusive. Court is For complaints against the general
vested with ample discretion in removal of competence of the administrator, the proper
administrator for as long as there is evidence remedy is to seek the removal of the
of any act or omission on the part of the administrator in accordance with Sec. 2, Rule
administrator not conformable to or in 82. While the provision is silent as to who may
disregard of rules or orders of the court which seek with the court the removal of the
it deems as sufficient or substantial to warrant administrator, a creditor, even a contingent
removal of administrator [Festin 62, 2011 Ed.]. one, would have the personality to seek such
relief [Hilado v. CA, G.R. No. 164108 (2009)].
ii. Examples of valid removal of an
administrator by probate court v. Validity of acts
1. Administrator who disbursed funds of estate Lawful acts of the executor/administrator
without judicial approval [Cotia v. Jimenez, before removal/resignation are valid [Sec. 3,
G.R. No. L-12132 (1958)] Rule 82].
2. False representation by administrator in
securing his appointment [Cobarrubias v. The acts of the executor or administrator, done
Dizon, G.R. No. L-225 (1946)] in good faith prior to the revocation of the
3. Administrator who holds interest adverse to letters, will be protected and a similar
that of the estate or his conduct shows protection will be extended to rights acquired
unfitness to discharge the trust [Garcia v. under a previous grant of administration [Vda.
Vasquez, G.R. No. L-26615 (1970)] De Bacaling v. Laguna, G.R. No. L-26694
4. Administrator who has physical and mental (1973)].
inability and consequent unsuitability to
manage the estate [De Borja v. Tan, G.R. vi. Powers of new executor or
No. L-6476 (1955)] administrator
1. Collect and settle the estate not
Temporary absence in the state does not administered,
disqualify one to be an administrator of the 2. Prosecute and defend actions commenced
estate [Gonzales v. Aguinaldo, G.R. No. 74769 by or against the former
(1990)]. executor/administrator, and

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3. Have execution on judgments recovered in [Sec. 5, Rule 87]
the name of the former executor or
administrator, General Rule: Heirs may not sue for recovery
4. Authority to sell granted by court to former of property of the estate against
executor or administrator may be renewed executor/administrator during pendency of
without further notice or hearing [Sec. 4, administration proceedings [Sec. 3, Rule 87;
Rule 82] Romero v. CA, G.R. No. 188921 (2012)].

g. Actions by and Against Exceptions:

Executors and Administrators 1. If executor or administrator is unwilling to
bring a suit
i. Actions By and Against Executors 2. When the executor or administrator is made
a party defendant where he is alleged to
Actions that may be brought against have participated in the act complained of
executor or administrator (actions that 3. Where there is no appointed administrator
survive the decedent’s death) [Festin 81-82, 2011 Ed.]
1. Recovery of real or personal property, or
interest therein, from estate; Proceedings when property concealed,
2. Enforcement of a lien thereon; and embezzled or fraudulently conveyed
3. Recovery of damages for an injury to a The court may cite any person suspected of
person or property, real or personal [Sec. 1, 1. Having concealed, embezzled, or conveyed
Rule 87; Sarsaba v. Vda. De Te, G.R. No. away any of the money, goods, or chattels of
175910 (2009)] the deceased; or
2. Having in his possession or having knowledge
No action upon a claim for the recovery of of
money or debt or interest shall be commenced a. any deed, conveyance, bond, contract,
against the executor/administrator [Sec. 1, or other writing which contains evidence
Rule 87]. of or tends or discloses the right, title,
interest, or claim of deceased to real or
When an accused, a doctor, died pending personal estate, or
appeal of his conviction in a case arising from b. last will and testament of deceased to
the death of his patient, his criminal liability is appear before it and be examined on
extinguished. However, the recovery of the civil oath on the matter of complaint by the
liability subsists as the same is not based on executor or administrator, heir, legatee,
delict but by contract and the reckless creditor or other individual interested in
imprudence he was guilty of. If the same act or the estate of the deceased to the court
omission complained of arises from quasi- having jurisdiction of the estate.
delict, as in this case, a separate civil action
must be filed against the executor or If the person so cited refuses to appear, or to
administrator of the estate of the accused answer on such examination or such
pursuant to Sec. 1, Rule 87 [Cabugao v. interrogatories as are put to him, the court may
People, G.R. Nos. 163879 and 165805 (2014)]. punish him for contempt, and may commit him
to prison until he submits to the order of the
Executor or administrator may bring or court [Sec. 6, Rule 87].
defend actions which survive death
For recovery or protection of property or rights Purpose
of deceased [Sec. 2, Rule 87] Similar to Sec. 6, Rule 87, Sec. 7 of the same
rule is merely in the nature of fact-finding
Covers injury to property (i.e., not only limited inquiries. It is intended to elicit evidence
to injuries to specific property, but extends to relative to estate properties. The RTC which
other wrongs by which personal estate is has jurisdiction over the administration and
injured or diminished) [Aguas v. Llemos, G.R. settlement of the estate has limited jurisdiction
No. L-18107 (1962)] and is without authority to resolve issues of
ownership with finality especially when third
Mortgage due to the decedent’s estate may persons are involved. Separate actions should
be foreclosed by the executor/administrator be instituted by the administrator for the
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purpose [Punongbayan v. Punongbayan, G.R. administrator against the cost and
No. 156842 (2004)]. expenses incurred by such action

Double Value Rule b. If conveyance or attempt is made in favor

A person who embezzles or alienates any of of executor/administrator,
the money, goods, chattels, or effects of the i. No need for court permission
deceased before the granting of letters ii. No need for bond
testamentary or of administration of the estate, iii. Action in the name of all creditors
is liable for double the value of the property
sold, embezzled, or alienated, to be recovered Such creditor shall have a lien upon any
in favor of the estate [Sec. 8, Rule 87]. judgment recovered by him in the action for
such costs and other expenses incurred
When executor or administrator may bring therein as the court deems equitable [Sec. 10,
action for recovery of property fraudulently Rule 87].
conveyed by deceased
1. There is a deficiency of assets for payment 7. Claims Against the Estate
of debts and expenses of administration and (Rule 86)
the deceased, in his lifetime, had conveyed
real or personal property, right or interest Estate burdened with lien of creditors
therein, or debt or credit with intent to Upon the death of the person, all his property
defraud his creditors or avoid any right, debt is burdened with all his debts, his debts
or duty, or creating an equitable lien thereon for the
2. Deceased had so conveyed such property, benefit of the creditors. And such lien continues
right, interest, debt or credit that by law the until the debts are extinguished either by the
conveyance would be void as against the payment, prescription, or satisfaction in one of
creditors and the subject of the attempted the modes recognized by law [Suiliong & Co. v.
conveyance would be liable to attachment Chio-Taysan, G.R. No. 4777 (1908)].
by any of them in his lifetime [Sec. 9, Rule
87] Purpose of presentation of claims against
estate
ii. Requisites Before Creditor May Bring 1. To protect the estate of the deceased
an Action for Recovery of Property 2. Executor/administrator will be able to
Fraudulently Conveyed by the examine each claim, determine whether it is
Deceased a proper one which should be allowed
1. There is a deficiency of assets; 3. To appraise the administrator and the
2. The deceased in his lifetime had made or probate court of the existence of the claim
attempted such a conveyance with intent to so that a proper and timely arrangement
defraud creditors or to avoid any right, debt, may be made for its payment in full or by pro
or duty; rata portion in the due course of the
3. The executor or administrator has not administration [Estate of Olave v. Reyes,
commenced the action provided in Sec. 9, G.R. No. L-29407 (1983)]
Rule 87; and
4. The creditor has filed a bond executed to a. Time Within Which Claims Shall
the executor or administrator in an amount
Be Filed; Exceptions
approved by the judge, conditioned to
indemnify the executor or administrator
General Rule: Claims must be filed within the
against the costs and expenses incurred by
time specified by the court in its notice which
reason of such action.
shall not be less than 6 months nor more than
12 months from the date of the first publication
a. If executor/administrator failed to
of the notice [Sec. 2, Rule 86].
commence such action, action must be
i. With court permission
Exception: Belated claims
ii. In the name of executor or
Claims must be filed within the time specified
administrator
by the court in its notice which shall not be less
iii. Creditor must file bond, conditioned to
than 6 months nor more than 12 months from
indemnify the executor or
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the date of the first publication of the notice The filing of a money claim against the
[Sec. 2, Rule 86]. decedent’s estate is mandatory. The
requirement is for the purpose of protecting the
Note: The one-month extension does not estate of the deceased by informing the
commence from expiration of the original executor or administrator of the claims against
period for filing claims but from the date of the it, enabling him to examine each claim and to
order of the court allowing said filing [Barredo determine whether it is a proper one which
v. CA, G.R. No. L-17863 (1962)]. should be allowed. The plain and obvious
design of the rule is the speedy settlement of
Notice to creditors to be published; the affairs of the deceased and the early
Affidavit of publication delivery of the property to the distributees,
Executor/administrator shall, immediately after legatees, or heirs [Union Bank of the
the notice to creditors is issued, cause Philippines v. Santibañez, G.R. No. 149926
publication of notice for 3 weeks successively (2005), citing Py Eng Chong v. Herrera, G.R.
in a newspaper of general circulation in the No. L-31229 (1976)].
province, and its posting in 4 public places in
the province, and in 2 public places in the Claims covered (exclusive)
municipality, where the decedent last resided 1. Claims for money against the decedent
[Sec. 3, Rule 86]. arising from contract
2. Express or implied
Printed copy of the published notice shall be 3. Due or not
filed in court within 10 days after its publication 4. Contingent or not
accompanied with affidavit setting forth the 5. Claims for funeral expenses
dates of first and last publication and name of 6. Expenses for last sickness
newspaper where it was printed [Sec. 4, Rule 7. Judgment for money against decedent
86]. [Sec. 5, Rule 86]

Significance of Notice Statute of non-claims supersedes statute of

Publication of notice is constructive notice to limitations when it comes to debts of deceased
creditors and, thus, a creditor would not be persons [Sikat v. Vda. De Villanueva, G.R. No.
permitted to file a claim beyond the period fixed L-35925 (1932)].
in the notice on the bare ground that he had no
knowledge of the administration proceedings Quasi-contracts and contingent claims are
[Villanueva v. PNB, G.R. No. L-18403 (1963)]. included in claims that should be filed under
Sec. 5, Rule 86 [Metropolitan Bank & Trust Co.
b. Statute of Non-Claims v. Absolute Management Corp., G.R. No.
170498 (2013)].
General Rule: Claim must be filed within the
time limited in the notice; otherwise they are Contingent claim
barred forever [Sec. 5, Rule 86]. One which by its nature, is necessarily
dependent upon an uncertain event for
Exceptions: existence or validity, which may or may not
1. When set forth as counterclaims in any develop into an enforceable claim [Buan v.
action that the executor/administrator may Laya, G.R. No. L-7593 (1957)]
bring against the claimants [Sec. 5, Rule 86]
2. Belated claims [Sec. 2, Rule 86] When allowed
1. When it becomes absolute;
Purpose: To settle the estate with dispatch, so 2. Presented to the court or
that the residue may be delivered to the executor/administrator within 2 years from
persons entitled thereto without their being the time limited for other creditors to present
afterwards called upon to respond in actions for their claims; and
claims [Rio y Compania v. Maslog, G.R. No. L- 3. Not disputed by executor/administrator
12302 (1959), citing Tan Se Guan v. Ga Siu [Sec. 5, Rule 88].
San, 47 Phil. 96]

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If disputed, it may be proved and allowed or creditor to proceed only as against the estate
disallowed by the court as the facts may would deprive him of his substantive rights
warrant [Sec. 5, Rule 88]. under the Civil Code [Boston Equity
Resources, Inc. v. CA, G.R. No. 173946
Where an executor/administrator commences (2013)]. However, this must be differentiated
action, or prosecutes an action already as against a situation where the debt is
commenced by deceased in his lifetime, the chargeable to the conjugal partnership and it is
debtor may set forth by answer the claims he the partnership which is primarily bound. In
has against decedent, instead of presenting which case, the remedy is to a claim in the
them independently to the settlement court, settlement of the estate of the decedent
and mutual claims may be set off against each spouse [Alipio v. CA, G.R. No. 134100 (2000)].
other in such action. If the debtor obtains a
favorable judgment, the amount shall be Alternative remedies of a mortgage creditor
considered the true balance against the estate, upon death of debtor
as though the claim had been presented 1. Abandon the security and prosecute his
directly before the court in the administration claim from the estate as an ordinary claim –
proceedings [Sec. 5, Rule 86]. creditor is deemed to have abandoned the
mortgage and he cannot thereafter file a
In a labor case where the deceased was found foreclosure suit if he fails to recover his
to have illegally dismissed the plaintiff, the money claim against the estate.
money claims of the plaintiff who was adjudged 2. Foreclose mortgage judicially and prove any
entitled thereto must be filed against the estate deficiency as an ordinary claim – suit should
of the deceased [Gabriel v. Bilon, G.R. No. be against the executor or administrator as
146989 (2007); Rule 3, Sec. 20 in relation to party defendant; creditor may obtain
Sec. 5, Rule 86]. deficiency judgment if he fails to fully
recover his claim.
The specific provisions of Sec. 5, Rule 86 3. Rely solely on the mortgage and foreclose it
prevails over the general provisions of Section before it is barred by prescription without
11, Rule 6 of the same. The settlement of the right to claim for deficiency – includes
estate of the decedent is governed by the rules extrajudicial foreclosure of sale and its
on special proceedings, while the rules exercise precludes one from recovery of
provided for ordinary claims including Section any balance of debt against the estate and
11, Rule 6 merely apply suppletorily frees the estate from further liability [Sec. 7,
[Metropolitan Bank & Trust Co. v. Absolute Rule 86].
Management Corp., G.R. No. 170498 (2013)].
It must, however, be emphasized that these
The presentation of a money claim may be remedies are distinct, independent, and
waived [Ignacio v. Pampanga Bus Co., Inc., mutually exclusive from each other, thus, the
G.R. No. L-18936 (1967)]. election of one effectively bars the exercise of
the others [Heirs of Maglasang v. Manila
If obligation solidary - file claim against Banking Corp., G.R. No. 171206 (2013);
decedent as if he is the only debtor Philippine National Bank v. CA, G.R. No.
121597 (2001); Festin 79, 2011 Ed.]
If obligation joint - claim confined to the
portion belonging to the decedent [Sec. 6, Rule c. Claim of Executor or Administrator
86] Against the Estate Procedure to
follow if the executor/administrator
Where the obligation assumed by the decedent has a claim against the estate he
with his wife is a solidary one, a collection case represents
can proceed and the demands of the creditor 1. Executor/Administrator shall give notice
may be satisfied by the widow only, even thereof, in writing, to the court
without impleading the estate of her deceased 2. The court shall appoint a special
husband. Thus, under Article 1216 of the Civil administrator who shall have the same
Code, the creditor has the right to proceed power and liability as the general
against anyone of the solidary debtors or some executor/administrator in the adjustment of
or all of them simultaneously. To require the such claim
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3. The court may order the court may allow 15 days to file an answer [Sec.
executor/administrator to pay to the special 11, Rule 86].
administrator necessary funds to defend
such claim [Sec. 8, Rule 86] Executor/administrator disputes claim OR
fails to file answer
How to File For a Claim Clerk of court shall set the claim for trial with
1. Deliver the claim with the necessary notice to both parties [Sec. 12, Rule 86].
vouchers to the clerk of court, and
2. Serve a copy thereof on the Judgment of court approving or disapproving a
executor/administrator [Sec. 9, Rule 86]. claim shall be appealable as in ordinary cases
[Sec. 13, Rule 86].
Additional requirements
1. If the claim be founded on a bond, bill, note, 8. Payment of the Debts of the
or any other instrument – the original need Estate (Rule 88)
not be filed, but a copy thereof with all
indorsements shall be attached to the Debts paid in full if estate sufficient
claim. On demand, however, of 1. After all money claims heard and their
executor/administrator, or by order of court amount ascertained; and
or judge, the original shall be exhibited, 2. It appears there are sufficient assets to pay
unless it be lost or destroyed, in which case the debts [Sec. 1, Rule 88].
the claimant must accompany his claim with
an affidavit or affidavits containing a copy or The executor/administrator shall pay the same
particular description of the instrument and within the time limited for that purpose [Sec. 1,
stating its loss or destruction. Rule 88].
2. When the claim is due – it must be
supported by an affidavit which states The heirs of the estate may not demand the
a. the amount justly due; closing of an intestate proceeding at any time
b. that no payments have been made where there is a pending case against the
thereon which are not credited; and administrator of the estate. The court can
c. that there are no offsets to the same, to rightfully hold the proceeding in abeyance until
the knowledge of the affiant. the civil case is settled [Dinglasan v. Chia, G.R.
3. If the claim is not due, or is contingent, when No. L-3342 (1951)].
filed – it must also be supported by affidavits
stating the particulars thereof. Order of preference for payment of debts
4. When the affidavit is made by a person 1. Portion of property designated in the will
other than the claimant – he must set forth a. If testator makes provision by will, or
therein the reason why it is not made by the designates the estate for the payment of
claimant [Sec. 9, Rule 86]. debts, expenses of administration, or
family expenses, they shall be paid
Answer by executor/administrator according to such provisions
Shall be filed within 15 days after a copy of the b. If not sufficient – part of the estate not
claim has been served upon him. The disposed of by will shall be appropriated
executor/administrator may interpose any [Sec. 2, Rule 88].
counterclaim. Said counterclaim is regarded as 2. Personal property [Sec. 3, Rule 88].
compulsory, as the failure to file the same shall 3. Real property [Sec. 2, Rule 89].
bar the claim forever [Sec. 10, Rule 86].
If there is still a deficiency, the debt shall be
Executor/administrator entirely admits satisfied through the contributive shares of the
claim devisees, legatees, or heirs who have been in
The claim shall be submitted by the clerk to the possession of portions of the estate before
court who may approve the same without debts and expenses have been settled and
hearing, but the court in its discretion before paid [Sec. 6, Rule 88].
approving the claim, may order that known
heirs, legatees, or devisees be notified and General Rule: Personal estate not disposed of
heard. If the latter oppose upon hearing, the by will shall be first chargeable.

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Exceptions (when realty charged first): 9. Sales, Mortgages, and Other
1. When the sale of personal property is Encumbrances of Property or
insufficient [Sec. 3, Rule 88] Decedent (Rule 89)
2. When its sale will redound to the detriment
of the participants for the estate [Id.]
3. When its sale may injure the business or Sale beneficial to interested persons
other interests of those interested in the Upon application of the executor or
estate [Sec. 2, Rule 89] administrator and on written notice to the heirs,
4. When the testator has not made sufficient devisees, and legatees, the court may
provision for payment of such debts, authorize the sale of the whole or a part of the
expenses, and legacies [Id.] real or personal estate when beneficial to the
5. When the decedent was, in his lifetime, heirs, although not necessary to pay debts,
under contract, binding in law, to deed real legacies, or expenses of administration.
property, or an interest therein, to
beneficiary [Id., Sec. 8] Proceeds derived from the sale shall be
6. When the decedent during his lifetime held assigned to the persons entitled to estate in the
real property in trust for another [Id., Sec. 9] proper proportions.

Requisites before any of the exceptions BUT the authority will not be granted if
apply: inconsistent with the provisions of a will [Sec.
1. The executor or administrator makes an 4, Rule 89]
application with the court
2. Written notice is given to the persons Sale, mortgage, or other encumbrance of
interested realty acquired on execution or foreclosure
3. Hearing by the court The court may authorize an executor or
administrator to sale, mortgage, or otherwise
Note: However, Sec. 8 should be differentiated encumber real estate acquired by him on
from Secs. 2 and 4 of Rule 89, specifically execution or foreclosure sale, under the same
requiring only the executor or administrator to circumstances and under the same regulations
file the application for authority to sell, as prescribed in this rule [Sec. 6, Rule 89].
mortgage or otherwise encumber real estate
for the purpose of paying debts, expenses and Deed of sale, mortgage or encumbrance
legacies (Sec. 2); or for authority to sell real or The deed executed by the executor or
personal estate beneficial to the heirs, administrator shall be valid as if executed by
devisees or legatees and other interested the deceased in his lifetime [Secs. 7-8, Rule
persons, although such authority is not 89].
necessary to pay debts, legacies or expenses
of administration (Sec. 4). Sec. 8, Rule 89 For sales contracted by the decedent during
mentions only an application to authorize the his lifetime, Sec. 8, Rule 89 applies. In such
conveyance of realty under a contract that the cases, the court having jurisdiction of the
deceased entered into while still alive. The estate may, on application for that purpose,
proper party is one who is to be benefited or authorize the executor or administrator to
injured by the judgment, or one who is to be convey such property according to such
entitled to the avails of the suit [Heirs of contract, or with such modifications as are
Sandejas v. Lina, G.R. No. 141634 (2001)]. agreed upon by the parties and approved by
the court [Liu v. Loy, G.R. No. 145982 (2003)].
The disposal of estate property requires judicial
approval before it could be executed. Implicit in Court approval is required in any disposition of
the requirement for judicial approval was that the decedent’s estate per Rule 89. Reference
the probate court could rescind or nullify the to judicial approval, however, cannot adversely
disposition of a property under administration affect the substantive rights of heirs to dispose
that was effected without its authority [Sps. of their own pro indiviso shares in the co-
Lebin v. Mirasol, G.R. No. 164255 (2011)]. heirship or co-ownership. In other words, they
can sell their rights, interests or participation in
the property under administration [Heirs of Sps.
Sandejas v. Lina, supra].

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Oppositor may prevent sale by giving bond Settled is the rule that when an order
The authority to sell, mortgage, or otherwise authorizing the sale or encumbrance of real
encumber real or personal estate shall not be property was issued by the testate or intestate
granted if any person interested in the estate court without previous notice to the heirs,
gives a bond, in a sum fixed by the court [Sec. devisees, and legatees as required by the
3, Rule 89]. Rules, it is not only the contract itself which is
null and void but also the order of the court
Conditions of bond authorizing the same [Pahamotang v. PNB,
To pay debts, expenses of administration, and G.R. No. 156403 (2005)].
legacies within such time as court directs [Id.]
Who may claim on the bond Insolvent resident with foreign creditors
Such bond shall be for security of creditors, as and foreign claims proven in another
well as of executor/administrator, and may be country
prosecuted for the benefit of either [Id.] If executor/administrator in Philippines had
1. knowledge of presentation of such claims in
Regulation for granting authority to sell, such country, and
mortgage, or otherwise encumber estate 2. opportunity to contest such allowance
1. The executor/administrator shall file a
written petition setting forth The court shall
a. Debts due from deceased, expenses for 1. Receive a certified list of such claims, when
administration, legacies, perfected in such country
b. Value of personal estate, 2. Add the same to the list of claims proved
c. Situation of estate to be sold, mortgaged, against the deceased person in the
encumbered, and Philippines so that a just distribution of the
d. Such other facts showing that sale etc., whole estate may be made equally among
is necessary or beneficial all its creditors according to their respective
2. The court will fix the time and place for claims [Sec. 10, Rule 88].
hearing such petition and cause notice to be
given personally or by mail to persons Principle of reciprocity
interested, and by publication if deemed The benefit of this and preceding sections shall
proper not be extended to creditors in another country
3. The court may require the if property of the deceased there found is not
executor/administrator to give additional equally apportioned to creditors residing in
bond conditioned on an accounting for Philippines and other creditors, according to
proceeds of sale, etc. their respective claims [Sec. 10, Rule 88].
4. The court may authorize sale to be public or
private Order for Payment of Debts
5. If estate is to be sold at auction, mode of Before expiration of time limited for payment of
giving notice shall be governed by the debts, court shall order
provisions concerning notice of execution 1. Payment; and
sale 2. Distribution of assets received by the
6. Certified copy of the order of the court, plus executor/administrator for that purpose
deed of executor/administrator for real among the creditors, as the circumstances
estate sold, mortgaged, or encumbered of the estate require and in accordance with
shall be registered in registry of deeds the provisions of this rule [Sec. 11, Rule 88].
where property is located [Sec. 7, Rule 89]
If appeal taken from a decision of the court
Under Sec. 7, Rule 89, only the executor or concerning a claim
administrator of the estate may be authorized The court may
by the intestate court to mortgage real estate 1. Suspend order for payment, or
belonging to the estate. Thus, the order of the 2. Order distribution among creditors whose
estate court authorizing the heirs to mortgage claims are definitely allowed, leaving in the
the realty of the estate is a nullity [Orola, et al. hands of executor/administrator sufficient
v. The Rural Bank of Pontevedra, G.R. No. assets to pay the claim disputed and
158566 (2005)]. appealed

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When a disputed claim is finally settled, the the payment of debts and expenses of
court shall order the claim to be paid out of administration. The proper procedure is for the
assets retained to the same extent and in the court to order the sale of personal estate or the
same proportion with the claims of other sale of mortgaged real property of the
creditors [Sec. 12, Rule 88]. deceased and all debts or expenses of
administration should be paid out of the
Instances when court may make further proceeds of the sale or mortgage [Aldamiz v.
orders for distribution of assets Judge of CFI-Mindoro, G.R. No. L-2360
1. If whole of debts not paid on first (1949)].
distribution, and
2. If: Exceptions:
a. Whole assets not distributed, or 1. To satisfy the distributive share of devisees,
b. Other assets afterwards come to hands legatees, and heirs in possession of the
of executor/administrator [Sec. 13, Rule decedent’s assets, or
88]. 2. To enforce payment of expenses of the
partition, or
Creditors to be paid in accordance with 3. To satisfy the costs when a person is cited
terms of order for examination in probate proceedings
When an order is made for distribution of [Festin 86, 2011 Ed.]
assets among creditors, executor/
administrator shall, as soon as the time of 10. Distribution and Partition (Rule
payment arrives, pay creditors the amounts of 90)
their claims, or the dividend thereon, in
accordance with the terms of such order [Sec. Before there could be a distribution of the
14, Rule 88] estate, the following stages must be
followed
Time for paying debts and legacies 1. Liquidation of estate (i.e., payment of
General Rule: Not exceeding 1 year in the first obligations of deceased)
instance 2. Declaration of heirs - to determine to whom
the residue of the estate should be
Exception: Court may extend the period, on distributed
application of the executor/administrator after a. Determination of the right of a natural
hearing on notice to all interested persons, on child
the following conditions b. Determination of proportionate shares
1. Extension must not exceed 6 months for a of distributees
single extension, and
2. The whole period allowed shall not exceed Afterwards, the residue may be distributed and
2 years [Sec. 15, Rule 88] delivered to the heirs [3-A Herrera 173, 1996
Ed.]
Extension of time for paying debts and
legacies The courts may make a declaration of heirs at
When executor/administrator dies, and a new any stage of the proceedings before the order
administrator of same estate is appointed, of distribution [De Leon 178, 2015 Ed.].
court may extend time
1. Not exceeding 6 months at a time, and Payment of the inheritance tax, per se, does
2. Not exceeding 6 months beyond the time not settle the estate of a deceased person
which court might have allowed to original [Agtarap v. Agtarap, G.R. Nos. 177099 and
executor/administrator, and notice shall be 177192 (2011)].
given of time and place for hearing such
application, as required in the last preceding a. Liquidation
section [Sec. 16, Rule 88].
General Rule: Before an order of distribution
Writ of execution or assignment, it must be shown that the debts,
General Rule: The probate court does not funeral expenses, and expenses of
have the power to issue writs of execution. A administration, allowance to widow, and
writ of execution is not the proper procedure for
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inheritance tax chargeable to the estate have regards the compliance and the fulfillment of
been paid. the parties of their respective obligations under
the compromise agreement [Reyes-Mesugas
Exception: If the distributees give a bond v. Reyes, G.R. No. 174835 (2010)].
conditioned for the payment of said obligations
[Sec. 1, Rule 90; Estate of Ruiz v. CA, G.R. No. Court may determine questions as to
118671 (1996)] advancement made by decedent
[Sec. 2, Rule 90]
The part distributed must not be subject to any
controversy or appeal [Sec. 2, Rule 109]. Although it is within the jurisdiction of the court
whether or not to permit the advance
b. Project of Partition distribution of the estate, its exercise should be
qualified by the following:
A project of partition is merely a proposal for 1. Only part of the estate that is not affected by
the distribution of the hereditary estate which any pending controversy or appeal may be
the court may accept or reject [Reyes v. subject of advance distribution (Sec. 2, Rule
Barretto-Datu, G.R. No. L-17818 (1967); Vda. 109); and
De Kilayko v. Tengco, G.R. Nos. 45425 and 2. The distributees must post a bond, fixed by
45965 (1992)]. the court, conditioned for the payment of
outstanding obligations of the estate [par. 2,
The executor/administrator has no duty to Sec. 1, Rule 90, Quasha Ancheta Peña &
prepare and present the same under the Rules. Nolasco Law Office v. LCN Construction
The court may, however, require him to present Corp., G.R. No. 174873 (2008)]
such project to better inform itself of the
condition of the estate [3 Moran 541, 1980 Ed.]. Effect of final decree of distribution
Title to the property of the estate vests in the
When order for distribution of residue distributees [De Kilayko v. Tengco, G.R. No.
made 45425 (1992)].
Court makes that distribution of the estate and
determines the persons entitled thereto The only instance where a party interested in a
a. On application of probate proceeding may have a final liquidation
executor/administrator or of person set aside is when he is left out by reason of
interested in estate. circumstances beyond his control or through
b. Hearing upon notice. mistake or inadvertence not imputable to
negligence [Vda. De Alberto v. CA, G.R. No. L-
Court shall assign the residue of the estate to 29759 (1989)].
the persons entitled to the same, naming them
and the proportions, or parts, to which each is c. Remedy of an Heir Entitled to
entitled. Residue But Not Given His Share
Such persons may demand and recover their The better practice for the heir who has not
respective shares from the executor/ received his share is to
administrator, or any other person having the 1. Demand his share through a proper motion
same in his possession. in the same probate or administrative
proceedings, or
If there is a controversy as to who are lawful 2. Motion for reopening of the probate or
heirs, such shall be heard and decided as in administrative proceedings if it had already
ordinary cases [Sec. 1, Rule 90]. been closed, and not through an
independent action [Guilas v. Judge of CFI
The order of a probate court approving the of Pampanga, G.R. No. L-26695 (1972)]
compromise had the effect of directing the
delivery of the residue of the estate to the BUT where special proceedings had been
persons entitled thereto under the compromise instituted but had been finally closed and
agreement. As such, it brought to a close the terminated, however, or if a putative heir has
intestate proceedings and the probate court lost the right to have himself declared in the
lost jurisdiction over the case, except only as special proceeding as a co-heir and he can no
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longer ask for its re-opening, then an ordinary power of the court over the res. Consequently,
civil action can be filed for his declaration as a judgment of escheat is conclusive upon
heir in order to bring about the annulment of the persons notified by advertisement, as
partition or distribution or adjudication of a publication is considered a general and
property or properties belonging to the estate constructive notice to all persons interested
of the deceased [Portugal v. Portugal-Beltran, [RCBC v. Hi-Tri Development Corp., G.R. No.
G.R. No. 155555 (2005)] 192413 (2012)].

d. Instances When Probate Court When to File

May Issue Writ of Execution Three instances of escheats
1. When a person dies intestate leaving
General Rule: Writ of execution is not allowed property in the Philippines leaving no heir
in probate proceedings [Vda de. Valera v. [Sec. 1, Rule 91]
Ofilada, G.R. No. L-27526 (1974)] 2. Reversion proceedings in alienations in
violation of Constitution or other statute
Exceptions: [Sec. 5, Rule 91]
1. To satisfy the contributive shares of 3. Unclaimed Balances Act – dormant
devisees, legatees and heirs in possession accounts for 10 years shall be
of the decedent’s assets [Sec. 6, Rule 88] escheated [Act No. 3936, as amended by
2. To enforce payment of expenses of partition PD 679]
[Sec. 3, Rule 90]
3. To satisfy the costs when a person is cited An action for reversion or escheat of lands sold
for examination in probate proceedings to aliens disqualified from acquiring lands
[Sec. 13, Rule 142] under the Constitution may be initiated by the
Office of the Solicitor General. However, where
When does a probate court lose jurisdiction the transferees are Filipino citizens, escheat
of an estate under administration? proceedings can no longer prosper [Republic v.
The probate court loses jurisdiction of an estate Register of Deeds of Roxas City, G.R. No.
under administration only after payment of all 158230 (2008)].
debts, and the remaining estate delivered to
the heirs entitled to receive the same [Guilas v. Where to file
Judge of CFI of Pampanga, supra]. 1. If Resident – RTC of the province where the
deceased last resided [Sec. 1, Rule 91]
2. If Non-resident – RTC of the place where his
C. Escheat (Rule 91) estate is located [Sec. 1, Rule 91]
3. Actions for reversion or escheat of
Escheat is a proceeding where the real and properties alienated in violation of the
personal property of a person deceased in the Constitution or of any statute — in province
Philippines, who dies without leaving any will where land lies in whole or in part [Sec. 5,
and without any legal heirs, becomes the Rule 91]
property of the State [Municipal Council of San 4. Unclaimed balances – RTC of the province
Pedro v. Colegio de San Jose, G.R. No. L- or city where the bank, building, loan
45460 (1938)]. association or trust corporation is located
[Sec. 3, Act No. 3936, as amended by P.D.
It is an incident or attribute of sovereignty and 679]
rests on the principle of ultimate ownership by
the State of all property within its jurisdiction Requisites for Filing of Petition:
[Rellosa v. Gaw Chee Hun, G.R. No. L-1411 1. A person died intestate;
(1953)]. 2. He left no heirs or persons by law entitled to
the same; and
Escheat proceedings are actions in rem, 3. The deceased left properties [City of Manila
whereby an action is brought against the thing v. Archbishop of Manila, G.R. No. L-10033
itself instead of the person. Thus, an action (1917); Sec. 1, Rule 91]
may be instituted and carried to judgment
without personal service upon the depositors or
other claimants. Jurisdiction is secured by the
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Procedure 4. Effect of claim by one who is entitled to
Solicitor General or his representative in behalf of the estate
the Republic of Philippines files the petition [Sec. 1, Possession of and title to the estate shall be
Rule 91] given. If estate has already been sold, then the
↓ city/municipality shall be accountable for the
proceeds, less reasonable charges for care of
If petition is sufficient in form and substance, court estate; but a claim not made within 5 years
shall make an order fixing date and place for
hearing, which shall not be more than 6 months
shall be forever barred [Sec. 4, Rule 91]
after entry of order [Sec. 2, Rule 91]
↓ D. Guardianship
Guardianship
Court shall direct a copy of order to be published
before the hearing at least once a week for 6
The power of protective authority given by law
consecutive weeks in some newspaper of general and imposed on an individual who is free and
circulation published in the province, as the court in the enjoyment of his rights, over one whose
shall deem best [Sec. 2, Rule 91] weakness on account of his age or other
↓ infirmity renders him unable to protect himself
[3-A Herrera 193, 1996 Ed.]
Court shall hear the case and judge whether or not
the estate shall be escheated [Sec. 3, Rule 91]
Guardian
↓ A person lawfully vested with power and
Property escheated will be assigned charged with the duty of taking care of a person
a. If personal property – to the municipality or who, for some peculiarity or status or defect of
city where the deceased last resided age, understanding, or self-control, is
b. If real property – to the municipalities or considered incapable of administering his own
cities, respectively, in which the same is situated
c. If the deceased never resided in affairs [3-A Herrera 194, 1996 Ed.]
Philippines – whole estate may be assigned to the
respective municipalities or cities where the same is Basis: parens patriae
located It is the State’s duty to protect the rights of
persons who because of age/incapacity are in
Such estate shall be for the benefit of public an unfavorable position vis-à-vis other parties.
schools, and public charitable institutions and
centers in said municipalities or cities. Unable as they are to take due care of what
concerns them, they have the political
Court may order, upon motion or motu propio, that a community to look after their welfare [Nery v.
permanent trust be established so that only the Lorenzo, G.R. No. L-23096 (1972)].
income from the property shall be used [Sec. 3,
Rule 91] Kinds of guardians
1. Legal Guardian – deemed as guardian by
Remedy of Respondent Against Petition; provision of law, without need of court
Period for Filing a Claim appointment [Art. 225, FC]
2. Guardian ad Litem – appointed by court to
1. Remedies of heir if government initiates prosecute or defend a minor, insane or
escheat person declared to be incompetent in a
a. Participate in the proceeding; file a court action
written opposition/comment; 3. Judicial Guardian – appointed by the court
b. File a motion to dismiss; in pursuance to law, as guardians for insane
c. File a petition to annul judgment; persons, prodigals, minor heirs of deceased
war veterans and other incompetent
2. Period to file a claim to the estate persons
Within 5 years from date of judgment; a. Guardian over the person
otherwise, barred forever [Sec. 4, Rule 91] b. Guardian of the property
c. General guardian (both person and
3. By whom property) [2 Regalado 118, 2004 Ed.]
Devisee, legatee, heir, surviving spouse, or
other person entitled to such estate [Sec. 4, Note: Rules 92-97 are now only applicable to
Rule 91] guardianship over incompetent persons who
are not minors. Guardianship over minors is
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governed by A.M. No. 03-02-05 SC or Rule on c. Other person on behalf of a resident
Guardianship of Minors. incompetent who has no parent or
lawful guardian;
Who are incompetent persons d. Officer of the Federal Administration of
1. Those suffering from the penalty of civil the US in the Philippines in favor of a
interdiction ward; or
2. Hospitalized lepers e. Director of Health in favor of an insane
3. Prodigals person who should be hospitalized, or
4. Deaf and dumb people who are unable to of an isolated leper [Sec. 1, Rule 93]
read and write
5. Those of unsound mind even though they Procedure
have lucid intervals Filing of petition [Sec. 1, Rule 93]
6. Persons by reason of age, disease, weak
mind, and other similar causes, cannot, ↓
without outside aid, take care of themselves Court issues order setting time for hearing [Sec. 3,
and manage their property, thereby Rule 93]
becoming an easy prey for deceit and ↓
exploitation [Sec. 2, Rule 92]
Reasonable notice to the incompetent and persons
mentioned in the petition
A finding that a person is incompetent should
be anchored on clear, positive and definitive Notice by publication or otherwise if incompetent is
evidence. Where the sanity of a person is at a nonresident [Sec. 3, Rule 93]
issue, expert opinion is not necessary and that ↓
the observations of the trial judge coupled with
Reasonable notice to the incompetent and persons
evidence establishing the person’s state of mentioned in the petition
mental sanity will suffice [Oropesa v. Oropesa, Notice by publication or otherwise if incompetent is
G.R. No. 184528 (2012)]. a nonresident [Sec. 3, Rule 93]
↓
1. Venue (Rule 92)
Filing of written opposition [Sec. 4, Rule 93]
Resident incompetent – MTC/RTC where the ↓
incompetent resides, depending on the value Hearing where the alleged incompetent must be
of the estate [Sec. 1, Rule 92] present if able to attend [Sec. 5, Rule 93]
↓
Non-resident incompetent – MTC/RTC
where the incompetent’s property of a part Filing of written opposition [Sec. 4, Rule 93]
thereof is situated, depending on the value of ↓
the estate [Sec. 1, Rule 92] Filing of written opposition [Sec. 4, Rule 93]

Resident minor – Family Court of the province

or city where the minor actually resides [Sec. 3, The objectives of a hearing on a petition for
A.M. No. 03-02-05-SC] appointment of a guardian under Rule 93 is for
the court to determine: (a) whether a person is
Non-resident minor – Family Court of the indeed a minor or an incompetent who has no
province or city where his property or any part capacity to care for himself and/or his
thereof is situated [Sec. 3, A.M. No. 03-02-05- properties; and (b) who is most qualified to be
SC] appointed as his guardian. Thus, creditors of
the minor or the incompetent need not be
2. Appointment of Guardians identified or notified. This is because their
presence is not essential to the proceedings for
(Rule 93) appointment of a guardian [Alamayri v. Pabale,
G.R. No. 151243 (2008)].
Who may file
Any
a. Relative;
b. Friend;

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3. General Powers and Duties of b. Annually [Sec. 7, Rule 96]
Guardians (Rule 96) 8. To render sworn account to court for
settlement and allowance
General duties a. Annually after appointment, which may be
1. Care and custody of person of his ward and compelled upon application of an
management of his estate, or interested person [Sec. 7-8, Rule 96]
2. Management of estate only, or b. As often as may be required after one year
3. Management of property within Philippines from appointment [Sec. 8, Rule 96]
(in case of non-resident ward) [Sec. 1, Rule
96]. Expenses and compensation allowed
Guardian, other than a parent, shall be allowed
Specific duties 1. his reasonable expenses incurred in
1. To pay just debts of ward out of execution of his trust, and
a. Personal estate and income of his real 2. compensation for his services as court
estate of the ward; deems just, not exceeding 15 per centum of
b. If (a) is not sufficient, real property of net income of ward [Sec. 8, Rule 96]
ward upon obtaining an order for its sale
or encumbrance [Sec. 2, Rule 96] Embezzlement, concealment, or
2. To settle all accounts of his ward [Sec. 3, conveyance of ward’s properties
Rule 96] Upon complaint of
3. To demand, sue for, and receive all debts 1. Guardian or ward, or
due him, or, with the approval of the court, 2. Any person having actual or prospective
compound for the same and give interest in property of ward as creditor, heir,
discharges to debtor, on receiving a fair and or otherwise
just dividend of estate and effects [Sec. 3,
Rule 96] The court may cite anyone suspected of having
4. To appear for and represent ward in all embezzled, concealed, or conveyed away any
actions and special proceedings, unless 1. Money, goods, or interest, or
another person is appointed for that 2. Written instrument,
purpose [Sec. 3, Rule 96] to appear for examination touching such
5. To manage property of ward frugally and money, goods, interest, or instrument and
without waste, and apply income and profits make such orders to secure estate [Sec. 6,
thereon, insofar as may be necessary, to Rule 96]
comfortable and suitable maintenance of
ward and his family. If such income and General Rule: Purpose of the proceeding is to
profits be insufficient for that purpose, to sell secure evidence from persons suspected of
or encumber the real estate, upon being embezzling, concealing or conveying any
authorized by the court to do so, and apply property of the ward so as to enable the
proceeds to such maintenance [Sec. 4, Rule guardian to institute the appropriate action to
96] obtain the possession of and secure title to said
6. To assent to partition of real or personal property. The court can neither determine
property owned by the ward jointly or in ownership of the property claimed to belong to
common with others, upon authority granted the ward nor order its delivery.
by the court,
a. After hearing, Exception: Court may direct delivery of
b. Notice to relatives of ward, and property to the guardian only in extreme cases,
c. Careful investigation as to the necessity where the right or title of the ward is clear and
and propriety of proposed action [Sec. 5, indisputable or where his title thereto has
Rule 96] already been judicially decided [Cui v. Piccio,
7. To submit to court a verified sworn inventory G.R. No. L-5131 (1952)]
of the property of the ward
a. Within 3 months Conditions of the bond
i. after appointment, and 1. To make and return to court, within 3
ii. after the discovery, succession or months after issuance of letters of
acquisition of property of the ward not guardianship, true and complete inventory
included in the inventory, and of all real and personal estate of his ward
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which shall come to his possession or 1. Trial
knowledge, or to possession or knowledge The guardian or relatives of the ward, and, in
of any other person from him the court’s discretion, any other person, may
2. To faithfully execute duties of his trust, to contest the right to the relief demanded, and
manage and dispose of estate according to witnesses may be called and examined by the
the Rules for best interests of ward, and to parties or by the court on its own motion. If it be
provide for his proper care, custody, and found that the person is no longer incompetent,
education his competency shall be adjudged and the
3. To render a true and just account of all guardianship shall cease [Sec. 1, Rule 97].
property of the ward in his hands, and of all
proceeds or interest derived from them, and 2. Removal
of management and disposition of the When a guardian becomes
same, at the time designated by this rule a. insane;
and such other times as court directs and at b. otherwise incapable of discharging his
the expiration of his trust, to settle his trust;
accounts with the court and deliver and pay c. unsuitable to discharge the trust;
over all estate, effects, and moneys d. has wasted or mismanaged the estate;
remaining in his hands, or due from him on or
such settlement, to person lawfully entitled e. failed for 30 days after it is due to
thereto render an account or make a return
4. To perform all orders of court and such
other duties as may be required by law [Sec. The court may, upon
1, Rule 94; Sec. 14, A.M. No. 03-02-05- SC] a. reasonable notice to the guardian,
remove him and
When new bond may be required and old b. compel him to surrender the estate of
sureties discharged the ward to the person found lawfully
When necessary, the court may require a new entitled thereto and may appoint
bond to be given by the guardian, and may another in his place [Sec. 2, Rule 97]
discharge the sureties on the old bond from
further liability, after due notice to interested 3. Resignation
persons, when no injury can result therefrom to A guardian may resign when it appears proper
those interested in the estate [Sec. 2, Rule 94; to allow the same; and upon his resignation,
Sec. 15, A.M. No. 03-02-05- SC]. the court may appoint another in his place [Sec.
2, Rule 97].
4. Termination of Guardianship
(Rule 97) 4. Discharge
The guardian of any person may be
discharged by the court when it appears, upon
a. Petition that competency of ward be
application of the ward or otherwise, that the
adjudged guardianship is no longer necessary [Sec. 3,
Rule 97].
The following persons may petition the court to
have his present competency judicially
determined: E. Writ of Habeas Corpus
1. person who has been declared incompetent
for any reason; or 1. Rule 102
2. his guardian;
3. relative; or Coverage
4. friend Extends to all cases of illegal confinement or
detention by which any person is deprived of
The petition shall be verified by oath. The court his liberty, or by which the rightful custody of
shall fix a time for hearing and cause any person is withheld from the person entitled
reasonable notice thereof be given to the thereto [Sec. 1, Rule 102]
guardian and the ward [Sec. 1, Rule 97].
Note: The privilege of the writ of habeas corpus
can only be suspended in cases of rebellion or

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invasion and when public interest requires it Temporary release may constitute restraint
[Sec. 15, Art. III, Constitution]. 1. Where a person continued to be unlawfully
denied one or more of his constitutional
Rationale rights
The underlying rationale is not the illegality of 2. Where there is present denial of due
the restraint but the right of custody [Tijing v. process
CA, G.R. No. 125901 (2001)]. 3. Where the restraint is not merely involuntary
but appear to be unnecessary
Purpose 4. Where a deprivation of freedom originally
The purpose of the writ is to inquire into all valid has in light of subsequent
manner of involuntary restraint, and to relieve developments become arbitrary [Moncupa
a person therefrom if such restraint is illegal v. Enrile, supra].
1. To obtain immediate relief from illegal
confinement Who may issue the writ
2. To liberate those who may be imprisoned 1. The SC, CA, and RTC have concurrent
without sufficient cause jurisdiction to issue WHC [Sec. 2, Rule 102]
3. To deliver them from unlawful custody 2. Family courts have jurisdiction to hear
[Velasco v. CA, G.R. No. 118644 (1995)] petitions for custody of minors and the
issuance of the writ in relation to custody of
Concept of restraint minors [Sec. 20, A.M. No. 03-04-04-SC, Re
Actual and effective and not merely nominal or Proposed Rule on Custody of Minors and
moral restraint is required [Zagala v. Illustre, Writ of Habeas corpus in Relation to
G.R. No. 23999 (1926)]. Restrictive custody is, Custody of Minors]
at best, nominal restraint which is beyond the
ambit of habeas corpus. It is neither actual nor Writs issued by the Supreme Court and the
effective restraint that would call for the grant Court of Appeals are enforceable anywhere in
of the remedy prayed for. It is a permissible the Philippines. Those issued by the RTC and
precautionary measure to assure the PNP MTC are enforceable only within the judicial
authorities that the police officers concerned region to which they belong.
are always accounted for [Ampatuan v. Judge
Macaraig, G.R. No. 182497 (2010)]. Even though the writ of habeas corpus was
issued by the CA, but it designated the RTC as
However, actual physical restraint is not always the court to which the writ is made returnable,
required; any restraint which will prejudice the decision of the RTC is its own and not that
freedom of action is sufficient [Moncupa v. of the CA [In re Datukan Malang Salibo v.
Enrile, G.R. No. L-63345 (1986)]. Warden, G.R. No. 197597 (2015)].

Strict compliance with the technical When detained person released

requirements for a habeas corpus petition as General Rule: Release of detained person,
provided in the Rules of Court may be whether permanent or temporary, makes the
dispensed with where the allegations in the petition for habeas corpus moot
application are sufficient to make out a case for
habeas corpus. Indeed, in the landmark case Exception: Doctrine of Constructive
of Villavicencio v. Lukban [G.R. No. L-14639 Restraint – Restraints attached to release
(1919)], the Supreme Court declared that it is which precludes freedom of action, in which
the duty of a court to issue the writ if there is case the court can still inquire into the nature of
evidence that a person is unjustly restrained of the involuntary restraint
his liberty within its jurisdiction even if there is
no application therefor. A petition which is Nature
deficient in form, such as a petition-letter, may Not a suit between private parties, but an
be entertained so long as its allegations inquisition by the government, at the
sufficiently make out a case for habeas corpus suggestion and instance of an individual, but
[Fletcher v. Director of BuCor, UDK- 14071 still in the name and capacity of the sovereign.
(2009)]. There can be no judgment entered against
anybody since there is no real plaintiff and

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defendant [Alimpoos v. CA, G.R. No. L-27331 Overview of Procedure
(1981)]. Application for the writ by petition [Sec. 3, Rule 102]

Proceedings in habeas corpus are separate ↓

and distinct from the main case from which the Grant or disallowance of writ and issuance by court
proceedings spring [Ching v. Insular Collector or judge [Secs. 4-5, Rule 102]
of Customs, G.R. No. 10972 (1916)]. ↓
Clerk of court issues the writ under the seal of court
The question whether one shall be imprisoned (in case of emergency, by the judge himself)
is always distinct from the question of whether [Sec. 5, Rule 102]
the individual shall be convicted or acquitted of
the charge on which he is tried, and therefore Note: ROC (Secs. 5 and 12) does not fix the periods
these questions are separate, and may be but uses “forthwith”. The special rules for WHC
relating to minors designates periods. However, in
decided in different courts [Herrera, citing 4
practice and in jurisprudence, the writ must be
Cranch, 75, 101]. issued within 24 hours.
↓
The writ of habeas corpus is not designed to
interrupt the orderly administration of the laws Service
by a competent court acting within the limits of By whom: sheriff or other proper officer BUT in case
its jurisdiction, but is available only for the of emergency where the judge himself issues the
writ, the judge may depute any person to serve the
purpose of relieving from illegal restraint writ [Sec. 5, Rule 102]
[People v. Valte, G.R. No. L-18760 (1922)].
How: leaving the original with the person to whom it
Proceedings on habeas corpus to obtain is directed and preserving a copy on which to make
release from custody under final judgment return
being in the nature of a collateral attack, the
To whom: officer in custody or any officer (when in
writ deals only with such radical defects as to custody of person other than an officer) [Sec. 7,
render the proceeding or judgment absolutely Rule 102]
void, and cannot have the effect of appeal, writ
↓
of error or certiorari, for the purpose of
reviewing mere error and irregularities in the Writ executed and returned [Sec. 8, Rule 102]
proceedings [People v. Valte, supra]. ↓
Hearing by the court (upon return) [Sec. 12, Rule
WHC may be used with writ of certiorari for 102]
purposes of review
↓
The two writs may be ancillary to each other
where necessary to give effect to the Execution of the writ
supervisory powers of higher courts [Galvez v. Officer brings the person before the judge, and
CA, G.R. No. 114046 (1994)] Officer makes the due return [Sec. 8, Rule 102]
↓
WHC reaches the body and the jurisdictional Filing of written opposition [Sec. 4, Rule 93]
matters, but not the record. Writ of certiorari
reaches the record, but not the body [Galvez v.
CA, supra] 2. Contents of the Petition

While generally, the WHC will not be granted Signed and verified petition must set forth:
when there is an adequate remedy like writ of a. That the person in whose behalf the
error, appeal, or certiorari, it may still be application is made is imprisoned or
available in exceptional cases [Herrera, citing restrained of his liberty
39 C.J.S. Habeas corpus §13, 486-488]. b. The officer or name of the person by whom
he is so imprisoned or restrained; or, if both
are unknown or uncertain, such officer or
person may be described by an assumed
appellation, and the person who is served
with the writ shall be deemed the person
intended
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c. The place where he is so imprisoned or transferred such custody or restraint to
restrained, if known another, particularly to whom, at what time,
d. Copy of the commitment or cause of for what cause, and by what authority such
detention of such person, if it can be transfer was made
procured without impairing the efficiency of
the remedy When the return considered evidence, and
when only a plea
If imprisonment or restraint is without any legal
Custody under
authority, such fact shall appear [Sec. 3, Rule
warrant of Restraint is by
102].
commitment in private authority
pursuance of law
Who may apply
a. The party for whose relief it is intended, or The return shall be The return shall be
b. By some person on his behalf [Sec. 3, Rule considered prima considered only as a
102] facie evidence of plea of the facts
the cause of therein set forth, and
Some person – any person who has a legally restraint the party claiming the
justified interest in the freedom of the person custody must prove
whose liberty is restrained or who shows some such facts
authorization to make the application [Velasco
v. CA, G.R. No. 118644 (1995)] [Sec. 13, Rule 102]

3. Contents of the Return 4. Peremptory Writ and

Preliminary Citation
Form
a. Written and signed by the person who Distinction between the writ and the
makes it
privilege of the writ
b. Sworn by the person who makes it if
The writ of habeas corpus is a process that is
i. The prisoner is not produced, and
tantamount to a summons to appear before the
ii. In all other cases, unless the return is
court issuing it for an inquiry into the cause of
made and signed by a sworn public
the restraint complained of. Its issuance does
officer in his official capacity [Sec. 11,
not amount to an adjudication of the issue of
Rule 102]
legality of the restraint. It is just an order to
appear and explain.
By whom made
The person or officer who has the person under
The privilege of the writ, on the other hand, is
restraint, or in whose custody the prisoner is
the writ issued to enforce the court’s decision
found [Sec. 10, Rule 102]
on the merits finding the restraint illegal and
directing the release from custody of the
Contents
detained individual.
a. Whether he has or has not the party in his
custody or power, or under restraint
b. If he has the party in his custody or power, Preliminary
Peremptory writ
or under restraint, the authority and the true citation
and whole cause thereof, set forth at large,
with a copy of the writ, order execution, or Requires the A written document
other process, if any, upon which the party respondent to which unconditionally
is held appear and show commands the
c. If the party is in his custody or power or is cause why the respondent to have the
restrained by him, and is not produced, peremptory writ body of the detained
particularly the nature and gravity of the should not be person before the court
sickness or infirmity of such party by reason granted at a time and place
of which he cannot, without danger, be therein specified
bought before the court or judge [Lee Yick Hon v. Collector of Customs, G.R.
d. If he has had the party in his custody or No. L-16779 (1921)]
power, or under restraint, and has
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The order to present an individual before the When WHC is proper
court is a preliminary step in the hearing of the a. Remedy for reviewing proceedings for
petition. This order is NOT a ruling on the deportation of aliens [De Bisschop v.
propriety of the remedy or on the substantive Galang, G.R. No. L-18365 (1963)]
matters covered by the remedy. Thus, the b. Where the court has no jurisdiction to
order to produce the body is not equivalent to impose the sentence [Banayo v.
a grant of the writ of habeas corpus [In the President of San Pablo, G.R. No. 1430
Matter of the Petition for Habeas Corpus of (1903)]
Alejano v. Cabuay, G.R. No. 160792 (2005)] c. Where a person is deprived of liberty
due to mistaken identity. In such cases,
Quantum of proof for the issuance or the person is not under any lawful
nonissuance of the privilege process and is continuously being
When respondents' defense to a petition for illegally detained [In re Datukan
habeas corpus is that they released the Malang Salibo v. Warden, supra]
detainees for whom the petition was filed, but
the allegation of release is disputed by 6. When Writ Disallowed or
petitioners, and it is not denied that the Discharged
detainees have not been seen or heard from
since their supposed release, the respondents a. When restraint is by lawful order or
have the burden in law of proving by clear and process [Mangila v. Judge Pangilinan,
convincing evidence that they released the G.R. No. 160739 (2013); Adonis v.
detainees [Dizon v. Eduardo, G.R. No. L-59118 Tesoro, G.R. No. 182855 (2013);
(1988)]. Ampatuan v. Judge Macaraig, G.R. No.
182497 (2010)]
5. When Not Proper or Applicable b. The person alleged to be restrained of
his liberty is in the custody of an officer,
When WHC is NOT proper under process issued by the court or
a. For asserting or vindicating the denial judge or by virtue of a judgment or
of right to bail [Enrile v. Salazar, G.R. order of a court of record, and said
No. 92163 (1990)] court had jurisdiction to issue the
b. Where the petitioner has the remedy of process, render the judgment or make
appeal or certiorari [Galvez v. CA, G.R. the order
No. 114046 (1994)] c. Jurisdiction appears after the writ is
c. For correcting errors in the allowed despite any informality or
appreciation of facts or law [Sotto v. defect in the process, judgment, or
Director of Prisons, G.R. No. L-18871 order [Sec. 4, Rule 102]
(1962)] d. If it appears that the prisoner was
Exception: If error affects court’s lawfully committed, and is plainly and
jurisdiction making the judgment void specifically charged in the warrant of
[Herrera] commitment with an offense
d. For enforcing marital rights including punishable by death [Sec. 14, Rule
venture and living in conjugal dwelling 102]
[Ilusorio v. Bildner, G.R. No. 139789 e. Where the person in whose behalf the
(2001)] writ is sought is out on bail [Mangila v.
e. When restrained under a lawful Judge Pangilinan, supra]
process or order of the court, f. Even if the arrest of a person is illegal,
petitioner’s remedy is to file a motion to the following supervening events may
quash the information or the warrant of bar release
arrest [In re Datukan Malang Salibo v. i. Issuance of a judicial process
Warden, G.R. No. 197597 (2015)] [Sayo v. Chief of Police of
f. When detention was by virtue of a final Manila, G.R. No. L-2128
judgment, the writ of habeas corpus (1948)]
may not issue [Adonis v. Tesoro, G.R.
No. 182855 (2013)] Judicial process is defined as
a writ, warrant, subpoena, or

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other formal writing issued by
or where information
authority of law [Malaloan v.
rightful of an
CA, G.R. No. 104879 (1994)]
custody is individual,
ii. The filing of a complaint before
withheld and to
a trial court which issued a hold
from person provide a
departure order and denied
entitled forum to
motion to dismiss and to grant
thereto enforce
bail [Velasco v. CA, G.R. No.
one’s right
118644 (1995)]
to the truth
iii. Filing of an information for the
and to
offense for which the accused
informationa
is detained bars the availability
l privacy but
of WHC [Velasco v. CA, supra]
in relation to
a threat to
The writ of habeas corpus cannot be availed of
one’s right
in cases of detention by virtue of a judicial
to privacy in
process or valid judgment.
regard to
life, security,
Exceptions where the writ may be availed of
and liberty
as a postconviction remedy:
[Vivares v.
a. There has been a deprivation of a
St.
constitutional right resulting in the
Theresa’s
restraint of a person;
College,
b. The court had no jurisdiction to impose
G.R. No.
the sentence; or
202666
c. An excessive penalty has been
(2014)]
imposed, as such sentence is void as
to such excess [Harden v. Director of
Prisons, G.R. No. L-2349 (1948); Go v. 8. Writ of Habeas Corpus in
Dimagiba, G.R. No. 151876 (2005)] Relation to Custody of Minors (A.M.
No. 03-04-04-SC)
What is to be inquired into is the legality of a
person’s detention as of, at the earliest, the Applicability
filing of the application for the writ of habeas Rule applies to petitions for custody of minors
corpus, for even if the detention is at in its and writs of habeas corpus in relation thereto.
inception illegal, it may no longer be illegal at The Rules of Court applies suppletorily [Sec. 1]
the time of the filing of the application, by
reason of supervening events [Ampatuan v. In custody cases involving minors, the writ of
Judge Macaraig, G.R. No. 182497 (2010)]. habeas corpus is prosecuted for the purpose of
determining the right of custody over a child.
7. Distinguished From Writ of
Amparo and Habeas Data The grant of the writ depends on the
concurrence of the following requisites:
a. that the petitioner has the right of custody
Writ of Writ of
Writ of over the minor;
habeas habeas
amparo b. that the rightful custody over the minor is
corpus data
being withheld from the petitioner by the
Extends to Designed to respondents; and
ONLY covers c. that it is to the best interest of the minor
all cases of protect the
extralegal concerned to be in the custody of petitioner
illegal image,
killings and and not that of the respondents [Masbate v.
confinemen privacy,
enforced Relucio, G.R. No. 235498 (2018)]
t or honor,
disappearance
Detention information,
s or threats
(deprivation and
thereof
of liberty), freedom of
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Who may file c. The material operative facts constituting
Any person claiming rightful custody of a minor deprivation of custody; and
[Sec. 2] d. Such other matters which are relevant to the
custody of the minor
Where filed; where enforceable
A verified petition shall be filed with the Family The verified petition shall be accompanied by a
certificate against forum shopping, which the
Court of the province or city where the petitioner must sign personally [Sec. 4]
petitioner resides or where the minor may be
found, or with the CA or the SC. ↓
If filed with the Family Court where the If sufficient in form and substance, court shall direct
petitioner resides, or where the minor may be the clerk of court to issue summons, which shall be
found, the writ is enforceable within the judicial issued together with a copy of the petition personally
on respondent [Sec. 5]
region where the Family Court belongs.
↓
If filed with the CA or the SC, or with any of its Within 5 days the respondent shall file a verified
members, the writ shall be enforceable answer [Sec. 7]
anywhere in the Philippines. Upon issuance of
the writ by the SC or CA, it may be made Note: A motion to dismiss is not allowed except on
the ground of lack of jurisdiction over the subject
returnable to a Family Court or to any regular
matter or over the parties. Any other ground that
court within the region where the petitioner might warrant dismissal of the petition may be raised
resides or where the minor may be found. as an affirmative defense in the answer [Sec. 6]
↓
If the presiding judge of the Family Court is
absent, then the petition may be filed with a Upon filing of answer or expiration of period to file it,
regular court, provided that the regular court court may order a social worker to make a case study
of the minor and the parties and to submit a report
shall refer the case to the Family Court as soon and recommendation at least 3 days before the
as the presiding judge returns to duty. scheduled pre-trial [Sec. 8]
If there are no Family Courts in the area, then
the petition may be filed with the regular courts. The court may also issue a provisional order
awarding custody of the minor. As far as practicable,
The writ is returnable to the Family Court, or to the following order of preference shall be observed:
a. Both parents jointly;
any regular court within the judicial region b. Either parent, taking into account all relevant
where the petitioner resides or where the minor considerations, especially the choice of the minor
may be found, for hearing and decision on the over seven years of age and of sufficient
merits. discernment, unless the parent chosen is unfit;
c. The grandparent, or if there are several
Upon return of the writ, the court shall decide grandparents, the grandparent chosen by the
minor over seven years of age and of sufficient
the issue on custody of minors [Sec. 20]. discernment, unless the grandparent chosen is
unfit or disqualified;
Considering that the writ is made enforceable d. The eldest brother or sister over twenty-one
within a judicial region, petitions for the years of age, unless he or she is unfit or
issuance of the writ of habeas corpus, whether disqualified;
they be filed under Rule 102 or pursuant to e. The actual custodian of the minor over twenty-
one years of age, unless the former is unfit or
Section 20 of A.M. No. 03-04-04-SC, may disqualified; or
therefore be filed with any of the proper RTCs f. Any other person or institution the court may
within the judicial region where enforcement deem suitable to provide proper care and
thereof is sought [Tujan-Militante v. Cada guidance for the minor [Sec. 13]
Deapera, G.R. No. 210636 (2014)].
The court shall provide in its order awarding
provisional custody appropriate visitation rights to the
Procedure non-custodial parent/s, unless the court finds said
A verified petition is filed alleging: parent/s unfit or disqualified [Sec. 15]
a. The personal circumstances of the petitioner and ↓
of the respondent;
b. The name, age and present whereabouts of the Within 15 days after filing of answer or expiration of
minor and his or her relationship to the petitioner period to file it, the court shall issue an order
and the respondent; 1. Fixing a date for the pre-trial conference;

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2. Directing the parties to file and serve their b. his older brother or sister; or
respective pre-trial briefs in such manner as c. any reputable person
shall ensure receipt thereof by the adverse to take charge of such minor or commit him to any
party at least 3 days before the date of pre-trial; suitable home for children
and
3. Requiring the respondent to present the minor Court may order either or both parents to give an
before the court amount necessary for the support, maintenance and
education of the minor, irrespective of who may be its
Notice of order shall be served separately to the custodian
parties and their counsels. Pre-trial is mandatory
[Sec. 9] Court may also issue any order that is just and
reasonable permitting the parent who is deprived of
↓
custody to visit or have temporary custody [Sec. 18]
Filing of pre-trial brief which shall contain the
↓
following:
a. A statement of the willingness of the parties to No appeal from the decisions shall be allowed unless
enter into agreements that may be allowed by the appellant has filed a motion for reconsideration or
law, indicating its terms; new trial within 15 days from notice of judgment
b. A concise statement of their respective claims
together with the applicable laws and authorities; Any aggrieved party may appeal by filing a Notice of
c. Admitted facts and proposed stipulations of facts; Appeal within 15 days from notice of the denial of the
d. The disputed factual and legal issues; motion for reconsideration or new trial and serving a
e. All the evidence to be presented, briefly stating or copy thereof on the adverse parties [Sec. 19]
describing its nature and purpose;
f. The number and names of the witnesses and
their respective affidavits which shall serve as the Hold Departure Order
affiant's testimony on direct examination; and The minor child shall not be brought out of the
g. Such other matters as the court may require to be country without prior order from the court while
included in the pre-trial brief the petition is pending.
Failure to file it or to comply with its required contents
shall have the same effect as failure to appear at the The court, motu proprio or upon application
pre-trial [Sec. 10] under oath, may issue ex parte a hold
departure order, addressed to the Bureau of
↓
Immigration and Deportation (BID), directing it
Pre-trial where the parties may agree on the custody not to allow the departure of the minor from the
of the minor. If parties disagree, court may refer to a
Philippines. A copy shall be furnished to the
mediator who has 5 days to effect an agreement
between the parties. Department of Foreign Affairs, BID, and
Department of Justice within 24 hours from its
If still not settled, court to proceed with pre-trial issuance.
conference
Contents of the hold departure order
Failure to appear at pre-trial
a. The complete name (including the middle
a. If petitioner fails to appear personally, the case
shall be dismissed, unless his counsel or a duly name), the date and place of birth, the
authorized representative appears in court and nationality and the place of last residence of
proves a valid excuse for the non-appearance the person against whom a hold departure
b. If respondent has filed his answer but fails to order has been issued or whose departure
appear at the pre-trial, the petitioner shall be from the country has been enjoined;
allowed to present his evidence ex parte. The
b. The complete title and docket number of the
court shall then render judgment on the basis of
the pleadings and the evidence thus presented case in which the hold departure order was
[Secs. 11-12] issued;
c. The specific nature of the case;
↓
d. The date of the hold departure order; and
Court renders judgment awarding custody of the e. A recent photograph, if available, of the
minor to the proper party considering the best party against whom a hold departure order
interests of the minor
has been issued or whose departure from
If it appears both parties are unfit, court may the country has been enjoined.
designate
a. either paternal/maternal grandparent of the
minor;

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Recall e. To permit a designated party to enter the
The court may recall the hold departure order residence during a specified period of time
motu proprio, or upon verified motion of any of in order to take personal belongings not
the parties after summary hearing, subject to contested in a proceeding pending with the
such terms and conditions as may be Family Court; and
necessary for the best interests of the minor f. To comply with such other orders as are
[Sec. 16]. necessary for the protection of the minor

Protection Order Habeas corpus may be resorted to in cases

The court may issue such order requiring any where rightful custody is withheld from a
person person entitled thereto. Under Art. 211 of the
a. To stay away from the home, school, Family Code, husband and wife have joint
business, or place of employment of the parental authority over their son and
minor, other parent or any other party, or consequently, joint custody. And although the
from any other specific place designated by couple is separated de facto, the issue of
the court; custody has yet to be adjudicated by the court.
b. To cease and desist from harassing, In the absence of judicial grant of custody to
intimidating, or threatening such minor or one parent, both parents are still entitled to the
the other parent or any person to whom custody of their child. Thus, where the
custody of the minor is awarded; husband’s cause of action is the deprivation of
c. To refrain from acts of commission or his right to see his child, the remedy of habeas
omission that create an unreasonable risk to corpus is available to him [Salientes v.
the health, safety, or welfare of the minor; Abanilla, G.R. No. 162734 (2006)].
d. To permit a parent, or a party entitled to
visitation by a court order or a separation
agreement, to visit the minor at stated
periods;

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F. Change of Name (Rule 103)
1. Differences Under Rule 103, R.A. No. 9048, and Rule 108
Rule 103 R.A. 9048, as amended Rule 108

Change of full name Change of first name or nickname,

Correction of substantial errors or
or surname day or month (not year) of birthdate,
Scope cancellation of entries in Civil
(substantial gender, and correction of clerical
Registry
corrections) errors of entries in Civil Registry

Judicial: Hearing necessary;

Nature of Judicial: Hearing Adversarial since it involves
Administrative: No hearing required
proceedings necessary substantial changes and affects
the status of individuals

Any person having direct and

Any person interested in any act,
personal interest in correction of a
A person desiring to event, order or decree concerning
Who may file clerical or typographical error in an
change one’s name civil status of persons which has
entry and/or change of first name or
been recorded in civil register
nickname

Initiatory Signed and verified

Sworn affidavit Verified petition
pleading petition

Local civil registry office of city or

municipality where record being
sought to be corrected or changed is
RTC of province kept If already migrated to another
RTC of city or province where
where petitioner has place within the Philippines: Local civil
Where to file corresponding civil registry is
been residing for 3 registrar of place where interested
located
years prior to filing party is presently residing or
domiciled Filipino citizens presently
residing or domiciled in foreign
countries: Philippine Consulate

a. Births
b. Marriage
c. Deaths
d. Legal separation
e. Judgments of
annulments of
marriage
a. Correction of clerical and
Correction of clerical f. Judgments declaring
typographical errors, and
or typographical marriages void from the
b. Change of:
errors in any entry in beginning
1. First name or nickname
civil registry g. Legitimations
2. Day and month in date of birth,
Coverage documents, except h. Adoptions
or
corrections involving i. Acknowledgments of
3. Sex of a person where it is
change in sex, age, natural children
patently clear that there was a
nationality and status j. Naturalization
clerical or typographical error or
of a person k. Election, loss or
mistake in the entry.
recovery of citizenship
l. Civil interdiction
m. Judicial determination
of filiation
n. Voluntary emancipation
of a minor
o. Changes of name

Where to Court of Appeals, Court of Appeals, under Rule

Civil Registrar General
Appeal under Rule 109 109

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Procedure petition [Go Chiu Beng v. Republic, G.R. No. L-
Filing of a signed and verified petition for change of 29574 (1972)].
name [Sec. 2]
Failure to implead the local civil registrar as
↓
well as all persons who have or claim any
Court issues order fixing the date and place of interest did not render the petition fatally
hearing. Any interested person may oppose [Secs. defective [Republic v. Cagandahan, G.R. No.
3-4]
166676 (2008)].
↓
Publication of court order fixing date and place of Change of name requires adversarial
hearing, at least once a week for 3 consecutive proceedings
weeks in a newspaper of general circulation in the In order to justify a request for change of name,
province [Sec. 3] there must be a proper and compelling reason
↓ for the change and proof that the person
Hearing on the petition [Sec. 4] requesting will be prejudiced by the use of his
The court shall provide in its order awarding official name. To assess the sufficiency of the
provisional custody appropriate visitation rights to grounds invoked therefor, there must be
the non-custodial parent/s, unless the court finds adversarial proceedings [Republic v.
said parent/s unfit or disqualified [Sec. 15] Mercadera, G.R. No. 186027 (2010)].
↓
Judgment granting/denying change of name [Sec. 5] 2. Grounds for Change of Name
↓
a. The name is ridiculous, tainted with
Furnishing of judgment on the civil registrar, who dishonor or extremely difficult to write or
shall forthwith enter the same [Sec. 6]
pronounce
b. Change results as a legal consequence of
What is changed legitimation
The name that can be changed is the name c. The change will avoid confusion
that appears in the civil register, and not in the
baptismal certificate or that which the person is When it is to change the first name and to
known in the community [Ng Yao Siong v. remove the father's surname and instead
Republic, G.R. No. L-20306 (1966)]. use the mother's maiden name as it was
what he has been using since childhood and
A change of name granted by the court affects indicated in his school records. The petition
only a petitioner. A separate petition for change for change of name may be granted to avoid
of name must be filed for his/her spouse and confusion [Alanis v. Court of Appeals, G.R.
children [Secan Kok v. Republic, G.R. No. L- No. 216425 (2020)].
27621 (1973)]. d. A sincere desire to adopt a Filipino name to
erase signs of former alienage [Ang Chay v.
Jurisdictional requirements Republic, G.R. No. L-28507 (1970)]
An alien may petition for change of name but e. Having continuously used and been known
he must be domiciled in the Philippines [Ong since childhood by a Filipino name, having
Huan Tin v. Republic, G.R. No. L-20997 been unaware of alien parentage [Uy v.
(1967)]. Republic, G.R. No. L-22712 (1965)]
f. When the surname causes embarrassment
Verification is a formal, not a jurisdictional, and there is no showing that the desired
requirement. The lack of verification is not a change of name was for a fraudulent
ground for dismissing the petition. However, purpose or that the change of name would
before setting the petition for hearing, the court prejudice public interest [Republic v.
should have required the petitioner to have the Coseteng-Magpayo, G.R. No. 189476
petition verified [Oshita v. Republic, G.R. No. (2011)]
L-21180 (1967)]. g. Intersexuality is a valid ground for change of
name and change of entry of sex in the civil
All aliases of the applicant must be set forth in registry. Where the person is biologically or
the petition’s title. Such defect is fatal, even if naturally intersex, the determining factor in
said aliases are contained in the body of the his gender classification would be what the
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individual, having reached the age of G. Cancellation or Correction of
majority, with good reason, thinks of his sex.
Sexual development in cases of intersex Entries in the Civil Registry
persons makes the gender classification at (Rule 108)
birth inconclusive. It is at maturity that the
gender of such persons is fixed [Republic v. 1. Entries Subject to Cancellation or
Cagandahan, G.R. No. 166676 (2008)] Correction under Rule 108, in
relation to R.A. No. 9048
When not proper
When what is sought to be changed relates to
status a. Births
b. Marriage
Rule 103 cannot be resorted to for expediency c. Deaths
if the petition substantially seeks to change d. Legal separations
one’s status from legitimacy to illegitimacy. e. Judgments of annulments of marriage
When a petition for cancellation or correction of f. Judgments declaring marriages void
an entry in the civil register involves substantial from the beginning
and controversial alterations including those on g. Legitimations
citizenship, legitimacy of paternity or filiation, or h. Adoptions
legitimacy of marriage, a strict compliance with i. Acknowledgments of natural children
the requirements of Rule 108 is mandated j. Naturalization
[Republic v. Coseteng-Magpayo, supra; k. Election, loss or recovery of
Republic v. Cagandahan, supra]. citizenship
l. Civil interdiction
Legal separation is not a ground for the female m. Judicial determination of filiation
spouse to apply for a change of name under n. Voluntary emancipation of a minor
Rule 103 [Laperal v. Republic, G.R. No. L- o. Changes of name [Sec. 2, Rule 108]
18008 (1962)].
Cancellation or correction of entries in the
A person’s first name cannot be changed on civil registry requires adversarial
the ground of sex reassignment [Silverio v. proceedings
Republic, G.R. No. 174689 (2007)]. Corrections of entries in the civil register
including those on citizenship, legitimacy of
A petition to correct an alleged erroneous entry paternity or filiation, or legitimacy of marriage,
in one’s birth certificate pertaining to the date involve substantial alterations. Substantial
of marriage of his parents, notwithstanding the errors in a civil registry may be corrected and
fact that it qualifies as a substantial correction, the true facts established provided the parties
may be filed under Rule 108 [Onde v. Office of aggrieved by the error avail themselves of the
the Local Civil Registrar of Las Piñas, G.R. No. appropriate adversary proceedings [Onde v.
197174 (2014)]. Office of the Local Civil Registrar of Las Piñas,
G.R. No. 197174 (2014)].
It is undoubtedly true that if the subject matter
of a petition is not for the correction of clerical Substantial Change
errors of a harmless and innocuous nature, but Change that affects the civil status, citizenship,
one involving nationality or citizenship, which is or nationality of a party [Republic v. Bautista,
indisputably substantial as well as G.R. No. L-35316 (1987)]
controverted, affirmative relief cannot be
granted in a proceeding which is summary in One where the trial court has conducted
nature [Republic v. Kho, G.R. No. 170340 proceedings where all relevant facts have been
(2007), citing Republic v. Valencia, G.R. No. L- fully and properly developed, where opposing
32181 (1986)]. counsel have been given opportunity to
demolish the opposite party’s case, and where
the evidence has been thoroughly weighed and
considered [Eleosida v. Local Civil Registrar of
Quezon City, G.R. No. 130277 (2002)]

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When the initiatory pleading before the RTC is or correction is sought [Sec. 5, Rule
a Petition for Correction of Entries in the 108]
Certificate of Live Birth but what the petitioners
want is for respondent to use her mother's Effect of failure to implead and notify
surname, instead of their father’s, claiming that the affected or interested parties
she was not an acknowledged illegitimate A petition which seeks the correction of entries
child, what petitioners seek is not a mere in the birth certificate pertaining to first name,
clerical change. It is not a simple matter of surname and citizenship is not merely clerical.
correcting a single letter in private respondent's When the corrections will result in changes in
surname due to a misspelling. Rather, the the status from “legitimate” to “illegitimate” and
respondent's filiation will be gravely affected, the citizenship from “Chinese” to “Filipino”, the
as changing her surname also change her petitioner should have impleaded not only the
status. This cannot be done not through local civil registrar but also her parents and
collateral attack. This will affect not only her siblings as they are affected by the changes or
identity, but her successional rights as well. corrections.
Certainly, this change is substantial [Miller v.
Miller, G.R. No. 200344 (2019)]. It is clear therefore that when the petition for
cancellation or correction of an entry in the civil
Parties to be impleaded register involves substantial and controversial
a. Civil registrar, and alterations, including those on citizenship,
b. All persons who have or claim any interest legitimacy or paternity or filiation, or legitimacy
which would be affected [Sec. 3, Rule 108] of marriage, a strict compliance with the
requirements of Rule 108 is mandated, failing
Notice and publication of order fixing time in which the petition must be dismissed
and place for hearing [Republic v. Lugsanay Uy, G.R. No. 198010
Reasonable notice to persons named in the (2013)].
petition, and publication once a week for 3
consecutive weeks [Sec. 4, Rule 108] Such failure, however, may be excused
a. where there is the publication of the notice
A reading of Sections 4 and 5 shows that the of hearing, and earnest efforts were made
Rules mandate two sets of notices to different by petitioners in bringing to court all possible
potential oppositors, one given to the persons interested parties
named in the petition and another given to b. where the interested parties themselves
other persons who are not named in the initiated the corrections proceedings
petition but nonetheless may be considered c. when there is no actual or presumptive
interested or affected parties (i.e., creditors). awareness of the existence of the interested
Summons must, therefore, be served not for parties, or
the purpose of vesting the courts with d. when a party is inadvertently left out
jurisdiction but to comply with the requirements
of fair play and due process to afford the The procedure recited in Rule 103 regarding
person concerned the opportunity to protect his change of name and in Rule 108 concerning
interest if he so chooses [Republic v. Lugsanay cancellation or correction of entries in civil
Uy, G.R. No. 198010 (2013)]. registry are separate and distinct. They may
not be substituted one for the other. If both
2. Opposition reliefs are to be sought in the same
proceedings, all the requirements of Rule 103
Period to file and 108 must be complied with [Republic v.
Within 15 days from notice of petition, or from Valencia, G.R. No. L-32181 (1986)].
last date of publication of notice [Sec. 5, Rule
108] Grounds for cancellation or correction
Upon good and valid grounds [Sec. 2]
May be filed by
a. Civil registrar, and 3. Effect of R.A. 9048
b. Any person having or claiming any
interest under entry whose cancellation The intent and effect of the law is to exclude
the change of first name from the coverage of
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SPECIAL PROCEEDINGS REMEDIAL LAW AND ETHICS
Rules 103 (Change of Name) and 108 increase in substantive rights, the remedy is
(Cancellation or Correction of Entries in the Rule 108.
Civil Registry) of the ROC, until and unless an
administrative petition for change of name is H. Clerical Error Law (R.A. No.
first filed and subsequently denied. In sum, the
remedy and the proceedings regulating change 9048)
of first name are primarily administrative in
nature, not judicial [Silverio v. Republic, G.R. Entries subject to change/cancellation or
No. 174689 (2007)]. correction
1. Clerical or typographical errors, and
This does not mean, however, that the trial 2. Change of
courts are divested of its authority or a. First name or nickname,
jurisdictions over petitions for correction of b. Day and month in date of birth, or
entries and change of first name or nickname. c. Sex of a person where it is patently clear
It only means that the local civil registrar has that there was a clerical or typographical
primary, not exclusive, jurisdiction over such error or mistake in the entry
petitions for correction of clerical errors and can be corrected or changed by the concerned
change of first name or nickname. R.A. 9048 city or municipal civil registrar or consul general
was enacted to give the people an option to [Sec. 1, R.A. 9048]
have the erroneous entries in their civil records
corrected via an administrative proceeding Meaning of clerical or typographical error
before the local civil registrar that is less A mistake committed in the performance of
expensive and more expeditious. clerical work in writing, copying, transcribing or
typing an entry in the civil register that
Nonetheless, it would be inappropriate to apply 1. Is harmless and innocuous, such as
the procedure prescribed in R.A. 9048 to a. Misspelled name or place of birth
petitions for the correction of entries in the civil b. Mistake in entry of day and month in date
registry before the courts. The promulgation of of birth or sex or the like
rules of procedure for courts of justice is the 2. Is visible to the eyes or obvious to the
exclusive domain of the Supreme Court [Re understanding
Final Report on the Judicial Audit Conducted at 3. Can be corrected or changed only by
The RTC, Br. 67, Paniqui, Tarlac, Adm. Matter reference to other existing record or
No. 06-7-414-RTC (2007)]. records
4. Does not involve the change of nationality,
The remedy is R.A. 9048 if one wants to either: age, status or sex of the petitioner [Sec.
a. Change one’s first name or nickname and 2(3), R.A. 9048]
the ground therefor is one of those stated in
Sec. 4, R.A. 9048, or Who may file
b. Cancel and or correct any entries in the civil Any person having direct and personal interest
registry that is clearly a clerical or in the correction of a clerical or typographical
typographical error. error in an entry and/or change of first name or
nickname in the civil register [Sec. 3, R.A.
If application is denied, one can either 9048]
1. appeal the decision to the proper judicial
court, or Venue
2. avail of Rule 103 or Rule 108, filing the General Rule: Local civil registry office of the
appropriate petition before the proper court city or municipality where the record being
sought to be corrected or changed is kept
HOWEVER, if one wants to change one’s
name (first name, surname or both) and the Exceptions:
ground therefor is one of those allowed by law 1. Local civil registrar of the place where the
and jurisprudence, the remedy is Rule 103. interested party is presently residing or
domiciled – In case the petitioner has
AND, if one wants to cancel and or correct any already migrated to another place in the
entries in the civil registry AND the correction country and it would not be practical for
and cancellation entails a modification or such party, in terms of transportation
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expenses, time and effort to appear in The civil registrar general shall immediately
person before the local civil registrar notify the city or municipal civil registrar or the
keeping the documents to be corrected or consul general of the action taken on the
changed. decision. Upon receipt of the notice thereof, the
2. Nearest Philippine Consulates – For city or municipal civil registrar or the consul
citizens of the Philippines who are presently general shall notify the petitioner of such
residing or domiciled in foreign action.
countries [Sec. 3, R.A. 9048].
If the civil registrar general fails to exercise his
Form power to impugn the decision of the city or
In the form of an affidavit, subscribed and municipal civil registrar or of the consul general
sworn to before any person authorized by the within the period prescribed herein, such
law to administer oaths [Sec. 5, R.A. 9048]. decision shall become final and executory.

Contents The petitioner may seek reconsideration with

The affidavit shall set forth: the civil registrar general or file the appropriate
1. Facts necessary to establish the merits of petition with the proper court [Sec. 7, R.A.
the petition; 9048].
2. Affirmatively that the petitioner is competent
to testify to the matters stated; and If the petition is denied
3. The particular erroneous entry or entries, The petitioner may either appeal the decision
which are sought to be corrected and/or the to the civil registrar general or file the
change sought to be made [Sec. 5, R.A. appropriate petition with the proper court [Sec.
9048]. 7, R.A. 9048].

Attachments R.A. 9048 proceeding merely a summary

1. A certified true machine copy of the proceeding
certificate or of the page of the registry book R.A. 9048 refers specifically to the
containing the entry or entries sought to be administrative summary proceeding before the
corrected or changed local civil registrar [Re Final Report on the
2. At least 2 public or private documents Judicial Audit Conducted at The RTC, Br. 67,
showing the correct entry or entries upon Paniqui, Tarlac, Adm. Matter No. 06-7-414-
which the correction or change shall be RTC (2007)].
based
3. Other documents which the petitioner or the Ground for change of first name or
city or municipal civil registrar or the consul nickname
general may consider relevant and 1. The petitioner finds the first name or
necessary for the approval of the petition nickname to be ridiculous, tainted with
4. Certification from law enforcement agency dishonor or extremely difficult to write or
that there is no pending case or criminal pronounce
record [Sec. 5, R.A. 9048]. 2. The new first name or nickname has been
habitually and continuously used by the
If the petition is granted petitioner and he has been publicly known
The civil registrar general shall, within 10 by that by that first name or nickname in the
working days from receipt of the decision community, or
granting a petition, exercise the power to 3. The change will avoid confusion [Sec. 4,
impugn such decision by way of an objection R.A. 9048]
based on the following grounds
1. The error is not clerical or typographical, Procedure
2. The correction of an entry or entries in the Filing of petition for the correction of a clerical or
civil register is substantial or controversial typographical error in an entry and/or change of first
as it affects the civil status of a person, or name or nickname in the civil register, with its
3. The basis used in changing the first name supporting documents [Sec. 5]
or nickname of a person does not fall under ↓
Sec. 4.

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The city or municipal civil registrar or the consul Elements of enforced disappearance, as
general shall examine the petition and its supporting statutorily defined in R.A. 9851
documents [Sec. 6] a. That there be an arrest, detention,
↓ abduction or any form of deprivation of
liberty,
If sufficient in form and substance, the examiner b. That it be carried out by, or with the
shall post the petition in a conspicuous place for 10
consecutive days [Sec. 6]
authorization, support or acquiescence of
the State or a political organization,
↓ c. That it be followed by the State or political
In case of a petition for change of first name, the organization’s refusal to acknowledge or
petition has to be published once a week for 2 give information on the fate or whereabouts
consecutive weeks in a newspaper of general of the person subject of the amparo petition,
circulation, with the petitioner also submitting a
and
certification that he has no pending case or prior
criminal record [Sec. 6] d. That the intention for such refusal is to
remove subject person from the protection
↓
of the law for a prolonged period of time
Within 5 working days after the completion of the [Caram v. Segui, G.R. No. 193652 (2014)]
posting and or publication requirement, the city or
municipal civil registrar or the consul general shall The writ applies only to the right to life, liberty
render a decision [Sec. 6]
and security of persons and not property
[Pador v. Arcayan, G.R. No. 183460 (2013),
I. Writ of Amparo (A.M. No. 07-9- citing Tapuz v. Del Rosario, G.R. No. 182484
(2007)].
12-SC)
“Right to security”, as a guarantee of protection
1. Coverage by the government, is violated by the apparent
threat to the life, liberty and security of their
Amparo literally means “to protect” person.
It is a remedy available to any person whose Right to security includes
right to life, liberty, and security has been a. Freedom from fear
violated or is threatened with violation by a b. Guarantee of bodily and psychological
public official or employee or a private integrity or security
individual or a private individual or entity. The c. Guarantee of protection of one’s rights
writ covers extralegal killings and enforced by the government
disappearances or threats thereof [Sec. 1].
Protection includes conducting effective
The remedy of the writ of amparo is an investigations, organization of the government
equitable and extraordinary remedy to apparatus to extend protection to victims of
safeguard the right of the people to life, liberty extralegal killings or enforced disappearances
and security, as enshrined in the 1987 (or threats thereof) and/or their families, and
Constitution [De Lima v. Gatdula, G.R. No. bringing offenders to the bar of justice
204528 (2013)]. [Secretary of National Defense v. Manalo, G.R.
No. 180906 (2008)].
The remedy of the writ of amparo serves both
preventive and curative roles in addressing the There is a violation of freedom from threat by
problem of extralegal killings and enforced the apparent threat to life, liberty and security
disappearances. of their person from the following facts:
a. Threat of killing their families if they
a. Preventive - It breaks the expectation of tried to escape
impunity in the commission of offenses. b. Failure of the military to protect them
b. Curative - It facilitates the subsequent from abduction
punishment of perpetrators by inevitably c. Failure of the military to conduct
leading to subsequent investigation and effective investigation [Secretary of
action [Secretary of National Defense v. National Defense v. Manalo, supra]
Manalo, G.R. No. 180906 (2008)]
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The writ of amparo does not protect the right to government from the demand of the people
travel. Where the petitioner failed to establish such as respondents.
that his right to travel was impaired in the
manner and to the extent that it amounted to a Instead, the Amparo production order may be
serious violation of his right to life, liberty and likened to the production of documents or
security, the writ of amparo will not lie [Reyes things under Section 1, Rule 27 of the Rules of
v. Gonzales, G.R. No. 182161 (2009)]. Civil Procedure, i.e., “Upon motion of any party
showing good cause therefor, the court in
Nature which an action is pending may (a) order any
The writ of amparo is an extraordinary and party to produce and permit the inspection and
independent remedy that provides rapid copying or photographing, by or on behalf of
judicial relief, as it partakes of a summary the moving party, of any designated
proceeding that requires only substantial documents, papers, books of accounts, letters,
evidence to make the appropriate interim and photographs, objects or tangible things, not
permanent reliefs available to the petitioner. It privileged, which constitute or contain evidence
is not an action to determine criminal guilt material to any matter involved in the action
requiring proof beyond reasonable doubt, or and which are in his possession, custody or
liability for damages requiring preponderance control.” [Secretary of National Defense v.
of evidence, or administrative responsibility Manalo, G.R. No. 180906 (2008)].
requiring substantial evidence that will require
full and exhaustive proceedings [Rodriguez v. 3. Who May File
Macapagal-Arroyo, G.R. No. 191805 (2011)].
a. Aggrieved party, or
The writ cannot be availed of by an alien b. Qualified person or entity in the following
detained by the Bureau of Immigration by virtue order
of legal process [Mison v. Gallegos, G.R. No. 1. Any member of the immediate family,
210759 (2015)]. namely the spouse, children and parents
of the aggrieved party,
To fall within the ambit of A.M. No. 07-9-12-SC 2. Any ascendant, descendant or collateral
in relation to R.A. No. 9851, the disappearance relative of the aggrieved party within the
must be attended by some governmental fourth civil degree of consanguinity or
involvement. This hallmark of State affinity, in default of those mentioned in
participation differentiates an enforced the preceding paragraph, or
disappearance case from an ordinary case of a 3. Any concerned citizen, organization,
missing person [Navia v. Pardico, G.R. No. association or institution if there is no
184467 (2012)]. known member of the immediate family
or relative of the aggrieved party.
Court may motu proprio dismiss a petition for
writ of amparo, regardless of the filing of a The filing of a petition by the aggrieved party
motion to dismiss, if it is clear that the case falls suspends the right of all other authorized
outside the purview of the Rules on the Writ of parties to file similar petitions. Likewise, the
Amparo [Santiago v. Tulfo, G.R. No. 205039 filling of the petition by an authorized party on
(2015)]. behalf of the aggrieved party suspends the
right of all others, observing the order
2. Differences Between Amparo established herein [Sec. 2].
and Search Warrant
Ratio for preference for filing party
The production order under the Amparo Rule a. Necessary for the prevention of
Should not be confused with a search warrant indiscriminate and groundless filing of
for law enforcement under Article III, Section 2 petitions for amparo which may even
of the 1987 Constitution. prejudice the right to life, liberty or security
of the aggrieved party [Boac v. Cadapan,
The Constitutional provision is a protection of G.R. Nos. 184461-62 (2011)]
the people from the unreasonable intrusion of b. Untimely resort to the writ by a nonmember
the government, not a protection of the of the family may endanger the life of the
aggrieved party [Phil. Judicial Academy
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Journal, June-Dec. 2008, Vol. 10, Issue 30, f. The relief prayed for
p. 243]
It may include a general prayer for other just
4. Where to file and equitable reliefs [Sec. 5]

a. RTC where the threat, act or omission was Issuance of writ

committed or any of its element occurred, or Upon filing of petition, writ shall immediately
b. Sandiganbayan - unlike the writ of habeas issue if on its face it ought to issue
corpus, because public officials and
employees will be respondents in amparo Who shall issue
petitions, or The clerk of court shall issue the writ; however,
c. Court of Appeals, or in case of urgent necessity, the justice or the
d. Supreme Court, or judge may issue the writ under his or her own
e. Any justice of such courts [Sec. 3] hand, and may deputize any officer or person
to serve it.
May be filed on any day, including Saturdays,
Sundays, and holidays, from morning until Date and time for summary hearing of the
evening petition shall be set not later than 7 days from
date of issuance [Sec. 6]
The writ shall be enforceable anywhere in the
Philippines [Sec. 3]. President may not be impleaded as respondent
because of presidential immunity from suit
No docket fees [Rubrico v. Macapagal-Arroyo, G.R. No.
Petitioner shall be exempted from payment of 183871 (2010); Burgos v. Macapagal-Arroyo,
docket fees and other lawful fees when filing G.R. No. 183711 (2010)]
the petition [Sec. 4]
May the AFP Chief of Staff and the PNP
5. Contents of the petition director be included as respondents in a writ of
amparo case solely on the basis of command
A signed and verified petition shall contain: responsibility? Yes, but not for the purpose of
a. The personal circumstances of the attaching accountability and responsibility to
petitioner, them for the enforced disappearance of
b. The name and personal circumstances of Lourdes but only to determine the author who,
the respondent responsible for the threat, at the first instance, is accountable for and has
act or omission the duty to address the disappearance and
If the name is unknown or uncertain, maybe harassments complaint of in order to enable
described by an assumed appellation the court to devise remedial measures [Rubrico
c. The right to life, liberty and security of the v. Macapagal-Arroyo, supra].
aggrieved party violated or threatened with
violation by an unlawful act or omission of 6. Contents of Return
the respondent
4. How such threat or violation is committed When to file return
5. With the attendant circumstances Respondent must file a verified written return
detailed in supporting affidavits. within 5 days after service of writ, together with
d. The investigation conducted, if any, supporting affidavits [Sec. 9].
specifying
1. Names, the personal circumstances and Contents of the return
addresses of the investigating authority a. The lawful defenses to show that the
or individuals respondent did not violate or threaten with
2. Manner and conduct of the investigation violation the right to life, liberty and security
3. Together with any report of the aggrieved party, through any act or
e. The actions and recourses taken by the omission,
petitioner to determine the fate or b. The steps or actions taken by the
whereabouts of the aggrieved party and the respondent to determine the fate or
identity of the person responsible for the whereabouts of the aggrieved party and the
threat, act or omission, and
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person responsible for the threat, act or Prohibited pleadings; suppletory
omission, application of the Rules of Court
c. All relevant information in the possession of The pleadings and motions enumerated in Sec.
the respondent pertaining to the threat, act 11 of A.M. No. 07-9-12-SC would
or omission against the aggrieved party, unnecessarily cause delays in the
and proceedings; they are, thus, proscribed since
d. If the respondent is a public official or they would run counter to the summary nature
employee, the return shall further state the of the rule on the writ of amparo. A motion
actions that have been or will still be taken seeking reconsideration of a final judgment or
1. to verify the identity of the aggrieved order in such case, obviously, no longer affects
party the proceedings.
2. to recover and preserve evidence related
to the death or disappearance of the Moreover, the ROC applies suppletorily to A.M.
person identified in the petition which No. 07-9-12-SC insofar as it is not inconsistent
may aid in the prosecution of the person with the latter. Accordingly, there being no
or persons responsible express prohibition to the contrary, the rules on
3. to identify witnesses and obtain motions for reconsideration under the ROC
statements from them concerning the apply suppletorily to the Rule on the Writ of
death or disappearance Amparo [Mamba, et al. v. Bueno, G.R. No.
4. to determine the cause, manner, location 191416 (2017)].
and time of death or disappearance as
well as any pattern or practice that may The RTC judge acted with grave abuse of
have brought about the death or discretion in ordering the respondents De Lima
disappearance et al., to file an answer rather than a return. A
5. to identify and apprehend the person or Return is different and serves a different
persons involved in the death or function from an answer [De Lima v. Gatdula,
disappearance, and G.R. No. 204528 (2013)].
6. to bring the suspected offenders before
a competent court, and To whom returnable
e. The return shall also state matters relevant a. If filed with RTC, returnable to RTC or any
to the investigation, its resolution and the judge
prosecution of the case b. If filed with Sandiganbayan, CA or any
justice, returnable to such court or any
No general denial of the allegations allowed justice or the RTC where the threat, act or
[Sec. 9] omission was committed or any of its
elements occurred
Prohibited pleadings and motions c. If filed with the SC, returnable to the SC or
a. Motion to dismiss any justice, or to the CA, SB or any of its
b. Motion for extension of time to file return, justices, or the RTC where the threat, actor
opposition, affidavit, position paper and omission was committed or any of its
other pleadings elements occurred [Sec. 3].
c. Dilatory motion for postponement
d. Motion for a bill of particulars 7. Effects of Failure to File Return
e. Counterclaim or cross-claim
f. Third-party complaint In case the respondent fails to file a return, the
g. Reply court, justice, or judge shall proceed to hear the
h. Motion to declare respondent in default petition ex parte [Sec. 12].
i. Intervention
j. Memorandum 8. Omnibus Waiver Rule
k. Motion for reconsideration of interlocutory
orders or interim relief orders, and Petition All defenses shall be raised in the return,
for certiorari, mandamus or prohibition otherwise, they shall be deemed waived
against any interlocutory order [Sec. 11] [Sec.10].

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9. Procedure for Hearing a criminal action and a separate civil action are
filed subsequent to a petition for writ of amparo,
Summary hearing the latter shall be consolidated with the criminal
Hearing on the petition shall be summary action.

BUT the court, justice, or judge may call for a After consolidation, the procedure under this
preliminary conference to simplify the issues Rule shall continue to apply to the disposition
and determine the possibility of obtaining of the reliefs on the petition [Sec. 23].
stipulations and admissions from the parties
13. Interim Reliefs Available to
Hearing shall be from day to day until Petitioner and Respondent
completed and given the same priority as
petitions for habeas corpus [Sec. 13] When available
Upon filing of the petition or at any time before
Judgment final judgment
The court shall render judgment within 10 days
from the time of petition is submitted for a. Interim Reliefs Available to the
decision [Sec. 18] Petitioner
Appeal
1. Temporary Protection Order
Any party may appeal from the final judgment
a. Issued upon motion or motu proprio
or order to the Supreme Court under Rule 45,
b. That the petitioner or the aggrieved party
5 working days from the date of notice of the
and any member of the immediate family be
adverse judgment [Sec. 19]
protected in a government agency or by an
accredited person or private institution
Archiving and revival of cases
capable of keeping and securing their
If the case cannot proceed for valid cause, the
safety. If the petitioner is an organization,
court shall not dismiss the petition but shall
association or institution referred to in
archive it. After the lapse of 2 years from the
Section 3(c) of this Rule, the protection may
notice of archiving, the petition shall be
be extended to the officers concerned [Sec.
dismissed with prejudice for failure to
14(a)]
prosecute [Sec. 20].
c. Different from the inspection and production
order in that the temporary protection order
10. Institution of Separate Action and the witness protection order do not
need verification and may be issued motu
The Rule shall neither preclude the filing of proprio or ex parte
separate criminal, civil or administrative actions
[Sec. 21] 2. Inspection Order
a. Issued only upon verified motion and after
11. Effect of Filing a Criminal due hearing
Action b. Directed to any person in possession or
control of a designated land or other
When a criminal action has been commenced, property, to permit entry for the purpose of
no separate petition for the writ shall be filed. inspecting, measuring, surveying, or
The reliefs under the writ shall be available by photographing the property or any relevant
motion in a criminal case. The procedure under object or operation thereon
this Rule shall govern the disposition of the c. The order shall expire five (5) days after the
reliefs available under the writ of amparo [Sec. day of its issuance, unless extended for
22]. justifiable reasons [Sec.14(b)]
d. Requires hearing, may be availed of both
12. Consolidation the petitioner and the respondent
e. If the court, justice or judge gravely abuses
When a criminal action is filed subsequent to his or her discretion in issuing the inspection
the filing of a petition for the writ, the latter shall order, the aggrieved party is not precluded
be consolidated with the criminal action. When from filing a petition for certiorari with the SC
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3. Production Order Hearsay evidence, which is generally
a. Issued only upon verified motion and after considered inadmissible under the rules of
due hearing evidence, may be considered in a writ of
b. Directed to any person in possession, amparo proceeding if required by the unique
custody or control of any designated circumstances of the case (“totality of the
documents, papers, books, accounts, obtaining circumstances”) [Sanchez v.
letters, photographs, objects or tangible Darroca, G.R. No. 242257 (2019), citing Razon
things, or objects in digitized or electronic v. Tagitis, supra].
form which constitute or contain evidence
relevant to the petition or the return, to The failure to establish that the public official
produce and permit their inspection, observed extraordinary diligence in the
copying or photographing by or on behalf of performance of duty does not result in the
the movant automatic grant of the privilege of the amparo
c. In case of opposition, the court, justice or writ. It does not relieve the petitioner from
judge may conduct a hearing in chambers establishing his or her claim by substantial
to determine the merit of the opposition evidence. The omission or inaction on the part
[Sec. 14(c)] of the public official provides, however, some
Opposition maybe had on the following basis for the petitioner to move and for the
grounds: court to grant certain interim reliefs [Yano v.
i. National security Sanchez, G.R. No. 186640 (2010)].
ii. Privileged nature of the information
Before a concerned citizen may file a petition
4. Witness Protection Order for writ of amparo in behalf of a non-relative,
a. Issued upon motion or motu proprio the petitioner must allege that there were no
b. Order may refer the witnesses to known members of the immediate family or
i. The Department of Justice for relatives of the aggrieved party in line with
admission to the Witness Protection, Sec.2(c) of the RWA. Compared with a habeas
Security and Benefit Program. corpus proceeding, any person may apply for
ii. Other government agencies, or to the writ on behalf of the aggrieved party [Boac
accredited persons or private v. Cadapan, G.R. Nos. 184461-62 (2011)].
institutions capable of keeping and
securing their safety [Sec. 14(d)] Contrary to the ruling of the appellate court,
there is no need to file a motion for execution
Interim Reliefs Available to the Respondent for an amparo or habeas corpus decision…
a. Inspection Order Summary proceedings, it bears emphasis, are
b. Production Order [Sec. 15] immediately executory without prejudice to
further appeals that may be taken therefrom
Requisites: [Boac v. Cadapan, supra].
a. Verified motion of the respondent
b. Due hearing If respondent is a public official or
c. Affidavits or testimonies of witnesses having employee
personal knowledge of the defenses of the Must prove that extraordinary diligence as
respondent [Sec. 14(b)] required by the applicable laws, rules and
regulations was observed in the performance
14. Quantum of Proof in of duty
Application for Issuance of Writ of
Amparo Cannot invoke the presumption that official
duty has been regularly performed to evade
The parties shall establish their claims by responsibility or liability
substantial evidence.
If respondent is a private individual or entity
Technical rules of evidence are not strictly Must prove that ordinary diligence as required
observed in writ of amparo case [Razon v. by applicable laws, rules and regulations was
Tagitis, G.R. No. 182498 (2009)] observed in the performance of duty [Sec. 17]

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With the secret nature of an enforced Note:
disappearance and the torture perpetrated on a. Writ of Habeas Data was not enacted solely
the victim during detention, it logically holds for the purpose of complementing the Writ
that much of the information and evidence of of Amparo in cases of extralegal killings and
the ordeal will come from the victims enforced disappearances. It may be availed
themselves. Their statements can be of in cases outside of extralegal killings and
corroborated by other evidence such as enforced disappearances. Habeas data, to
physical evidence left by the torture or stress, was designed “to safeguard
landmarks where detained [Secretary of individual freedom from abuse in the
National Defense v. Manalo, G.R. No. 180906 information age.” It can be availed of as an
(2008)]. independent remedy to enforce one’s right
to privacy, more specifically the right to
The writ can only be issued upon reasonable informational privacy [Vivares v. St.
certainty. Substantial evidence is sufficient to Theresa’s College, G.R. No. 202666 (2014)]
grant the writ because the respondent is the b. Nothing in the Rule suggests that the
State which has more resources than the habeas data protection shall be available
petitioner [Ladaga v. Mapagu, G.R. No. only against abuses of a person or entity
189689 (2012)]. engaged in the business of gathering,
storing, and collecting of data [Vivares v. St.
Judgment Theresa’s College, supra]
If the allegations in the petition are proven by
substantial evidence, the court shall grant the 2. Availability of Writ
privilege of the writ and such reliefs as may be
proper and appropriate; otherwise, the Where to file
privilege shall be denied [Sec. 18]. a. RTC, at the option of the petitioner
1. Where petitioner resides, or
J. Writ of Habeas Data (A.M. No. 2. Where respondent resides, or
3. Which has jurisdiction over the place
08-1-16-SC) where the data or information is
gathered, collected or stored
1. Scope of Writ b. SC, CA, SB (when action concerns public
data files of government offices) [Sec. 3]
The writ of habeas data is a remedy available
to any person whose right to privacy in life, Writ is enforceable anywhere in Philippines
liberty or security is violated or threatened by [Sec. 4]
an unlawful act or omission of a public official
or employee, or of a private individual or entity No fees for indigent petitioners
engaged in the gathering, collecting or storing The petition of the indigent shall be docked and
of data or information regarding the person, acted upon immediately, without prejudice to
family, home and correspondence of the subsequent submission of proof of indigency
aggrieved party [Sec. 1] not later than fifteen (15) days from the filing of
the petition [Sec. 5]
Purpose
It is an independent and summary remedy Nexus between right to privacy, and right to
designed to protect the image, privacy, honor, life, liberty or security
information, and freedom of information of an The writ, however, will not issue on the basis
individual, and to provide a forum to enforce merely of an alleged unauthorized access to
one’s right to the truth and to informational information about the person. Availment of the
privacy. It seeks to protect a person’s right to writ requires the existence of a nexus between
control information regarding oneself, the right to privacy on the one hand, and the
particularly in instances in which such right to life, liberty or security on the other
information is being collected through unlawful [Vivares v. St. Theresa’s College, supra]
means in order to achieve unlawful ends
[Gamboa v. Chan, G.R. No. 193636 (2012)]. It will not issue to protect purely property or
commercial concerns nor when the grounds
invoked in support of the petition therefor are
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vague and doubtful [Manila Electric Company information or files kept by the
v. Lim, G.R. No. 184769 (2010)]. respondent,
f. In case of threats, the relief may include
Where the petitioner was not able to sufficiently a prayer for an order enjoining the act
allege that his right to privacy in life, liberty or complained of, and
security was or would be violated through the g. Such other relevant reliefs as are just
supposed reproduction and threatened and equitable [Sec. 6]
dissemination of the subject sex video, the
petition is dismissible. Issuance of writ
Upon the filing of the petition, the court, justice
As the rules and existing jurisprudence on the or judge shall immediately order the issuance
matter evoke, alleging and eventually proving of the writ if on its face it ought to issue [Sec. 7]
the nexus between one’s privacy rights to the
cogent rights to life, liberty or security are 5. Contents of Return
crucial in habeas data cases, so much so that
a failure on either account certainly renders a The respondent shall file a verified written
habeas data petition dismissible [Lee v. Ilagan, return together with supporting affidavits. It
G.R. No. 203254 (2014)]. shall contain, among others, the following:
1. The lawful defenses such as national
3. Who May File security, state secrets, privileged
communication, confidentiality of the source
Any aggrieved party may file a petition for the of information of media and others
writ of habeas data. However, in cases of 2. In case of respondent in charge, in
extralegal killings and enforced possession or in control of the data or
disappearances, the petition may be filed by information subject of the petition
a. Any member of the immediate family of i. Disclosure of the data or information
the aggrieved party, namely the spouse, about the petitioner, the nature of such
children and parents, or data or information, and the purpose for
b. Any ascendant, descendant or collateral its collection,
relative of the aggrieved party within the ii. The steps or actions taken by the
fourth civil degree of consanguinity or respondent to ensure the security and
affinity, in default of those mentioned in confidentiality of the data or information,
the preceding paragraph [Sec. 2] and
iii. The currency and accuracy of the data or
4. Contents of the Petition information held, and
3. Other allegations relevant to the resolution
A verified written petition for a writ of habeas of the proceeding
data should contain
a. The personal circumstances of the A general denial of the allegations in the
petitioner and the respondent, petition shall not be allowed [Sec. 10]
b. The manner the right to privacy is
violated or threatened and how it affects When to file return
the right to life, liberty or security of the Respondent must file a verified written return
aggrieved party city, within 5 working days from service of the writ,
c. The actions and recourses taken by the together with supporting affidavits. The 5-day
petitioner to secure the data or period may be reasonably extended by the
information, Court for justifiable reasons [Sec. 10]
d. The location of the files, registers of
databases, the government office, and Prohibited pleadings and motions
the person in charge, in possession or a. Motion to dismiss
control of the data or information, if b. Motion for extension of time to file return,
known, opposition, affidavit, position paper and
e. The reliefs prayed for, which may include other pleadings
the updating, rectification, suppression c. Dilatory motion for postponement
or destruction of the database or d. Motion for a bill of particulars
e. Counterclaim or cross-claim
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f. Third-party complaint 5 working days from the date of notice of the
g. Reply adverse judgment [Sec. 19]
h. Motion to declare respondent in default
i. Intervention 7. Consolidation
j. Memorandum
k. Motion for reconsideration of interlocutory When a criminal action is filed subsequent to
orders or interim relief orders, and petition the filing of a petition for the writ, the latter shall
for certiorari, mandamus or prohibition be consolidated with the criminal action
against any interlocutory order [Sec. 13]
When a criminal action and a separate civil
To whom returnable action are filed subsequent to a petition for writ
If issued by of habeas data, the petition shall be
a. SC or any of its justices - before such Court consolidated with the criminal action [Sec. 21]
Or any justice thereof, or CA/SB or any of its
justices, or the RTC of the place where the 8. Effect of Filing Criminal Action
petitioner or respondent resides/has
jurisdiction over the place where the data or When a criminal action has been commenced,
information is gathered, stored or collected no separate petition for the writ shall be filed.
b. CA/SB or any of its justices - before such
court or any justice thereof, or RTC (same The reliefs under the writ shall be available to
with scenario SC issued and then returned aggrieved party by motion in a criminal case
in RTC)
c. RTC - returnable before such court or judge Procedure under this Rule shall govern the
[Sec. 4] disposition of the reliefs available under the writ
of habeas data [Sec. 22]
Effect of failure to file return
The court, justice, or judge shall proceed to 9. Institution of Separate Action
hear the petition ex parte [Sec. 14]
The filing of a petition for the writ of habeas
Procedure for hearing data shall not preclude the filing of separate
Hearing on the petition shall be summary. BUT criminal, civil or administrative actions [Sec. 20]
the court, justice, or judge may call for a
preliminary conference to simplify the issues
and determine the possibility of obtaining
10. Quantum of Proof in
stipulations and admissions from the parties Application for Issuance of Writ of
[Sec. 15] Habeas Data

6. Instances When Defenses May If the allegations in the petition are proven by
Be Heard in Chambers substantial evidence, the court shall (a) enjoin
the act complained of, or order the deletion,
a. Where the respondent invokes the defense destruction, or rectification of the erroneous
that the release of the data or information in data or information AND (b) grant other
question shall compromise national security relevant reliefs as may be just and equitable;
or state secrets, or otherwise, the privilege of the writ shall be
b. When the data or information cannot be denied [Sec. 16]
divulged to the public due to its nature or
privileged character [Sec. 12] An indispensable requirement before the
privilege of the writ may be extended is the
Judgment showing, at least by substantial evidence, of an
The court shall render judgment within 10 days actual or threatened violation of the right to
from the time of petition is submitted for privacy in life, liberty or security of the victim
decision [Sec. 16] [Roxas v. Arroyo, G.R. No. 189155 (2010)]

Appeal Not only direct evidence, but circumstantial

Any party may appeal from the final judgment evidence, indicia, and presumptions may be
or order to the Supreme Court under Rule 45, considered, so long as they lead to conclusions
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consistent with the admissible evidence Note: The grounds for a motion to dissolve a
adduced [Saez v. Arroyo, G.R. No. 183533 TEPO shall be supported by affidavits of the
(2012)] HOWEVER, the right to informational party or the person enjoined which the
privacy may yield to an overriding legitimate applicant may oppose, also by affidavits [Sec.
state interest [Gamboa v. Chan, G.R. No. 9, Rule 2].
193636 (2012)].
2. Writ of Continuing Mandamus
K. Rules of Procedure on
Court action
Environmental Cases (A.M. No. In the judgment, the court may—
09-6-8-SC) a. Convert the TEPO to a permanent EPO, or
b. Issue a writ of continuing mandamus
1. Temporary Environmental directing the performance of acts which
Protection Order (TEPO) shall be effective until the judgment is fully
satisfied [Sec. 3, Rule 5]
Ground for Issuance
If it appears from the verified complaint with a Definition
prayer for the issuance of an EPO that Environmental protection order – An order
a. The matter is of extreme urgency and issued by the court directing or enjoining any
b. The applicant will suffer grave injustice and person or government agency to perform or
irreparable injury [Sec. 8, Rule 2] desist from performing an act in order to
protect, preserve, or rehabilitate the
Note: The applicant shall be exempted from the environment [Sec. 3(d), Rule 1]
posting of a bond for the issuance of a TEPO
[Sec. 8, Rule 2]. Writ of continuing mandamus – A writ issued
by a court in an environmental case directing
Period of Effectivity any agency or instrumentality of the
72 hours from date of the receipt of the TEPO government or officer thereof to perform an act
by the party or person enjoined [Sec. 8, Rule or series of acts decreed by final judgment
2] which shall remain effective until judgment is
fully satisfied [Sec. 3(c), Rule 1]

Duty of Court
a. Within the 72-hour period, the court shall Execution
conduct a summary hearing to determine The court may, by itself or through the
whether the TEPO may be extended until appropriate government agency:
the determination of the case [Sec. 8, Rule a. Monitor the execution of the judgment, and
2] b. Require the party concerned to submit
b. The court where the case is assigned, shall written reports on a quarterly basis or
periodically monitor the existence of acts sooner as may be necessary.
that are the subject matter of the TEPO
even if issued by the executive judge, and The reports shall detail the progress of the
may lift the same at any time as execution and satisfaction of the judgment. The
circumstances may warrant [Sec. 8, Rule 2] other party may, at its option, submit its
comments or observations on the execution of
Ground to dissolve TEPO the judgment [Sec. 3, Rule 5].
The TEPO may be dissolved if it appears after
hearing that its issuance or continuance would Return of writ of execution
cause irreparable damage to the party or The process of execution shall terminate upon
person enjoined while the applicant may be a sufficient showing that the decision or order
fully compensated for such damages as he has been implemented to the satisfaction of the
may suffer and subject to the posting of a court in accordance with Sec. 14, Rule 39 of
sufficient bond by the party or person the ROC.
enjoined.

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3. Writ of Kalikasan iii. If the petitioner shall learn that there is
a pending action, he shall report such
When available to the court within 5 days.
It is a remedy available: h. Reliefs prayed for which may include a
a. To a natural or juridical person, entity TEPO [Sec. 2, Rule 7]
authorized by law, people’s organization,
NGO, or any public interest group Exemption from docket fees
accredited by or registered with any The petitioner shall be exempt from the
government agency, payment of docket fees [Sec. 4, Rule 7].
b. On behalf of persons whose constitutional
right to a balanced and healthful ecology is Procedure
violated or threatened with violation, Filing of verified Petition with Certificate Against
c. By an unlawful act or omission of a public Forum Shopping [Sec. 2, Rule 7]
official or employee, or private individual or ↓
entity,
d. Involving environmental damage to such Issuance of Writ of Kalikasan within 3 days from
filing of petition [Sec. 5, Rule 7]
magnitude as to prejudice the life, health, or
property of inhabitants in two or more cities ↓
or provinces [Sec. 1, Rule 7] Service of the Writ [Sec. 6, Rule 7]
↓
Note: The filing of the petition shall not preclude
the filing or separate civil, criminal, or Filing of a verified Return within a non-extendible
administrative actions [Sec. 17, Rule 7]. period of 10 days after service of the writ [Sec. 7,
Rule 7]

Where to file ↓
The petition shall be filed with the SC or any of Judgment [Sec. 15, Rule 7]
the stations of the CA [Sec. 3, Rule 7]. ↓

Form Hearing (court may call for preliminary conference)

[Sec. 11, Rule 7]
The verified petition shall contain the
following:
a. The personal circumstances of the Issuance
petitioner; If the petition is sufficient in form and
b. The name and personal circumstances of substance, the writ shall be issued within 3
the respondent or if unknown/uncertain, an days from the date of filing.
assumed appellation of the respondent; • The respondent shall be required to file a
c. The environmental law, rule, or regulation verified return.
violated or threatened to be violated; • The order shall include the issuance of a
d. The act or omission complained of; cease and desist order and other temporary
e. The environmental damage of such reliefs effective until further order [Sec. 5,
magnitude as to prejudice the life, health, or Rule 7].
property of the inhabitants in 2 or more cities
or provinces; Judgment
f. All relevant and material evidence - Judgment shall be rendered granting or
Affidavits, documentary evidence, denying the writ of kalikasan within 60 days
scientific/expert studies, object evidence from the time the petition is submitted for
g. Certification of the petitioner under oath decision.
that:
i. Petitioner has not commenced any Reliefs that may be granted under the writ:
action or filed any claim involving the a. Directing the respondent to permanently
same issues in any court, tribunal, or cease and desist from committing
quasi-judicial agency, and no such acts/neglecting the performance of a duty in
action is pending; violation of environmental laws resulting in
ii. If there is an action pending, the environmental destruction or damage;
complete statement of its present
status;
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b. Directing the respondent to protect,
preserve, rehabilitate, or restore the
environment;
c. Directing the respondent to monitor strict
compliance with the decisions and orders of
the court;
d. Directing the respondent to make periodic
reports on the execution of the final
judgment; and
e. Such other reliefs which relate to the right of
the people to a balance and healthful
ecology or to the protection, preservation,
rehabilitation, or restoration of the
environment.

Note: An award of damages to individual

petitioners is not allowed as a relief [Sec. 15,
Rule 7].

Appeal
Any party may appeal to the SC under Rule 45
of the ROC within 15 days from notice of the
adverse judgment or denial of MR.

Note: The appeal may raise questions of fact

[Sec. 16 Rule 7].

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REMEDIAL LAW AND
LEGAL ETHICS

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I. GENERAL MATTERS
A. Jurisdiction over Subject Matter and Jurisdiction over Person of
the Accused Distinguished

Jurisdiction over Jurisdiction over Territorial jurisdiction

subject matter person of the accused

Definition The authority of the court… The place of the

commission of the
…to hear and decide …over the person offense charged
the case. Simply put, charged determines the venue
it means jurisdiction of the action and is an
over the offense essential element of
charged jurisdiction [Alfelor v.
Intia, G.R. No. L-
27590 (1976)].

Exception: Those
crimes mentioned in
Art. 2, RPC are not
covered by this rule.

How Conferred by law; Acquired through: The offense should

acquired cannot be conferred 1. Arrest of the have been committed
by the parties accused or any one of its
2. Consent of the essential ingredients
Jurisdiction cannot accused took place within the
be fixed by the will of 3. Waiver of objections territorial jurisdiction of
the parties; nor as when the said court [Uy v. CA,
acquired through accused enters his G.R. No. 119000
waiver, or enlarged plea (1997)]. One cannot
by the parties’ 4. Voluntary be held to answer for
omission; nor submission of the any crime he
conferred by accused to the committed except in
acquiescence of the jurisdiction of the the jurisdiction where
court, or by mere court. he committed said
administrative policy crime [People v.
of any trial court Note: There is no Mercado, G.R. No. L-
[Cudia v. Court of voluntary appearance 2760 (1950)].
Appeals, G.R. No. in case of special
110315 (1998)]. appearance to
challenge the
jurisdiction of the court
[Garcia v.
Sandiganbayan, G.R.
Nos. 170122 & 171381
(2009)].

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Jurisdiction over Jurisdiction over Territorial jurisdiction
subject matter person of the accused

How to Jurisdiction is N/A Jurisdiction is

determine determined by the determined by the
which court allegations in the allegations in the
has complaint or complaint or
jurisdiction information [Avecilla information [Avecilla v.
v. People, G.R. No. People, G.R. No.
46370 (1992)]. 46370 (1992)].

Applicable Jurisdiction is N/A N/A

law to determined by the
determine procedural law in
jurisdiction force at the time of
the institution of the
action; not the law in
force at the time of
the commission of
the crime [People v.
Lagon, G.R. No.
45815 (1990)].

In determining
whether the court
has jurisdiction over
an offense, the
penalty to be
considered is that
which may, under
law, be imposed for
the offense and not
the actual penalty
imposed after trial.

Waiver of Cannot be waived by Right to object may be Cannot be waived by

objection the parties waived (e.g., failure of the parties
the accused to object in
time)

Principle of adherence of 2. Subsequent legislation vesting

jurisdiction/continuing jurisdiction jurisdiction in another tribunal.

General Rule: Once a court acquires Exception: When subsequent legislation:

jurisdiction over a controversy, it shall continue 1. Expressly provides, or
to exercise it until final determination of the 2. Is clearly intended to apply to actions
case [Mendoza v. Comelec, G.R. No. 188308 pending before its enactment [Palana v.
(2009)]. People, G.R. No. 149995 (2007)]

It is not affected by: Dismissal of the case on jurisdictional

1. A valid amendment of the information grounds
[People v. Chupeco, G.R. No. L-19568 General Rule: An objection on the ground that
(1964)]; or the court lacks jurisdiction over the subject
matter may be raised or considered motu
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CRIMINAL PROCEEDINGS REMEDIAL LAW AND ETHICS
proprio by the court at any stage of the C. Jurisdiction of Criminal
proceedings or appeal.
Courts
Exception: Estoppel by reasons of public
policy, as when the party has initially invoked 1. MTC/MeTC/MCTC
such jurisdiction [Tijam v. Sibonghanoy, G.R.
No. L-21450 (1968)] Jurisdiction
Except those cases falling within the
jurisdiction of higher courts, these courts shall
B. Requisites for Exercise of have exclusive original jurisdiction over:
Criminal Jurisdiction 1. Violations of city or municipal ordinances
committed within their territorial
Criminal jurisdiction jurisdiction [Sec. 32, B.P. 129, as
The authority to hear and try a particular amended]
offense and impose the punishment for it 2. Offenses punishable with imprisonment
[People v. Mariano, G.R. No. L-40527 (1976)] not exceeding 6 years irrespective of the
amount of fine, and regardless of other
imposable or accessory penalties,
Requisites for a court to exercise including civil liability irrespective of its
jurisdiction: kind, nature, or value [Sec. 32, B.P. 129]
1. Subject matter jurisdiction: the offense 3. Offenses involving damage to property
is one it is authorized by law to take through criminal negligence [Sec. 32,
cognizance of B.P. 129]
2. Territorial jurisdiction: the offense has 4. Summary procedure in certain cases
been committed within its territorial a. Violations of traffic laws, rules, and
jurisdiction regulations
3. Jurisdiction over the person: the b. Violations of the rental law
person charged must have been brought c. B.P. 22 cases
before it for trial, forcibly by arrest or d. Violation of municipal and city
upon his voluntary submission to the ordinances
court e. All other criminal cases where the
penalty prescribed by law for the
All three requisites must concur before a court offense charged is imprisonment
can acquire jurisdiction [Antiporda v. not exceeding 6 months, or a fine
Garchitorena, G.R. No. 133289 (1999), citing not exceeding P1,000, or both
Arula v. Espino, G.R. No. L-28949 (1969)]. f. Offenses involving damage to
property through criminal
negligence where the imposable
penalty does not exceed P10,000
[Sec. 1(b), 1991 Rules on
Summary Procedure]
5. Special jurisdiction to decide on
applications for bail in the absence of all
RTC judges in a province or city [Sec. 35,
B.P. 129, as amended by R.A. 7691]

Concurrent original jurisdiction with RTCs over

violations of R.A. 7610 (Child Abuse Act) in
cities or provinces where there are no family
courts yet, depending on the penalties
prescribed for the offense charged [Sec. 16-A,
R.A. 7610, as amended by R.A. 9231]

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SC Admin Circ. No. 09-94 (1994): regardless of the place of commission
● The provisions of Sec. 32(2) of B.P. 129, [Sec. 21, R.A. 10175]
apply only to offenses punishable by 8. Any violation of Sections, 4, 5, 6, 7, 8, 9,
imprisonment or fine, or both, in which 10, 11 or 12 of the Anti-Terror Act [Sec.
cases the amount of the fine is 53, R.A. 11479]
disregarded in determining the
jurisdiction of the court. For offenses cognizable by the Sandiganbayan
● In cases where the law only imposes the where the information a) does not allege any
fine, and such fine exceeds P4,000, the damage to the government or any bribery; or b)
RTC shall have jurisdiction, including the alleged damage to the government or the
offenses committed by public officers bribery arising from the or closely related
and employees in relation to their transactions are of an amount not exceeding
office. P1 million [Sec. 4, P.D. 1606, as amended by
R.A. 10660]
2. RTC
3. Sandiganbayan
Jurisdiction
Exclusive original jurisdiction in criminal Jurisdiction
cases not within the exclusive jurisdiction of 1. Violations of R.A. 3019
any court, tribunal, or body, EXCEPT those 2. Violations of R.A. 1379
under the exclusive and concurrent jurisdiction 3. Violations of Book 2, Title VII, Section 2,
of the Sandiganbayan [Sec. 20, B.P. 129] Chapter 2 of the RPC (Indirect Bribery,
Corruption of Public officials, etc.), where
Appellate jurisdiction over cases decided by one or more of the accused are officials
first-level courts within its territorial jurisdiction occupying the following positions in the
[Sec. 22, B.P. 129, as amended by R.A. 7691] government, at the time of the
commission of the offense:
Jurisdiction over criminal cases under specific a. Officials of the executive branch
laws such as: occupying the positions of regional
1. Criminal and civil aspects of written director and higher, otherwise
defamation [Art. 360, RPC] classified as Grade ‘27’ and higher
2. Criminal cases commenced by of R.A. 6758 (See enumeration in
information against a child upon R.A. 10660)
determination of probable cause by the b. Members of Congress and officials
prosecutor [Sec. 33, R.A. 9344, as thereof classified as Grade ‘27’ and
amended by R.A. 10630] where there up under R.A. 6758
are no family courts [Sec. 4(g), R.A. c. Other offenses, simple or complex,
9344] with other crimes committed by the
3. Violence against women and children, in above-mentioned public officials
the absence of an RTC designated as a and employees in relation to their
Family Court where the offense was office
committed [R.A. 9262 (Anti-VAWC Act)] 4. Criminal cases filed pursuant to and in
4. Designated special courts over cases in connection with E.O. 1, 2, 14, 14-A
violation of R.A. 9165 (Dangerous Drugs (1986)
Act) [Sec. 90, R.A. 9165]
5. Violations of intellectual property rights An offense is deemed committed in relation to
[SC Admin-Circ. No. 03-03 (2003)] his office when:
6. Money laundering cases [Sec. 5, R.A. 1. The office is a constituent element of the
9160] EXCEPT those committed by crime as defined in the statute
public officers and private persons in 2. The offense is intimately connected with
conspiracy with such public officers, as the office of the offender
jurisdiction is with the Sandiganbayan 3. The fact that the offense was committed
7. Any violation of the Cybercrime in relation to the office is alleged in the
Prevention Act, including any act Information [People v. Magallanes, G.R.
committed by a Filipino national Nos. 118013-14 (1995)]

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Failure to allege that the offense was D. When Injunction May Be
committed in relation to the office or was
necessarily connected with the discharge of Issued To Restrain Criminal
their functions vests jurisdiction with the RTC Prosecution
[People v. Cawaling, G.R. No. 117970 (1998)].
General Rule: Criminal prosecution may NOT
4. Military Courts be blocked by court prohibition or injunction
[Brocka v. Enrile, G.R. Nos. 69863-65 (1990)]
General Rule: Ordinary courts will have for the reason that public interest requires that
jurisdiction over cases involving members of criminal acts be immediately investigated and
the armed forces, and other persons subject to prosecuted for the protection of society
military law, regardless of who the co-accused [Domingo v. Sandiganbayan, G.R. No. 109376
or victims are. (2000)].

Exception: When the offense is service- Exceptions:

oriented, it will be tried by the court martial; 1. To afford adequate protection to the
Provided, that the President may, in the constitutional rights of the accused
interest of justice, order or direct, at any time 2. For the orderly administration of justice
before arraignment, that any such crimes or 3. To avoid oppression or multiplicity of
offenses be tried by the proper civil courts [Sec. suits
1, R.A. 7055]. 4. Where there is a prejudicial question
which is sub judice
Service-connected crimes or offenses are 5. Where acts of the officer are without or in
limited to those defined in Articles 54 to 70 and excess of authority
Articles 72 to 92 of Commonwealth Act No. 6. When the prosecution is under an invalid
408, as amended [Ibid.]. law, ordinance, or regulation
7. When double jeopardy is clearly
apparent
8. When the court has no jurisdiction over
the offense
9. When it is a case of persecution rather
than prosecution
10. Where the charges are manifestly false
and motivated by vengeance
11. Where there is no prima facie case and
a motion to quash on that ground has
been denied
12. Where preliminary injunction has been
issued by the SC to prevent the
threatened unlawful arrest of petitioners
[Brocka v. Enrile, supra]
13. To prevent the use of the strong arm of
the law in an oppressive and vindictive
manner [Hernandez v. Albano, G.R. No.
L-19272 (1967)]

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II. PROSECUTION OF Effect of institution
The institution of a criminal action shall
OFFENSES interrupt the running of the prescription period
of the offense charged UNLESS otherwise
A. Criminal Actions; How provided in special laws [Sec. 1, Rule 110].
Instituted Falling under the authority of the lupon
While the dispute is under mediation,
The institution of a criminal action generally conciliation or arbitration, the prescriptive
depends upon whether the offense is one periods shall be interrupted upon the filing of
which requires a preliminary investigation (PI) the complaint with the Punong Barangay
or not: [Sec. 410, LGC]

Offenses requiring Other offenses Limitation: Interruption shall not exceed 60

PI days from filing of complaint with the punong
barangay [Sec. 410(c), LGC].
Nature of Offenses
The prescriptive periods shall resume upon
Those where the Offenses where the receipt by the complainant
penalty prescribed penalty prescribed 1. of the complaint or
by law is at least 4 by law is less than 2. the certificate of repudiation or
years, 2 months 4 years, 2 months, 3. of the certification to file action issued by
and 1 day [Sec. 1, and 1 day the Lupon or Pangkat Secretary
Rule 112, as
amended by A.M. Criminal cases required to be filed with
No. 05-8-26-SC] lupon
Offenses punishable by imprisonment not
How Instituted exceeding one (1) year or a fine not exceeding
P5,000 [Sec. 408(c), LGC] and where the
By filing the 1. Filed directly parties actually reside in the same city or
complaint with the with the MTCs municipality
appropriate officer and MCTCs;
for PI [Sec. 1(a), or Exceptions, when [PGP-ODP]:
Rule 110] 2. Filed with the 1. There is no Private offended party [Sec.
office of the 408(d), LGC]
prosecutor 2. One party is the Government or any
[Sec. 1(b), subdivision thereof [Sec. 408(a), LGC];
Rule 110] 3. One party is a Public officer or employee,
3. In Manila and and the dispute relates to the
other performance of his Official functions
chartered [Sec. 408(b), LGC];
cities, the 4. Parties actually reside in Different cities
complaint shall or municipalities, EXCEPT where such
be filed with barangays adjoin each other AND the
the office of parties agree to amicable settlement by
the an appropriate lupon [Sec. 408(f), LGC];
prosecutor 5. Accused is under Police custody or
unless detention
otherwise
provided in
their charters
[Sec. 1(b),
Rule 110]

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B. Who May File; Crimes That Exceptions: Crimes that cannot be
prosecuted de officio [ACSAAD]:
Cannot be Prosecuted De 1. Adultery
Officio 2. Concubinage
3. Seduction
General Rule: Complaint or Information may 4. Abduction
only be filed or dismissed if there is prior written 5. Acts of Lasciviousness
authority or approval of the provincial or city 6. Defamation
prosecutor or chief state prosecutor or the
Ombudsman or his deputy [Sec. 4, Rule 112, Rationale
as amended by A.M. 05-8-26-SC]. This was imposed out of consideration for the
aggrieved party who might prefer to suffer the
Note: Secs. 3 and 4, Rule 110 discuss who outrage in silence rather than go through with
should subscribe (not file) the complaint or the scandal of a public trial [People v.
information. Yparraguirre, G.R. No. 124391 (2000)].

Adultery and Seduction, Abduction, Acts of Lasciviousness Defamation,

Concubinage which consists of
imputation of any
of the foregoing
offenses

Who Can File

Offended Spouse Offended party, it includes: Offended Party

1. Minors, even independently of those in item b,
except if incompetent or incapable
2. Parents, grandparents, guardian – right to file
shall be exclusive of all other persons and shall
be exercised successively in this order
3. State – Only if the offended party dies or
becomes incapacitated before she can file the
complaint, and she has no known parents,
grandparents or guardian

Requirements

1. Must include The offender must not have been pardoned by any None
both guilty of a and b in the preceding column
parties, if both
alive
2. Must not have
consented to
the offense or
pardoned the
offenders
3. Marital
relationship
must still be
subsisting
[Pilapil v. Ibay-
Somera, G.R.
No. 80116,
(1989)]

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EVENTS THAT MAY OCCUR AFTER THE Pardon distinguished from Consent
FILING OF THE CASE
Pardon Consent
a. Death of offended party
Definition
Death after filing the complaint would not
deprive the court of jurisdiction. The death of Refers to past acts Refers to future acts
the offended party in private crimes is essential
solely for the initiation of the action [People v. In order to absolve In order to absolve
Diego (1937)]. the accused from the accused from
liability, it must be liability, it is sufficient
It is not one of the causes for extinguishment of extended to both even if granted only
criminal liability enumerated in Art. 89 of the offenders to the offending
Revised Penal Code. spouse
b. Desistance by offended party When given

Desistance does not bar the People of the Given after the Given before the
Philippines from prosecuting the criminal commission of the commission of the
action, but it operates as a waiver of the right crime but before the crime
to pursue civil indemnity [People v. Amaca, institution of the
G.R. No. 110129 (1997)]. criminal action

c. Pardon by offended party In adultery and concubinage

General Rule: A pardon by the offended party May be done Can only be done
does not extinguish criminal action but civil expressly or expressly
liability with regard to the interest of the injured impliedly
party is extinguished by his express waiver
[Art. 23, RPC]. If there is more than one There is implied
accused, the pardon must be extended to all pardon when the
offenders. offended party
continued to live with
Exception: Seduction, abduction and acts of his spouse even after
lasciviousness shall not be prosecuted if the the commission of
offender has been expressly pardoned by the the offense. There is
offended party or her parents, grandparents, or no implied pardon
guardian [Art. 344, RPC; Sec. 5, Rule 110]. when the wife
continues living in the
When should pardon be done conjugal home after
General Rule: Pardon must be made before her arrest only in
the filing of the criminal complaint in court order to take care of
[People v. Bonaagua, G.R. No. 18897 (2011)]. their children [Ligtas
v. CA, G.R. No. L-
Exception: In rape, marriage between the 47498 (1987)].
offender and the offended party would be
effective as pardon even when the offender In Seduction, Abduction and Acts of
has already commenced serving his sentence Lasciviousness
[People v. de Guzman, G.R. No. 185843
(2010)]. Must be expressly Offended party
made cannot consent to
the crime

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d. Subsequent marriage D. Control of Prosecution
General Rule: In cases of seduction, General Rule: All criminal actions commenced
abduction, acts of lasciviousness and rape, by a complaint or information shall be
the marriage of the offender with the offended prosecuted under the direction and control
party shall extinguish the criminal action or of the prosecutor.
remit the penalty already imposed upon him,
together with the co-principals, accomplices, Exception: A private prosecutor may be
and accessories after the fact of the above- authorized in writing by the Chief of the
mentioned crimes [Art. 344, RPC]. Prosecution office or the Regional State
Prosecutor to prosecute the case subject to the
Exceptions: approval of the court [Sec. 5, Rule 110, as
1. Marriage was invalid or contracted in bad amended by A.M. No. 02-2-07-SC (2002)]
faith to escape criminal liability [People v.
Santiago, G.R. No. L-27972 (1927)] Conditions for a private prosecutor to
2. In multiple rape, insofar as the other prosecute a criminal action
accused in the other acts of rape 1. The public prosecutor has heavy work
respectively committed by them are schedule or there is no public prosecutor
concerned [People v. Bernardo, 38 O.G. assigned in the province or the city
3479] 2. The private prosecutor is authorized in
writing by the Chief of the Prosecutor
C. Criminal Actions, When office or the Regional State Prosecutor
Enjoined 3. The authority of the private prosecutor
was approved by the Court
See When Injunction May Be Issued To 4. The private prosecutor shall continue to
Restrain Criminal Prosecution, supra. prosecute the case up to the end of the
trial unless the authority is revoked or
Remedies if the prosecutor refuses to file otherwise withdrawn [Sec. 5, Rule 110,
an information A.M. No. 02-2-07-SC (2002)]
1. Action for mandamus to compel the 5. In case of withdrawal or revocation of
prosecutor to charge the accused, in authority, the same must be approved by
case of grave abuse of discretion; the court [DOJ Memorandum Circular
2. Lodge a complaint before the court No. 25 (2002)]
having jurisdiction over the offense; 6. The prosecution of the civil liability has
3. Take up the matter with the Department not been reserved or waived
of Justice under the appropriate
administrative procedure; Rule in Cases filed before MTCs/MCTCs
4. Institute an administrative charge When the prosecutor assigned thereto or to the
against the erring prosecutor; and case is not available, the following may
5. File criminal action against the prosecute the case:
prosecutor for negligence to prosecute 1. Offended party;
or tolerance of the crime [Art. 208, 2. Any peace officer; or
RPC] with the corresponding civil action 3. Public officer charged with the
for damages for failure to render enforcement of the law violated may
service by a public officer [Art. 27, prosecute the case.
NCC]
This authority shall cease upon actual
intervention of the prosecutor or upon elevation
of the case to the RTC [OCA Circular No. 39-
02, stating in toto Sec. 5, Rule 110, as
amended by A.M. No. 02-2-07-SC].

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Cases in the Court of Appeals and the 4. Downgrading
Supreme Court of the offense
General Rule: Only the Solicitor General may or dropping of
bring or defend actions on behalf of the accused
Republic of the Philippines, or represent the before plea
People of the Philippines or State in criminal [Sec. 14(b),
proceedings before the SC and the CA [Cariño Rule 110]
v. De Castro, G.R. No. 176084 (2008)].

Exceptions:
1. When there is denial of due process of
law to the prosecution and the State or
its agents refuse to act on the case to the
prejudice of the State and the private
offended party [Cariño v. De Castro,
supra]; and
2. When the private offended party
questions the civil aspect of a decision of
a lower court [Heirs of Delgado v.
Gonzalez, G.R. No. 184337 (2009)]

Cases elevated to the Sandiganbayan and

the Supreme Court
The Office of the Ombudsman, through the Once a complaint or information is filed in court,
Special Prosecutor, shall represent the People any disposition of the case as its dismissal or
of the Philippines, except in cases filed the conviction or acquittal of the accused rests
pursuant to EO Nos. 1,2, 14, 14-A as these are on the sound discretion of the court. A motion
under the PCGG [Sec. 4, P.D. 1606, as to dismiss should be filed with the court, which
amended by R.A. 10660]. has the option to grant or deny it [Crespo v.
Mogul, supra].
EXTENT OF PROSECUTOR’S CONTROL
Limitations on the court’s control
Prior to filing After filing 1. The prosecution is entitled to notice of
hearing;
Matters which are The following 2. The court must suspend arraignment,
within the control of matters are already upon motion by the proper party, when a
the prosecutor within the control of petition for review of the resolution of the
1. What case to the court and no prosecutor is pending at either the DOJ,
file longer within the or the OP; provided, that the period of
2. Whom to discretion of the suspension shall not exceed 60 days
prosecute prosecutor: counted from the filing of the petition with
3. Manner of 1. Suspension of the reviewing office [Sec. 11(c), Rule
prosecution arraignment 116];
4. Right to [Sec 1, Rule 3. The court must make its own
withdraw 116] independent evaluation or assessment
information 2. Granting a of the merits of the case (e.g., on a
before reinvestigation motion to dismiss [should be to quash]).
arraignment [Levista v. Otherwise, there will be a violation of
even without Alameda, G.R. private complainant’s right to due
notice and No. 182677 process and erroneous exercise of
hearing (2010)] judicial discretion [Martinez v. CA, G.R.
[Crespo v. 3. Dismissal of No. L-112387 (1994)].
Mogul, G.R. the case
No. L-53373 [Crespo v.
(1987)] Mogul, supra]

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Effect of lack of presence of the fiscal E. Sufficiency of Complaint or
Although the private prosecutor had previously
been authorized to present the evidence for the Information
prosecution, the absence of the City Fiscal at
the hearing means that the prosecution of the [Note: The complaint contemplated under Sec.
case was NOT under the control of the City 3 differs from the complaint filed in the
Fiscal; thus, it follows that the evidence prosecutor’s office for purposes of preliminary
presented by the private prosecutor at said investigation.]
hearing could not be considered as
evidence for the plaintiff [People v. Beriales, Complaint Information
G.R. No. L-39962 (1976)].

However, if prosecutor does appear Definition

intermittently during trial, then the evidence
presented by the private prosecutor may be Sworn written statement Accusation in
considered [Bravo v. CA, G.R. No. L-48772, charging a person with writing, charging a
(1992)]. an offense, subscribed person with an
by the offended party, offense, subscribed
any peace officer or by the prosecutor
Note: OCA Circular No. 39-02 [stating in toto
other public officer and filed with the
Sec. 5, Rule 110, as amended by A.M. No. 02-
charged with the court [Sec. 4, Rule
2-07-SC]: However, in MTCs or MCTCs when enforcement of the law 110]
the prosecutor assigned thereto or to the violated [Sec. 3, Rule
case is not available, the offended party, 110]
any peace officer, or public officer charged
with the enforcement of the law violated Who subscribes
may prosecute the case. This authority shall
cease upon actual intervention of the Subscribed by: Subscribed by the
prosecutor or upon elevation of the case to the 1. offended party; prosecutor
RTC. 2. any peace officer;
or *Indispensable
3. other officer requirement.
charged with the
enforcement of
the law violated.

Where filed

May be filed in court or Filed with the court

the prosecutor’s office
[Sec. 1, Rule 110]

Oath Requirement

Must be “sworn,” hence Requires no oath

under oath
*Fiscal filing the
information is
acting under the
oath of his office

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CONTENT REQUIRED FOR VALIDITY OF Exception: When the defect consists in the
AN INFORMATION lack of authority of the prosecutor who filed the
A complaint or information is sufficient if it information, as such defect would be
states the [ADA-ODP]: jurisdictional [Sec. 9, Rule 117]
1. Name and surname of the Accused; or
any appellation or nickname by which he 1. Name of the accused
is known or had been known
a. When an offense is committed by The complaint or information must state the
more than one person, all of them name and surname of the accused or any
shall be included in the complaint appellation or nickname by which he has been
or information [Sec. 6, Rule 110] or is known.
2. Designation of the offense given by the
statute If his name cannot be ascertained, he must be
3. Acts or Omissions complained of as described under a fictitious name with a
constituting the offense statement that his true name is unknown.
4. Name of the Offended party
5. Approximate Date of the commission of If the true name of the accused is thereafter
the offense, and disclosed by him or appears in some other
6. Place where the offense was committed manner to the court, such name shall be
inserted in the complaint or information and
FORM REQUIRED FOR VALIDITY record [Sec. 7, Rule 110].
1. In writing
2. In the name of the People of the John Doe Informations
Philippines When the information does not sufficiently
3. Against all persons responsible for the describe the accused and all are described as
offense involved [Sec. 2, Rule 110] “John Does,” the arrest warrants against them
are void [Pangandaman v. Casar, G.R. No.
Test for sufficiency of the information 71782 (1988)].
Whether the crime is described in intelligible
terms with such particularity as to apprise the Mistake in the name of the accused
accused with reasonable certainty of the Mistake does not necessarily amount to a
offense charged [Lazarte v. Sandiganbayan, mistake in the identity of the accused
G.R. No. 180122 (2009)] especially when sufficient evidence is adduced
to show that the accused is pointed to as one
General Rule: A defective information cannot of the perpetrators of the crime [People v.
support a judgment of conviction. Amodia, G.R. No. 173791 (2009)].

Exception: Where the defect in the information Name of the offended party
was cured by evidence during the trial and no
objection appears to have been raised The complaint or information must state the
[Abunado v. People, G.R. No. 159218 (2004)] name and surname of the person against
whom or against whose property the offense
Waiver of objection to sufficiency was committed, or any appellation or nickname
General Rule: An accused is deemed to have by which such person has been or is known. If
waived his right to assail sufficiency of the there is no better way of identifying him, he
information when he voluntarily entered a plea must be described under a fictitious name.
during arraignment and participated in the trial 1. In crimes against property, if the name of
[Frias v. People, G.R. No. 171437 (2007)]. the offended party is unknown, the
property must be described with such
Objections relating to the form of the complaint particularity as to properly identify the
or information cannot be made for the first time offense charged.
on appeal. The accused should move for a bill 2. If the true name of the person against
of particulars or for quashal of information whom or against whose property the
before arraignment, otherwise he is deemed to offense was committed is thereafter
have waived his objections to such a defect disclosed or ascertained, the court must
[People v. Teodoro, G.R. No. 172372 (2009)]. cause such true name to be inserted in
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the complaint or information and the information with the averment of acts or
record. omissions constituting the offense and the
3. If the offended party is a juridical person, attendant qualifying and aggravating
it is sufficient to state its name, or any circumstances. If there is no designation of the
name or designation by which it is known offense, reference shall be made to the section
or may be identified, without need of or subsection of the statute punishing it [Sec.
averring that it is a juridical person [Sec. 8, Rule 110].
12, Rule 110].
Enough to describe with sufficient
2. Date of commission particularity
Specific acts of accused do not have to be
General Rule: It is not necessary to state the described in detail in the information, as it is
precise date the offense was committed. The enough that the offense be described with
offense may be alleged to have been sufficient particularity to make sure the
committed on a date as near as possible to accused fully understands what he is being
the actual date of the commission. charged with [Guy v. People, G.R. Nos.
166794-96 (2009)].
Exception: When it is an essential element of
the offense (e.g., abortion, bigamy) [Sec. 11, Allegations in the complaint prevail:
Rule 110] ● Over the designation of the offense:
The facts, acts or omissions alleged, and
Variance in alleged date from proven in trial not its title, determine the nature of the
General Rule: Allegation in an information of a crime. The designation is only the
date different from the one established during prosecutor’s conclusion [People v.
trial is not fatal to the prosecution. It is just Magdowa, G.R. No. L-48457 (1941)].
deemed supplanted by evidence presented ● Over reference to the section or
during trial or may even be corrected by a subsection of the statute punishing
formal amendment of the information. the crime: What is controlling and
determines the nature and character of
Exception: Fatal when discrepancy is so great the crime charged are the facts alleged
that it induces the perception that the in the information [Batulanon v. People,
information and the evidence are no longer G.R. No. 139857 (2006)].
pertaining to one and the same offense. The
defective allegation in the information is struck Conviction of a more serious crime than
down for violating the right of the accused to be alleged
informed [People v. Delfin, G.R. No. 201572 General Rule: Accused may be convicted of a
(2014)] crime more serious than that named in the title
if such crime is covered by the facts alleged in
3. Place of commission the body of the information and its commission
is established by evidence [Buhat v. CA, G.R.
General Rule: The complaint or information is No. 119601 (1996)].
sufficient if it can be understood from its
allegations that the offense was committed or Exception: Cannot be convicted under one act
some of its essential ingredients occurred at when he is charged with the violation of another
some place within the jurisdiction of the court. if the change:
● Involves change in the theory of the trial
Exception: If the particular place where it was ● Requires a different defense
committed constitutes an essential element of ● Surprises the accused in any way [US v.
the offense charged or is necessary for its Panlilio, G.R. No. L-9876 (1914)]
identification [Sec. 10, Rule 110]
Effect of failure to question defect
Failure to question the defect or the
F. Designation of Offense insufficiency of information filed against him
before he enters his plea or goes to trial
The designation of the offense given by the constitutes waiver of the constitutional right to
statute must be stated in the complaint or

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be informed of the nature and cause of charges Information pursuant to the prevailing
filed [People v. Solar, G.R. No. 225595 (2019)]. Rules in order to properly allege the
aggravating or qualifying circumstance
1. Any Information which alleges that a pursuant to this Decision.
qualifying or aggravating
circumstance is present, must state 5. For cases in which a judgment or
the ultimate facts relative to such decision has already been rendered by
circumstance. Otherwise, the the trial court and is still pending appeal,
Information may be subject to a the case shall be judged by the appellate
motion to quash under Section 3(e) court depending on whether the accused
(i.e., that it does not conform has already waived his right to question
substantially to the prescribed form), the defective statement of the
Rule 117 of the Revised Rules of aggravating or qualifying circumstance in
Criminal Procedure, or a motion for a the Information (i.e., whether he
bill of particulars under the previously filed either a motion to quash
parameters set by said Rules. under Section 3(e), Rule 117, or a motion
for a bill of particulars) pursuant to this
Failure of the accused to avail any of Decision.
the said remedies constitutes a
waiver of his right to question the An information which lacks certain
defective statement of the essential allegations may still sustain a
aggravating or qualifying conviction when an accused fails to
circumstance in the Information, and object against its insufficiency, and the
consequently, the same may be deficiency is cured by competent
appreciated against him if proven evidence [supra].
during trial.
G. Cause of the Accusation
Alternatively, prosecutors may
sufficiently aver the ultimate facts The acts or omissions complained of as
relative to a qualifying or aggravating constituting the offense and the qualifying and
circumstance by referencing the aggravating circumstances must be stated:
pertinent portions of the resolution 1. In ordinary and concise language; and
finding probable cause against the 2. Not necessarily in the language used in
accused, which resolution should be the statute; but
attached to the Information in 3. In terms sufficient to enable a person of
accordance with the second guideline common understanding to know what
below. offense is being charged, as well as its
qualifying and aggravating
2. Prosecutors must ensure compliance circumstances [Sec. 9, Rule 110]
with Section 8(a), Rule 112 of the
Revised Rules on Criminal Procedure Purpose of requiring allegation of every
that mandates the attachment to the element
Information the resolution finding 1. To enable the court to pronounce proper
probable cause against the accused. judgment
Trial courts must ensure that the 2. To furnish the accused with information
accused is furnished a copy of this as to enable him to make a defense
Decision prior to the arraignment. 3. As a protection against further
prosecution for the same cause
3. Cases which have attained finality prior
to the promulgation of this Decision will Failure to allege:
remain final by virtue of the principle of ● Any of the elements of the offense:
conclusiveness of judgment. Accused cannot be convicted of the
offense charged, even if the missing
4. For cases which are still pending before elements have been proven during trial.
the trial court, the prosecution, when still Even a plea of guilty will not cure such
able, may file a motion to amend the defect, nor justify conviction.
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● Qualifying and aggravating the same information or complaint [Loney v.
circumstances: They are not People, G.R. No. 152644 (2006)].
considered even if proven during trial
[Viray v. People, G.R. No. 205180 General Rule: A complaint or information must
(2013)] charge only one offense.
○ If aggravating circumstances were not
alleged, they can still be the basis for Exception: Multiple offenses may be charged
awarding exemplary damages under when the law prescribes a single punishment
Art. 2229 (by way of example or for various offenses [Sec. 13, Rule 110]:
correction for public good) [People v. 1. Complex crimes - E.g., Acts committed
Dalisay, G.R. No. 188106 (2009)] in furtherance of rebellion are crimes in
themselves but absorbed in the single
Note: The failure to allege such cannot be crime of rebellion [Enrile v. Salazar, G.R.
cured by an amendment of the information No. 92163 (1990)]
after the accused entered his plea [People v.
Antonio, G.R. No. 142727 (2002)]. Note: No more complexing of quasi-
offenses under Art. 365, RPC [Ivler v.
Rule on Negative Averments San Pedro, G.R. No. 172716 (2010)]
General Rule: Whenever an accused claims to 2. Special complex crimes
be within the statutory exception, it is more 3. Continuous crimes (Requisites:)
logical and convenient that he should aver and a. Plurality of acts performed
prove the fact than that the prosecutor should separately during a period of time
anticipate such defense, and deny it [Cabrera b. Unity of penal provisions violated
v. Marcelo, G.R. Nos. 157419-20 (2004)]. c. Unity of criminal intent [People v.
Ledesma, G.R. No. L-41522 (1976)]
Exception: Where the exemptions are so 4. Crimes susceptible of being committed
incorporated in the language defining the crime in various modes
that the ingredients of the offense cannot be a. The allegations in the information
accurately and clearly set forth if the exemption would be regarded as a description
were omitted, the indictment, to be sufficient, of only one offense and information
must show that the person charged does not is not rendered defective [Jurado v.
fall within the exemptions [People v. San Juan, Suy Yan, G.R. No. L-30714 (1971)]
G.R. No. L-22944 (1968)]. 5. Crimes of which another offense is an
ingredient
When habitual delinquency is alleged 6. When a single act violates different
The information must specify: statutes [Loney v. People, supra]
1. Date of the commission of the previous
crimes Remedy to duplicity of offense
2. The date of last conviction or release Accused must move for the quashal of the
[People v. Venus, G.R. No. 45141 information before arraignment [Sec. 1 and 3,
(1936)] Rule 117].

Where complex crime is charged Failure to file motion to quash

Allegations do not necessarily have to charge Accused is deemed to have waived the
a complex crime as defined by law. It is objection and may be convicted of as many
sufficient that the information contains offenses are charged and proved [Sec. 3, Rule
allegations which show that one offense was a 120]
necessary means to commit the other [People
v. Alagao, G.R. No. L-20721 (1966)]. I. Amendment or Substitution
of Complaint or Information
H. Duplicity of the Offense;
Exception Amendment
A change in either the form or substance of the
Duplicity of the offense is the joinder of two or same offense in the Information. It is not a new
more separate and distinct offenses in one and charge; it just supersedes the original

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Information but relates back to the date at made under two stage of the case is
which the original information was filed conditions: proscribed [People
[Teehankee, Jr. v. Madayag, G.R. No. 103102 1. With leave of v. Zulueta, G.R. No.
(1992)]. court; and L-4017 (1951)]
2. It does not since:
Not all defects in an information may be cured cause 1. It violates the
by an amendment. An Information which is void prejudice to right to be
ab initio cannot be amended to obviate a the rights of informed of
ground for quashal. An amendment which the accused the nature and
operates to vest jurisdiction is impermissible [Sec. 14, Rule cause of the
[Leviste v. Alameda, G.R. No. 182677 (2010)]. 110] accusation
during his plea
KINDS OF AMENDMENT [Buhat v.
Formal Amendment Substantial People, G.R.
Amendment No. 119601
(1996)]
Definition 2. It violates the
rule on double
This merely states This consists of the jeopardy.
with additional recital of facts
precision constituting the Exception:
something which is offense charged Amendment may be
already contained and determinative allowed if it is
in the original of the jurisdiction of beneficial to the
information, and the court accused [People v.
which, therefore [Teehankee, Jr. v. Janairo, G.R. No.
adds nothing Madayag, supra] 129254 (2007)].
essential for
conviction for the
crime charged Test Whether An Amendment Is Formal
[Gabionza v. CA, Whether or not a defense under the original
G.R. No. 140311 information would be equally available after the
(2001)] amendment and whether or not any evidence
the accused might have would be equally
When Amendment should be made applicable in one form as in the other [People
v. Degamo, G.R. No. 121211 (2003), citing
Before plea or arraignment Teehankee, Jr. v. Madayag, supra]

General Rule: Any formal or substantial SUBSTITUTION OF INFORMATION

amendment, made before the accused When it becomes manifest at any time before
enters his plea may be done without leave judgment that a mistake has been made in
of court [Sec. 14, Rule 110] charging the proper offense and the accused
cannot be convicted of the offense charged or
Exception: If the amendment downgrades any other offense necessarily included therein,
the nature of the offense charged in, or the accused shall not be discharged if there
excludes any accused from, the appears good cause to detain him. In such
complaint/information, it can be made only case, the court shall commit the accused to
1. Upon motion of the prosecutor answer for the proper offense and dismiss the
2. With notice to the offended party and original case upon the filing of the proper
3. With leave of court information [Sec. 19, Rule 119, ROC].
After plea and during trial Limitations of substitution
Amendment as to General Rule: 1. At any time before judgment [Sec. 14,
form can only be Amendment as to Rule 110]
substance at this 2. The accused cannot be convicted of the
offense charged or of any other offense
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necessarily included therein [Sec. 19, Double Can be Cannot be
Rule 119] jeopardy invoked only if invoked;
3. The accused would not be placed in as the new Substitution
double jeopardy [Sec. 14, Rule 110] Defense information is presupposes
a substantial that the new
Amendment and Substitution amendment information
Distinguished and it was involves a
Amendment Substitution done after the different
plea offense which
Applicabi- The same Involves does not
lity attempted, different include or is
frustrated, offense not included in
necessarily the original
includes or charge.
included
offense [Teehankee, Jr. v. Madayag, supra]
Scope Formal or Substantial Variance between Allegation and Proof
substantial changes
changes Variance Consequence

When the offense The accused will

proved is LESS than be convicted of
Necessity Amendment Must be with the offense charged the offense
of leave of before plea leave of court proved
court has been [Sec. 4, Rule
entered; Can 120]
be effected
without leave When the offense The accused will
of court proved is GREATER be convicted of
than the offense the offense
Necessity When Another PI is charged charged
of new PI amendment is entailed and [Sec. 4, Rule
and plea only as to accused has 120]
form, no need to plead anew
for another PI When the offense The case should
and retaking of proved is DIFFERENT be dismissed
plea and NOT and a new
NECESSARILY Information
Offense The amended Involves a INCLUDED/INCLUDES should be filed,
involved information different the offense charged charging the
refers to the offense which proper offense
same offense does not [Sec. 14, Rule
charged in the include those 110].
original provided in the
information or original
to an offense charge;
which is Cannot invoke
included in the double
original jeopardy
charge; Can
invoke double
jeopardy

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J. Venue of Criminal Actions Crime Venue

General Rule: Venue in criminal cases is Libel If one of the offended

jurisdictional. In all criminal prosecutions, the parties is a private
action must be instituted and tried in the courts individual:
of the municipality or territory where: 1. Where the libelous
1. The offense was committed, or article is printed and
2. Any of its essential ingredients occurred first published, or
[Sec. 15(a), Rule 110]. 2. Where said
individual actually
Exceptions: resides
Crime Venue
If one of the offended
Felonies Proper court where parties is a public
under Art. 2, criminal action was first official:
RPC filed [Sec. 15, Rule 110] 1. Where the official
holds office at the
Those In the court of any time of the
committed on municipality or territory commission of the
a railroad where such train, aircraft, offense
train, aircraft, or other vehicle passed 2. If the office is in
or any other during its trip, including Manila, then CFI
public or place of departure and Manila
private vehicle arrival [Sec. 15, Rule 110] 3. If the office is any
in the course other city or
of its trip province, then file
where he holds
Those In the proper court of the office
committed on first port of entry or of any 4. Where the libelous
board a vessel municipality or territory article is printed and
in the course through which such first published
of its voyage vessel passed during its
voyage, subject to the Cases filed May be filed in the place
generally accepted under B.P. 22 where the check was
principles of international dishonored or issued. In
law [Sec. 15, Rule 110] the case of a cross-
check, in the place of the
Piracy, which May be instituted depositary or collecting
has no anywhere [People v. Lol- bank [People v. Grospe,
territorial limits lo and Saraw, G.R. No. G.R. Nos. L-74053-54,
17958 (1922)] (1988)]

Illegal The victim has the option

recruitment to file the case in his place
cases (R.A. of residence or in the
8042 or place where the crime
Migrant was committed [Sto.
Workers Act) Tomas v. Salac, G.R. No.
152642 (2012)]

Violations of RTCs have jurisdiction

R.A. 10175 over any violation of the
(Cybercrime provisions of the Act,
Prevention including any violation
Act of 2012) committed by a Filipino

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Crime Venue Crime Venue

national regardless of the shall be based on the acts

place of commission alleged in the Information
[Sec. 21] to be constitutive of the
crime committed [Union
Bank v. People, G.R. No.
In exceptional SC has the power to 192565 (2012)].
circumstances order a change of venue
to ensure a or place of trial to avoid Perjury charges may lie in
fair trial and miscarriage of justice the place where the false
impartial [Sec. 5(4), Art. VII, statement is made, under
inquiry Constitution] Sec. 10(a), Rule 110 in
relation to Villanueva v.
Transitory or The courts of the
Secretary of Justice [Sy
continuing territories where the
Tiong Shiou v. Sy Chim,
offenses essential ingredients of
G.R. No. 174168 (2009)].
the crime took place have
concurrent jurisdiction.
The first court taking
cognizance of the case K. Intervention of Offended
will exclude the others Party
[People v. Grospe,
supra]. General Rule: An offended party has the right
to intervene in the prosecution of a crime,
False When the crime is where the civil action for recovery of civil
testimony and committed through false liability is instituted in the criminal action [Sec.
perjury testimony under oath in a 16, Rule 110].
proceeding that is neither
criminal nor civil, venue is Note: Regardless of the intervention, the
at the place where the prosecution of the case is still subject to the
testimony under oath is control of the prosecutor [Ricarze v. People,
given. G.R. No. 160451 (2007)].

If in lieu of or as Exceptions:
supplement to the actual a. Where, from the nature of the crime and the
testimony made in a law defining and punishing it, no civil
proceeding that is neither liability arises in favor of a private
criminal nor civil, a written offended party (e.g., treason, rebellion,
sworn statement is espionage and contempt) [Rodriguez v.
submitted, venue may Ponferrada, G.R. Nos. 155531-34 (2005)]
either be at the place b. Where, from the nature of the offense, the
where the sworn private offended party is entitled to civil
statement is submitted or indemnity arising therefrom but he has
where the oath was taken 1. Waived the same or
as the taking of the oath 2. Expressly reserved his right to
and the submission are institute a separate civil action or
both material ingredients 3. Already instituted such action
of the crime committed. [Rodriguez v. Ponferrada, supra]

In all cases,
determination of venue

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III. PROSECUTION OF CIVIL 2. Cases involving violation of
constitutional rights, defamation, fraud,
ACTION physical injuries, refusal, or failure to
A. Rule on Implied Institution of render aid or protection by the members
of the police or the prosecuting attorney,
Civil Action with Criminal quasi-delict [Sec. 3, Rule 111] [Arts. 32,
Action 33, 34, 35 and 2176, NCC]

General Rule: The civil action for the recovery Prohibition on double recovery
of civil liability arising from the offense charged In no case may the offended party recover
is deemed instituted with the criminal action damages TWICE for the same act or omission
[Sec. 3, Rule 111]. charged in the criminal action [Sec. 3, Rule
111].
Exception: When the offended party:
1. Waives the civil action; Note: The judgment of the court must state the
2. Reserves the right to institute it civil liability or damages to be recovered by the
separately before the prosecution offended party from the accused, if any,
presents its evidence; EXCEPT, when enforcement of civil liability by
3. Institutes the civil action prior to the a separate civil action has been reserved or
criminal action [Sec. 1, Rule 111]; waived [Sec. 2, Rule 120, ROC].
4. All civil actions based on Articles 32,
33, 34 and 2176 of the Civil Code are 2. Reservation of right to file civil
NOT "deemed instituted," and may be action
filed separately and prosecuted
independently even without any When reservation shall be made
reservation in the criminal action 1. Before the prosecution starts to present
[Casupanan v. Laroya, G.R. No. 145391, its evidence, and
(2002)] 2. Under circumstances affording the
offended party a reasonable opportunity
Civil liability of employer in a criminal to make such reservation [Sec. 1(2),
action Rule 111].
At most, the employer can only be held
subsidiarily liable for the delict committed by Note: Failure of the court to adjudge as to civil
his employee [Arts. 102, 103, RPC]. The liability amounts to the reservation of the right
employer cannot be held vicariously liable, to a separate civil action.
under Art. 2180, in the criminal action [Maniago
v. CA, G.R. No. 104392 (1996)]. Effect of reservation of right
The prescriptive period of the civil action that
B. When Civil Action May was reserved shall be tolled [Sec. 2, Rule 111].
Proceed Independently When reservation to file separately not
allowed
1. B.P. 22 cases [Sec. 1(b), Rule 111]
1. Independent civil actions
Note: Nothing in this rule prohibits the
Independent civil actions are those that are reservation of a separate civil action
separate and distinct from and shall proceed against the juridical person on whose
independently of the criminal action. Only a behalf the check was issued. What the
preponderance of evidence shall be required in rules prohibit is the reservation of a
such cases: [Sec. 3, Rule 111] separate civil action against the natural
1. When the accused in a criminal person violation B.P. Blg. 22, including
prosecution is acquitted on the ground such corporate officer who had signed the
that his guilt has not been proved beyond bounced check [Gosiaco v. Ching, G.R.
reasonable doubt, a civil action for No. 173807 (2009)].
damages for the same act or omission
may be instituted [Art. 29, NCC] While the issuance of a bouncing check
may result in two separate and distinct
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crimes of estafa and violation of B.P. 22, in the criminal action in the court trying the
prosecutions for estafa, the offended party criminal action, upon motion of the offended
may reserve the right to file a separate civil party. The evidence already adduced in the
action, but this is prohibited in claims civil action will be automatically reproduced in
arising from B.P. 22 [Heirs of Simon v. the criminal action [Sec. 2, Rule 111].
Chan, G.R. No. 157547 (2011)].
Note: There can also be no motu proprio
2. Cases cognizable by the Sandiganbayan consolidation. It must be upon motion of the
[Sec. 4, P.D. 1606, as amended by R.A. offended party.
10660]
3. Tax cases [Sec. 7(b)(1), R.A. 9282] When criminal action filed before
After the criminal action has been commenced,
Note: In such cases, only the civil liability the separate civil action arising therefrom
arising from the crime charged (cause of action cannot be instituted until final judgment has
arising from the delict) is deemed instituted been entered in the criminal action [Sec. 1,
[Sarmiento v. CA, G.R. No. 122502 (2002)]. Rule 111].

3. Separate action filed by the D. Effect of Death of the

accused Accused or Convicted On
No counterclaim, cross-claim or third-party Civil Action
complaint may be filed by the accused in the
criminal case, but any cause of action which Before Arraignment
could have been the subject thereof may be
litigated in a separate civil action [Sec. 1, Rule The criminal case shall be dismissed
111]. without prejudice to any civil action that the
offended party may file against the estate of
the deceased [Sec. 4, Rule 111].
C. When Separate Civil Action
Is Suspended After arraignment and during pendency
of the criminal action
When the civil action is filed before the
criminal action The civil liability is extinguished. But,
General Rule: If the civil action is instituted a. An independent civil action enforcing
before the institution of the criminal action, liabilities under Arts. 32, 33, 34, 35 and
2176 may be continued against the
such pending civil action, in whatever stage it
estate or legal representative of the
may be found, shall be suspended until final
accused, after proper substitution.
judgment of the criminal action has been b. If the civil action has been reserved
rendered [Sec. 1, Rule 111]. and subsequently filed, the civil action
shall proceed after substitution of
Exceptions: parties [Sec. 4, Rule 111].
1. In cases of independent civil actions
2. In cases where the civil action presents During appeal
a prejudicial question
3. Where the civil action is not one intended Civil and criminal liabilities are extinguished
to enforce the civil liability arising from [People v. Alison, G.R. No. L-30612 (1983)].
the offense
Note: Only civil liability ex delicto is
Note: Rules preclude a motu proprio extinguished. A separate civil action may be
suspension by the judge of the civil action; it instituted based on other sources of civil
liability [People v. Culas, G.R. No. 211166
must be by petition of the defendant [Yap v.
(2017)].
Paras, G.R. No. 101236 (1992)].
After judgment
Consolidation of civil with criminal action
Before judgment on the merits is rendered in
the civil action, such may be consolidated with
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The civil liability is not extinguished. Claims A petition for suspension of criminal
shall be filed against the estate of the action based upon the pendency of a
accused under Rule 86 of the ROC [Sec. 5, prejudicial question in a civil action is
Rule 86]. filed in either:
a. Office of the prosecutor (in the PI
stage);
E. Prejudicial Question b. Court conducting the PI; or
c. Court where criminal action has been
Definition filed for trial, at any time before the
prosecution rests [Sec. 6, Rule 111].
One which arises in a case, where the
resolution of which is a logical antecedent Rationale
of the issue involved therein and the
cognizance of which pertains to another To avoid two conflicting decisions in the
tribunal [People v. Consing, G.R. No. civil case and in the criminal case [Sy
148193 (2003)] Thiong Shiou v. Sy Chim, G.R. No.
174168 (2009)]
There is a prejudicial question only when
Example
the matter that has to be priorly decided
by another authority is one where the The nullity and forgery of the prior deed of
cognizance of which pertains to that sale is based on the very same facts
authority and should not, under the which would be necessarily determinative
circumstances, be passed upon by the of the accused’s guilt or innocence in the
court trying the criminal case [Rojas v. case for estafa. If the first alleged sale is
People, G.R. No. L-22237 (1974)] void or fictitious, then there would have
been no double sale and the accused
It is a question based on a fact distinct and would be declared innocent [Ras v. Rasul,
separate from the crime but so intimately supra]
connected with it that it determines the
guilt or innocence of the accused [Ras v.
Rasul, G.R. No. L-50411 (1980)]. Prejudicial question where administrative
and criminal cases, but no civil case,
involved
In San Miguel Properties, Inc. v. Perez [G.R.
Elements
No. 166836 (2013)] the SC held that the
a. The previously instituted civil action administrative case before the HLURB case
involves an issue similar or raises a prejudicial question that sufficed to
suspend the criminal proceedings since the
intimately related to the issue raised
in the subsequent criminal action. action before the HLURB was “civil in nature”
b. The resolution of such issue and could not be instituted elsewhere except in
the HLURB whose jurisdiction over the action
determines whether or not the
criminal action may proceed [Sec. 7, was exclusive and original.
Rule 111].
F. Rule on Filing Fees in Civil
Effect Action Deemed Instituted
Suspension of the criminal action [Sec. 6, With the Criminal Action
Rule 111]
General Rule:
It does not prescribe the dismissal of the a. Actual Damages - no filing fees required
criminal action [Yap v. Paras, G.R. No. b. Moral, exemplary, nominal, temperate
101236 (1992)]. damages:
1. If amount is specified in the
Where filed complaint/information, the
corresponding filing fees shall be paid

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by the offended party upon the filing
thereof in court.
2. If amount is not specified in the
complaint/information, the filing fees
shall constitute a first lien on the
judgment awarding such damages
[Sec. 1, Rule 111].

Exceptions:
a. Violations for B.P.22
1. The offended party shall pay in full the
filing fees based on the amount of the
check involved, which shall be
considered as the actual damages
claimed.
2. Where the complaint or information
also seeks to recover liquidated, moral,
nominal, temperate or exemplary
damages, the offended party shall pay
additional filing fees based on the
amounts alleged therein.
3. If the amounts are not so alleged but
any of these damages are
subsequently awarded by the court, the
filing fees based on the amount
awarded shall constitute a first lien on
the judgment [Sec. 1, Rule 111].
b. Estafa – offended party shall pay in full the
filing fees based on the amount involved
[See Sec. 20, Rule 141]

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IV. PRELIMINARY criminal, except when such prosecutor acted
with grave abuse of discretion amounting to
INVESTIGATION lack or excess of jurisdiction [Hegerty v. CA,
G.R. No. 154920 (2003)].
A. Nature of Right Statutory basis of the right to
Definition preliminary investigation
An inquiry or proceeding to determine This is NOT a constitutional right; rather, the
whether there is sufficient ground to right thereto is of statutory character and
engender a well-founded belief that a crime may be invoked only when specifically
has been committed and the respondent is created by statute. It is not a fundamental
probably guilty thereof, and should be held right and may be waived expressly or by
for trial [Sec. 1, Rule 112, as amended by silence [Marinas v. Siochi, G.R. No. L-25707
A.M. No. 05-8-26-SC] (1981)]
Nature
What it is What it is not Waiver of right
The right to PI is a personal right which the
1. Merely Not a trial of the case accused may waive either expressly or by
inquisitorial, on the merits and implication but at all times must be
and it is often does not place the unequivocal. The waiver, whether express or
the only persons against implied, must be in a clear and unequivocal
means of whom it is taken in manner [Larranaga v. CA, G.R. No. 130644
discovering jeopardy [Paderanga (1997)].
the persons v. Drilon, G.R. No.
who may 96080 (1991)] Mere failure of a defendant and/or his counsel
reasonably be to appear during PI cannot be construed as a
charged with a waiver [Larranaga v. CA, supra].
crime, to
enable the When the accused waives his right to PI, the
prosecutor to fiscal may forthwith file the corresponding
prepare his information with the proper court [People v.
complaint or Perez, G.R. No. L-15231 (1960)].
information
2. This is a An application for or admission to bail shall not
substantive bar the accused from assailing the regularity or
right. To deny questioning the absence of a PI of the charge
the accused’s against him provided that he raises the
claim to a PI challenge before entering his plea [Sec. 26,
would be to Rule 114].
deprive him of
the full When right deemed waived [W-FI-ANG]:
measure of 1. Express Waiver or by silence [Pilapil v.
his right to Sandiganbayan, G.R. No. 101978
due process (1993)]
[Duterte v. 2. Failure to Invoke it during arraignment
Sandiganbaya [People v. De Asis, G.R. No. 105581
n, G.R. No. (1994)]; and
130191 3. Consenting to be Arraigned and entering
(1998)] a plea of Not Guilty without invoking the
right to PI [People v. Bulosan, G.R. No.
Who determines probable cause L-58404 (1988)]
This is an executive function that the courts
cannot interfere with in the absence of grave The right cannot be raised for the first time on
abuse of discretion [Salapuddin v. Court of appeal [Pilapil v. Sandiganbayan, supra].
Appeals, G.R. No. 184681 (2013)]. A
prosecutor cannot then be compelled by
mandamus to file a case against an alleged
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When right not deemed waived Hearsay evidence is admissible during PI [De
1. Failure to appear before the prosecutor Lima v. Guerrero, G.R. No. 229781 (2017),
during the clarificatory hearing or when citing Estrada v. Ombudsman, supra].
summoned, when the right was invoked
at the start of the proceeding [Larranaga Who May Conduct Preliminary
v. CA, supra]; or Investigation
2. When the accused filed an application As Provided by the As Provided by
for bail and was arraigned over his Rules of Court Law
objection and the accused demanded 1. Provincial/city 1. COMELEC: over
that PI be conducted [Go v. CA, G.R. No. prosecutors and all election
101837 (1992)] their assistants offenses
2. National and punishable under
B. Purposes of Preliminary regional state the Omnibus
prosecutors Election Code.
Investigation 3. Other officers as [Sec. 2(6), Art. IX-
may be C, Constitution;
The following are the specific purposes of authorized by Sec. 265, B.P.
preliminary investigation [IPA]: law 881 (Omnibus
1. To Inquire concerning the commission of [Sec. 2, Rule 112, as Election Code),
a crime and the connection of the amended by A.M. as amended by
accused with it. This is so that: No. 05-8-26-SC] Sec. 43, R.A.
a. the accused may be informed of 9369]
the nature and character of the 2. Ombudsman:
crime charged against him, and, over cases public
b. if there is probable cause for officers and
believing him guilty, that the State employees [Sec.
may take the necessary steps to 15[1], R.A. 6770
bring him to trial; (Ombudsman Act
2. To Preserve the evidence and keep the of 1989)]
witnesses within the control of the State; 3. Presidential
and Commission on
3. To determine the Amount of bail, if the Good
offense is bailable [Callo-Claridad v. Governance with
Esteban, G.R. No. 191567 (2013)]. assistance of the
OSG: over cases
C. Who May Conduct investigated by it
Determination of Existence [E.O. 14, (1986)]
of Probable Cause
Probable cause
Probable cause pertains to facts and
circumstances sufficient to support a well-
founded belief that a crime has been
committed and the accused is probably guilty
thereof [Shu v. Dee, G.R. No. 182573 (2014)].

Quantum of Evidence
The quantum of evidence now required in PI is
such evidence sufficient to “engender a well-
founded belief” as to the fact of the commission
of a crime and the respondent's probable guilt
thereof. A PI is not the occasion for the full and
exhaustive display of the parties’ evidence
[Estrada v. Ombudsman, G.R. No. 212140
(2015)].

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JUDICIAL DETERMINATION v. EXECUTIVE Determination of Probable Cause made by
DETERMINATION OF PROBABLE CAUSE the Ombudsman
Executive Judicial The Ombudsman is authorized to conduct PI
Determination Determination and to prosecute all criminal cases involving
Ascertains To ascertain public officers and employees, not only those
whether a whether a within the jurisdiction of the Sandiganbayan,
criminal case warrant of but also those within the jurisdiction of regular
must be filed in arrest should courts as well [Uy v. Sandiganbayan, G.R.
court. The be issued Nos. 105965-70 (2001)].
public against the
prosecutor is accused [Sec. A person under PI by the Ombudsman is
given a broad 2, Art. III, entitled to file a motion for reconsideration of
discretion to Constitution]
the adverse resolution, under Sec. 7 of the
determine
Rules of Procedure of the Ombudsman. To
whether
Nature
probable cause
deny the accused of his right to file a motion for
exists and to reconsideration would also deprive him of his
charge those right to a full preliminary investigation [Sales v.
whom he Sandiganbayan, G.R. No. 143802 (2001)].
believes to
have Procedure for Preliminary Investigation
committed the Filing of the complaint, which
crime [People 1. Shall state the address of the respondent
2. Shall be accompanied by the affidavits of the
v. Borje, Jr.,
complainant and his witnesses, and other
G.R. No. supporting documents to establish probable
170046 (2014)] cause. The affidavits shall be subscribed and
Made by Prosecutor Judge sworn to before any prosecutor or
whom government official authorized to administer
Determination Determination oath or if absent or unavailable, before a
of PC to hold a of PC for the notary public, each of whom must certify that
person for trial arrest of the he personally examined the affiants and that
he is satisfied that they voluntarily executed
[Sec. 1, Rule accused
Purpose and understood their affidavits.
112, as [Baltazar v. 3. Shall be in such number of copies as there
amended by People, G.R. are respondents, plus 2 copies for the official
A.M. No. 05-8- No. 174016 file [Sec. 3(a), Rule 112, as amended by
26-SC] (2008)] A.M. No. 05-8-26-SC]
Sufficient Set of facts and ↓
ground to circumstances Action of the investigating officer
engender a which would 1. Within 10 days after the filing of the
well-founded lead a complaint, the investigating officer shall
belief that a reasonably either:
a. Dismiss the complaint, if he finds no
crime has been discreet and ground to continue the investigation; or
committed, and prudent man to b. Issue a subpoena to the respondent,
that the believe that the attaching the complaint and supporting
respondent is offense affidavits and documents [Sec. 3(b),
probably charged in the Rule 112, as amended by A.M. No. 05-
Standard guilty thereof Information or 8-26-SC].
and should be any offense
held for trial included Respondent has the right to examine the evidence
[Sec. 1, Rule therein has submitted by complainant which he may not have
furnished and to copy evidence at his expense [Sec.
112, as been 3(b), Rule 112, as amended by A.M. No. 05-8-26-
amended by committed by SC].
A.M. No. 05-8- the person ↓
26-SC] sought to be Respondent’s counter-affidavit
arrested It must be made within ten (10) days from receipt
[Baltazar v. of subpoena with the complaint and must comply
People, supra] with the same requirements as a complaint.
Respondent is not allowed to file a motion to dismiss

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in lieu of a counter-affidavit [Sec. 3(c), Rule 112, as D. Resolution of the
amended by A.M. No. 05-8-26-SC].
If the respondent cannot be subpoenaed, or if Investigating Prosecutor
subpoenaed, does not submit counter-affidavits
within the ten (10) day period, the investigating If he finds probable cause to hold respondent
officer shall resolve the complaint based on the
evidence presented by the complainant [Sec. 3(d),
for trial, he shall prepare the resolution and
Rule 112, as amended by A.M. No. 05-8-26-SC]. information and shall certify under oath in the
This situation would have the effect of an ex-parte information that [E-RG-I-CE]:
investigation [Riano 210, 2016 Ed.]. 1. He, or as shown by the record, an
↓ authorized officer has personally
Clarificatory hearing Examined the complainant and his
The investigating officer may set a hearing if there
witnesses;
are facts and issues to be clarified from a party or a
witness. The parties can be present at the hearing 2. There is Reasonable Ground to believe
but without the right to examine or cross-examine. that a crime has been committed and the
They may, however, submit to the investigating accused is probably guilty thereof;
officer questions which may be asked to the party or 3. The accused was Informed of the
witness concerned [Sec. 3(e), Rule 112, as complaint and of the evidence against
amended by A.M. No. 05-8-26-SC]. him; and
The hearing shall be held within 10 days from 4. He was given opportunity to submit
submission of the counter-affidavits and other Controverting Evidence.
documents or from the expiration of the period for
their submission. It shall be terminated within five If he finds no probable cause, he shall
(5) days [Sec. 3(e), Rule 112, as amended by A.M. recommend the dismissal of the complaint
No. 05-8-26-SC].
[Sec. 4, Rule 112, as amended by A.M. No. 05-
↓ 8-26-SC].
Determination
Within ten (10) days after the investigation, the
investigating officer shall determine whether or not Note: Notwithstanding the absence of a
there is sufficient ground to hold the respondent for certification as to the holding of a PI (not the
trial [Sec. 3(f), Rule 112, as amended by A.M. No. actual PI), the information is, nonetheless,
05-8-26-SC]. considered valid for the reason that such
certification is not an essential part of the
Note: Not receiving a copy of affidavits of a co- information itself and its absence cannot vitiate
respondent does not deny a respondent his it as such [Alvizo v. Sandiganbayan, G.R. No.
right to due process, since the Rules of 101689 (1993)].
Procedure of the Office of the Ombudsman
only require that a respondent be furnished a Effect of lack of prior written authority
copy of the complainant’s affidavit and other A handling prosecutor's lack of prior written
supporting documents. In addition, the authority or approval:
constitutional right of an accused to confront • Does not affect the trial court's
the witnesses against him does not apply to acquisition of jurisdiction;
preliminary investigation [Estrada v. • Does not affect jurisdiction over the
Ombudsman, G.R. Nos. 212140-41 (2015)]. subject matter of the case or the
accused; and
• May be waived by the accused [Gomez
v. People, G.R. No. 216824 (2020)].

Effect of infirmity regarding legal

representation
A procedural infirmity regarding legal
representation is only a defect which should
not result in the quashing of an Information.
The trial court does not have the power to
quash an Information without a motion by the
accused [supra].

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Appeal to Secretary of Justice E. Review
The resolution of the Chief State Prosecutor,
Regional State Prosecutor and Provincial/City Within five (5) days from the resolution, the
Prosecutors may be appealed before the investigating officer shall forward the case to the
Secretary of Justice within 15 days from receipt provincial/city/chief state prosecutor, or to the
of the resolution, or of the denial of the motion Ombudsman or his deputy in cases cognizable by
for reconsideration/reinvestigation. This is the Sandiganbayan in the exercise of its original
jurisdiction.
done through a verified petition for review ↓
[Secs. 2-4, DOJ Circular No. 70 (2000)]. Within ten (10) days from receipt of the resolution,
the Prosecutor/Ombudsman shall act on the
Unless the Secretary of Justice directs resolution and shall immediately inform the parties
otherwise, the appeal shall not hold the filing of of such action.
the corresponding information in court on the ↓
basis of the finding of probable cause in the No complaint/information may be filed or dismissed
by an investigating prosecutor without the prior
appealed resolution [Sec. 9, supra] written authority or approval of the
provincial/city/chief state prosecutor, or
The appellant and trial prosecutor shall see to Ombudsman or his deputy.
it that, pending resolution of the appeal, the
proceedings in court are held in abeyance Where the investigating prosecutor recommends
[supra]. the dismissal of the complaint but the
prosecutor/Ombudsman or his deputy disapproves
his recommendation, the latter, may by himself, file
General Rule: All petitions for review of the information or direct another assistant/state
resolutions of Provincial/City Prosecutors in prosecutor to do so without conducting a new PI.
cases cognizable by the MTC, MeTC, MCTC ↓
shall be filed with the Regional State If upon petition by a proper party under such rules
Prosecutor. as the Department of Justice may prescribe or motu
proprio, the Secretary of Justice reverses or
Exception: Cases in NCR. [DOJ Department modifies the resolution of the provincial or city
prosecutor or chief state prosecutor, he shall direct
Circular No. 70-A (2000)] the prosecutor concerned either to file the
corresponding information without conducting
The Secretary of Justice may review another preliminary investigation, or to dismiss or
resolutions of the Regional State Prosecutors move for dismissal of the complaint or information
in appealed cases [supra]. with notice to the parties. The same rule shall apply
in preliminary investigations conducted by the
officers of the Office of the Ombudsman.
Automatic Review of Dismissed Cases
[Sec. 4, Rule 112, as amended by A.M. No. 05-
Involving RA 9165
8-26-SC]
The dismissal of all cases filed for violation of
RA 9165 (Comprehensive Dangerous Drug Act
Remedies to review the resolution of the
of 2022) and involving the maximum penalty of
investigation officer
reclusion perpetua or life imprisonment, shall
1. Filing an appeal with the investigating
be subject to automatic review by the Secretary
officer.
of Justice.
Note: The appeal does not prevent the filing of
the corresponding information in court based
Electronic Filing of Petitions for Review
on the finding of probable cause in the
Petitions for Review filed before the Office of
appealed resolution, unless the Secretary of
the Secretary and the Offices of Regional
Justice directs otherwise, but the appellant and
Prosecutors pursuant to Dept. Circulars Nos.
the prosecutor shall see to it that, pending
70 and 70-A may be filed electronically by filing
resolution of the appeal, the proceedings in
a CD containing a PDF file of the Petition for
court are held in abeyance [Section 9, DOJ
Review and all its attachments, along with a
Circular No. 70 (2000)].
declaration of completeness [DOJ Department
Circular No. 18 (2017)].
2. Petition for review to the SOJ, who may
review the resolutions of his
subordinates in criminal cases despite
the information being filed in court
[Community Rural Bank of Guimba v.
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Talavera, A.M. No. RTJ-05-1909 (2005); personally evaluate the resolution of the
See also DOJ Circ. No. 70]. prosecutor and its supporting evidence.
2. He may immediately dismiss the case if
Note: The party filing a petition for review is the evidence on record clearly fails to
allowed to file a motion for the suspension of establish probable cause.
the arraignment [Sec. 11(c), Rule 116]. 3. If he finds probable cause, he shall
issue a warrant of arrest or a
3. If the SOJ decision is adverse to the commitment order when the complaint or
appealing party, such decision is information was filed pursuant to Sec. 7
appealable administratively before the of Rule 112, as amended by A.M. No. 05-
Office of the President and the decision 8-26-SC.
of the latter may be appealed before the 4. In case of doubt on the existence of
CA pursuant to Rule 43 [De Ocampo v. probable cause, the judge may order the
Sec. of Justice, G.R. No. 147932 prosecutor to present additional
(2006)]. evidence within 5 days from notice and
the issue must be resolved by the court
Note: Under Memorandum Circular No. 58 within 30 days from the filing of the
(2003), no appeals from or petitions for review complaint or information [Sec. 5(a), Rule
of decisions/orders/resolutions of the Secretary 112, as amended by A.M. No. 05-8-26-
of Justice on preliminary investigations shall be SC].
entertained by the Office of the President,
except those involving offenses punishable by When warrant of arrest shall not issue
reclusion perpetua to death [Angeles v. Gaite, A warrant of arrest shall not issue if the
G.R. No. 176596 (2011)]. accused is already under detention pursuant to
a warrant issued by the municipal trial court or
4. The resolution of the Secretary of Justice if the complaint or information was filed
may also be reviewed by the Court of pursuant to Sec. 6, Rule 112 (When accused
Appeals through a petition for certiorari lawfully arrested without warrant) or is for an
under Rule 65 of the Rules of Court, offense penalized by fine only. The court shall
solely on the ground that the SOJ then proceed in the exercise of its original
committed grave abuse of discretion jurisdiction [Sec. 5(c), Rule 112, as amended
amounting to lack of jurisdiction by A.M. No. 05-8-26-SC].
[Argovan v. San Miguel Corporation,
G.R. No. 188767 (2013)]. G. Cases Not Requiring
5. In criminal cases, the ruling of the Preliminary Investigation
Ombudsman shall be elevated to the nor Covered By the Rule on
Supreme Court by way of Rule 65, solely Summary Procedure
under the ground of grave abuse of
discretion [Villanueva v. Ople, G.R. No. If the complaint is filed directly with the
165125 (2005)]. prosecutor involving an offense punishable by
an imprisonment of less than 4 years, 2
F. When Warrant of Arrest May months and 1 day, the procedure outlined in
Issue Sec. 3(a), Rule 112, as amended by A.M. No.
05-8-26-SC shall be observed. The prosecutor
The PI conducted by the judge which is shall act on the complaint based on the
properly called preliminary examination is for affidavits and other supporting documents
the determination of probable cause for the submitted by the complainant within ten (10)
issuance of warrant of arrest [P/Supt. Cruz v. days from its filing [Sec. 8(a), Rule 112, as
Judge Areola, A.M. No. RTJ-01-1642 (2002)]. amended by A.M. No. 05-8-26-SC].

When the RTC/MTC may issue a Warrant of Sec. 3(a), Rule 112, as amended by A.M. No.
Arrest 05-8-26-SC states that:
1. Within 10 days from the filing of the 1. The complaint shall state the address of
complaint or information, the judge shall the respondent and shall be
accompanied by affidavits of the
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complainant and his witnesses, as well H. Remedies of Accused If
as other supporting documents to
establish probable cause. There Was No Preliminary
2. They shall be in such number of copies Investigation
as there are respondents, plus 2 copies
for the official file. The affidavits shall be Effect of denial of right
subscribed and sworn to before any The absence of a PI does not impair the validity
prosecutor or government official of an information or render it defective. Neither
authorized to administer oath, or, in their does it affect the jurisdiction of the court or
absence or unavailability, before a constitute a ground for quashing the
notary public, each of whom must certify information [Villaflor v. Vivar, G.R. No. 134744
that he personally examined the affiants (2001)].
and that he is satisfied that they
voluntarily executed and understood Remedies of the accused if there was no PI
their affidavits. 1. Call the attention of the court to the
deprivation of the required PI before
If the complaint or information is filed with entering his plea [Larranaga v. CA. G.R.
the MTC/MCTC for an offense covered by No. 130644 (1998)]
this section 2. After the filing of the
1. The procedure in Sec. 3(a) quoted above complaint/information in court without a
shall be observed. PI, the accused may within 5 days from
2. If within 10 days after the filing of the the time he learns of its filing, ask for a PI
complaint of information, the judge finds with the same right to adduce evidence
no probable cause after personally in his defense as provided in Rule 112
evaluating the evidence, or after [Sec. 6, Rule 112, as amended by A.M.
personally examining in writing and No. 05-8-26-SC]
under oath the complainant and his 3. File a certiorari, if refused and such
witnesses in the form of searching refusal is tainted with grave abuse of
questions and answers, he shall dismiss discretion [Riano 186, 2016 Ed.]
the same.
3. He may, however, require the The trial court, instead of dismissing the
submission of additional evidence, within information, should hold in abeyance the
10 days from notice, to determine further proceedings and order the public prosecutor to
the existence of probable cause. conduct a PI [Villaflor v. Vivar, supra].
4. If the judge still finds no probable cause
despite the additional evidence, he shall, The right cannot be raised for the first time on
within 10 days from its submission or appeal [Pilapil v. Sandiganbayan, G.R. No.
expiration of said period, dismiss the 101978 (1993)].
case.
5. When he finds probable cause, he shall Restraining preliminary investigation
issue a warrant of arrest, or a General Rule: The power of the Fiscal to
commitment order if the accused had investigate crimes committed within his
already been arrested, and hold him for jurisdiction will, ordinarily, not be restrained.
trial.
6. However, if the judge is satisfied that Exceptions: Extreme cases may exist where
there is no necessity for placing the relief in equity may be availed of to stop a
accused under custody, he may issue purported enforcement of a criminal law where
summons instead of a warrant of arrest it is necessary:
[Sec. 8(b), Rule 112, as amended by 1. For the orderly administration of justice;
A.M. No. 05-8-26-SC]. 2. To prevent the use of the strong arm of
the law in an oppressive and vindictive
manner;
3. To avoid multiplicity of actions;
4. Since there is a prejudicial question
which is sub judice;

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5. When the acts of the officer are without presence of his
or in excess of authority; counsel;
6. Since double jeopardy is clearly 2. he may apply
apparent; for bail;
7. When the court has no jurisdiction over 3. the
the offense; investigation
8. When the case is one of persecution must be
rather than prosecution; terminated
9. When the charges are manifestly false within 15 days
and motivated by the lust for vengeance; from its
10. When there is clearly no prima facie inception
case against the accused and a motion [Sec. 6, Rule 112, as amended by A.M. No. 05-
to quash on that ground has been 8-26-SC]
denied;
11. To afford adequate protection to Procedure
constitutional rights [Hernandez v. An inquest is considered commenced upon
Albano, G.R. No. L-19272 (1967)]; receipt by the Inquest officer from the law
12. In proper cases, because the statute enforcement authorities of the
relied upon is unconstitutional, or was complaint/referral documents which should
“held invalid” [Ladlad v. Velasco, G.R. include:
Nos. 172070-72 (2007)]. 1. Affidavit of arrest, investigation report,
statement of the complainant and
I. Inquest witnesses, all of which must be
subscribed and sworn to before him;
Inquest 2. Other supporting evidence gathered by
An informal and summary investigation the police in the course of the latter's
conducted by a public prosecutor in criminal investigation of the criminal incident
cases involving persons arrested and detained involving the arrested or detained person
without the benefit of a warrant of arrest issued [Sec. 3, DOJ Circ. No. 61 (1993)].
by the court for the purpose of determining
whether said persons should remain under The inquest proceedings must be terminated
custody and correspondingly be charged in within the period prescribed under the
court [Leviste v. Alameda, G.R. No. 182677 provisions of Art. 125, RPC [Sec. 3, DOJ Circ.
(2010), citing Sec. 1, DOJ Circ. No. 61 (1993)]. No. 61 (1993)].

In the absence of an inquest prosecutor, the Crime or offense Period to deliver

offended party or peace officer may directly file punishable by: person arrested to
the complaint in court [Sec. 6, Rule 112, as proper judicial
amended by A.M. No. 05-8-26-SC]. authorities:
Light penalties or 12 hours
Remedy of a person arrested without a their equivalent
warrant Correctional 18 hours
After the filing of penalties or their
Before the equivalent
the complaint but
complaint or Afflictive or capital 36 hours
before
information is filed penalties or their
arraignment
The accused may ask The accused may equivalent
for PI. ask for PI within 5
days after he learns
Requisites: of the filing of the
1. he must sign a complaint or
waiver of the information
provisions of
Art. 125 of
RPC, in the

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confer privately with the person arrested,
V. ARREST detained or under custodial investigation. If
such person cannot afford the services of
A. Arrest, How Made his own counsel, he must be provided with
a competent and independent counsel by
Definition the investigating officer.
Arrest is the taking of a person into custody in
order that he may be bound to answer for the c. The custodial investigation report shall be
commission of an offense [Sec. 1, Rule 113]. reduced to writing by the investigating
officer, provided that before such report is
How made signed, or thumbmarked if the person
1. by actual restraint of a person to be arrested or detained does not know how to
arrested; read and write, it shall be read and
2. by his submission to the custody of the adequately explained to him by his counsel
person making the arrest [Sec. 2, 1st par., or by the assisting counsel provided by the
Rule 113] investigating officer in the language or
dialect known to such arrested or detained
Application of actual force, manual touching of person, otherwise, such investigation
the body, physical restraint or a formal report shall be null and void and of no
declaration of arrest is not required. It is enough effect whatsoever.
that there be an intent on the part of one of the
parties to arrest the other and an intent on the part d. Any extrajudicial confession made by a
of the other to submit, under the belief and person arrested, detained or under
impression that submission is necessary custodial investigation shall be in writing
[Sanchez v. Demetriou, G.R. Nos. 111771-77 and signed by such person in the presence
(1993)]. of his counsel or in the latter's absence,
upon a valid waiver, and in the presence of
No violence or unnecessary force shall be used any of the parents, elder brothers and
in making an arrest [Sec. 2, 2nd par., Rule 113]. sisters, his spouse, the municipal mayor,
the municipal judge, district school
An arrest may be made on any day and at any supervisor, or priest or minister of the
time of the day or night [Sec. 6, Rule 113]. gospel as chosen by him; otherwise, such
extrajudicial confession shall be
B. Arrest without Warrant, inadmissible as evidence in any
proceeding.
When Lawful
e. Any waiver by a person arrested or
General Rule: No peace officer or person has the detained under the provisions of Article
power or authority to arrest anyone without a 125 of the Revised Penal Code, or under
warrant except in those cases expressly custodial investigation, shall be in writing
authorized by law [Umil v. Ramos, G.R. No. and signed by such person in the presence
81567 (1991)]. of his counsel; otherwise, the waiver shall
be null and void and of no effect.
1. Rights of Persons Arrested, Detained or
Under Custodial Investigation f. Any person arrested or detained or under
custodial investigation shall be allowed
a. Any person arrested, detained or under visits by or conferences with any member
custodial investigation shall at all times be of his immediate family, or any medical
assisted by counsel. doctor or priest or religious minister chosen
by him or by any member of his immediate
b. Any public officer or employee, or anyone family or by his counsel, or by any national
acting under his order or his place, who non-governmental organization duly
arrests, detains or investigates any person accredited by the Commission on Human
for the commission of an offense shall Rights or by any international non-
inform the latter, in a language known to governmental organization duly accredited
and understood by him, of his rights to by the Office of the President. The person's
remain silent and to have competent and "immediate family" shall include his or her
independent counsel, preferably of his own spouse, fiancé or fiancée, parent or child,
choice, who shall at all times be allowed to brother or sister, grandparent or
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grandchild, uncle or aunt, nephew or niece, the court where the case is pending
and guardian or ward [R.A. 7438]. [Sec. 23, Rule 114]

2. DOJ Circular 61 Note: A legitimate warrantless arrest necessarily

When a person is lawfully arrested without a includes the authority to validly search and seize
warrant involving an offense which requires a from the offender (1) dangerous weapons, and
preliminary investigation, the complaint or (2) those that may be used as proof of the
information may be filed by a prosecutor without commission of an offense [People v. Montilla,
need of such investigation provided an inquest G.R. No. 123872 (1998)].
has been conducted in accordance with existing
rules. In the absence or unavailability of an
inquest prosecutor, the complaint may be filed by
the offended party or by a peace officer directly
with the proper court on the basis of the affidavit
of the offended party or arresting officer or
person.

Before the complaint or information is filed, the

person arrested may ask for a preliminary
investigation in accordance with this Rule, but he
must sign a waiver of the provisions of Article 125
of the RPC, as amended, in the presence of his
counsel. Notwithstanding the waiver, he may
apply for bail and the investigation must be
terminated within 15 days from its inception.

After the filing of the complaint or information in

court without a preliminary investigation, the
accused may within 5 days from the time he
learns of its filing, ask for a preliminary
investigation with the same right to adduce
evidence in his defense as provided in this Rule
[Sec. 6, DOJ Circular 61].

Exceptions:
1. In flagrante delicto [Sec. 5(a), Rule 113]
2. Hot pursuit arrest [Sec. 5(b), Rule 113]
3. Arrest of escaped prisoner [Sec. 5(c), Rule
113]
4. Other lawful warrantless arrests
a. If a person lawfully arrested escapes
or is rescued, any person may
immediately pursue or retake him
without a warrant at any time and in
any place within the Philippines [Sec.
13, Rule 113]
b. For the purpose of surrendering the
accused, the bondsmen may arrest
him or, upon written authority
endorsed on a certified copy of the
undertaking, cause him to be arrested
by a police officer or any other person
of suitable age and discretion [Sec.
23, Rule 114]
c. An accused released on bail may be
re-arrested without the necessity of a
warrant if he attempts to depart from
the Philippines without permission of

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In flagrante delicto arrest Hot pursuit arrest Arrest of escaped

prisoner

A peace officer or a private A peace officer or a private A peace officer or a private

person may, without person may, without person may, without
warrant, arrest a person warrant, arrest a person warrant, arrest a person
when, in his presence, the when an offense has just when the person to be
person to be arrested: been committed and the arrested is a prisoner who
1. Has committed, officer or private person has has escaped
2. Is actually probable cause to believe, 1. From a penal
committing, or based on personal establishment or
3. Is attempting to knowledge of facts or place where he is
commit an offense circumstances that the serving final
Definition
[Sec. 5(a), Rule 113]. person to be arrested has judgment or
committed it [Sec. 5(b), Rule temporarily confined
113] while his case is
pending; or
2. While being
transferred from one
confinement to
another [Sec. 5(c),
Rule 113].

Escapee may be
immediately pursued or re-
arrested without a warrant
at any time and in any
place within the Philippines
[Sec. 13, Rule 113].

[OA-PVAO] [C-PK] N/A

1. The person to be 1. An offense has just
arrested must been Committed.
execute an Overt a. There must be a
Act indicating that large measure of
he has just immediacy
committed, is between the time
actually committing, the offense was
or is attempting to committed and
commit a crime, the time of the
Requisites and arrest. If there
2. Such overt act is was an
done in the appreciable lapse
Presence or within of time between
the View of the the arrest and the
Arresting Officer commission of
[Zalameda v. the crime, a
People, G.R. No. warrant of arrest
183656 (2009); must be secured
People v. Laguio, [People v. del
G.R. No. 128587 Rosario, G.R. No.
(2007)]. 127755 (1999);
People v. Agojo,
G.R. No. 181318
(2009)]; and
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“In his presence” 2. The person making
means: the arrest has
1. He sees the offense, probable cause to
even though at a believe, based on
distance, or Personal Knowledge
2. He hears the of facts and
disturbances created circumstances, that
by the offense and the person to be
proceeds at once to arrested has
the scene [People v. committed it.
Evaristo, G.R. No.
93828 (1992)].

“Reliable information” Personal knowledge Rationale

alone, absent any overt does not require actual At the time of arrest, the
act indicative of a presence at the scene escapee is in continuous
felonious enterprise in the while a crime was being commission of a crime
Notes presence and within the committed; it is enough (i.e., evasion of service of
view of the arresting that evidence of the recent sentence) [Parulan v.
officers, are not sufficient commission of the crime is Director of Prisons, G.R.
to constitute probable patent and the police No. L-28519 (1968)].
cause that would justify an officer has probable cause
in flagrante delicto arrest to believe based on
[People v. Molina, G.R. personal knowledge of
No. 133917 (2001)]. facts or circumstances,
that the person to be
arrested has recently
committed the crime
[Pestilos v. Generoso,
G.R. No. 182601 (2014)].

Where a warrantless arrest is made under the RULES ON ILLEGALITY OF ARREST

in flagrante and hot pursuit exceptions, the Effect
person arrested without a warrant shall be The legality of the arrest affects only the
forthwith delivered to the nearest police station jurisdiction of the court over the person of the
or jail and shall be proceeded against in accused [People v. Nuevas, G.R. No. 170233
accordance with Sec. 7 of Rule 112 [Sec. 5, (2007)].
2nd par., Rule 113].
Waiver
General Rule: PI is required to be conducted Any objection involving the arrest or the
before a complaint/information is filed for an procedure in the court’s acquisition of
offense where the penalty prescribed by law is jurisdiction over the person of an accused must
at least 4 years, 2 months and 1 day, without be made before he enters his plea;
regard to the fine [Sec. 1, Rule 112, as otherwise, the objection is deemed waived.
amended by A.M. No. 05-8-26-SC]. Accordingly, an application for or admission
to bail shall not bar the accused from
Exception: When a person is lawfully arrested challenging the validity of his arrest or the
without a warrant involving an offense that legality of the warrant issued, provided that it
requires a PI, a complaint/information may be was raised before he enters his plea [Sec. 26,
filed without conducting the PI if the necessary Rule 114].
inquest is conducted.
A waiver of the right to question an illegal
warrantless arrest does not also mean a waiver
of the inadmissibility of evidence seized during

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an illegal warrantless arrest [People v. Nuevas, People, G.R. No. 180693 (2009); People
supra]. v. Alunday, G.R. No. 181546 (2008)]
2. By the filing of an information in court and
When invalid arrest is cured the subsequent issuance by the judge of
1. When the accused voluntarily submits to a warrant of arrest [Sanchez v.
the jurisdiction of the trial court [Dolera v. Demetriou, G.R. Nos. 111771-77 (1993)]

C. Method of Arrest
By Officer without By Private Person
By officer with Warrant
Warrant (Citizen’s Arrest)
1. Execute the warrant General Rule: The 1. The private person
within 10 days from its officer shall inform the shall inform the
receipt. In case of his person to be arrested of: person to be
failure to execute the 1. His authority; and arrested of the
warrant, the head of the 2. The cause of the intention to arrest
office to whom the arrest. him and the cause
warrant was issued of the arrest
shall state the reasons Exceptions: except in the same
therefor [Sec. 4, Rule 1. When the person cases as those for
113]. to be arrested is arrest by an officer
2. General Rule: The engaged in the without a warrant
officer shall inform the commission of the [Sec. 9, Rule 113].
person to be arrested of offense; 2. The private person
the cause of the arrest 2. When he is must deliver the
and the fact that a pursued arrested person to
warrant has been immediately after the nearest police
issued for his arrest. its commission; station or jail, and
3. When he has he shall be
Exception: This does not escaped, flees or proceeded against
apply: forcibly resists in accordance with
1. When the person to be before the officer Sec. 7, Rule 112
Duties of
arrested flees; has the [Sec. 5, Rule 113].
the
2. When he forcibly resists opportunity to so Otherwise, the
Arresting
before the officer has inform him; or private person may
Person
opportunity to so inform 4. When the giving of be held liable for
him; such information illegal detention
3. When the giving of will imperil the [Art. 125, RPC].
such information will arrest [Sec. 8,
imperil the arrest [Sec. Rule 113].
7, Rule 113]
4. The officer need not
have the warrant in his
possession at the time
of the arrest but after
the arrest, if the person
arrested so requires,
the warrant shall be
shown to him as soon
as practicable [Sec. 7,
Rule 113].
5. Arrest the accused and
deliver him to the
nearest police station or
jail without unnecessary
delay [Sec. 3, Rule 113]

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By Officer without By Private Person
By officer with Warrant
Warrant (Citizen’s Arrest)
6. No violence or
unnecessary force shall
be used in making an
arrest. The person
arrested shall not be
subject to a greater
restraint than is
necessary for his
detention [Sec. 2, 2nd
par., Rule 113].
1. To orally summon as many persons as he deems N/A
necessary to assist him in effecting the arrest [Sec.
10, Rule 113]
2. To break into any building or enclosure when the
following concur:
a. The person to be arrested is or is reasonably
believed to be in said building;
Rights of
b. He has announced his authority and purpose of
the
entering therein; and
arresting
c. He has requested and been denied admittance
Officer
[Sec. 11, Rule 113]
3. To break out from the building/enclosure when
necessary to liberate himself [Sec. 12, Rule 113];
4. To search the person arrested for dangerous
weapons or anything which may have been used
or constitute proof in the commission of an offense
without a warrant [Sec. 13, Rule 126]

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D. Requisites of a Valid Warrant the accused under custody, he may issue
summons instead of a warrant of arrest [Sec.
of Arrest 8(b), Rule 112, as amended by A.M. No. 05-8-
26-SC].
Essential requisites
The warrant must:
1. Be issued upon probable cause E. Determination of Probable
determined personally by the judge Cause For Issuance of
after examination under oath or Warrant of Arrest
affirmation of the complainant and the
witnesses he may produce; and Probable cause, in connection with the
2. Particularly describe the person to be issuance of a warrant of arrest, assumes the
arrested [Sec. 2, Art. III, Constitution] existence of facts and circumstances that
would lead a reasonably discreet and prudent
When Issued man to believe that a crime has been
A judge issues a warrant of arrest upon the committed and that it was likely committed by
filing of the information by the public prosecutor the person sought to be arrested [People v.
and after personal evaluation by the judge of Tan, G.R. No. 182310 (2009); See D.3, supra].
the prosecutor’s resolution and supporting
evidence [Sec. 5(a), Rule 112, as amended by
A.M. No. 05-8-26-SC] F. Seizure of Minors
1. Any person alleging the age of the child
The judge does not have to personally examine in conflict with the law has the burden of
the complainant and his witnesses. proving the age of such child [Sec. 6,
Established doctrine provides that it is Rule on Juveniles in Conflict with the
sufficient for the fiscal to provide supporting Law].
documents regarding the existence of probable 2. A child fifteen years of age or under at
cause: the time of the commission of the offense
1. If the judge finds probable cause, he shall be exempt from criminal liability.
shall issue a warrant of arrest, or However, the child shall be subjected to
2. If he finds no probable cause, he may an intervention program as provided for
disregard the fiscal’s report and require in R.A. 9344 when consented to by the
the submission of supporting affidavits of child and the parents.
witnesses [People v. Gray, G.R. No. Exemption from criminal liability does
180109 (2010); AAA v. Carbonell, G.R. not include exemption from civil
No. 171465 (2007)] liability which shall be enforced in
accordance with the provisions of Art.
When warrant of arrest is not necessary 221 of the Family Code in relation to
A warrant of arrest shall not issue Art. 101 of the RPC and Rule 111 of
1. if the accused is already under detention the Revised Rules of Criminal
pursuant to a warrant issued by the Procedure. If the act or omission of
municipal trial court in accordance with the child involves a quasi-delict,
Sec. 5(b) of Rule 112; or Article 2180 of the Civil Code shall
2. if the complaint or information apply [Sec. 7, Rule on Juveniles in
a. was filed pursuant to Sec. 6 of Rule Conflict with the Law].
112 or
3. Rule on Commitment of Children
b. is for an offense penalized by fine a. "Commitment" or "surrender of a child"
only [Sec. 5(c), Rule 112, as is the legal act of entrusting a child to
amended by A.M. No. 05-8-26-SC] the care of the Department or any duly
licensed child-placement or child-caring
Note: If the complaint or information is filed with agency or individual by the court, parent
the MTC judge, and the judge finds probable or guardian or any interested party
cause, he shall issue a warrant of arrest, or a [Sec. 2(m), A.M. No. 02-1-19-SC (Rule
commitment order if the accused had already on Commitment of Children)].
been arrested. However, if the judge is b. Petition for involuntary commitment of a
satisfied that there is no necessity for placing child may be filed by the Secretary of

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the Department or his authorized person of his/her age. In particular, a
representative or any duly licensed child deprived of liberty shall be
child-placement or child-caring agency separated from adult offenders at all
[Sec. 4(a), Rule on Commitment of times. No child shall be detained
together with adult offenders. He/She
Children].
shall be conveyed separately to or
c. The parent or guardian of a dependent, from court. He/She shall await hearing
abandoned or neglected child may of his/her own case in a separate
voluntarily commit him to the holding area. A child in conflict with
Department or any duly licensed child- the law shall have the right to maintain
placement or child-caring agency or contact with his/her family through
individual subject to the rules of the correspondence and visits, save in
Department. However, no child shall be exceptional circumstances;
committed unless he is surrendered in (e) the right to prompt access to legal and
other appropriate assistance, as well
writing by his parents or guardian
as the right to challenge the legality of
stating such voluntary commitment and the deprivation of his/her liberty before
specifically naming the office, agency, a court or other competent,
or individual to whose custody the child independent and impartial authority,
is to be committed. Such written and to a prompt decision on such
instrument should be notarized and action;
signed in the presence of an authorized (f) the right to bail and recognizance, in
representative of the Department after appropriate cases;
counseling and other services have (g) the right to testify as a witness in
his/her own behalf under the rule on
been made available to encourage the
examination of a child witness;
child's parents to keep the child [Sec. 5, (h) the right to have his/her privacy
Rule on Commitment of Children]. respected fully at all stages of the
d. Where a child appears to be mentally proceedings;
retarded, physically handicapped, (i) the right to diversion if he/she is
emotionally disturbed, mentally ill, with qualified and voluntarily avails of the
cerebral palsy or with similar afflictions same;
and needs institutional care but his (j) the right to be imposed a judgment in
parents or guardians are opposed proportion to the gravity of the offense
where his/her best interest, the rights
thereto, the Department, or any duly
of the victim and the needs of society
licensed child-placement or child-caring are all taken into consideration by the
agency or individual may file a verified court, under the principle of restorative
petition for commitment of the said child justice;
to any reputable institution providing (k) the right to have restrictions on his/her
care, training and rehabilitation for personal liberty limited to the
disabled children [Sec. 6(a), Rule on minimum, and where discretion is
Commitment of Children]. given by law to the judge to determine
whether to impose fine or
imprisonment, the imposition of fines
4. Juvenile Justice and Welfare Act of 2006
being preferred as the more
Section 5. Rights of the Child in Conflict with the
appropriate penalty;
Law. — Every child in conflict with the law shall have
(l) in general, the right to automatic
the following rights, including but not limited to:
suspension of sentence;
(a) the right not to be subjected to torture
(m) the right to probation as an alternative
or other cruel, inhuman or degrading,
to imprisonment, if qualified under the
treatment or punishment;
Probation Law;
(b) the right not to be imposed a sentence
(n) the right to be free from liability for
of capital punishment or life
perjury, concealment or
imprisonment, without the possibility
misrepresentation; and
of release;
(o) other rights as provided for under
(c) the right not to be deprived, unlawfully
existing laws, rules and regulations.
or arbitrarily, or his/her liberty;
detention or imprisonment being a
The State further adopts the provisions of the United
disposition of last resort, and which
Nations Standard Minimum Rules for the
shall be for the shortest appropriate
Administration of Juvenile Justice or "Beijing Rules",
period of time;
United Nations Guidelines for the Prevention of
(d) the right to be treated with humanity
Juvenile Delinquency or the "Riyadh Guidelines",
and respect for the inherent dignity of
and the United Nations Rules for the Protection of
the person, and in a manner which
Juveniles Deprived of Liberty
takes into account the needs of a
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[Sec. 5, Juvenile Justice and Welfare Act of 2006, immediately undertaken to provide the
Republic Act No. 9344] same;

SECTION 21. Procedure for Taking the Child into (k) Ensure that should detention of the
Custody. — From the moment a child is taken into child in conflict with the law be necessary,
custody, the law enforcement officer shall: the child shall be secured in quarters
(a) Explain to the child in simple language separate from that of the opposite sex and
and in a dialect that he/she can understand adult offenders;
why he/she is being placed under custody
and the offense that he/she allegedly (l) Record the following in the initial
committed; investigation:

(b) Inform the child of the reason for such (1) Whether handcuffs or other instruments
custody and advise the child of his/her of restraint were used, and if so, the reason
constitutional rights in a language or for such;
dialect understood by him/her; cdphil
(2) That the parents or guardian of a child,
(c) Properly identify himself/herself and the DSWD, and the PAO have been duly
present proper identification to the child; informed of the apprehension and the
details thereof; and
(d) Refrain from using vulgar or profane
words and from sexually harassing or (3) The exhaustion of measures to
abusing, or making sexual advances on determine the age of a child and the
the child in conflict with the law; precise details of the physical and medical
examination or the failure to submit a child
(e) Avoid displaying or using any firearm, to such examination; and
weapon, handcuffs or another instruments
of force or restraint, unless absolutely (m) Ensure that all statements signed by
necessary and only after all other methods the child during investigation shall be
of control have been exhausted and have witnessed by the child's parents or
failed; guardian, social worker, or legal counsel in
attendance who shall affix his/her
(f) Refrain from subjecting the child in signature to the said statement.
conflict with the law to greater restraint
than is necessary for his/her A child in conflict with the law shall only be searched
apprehension; by a law enforcement officer of the same gender and
shall not be locked up in a detention cell.
(g) Avoid violence or unnecessary force;
SECTION 22. Duties During Initial Investigation. —
(h) Determine the age of the child pursuant The law enforcement officer shall, in his/her
to Section 7 of this Act; investigation, determine where the case involving
the child in conflict with the law should be referred.
(i) Immediately but not later than eight (8)
hours after apprehension, turn over The taking of the statement of the child shall be
custody of the child to the Social Welfare conducted in the presence of the following: (1)
and Development Office or other child's counsel of choice or in the absence thereof,
accredited NGOs, and notify the child's a lawyer from the Public Attorney's Office; (2) the
parents/guardians and Public Attorneys' child's parents, guardian, or nearest relative, as the
Office of the child's apprehension. The case may be; and (3) the local social welfare and
social welfare and development officer development officer. In the absence of the child's
shall explain to the child and the child's parents, guardian, or nearest relative, and the local
parents/guardians the consequences of social welfare and development officer, the
the child's act with a view towards investigation shall be conducted in the presence of
counseling and rehabilitation, diversion a representative of an NGO, religious group, or
from the criminal justice system, and member of the BCPC.
reparation, if appropriate;
After the initial investigation, the local social worker
(j) Take the child immediately to the proper conducting the same may do either of the following:
medical and health officer for a thorough
physical and mental examination. The (a) Proceed in accordance with Section 20 if the
examination results shall be kept child is fifteen (15) years or below or above fifteen
confidential unless otherwise ordered by (15) but below eighteen (18) years old, who acted
the Family Court. Whenever the medical without discernment; and
treatment is required, steps shall be

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(b) If the child is above fifteen (15) years old below forty-five (45) days. The period of prescription of the
eighteen (18) and who acted with discernment, offense shall be suspended until the completion of
proceed to diversion under the following chapter. the diversion proceedings but not to exceed forty-
five (45) days.
SECTION 23. System of Diversion. — Children in
conflict with the law shall undergo diversion The child shall present himself/herself to the
programs without undergoing court proceedings competent authorities that imposed the diversion
subject to the conditions herein provided: program at least once a month for reporting and
evaluation of the effectiveness of the program.
(a) Where the imposable penalty for the crime
committed is not more than six (6) years Failure to comply with the terms and conditions of
imprisonment, the law enforcement officer or the contract of diversion, as certified by the local
Punong Barangay with the assistance of the local social welfare and development officer, shall give
social welfare and development officer or other the offended party the option to institute the
members of the LCPC shall conduct mediation, appropriate legal action.
family conferencing and conciliation and, where
appropriate, adopt indigenous modes of conflict The period of prescription of the offense shall be
resolution in accordance with the best interest of the suspended during the effectivity of the diversion
child with a view to accomplishing the objectives of program, but not exceeding a period of two (2)
restorative justice and the formulation of a diversion years. SACTIH
program. The child and his/her family shall be
present in these activities. SECTION 27. Duty of the Punong Barangay When
(b) In victimless crimes where the imposable penalty There is No Diversion. — If the offense does not fall
is not more than six (6) years imprisonment, the under Section 23(a) and (b), or if the child, his/her
local social welfare and development officer shall parents or guardian does not consent to a diversion,
meet with the child and his/her parents or guardians the Punong Barangay handling the case shall,
for the development of the appropriate diversion and within three (3) days from determination of the
rehabilitation program, in coordination with the absence of jurisdiction over the case or termination
BCPC; of the diversion proceedings, as the case may be,
forward the records of the case of the child to the
(c) Where the imposable penalty for the crime law enforcement officer, prosecutor or the
committed exceeds six (6) years imprisonment, appropriate court, as the case may be. Upon the
diversion measures may be resorted to only by the issuance of the corresponding document, certifying
court. to the fact that no agreement has been reached by
the parties, the case shall be filed according to the
SECTION 24. Stages Where Diversion May be regular process.
Conducted. — Diversion may be conducted at the
Katarungang Pambarangay, the police investigation SECTION 28. Duty of the Law Enforcement Officer
or the inquest or preliminary investigation stage and When There is No Diversion. — If the offense does
at all levels and phases of the proceedings including not fall under Section 23(a) and (b), or if the child,
judicial level. his/her parents or guardian does not consent to a
diversion, the Women and Children Protection Desk
SECTION 25. Conferencing, Mediation and of the PNP, or other law enforcement officer
Conciliation. — A child in conflict with the law may handling the case shall, within three (3) days from
undergo conferencing, mediation or conciliation determination of the absence of jurisdiction over the
outside the criminal justice system or prior to his case or termination of diversion proceedings,
entry into said system. A contract of diversion may forward the records of the case of the child under
be entered into during such conferencing, mediation custody, to the prosecutor of judge concerned for
or conciliation proceedings. the conduct of inquest and/or preliminary
investigation to determine whether or not the child
SECTION 26. Contract of Diversion. — If during the should remain under custody and correspondingly
conferencing, mediation or conciliation, the child charged in court. The document transmitting said
voluntarily admits the commission of the act, a records shall display the word "CHILD" in bold
diversion program shall be developed when letters.
appropriate and desirable as determined under
Section 30. Such admission shall not be used SECTION 29. Factors in Determining Diversion
against the child in any subsequent judicial, quasi- Program. — In determining whether diversion is
judicial or administrative proceedings. The diversion appropriate and desirable, the following factors shall
program shall be effective and binding if accepted be taken into consideration:
by the parties concerned. The acceptance shall be (a) The nature and circumstances of the offense
in writing and signed by the parties concerned and charged;
the appropriate authorities. The local social welfare (b) The frequency and the severity of the act;
and development officer shall supervise the (c) The circumstances of the child (e.g. age,
implementation of the diversion program. The maturity, intelligence, etc.);
diversion proceedings shall be completed within

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(d) The influence of the family and environment on (8) Participation in available community-based
the growth of the child; programs, including community service; or
(e) The reparation of injury to the victim;
(f) The weight of the evidence against the child; (9) Participation in education, vocation and life skills
(g) The safety of the community; and programs.
(h) The best interest of the child.
(b) At the level of the law enforcement officer and
SECTION 30. Formulation of the Diversion the prosecutor:
Program. — In formulating a diversion program, the
individual characteristics and the peculiar (1) Diversion programs specified under paragraphs
circumstances of the child in conflict with the law (a)(1) to (a)(9) herein; and
shall be used to formulate an individualized
treatment. (2) Confiscation and forfeiture of the proceeds or
instruments of the crime;
The following factors shall be considered in
formulating a diversion program for the child: (c) At the level of the appropriate court:

(a) The child's feelings of remorse for the offense (1) Diversion programs specified under paragraphs
he/she committed; (a) and (b) above;

(b) The parents' or legal guardians' ability to guide (2) Written or oral reprimand or citation;
and supervise the child;
(3) Fine;
(c) The victim's view about the propriety of the
measures to be imposed; and (4) Payment of the cost of the proceedings; or

(d) The availability of community-based programs (5) Institutional care and custody
for rehabilitation and reintegration of the child.
SECTION 58. Offenses Not Applicable to Children.
SECTION 31. Kinds of Diversion Programs. — The — Persons below eighteen (18) years of age shall
diversion program shall include adequate socio- be exempt from prosecution for the crime of
cultural and psychological responses and services vagrancy and prostitution under Section 202 of the
for the child. At the different stages where diversion Revised Penal Code, of mendicancy under
may be resorted to, the following diversion Presidential Decree No. 1563, and sniffing of rugby
programs may be agreed upon, such as, but not under Presidential Decree No. 1619, such
limited to: prosecution being inconsistent with the United
Nations Convention on the Rights of the Child:
(a) At the level of the Punong Barangay: Provided, That said persons shall undergo
appropriate counseling and treatment program.|||
(1) Restitution of property; (Juvenile Justice and Welfare Act of 2006, Republic
Act No. 9344, [April 28, 2006])
(2) Reparation of the damage caused;
SECTION 60. Prohibition Against Labeling and
(3) Indemnification for consequential damages; Shaming. — In the conduct of the proceedings
beginning from the initial contact with the child, the
(4) Written or oral apology; competent authorities must refrain from branding or
labeling children as young criminals, juvenile
(5) Care, guidance and supervision orders; delinquents, prostitutes or attaching to them in any
manner any other derogatory names. Likewise, no
(6) Counseling for the child in conflict with the law discriminatory, remarks and practices shall be
and the child's family; allowed particularly with respect to the child's class
or ethnic origin.
(7) Attendance in trainings, seminars and lectures
on: SECTION 61. Other Prohibited Acts. — The
following and any other similar acts shall be
(i) anger management skills; considered prejudicial and detrimental to the
psychological, emotional, social, spiritual, moral and
(ii) problem solving and/or conflict resolution skills; physical health and well-being of the child in conflict
with the law and therefore, prohibited:
(iii) values formation; and
(a) Employment of threats of whatever kind and
(iv) other skills which will aid the child in dealing with nature;
situations which can lead to repetition of the offense;

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(b) Employment of abusive, coercive and punitive
measures such as cursing, beating, stripping, and
solitary confinement;

(c) Employment of degrading, inhuman and cruel

forms of punishment such as shaving the heads,
pouring irritating, corrosive or harmful substances
over the body of the child in conflict with the law, or
forcing him/her to walk around the community
wearing signs which embarrass, humiliate, and
degrade his/her personality and dignity; and

(d) Compelling the child to perform involuntary

servitude in any and all forms under any and all
instances.
[Juvenile Justice and Welfare Act of 2006, Republic Act
No. 9344]

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VI. BAIL B. When a Matter of Right;
Exceptions
A. Nature
Definition Bail is a matter of right
Bail is the security given for the release of a 1. Before or after conviction, but pending
person in custody of the law, furnished by him appeal, by the first-level courts;
or a bondsman, to guarantee his appearance 2. Before conviction by RTC of an offense
before any court as required under the not punishable by death, reclusion
conditions hereinafter specified [Sec. 1, Rule perpetua, or life imprisonment [Sec. 4,
114] Rule 114]

Purpose Bail as a Matter of Right. — All children in

1. To relieve an accused from conflict with the law shall be admitted to bail as
imprisonment until his conviction and yet a matter of right before final conviction of an
secure his appearance at the trial offense not punishable by reclusion perpetua
[People v. Hon. Donato, G.R. No. 79269 or life imprisonment [Rule on Juveniles in
(1991) & Enrile v. Sandiganbayan, G.R. Conflict with the Law, Sec. 27, A.M. No. 02-1-
No. 213847 (2015)] 18-SC (2009)]
2. To honor the presumption of innocence
until his guilt is proven beyond When Bail Not a Matter of Right. — No child
reasonable doubt [Sec. 14, Art. III, charged with an offense punishable by
Constitution]; and reclusion perpetua or life imprisonment shall be
3. To enable him to prepare his defense admitted to bail when evidence of guilt is
without being subject to punishment prior strong. In this case, the court shall commit the
to conviction [Cortes v. Judge Catral, child to a youth detention home or youth
A.M. No. RTJ-97-1387 (1997)] rehabilitation center, or in the absence thereof,
to the care of a provincial, city or municipal jail
A person is allowed to petition for bail as soon as provided for in Section 27 of this Rule, which
as he is deprived of his liberty by virtue of his shall be responsible for the appearance of the
arrest or voluntary surrender. An accused need child in court whenever required [Rule on
not wait for his arraignment before filing a Juveniles in Conflict with the Law, Sec. 28,
petition for bail [Serapio v. Sandiganbayan, A.M. No. 02-1-18-SC (2009)].
G.R. No. 148468 (2003)].
Exceptions
1. The primary purpose of granting bail was
Requirement of custody
to ensure that the petitioner would appear
General Rule: Custody of the law is required
during trial and submit themselves to the
before the court can act on an application for jurisdiction of the proper court without
bail [Miranda v. Tuliao, G.R. No. 158763 denying them of their pre-trial liberty [Enrile
(2006)]. v. Sandiganbayan, supra]
2. It is not necessary to wait for the trial to
Exceptions: Custody is not required in cases finish before consideration of application
of witnesses posting bail: for bail can be had, because there may be
1. When bail is required to guarantee the circumstances decisive of the issue of bail
appearance of a material witness [Sec. — whose existence is either admitted by
14, Rule 119]; the Prosecution, or is properly the subject
2. When bail is required to guarantee the of judicial notice, which the courts can
appearance of a prosecution witness in already consider in resolving the
cases where there is substitution of the application for bail without awaiting the trial
information [Sec. 14, Rule 110] to finish.

Forms of Bail In the case at hand, factors such as

1. Corporate surety Enrile’s health, advanced age, social
2. Property bond standing, length of public service were
3. Cash deposit considered [Enrile v. Sandiganbayan,
supra]
4. Recognizance
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3. As a rule, all persons charged with a Exception: Only upon clear and convincing
criminal offense have the right to bail. evidence:
However, persons charged with an 1. That once granted, the applicant will not
offense punishable by reclusion be flight risk or will not pose danger to the
perpetua cannot avail of this right if the community; and
evidence of guilt is strong [Recto v. 2. That there exists special humanitarian
People (J. Caguioa), G.R. No. 236461 and compelling circumstances [Govt. of
(2018)] USA v. Purganan and Jimenez, supra]

Bail on offenses where minors are accused Exception to the exception: When the
For purposes of recommending the amount of accused is a minor, he is entitled to bail
bail, the privileged mitigating circumstance of regardless of whether the evidence of guilt is
minority shall be considered [Sec. 34, R.A. strong.
9344].
Note: Bail is a matter of discretion in extradition
Where a child is detained, the court shall order proceedings [Govt. of HK Special
1. the release of the minor on recognizance Administrative Region v. Olalia, G.R. No.
to his/her parents and other suitable 153675 (2007)]
person;
2. the release of the child in conflict with the When not available
law on bail; or Right to bail is not available:
3. the transfer of the minor to a youth 1. After a judgment of conviction has
detention home/youth rehabilitation become final; if he applied for probation
center before finality, he may be allowed
temporary liberty under his bail;
Exception: When the offense involved is a 2. After the accused has commenced to
capital offense, admission to bail may only be serve his sentence [Sec. 24, Rule 114];
denied when evidence of guilt is strong [Sec. 5, 3. To military personnel accused under
Rule 114] general courts martial [Comendador v.
De Villa, G.R. No. 93177 (1991)]
Capital offense
A capital offense is an offense which under the
law existing at the time of commission and of
the application for admission to bail is
punishable by death [Sec. 6, Rule 114]

The capital nature of the offense is determined

by the penalty prescribed by law and not the
one actually imposed [Riano, 335, 2016 Ed.,
citing Bravo v. De Borja, G.R. No. L-65228
(1985)]

Note: R.A. 9346 (An Act Prohibiting the

Imposition of Death Penalty in the Philippines)
enacted on June 24, 2006 (which repealed
R.A. 8177 and R.A. 7659) prohibited the
imposition of the death penalty.

Generally not applicable to extradition

proceedings
General Rule: Right to bail is available only in
criminal proceedings and does not apply to
extradition proceedings because extradition
courts do not render judgments of conviction or
acquittal [Govt. of USA v. Purganan and
Jimenez, G.R. No. 148571 (2002)]
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C. When a Matter of Discretion Note: In Enrile v. People [G.R. No. 213847
(2015)], the Court ruled that an accused should
Upon conviction by the RTC of an offense not be granted bail if it is shown that: (1) the
punishable by death, reclusion perpetua, or life detainee will not be a flight risk or a danger to
imprisonment, admission to bail is the community; and (2) there exist special,
discretionary [Sec. 5, Rule 114] humanitarian, and compelling circumstances.
The SC further explained that bail for the
The application for bail may be filed in and provisional liberty of the accused, regardless of
acted upon by the RTC despite the filing of the crime charged, should be allowed
notice of appeal, provided that it has not independently of the merits charged, provided
transmitted the original record to the appellate his continued incarceration is injurious to his
court [Sec. 5, Rule 114]. health and endanger his life.

If the RTC decision changed the nature of the

offense from non-bailable to bailable, the
application for bail can only be filed with and
resolved only by the appellate court [Sec. 5,
Rule 114].

If the conviction by the trial court is for a capital

offense, the accused convicted of a capital
offense is no longer entitled to bail, and can
only be released when the conviction is
reversed by the appellate court [Sec. 13, Article
III, Constitution].

If the penalty imposed by the trial court is

imprisonment exceeding 6 years, the accused
shall be denied bail or his bail shall be
cancelled upon showing by the prosecution,
with notice to the accused, of any of the
following [Sec. 5, Rule 114]:
1. Recidivism, quasi-recidivism, or habitual
delinquency or commission of a crime
aggravated by reiteration of the accused;
2. The accused previously escaped from
legal confinement, evaded sentence or
violated bail conditions without valid
justification;
3. Commission of offense while under
probation, parole or conditional pardon;
4. Probability of flight;
5. Undue risk of the commission of another
crime during the pendency of the appeal
[Sec. 5, Rule 114]

Upon conviction of the RTC, the bail posted

earlier as a matter of right loses its force and
the accused must file a new and separate
petition for bail.

In deportation proceedings, bail is

discretionary upon the Commissioner of
Immigration and Deportation [Harvey v.
Defensor-Santiago, G.R. No. 82544 (1990)].

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When a Matter of Discretion

COURT Before After Conviction Where to File

Conviction Pending Action

MTC (before the

MTC Right Right records are elevated;
else, RTC)
Discretionary if the penalty
imposed by the trial court
does not exceed 6 years.
However, if the penalty RTC (before the
imposed exceeds 6 years or records are elevated;
Non-capital Right
if the prosecution proves that except if offense is
RTC the circumstances downgraded, then CA
enumerated in Sec. 5, Rule
114 exist, bail will be denied
or cancelled.
Discretionary,
Capital when evidence of Cannot be granted bail N/A
guilt is not strong

D. Hearing of Application for 3. Decide whether the guilt of the accused

is strong based on the summary of
Bail in Capital Offenses evidence of the prosecution
4. If the guilt of the accused is not strong,
In general discharge the accused upon the
At the hearing of an application for bail filed by approval of the bail bond [Sec. 19, Rule
a person in custody for the commission of an 114]. Otherwise, the petition should be
offense punishable by reclusion perpetua or life denied [Gacal v. Infante, A.M. No. RTJ-
imprisonment, the prosecution has the 04-1845 (2011)].
burden of showing that evidence of guilt is
strong [Sec. 8, Rule 114]. Note: Evidence presented during the bail
hearing are automatically reproduced at the
Evidence of guilt in the Constitution and the trial, but upon motion of either party, the court
Rules refers to a finding of innocence or may recall any witness for additional
culpability, regardless of the modifying examination unless the latter is dead, outside
circumstances [Bravo v. De Borja, G.R. No. L- the Philippines, or otherwise unable to testify
65228 (1985)]. [Sec. 8, Rule 114].
Duties of judge hearing the petition for bail Where application for bail is filed
when capital offenses are involved General Rule: The application may be filed
1. In all cases whether bail is a matter of with the court where the case is pending.
right or discretion, notify the prosecutor
of the hearing of the application for bail Exceptions:
or require him to submit his 1. If the judge of the court where the case
recommendation [Sec. 18, Rule 114] is pending is absent or unavailable, the
2. Where bail is a matter of discretion, application may be filed with any
conduct a hearing of the application for RTC/MTC/MeTC/MCTC judge in the
bail regardless of whether or not the province, city or municipality;
prosecution refuses to present evidence 2. Where the accused is arrested in a
to show that the guilt of the accused is province, city, or municipality other than
strong for the purpose of enabling the where the case is pending, the
court to exercise its sound discretion application may be filed with any RTC of
[Sec. 7-8, Rule 114]
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the said place, or, if no judge is available, circumstances in relation to the factors
then with any MeTC/MTC/MCTC judge enumerated under Section 9 of Rule 114
in the said place; [Tanog v. Balindong, G.R. No. 187464 (2015)].
3. When a person is in custody but not yet
charged, he may apply with any court in F. When Bail Not Required
the province or city/municipality where
he is held [Sec. 17, Rule 114, as When bail is not required
amended by A.M. No. 05-8-26-SC]. 1. When a person has been in custody for
a period equal to or more than the
Note: Where the grant of bail is a matter of possible maximum imprisonment of the
discretion, or the accused seeks to be released offense charged
on recognizance, the application may only be 2. If the maximum penalty is destierro, he
filed in the court where the case is pending, on shall be released after 30 days of
trial, or appeal [Sec. 17, Rule 114, as amended preventive imprisonment [Sec. 16, Rule
by A.M. No. 05-8-26-SC]. 114].
3. In cases where a person is charged with
When bail is filed with a court other than where violation of a municipal/city ordinance, a
the case is pending, the judge who accepted light felony and/or criminal offense, the
the bail shall forward it, together with the order penalty of which is not higher than 6
of release and other supporting papers, to the months imprisonment and/or a fine of
court where the case is pending, which may, P2,000, or both, where it is established
for good reason, require a different one to be that he is unable to post the required
filed [Sec. 19, Rule 114]. cash or bail bond [Sec. 1, R.A. 6036].
Note: The title of R.A. 6036 reads
E. Guidelines in Fixing Amount “arresto mayor” instead of “6 months”.
of Bail
When bail is nonetheless required
The considerations are primarily, but not 1. When accused was caught committing
limited to the following factors: the offense in flagrante;
1. Financial ability of the accused 2. When accused confesses to the
2. Nature and circumstances of the offense commission of the offense unless he
3. Penalty for the offense charged later repudiates the same in a sworn
4. Character and reputation of the accused statement or in open court as having
5. Age and health of the accused been extracted through force or
6. Weight of the evidence against the intimidation;
accused 3. When accused is found to have
7. Probability of the accused appearing at previously escaped legal confinement,
the trial evaded sentence, or jumped bail;
8. Forfeiture of other bail 4. When accused is found to have violated
9. Fact that accused was a fugitive from Section 2, R.A. 6036, which provides
justice when arrested that the violation of the accused of the
10. Pendency of other cases where the sworn statement (required instead of
accused is on bail [Sec. 9, Rule 114] bail) binding himself, pending final
decision of his case, to report to the Clerk
The amount should be high enough to assure of the Court hearing his case periodically
the presence of the accused when required but every two weeks shall justify the court to
no higher than is reasonably calculated to fulfill order his immediate arrest, if the failure
this purpose [Yap, Jr. v. CA, G.R. No. 141529 of the accused to report is not justified;
(2001)]. 5. When accused is a recidivist or habitual
delinquent or has been previously
The DOJ Bail Bond Guide - while persuasive convicted for an offense to which the
and merits attention - is not binding on the law/ordinance attaches an equal/greater
courts. In fixing the amount of bail, the judge is penalty or for two/more offenses to which
given the discretion to set an amount which he it attaches a lighter penalty;
or she perceives as appropriate under given

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6. When accused committed the offense H. Forfeiture and Cancellation
while on parole or under conditional
pardon; of Bail
7. When accused has previously been
pardoned for violation of municipal/city Forfeiture of bail
ordinance for at least two times [Sec. 1, When the presence of the accused out on bail
R.A. 6036]. is required by court or Rules of Court and he
failed to appear, his bail shall be declared
forfeited and the bondsmen are given 30 days
G. Increase or Reduction of within which to:
Bail 1. Produce their principal;
2. Show cause why no judgment should be
After the accused is admitted to bail, the court rendered against them for the amount of
may, upon good cause, increase or decrease their bail;
the amount [Sec. 20, Rule 114]. 3. Produce the body of their principal or
give the reason for his non-production;
Increased bail and
The accused may be committed to custody if 4. Explain why the accused did not appear
he does not give bail in the increased amount before the court when first required to do
within a reasonable period [Sec. 20, Rule 114]. so [Sec. 21, Rule 114].

Reduced bail Failing in items (3) and (4) above, a judgment

A person in custody for a period equal to or shall be rendered against the bondsmen, jointly
more than the minimum of the principal penalty and severally, for the amount of the bail. The
prescribed for the offense charged may be court shall not reduce or otherwise mitigate the
released on a reduced bond [Sec. 16, Rule liability of the bondsmen, unless the accused
114]. has been surrendered or is acquitted [Sec. 21,
Rule 114].
While Rule 114 of the Rules of Court allows a
judge to grant bail in bailable offenses and to For the purpose of surrendering the accused,
increase or decrease bail, it assumes that the the bondsmen may arrest him or, upon written
judge has jurisdiction over the case. In this authority endorsed on a certified copy of the
case, the respondent judge conducted the undertaking, cause him to be arrested by a
preliminary investigation without authority and police officer or any other person of suitable
issued the warrant of arrest. Thus, these acts, age and discretion [Sec. 23, Rule 114].
including the reduction of bail, are void for want
of jurisdiction [Conquilla v. Bernardo, A.M. No. CANCELLATION OF BAIL
MTJ-09-1737 (2011)].
Application by bondsmen
Upon application of the bondsmen with due
notice to the prosecutor, bail may be cancelled
upon:
a. Surrender of the accused; or
b. Proof of his death [Sec. 22(1), Rule 114].

In order to cancel a bail on the ground of

surrender, the surrender must be voluntary
[Esteban v. Alhambra, G.R. No. 135012
(2004)].

Automatic cancellation
1. Upon acquittal of the accused,
2. Upon dismissal of the case, or
3. Upon execution of judgment of
conviction [Sec. 22, Rule 114]

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Judgment against the bondsmen cannot be
entered unless such judgment is preceded by
the order of forfeiture and an opportunity given
to the bondsman to produce the accused or to
adduce satisfactory reason for their inability to
do so [Mendoza v. Alarma, G.R. No. 151970
(2008)].

I. Application not a Bar to

Objections on Illegal Arrest,
Lack of or Irregular
Preliminary Investigation
An application or an admission to bail shall not
bar the accused from challenging or
questioning the:
1. Validity of his arrest,
2. Legality of the arrest warrant,
3. Regularity of PI, or
4. Absence of PI

Provided, that the accused raises them before

entering his plea.

The court shall resolve the objections as early

as practicable but not later than the start of the
trial of the case [Sec. 26, Rule 114].

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(d) After the pre-trial conference, the court shall set
VII. RIGHT TO SPEEDY the trial of the case in the pre-trial order not later
TRIAL, TRAVEL, AND than thirty (30) days from the termination of the pre-
trial conference; and
REMEDIES AGAINST
(e) The court shall terminate the regular trial within
WRONGFUL OR one hundred eighty (180) days, or the trial by judicial
affidavits within sixty (60) days, reckoned from the
UNLAWFUL DETENTION date trial begins, minus the excluded delays or
postponements specified in Rule 119 of the Rules of
Court and the Speedy Trial Act of 1998.
A. Right to a speedy trial
Time Limit for Trial SECTION 9. Dismissal on Ground of Denial of the
In criminal cases involving persons charged of Right to Speedy Trial. — The case against the
a crime, except those subject to the Rules on detained accused may be dismissed on ground of
Summary Procedure, or where the penalty denial of the right to speedy trial in the event of
prescribed by law does not exceed six (6) failure to observe the above time limits.
months imprisonment, or a fine of One SECTION 10. Provisional Dismissal. — (a) When
thousand pesos (P1,000.00) or both, the delays are due to the absence of an essential
irrespective of other imposable penalties, the witness whose whereabouts are unknown or cannot
justice or judge shall, after consultation with the be determined and, therefore, are subject to
public prosecutor and the counsel for the exclusion in determining compliance with the
accused, set the case for continuous trial on a prescribed time limits which caused the trial to
exceed one hundred eighty (180) days, the court
weekly or other short-term trial calendar at the shall provisionally dismiss the action with the
earliest possible time so as to ensure speedy express consent of the detained accused.
trial. In no case shall the entire trial period
exceed one hundred eighty (180) days from the (b) When the delays are due to the absence of an
first day of trial, except as otherwise authorized essential witness whose presence cannot be
by the Chief Justice of the Supreme Court obtained by due diligence though his whereabouts
are known, the court shall provisionally dismiss the
pursuant to Section 3, Rule 22 of the Rules of action with the express consent of the detained
Court [R.A. No. 8493 (Speedy Trial Act of accused provided:
1998)].
(1) the hearing in the case has been previously twice
Guidelines for Decongesting Holding Jails postponed due to the non-appearance of the
by Enforcing the Rights of the Accused essential witness and both the witness and the
offended party, if they are two different persons,
Persons to Bail and to Speedy Trial have been given notice of the setting of the case for
SECTION 8. Observance of Time Limits. — It shall third hearing, which notice contains a warning that
be the duty of the trial court, the public or private the case would be dismissed if the essential witness
prosecutor, and the defense counsel to ensure, continues to be absent; and
subject to the excluded delays specified in Rule 119
of the Rules of Court and the Speedy Trial Act of (2) there is proof of service of the pertinent notices
1998, compliance with the following time limits in the of hearings or subpoenas upon the essential
prosecution of the case against a detained accused: witness and the offended party at their last known
postal or e-mail addresses or mobile phone
(a) The case of the accused shall be raffled and numbers.
referred to the trial court to which it is assigned
within three days from the filing of the information; (c) For the above purpose, the public or private
prosecutor shall first present during the trial the
(b) The court shall arraign the accused within ten essential witness or witnesses to the case before
(10) days from the date of the raffle; anyone else. An essential witness is one whose
testimony dwells on the presence of some or all of
(c) The court shall hold the pre-trial conference the elements of the crime and whose testimony is
within thirty (30) days after arraignment or within ten indispensable to the conviction of the accused.
(10) days if the accused is under preventive
detention; provided, however, that where the direct SECTION 11. Service of Subpoena and Notices
testimonies of the witnesses are to be presented Through Electronic Mail or Mobile Phones. —
through judicial affidavits, the court shall give the Subpoena and notices may be served by the court
prosecution not more than twenty (20) days from to parties and witnesses through electronic mails (e-
arraignment within which to prepare and submit mail) or through mobile phone either through phone
their judicial affidavits in time for the pre-trial calls or through short messaging service (SMS).
conference;

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SECTION 12. Proof of Service of Notice of Hearing prima facie evidence of the truth of its contents. The
or Subpoena. — To ascertain the proper service of personal appearance in court of a witness who
notice of hearing or subpoena: prepared the report shall be unnecessary unless
demanded by the accused for the purpose of cross-
(a) The public prosecutor shall, during inquest or examination.
preliminary investigation, require the complainant
and his witnesses and, in proper cases, the police SECTION 14. Revival of Cases Provisionally
officers who witnessed the commission of the crime Dismissed. — The one or two-year period allowed
subject of the investigation, to leave with him their for reviving a criminal case that has been
postal and e-mail addresses and mobile phone provisionally dismissed shall be reckoned from the
numbers for use in summoning them when they issuance of the order of dismissal. The dismissal
need to appear at the hearings of the case. shall become automatically permanent if the case is
not revived within the required period. Such
(b) When requesting the court to issue a subpoena permanent dismissal shall amount to an
or subpoena duces tecum for their witnesses, the adjudication of the case on the merits.
parties shall provide the court with the postal and e-
mail addresses and mobile phone numbers of such SECTION 15. Local Task Force Katarungan at
witnesses. Kalayaan. — (a) The Court shall establish a Task
Force Katarungan at Kalayaan in appropriate places
(c) The service of notice of hearing or subpoena at for the purpose of eliminating unnecessary
the postal address, e-mail address, or through detention. It shall be chaired by a Regional Trial
mobile phone number shall be proved by any of the Court (RTC) Judge, with a Metropolitan or Municipal
following: Trial Court Judge as vice-chairman, both to be
appointed for a term of two years by the Executive
(1) an officer's return or affidavit of service if done Judge of the place. The city or provincial prosecutor
by personal service, or by registry return card; of the place or his representative and the local head
of the Public Attorney's Office or his representative
(2) printouts of sent e-mail and the acknowledgment shall be members of the Task Force. The assistance
by the recipient; of the local Bureau of Jail Management and
Penology and the Office of the Provincial Governor
(3) printouts of electronic messages transmitted may be enlisted.
through the court's equipment or device and the
acknowledgment by the recipient; or (b) The Task Force shall track and keep a record of
the progress of the criminal cases of all detained
(4) reports of phone calls made by the court. persons within their jurisdiction and ensure that
such persons are accorded the rights and privileges
(d) The postal and e-mail addresses as well as the provided by law, the rules, and these guidelines.
mobile phone numbers supplied by the parties and
their witnesses incident to court cases shall be (c) Each court shall maintain a "Detainees
regarded as part of the judicial processes in those Notebook," that shall be supplied free by the Office
cases. Consequently, any person who uses the of the Court Administrator and shall contain (i) the
same without proper authority or for purposes other full name of the accused; (ii) the docket number and
than sending of court notices shall be deemed guilty title of the case (iii) the kind of crime charged; (iv)
of indirect contempt and accordingly punished. the date his detention began; (v) the date when his
detention becomes equal to the minimum of the
(e) In cases of police officers whose testimonies are imposable penalty; (vi) the date when his detention
essential to the prosecution of the case, service of becomes equal to the maximum imposable penalty;
the notice of hearing or subpoena on them shall be (vii) the date of arraignment; (viii) the date of pre-
made through the police unit responsible for the trial hearing or conference; (ix) the first day of trial;
arrest and prosecution of the accused, copy (x) the statutory last day of trial if no excluded delays
furnished the Personnel Department of the or postponements are incurred; (xi) sufficient space
Philippine National Police. It shall be the for entering the progress of the hearing of the case;
responsibility of the head of that police unit to ensure and (xii) such other data as may be essential to the
the transmission of the notice or subpoena to the monitoring of his or her case. One (1) copy of the
addressee. Service upon the police unit shall be notebook shall be attached to the record of the case
deemed service upon such police officers. and other copy kept by the jail warden which copy
shall be brought with the accused at the hearing.
(f) The court shall cause the service of a copy of the The branch clerk of court shall update the two
order of provisional dismissal upon the offended copies of the notebook at every hearing by stating
party in the manner provided above. what action the court has taken in it, the next
scheduled hearing, and what action the court will
SECTION 13. Report of Government Expert further take on the case.
Witnesses. — A certified copy of the report of a
government medical, chemical, or laboratory expert (d) The Task Force shall have access to all case
relating to a criminal case shall be admissible as records and information relating to detained persons

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and shall advise the judges hearing their cases, [Cagang v. Sandiganbayan, G.R. No.
when warranted, of the need for them to act on any 206438].
incident or situation that adversely affects the rights
of detained persons or subject them to undue or
harsh treatment. B. Right to travel
Rule on Pre-Cautionary Hold Order
(e) The Office of the Chief Justice shall exercise SECTION 2. Where Filed. — The application for a
direct supervision over all such Task Forces precautionary hold departure order may be filed by
[A.M. No. 12-11-2-SC, Guidelines for a prosecutor with any regional trial court within
Decongesting Holding Jails by Enforcing the whose territorial jurisdiction the alleged crime was
Rights of the Accused Persons to Bail and to committed: Provided, that for compelling reasons, it
can be filed with any regional trial court within the
Speedy Trial (2014)]
judicial region where the crime was committed if the
place of the commission of the crime is known;
Guidelines on determining whether the Provided, further, that the regional trial courts in the
right to speedy trial has been violated City of Manila, Quezon City, Cebu City, Iloilo City,
1. The right to speedy disposition of cases Davao City, and Cagayan de Oro City shall also
must be differentiated from the right to have the authority to act on applications filed by the
prosecutor based on complaints instituted by the
speedy trial. Although founded on the
National Bureau of Investigation, regardless where
same rationale (i.e., efficient the alleged crime was committed.
administration of justice), the right to
speedy trial may only be invoked against SECTION 3. Finding of Probable Cause. — Upon
the courts of law. On the other hand, the motion by the complainant in a criminal complaint
right to speedy disposition of cases may filed before the office of the city or provincial
prosecutor, and upon a preliminary determination of
be invoked before any tribunal, whether
probable cause based on the complaint and
judicial or quasi-judicial. Thus, what is attachments, the investigating prosecutor may file
important is that the accused may an application in the name of the People of the
already be prejudiced for the right to Philippines for a precautionary hold departure order
speedy disposition of cases to be (PHDO) with the proper regional trial court. The
invoked. application shall be accompanied by the complaint-
affidavit and its attachments, personal details,
2. A case is deemed initiated upon the filing
passport number and a photograph of the
of a formal complaint prior to a conduct respondent, if available.
of a preliminary investigation. Thus, the
fact-finding investigations SECTION 4. Grounds for Issuance. — A
(administrative function) prior to the filing precautionary hold departure order shall not issue
of the complaint shall NOT be included in except upon determination by the judge, in whose
court the application is filed, that probable cause
the determination of whether there has
exists, and there is a high probability that
been inordinate delay. The Ombudsman respondent will depart from the Philippines to evade
must set reasonable periods for the arrest and prosecution of crime against him or her.
preliminary investigation, taking into The judge shall personally examine under oath or
account the complexities and nuances of affirmation, in the form of searching questions and
each case. answers in writing, the applicant and the witnesses
he or she may produce on facts personally known to
3. The courts must determine which party
them and attaching to the record their sworn
carried the burden of proof. statements.
4. The determination of the length of delay
is never mechanical or a mere If the judge finds that probable cause exists and
mathematical reckoning but through the there is a high probability that the respondent will
examination of the facts and depart, he or she shall issue the PHDO and direct
the Bureau of Immigration to hold and prevent the
circumstances of each case. Courts
departure of the respondent at any Philippine airport
should appraise a reasonable period or ports. Otherwise, the judge shall order the
from the point of view of how much time dismissal of the application.
a competent and independent public
officer would need in relation to the SECTION 5. Preliminary Finding of Probable
complexity of a given case. Cause. — Since the finding of probable cause by
the judge is solely based on the complaint and is
5. The right to speedy disposition of cases
specifically issued for the purpose of issuing the
or the right to speedy trial must be timely PHDO, the same shall be without prejudice to the
raised. Otherwise, the accused is resolution of the prosecutor of the criminal complaint
deemed to have waived his right considering the complaint-affidavit, counter-

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affidavit, reply-affidavit, and the evidence presented The writ of habeas corpus was devised and
by both parties during the preliminary investigation. exists as a speedy and effectual remedy to
If the prosecutor after preliminary investigation relieve persons from unlawful restraint, and it
dismisses the criminal complaint for lack of probable
cause then the respondent may use the dismissal serves as the only efficient defense of personal
as a ground for the lifting of the PHDO with the freedom.
regional trial court that issued the order. If the
prosecutor finds probable cause and files the Its vital purpose is to obtain immediate relief
criminal information, the case with the court that from illegal confinement, to liberate those who
issued the PHDO, on motion of the prosecutor shall may be imprisoned without sufficient cause,
be consolidated with the court where the criminal
information is filed. and to deliver them from unlawful custody.

SECTION 6. Form and Validity of the Precautionary Under the Constitution, the privilege of the writ
Hold Departure Order. — The precautionary hold cannot be suspended except in cases of
departure order shall indicate the name of the invasion or rebellion when public safety
respondent, his or her alleged crime, the time and requires it [Velasco v. Court of Appeals, G.R.
place of its commission, and the name of the
complainant. (See Annex "A" herein). A copy of the No. 118644 (1995)]
application, personal details, passport number,
photograph of the respondent, if available, shall be Writ of Amparo
appended to the order. The order shall be valid until The remedy provides rapid judicial relief as it
lifted by the issuing court as may be warranted by partakes of a summary proceeding that
the result of the preliminary investigation. requires only substantial evidence to make the
The court shall furnish the Bureau of Immigration appropriate reliefs available to the petitioner.
with a duly certified copy of the hold departure order
within twenty-four (24) hours from issuance. The writ of amparo serves both preventive and
curative roles in addressing the problem of
SECTION 7. Lifting of the Order. — The respondent extralegal killings and enforced
may file a verified motion before the issuing court for disappearances.
the temporary lifting of PHDO on meritorious
ground; that, based on the complaint-affidavit and • Preventive – it breaks the expectation of
the evidence that he or she will present, there is impunity in the commission of these
doubt that probable cause exists to issue the PHDO offenses.
or it is shown that he or she is not a flight risk: • Curative – it facilitates the subsequent
Provided, that the respondent posts a bond; punishment of perpetrators as it will
Provided, further, that the lifting of the PHDO is
without prejudice to the resolution of the preliminary
inevitably yield leads to subsequent
investigation against the respondent. investigation and action [Secretary of
National Defense v. Manalo, G.R. No.
SECTION 8. Bond. — Respondent may ask the 180906 (2008)].
issuing court to allow him or her to leave the country
upon posting of a bond in an amount to be Habeas corpus may be availed as post-
determined by the court subject to the conditions set
forth in the Order granting the temporary lifting of the
conviction remedy or when there is alleged
PHDO violation of liberty of abode. The remedy
[A.M No. 18-07-05-SC, Rule on Precautionary substantiates the citizens’ autonomy protected
Hold Departure Order (2018)] under Art. III, Sec. 1 of the Constitution as part
of the right to liberty [Salibo v. Warden, Quezon
There is no particular law which authorizes the City Jail Annex, G.R. No. 197597 (2015)].
justice secretary from preventing the individual
right to travel, in the interest of national The right to a security of person is “freedom
security, public safety or public health [Genuino from fear”. In the context of Sec. 1 of the
v. De Lima, G.R. No. 197930 (2018)]. Amparo rule, “freedom from fear” is the right
and any threat to the rights to life, liberty or
security is the actionable wrong. In the Amparo
C. Remedies against wrongful or context, however, it is more correct to say that
unlawful detention the “right to security” is actually the “freedom
from threat” [Secretary of National Defense v.
Habeas Corpus Manalo, supra].

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VIII. ARRAIGNMENT AND 2. For a capital offense, the court shall
conduct a searching inquiry into the
PLEA voluntariness and full comprehension of the
consequences of his plea and shall require
Arraignment the prosecution to prove his guilt and the
precise degree of culpability [Sec. 3, Rule
It is the stage where issues are joined and 116].
without which the proceedings cannot advance
further or, if held, will otherwise be void [People If the accused does not enter any plea or makes a
v. Albert, G.R. No. 114001 (1995)]. conditional plea, a plea of not guilty is entered by the
court [Sec. 1(c), Rule 116].
The accused must be informed of: [Estipona v. Lobrigo, G.R. No. 226679 (2017)]
1. The reason for the indictment
2. The specific charges the accused is bound Arraignment
to face
3. The corresponding penalty for the charges WHERE MADE: Arraignment is made before
the court where the complaint or information
Rationale was filed or assigned for trial [Sec. 1(a), Rule
Its importance is based on the constitutional 116].
right of the accused to be informed. It is at this
stage that the accused, for the first time, is HOW AND BY WHOM MADE: The
given the opportunity to know the precise arraignment shall be made in open court by the
charge that confronts him [Kummer v. People, judge or clerk by furnishing the accused with a
G.R. No. 174461 (2013)]. copy of the complaint or information, reading
the same in the language or dialect known to
Plea him, and asking him whether he pleads guilty
Pertains to the matter which the accused, on or not guilty. The prosecution may call at the
his arraignment, alleges in answer to the trial witnesses other than those named in the
charge against him complaint or information [Sec. 1(a), Rule 116].

A. How Made When held

General Rule: The accused should be
Procedure of Arraignment arraigned within 30 days from the date the
The court shall issue an order directing the public
court acquires jurisdiction over his person [Sec.
prosecutor to submit the record of the PI to the 1(g), Rule 116].
branch Clerk of Court for the latter to attach the
same to the record of the case. Exceptions: Unless a shorter period is
↓ provided by special law or Supreme Court
circular [Sec. 1(g), Rule 116]
The court shall inform the accused of his right to
counsel and ask him if he desires to have one.
1. When an accused is under preventive
Unless the accused is allowed to defend himself in detention, his case should be raffled
person or has employed counsel of his choice, the within 3 days from filing and accused
court must assign a counsel de officio to defend him shall be arraigned within 10 days from
[Sec. 6, Rule 114]. receipt by the judge of the records of the
↓ case [R.A. 8493 (Speedy Trial Act)];
2. Where the complainant is about to
a. If the accused pleads not guilty, either:
1. The accused admits the act or omission depart from the Philippines with no
charged in the complaint or information but definite date of return, the accused
interposes a lawful defense, the order of should be arraigned without delay [R.A.
trial may be modified [Sec. 11(e), Rule 4908].
119].
2. He raises a negative defense, that is, he Instances that are excluded in computing
denies the charge, in which case regular
trial proceeds. the 30-day period for arraignment
b. If the accused pleads guilty: 1. Time of the pendency of the motion to
1. For a non-capital offense, the court may quash
receive evidence to determine the penalty 2. Time of the pendency of the motion for a
to be imposed [Sec. 4, Rule 116]. bill of particulars
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3. Other causes justifying suspension of period of suspension not exceeding
the arraignment [Sec. 1(g), Rule 116] 60 days from filing of petition with the
reviewing office [Sec. 11, Rule 116].
If the accused is under preventive detention 3. Motion to quash the complaint or
The pre-trial conference of his case shall be information: on any of the grounds
held within 10 days after arraignment. under Sec. 3, Rule 117 in relation to Sec.
1, Rule 117
Presence of the offended party 4. Challenge the validity of the arrest or
The private offended party shall be required to legality of the warrant or assail the
appear in the arraignment for the purpose of: regularity or question the absence of PI
1. Plea bargaining, of the charge [Sec. 26, Rule 114]
2. Determination of civil liability, and
3. Other matters requiring his presence If the accused does not question the legality of
the arrest or search, this objection is deemed
The court may allow the accused to enter a waived [People v. Racho y Raquero, G.R. No.
plea of guilty to a lesser offense which is 186529 (2010)].
necessarily included in the offense charged
with the conformity of the trial prosecutor alone Specific rules
when the offended party failed to appear 1. Accused must personally appear during
despite due notice [Sec. 1(f), Rule 116; Part arraignment and enter his plea; counsel
B(2), A.M. No. 03-1-09-SC]. cannot enter plea for the accused [Sec.
1[b], Rule 116].
Duty of the court before arraignment 2. Accused is presumed to have been
The court shall: validly arraigned in the absence of proof
1. Inform the accused of his right to to the contrary [See Sec. 3(m), Rule
counsel; 131].
2. Ask him if he desires to have one; and 3. If the accused has not been validly
3. Must assign a counsel de officio to arraigned, the judgment is void [Riano
defend him, unless the accused: 394, 2016 Ed., citing Taglay v. Daray,
a. Is allowed to defend himself in G.R. No. 164258 (2012)].
person; or
b. Has employed a counsel of his choice Note: Trial in absentia may be conducted
[Sec. 6, Rule 116] only after valid arraignment [Sec. 14(2),
Art. III, Constitution].
Before arraignment and plea, the accused
may avail of any of the following: 4. If accused went into trial without being
1. Motion for bill of particulars: to enable arraigned, subsequent arraignment will
him to properly plead and prepare for trial cure the error, provided that the accused
[Sec. 9, Rule 116] was able to present evidence and cross
2. Motion to suspend arraignment: upon examine the witnesses of the
motion by the proper party, the prosecution during trial.
arraignment shall be suspended in the ff.
cases: If an information is amended in substance
a. Accused appears to be suffering from which changes the nature of the offense (not
unsound mental condition which merely as to form), arraignment on the
effectively renders him unable to fully amended information is mandatory
understand the charge against him [Teehankee, Jr. v. Madayag, G.R. No. 103102
and to plead intelligently. In such (1992)].
case, the court shall order his mental
examination and, if necessary, his B. When a Plea of Not Guilty
confinement for such purpose;
b. Existence of a prejudicial question; Should Be Entered
c. A petition for review of the
resolution of the prosecutor is 1. When the accused so pleaded
pending at either the DOJ Secretary 2. When he refuses to plead or makes a
or the Office of the President for a conditional plea [Sec. 1(c), Rule 116]

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Conditional Plea of Guilty – A plea entered In case of failure of the offended party to
by the accused subject to the proviso that a appear despite due notice, the court may allow
certain penalty be imposed upon him. It is the accused to enter a plea of guilty to a lesser
equivalent to a plea of not guilty [People v. offense which is necessarily included in the
Madraga, G.R. No. 129299 (2000)]. offense charged with the conformity of the trial
prosecutor alone [Sec. 1(f), Rule 116].
1. When he pleads guilty but presents
exculpatory evidence [Sec. 1(d), Rule AFTER ARRAIGNMENT BUT BEFORE
116] TRIAL
2. Where the plea of guilty was compelled After arraignment but before trial, the accused
by violence or intimidation [Riano 402, may still be allowed to plead guilty to said
2016 Ed., citing People v. Baetiong, 2 lesser offense after withdrawing his plea of not
Phil. 126] guilty. No amendment of the complaint or
3. When the plea is indefinite or ambiguous information is necessary [Sec. 2, Rule 116].
[Riano 403, 2016 Ed., citing People v.
Strong, G.R. No. L-38626 (1975)] AFTER TRIAL HAS BEGUN
After the prosecution has rested its case, a
Plea as Admission of Material Facts change of plea to a lesser offense may be
General Rule: A plea of guilty is a judicial granted by the judge, with the approval of the
confession of guilt. It is an admission of prosecutor and the offended party if the
material facts alleged in the Information, prosecution does not have sufficient evidence
including the circumstances alleged [People v. to establish the guilt of the accused for the
Comendador, G.R. No. L-38000 (1980)]. crime charged. The judge cannot on its own
grant the change of plea [People v. Villarama,
Exceptions: G.R. No. 99287 (1992)].
1. When the accused did not fully
understand the meaning and
consequences of his plea D. Accused Pleads Guilty to
Capital Offense; What the
Note: In such case, there is a necessity of a re- Court Should Do
arraignment and retaking of his plea [People v.
Nuelan, G.R. No. 123075 (2001)]. Mandatory requirements of Sec. 3, Rule 116
[People v. Pagal, G.R. No. 241257 (2020)]:
2. Where the information is insufficient to
sustain conviction of the offense charged 1. Searching Inquiry
[People v. Lopez, G.R. No. L-1063 a. The searching inquiry is asking a
(1947)] myriad of questions which would
3. Where the information does not charge solicit any indication of coercion,
an offense, any conviction thereunder misunderstanding, error, or fraud that
being void may have influenced the decision of
4. Where the court has no jurisdiction the accused to plead guilty to a capital
[Cadimas v. Director of Prisons, G.R. No. offense.
L-9725 (1955)] b. Searching inquiry means more than
informing the accused that he faces a
C. When Accused May Enter a jail term but also the exact length of
Plea of Guilty to a Lesser imprisonment and the certainty that
he will serve time at the national
Offense penitentiary or a penal colony.
c. Must be focused on the: (1)
DURING ARRAIGNMENT voluntariness of the plea and (2) full
Requisites: comprehension of the consequences
1. The lesser offense is necessarily of the plea
included in the offense charged d. Must comply with Sec. 1(a), Rule 116
2. The plea must be with the consent of 2. Prosecution should prove accused’s guilt
both the offended party and the beyond reasonable doubt
prosecutor [Sec. 2, Rule 116]
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a. Once an accused charged with a Note: A plea of guilty to a capital offense does
capital offense enters a plea of guilty, not result to an immediate rendering of
a regular trial shall be conducted as if judgment [Riano 407, 2016 Ed.].
no such plea was entered.
i. The conviction of the accused E. Searching Inquiry
depends on the strength of the
prosecution’s evidence and not on A “searching inquiry” means more than
the accused’s plea of guilty. informing cursorily the accused that he faces a
b. Trial court must require the jail term but so also, the exact length of
prosecution to present evidence to imprisonment under the law and the certainty
enable itself to determine the precise that he will serve time at the national
participation and the degree of penitentiary or a penal colony [People v. Bello,
culpability of the accused in the G.R. Nos. 130411-14 (1999)]
commission of the offense charged.
i. Reason: Preclude any room for The procedure in Sec. 3, Rule 116, when the
reasonable doubt in the mind of accused pleads guilty to a capital offense, is
the trial court or the appellate court mandatory [Riano 407, 2016 Ed., citing
as to the possibility that the People v. Oden, G.R. Nos. 155511-22 (2004)].
accused might have
misunderstood the nature of the The plea must be clear, definite, and
crime charged and to ascertain unconditional. It must be based on a free and
attendant (mitigating, justifying, informed judgment.
aggravating) circumstances.
c. The plea of guilty does not relieve the A plea of guilty to a capital offense can be held
prosecution of the duty to prove the null and void where the trial court has
guilt of the accused beyond inadequately discharged the duty of conducting
reasonable doubt. the prescribed "searching inquiry” [People v.
i. Reason: Plea of guilty is only a Durango, G.R. Nos. 135438-39 (2000)].
supporting evidence or secondary
basis for finding culpability. The Rationale
main proof is the evidence This is to enjoin courts to proceed with more
presented by the prosecution. care where the possible punishment is in its
3. The accused must be given reasonable severest form and to avoid improvident pleas
opportunity to present evidence if he of guilt [People v. Samontanez, G.R. No.
chooses to do so 134530 (2000)].
a. Trial court should allow the accused
to present evidence on his behalf in Guidelines for conducting a search inquiry
order to properly calibrate the correct 1. Ascertain from the accused himself:
imposable penalty, but the trial court a. How he was brought into the custody
cannot compel the accused to of the law,
present evidence. b. Whether he had the assistance of a
b. The accused is free to waive his right competent counsel during the
to present evidence, but the trial court custodial and preliminary
has the unequivocal duty to observe investigations, and
a procedure akin to a “searching c. Under what conditions he was
inquiry” to determine the validity of the detained and interrogated during the
waiver. investigations.
i. Rationale: Courts must proceed 2. Ask the defense counsel a series of
with more care where the possible questions as to whether he had
punishment is in its most severe conferred with, and completely explained
form. to, the accused the meaning and
ii. It would also aid the SC on consequences of a plea of guilty.
appellate review in determining 3. Elicit information about the personality
the propriety or impropriety of the profile of the accused (age, socio-
waiver. economic status, and educational
background) which may serve as a
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trustworthy index of his capacity to give improvident plea of guilty to be withdrawn and
a free and informed plea of guilty. be substituted by a plea of not guilty [Sec. 5,
4. Inform the accused of the exact length of Rule 116].
imprisonment or nature of the penalty
under the law and the certainty that he The withdrawal of a plea of guilty is not a matter
will serve such sentence. of right of the accused but of sound discretion
5. Inquire if the accused knows the crime of the trial court [People v. Lambino, G.R. No.
with which he is charged and fully explain L-10875 (1958)].
to him the elements of the crime which is
the basis of his indictment. The reason for this is that trial has already
6. All questions posed to the accused begun and the withdrawal of the plea will
should be in a language known and change the theory of the case and put all past
understood by the latter. proceedings to waste.
7. The trial judge must satisfy himself that
the accused, in pleading guilty, is truly Moreover, at this point, there is a presumption
guilty. The accused must be required to that the plea was made voluntarily.
narrate the tragedy or reenact the crime
or furnish its missing details [People v.
Pastor, G.R. No. 140208 (2002)].

F. Improvident Plea of Guilty to

a Capital Offense
An improvident plea is one without proper
information as to all the circumstances
affecting it; based upon a mistaken assumption
or misleading information/advice [Black’s Law
Dictionary].

Effect of an Improvident Plea

General Rule: Plea of guilty should not be held
to be sufficient to sustain a conviction in the
following cases:
1. If the accused does not clearly and fully
understand the nature of the offense
charged,
2. If he is not advised as to the meaning
and effect of the technical language
often used in formal complaints and
information in qualifying the acts
constituting the offense, or
3. If he does not clearly understand the
consequences by way of a heavy and
even a capital penalty flowing from his
admission of his guilt of the crime
[People v. De Ocampo Gonzaga, G.R.
No. L-48373 (1984)]

Exception: If the accused appears guilty

beyond reasonable doubt from the evidence
adduced by the prosecution and defense

When improvident plea may be withdrawn

At any time before judgment of conviction
becomes final, the court may permit an

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IX. MOTION TO QUASH Need not be resolved before issuing
warrant of arrest
The judge had no positive duty to first resolve
Nature of motion to quash (MTQ)
the MTQ before issuing a warrant of arrest.
1. Mode by which an accused assails the
Sec. 5(a), Rule 112 required the judge to
validity of a criminal complaint or
evaluate the prosecutor's resolution and its
information filed against him for
supporting evidence within a limited period of
insufficiency on its face in point of law or
only 10 days [De Lima v. Guerrero, G.R. No.
defects which are apparent in the face of
229781 (2017)].
the information [Riano 328, 2011 Ed.]

2. Hypothetical admission of the facts A. Grounds

alleged in the information
In general
Note: Fundamental test in determining 1. Facts charged do not constitute an
sufficiency of the material averments in an offense;
information: WON the facts alleged which are 2. Court trying the case has no jurisdiction
hypothetically admitted would establish the over the offense charged;
essential elements of the crime defined by law. 3. Court trying the case has no jurisdiction
over the person of the accused;
3. Evidence aliunde or matters extrinsic of 4. Officer who filed the information had no
the information are not to be considered authority to do so;
EXCEPT when admissions are made by 5. The information does not conform
the prosecution [People v. Dela Rosa, substantially to the prescribed form (e.g.,
G.R. No. L-34112 (1980)]. if there is no certification);
6. More than one offense is charged,
Note: A motion to quash based on double except when a single punishment for
jeopardy or extinction of the criminal action or various offenses is prescribed by law;
liability, may, by their nature, be based on 7. Criminal action or liability has been
matters outside of the allegations of the extinguished;
information or complaint [Riano]. 8. Averments which, if true, would
constitute a legal excuse or justification;
Form and contents 9. Accused has been previously convicted
1. In writing, or acquitted of the offense charged, or
1. Signed by the accused or his counsel, the case against him was dismissed or
and otherwise terminated without his express
2. Distinctly specify the factual and legal consent [Sec. 3, Rule 117].
grounds [Sec. 2, Rule 117]
The following grounds are exclusive [Galzote
When filed v. People, G.R. No. 164682 (2011)].
General Rule: At any time before entering his
plea, the accused may move to quash the Waiver of Grounds
complaint or information [Sec. 1, Rule 117] General Rule: Failure of the accused to assert
any ground on a MTQ before he pleads, either
Exceptions: When the grounds relied upon the because he did not file MTQ or failed to allege
motion are: said ground in the MTQ shall be deemed a
1. Failure to charge an offense waiver of any objections.
2. Lack of jurisdiction over the offense
charged Exceptions [OJ-AL-CJA]:
3. Extinction of the offense or penalty 1. Facts charged do not constitute an
4. Accused has been previously convicted, Offense
or in jeopardy of being convicted, or 2. Court trying the case has no Jurisdiction
acquitted of the offense charged over the offense charged
3. Criminal Action or Liability has been
They shall not be deemed waived if the Extinguished
accused failed to file MTQ or to allege them in 4. Accused has been previously Convicted,
the motion [Sec. 9, Rule 117]. or in Jeopardy of being convicted, or
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Acquitted of the offense charged [Sec. 9, d. Officer who filed the
Rule 117] information had no authority to
5. Officer who filed information had no do so
authority to do so [Quisay v. People,
G.R. No. 216920 (2016)]
Authority to file and prosecute criminal cases is
Note: In cases covered by the Rules on vested in:
Summary Procedure, MTQ is allowed only if 1. Prosecutor
made on the grounds of lack of jurisdiction over a. There is no need for the prosecutor to
the subject matter or failure to comply with secure a prior written authority or
barangay conciliation proceedings [Sec. 19, approval of the provincial or city
Rules on Summary Procedure]. prosecutor or chief state prosecutor
or the Ombudsman or his deputy in
order to conduct PI of an offense and
a. Facts charged do not constitute file an Information [Gomez v. People,
an offense G.R. No. 216824 (2020)].
b. The lack of prior written authority or
Where it is clear that the information does not approval of the handling prosecutor:
really charge an offense, the case against the i. does not affect the acquisition
accused must be dropped immediately [Dela jurisdiction by the trial court
Chica v. Sandiganbayan, G.R. No. 144823 ii. does not affect the trial court’s
(2003)]. jurisdiction over the accused or the
subject matter of the case
The prosecution shall be given by the court an iii. is a defect that may be waived by
opportunity to correct the defect by the accused [Gomez v. People,
amendment. The motion shall be granted if the supra].
prosecution fails to make the amendment, or 2. Any peace officer, or public officer
the complaint or information still suffers from charged with the enforcement of the law,
the same defect despite the amendment [Sec. in Municipal Trial Courts or Municipal
4, Rule 117]. Circuit Trial Courts when the prosecutor
assigned thereto or to the case is not
b. Court has no jurisdiction over available [Sec. 5, Rule 110]
the offense charged 3. Commission on Elections regarding
violations of election laws [Sec. 2(6), Art.
In a criminal prosecution, the place where the IX-C, Constitution]
offense was committed not only determines 4. By the graft investigating officer for any
venue, but is an essential element of information filed in the Sandiganbayan,
jurisdiction [Sec. 15, Rule 110; Lopez v. City with prior approval of the Ombudsman
Judge, G.R. No. L-25795 (1966)]. 5. By duly deputized prosecutors and legal
officers of the COMELEC for election
In private crimes, the complaint of the offended offenses [Sec. 265, Art. XXII, Omnibus
party is necessary to confer authority to the Election Code]
court [Donio-Teves v. Vamenta, Jr., G.R. No.
L-38308 (1984)]. A procedural infirmity regarding legal
representation is only a defect which shouldn't
c. Court has no jurisdiction over result in the quashing of an Information. Also,
the person of the accused the trial courts do not have the power to quash
an Information without a motion by the
When the accused files a MTQ based on this Accused [Gomez v. People, supra].
ground, he must do so only on this ground. If
he raises other grounds, he is deemed to have e. Complaint or information does
submitted his person to the jurisdiction of the not conform substantially to the
court [Sanchez v. Demetriou, G.R. Nos. prescribed form
111771-77 (1993)].
The formal and substantial requirements are
provided for in Secs. 6-12, Rule 110.
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General Rule: Lack of substantial compliance g. Criminal action or liability has
renders the accusatory pleading nugatory. been extinguished
Exception: Mere defects in matter of form may When criminal liability is extinguished:
be cured by amendment [Sec. 4, Rule 117]. 1. Death of the accused, but liability for
pecuniary penalties is extinguished only
Vague or broad allegations are generally not if death occurs before final judgment;
grounds for a MTQ. The correct remedy is to 2. Service of sentence, which must be by
file for a bill of particulars [Sec. 9, Rule 116; virtue of a final judgment and in the form
Enrile v. People, G.R. No. 213455 (2015)]. prescribed by law;
3. Amnesty;
The accused may, before arraignment, move 4. Absolute pardon;
for a bill of particulars to enable him properly to 5. Prescription of the crime;
plead and prepare for trial. The motion shall 6. Prescription of the penalty;
specify the alleged defects of the complaint or 7. Pardon in private offenses
information and the details desired [Sec. 9, [Art. 89, Revised Penal Code]
Rule 116].
h. Contains averments that if true
f. More than one offense is
would constitute a legal excuse
charged
or justification
General Rule: A complaint or information must
charge only one offense [Sec. 13, Rule 110]. Examples:
1. Justifying circumstances [Art. 11, RPC]
Exceptions: 2. Exempting circumstances [Art. 12, RPC]
1. When the law prescribes a single 3. Absolutory causes
punishment for various offenses [Sec.
13, Rule 110] i. Accused has been previously
2. Complex and compound crimes, except convicted or acquitted of the
where one offense was committed to offense charged, or the case
conceal another against him was dismissed or
3. An offense incidental to the gravamen of otherwise terminated without
the offense charged his consent
4. A specific crime set forth in various
counts, each of which may constitute a
distinct offense 1. Double jeopardy
5. If the accused fails to object, the court
may convict as many as are charged and See Double Jeopardy below.
proved and impose on him the penalty
for each [Sec. 3, Rule 120; People v. 2. Dismissal without express consent
Villamor, G.R. No. 124441 (1998)]
This refers only to dismissal or termination
of the case. It does not refer to a conviction or
acquittal [People v. Labatete, G.R. No. L-
12917 (1960)].

If consent is not express, dismissal will be

regarded as final (i.e., with prejudice to refiling)
[Caes v. IAC, G.R. Nos. 74989-90 (1989)].

The dismissal of a criminal case resulting in

acquittal made with the express consent of the
accused or upon his own motion will not place
the accused in double jeopardy, except in the
following cases:

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1. Insufficiency of the prosecution’s adduced by the
evidence prosecution
2. Denial of the right to a speedy trial [Sec. 23, Rule
[Almario v. CA, G.R. No. 127772 (2001)] 119]
When dismissal constitutes acquittal Grounds Grounds are Ground is
Dismissal constitutes acquittal when it is stated in Sec. “insufficiency of
granted: 3, Rule 117 evidence” to
1. Upon demurrer to evidence [Riano 439, convict [Sec.
2016 Ed., citing People v. Tan, G.R. No. 23, Rule 119]
167526 (2010)];
2. Due to violation of right to speedy trial, Leave of Does not May be filed
even if dismissal was upon motion of the court require a prior either with
accused or with his express consent leave of court leave or without
[Riano 439-440, 2016 Ed., citing Andres [Sec. 1, Rule leave of court
v. Cacdac, G.R. No. L-45650 (1982)] 117] [Sec. 23, Rule
119]
Dismissal Acquittal Effect of Court may Grant is
grant order the filing deemed an
Basis for Does not Always of a new acquittal and
action decide the based on the complaint or would preclude
case on the merits. information the filing of
merits. [Sec. 4, Rule another
Defendant’s 117] information or
Does not guilt was not appeal by the
determine proven prosecution
innocence or beyond
guilt. reasonable
doubt. Effect of The accused General Rule:
denial proceeds with Accused does
Does Double Double
trial. If not lose his
double jeopardy will jeopardy
convicted, he right to present
jeopardy not always always
can appeal evidence
attach? attach. attaches.
and assign as
error the Exception: if
See Provisional Dismissal below. denial of the demurrer was
MTQ. filed without
B. Distinguish Motion to Quash leave of court
[Sec. 23, Rule
from Demurrer to Evidence 119]

Motion to Demurrer to Remedy If the court, in The order

quash evidence denying the denying the
motion to motion for
When Filed before Filed after the quash acts leave to file a
filed entering plea prosecution with grave demurrer “shall
[Sec. 1, Rule has rested its abuse of not be
117] case [Sec. 23, discretion, reviewable by
Rule 119] then certiorari appeal or by
or prohibition certiorari
Basis Insufficiency of Based upon lies. before
for grant the complaint the judgment”.
or denial or information insufficiency of
on its face the evidence

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C. Effects of Sustaining the The prosecution may appeal from the order of
quashal to the appellate court.
Motion to Quash
If the information was quashed because it did
a. Filing another complaint or not allege the elements of the offense charged,
information but the facts so alleged constitute another
offense under a specific statute, the
General Rule: Court may order that another prosecution may file a complaint for such
complaint or information be filed [Sec. 5, Rule specific offense where dismissal is made prior
117) to arraignment and on MTQ [People v.
Purisima, G.R. Nos. L-42050-66 (1978)]
Exception: If MTQ was based on the following:
1. Criminal action or liability has been
Order Order
extinguished
denying granting
2. Double jeopardy.
MTQ MTQ
b. Discharge of the accused Nature of Interlocutory Final Order
Order
General Rule: If in custody, the accused shall
not be discharged unless admitted to bail [Sec. Appealable? Not Immediately
5, Rule 117]. The order granting the MTQ must appealable appealable
state either release of the accused or absent a but subject to
cancellation of his bond. showing of rules on
GAD. If double
Exception: The accused, if in custody, shall be there is jeopardy
discharged if: GAD, then
1. No order is made; or file petition
2. Having been made, no new information for certiorari
is filed within
a. The time specified in the order; or Is the main Does not Disposes of
b. Such further time as the court may case dispose of the case
allow for good cause [Sec. 5, Rule decided on the case upon its
117] the merits? upon its merits when
merits the ground is
Exception to the exception: The accused the
shall not be discharged if he is in custody for extinguishme
another charge [Sec. 5, Rule 117]. nt of liability
or double
c. Amendment of the complaint or jeopardy
information Remedy to Appeal after Appeal the
be availed of the trial order
General Rule: The court shall order that an
amendment be made: Consequenc Arraignment Amend
1. If the MTQ is based on an alleged defect e of order information if
of the complaint or information which can possible
be cured by amendment
2. If the MTQ is based on the ground that
the facts charged do not constitute an Note: The remedy for an order denying a MTQ
offense is to go to trial, without prejudice to reiterating
[Sec. 4, Rule 117] the special defenses invoked in their MTQ
[Serana v. Sandiganbayan, G.R. No. 162059
Exception: Prosecution is precluded where (2008)].
the ground for quashal would bar another
prosecution for the same offense.

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D. Exception to the Rule that RULE OF DOUBLE JEOPARDY
Sustaining the Motion is Not Requisites to successfully invoke double
a Bar to Another jeopardy:
Prosecution 1. A first jeopardy must have attached;
2. The first jeopardy must have been validly
General Rule: Grant of the MTQ will not be a terminated; and
bar to another prosecution for the same 3. The second jeopardy must be for the
offense. same offense or the second offense
necessarily includes or is necessarily
Exception: It will bar another prosecution included in the offense charged in the
when the MTQ is based on first information, or is an attempt to
1. The criminal action or liability has been commit the same or a frustration thereof
extinguished; or [People v. Espinosa, G.R. Nos. 153714-
2. The accused has been previously 20 (2003)]
convicted, or in jeopardy of being
convicted, or acquitted of the offense Requisites for first jeopardy to attach:
charged 1. Valid indictment;
[Sec. 6, Rule 117] 2. Before a competent court;
3. Arraignment;
4. A valid plea entered; and
E. Double Jeopardy 5. The accused has been convicted or
acquitted, or the case dismissed or
Double jeopardy presupposes that a first otherwise validly terminated without his
jeopardy has already attached prior to the express consent [People v. Honrales,
second and that the first has been terminated G.R. No. 182651 (2010)]
because he has already been: (1) convicted;
(2) acquitted; or (3) the case against him However, a dictated, coerced, and scripted
terminated or dismissed without his express verdict of acquittal is a void judgment. It neither
consent. binds nor bars anyone [Galman v.
Sandiganbayan, G.R. No. 72670 (1986)].
The right against double jeopardy prohibits the
prosecution for a crime of which he has been Effect
previously convicted or acquitted [Caes v. IAC, The conviction or acquittal of the accused or
G.R. Nos. 74989-90 (1989)] the dismissal of the case shall be a bar to
another prosecution
Purpose of the Rule against Double 1. for the offense charged, or
Jeopardy 2. for any attempt to commit the same or
It guarantees that the State shall not be frustration thereof, or
permitted to make repeated attempts to convict 3. for any offense which necessarily
an individual for an alleged offense, thereby includes or is necessarily included in the
subjecting him to embarrassment, expense offense charged in the former complaint
and ordeal and compelling him to live in a or information [Sec. 7, Rule 117]
continuing state of anxiety and insecurity.
Primarily, it prevents the State from: Double Jeopardy does not apply to these
1. Suing criminal processes as instrument cases
to harass the accused and wear him out 1. Administrative Cases
by the multitude of cases The dismissal of the criminal case does not
2. Successively retrying the defendant in result in the dismissal of the administrative
the hope of securing a conviction case because there exists a difference
3. Successively retrying the defendant in between the 2 remedies.
the hope of securing a greater penalty
2. When the same criminal act gives rise to
two or more separate and distinct
offenses
3. Preliminary investigation (PI)
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A PI is merely inquisitorial. It is executive in 5. When two offenses are punished by two
character and is not part of the trial; hence, a separate penal laws
PI is not a trial to which double jeopardy 6. The mere filing of two informations
attaches. charging the same offense when there is
not yet a conviction, acquittal, or
4. When the first offense was committed termination without consent of any of the
under the RPC and the second was two cases [People v. Pineda, G.R. 44205
committed under a special penal law (1993)

KINDS OF DOUBLE JEOPARDY

Double jeopardy for the same offense Double jeopardy when an act
punished by a law and an ordinance

There is identity between the two There can still be double jeopardy
offenses not only when the second although the first offense is punishable
offense is exactly the same as the first, under an ordinance, while the second is
but also when the second offense is an punishable under a law [Art. III, Sec. 21,
General attempt to or frustration of or is CONST.].
Rule necessarily included in the offense
charged in the first information
[Teehankee, Jr. v. Madayag, G.R.
103102 (1992)].

1. The graver offense developed due When an offense penalized by ordinance

to supervening facts arising from is, by definition, different from an offense
the same act or omission penalized under a statute [People v.
constituting the former charge; Relova, G.R. No. L-45129 (1987)]
2. The facts constituting the graver
charge became known or were
discovered only after a plea was
entered in the former complaint or
Exception
information;
3. The plea of guilty to the lesser
offense was made without the
consent of the prosecutor and of
the offended party except when
offended party failed to appear
during such arraignment [Sec. 7,
Rule 117].

Whether or not evidence that proves one

Test likewise proves the other [People v.
Ramos, G.R. No. L-15958 (1961)]

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F. Provisional Dismissal for a provisional dismissal of the case
[Sec. 8, Rule 117]
Provisional dismissal 2. The offended party is notified of the
Provisional dismissal is dismissal without motion for the provisional dismissal of
prejudice to its being refiled or revived [Los the case
Baños v. Pedro, G.R. No. 173588 (2009)]. 3. The court issues an order granting the
motion and dismissing the case
Cases are provisionally dismissed where there provisionally
has already been arraignment and the accused 4. The public prosecutor is served with a
consented to a provisional dismissal. copy of the order of provisional dismissal
of the case [People v. Lacson, supra]
Requisites for a provisional dismissal:
1. There must be express consent of the A case may be revived by
accused; and 1. Refiling of the information
2. There must be notice to the offended 2. Filing of a new information for the same
party offense or one necessarily included in
[Sec. 8, Rule 117] the original offense charged

Time-bar Rule Requirement of Preliminary Investigation

Dismissal becomes permanent: upon Revival of Case
1. One year after issuance of the order General Rule: Upon revival of the case, there
without the case having been revived for is no need for a new PI.
offenses punishable
a. by imprisonment not exceeding 6 Exceptions:
years, or 1. If the original witnesses have recanted
b. by fine of any amount, or their testimonials or have died
c. by both 2. If the accused is charged under a new
2. Two years after issuance of the order criminal complaint for the same offense
without the case having been revived for 3. If the original charge is upgraded
offenses punishable by imprisonment of 4. If the criminal liability is upgraded from
more than 6 years accessory to principal
[Sec. 8, Rule 117]

Note: The periods are reckoned from the date

of the order of dismissal.

Exception to the periods: The State may

revive beyond the periods provided there is a
justifiable necessity for the delay.

The Court is not mandated to apply Sec. 8

retroactively simply because it is favorable to
the accused [People v. Lacson, G.R. No.
149453 (2003)].

What to file?
Motion for permanent dismissal [Prof. Sanidad]

The following are conditions sine qua non for

the application of the time-bar rule
1. The prosecution, with the express
conformity of the accused, or the
accused moves for the provisional (sin
perjucio) dismissal of the case; or both
the prosecution and the accused move

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X. PRE-TRIAL The conviction of the accused of the lesser
offense precludes the filing and prosecution of
the offense originally charged in the
Its main objective is to achieve an expeditious
information, except when the plea of guilty to a
resolution of the case. This proceeding is
lesser offense is without the consent of the
mandatory in criminal cases and is conducted
offended party and the prosecutor [People v.
before trial [Sec. 1, Rule 118].
De Luna, G.R. No. L-77969 (1989); Sec. 7(c),
Rule 117, See Sec. 2, Rule 116]
A. Matters to Be Considered
During Pre-Trial With Sec. 23 of R.A. 9165 being declared
unconstitutional in Estipona, Jr. v. Lobrigo
Coverage [supra], offenses involving dangerous drugs
All criminal cases cognizable by the may now be the subject of plea bargain [See
Sandiganbayan, RTC, MeTC, MTCC, MTC DOJ Circular No. 61 (2017)].
and MCTC [Sec. 1, Rule 118]
Stipulation of facts
Period General Rule: Stipulation of facts is allowed in
General Rule: The court shall order a pre-trial criminal cases.
conference after arraignment and within 30
days from the date the court acquires Exception: Circumstances that qualify a crime
jurisdiction over the person of the accused. and increase its penalty to death cannot be the
subject of stipulation [People v. Sitao, G.R. No.
Exception: A shorter period may be provided 146790 (2002)]
by special laws or SC circulars [Sec. 1, Rule
118] Marking for identification of evidence
No evidence may be presented and offered
Things considered during trial other than those identified and
1. Plea bargaining marked during the pre-trial, except when
2. Stipulation of facts allowed by the court for good cause shown.
3. Marking for identification of evidence
4. Waiver of objections to admissibility of Proffer of exhibits is not allowed. It ought to be
evidence done at the time a party closes the presentation
5. Modification of the order of trial if of evidence [People v. Santiago, G.R. No. L-
accused admits the charge but 80778 (1989)]
interposes a lawful defense (reverse
trial) Court diversion through CAM and JDR
6. Other matters that will promote a fair and
expeditious trial of the civil and criminal Most pending court cases shall be diverted to
aspects of the case [Sec. 1, Rule 118] Court-Annexed Meditation (CAM) and be the
subject of Judicial Dispute Resolution (JDR)
Plea bargaining before they can enter the pre-trial proper to
Plea bargaining has been defined as "a lessen court docket congestion [Item 1, A.M.
process whereby the accused and the No. 11-1-6-SC-PHILJA].
prosecution work out a mutually satisfactory
disposition of the case subject to court Court diversion is a three-stage process. The
approval" [Estipona, Jr. v. Lobrigo, G.R. No. first stage is the CAM where the judge refers
226679 (2017)]. the parties to the Philippine Mediation Center
(PMC) for the mediation of the dispute by
It usually involves the defendant pleading guilty mediators.
to a lesser offense or to one or some of the
counts of a multi-count indictment in return for Upon failing to secure a settlement of the
a lighter sentence than that for the graver dispute during the first stage, a second attempt
charge [People v. Mamarion, G.R. No. 137554 is made at the JDR stage. The JDR judge
(2003)]. becomes a mediator-conciliator-early neutral
evaluator in a continuing effort to secure a
settlement. If the second attempt still failed, the
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JDR judge shall turn over the case to another In the event that the parties agree to reconsider
judge who will continue with the pre-trial proper their initial reluctance to mediate, the judge
and, thereafter, proceed to try and decide the shall facilitate settlement using all his skills as
case [Item 1.2, A.M. No. 11-1-6-SC-PHILJA]. mediator [Item II.3, A.M. No. 04-1-12-SC-
PHILJA].
Criminal cases mandated to be referred to
CAM and be the subject of a JDR: Before the pre-trial conference, the judge must
1. All civil cases and the civil liability of study the allegations of the information, the
criminal cases covered by the Rule on statements in the affidavits of witnesses and
Summary Procedure, including the civil other documentary evidence which form part of
liability for violation of B.P. 22, except the record of the preliminary investigation [Item
those which by law may not be B.4, A.M. No. 03-1-09-SC].
compromised;
2. All civil and criminal cases filed with a During the pre-trial, the judge shall be the one
certificate to file action issued by the to ask questions on issues raised therein and
Punong Barangay or the Pangkat ng all questions must be directed to him to avoid
Tagapagkasundo under the Revised hostilities between the parties [Item B.7, A.M.
Katarungang Pambarangay Law; No. 03-1-09-SC].
3. The civil aspect of Quasi-Offenses under
Title 14 of the Revised Penal Code; B. What the Court Should Do
4. The civil aspect of less grave felonies
punishable by correctional penalties not When Prosecution and
exceeding 6 years imprisonment, where Offended Party Agree to the
the offended party is a private person; Plea Offered by the Accused
5. The civil aspect of estafa, theft and libel.
The Court shall:
Criminal cases not mentioned shall not be 1. Issue an order which contains the plea
referred to CAM and JDR Cases under bargaining arrived at;
Republic Act No. 926 shall also not be referred 2. Proceed to receive evidence on the civil
unless the parties inform the court that they aspect of the case; and
have agreed to undergo mediation on some 3. Render and promulgate judgment of
aspects thereof [Item 3, Part 1, A.M. No. 11-1- conviction, including the civil liability or
6-SC-PHILJA]. damages duly established by the
evidence
Role of the judge in pre-trial proceedings [Item B.5, A.M. No. 03-1-09-SC]
If the parties do not settle their dispute at CAM, General Rule: Court approval is required.
the parties shall appear at the preset date
before the JDR judge, who will then conduct Exception: Agreements not covering matters
the JDR process as mediator, neutral evaluator referred to in Sec. 1, Rule 118 (supra), need
and/or conciliator in order to actively assist and not be so approved [Item B.8, A.M. No. 03-1-
facilitate negotiations among the parties for 09-SC].
them to settle their dispute. As mediator and
conciliator, the judge facilitates the settlement Effect
discussions between the parties and tries to The stipulations become binding on the parties
reconcile their differences. As a neutral who made them. They become judicial
evaluator, the judge assesses the relative admissions of the fact or facts stipulated
strengths and weaknesses of each party's case [Bayas v. Sandiganbayan, G.R. Nos. 143689-
and makes a non-binding and impartial 91 (2002)].
evaluation of the chances of each party's
success in the case. On the basis of such
neutral evaluation, the judge persuades the
parties to a fair and mutually acceptable
settlement of their dispute [Item II, Part 3, A.M.
No. 11-1-6-SC-PHILJA].

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C. Pre-Trial Agreement 2. Be issued within 10 days after the
termination of the pre-trial;
Requirements 3. Contain the following:
1. Reduced in writing; a. Actions taken;
2. Signed by the accused and counsel; b. Facts stipulated;
3. With approval of court if agreements c. Evidence marked;
cover matters in Sec. 1, Rule 118 d. Admissions made;
[Sec. 2, Rule 118] e. Number of witnesses to be presented;
and
Effects: f. Schedule of trial
1. Constitutional right to present evidence
is waived [Rivera v. People, G.R. No. Effect
163996 (2005)] 1. Binds the parties;
2. If the requisites are not followed – 2. Limits the trial to those matters not
admissions shall be inadmissible as disposed of; and
evidence [Item I-B(8), A.M. No. 03-1-09- 3. Controls the course of the action during
SC (2004)] trial, unless modified by the court to
prevent manifest injustice [Sec. 4, Rule
All proceedings during pre-trial shall be: 118]
1. Recorded
2. Transcripts prepared The procedure is substantially the same in civil
3. Minutes signed by the parties and their cases, except that any modification of the pre-
counsel trial order in civil cases must be made before
the trial. No such limitation is provided for in
criminal cases.
D. Non-Appearance during Pre-
Trial
Who must be present during pre-trial
1. Counsel of accused
2. Prosecutor

Note: The accused is not required to attend

(unless ordered by the court) and is merely
required to sign the written agreement arrived
at in the pre-trial conference, if he agrees to the
contents of such. The complainant is also not
required to appear during pre-trial. It is the
prosecutor who is required to appear at the pre-
trial [People v. Judge Tac-An, G.R. No. 148000
(2003)].

The court may impose proper sanctions or

penalties, if counsel for the accused or the
prosecutor to enforce the mandatory character
of the pre-trial in criminal cases:
1. Does not appear at the pre-trial
conference; and
2. Does not offer an acceptable excuse for
his lack of cooperation [Sec. 3, Rule 118]

E. Pre-Trial Order
Pre-trial order shall:
1. Be issued by the trial judge;

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APPLICATION OF JUDICIAL AFFIDAVIT
RULE
1. The Judicial Affidavit Rule shall apply to
all criminal actions:
a. Where the maximum of the imposable
penalty does not exceed six years;
b. Where the accused agrees to the use
of judicial affidavits, irrespective of the
penalty involved; or
c. With respect to the civil aspect of the
actions, whatever the penalties
involved are.
2. The prosecution shall submit the judicial
affidavits of its witnesses not later than
five days before the pre-trial, serving
copies of the same upon the accused.
The complainant or public prosecutor
shall attach to the affidavits such
documentary or object evidence as he
may have, marking them as Exhibits A,
B, C, and so on. No further judicial
affidavit, documentary, or object
evidence shall be admitted at the trial.
3. If the accused desires to be heard on his
defense after receipt of the judicial
affidavits of the prosecution, he shall
have the option to submit his judicial
affidavit as well as those of his witnesses
to the court within ten days from receipt
of such affidavits and serve a copy of
each on the public and private
prosecutor, including his documentary
and object evidence previously marked
as Exhibits 1, 2, 3, and so on. These
affidavits shall serve as direct
testimonies of the accused and his
witnesses when they appear before the
court to testify [Sec. 9, A.M. 12-8-8-SC]

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XI. TRIAL Requisites for exclusion of the period of
delay [AUE]:
A. Instances When Presence of 1. Witness is Absent or Unavailable
Accused is Required by Law ● “Absent”: whereabouts are unknown
or cannot be determined by due
Right of the Accused to be Present diligence
In all criminal prosecutions, the accused shall ● “Unavailable”: whereabouts are
have the right to be present and defend in known but presence for trial cannot
person and by counsel at every stage of the be obtained by due diligence
proceedings, from arraignment to promulgation 2. Witness must be Essential [Sec. 3(b),
of the judgment [Sec. 1(c), Rule 115]. Rule 119]
● “Essential”: indispensable,
Instances where presence of accused is necessary, or important in the highest
mandatory [AP]: degree [Riano 530, 2011 Updated
1. At Arraignment; [Sec. 1(b), Rule 116] Ed., citing 5 Black’s Law Dictionary
2. At the Promulgation of judgment, unless 490]
the conviction is for a light offense [Sec.
6, Rule 120] Motion for Bail: A remedy to secure
appearance of a material witness
Waiver of right to be present Either party may file a motion for bail with
General Rule: The accused may waive his proof/under oath that a material witness will
presence at the trial pursuant to the stipulations testify when required. When the court is
set forth in his bail [Sec. 1(c), Rule 115]. satisfied of such, it may order the witness to
post bail.
Exception: Unless his presence is specifically
ordered by the court for purposes of Effect of refusal to post bail
identification [Sec. 1(c), Rule 115]. If the material witness refuses to post bail, the
court shall commit him to prison until he
Exception to the exception: The presence of complies or is legally discharged after his
the accused is no longer required when he testimony has been taken [Sec. 14, Rule 119].
unqualifiedly admits in open court after
arraignment that he is the person named as C. Trial In Absentia
defendant in the case on trial [Carredo v.
People, G.R. No. 77542 (1990)] Requisites for Trial in Absentia [ANU]:
1. Accused has been Arraigned
Other instances of waiver [WE]: 2. He was duly Notified of trial
1. The absence of the accused Without 3. His failure to appear is Unjustified
justifiable cause at the trial of which he [Bernardo v. People, G.R. No. 166980 (2007)]
had notice
2. When an accused under custody Purpose
Escapes until custody over him is This is to speed up disposition of cases [People
regained v. Agbulos, G.R. No. 73875 (1993)].
[Sec. 1(c), Rule 115]
D. Remedy When Accused is
B. Suspension on Account of not Brought to Trial within
Absence of Witnesses the Prescribed Period
Effect of Absence of Witness
Right to Speedy Trial: A Constitutional
Any period of delay resulting from the absence
Right
or unavailability of an essential witness shall be
No provision of law on speedy trial and no rule
excluded in computing the time within which
implementing the same shall be interpreted as
trial must commence [Sec. 3, Rule 119].
a bar to any charge of denial of the right to
speedy trial guaranteed by Sec. 14(2), Art. III,
Constitution [Sec. 10, Rule 119].

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Purpose of Right to Speedy Trial Right to Speedy Trial v. Right to Speedy
The rights of the accused to a speedy trial and Disposition of Cases
speedy disposition of the case are meant to Right to Speedy
Right to Speedy
prevent the oppression of the accused by Disposition of
Trial
holding criminal prosecution, suspended over Cases
him for an indefinite time, and to prevent delays Reckoning Point
in the administration of justice [Corpuz v. First day of trial Date when the case
Sandiganbayan, G.R. No. 162214 (2004)]. is submitted for
decision
Important Periods to Observe Application
1. Between acquisition of jurisdiction over N/A When considering
the person of the accused to arraignment delay for the purpose
and pre-trial: of dismissal on the
a. Detained accused: Within 10 days ground of violation of
b. Non-detained accused: Within 30 right to speedy
days [A.M. No. 15-06-10-SC, III No 8] disposition, delay
2. Between receipt of pre-trial order to trial: “pre-trial” may be
Within 30 days [Sec. 1, Rule 119] considered (i.e.,
3. Periods of delay excluded from the delay during
computation [Sec. 3, Rule 119] preliminary
investigation)
Factors to consider when assessing denial [Coscolluela v.
of right to speedy trial [DRAP]: Sandiganbayan,
1. Duration of the delay G.R. No. 191411
2. Reason therefor (2013)]
3. Assertion of the right or failure to assert
it, and Burden of proof
4. Prejudice caused by such delay 1. The accused has the burden of proving
[Corpuz v. Sandiganbayan, supra] the ground of denial of right to speedy
trial for the motion.
Remedy 2. The prosecution has the burden of going
Motion to dismiss on the ground of denial of his forward with the evidence to establish
right to speedy trial [Sec. 9, Rule 119] the exclusion of time under Sec. 3, Rule
119 [Sec. 9, Rule 119].
Dismissal on the ground of violation of the
right to speedy trial has an effect similar to
that of acquittal
E. Requisites for Discharge of
The dismissal shall be subject to the rules on the Accused to Become a
double jeopardy [Sec. 9, Rule 119]. State Witness
Waiver of Right to Speedy Trial Requisites for Discharge to be Proper
Failure of the accused to move for dismissal [TRHS]:
prior to trial shall constitute a waiver of the right 1. Two or more persons are jointly charged
to dismiss on the ground of denial of his right to with the commission of any offense
speedy trial [Sec. 9, Rule 119]. 2. The prosecution files the motion before
Resting its case
When there is no violation of the right to 3. The prosecution is required to present
speedy trial evidence and the sworn statement of
There is no violation of the right where the each proposed state witness at a
delay is imputable to the accused. When the Hearing in support of the discharge
accused resorts to tactical maneuvers, he 4. The court is Satisfied that the conditions
waives his right to speedy trial [People v. required by the Rules are present [Sec.
Jardin, G.R. Nos. L-33037-42 (1983)]. 17, Rule 119].

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Requisites as to the Testimony to be a State G. Demurrer to Evidence
Witness [ANCoMM]:
1. Absolute necessity for the testimony of What is a Demurrer
the accused whose discharge is A demurrer to evidence is a motion to dismiss
requested due to the insufficiency of the evidence
● He alone has the knowledge of the presented by the prosecution to overturn the
crime, and not when his testimony presumption of innocence in favor of the
would simply corroborate or accused [Riano 490, 2016 Ed.].
strengthen the evidence in the hands
of the prosecution [Flores v. Dismissal on the Grounds of Insufficiency
Sandiganbayan, G.R. No. L-63677 of Evidence
(1983)]; 1. May be initiated by the court motu
2. There is No other direct evidence proprio, after giving the prosecution the
available for the proper prosecution of opportunity to be heard; or
the offense, except the testimony of the 2. Upon demurrer to evidence filed by the
said accused; accused [Sec. 23, Rule 119]
3. The testimony can be substantially
Corroborated in its material points; How Demurrer to Evidence is Made
4. The accused does not appear to be the 1. With Leave of Court:
Most guilty; ● Oral Motion: After the prosecution
5. The accused has not, at any time, been has rested its case, the court shall
convicted of any offense involving Moral inquire from the accused if he desires
turpitude [Sec. 17, Rule 119]. to move for leave of court to file a
demurrer to evidence or proceed with
F. Effects of Discharge of the presentation of his evidence. If the
Accused as State Witness accused orally moves for leave of
court to file a demurrer to evidence,
Effects of Discharge as State Witness the court shall orally resolve the same
1. Evidence adduced in support of the [A.M. No. 15-06-10-SC, III No 13 (d)].
discharge shall automatically form part of ● Written Motion: It must specifically
the trial [Sec. 17, Rule 119] state its grounds. Filed within a non-
● Note: If the motion to discharge is extendible period of 5 days after the
denied, the sworn statement is prosecution rests its case.
inadmissible as evidence. Prosecution may then oppose within
2. Discharge operates as an acquittal and a a non-extendible period of 5 days
bar to further prosecution for the same from receipt [Sec. 23, Rule 119]
offense [Sec. 18, Rule 119] ● If leave of court is granted, the
demurrer must be filed within a non-
Exception: When the accused fails or refuses extendible period of 10 days from the
to testify against his co-accused date leave of court is granted, and the
corresponding comment shall be filed
Notes: within a non-extendible period of 10
● Any error in asking for and in granting the days from receipt of demurrer to
discharge cannot deprive the one evidence [A.M No 15-06-10-SC, III No
discharged of the acquittal and the 13(d)].
constitutional guaranty against double 2. Without Leave of Court: If despite the
jeopardy [People v. Verceles, G.R. No. denial of the motion for leave, the
130650 (2002)]. accused insists on filing the demurrer to
● Subsequent amendment of the evidence, the previously scheduled
information does not affect discharge dates for the accused to present
[People v. Taruc, G.R. No. L-14010 evidence shall be cancelled [A.M. No.
(1962)]. 15-06-10-SC, III No 13 (d)].

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Test of Sufficiency of Prosecution’s [Sec. 23, evidence
Evidence: Rule 119] [Sec. 23,
The evidence of the prosecution must prove Rule 119]
beyond reasonable doubt the: Purpose is to
1. Commission of the crime; and determine Submits the
2. Precise degree of participation of the whether or case for
accused [Singian, Jr. v. Sandiganbayan, not the judgment on
G.R. Nos. 195011-19 (2013)] Purpose demurrer the basis of
was filed the evidence
Effect of granting demurrer merely to for the
The court dismisses the action on the ground stall the prosecution
of insufficiency of evidence [Sec. 23, Rule 119]. proceedings
This amounts to acquittal of the accused
[People v. Sandiganbayan, G.R. No. 164577 Demurrer in a Civil Case v. Criminal Case
(2010)]. Civil Criminal
Case Case
Note: The order granting the demurrer is not Failure of Insufficiency of
appealable but may be reviewed via certiorari plaintiff to evidence
under Rule 65 [People v. Sandiganbayan, Premise show that he
supra]. is entitled to
relief
Effect of denial of motion for leave to file Requires no May be filed with
demurrer Leave of
leave of or without leave
1. Accused may choose between Court
court of court
a. Filing the demurrer even without Denial of Accused may
leave, or demurrer lose his right to
b. Adducing evidence for his defense does not present
[Sec. 23, Rule 119] Right to
make the evidence if he
2. Order denying the motion for leave or present
defendant filed the
order denying the demurrer itself, is not evidence
lose his right demurrer
reviewable by appeal or by certiorari to present without leave of
before judgment [Sec. 23, Rule 119]. evidence court
Grant of No appeal is
Procedure if there are several accused demurrer allowed because
If there are 2 or more accused and only one entitles the grant is
presents a demurrer without leave of court: plaintiff to tantamount to
● the court may defer resolution until appeal and if acquittal
decision is rendered on the other dismissal is
accused. reversed,
Appeal
the
If it can be shown from the decision that the defendant is
resolution on the demurrer was rendered not deemed to
only on the basis of the prosecution’s evidence have waived
but also on the evidence adduced by his co- his right to
accused, then the demurrer is deemed present
resolved. evidence
Cannot be Court may on its
Right of the accused to present evidence done by own initiative
after demurrer is denied court motu dismiss the
Filed Motu proprio action after
Filed with
without proprio giving
leave
leave prosecution an
of court
of court opportunity to be
Right to May adduce Waives the heard
Present evidence in right to
Evidence his defense present
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XII. JUDGMENT B. Contents of Judgment
1. Conviction
Judgment is the adjudication by the court that
the accused is guilty or not guilty of the offense The judgment of conviction shall state [LQ-P-
charged and the imposition on him of the Pe-CD]:
proper penalty and civil liability, if any [Sec. 1, 1. The Legal Qualification of the offense
Rule 120]. constituted by the acts committed by the
accused and the aggravating/mitigating
circumstances which attended its
A. Requisites of a Judgment commission
2. The Participation of the accused in the
Requisites: offense, whether as principal,
1. Written in the official language accomplice, or accessory after the fact
3. The Penalty imposed upon the accused
Note: If given verbally, it is incomplete 4. The Civil liability or Damages caused by
[People v. Catolico, G.R. No. L-31260 his wrongful act/omission to be
(1972)] recovered from the accused by the
offended party, if there is any, unless the
2. Personally and directly prepared by the enforcement of the civil liability by a
judge separate civil action has been
3. Signed by the judge reserved/waived [Sec. 2, Rule 120].
4. Contains clearly and distinctly a
statement of the facts and the law upon The penalty should not be imposed in the
which judgment is based [Sec. 1, Rule alternative. There should be no doubt as to the
120] offense committed and the penalty for it.
There is sufficient compliance if the decision Judgment for two or more offenses
summarizes the evidence of both parties, Also known as duplicitous complaint or
synthesizes the findings and concisely narrates information [Prof. Sanidad]
how the offense was committed.
When two or more offenses are charged in a
Jurisdictional requirements single complaint or information, but the
1. Jurisdiction over the subject matter accused fails to object to it before trial, the court
2. Jurisdiction over the territory may convict him of as many offenses as are
3. Jurisdiction over the person of the charged and proved, and impose on him the
accused penalty for each offense, setting out separately
[Riano, 499, 2016 Ed., citing Cruz v. CA, G.R. the findings of fact and law in each offense
No. 123340 (2002) and Antiporda v. [Sec. 3, Rule 120].
Garchitorena, G.R. No. 133289 (1999)]
Variance between allegation and proof
Judge who renders decision (Variance Doctrine)
The judge who presided over the entire trial General Rule: The defendant can be convicted
would be in a better position to ascertain the only of the crime with which he is charged
truth or falsity of the testimonies. But the judge [Riano 504, 2016 Ed.].
who only took over can render a valid decision
by relying on the transcript. It does not violate However, a minor variance between the
due process [People v. Badon, G.R. No. information and the evidence does not alter the
126143 (1999)]. nature of the offense, nor does it determine or
qualify the crime or penalty, so that even if a
discrepancy exists, this cannot be pleaded as
a ground for acquittal [People v. Noque, G.R.
No. 175319 (2010)].

Exception: Accused shall be convicted if:

1. Offense proved which is included in the
offense charged (offense proved is
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lesser) – some or all of the ingredients of Effect of Acquittal on Civil Liability
the offense charged constitutes the General Rule: Acquittal based on failure to
offense proved prove guilt beyond reasonable doubt does not
extinguish the civil liability arising from his acts
Example: Murder includes homicide; Serious [Lontoc v. MD Transit, G.R. No. L-48949
physical injuries includes less serious or slight (1988)].
physical injuries; Robbery includes theft
[Riano] Exception: Acquittal extinguishes civil liability
only when the judgment includes a declaration
2. Offense charged which is included in that the facts from which the civil liability might
the offense proved (offense charged is arise did not exist [Lontoc v. MD Transit,
lesser) – essential ingredients of the supra]. Thus:
offense charged constitute or form part 1. The court may nonetheless hold the
of the ingredients of the offense proven accused civilly liable in favor of the
offended party, or it may deny the award
Example: Less serious physical injuries are of civil damages expressly or impliedly
included in serious physical injuries; Acts of by being silent on the matter;
lasciviousness are included in rape; Theft is 2. The losing party may appeal the ruling on
included in robbery [Riano] the civil liability, as in any other ordinary
appeal, in his name and not in the name
Where a complex crime is charged and the of the People.
evidence fails to support the charge as to one
of the component offenses, the accused can be The Court is not precluded from expressing
convicted of the one which is proven [People v. disapproval of certain acts
Llaguno, G.R. No. 91262 (1998)]. General Rule: The court has authority to
express disapproval of certain acts even if
Exception to the exception: Where there are judgment is for acquittal.
facts that supervened after the filing of the
information which change the nature of the Exception: The court is not permitted to
offense. censure the accused in a judgment for acquittal
– no matter how light, a censure is still a
2. Acquittal punishment.

The judgment of acquittal shall state whether: C. Promulgation of Judgment;

1. The evidence of the prosecution
absolutely failed to prove the guilt of the Instances of Promulgation of
accused; or Judgment in Absentia
2. Merely failed to prove his guilt beyond
reasonable doubt. IN GENERAL

In either case, the judgment shall determine if Promulgation of judgment is an official

the act or omission complained from which the proclamation or announcement of the decision
civil liability might arise did not exist [Sec. 2, of the court [Pascua v. Court of Appeals, G.R.
Rule 120]. No. 140243 (2000), citing Jacinto, Sr. 521,
Commentaries and Jurisprudence on the
Revised Rules of Court (Criminal Procedure),
Acquittal Dismissal 1994 Ed.]

Effect Terminates the case Requisites:

1. There must be a court legally organized
Decision is Decision on Not on the or constituted; and there must be a
based on the merits merits but no judge, or judges, legally appointed or
based on a finding that elected and actually acting, either de jure
finding that accused is or de facto [Luna v. Rodriguez, G.R. No.
the accused not guilty L-12647 (1917)]
is not guilty

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2. Said judgment must be duly signed and he shall be allowed to avail of the remedies
promulgated during the incumbency of within 15 days from notice [Sec. 6, Rule 120;
the judge who penned it [Payumo v. People v. De Grano, G.R. No. 167710 (2009)].
Sandiganbayan, G.R. No. 151911
(2011)] Effect of failure of the accused to appear at
3. The judgment is promulgated by reading the scheduled date of promulgation
it in the presence of the accused and any Promulgation is made by recording the
judge of the court in which it was judgment in the criminal docket and serving a
rendered [Sec. 6, Rule 120] copy at the accused’s last known address or
through counsel [Sec. 6, Rule 120].
Failure to promulgate
Where there is no promulgation of judgment, 3. If the accused is confined or detained in
no right to appeal accrues. Merely reading the another province or city
dispositive portion of the decision is not The judgment may be promulgated by the
sufficient [Pascua v. CA, G.R. No. 140243 executive judge of the RTC having jurisdiction
(2000)]. over the place of confinement or detention
upon request of the court which rendered the
Notice for promulgation judgment. The court promulgating the
The proper clerk of court shall give notice to the judgment shall have authority to accept the
accused personally or through his bondsman notice of appeal and to approve the bail bond
or warden and counsel, requiring him to be pending appeal; provided, that if the decision of
present at the promulgation of the decision. If the trial court convicting the accused changed
the accused was tried in absentia because he the nature of the offense from non-bailable to
jumped bail or escaped from prison, the notice bailable, the application for bail can only be
to him shall be served at his last known filed and resolved by the appellate court [Sec.
address [Sec. 6, Rule 120]. 6, Rule 120].

PROMULGATION IN CERTAIN 4. Promulgation when a judge is no longer

CIRCUMSTANCES a judge
1. When the judge is absent or outside the A judgment promulgated after the judge who
province or city signed the decision has ceased to hold office is
not valid and binding. In like manner, it cannot
The judgment may be promulgated by the clerk be promulgated after the retirement of the
of court [Sec. 6, Rule 120] judge [Nazareno v. CA, G.R. No. 111610
2. Where Presence of Accused Is (2002)].
Required; Exceptions
D. Instances when Judgment
General Rule: Presence of the accused is
mandatory in the promulgation of judgment. Becomes Final

Exception: If the conviction is for a light Modification of judgment

offense, the judgment may be pronounced in A judgment of conviction may, upon motion of
the presence of his counsel or representative the accused, be modified or set aside before
[Sec. 6, Rule 120]. the judgment becomes final or before appeal is
perfected [Sec. 7, Rule 120, Rules of Court].
If the judgment is for conviction and the failure
of the accused to appear was without justifiable When does judgment become final
cause, he shall lose the remedies available in 1. After the lapse of the period for
the Rules against the judgment and the court perfecting an appeal;
shall order his arrest. 2. When the sentence has been
partially/totally satisfied or served;
However, within 15 days from promulgation of 3. The accused has waived in writing his
judgment, he may surrender and file a motion right to appeal;
for leave of court to avail of these remedies. He 4. When the accused has applied for
shall state the reasons for his absence. If he probation; and
proves his absence was for a justifiable cause,
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Note: Appeal and Probation are mutually clerical errors. See Quirino v. PNB [G.R. No. L-
exclusive remedies. It is implicit in an 9159 (1957)]
application for probation that there is an
admission of guilt [Prof. Bautista]. Remedies of the Accused against a
Judgment of Conviction
5. Judgment also becomes final when 1. Modification of judgment [Sec. 7, Rule
judgment is an acquittal [People v. 120]
Sandiganbayan, G.R. No. 164577 2. Reopening of proceedings [Sec. 24,
(2010)] Rule 119]
3. Motion for new trial [Sec. 1, Rule 121]
Exception: Where the death penalty is 4. Motion for reconsideration [Sec. 1, Rule
imposed [Sec. 7, Rule 120] 120]
5. Appeal from judgment [Rule 122]
After finality, the TC is divested of authority to
amend/alter the judgment, except to correct

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XIII. MOTION FOR NEW C. Requisites Before a New Trial
TRIAL OR May be Granted on Ground of
RECONSIDERATION Newly Discovered Evidence
The evidence
A. Grounds for New Trial 1. Was discovered after the trial;
2. Could not have been discovered and
a. Errors of law or irregularities prejudicial produced at the trial even with the
to the substantial rights of the accused exercise of reasonable diligence;
have been committed during the trial 3. Is material, not merely cumulative/
corroborative/impeaching; and
General Rule: Errors of the defense counsel in 4. of such weight that it would probably
the conduct of the trial is neither an error of law change the judgment if admitted [Tadeja
nor an irregularity [Ceniza-Manantan v. v. People, G.R. No. 145336 (2006)]
People, G.R. No. 156248 (2007)].
The accused has the burden of proving item (b)
Exception: They become an error of law or above [US v. Torrente, G.R. No. 1001 (1903)].
irregularity when acquittal would, in all
probability, have followed the introduction of The determinative test is the presence of due
certain testimony which was not submitted at or reasonable diligence to locate the thing to be
the trial under improper or injudicious advice of used as evidence in the trial [Briones v. People,
incompetent counsel of the accused [Aguilar v. G.R. No. 156009 (2009)].
Court of Appeals, G.R. No. 114282 (1995)].
Interest of justice as gauge for introduction
Irregularities must be with such seriousness as of new evidence
to affect prejudicially the substantial rights of In People v. Almendras [G.R. No. 145915
the accused [Sec. 2(a), Rule 121; Tabobo v. (2003)], the Court ruled that a motion for a new
People, G.R. No. 220977 (2017)]. trial may be granted on a ground not
specifically provided in the rules, provided that
b. New and material evidence has been it is sought in the interest of justice. In that
discovered which the accused could not case, the relief of a new trial was granted to a
with reasonable diligence have discovered client who has suffered by reason of his/her
and produced at the trial and which if counsel’s gross mistake and negligence.
introduced and admitted would probably
change the judgment Form of motion for reconsideration & new
trial
See Part L.3 of this (Criminal Procedure) 1. Must be in writing
reviewer 2. Must state the grounds on which it is
[Sec. 2, Rule 121] based
3. based on newly-discovered evidence,
B. Grounds for motion must be supported by:
a. the affidavits of the witnesses by
Reconsideration whom such evidence is expected to
be given, or
The court shall grant reconsideration on the b. duly authenticated copies of
ground of errors of law or fact in the judgment, documents which are proposed to be
which requires no further proceedings [Sec. 3, introduced in evidence
Rule 121].
Notice of the motion shall be given to the
prosecutor [Sec. 4, Rule 120].

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D. Effects of Granting a New in the RTC, counted from receipt of the order
denying a MNT or MR. Neypes v. CA [G.R. No.
Trial or Reconsideration 141524 (2005)] declared that:
In general “Henceforth, this ‘fresh period rule’ shall also
1. The original judgment set aside or apply to Rule 40 governing appeals from the
vacated; and Municipal Trial Courts to the Regional Trial
2. A new judgment is rendered accordingly Courts; Rule 42 on petitions for review from the
[Sec. 6, Rule 121] Regional Trial Courts to the Court of Appeals;
Rule 43 on appeals from quasi-judicial
Other effects of granting new trial or agencies to the Court of Appeals and Rule 45
reconsideration depending on ground governing appeals by certiorari to the Supreme
Ground Effect Action of Court.”
the court
The “fresh period rule” enunciated in Neypes
Errors of law All The court also applies to criminal actions, particularly to
or proceedings will allow Sec. 6 of Rule 122 [Yu v. Tatad, G.R. No.
irregularities and evidence introduction 170979 (2011)].
committed affected shall of additional
during the be set aside evidence in
trial and taken the interest
anew. of justice.

If error or
irregularity
goes into the
jurisdiction,
the entire
proceeding is
void and
must be set
aside.

Newly- Evidence The court

discovered already will allow
evidence adduced introduction
shall stand of other
and the such
newly- evidence in
discovered the interest
and such of justice.
other
evidence
shall be
taken and
considered
together with
the evidence
already in the
record.
[Sec. 6, Rule 121]

Applying the Neypes doctrine in criminal

cases
The Neypes doctrine allows a fresh period of
15 days within which to file the notice of appeal
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XIV. SEARCH AND SEIZURE As a rule, the Constitution mandates that a
search and seizure must be carried out through
A. Nature of Search Warrant or on the strength of a judicial warrant
predicated upon the existence of probable
Nature cause [Comerciante v. People, G.R. No.
It is an order in writing; issued in the name of 205926 (2015)].
the People of the Philippines; signed by a
judge; and directed to a peace officer, Directed upon acts of the government, not
commanding him to search for personal private persons
property described in the warrant and bring it The constitutional protection is directed against
before the court [Sec. 1, Rule 126]. the acts of the government and its agents, not
private persons [People v. Marti, G.R. No.
A search warrant is not a criminal action, nor 81561 (1991)].
does it represent a commencement of a
criminal prosecution even if it is entitled like a General Rule: Search of property is
criminal action. It is not a proceeding against a unreasonable unless it has been authorized by
person but is solely for the discovery and to get a valid search warrant.
possession of personal property [Worldwide
Web Corporation v. People, G.R. No. 161106 Exceptions:
(2014)]. 1. Search incidental to a lawful arrest;
2. Consented search;
Constitutional safeguard 3. Search of moving vehicle;
No search warrant or warrant of arrest shall 4. Checkpoints;
issue except upon probable cause to be 5. Plain view;
determined personally by the judge after the 6. Stop and frisk;
examination under oath/affirmation of the 7. Customs search;
complaint and the witness he may produce, 8. Rule specific to Public Utility Searches
and particularly describing the place to be [Yu v. Presiding Judge, G.R. No. 142848
searched, and the things/persons to be seized (2006)];
[Sec. 2, Art. III, Constitution]. 9. Airport Searches [People v. O’Cochlain,
G.R. No. 229071 (2018)];
Under the exclusionary rule, any evidence 10. Other exceptions, such as exigent
obtained in violation of this is inadmissible for circumstances
any purpose in any proceeding [Sec. 3, 2nd
par., Art. III, Constitution].

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B. Distinguish from Warrant of Arrest
Search warrant Warrant of arrest

Nature and Order in writing issued in the name of Order directed to the peace officer to
purpose the People of the Philippines, signed by execute the warrant by taking the
the judge and directed to the peace person stated therein into custody that
officer to search personal property he may be bound to answer for the
described therein and to bring it to court commission of the offense
[Sec. 1, Rule 126]

Determination The judge must personally examine in Sec. 2, Art. III of the Constitution does
of Probable the form of searching questions and not mandatorily require the judge to
cause answers, under oath, the complainant personally examine the complainant
and witnesses he may produce on facts and her witnesses. Instead, he may opt
personally known to them and attach to to personally evaluate the report and
the record their sworn statements, supporting documents submitted by
together with the affidavits submitted the prosecutor or he may disregard the
[Sec. 5, Rule 126] prosecutor’s report and require the
submission of supporting affidavits of
witnesses [People v. Grey, G.R. No.
180109 (2010), citing Soliven v.
Makasiar, G.R. No. 82585 (1988)].

Form It must particularly describe the place It must particularly describe the person
to be searched and the things to be to be arrested [Sec. 2, Art. III,
seized [Sec. 2, Art. III, Constitution], Constitution].
which may be anywhere in the
Philippines [Sec. 4, Rule 126].

When executed The warrant must direct that it be No such limitation under Sec. 2, Art. III,
served in the day time, unless the Constitution and Rule 113
affidavit asserts that the property is on
the person or in the place ordered to be
searched, in which case a direction
may be inserted that it be served at any
time of the day or night [Sec. 9, Rule
126].

Validity Valid for 10 days from its date [Sec. 10, Does not expire
Rule 126]
The 10-day period referred to in Sec. 4,
The lifetime of the search warrant also Rule 113 refers to the time within which
ends when a return has already been the head of the office to whom the
made [Mustang Lumber v. CA, G.R. warrant of arrest was delivered for
No. 104988 (1996)]. execution shall cause the warrant to be
executed.

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C. Application for Search Issuance and form of search warrant
If the judge is satisfied of the existence of facts
Warrant; Where Filed upon which the application is based or that
there is probable cause to believe that they
General Rule: It may be filed in any court exist, he shall issue the warrant, which must be
within whose territorial jurisdiction the crime substantially in the form prescribed the Rules
was committed. However, if the alleged act [Sec. 6, Rule 126].
constitutes a continuing or transitory crime, the
application may be with any court where any Thus, the search warrant must be in writing and
element of the alleged offense was committed contain
[Sony Computer v. Evergreen, G.R. No. 1. Name of person against whom it is
161823 (2007)]. directed,
2. Offense for which it was issued,
Exception: For compelling reasons, which 3. place to be searched, and
must be stated in the application, it may also be 4. description of the specific things to be
filed: seized,
1. If the place of the commission of the 5. A directive to law enforcement officers to
crime is known, any court within the search and seize and for them to bring in
judicial region where the crime was court the things seized,
committed 6. Signature of the judge issuing it
2. Any court within the judicial region where
the warrant shall be enforced The absence of such requisites will cause the
search warrant’s downright nullification [Santos
However, if the criminal action has already v. Pryce Gases, Inc., G.R. No. 165122 (2007)].
been filed, the application shall only be made
in the court where the criminal action is pending
[Sec. 2, Rule 126]. D. Probable Cause for
Issuance of Search Warrant
Rules on the Use of Body-Worn Cameras
Under A.M. No. 21-06-08-SC, the trial court Probable cause means the existence of such
may, upon finding probable cause, issue an facts and circumstances which would lead a
arrest warrant with an order requiring the use reasonably discreet and prudent man to
of at least one body-worn camera and one believe that an offense has been committed,
alternative recording device, or a minimum of and that objects sought in connection with
two devices, or such number as may be the offense are in the place sought to be
necessary to capture and record the relevant searched [People v. Breis, G.R. No. 205823
incidents during its execution. (2015)].

In order for the evidence seized by the use of This probable cause must be shown to be
body-worn cameras to be admissible, within the personal knowledge of the
1. The person to be arrested must be complainant or the witnesses he may produce
notified that they are being recorded and not based on mere hearsay. The probable
2. The officers shall ensure that they are cause must refer only to one specific offense
worn in a conspicuous location and in a [Roan v. Gonzales, G.R. No. 71410 (1986)].
manner that maximizes their ability to
capture a recording Note: Probable cause to arrest does not
3. All recordings from the cameras or necessarily involve a probable cause to search
devices shall be stored in an external and vice-versa.
media storage device and
simultaneously deposited in a sealed
package with the issuing court

Failure to observe the requirement of using

body-worn cameras or alternative recording
devices shall not render the arrest unlawful or
render the evidence obtained inadmissible.

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E. Personal Examination by Examination under oath
The judge must examine under oath or
Judge of the Applicant and affirmation the complainant and the witness he
Witness may produce [Sec. 2, Art. III, Constitution].

The Rules require the judge to comply with a Oath includes any form of attestation by which
specific procedure in the conduct of the a party signifies that he is bound in conscience
examination of the complainant and the to perform an act faithfully and truthfully
witnesses he may produce [Alvarez v. CFI, G.R. No. L-45358 (1937)].
1. The examination must be personally
conducted by the judge; Mere affidavits of the complainant or his
2. The examination must be in the form of witnesses are not sufficient. The examining
searching questions and answers; judge has to take depositions in writing of the
3. The complainant and the witnesses shall complaint or his witnesses, and attach the
be examined on those facts personally same to the record [Prudente v. Judge Dayrit,
known to them; G.R. No. 82870 (1989)].
4. The statements must be in writing and
under oath; and F. Particularity of Place to Be
5. The sworn statements of the
complainant and the witnesses, together Searched and Things to Be
with the affidavits submitted, shall be Seized
attached to the record [Sec. 5, Rule 126].
Warrant issued must particularly describe the
Searching questions and answers place to be searched and the things to be
Searching questions are such questions which seized [Sec. 2, Art. III, Constitution].
have the tendency to show the commission of
a crime and the perpetrator thereof [Luna v. Particularity of place to be searched
Plaza, G.R. No. L-27511 (1968)]. Description of the place to be searched is
sufficient if the officer with the search warrant
In search cases, the application must be can, with reasonable efforts, ascertain and
supported by substantial evidence identify the place intended [People v. Veloso,
1. That the items sought are in fact seizable G.R. No. L-23051 (1925)].
by virtue of being connected with
criminal activity; and The search warrant does not require the name
2. That the items will be found in the place of the person who occupies the described
to be searched [People v. Tuan, G.R. No. premises. The search warrant is issued for the
176066 (2010)]. search of specifically described premises only
and not for the search of a person [Quelnan v.
A search warrant issued by a judge who did not People, G.R. No. 166061 (2007)]
ask searching questions but only leading ones
and in a general manner is invalid [Uy v. BIR, G. Personal Property to be
G.R. No. 129651 (2000)].
Seized
Although there is no hard-and-fast rule
governing how a judge should conduct his What may be seized
investigation, it is axiomatic that the 1. Personal property subject of the offense;
examination must be probing and exhaustive, 2. Personal property stolen/embezzled and
not merely routinary, general, peripheral, other proceeds/fruits of the offense;
perfunctory, or pro forma. The judge must not 3. property used or intended to be used as
simply rehash the contents of the affidavit but the means of committing an offense
must make his own inquiry on the intent and [Sec. 3, Rule 126]
justification of the application [Yao v. People,
G.R. No. 168306 (2007)]. The scope of the search warrant is limited to
personal property. It does not issue for seizure
of immovable properties [See Sec. 3, Rule
126].

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General Rule: Things to be seized must be destroying the whole [Uy v. BIR, G.R. No.
described particularly. General search 129651 (2000)].
warrants are not allowed [Sec. 2, Art. III, The rule does not require that the property to
Constitution]. be seized should be owned by the person
against whom the search warrant is directed. It
A general warrant is defined as "a search or is sufficient that the person against whom the
arrest warrant that is not particular as to the warrant is directed has control of possession of
person to be arrested or the property to be the property sought to be seized [Burgos v.
seized." It is one that allows the "seizure of one Chief of Staff, G.R. No. L-64261 (1984)].
thing under a warrant describing another" and
gives the officer executing the warrant the H. Exceptions to the Search
discretion over which items to take [Worldwide
Web Corporation v. People, G.R. No. 161106 Warrant Requirement
(2014)].
1. Search Incidental to Lawful Arrest
Where the language used is too all-embracing 2. Search
as to include all the paraphernalia of petitioner 3. Search of a Moving Vehicle
in the operation of its business, the SW is 4. Checkpoints; Body Checks in Airport
constitutionally objectionable [Columbia 5. View
Pictures v. Flores, G.R. No. L-78631 (1993)]. 6. Stop and Frisk
7. Enforcement of Customs Law
Exceptions: 8. Other Exceptions
Where, by the nature of the goods to be seized, a. Exigent and Emergency
their description must be rather Circumstances
b. Buy-Bust Operation
In general, it is not required that a technical c. Private Searches
description be given, for this would mean that
no search warrant could issue [People v. Items (1) to (3), (5) to (7) and (8)(a) are
Rubio, G.R. No. L-35500 (1932)]. enumerated in Veridiano v. People [G.R. No.
200370 (2017)].
The general description of the documents
listed in the search warrant does not render it The other items are sanctioned by the SC in
void if it is severable, and those items not other cases.
particularly described may be cut off without
See the discussion below.

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Requisites Notes

Search Even without a warrant, the person When an arrest is made, it is reasonable
Incidental to arrested may be searched for: for the arresting officer to search the
Lawful Arrest 1. Dangerous weapons, person arrested in order to remove any
2. Anything which may have been weapon that the latter might use in order
used in the commission of an to resist arrest or effect his escape.
offense, or Otherwise, the officer’s safety might well
3. Anything which may constitute be endangered, and the arrest itself
proof in the commission of the frustrated.
offense [Sec. 13, Rule 126]
In addition, it is entirely reasonable for the
The arrest must precede the search; arresting officer to search for and seize
generally, the process cannot be any evidence on the arrestee’s person in
reversed. Nevertheless, a search order to prevent its concealment or
substantially contemporaneous with an destruction [People v. Calantiao, G.R. No.
arrest can precede the arrest if the police 203984 (2014), citing Valeroso v. CA, G.R.
have probable cause to make the arrest at No. 164815 (2009)].
the outset of the search [Sy v. People,
G.R. No. 182178 (2011), citing People v. The warrantless search incident to a lawful
Racho (erroneously referred to as arrest cannot be made in a place other
Rancho), G.R. No. 186529 (2010)]. than the place of arrest. If search made at
place of arrest yields nothing, but a second
The rule assumes that the arrest is legal. search conducted on suspect at the police
If the arrest is illegal, then the search is station yields evidence, the second search
illegal and as a result, the things seized is unlawful and unreasonable [Vaporoso v.
are inadmissible as evidence [People v. People, G.R. No. 238659 (2019)].
Aruta, G.R. No. 120195 (1998)].

Where a search is first undertaken, and an

arrest was effected based on evidence
produced by such search, both search and
arrest are illegal [Lui v. Matillano, G.R. No.
141176 (2004)].

Jurisprudence requires that in case of Relevant to the determination of consent

consented searches or waiver of the are the following characteristics of the
constitutional guarantee against obtrusive person giving consent and the
searches, it must first appear that: environment in which consent is given:
1. The right exists; 1. The age of the defendant;
2. The person involved had 2. he was in a public or secluded
knowledge, either actual or location;
constructive, of the existence of 3. Whether he objected to the search
such right; and or passively looked on;
3. The said person had an actual 4. The education and intelligence of
intention to relinquish the right the defendant;
[People v. Nuevas, G.R. No. 5. The presence of coercive police
170233 (2007)]. procedures;
6. The defendant's belief that no
Consent to a search is not to be lightly incriminating evidence will be
inferred, but must be shown by clear and found;
convincing evidence. It is the State which 7. The nature of the police
has the burden of proving, by clear and questioning;
positive testimony, that the necessary 8. The environment in which the
consent was obtained and that it was questioning took place; and
freely and voluntarily given [Valdez v. 9. The possibly vulnerable subjective
People, G.R. No. 170180 (2007)]. state of the person consenting

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Requisites Notes

[Caballes v. CA, G.R. No. 136292

(2002)].

Search of a When a vehicle is stopped and subjected Peace officers may lawfully conduct
Moving to an extensive search, such a warrantless searches of moving vehicles without need
Vehicle search should be constitutionally of a warrant as it is impracticable to secure
Consented permissible only if the officers conducting a judicial warrant before searching a
Search the search have reasonable or probable vehicle since it can be quickly moved out
cause to believe, before the search, that of the locality or jurisdiction in which the
either: warrant may be sought [People v. Tuazon,
1. the motorist is a law-offender; or G.R. No. 175783 (2007)]
2. they will find the instrumentality or
evidence pertaining to a crime in However, these searches would be limited
the vehicle to be searched to visual inspection and the vehicles or
[Caballes v. CA, supra]. their occupants cannot be subjected to
physical or body searches, except where
Officers are limited to routine checks there is probable cause to believe that the
where the examination of the vehicle is occupant is a law offender or the contents
limited to visual inspection. For a of the vehicles are instruments or
warrantless search in a moving vehicle, it proceeds of some criminal offense.
is the vehicle that is the target of the
search, and not the person. The clear
target of the search is the accused, based
on a description given, and not the vehicle.
Further, there is no probable cause when
the officers only acted on an anonymous
tip from an informant, as it is hearsay.
Instead of relying only on the tip, officers
should find reasonable grounds to believe
that the person who was searched had
committed or was planning to commit a
crime. The officer must observe facts that
would lead to a reasonable degree of
suspicion of a person and should not
adopt the suspicion initiated by another
person. This is manifested through overt
acts and circumstances personally
observed by the police which created
further suspicion [People v. Sapla, G.R.
No. 244045 (2020)].

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Requisites Notes

Checkpoints; Searches conducted in checkpoints are Routine inspections are not regarded as
Body Checks valid as long as they are warranted by the violative of an individual’s right against
in Airport exigencies of public order and conducted in unreasonable search
a way least intrusive to motorists. 1. Where the officer merely draws
aside the curtain of a vacant
Although the general rule is that motorists vehicle which is parked on the
and their vehicles as well as pedestrians public fair grounds,
passing through checkpoints may only be 2. Officer simply looks into a
subjected to a routine inspection, vehicles vehicle,
may be stopped and extensively searched 3. Officer flashes a light therein
when there is probable cause which without opening car’s doors,
justifies a reasonable belief of the men at 4. Occupants not subjected to a
the checkpoints that either the motorist is a physical search,
law offender or the contents of the vehicle 5. Inspection is limited to visual
are or have been instruments of some search or visual inspection, or
offense [People v. Vinecario, G.R. No. 6. Routine check is conducted in a
141137 (2004)]. fixed area [Caballes v. CA,
supra].
While the right of the people to be secure
in their persons, houses, papers, and
effects against unreasonable searches and
seizures is guaranteed by Section 2, Article
III of the 1987 Constitution, a routine
security check being conducted in air and
sea ports has been a recognized exception
[People v. O’Cochlain, G.R. No. 229071
(2018)].

Plain View 1. Police must have prior justification to a Limitations

Situation prior valid intrusion (i.e., based on the 1. It may not be used to launch
valid warrantless arrest in which the unbridled searches and
police are legally present in the pursuit indiscriminate seizures
of their official duties) 2. It does not extend to a general
2. Evidence was inadvertently discovered exploratory search made solely
by the police who have a right to be to find evidence of defendant’s
where they are guilt [People v. Musa, G.R. No.
3. Evidence must be immediately and 96177 (1993)]
apparently illegal (i.e., drug
paraphernalia) Rationale
4. Plain view justified mere seizure of The doctrine is a recognition of the
evidence without further search fact that when the police come across
[People v. Martinez, G.R. No. 191366 (2010)] immediately recognizable
incriminating evidence not named in
the warrant, they should not be
required to close their eyes to it,
regardless of whether it is evidence of
the crime they are investigating or
evidence of some other crime. The
doctrine is also a recognition of the
fact that it would be needless
inconvenience to require the police to
obtain another warrant [US v. Gray,
484 F.2d 352 (6th Cir., 1978)].

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Requisites Notes

Stop and Stop and frisk is a limited protective search of Dual purpose of stop-and-frisk
Frisk outer clothing for weapons [Malacat v. CA, 1. The general interest of
Situation G.R. No. 123595 (1997)]. effective crime prevention
and detection and
Where a police officer observes unusual 2. The more pressing interest of
conduct, which leads him reasonably to safety and self-preservation
conclude in the light of his experience that which permit the police officer
criminal activity may be afoot, and that a to take steps to assure himself
person with whom he is dealing may be armed that the person with whom he
and presently dangerous, he is entitled to deals is not armed with a deadly
conduct a stop and frisk search. weapon that could
unexpectedly and fatally be
used against the police officer.
[Malacat v. CA, supra]

Stop and Frisk v. Search Incidental

to Lawful Arrest
The latter happens when one is
caught in flagrante delicto, the former
is done in order to prevent a crime
from occurring [People v. Cogaed,
G.R. No. 200334 (2015)]

For the enforcement of customs duties and General Rule: The CMTA does not
tariff laws, the Collector of Customs is require a warrant for such searches.
authorized to effect searches and seizure
[General Travel Services v. David, G.R. No. L- Exception: In the search of a dwelling
19259 (1966)]. house, a search warrant is required
[Sec. 220, CMTA].
The Customs Modernization and Tariff Act
(CMTA) authorizes customs officers to: Note: RTCs are devoid of any
1. Enter, pass through or search any land, competence to pass upon the validity
Enforcement enclosure, warehouse [Sec. 219, or regularity of seizure and forfeiture
of Customs CMTA] proceedings conducted by the Bureau
Law 2. Inspect/search/examine any vessel or of Customs and to enjoin or otherwise
aircraft and any interfere with these proceedings. It is
trunk/package/box/envelope or any the Collector of Customs, sitting in
person on board, or stop and examine seizure and forfeiture proceedings,
any vehicle/beast/person suspected of who has exclusive jurisdiction to hear
holding/conveying any and determine all questions touching
dutiable/prohibited article introduced on the seizure and forfeiture of
into the Philippines contrary to law [Sec. dutiable goods [Asian Terminals, Inc.
221, CMTA] v. Bautista-Ricafort, G.R. No. 166901
(2006)].

Other exceptions warrant as the court then was closed [People

v. de Gracia, G.R. Nos. 102009-10 (1994)].
Exigent and emergency circumstances
In one case, there was a prevailing general
chaos and disorder because of an ongoing
coup, and the raid of the office/building was
precipitated by an intelligence report that said
office was being used as HQ by the RAM. The
raiding team had no opportunity to apply for

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I. Remedies From Unlawful Grounds
A motion to quash a search warrant may be
Search and Seizure based on grounds extrinsic of the search
warrant, such as (1) the place searched or the
Who may avail property seized are not those specified or
Only the party whose rights have been described in the search warrant; and (2) there
impaired thereby; the objection to an unlawful is no probable cause for the issuance of the
search and seizure is purely personal and search warrant [Abuan v. People, G.R. No.
cannot be availed of by third parties [Stonehill 168773 (2006)].
v. Diokno, G.R. No. L-19550 (1967); Santos v.
Pryce Gases Inc., G.R. No. 165122 (2007)] Failure to file motion to quash
Where no MTQ the search warrant was filed in
1. Employ any means to prevent the or resolved by the issuing court, the interested
search party may move in the court where the criminal
Without a search warrant, the officer cannot case is pending for the suppression as
insist on entering a citizen’s premises. If he evidence of the personal property seized under
does so, he becomes an ordinary intruder. the warrant if the same is offered therein for
said purpose [Malaloan v. CA, G.R. No.
The person to be searched may resist the 104879 (1994)].
search and employ any means necessary to
prevent it, without incurring any criminal liability 4. File a motion to return things seized
[People v. Chan Fook, G.R. No. L-16968 The venue where the motion will be filed
(1921)]. follows the same rules as in a motion to quash.
2. File criminal action against officer An accused may file a motion to suppress
A public officer/employee who procures a evidence if he is not among the persons who
search warrant without just cause is criminally can file a motion to quash.
liable under Art. 129, RPC, on search warrants
maliciously obtained and abuse in the service General Rule: Goods seized by virtue of an
of those legally obtained. illegal warrant must be returned.
3. File a motion to quash the illegal Exception: The illegality of the search warrant
warrant does not call for the return of the things seized,
This remedy is employed if search is not yet the possession of which is prohibited by law
conducted. [Castro v. Pabalan, G.R. No. L-28642 (1976)].
Who may file 5. Motion to suppress evidence
1. Person who will potentially be injured; This refers to a motion to suppress as evidence
2. Person to be searched; the objects illegally taken pursuant to the
3. Owner of the property to be searched. exclusionary rule, which states that any
evidence obtained through unreasonable
Where to file searches and seizures shall be inadmissible for
1. Motions to quash a search warrant any purpose in any proceeding.
and/or to suppress evidence obtained
thereby may be filed in and acted upon CIVIL AND CRIMINAL LIABILITY FROM
only by the court where the action has UNREASONABLE SEARCH AND SEIZURE
been instituted. The following offenses may result from
2. If no criminal action has been unreasonable search and seizure:
instituted, motion may be filed in and 1. Violation of domicile [Art. 128, RPC]
resolved by the court that issued the 2. Search warrant maliciously obtained
warrant. [Art. 129, RPC]
3. If such court failed to resolve the motion, 3. Searching domicile without witnesses
and a criminal case is subsequently filed [Art. 130, RPC]
in another court, the motion shall be 4. interlocutory order [Art. 206, RPC]
resolved by the latter court [Sec. 14, Rule
126].

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The public officer or employee may be held J. Cybercrime Warrants
liable for: See Rules on Cybercrime Warrants below
1. Entering without authority; against the
will; refuses to leave
2. A search warrant procured without just K. Warrants Relating to Bank
cause or if with just cause, exceeds his Accounts
authority or uses unnecessary severity of
force General Rule: Sec. 2 of R.A. No. 1405
3. Conducting the search without the otherwise known as the Bank Secrecy Act of
required witnesses 1995 provides that all deposits of whatever
nature with banks or banking institutions in the
The judge may be held liable for: Philippines including investments in bonds
1. Knowingly rendering an unjust issued by the Government of the Philippines,
interlocutory order [Art. 206, RPC] its political subdivisions and its
2. Inexcusable negligence or ignorance instrumentalities, are hereby considered as of
[Art. 205, RPC] an absolutely confidential nature.

It may also result in civil liability for Exception: Bank accounts may be examined,
1. Violation of rights and liberties [Art. inquired, or looked into:
32(9), CC] 1. Upon written permission of the depositor
2. Malicious prosecution and acts referred 2. In cases of impeachment
to Art. 32 [Art. 2218, CC] 3. Upon order of a competent court in cases
of bribery or dereliction of duty of public
Malice or bad faith is not required. officials
4. In cases where the money deposited or
Not only official actions, but all persons, invested is the subject matter of the
including those private parties/entities upon litigation
whose initiative the unreasonable search was 5. As provided by subsequent legislation
conducted, are held liable for damages [MHP (i.e., Anti-Money Laundering Act or
Garments v. CA, G.R. No. 86720 (1994)]. AMLA)

Waiver of immunity against unreasonable Bank Inquiry Order as Search Warrant

search and seizure A bank inquiry order is a provisional relief
The constitutional immunity against available to the Anti-Money Laundering
unreasonable searches and seizure is a Council in aid of its investigative powers. It
personal right that may be waived partakes of the character of a search warrant
expressly/impliedly only by the person whose [Subido Law Offices v. CA, G.R. No. 216914,
right is being invaded or one who is expressly (2016)].
authorized to do so in his behalf [Pasion v.
Locsin, G.R. No. L-45950 (1938)]. Investigations for Anti-Money Laundering
offenses, including the proceedings for the
Requisites: issuance of bank inquiry order, are kept ex
1. It must appear that the right exists parte in order not to frustrate the State’s effort
2. The person involved had knowledge in building its case and eventually prosecuting
(actual or constructive) of the existence money laundering offenses.
of such right
3. The person had an actual intention to The absence of notice to the owner of a bank
relinquish the right account that an ex parte application as well as
[Pasion v. Locsin, G.R. No. L-45950 (1938)] an order to inquire has been granted by the
Court of Appeals is not unreasonable nor
arbitrary. The lack of notice does not violate the
due process clause [Ibid.].

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XV. PROVISIONAL 2. When the criminal action is based on a
claim for money or property embezzled
REMEDIES IN CRIMINAL or fraudulently misapplied or converted
to the use of the accused who is a
CASES public/corporate officer, attorney, factor,
broker, agent, or clerk in the course of his
A. Nature employment as such, or by any other
person in a fiduciary capacity, or for a
Provisional remedies in civil actions, insofar willful violation of duty
as they are applicable, may be availed of in 3. When the accused has concealed,
connection with the civil action deemed removed, or disposed of his property, or
instituted with the criminal action [Sec. 1, Rule is about to do so
127]. 4. When the accused resides outside the
Philippines [Sec. 2, Rule 127]
If the civil action is suspended on account of
filing of the criminal action, the court with which Issuance and Implementation
the civil case is filed is not thereby deprived of The writ may be issued ex parte before
its authority to issue auxiliary writs that do not acquisition of jurisdiction over the accused
go into the merits of the case [Ramcar, Inc. v. [Cuartero v. CA, G.R. No. 102448 (1992)].
de Leon, G.R. No. L-1329 (1947)].
However, it may be implemented only after
Provisional remedies are not available acquisition of jurisdiction over the person of the
when: accused [Gonzales v. State Properties, G.R.
1. Offended party has waived the civil claim No. 140765 (2001)].
2. Offended party has reserved the civil
claim A public prosecutor has the authority to apply
3. Offended party has already instituted a for preliminary attachment to protect the
separate civil action interest of the offended party, particularly
4. Criminal action carries with it no civil considering that the corresponding civil liability
liability. of the culprits is to be determined therein, no
reservation having been made of the right to
Note: If civil action has been waived, reserved, enforce it in a separate civil action [Santos v.
or instituted separately, the provisional remedy Judge Flores, G.R. No. L-18251 & L-18252
applicable should be applied for in the separate (1962)].
civil action instituted [Riano 571, 2011 Updated
Ed.]. No notice to the adverse party or hearing on
the application is required before a writ of
B. Kinds of Provisional preliminary attachment may issue as a hearing
would defeat the purpose of the provisional
Remedies remedy. The time which such hearing would
take could be enough to enable the defendant
The accused may present evidence to prove to abscond or dispose of his property before a
his defense and damages, if any, arising from writ of attachment may issue [Mindanao
the issuance of a provisional remedy in the Savings and Loan Assoc., Inc. v. CA, G.R. No.
case [Sec. 11(b), Rule 119]. 84481 (1989)].
a. Preliminary Attachment b. Injunction
When Proper General Rule: Criminal prosecution may not
The offended party may have the property of be stayed or restrained by injunction,
the accused attached as security for the preliminary or final.
satisfaction of any judgment that may be
recovered from the accused in the following Exceptions:
cases: 1. To afford adequate protection to the
1. When the accused is about to abscond constitutional rights of the accused,
from the Philippines

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2. When necessary for the orderly 1. Temporary Protection Order - issued
administration of justice or to avoid by the court on the date of filing of the
oppression or multiplicity of actions, application after ex parte determination
3. When there is a pre-judicial question that such order should be issued. A court
which is sub judice, may grant in a TPO any, some, or all of
4. When the acts of the officer are without the reliefs mentioned in the Act and shall
or in excess of authority, be effective for 30 days.
5. Where the prosecution is under an
invalid law, ordinance, or regulation, 2. Barangay Protection Order - issued by
6. When double jeopardy is clearly the Punong Barangay or any available
apparent, Barangay Kagawad ordering the
7. Where the court has no jurisdiction over perpetrator to desist from committing
the offense, acts described in the law. When issued,
8. Where it is a case of persecution rather they shall be effective for 15 days.
than prosecution,
9. Where the charges are manifestly false
and motivated by the lust for vengeance,
10. When there is clearly no prima facie
case against the accused and a motion
to quash on that ground has been
denied, and
11. Preliminary injunction has been issued
by the Supreme Court to prevent the
threatened unlawful arrest of petitioners
[Brocka v. Enrile, G.R. Nos. 69863-65
(1990)]

C. Other Provisional Remedies

Protection Orders, RA 9262

Certain interim reliefs may be availed of under

R.A. 9262 even before or in the absence of a
decree of legal separation, annulment, or
declaration of absolute nullity of marriage and
for the protection of women and their children
[2 Riano 114-115, 2016 Bantam Ed.].

Protection order
A protection order is an order issued for the
purpose of preventing further acts of violence
against a woman or her child as specified in the
law and granting the necessary relief.

The protection orders under R.A. 9262 are of

two kinds, namely:

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XVI. GUIDELINES ON 4. Motion to Quash Information when the
ground is not one of those stated in Sec.
CONTINUOUS TRIAL 3, Rule 117
5. Motion for Bill of particulars that does not
A. Applicability conform to Sec. 9, Rule 116
6. Motion to suspend Arraignment based
Cases to which the Guidelines Apply on grounds not stated under Sec. 11,
1. Newly filed criminal cases, including Rule 116
those governed by Special Laws and 7. Petition to Suspend criminal action on
Rules, in the First and Second Level the ground of Prejudicial question, when
Courts, the Sandiganbayan and the no civil case has been filed, pursuant to
Court of Tax Appeals as of Sept. 1, 2017 Sec. 7, Rule 111
2. Pending criminal cases with respect to
the remainder of the proceedings Meritorious Motions [WASSlapp]
Motions that allege plausible grounds
Note: These guidelines are not applicable to supported by relevant documents and/or
cases covered by the Rule on Summary competent evidence, except those that are
Procedure. already covered by the Revised Guidelines,
are meritorious motions, such as:
1. Motion to Withdraw information, or to
B. Prohibited and Meritorious downgrade the charge in the original
Motions information, or to exclude an accused
originally charged therein, filed by the
Prohibited Motions [JPreReQBAS] prosecution as a result of a
The following motions are prohibited and shall reinvestigation, reconsideration, and
be denied outright before the scheduled review
arraignment without need of comment and/or 2. Motion to Quash Warrant of Arrest
opposition: 3. Motion to Quash Search Warrant under
1. Motion for Judicial determination of Sec. 14 of Rule 121 or motion to
probable cause suppress evidence
2. Motion for Preliminary Investigation: a. 4. Motion to dismiss on the ground that
When it is filed beyond the 5-day criminal case is a Strategic Lawsuit
reglementary period in inquest against Public Participation (SLAPP)
proceedings under Sec. 6, Rule 112 b. under Rule 6 of the Rules of Procedure
When required under Sec. 8, Rule 112, for Environmental Cases
or allowed in inquest proceedings and
the accused failed to participate in the C. Arraignment and Pre-Trial
preliminary investigation despite due
notice Schedule of Arraignment and Pre-trial
3. Motion for Reinvestigation of the ● If accused is detained: within 10
prosecutor recommending the filing of calendar days from receipt of case
information once the information has ● If accused is not detained: within 30
been filed before the court: calendar days from acquiring jurisdiction
a. If the motion is filed without prior over the person
leave of court,
b. When preliminary investigation is not Notice of Arraignment and Pre-Trial
required under Sec. 8, Rule 112, and Notice shall be sent to the accused, his
c. When the regular preliminary counsel, private complainant or complaining
investigation is required and has been law enforcement agent, public prosecutor, and
actually conducted and the grounds witnesses whose names appear in the
relied upon in the motion are not information for purposes of plea bargaining,
meritorious, such as issues of arraignment and pre-trial [A.M No 15-06-10-
credibility, admissibility of evidence, SC, III No. 8(b)].
innocence of the accused, or lack of
due process when the accused was
actually notified, among others
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Waiver of Reading of the Information Stipulations
The court may allow a waiver of the reading of Proposals for stipulations shall be done with
the information if: the active participation of the court itself and
1. There are multiple cases, shall not be left alone to the counsels [A.M. No.
2. There is personal examination of the 15-06-10-SC, III No. 8(f)(ii)].
accused by the court,
3. Full understanding and express consent Marking of Evidence
of the accused and his counsel, The documentary evidence of the prosecution
4. Such consent is expressly stated in both and the accused shall be marked [A.M. No. 15-
the minutes/certificate of arraignment 06-10-SC, III No. 8(f)(iii)].
and order of arraignment,
5. The court shall explain the waiver to the Pre-Trial Order
accused in a language/dialect known to The Pre-trial Order shall immediately be served
him and ensure his full understanding of upon the parties and counsel on the same day
the consequences [A.M No 15-06-10- after the termination of the pre-trial [A.M. No.
SC, III No. 8(c)] 15-06-10-SC, III No. 8(f)(iv)].

Plea Bargaining Except in Drug Cases D. Trial and Memoranda

If the accused desires to enter a plea of guilty
to a lesser offense, plea bargaining shall TRIAL
immediately proceed, provided the private
offended party in private crimes, or the Examination of Witnesses
arresting officer in victimless crimes, is present The court shall encourage the accused and the
to give his consent with the conformity of the prosecution to avail of:
public prosecutor to the plea bargaining. a. For the accused: Application for
Thereafter, judgement shall be immediately examination of witness for the accused
rendered in the same proceedings [A.M. No. before trial [Secs. 12 and 13, Rule 119]
15-06-10-SC, III No. 8(d)(i)]. b. For the prosecution: Conditional
Examination of Witness for the
Where No Plea Bargaining or Plea of Guilty prosecution [Sec. 15, Rule 119; A.M.
Takes Place No 15-06-10-SC, III No. 13(a)]
If the accused does not enter a plea of guilty,
the court shall immediately proceed with the Absence of counsel de parte
arraignment and the pre-trial [A.M. No. 15-06- In the absence of the counsel de parte, the
10-SC, III No. 8(d)(iii)]. hearing shall proceed upon appointment by the
court of a counsel de officio [A.M. No. 15-06-
Arraignment and Preliminary Conference of 10- SC, III No. 13(b)].
Mediatable Cases Subject to the Rule on
Summary Procedure Oral Offer of Evidence
The arraignment and preliminary conference ● How made: The offer of evidence, the
shall be held simultaneously and the court shall comment/objection thereto, and the
take up all the matters required under Sec. 14, court ruling shall be made orally.
Rule on Summary Procedure during the ○ If exhibits are attached to the record:
preliminary conference [A.M. No. 15-06-10-SC, In making the offer, the counsel shall
III No. 8(e)]. cite the specific page number of the
court record where the exhibits being
Absence of parties in the pre-trial offered are found. The court shall
The court shall proceed with the pre-trial ensure that all exhibits offered are
despite the absence of the accused and/or submitted to it on the same day of the
private complainant, provided: offer.
1. They were duly notified, and ○ If the exhibits are not attached to the
2. The counsel for the accused and public record: The party making the offer
prosecutor are present [A.M. No. 15-06- must submit the same during the offer
10- SC, III No 8(f)(i)]. of evidence in open court.
● When made: On the same day after the
presentation of his last witness, the
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opposing party is required to Resolution of motion for reconsideration of
immediately interpose his oral judgment of conviction or motion for new
comment/objection thereto. Thereafter, trial
the court shall make a ruling on the offer A motion for reconsideration of judgment of
of evidence in open court [A.M. No. 15- conviction or motion for new trial filed within 15
06-10-SC, III No. 13(c)]. days from promulgation shall be resolved
within a non-extendible period of 10 calendar
Presentation of Rebuttal and Sur-rebuttal days from the submission of the comment of
Evidence the prosecution. With or without comment, the
If the court grants the motion to present rebuttal court shall resolve the motion within the 10-day
evidence, the prosecution shall immediately period [A.M. No. 15-06-10-SC, III No. 16(b)].
proceed with its presentation after the defense
has rested its case, and orally rest its case in
rebuttal after the presentation of its last rebuttal
witness. Thereafter, the accused shall
immediately present sur-rebuttal evidence, if
there is any, and orally rest the case after the
presentation of its last sur-rebuttal witness.
Thereafter, the court shall submit the case for
decision [A.M. No. 15-06-10-SC, III No. 13(e)].

One day examination of witness rule

The court shall strictly adhere to the rule that a
witness has to be fully examined in one day
[A.M. No. 15-06-10-SC, III No. 13(f)].

MEMORANDA
Submission of Memoranda
● Submission of memoranda is
discretionary on the part of the court
● Format:
○ Does not exceed 25 pages
○ Single spaced
○ Legal sized paper
○ Size 14 font
● Period to submit shall be non-extendible
and shall not suspend the running of the
period of promulgation of the decision.
With or without memoranda, the
promulgation shall push through as
scheduled [A.M. No. 15-06-10-SC, III
No. 14].
E. Promulgation
Schedule of Promulgation
● Date of promulgation shall be
announced in open court and included in
the order submitting the case for
decision
● Date shall not be more than 90 calendar
days from the date the case is submitted
for decision
○ Exception: Case is covered by
Special Rules and other laws which
provide for a shorter period [A.M. No.
15-06-10-SC, III No. 16(a)]
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XVII. RULE ON 3. Where any of the damage caused to a
natural or juridical person took place.
CYBERCRIME
Note: The court where the criminal action was
WARRANTS first filed shall acquire jurisdiction to the
exclusion of other courts.
A. Scope and Applicability
2. All other crimes committed using
The rule provides for the procedure in the Information and Communication
application and grants of warrants and related Technology (ICT)
orders involving preservation, disclosure,
interception, search, seizure, and/or General Rule: The criminal action shall be filed
examination of computer data. before the regular or specialized courts as the
case maybe.
Cybercrime warrant vs. Search warrant
VENUE FOR FILING AN APPLICATION FOR
CYBERCRIME WARRANT
Cybercrime Search Warrant
warrant 3. Violation of Section 4 and Section 5 of
R.A. 10175
Gives law Gives law
enforcement officers enforcement officers General Rule: Application shall be filed before
the authority to the authority to the designated cybercrime courts of the
search and seize search and seize province or the city where:
computer properties subject 1. Where the offense or any of its elements
hardware, digital of the offense, is committed, or
information, or stolen or 2. Where any part of the computer system
both embezzled property used is situated, or
and other fruits, or 3. Where any of the damage caused to a
proceeds of the natural or juridical person took place.
offense, and
property used or Note: Cybercrime courts in Quezon City, City
intended to be used of Manila, Makati City, Pasig City, Cebu City,
as a means for the Iloilo City, Davao City, and Cagayan De Oro
commission of an City have the special authority to act on
offense applications and issue warrants which shall be
enforceable nationwide and outside the
Philippines.
B. General Provisions
4. Application for a warrant for violation of
VENUE FOR FILING A CRIMINAL ACTION all crimes defined, and penalized by
RPC and other special laws if
1. Violation of Section 4 (Cybercrime committed using Information
offenses) and/or Section 5 (Other Communication Technology (ICT) shall
offenses) of R.A. 10175 (Cybercrime be filed with the regular courts or other
Prevention Act of 2012 hereinafter “R.A. specialized RTC in the places:
10175”) a. Where the offense or any of its elements
is committed, or
General Rule: The criminal action shall be filed b. Where any part of the computer system
before the designated cybercrime court of the used is situated, or
province or city: c. Where any of the damage caused to a
1. Where the offense or any of its elements natural or juridical person took place.
is committed, or
2. Where any part of the computer system Effectivity of Warrants
used is situated, or General Rule: Not exceeding 10 days from its
issuance
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Exception: The issuing court may, upon authorities, authorizing the latter to issue an
motion, extend its effectivity based only on order to disclose and accordingly, require any
justifiable reasons for a period not exceeding person or service provider to disclose or submit
10 days from the expiration of the original subscriber’s information, traffic data, or
period. relevant data in his/her or its possession or
control.
Contempt
The responsible law enforcement authorities Disclosure of Computer Data
shall be subject to action for contempt in case: 1. The person or service provider must
1. Failure to timely file the return for any of disclose or submit the subscriber’s
the issued warrants under this Rule; information, traffic data or relevant data
2. Failure to duly turn-over to the court’s in his/her or its possession or control
custody any of the items disclosed within 72 hours from receipt of an
intercepted, searched, seized, and/or Order;
examined 2. The Order must be in relation to a
complaint officially docketed and
General Rule: Data should be kept, retained, assigned for investigation; and
and preserved by a service provider for a 3. The disclosure must be necessary and
minimum period of 6 months from: relevant for the purpose of investigation.
1. The date of transaction in the case of
traffic data and subscriber’s information; Contents of Application for WDCD
2. The date of receipt of order from law 1. The probable offense involved;
enforcement requiring its preservation in 2. Relevance and necessity of the
the case of content data. computer data or subscriber’s
information sought to be disclosed for
Exception: the purpose of investigation;
A one-time extension for another 6 months 3. Names of the individuals or entities
may be ordered. The data is preserved until the whose computer data or subscriber’s
final termination of a case once the data that is information are sought to be disclosed,
preserved, transmitted, or stored by the service including the names of the individuals of
provider is used as evidence in a case. the individuals or entities who have
control, possession, or access thereto, if
The receipt by the service provider of available;
transmittal of document to the Office of the 4. Particular description of the computer
Prosecutor shall be deemed a notification to data or subscriber’s information sought
preserve data until the final termination of the to be disclosed;
case. 5. Place where the disclosure of computer
CYBERCRIME WARRANTS UNDER THIS data or subscriber’s information is to be
RULE enforced, if available;
1. Warrant to Disclose Computer Data 6. Manner or method by which the
(WDCD) [Sec. 4] disclosure of the computer data or
2. Warrant to Intercept Data (WICD) [Sec. subscriber’s information is to be carried
5] out, if available; and
3. Warrant to Search, Seize and Examine 7. Other relevant information that will
Computer Data (WSSECD) [Sec. 6] persuade the court that there is a
4. Warrant to Examine Computer Data probable cause to issue a WDCD.
(WECD) [Sec. 6.9]
Return on the WDCD
C. Disclosure of Computer
Duty of Law Enforcement Officer
Data Within 48 hours from implementation or after
the expiration of the effectivity of the WDCD,
Warrant to Disclose Computer Data (WDCD) whichever comes first, the law enforcement
It is an order in writing issued in the name of officer shall:
the People of the Philippines, signed by the 1. Submit a return on the WDCD to the
judge, upon application of law enforcement court that issued it; and
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2. Simultaneously turn over the custody of any or all of the activities of interception (See
the disclosed computer data or above).
subscriber’s information thereto
Contents of Application for WICD
The officer is allowed to retain a copy of the The application shall state the essential facts
disclosed data or subscriber’s information similar to WDCD, except that the subject
subject of the WDCD without the need of court matter is the communication or computer data
intervention, provided: sought to be intercepted. It should state [O-
1. It will be utilized for case build-up or RNNDPM]:
preliminary investigation purposes 1. The probable Offense involved;
2. The details are kept strictly confidential, 2. Relevance and Necessity of the
and the retained copy shall be labelled computer data or subscriber’s
as such information sought to be intercepted for
3. The retained copy shall be turned over the purpose of investigation;
upon filing of a criminal action involving 3. Names of the individuals or entities
the disclosed computer data or whose computer data or subscriber’s
subscriber’s information, or upon order information are intercepted, including
of the issuing court if no criminal action is the names of the individuals of the
filed. individuals or entities who have control,
possession, or access thereto, if
Duty of the Issuing Judge available;
It is the duty of the issuing judge to: 4. Particular Description of the computer
1. Ascertain if the return has been made, data or subscriber’s information sought
and to be intercepted;
2. If no return was made, summon the 5. Place where the disclosure of computer
officer to whom the WDCD was issued, data or subscriber’s information is to be
and require him/her to explain why no enforced, if available;
return was made, without prejudice to 6. Manner or method by which the
any action of contempt disclosure of the computer data or
subscriber’s information is to be carried
D. Interception out, if available.

Interception refers to [LRMS-DI]: Return on the WICD

1. Listening to, Duty of Law Enforcement Officer
2. Recording, Within 48 hours from implementation or after
3. Monitoring, or the expiration of the effectivity of the WICD,
4. Surveillance of the content of whichever comes first, the law enforcement
communications, including procuring of officer shall:
the content data: 1. Submit a return on the WICD to the court
a. Directly, through access and use of a that issued it; and
computer system, or 2. Simultaneously turn over the custody of
b. Indirectly through the use of the disclosed computer data or
electronic eavesdropping or tapping subscriber’s information thereto
devices, at the same time that the
communication if occurring. Duty of the Issuing Judge
It is the duty of the issuing judge to:
Warrant Required 1. Ascertain if the return has been made,
Interception may be carried out only by virtue and
of a court issued warrant, duly applied for by 2. If no return was made, summon the
law enforcement authorities. officer to whom the WICD was issued,
and require him/her to explain why no
Warrant to Intercept Computer Data (WICD) return was made, without prejudice to
It is an order in writing issued in the name of any action of contempt
the People of the Philippines, signed by a
judge, upon application of law enforcement
authorities, authorizing the latter to carry out
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Notice to Person Intercepted after Filing of computer data on-site as well as limit their
Return Required search to the place specified in the warrant.

Duty of Law Enforcement Exception: Off-site search may be conducted

The law enforcement officer has the duty to provided that a forensic image is made, and
notify the person whose communication or that the reasons for the off-site search are
computer data have been intercepted of the stated in the initial return.
activities conducted pursuant to the WICD:
1. Within 30 days from the filing of the Remedy of Person whose devices have
return, attaching a copy of the return to been searched and seized off-site
the notice; or The concerned individual may, upon motion,
2. From the lapse of 48-hour period to file seek the return of the said items from the court
the return if no return was filed. The issuing the WSSCED provided that a forensic
notice shall state the details of the image of the data subject of the WSSECD has
interception activities, including the already been made.
contents of the intercepted
communication or computer data. What Activities are Allowed During the
Implementation of the WSSECD
Remedy of the Person Involved 1. Interception of communications and
Within 10 days from notice, the person whose computer data may be conducted during
communication or computer data have been the implementation of the WSSECD
intercepted may challenge, by motion, the which shall:
legality of the interception before the issuing a. limited to communications and
court. computer that are reasonably related
to the subject matter of WSSECD;
E. Search, Seizure, and and
b. the activities are fully disclosed which
Examination of Computer shall be duly explained in the initial
Data return.
2. Law enforcement may order any person
Warrant to Search, Seize and Examine who has knowledge of the functioning of
Computer Data (WSSECD) the computer data therein, to provide
It is an order in writing issued in the name of necessary information to enable the
the People of the Philippines, signed by a undertaking of the search, seizure and
judge, upon application of law enforcement examination.
authorities, authorizing the latter to search the
particular place for items to be seized and/or Initial Return of WSSECD
examined. The authorized law enforcement shall submit
within 10 days from issuance of WSSECD an
Content of Application for a WSSECD initial return which contains:
The content shall state the essential fact similar 1. A list of all items that were seized, with a
to WDCD except that the subject matter is the detailed identification of the devices of
computer data sought to be searched, seized the computer system seized;
and examined, and all other items related 2. Statement on whether a forensic image
thereto. of the computer data was made on-site,
and if not, the reason for making forensic
Further, it shall contain an explanation of the image off-site;
search and seizure strategy to be 3. Statement on whether the search was
implemented taking into account the nature of conducted on-site, and not, the reasons
the computer data involved, the computer or for conducting the search and seizure
computer system’s security features, and/or off-site;
other relevant circumstances. 4. Statement on whether interception was
conducted during the implementation of
Off-site and On-site Principle the WSSECD, together with (a) a
General Rule: Law enforcement shall detailed identification of all the
endeavor to first make a forensic image of the interception activities that were
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conducted; (b) the hash value/s of the Content of WECD
communications or computer data It shall state the essential facts similar to
intercepted; and (c) an explanation of the WDCD except that the subject matter is the
said item’s reasonable relation to the computer sought to be examined.
computer data subject of WSSECD;
5. List of all the actions taken to enforce the The application shall disclose the
WSSECD, from the time the law circumstances surrounding the lawful
enforcement officers reached the place acquisition of the computer device or computer
to be seized until they left the premises system containing the said computer data.
with the seized items and reached the
place where the items seized were Initial and Final Return of WECD
stored and secured for examination; and The initial and final return of WECD shall be
6. A reasonable estimation of how long the similarly governed by the procedures under
examination of the items seized will be WSSECD.
concluded and the justification therefor.
F. Custody of Computer Data
Period to Examine Seized Items After Initial
Return Upon filing of the return for WDCD or WICD, or
The Court shall issue an order fixing the period the final return for a WSSECD or WECD with
to conclude the examination of all the items the issuing court, the following are likewise
seized. The period may be extended not submitted:
exceeding 30 days, upon motion, for 1. All computer data shall be
justifiable reasons. simultaneously deposited in a sealed
package with the issuing court;
Final Return on the WSSECD 2. A complete and verified inventory of all
Within 48-hours after the expiration of the the other items seized;
period to examine seized items after the initial 3. Affidavit of the duly authorized law
return, the law enforcement officer shall: enforcement.
1. Submit a final return in the WSSECD to
the issuing court; and Duty of the Prosecutor When Criminal
2. Simultaneously turn-over the custody of Action is Instituted
the seized computer data, as well as all Within 10 days from the time of the criminal
other items seized and/or the action is instituted, it is the duty of the
communications or computer data prosecutor, or his/her duly authorized
intercepted in relation thereto. representatives, once a criminal action is
instituted, to file a motion before the issuing
Warrant to Examine Computer Data (WECD) court to:
It refers to a warrant applied for by law 1. Move for the immediate transmittal of the
enforcement authorities before searching a records, and
computer device or computer system (for the 2. Move for the transfer of the intercepted,
purpose of obtaining for forensic examination disclosed, searched, seized, and/or
the computer data) which was obtained via a examined computer data and items,
lawful warrantless arrest or by any other lawful including the complete and verified
method. inventory thereof to the court
It is available when: Within 5 days, the court shall act upon the
1. The law enforcement authority acquires motion filed.
possession of a computer device or
computer system; Access and Use of Computer Data
2. Through a lawful warrantless arrest, or General Rule: The package containing the
other lawful method; computer data deposited in the issuing court
3. The law enforcement authority shall first shall not
apply for WECD before searching for 1. be opened, or
forensic examination the computer data 2. the recordings replayed, or
contained therein. 3. its contents revealed, or,
4. in any manner as used as evidence.
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Exception: The court may grant so upon filing written notice to them by the Branch
a motion for the purpose stating: Clerk of Court.
1. the relevance of the computer data
sought to be opened, replayed, revealed, 3. Within 24 hours from the destruction of
or used as evidence; and data, the Branch Clerk of Court or the
2. the names of the persons who will be witness duly designated by court shall
allowed to have access thereto, if the issue a sworn certification as to the fact
motion is granted. of destruction
3. Must include proof of service of copies 4. The Branch Clerk of Court shall file the
sent to the person/s whose computer said certificate with the same court
data is subject of the motion. 5. The storage device or other items turned
Within 10 days from receipt of notice thereof, over to the court’s custody shall be
the person must file comment thereto. After destroyed by:
which, the court shall rule on the motion, unless a. Shredding,
a clarificatory hearing is needed. b. Drilling of four holes through the
device,
G. Destruction of Computer c. Prying the platters apart, or
d. Other means that will sufficiently
Data make it inoperable.
Duty of Service Providers and Law
Enforcement Authorities to Destroy
The service providers and law enforcement
authorities, as the case maybe, shall
immediately and completely destroy the
computer data subject of preservation and
examination upon expiration of the periods
provided in Sec. 13 and 15 of R.A. 10175.
1. Sec. 13: Service providers preserve the
data for a minimum of 6 months, unless
a one-time extension of another 6
months is ordered by the law
enforcement authority, or in the event
that the data was used as evidence in
which case the data is preserved until the
final termination of the case.
2. Sec. 15: After lapse of the time period
specified in the warrant, unless the court
granted extension of time to complete
examination for no longer than 30 days
(from the time of the court’s approval).

How Destruction of Computer Data is Made

1. Made in the presence of the Branch
Clerk of Court, or in his/her absence, in
the presence of any other person duly
designated by the court to witness the
same
2. The accused or the person from whom
the items were seized, or his/her
representative or counsel, or law
enforcement agency may be allowed to
witness.

Provided, they appear during the

scheduled date of destruction upon

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XVIII. PROBATION more than one hundred thousand pesos
(P1,000.00) [Sec. 9(c), P.D. 968]
4. Those who have been once in probation
Definition of Terms [Sec. 3, P.D. 986]
under this Decree [Sec. 9(d), P.D. 968]
1. Probation – a disposition under which a
5. Those who are already serving sentence
defendant, after conviction and
at the time the substance provisions of
sentence, is released subject to
this Decree became applicable pursuant
conditions imposed by the court and to
to Section 33 hereof [Sec. 9(e), P.D. 968]
the supervision of a probation officer
6. Drug trafficker and pushers, regardless
2. Probationer – person placed on
of penalty imposed by court, cannot avail
probation
of Probation Law privileges, as amended
3. Probation officer – one who investigates
by the Comprehensive Dangerous Drugs
for the court a referral for probation or
Act of 2002 [Sec. 24. R.A. 9165]
supervises a probationer or both
b. Grant, Manner, and Conditions [Sec. 4,
Nature
R.A. 10707]
Probation Law is not a penal statute. Courts
1. Application for Probation - defendant
have no authority to invoke a liberal
must file an application for probation
interpretation of it in this case as its words
within the period for appeal.
leave no room for doubt or interpretation
[Llamado v. CA and Gaw, G.R. No. 84850
Effect of filing of application – deemed as
(1989)].
waiver of the right to appeal.
Probation is not a right but a privilege subject
2. Application shall not be entertained
to the discretion of the court. The discretion is
or granted – if defendant has perfected
exercised primarily for the benefit of society as
the appeal from the judgment of
a whole and only secondarily for the personal
conviction.
advantage of the accused [Amandy v. People,
G.R. No. 76258 (1988)].
Exception: When a judgment of conviction
imposing a non-probationable penalty is
a. Applicability
appealed/reviewed and modified to a
probationable penalty, the defendant shall be
Probation may be granted whether the
allowed to apply for probation based on the
sentence imposes a term of imprisonment or a
modified decision before it becomes Final.
fine only.
Note: Accused shall lose the benefit of
May be extended to children in conflict with
probation should he seek a review of the
the law
modified decision which already imposes a
After convicting and sentencing a child in
probationable penalty.
conflict with the law, and upon application at
any time, the court may place the child on
3. Filing of application based on
probation in lieu of service of his/her sentence
modified decision – application shall be
in account of his/her best interest. As such Sec.
filed in the trial court where the judgment
4, P.D. 968 is amended accordingly [Sec. 42,
imposing a non-probationable penalty
R.A. 9344].
was rendered or where such case has
been re-raffled.
Disqualified Offenders
1. Those sentenced to serve a maximum
4. If several defendants have taken
term of more than six (6) years [Sec.
further appeal – other defendants may
9(a), P.D. 968]
apply for probation by submitting a
2. Crimes against national security convicts
written application and attaching thereto
[Sec. 9(b), P.D. 968]
a certified true copy of the judgment of
3. Those previously convicted by final
conviction.
judgement of an offense punished by
imprisonment of more than six (6)
months and one (1) day and/or fine of

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Rules on Appeals Criteria for Grant of Probation [Sec. 8, P.D.
Appeal must be limited to the following 968]
grounds: The following should be considered in deciding
1. Appeal merely intended for the to place an offender under probation
correction of the penalty imposed by the [AMChEAP]:
lower court, which when corrected would 1. Available institutional and community
entitle the accused to apply for resources,
probation; and 2. Mental condition of the offender,
2. Appeal is merely intended to review the 3. Character,
crime for which the accused was 4. Environment,
convicted, and that the accused should 5. Antecedent,
only be liable to the lesser offense which 6. Physical condition of the offender
is necessarily included in the crime for
which he was originally convicted and Reasons for Denying Probation [Sec. 8, P.D.
the proper penalty imposable is within 968]
the probationable period [Dimakuta v. 1. The offender is in need of correctional
People, G.R. No. 206513 (2015)]. treatment best provided thru
commitment to an institution
What Must be Averred in the Notice of 2. There is undue risk that the offender will
Appeal commit another offense during the
1. That an earlier motion for probation period
reconsideration was filed but was denied 3. Probation will depreciate the
by the trial court; seriousness of the offense committed
2. That the appeal is only for reviewing the
penalty imposed by the lower court or the Effects of Grant of Probation
conviction should only be for a lesser 1. The execution of sentence shall be
crime necessarily included in the crime suspended for such period and upon
charged in the information; and such terms and conditions as the trial
3. That the accused-appellant is not court may deem best [Sec. 4, P.D. 968]
seeking acquittal of the conviction 2. does not extinguish civil liability, as it only
[Dimakuta v. People, supra]. affects the criminal aspect of the case
[Budlong v. Apalisok, G.R. No. L-60151
When Appeal Bars Grant of Probation (1983), as cited in REYES, Book 1]
If an appeal from the sentence of conviction 3. Accessory penalties are deemed
has been perfected by the accused [Maruhom suspended [Baclayon v. Mutia, supra]
v. People, G.R. No. 206513 (2015)]
Note: An order granting or denying probation
c. Grant of Probation shall not be appealable [Sec. 4, P.D. 968].
Discretion of the Court
Even if a convicted person falls within the Conditions of Probation [Sec. 10, P.D. 968]
classes of those qualified for probation, the 1. Mandatory Conditions. Probation
grant of probation is not automatic or orders shall contain conditions requiring
ministerial [Amandy v. People, G.R. No. 76258 probationer to:
(1988), as cited in REYES, Book 1]. a. Present himself to his supervising
probation officer at the place specified
An order placing defendant on "probation" is in the order within 72 hours from
not a "sentence" but is rather in effect, a receipt of said order; and
suspension of the imposition of sentence. It is b. Report to the probation officer at least
not a final judgment but is rather an once a month at the time and place
"interlocutory judgment" [Baclayon v. Mutia, specified by said officer.
G.R. No. L-59298 (1984), as cited in REYES, 2. Discretionary Conditions. The two
Book 1]. conditions above are mandatory
conditions; the rest in Sec. 10 are
discretionary conditions (e.g., cooperate
with a program of supervision; meet his

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family responsibilities; or devote himself 3. Court is not bound by the technical rules
to a specific employment). of evidence.
4. If the violation is established, the court
Moreover, the conditions enumerated under may revoke or continue his probation
Sec. 10 are not exhaustive. The courts are and modify the conditions.
allowed to impose practically any term it 5. If revoked, the court shall order the
chooses, the only limitation being that it does probationer to serve the sentence
not jeopardize the constitutional rights of the originally imposed.
accused [Salgado v. CA, et al., G.R. No. 89606 6. The order revoking the grant of probation
(1990)]. or modifying the term and conditions
thereof is not appealable [REYES, Book
Period of Probation [Sec. 14, P.D. 968] 1].
Scenario Duration
Effect of Final Discharge [Sec. 16, R.A.
When sentenced to Probation shall not 10707]
imprisonment of not exceed 2 years The final discharge of the probationer shall
more than 1 year operate to:
1. Restore to him all civil rights lost or
When sentenced to Shall not exceed 6 suspended as a result of his conviction;
more than 1 year years and
2. Totally extinguish his criminal liability as
When sentenced to Shall be twice the to the offense for which probation was
a fine and made to total days of granted.
suffer subsidiary subsidiary
imprisonment imprisonment Termination of Period, not the same as
Expiration of Probation Period
The expiration of the probation period alone
d. Violation of Probation Order does not automatically terminate probation;
Upon the failure of the probationer to comply probation is not coterminous with its period.
with any of the conditions prescribed in the
order, or upon his commission of another There must first be an order of final discharge
offense, he shall serve the penalty imposed or issued by the court, based on the report and
the offense under which he was placed on recommendation of the probation officer [Bala
probation [REYES, Book 1]. v. Martinez, G.R. No. L-67301 (1990)].
Arrest [Sec. 15, P.D 968]
At any time during the probation, the court may
issue a warrant to arrest the probationer for
violation of the conditions of the probation.

Once arrested and detained, probationer shall

be brought to court for a hearing of the violation
charged. The defendant may be admitted to
bail pending such hearing.

Additionally, it must be noted that:

1. The violation of the conditions of
probation must be serious to justify the
issuance of a warrant of arrest.
2. Defendant may be admitted to bail
pending hearing.
a. Hearing is summary in nature, but the
probationer shall have the right to be
informed of the violation charged and
to adduce evidence in his favor.

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REMEDIAL LAW AND
LEGAL ETHICS

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No Vested Right of Property in Rules of
I. GENERAL PRINCIPLES Evidence
Any evidence inadmissible according to the
A. Concept of Evidence laws in force at the time the action accrued, but
admissible according to the laws in force at the
The means, sanctioned by these rules, of time of trial, is receivable [Francisco 8, 1996
ascertaining in a judicial proceeding, the Ed., citing Aldeguer v. Hoskyn, G.R. No. 1164
truth respecting a matter of fact [Sec. 1, (1903)].
Rule 128].
Rules of Evidence May be Waived
“Truth” is not necessarily the actual truth, According to Francisco [Ibid.], there are rules
but one referred to as the judicial or legal of evidence established merely for the
truth [Riano, 2, 2016 Ed.]. protection of the parties. If, according to the
well-established doctrine, the parties may
1. Scope and Applicability of the waive such rules during the trial of a case,
Rules of Evidence there is no reason why they cannot make the
waiver in a contract (e.g. a contract of
a. Scope of Application insurance requiring the testimony of
eyewitness as the only evidence admissible
Under the Rules of Court (ROC), the rules concerning the death of the insured person).
of evidence are specifically applicable only
to judicial proceedings [Sec. 1, Rule 128]. However, if the rule of evidence waived by the
parties has been established on grounds of
Judicial proceedings are of THREE public policy, the waiver is void (e.g. waiver
KINDS ONLY of the privilege against the disclosure of state
1. Civil action – which is of two kinds: secrets).
a. ordinary civil action, and
b. special civil action Distinguish: Proof v. Evidence
2. Criminal action Proof Evidence
3. Special Proceeding [Sec. 3, Rule 1].
Result or Mode and manner of
Note: All other proceedings are NON- effect of proving competent facts in
JUDICIAL, hence, application of the rules of evidence [2 judicial proceedings
evidence in the ROC is not mandatory Regalado [Bustos v. Lucero, G.R.
unless provided to be so by law or 698, 2008 No. L-2068 (1948)].
regulation [See Sec. 4, Rule 1]. Ed.].

b. Uniformity of Application The end The means to an end

result
General Rule: The rules of evidence shall
be the same in all courts and in all trials and
Note: Evidence is a relative term; It signifies a
hearings [Sec. 2, Rule 128].
relation between facts: the factum probans and
factum probandum [Wigmore, Principles of
Exceptions:
Judicial Proof, 5, cited in Riano 11, 2016 Ed.].
If otherwise provided by:
1. Law (e.g. 1987 Constitution,
statutes) 2. Construction of the Rules of
2. Rules of Court (Sec. 2, Rule 128) Evidence
3. SC issuances (e.g., Judicial
Affidavit Rule, Rules on Procedure for The Rules of Court, including the Revised
Environmental Cases, Child Witness Rules on Evidence, shall be liberally
Rule, Rules on Electronic Evidence, construed in order to promote their objective
Rules on DNA Evidence) of securing a just, speedy and inexpensive
disposition of every action and proceeding
[Sec. 6, Rule 1].

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Rules on Electronic Evidence shall likewise
be liberally construed [Sec. 2, Rule 2, Rules
on Electronic Evidence].

B. Equipoise Rule
The doctrine refers to the situation where
the evidence of the parties are evenly
balanced or there is doubt on which side the
evidence preponderates. In this case, the
decision should be against the party with the
burden of proof [Rivera v. C.A., G.R. No.
115625 (1998); Marubeni v. Lirag, G.R. No.
130998 (2001)].

In criminal cases, the equipoise rule

provides that where the evidence is evenly
balanced, the constitutional presumption of
innocence tilts the scales in favor of the
accused [Malana v. People, G.R. No.
173612 (2008)].

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II. ADMISSIBILITY admissibility or inadmissibility of evidence
cannot be ruled upon in a preliminary
investigation [Maza v. Judge Turla, G.R. No.
A. Admissibility of Evidence 187094 (2017)].

Evidence is admissible when it is relevant to The Importance of Offer in Relation to

the issue and not excluded by the Admissibility
Constitution, the law or these Rules [Sec. 3, Parties are required to inform the courts of the
Rule 128]. purpose of introducing their respective exhibits
to assist the latter in ruling on their admissibility
Admissibility does not concern weight in case an objection thereto is made [Star Two
Admissibility of evidence should not be v. Ko, G.R. No. 185454 (2011)].
equated with weight of evidence. The
admissibility of evidence depends on its The court shall consider no evidence which has
relevance and competence, while the not been formally offered. The purpose for
weight of evidence pertains to evidence which the evidence is offered must be specified
already admitted and its tendency to [Sec. 34, Rule 132].
convince and persuade. Thus, a particular
item of evidence may be admissible, but its All evidence must be offered orally [Sec. 35,
evidentiary weight depends on judicial Rule 132].
evaluation within the guidelines provided by ● Offer of testimonial evidence — made at
the Rules of Court [Dela Llana v. Biong, the time the witness is called to testify
G.R. No. 182356 (2013)]. ● Offer of documentary and object evidence
— made after the presentation of a party’s
Admissibility of evidence refers to the testimonial evidence
question of whether or not the circumstance
(or evidence) is to be considered at all. On Note: Under the new rules, there is an
the other hand, the probative value of exception for documentary and object
evidence refers to the question of whether evidence — “Unless allowed by the Court to be
or not it proves an issue [PNOC Shipping done in writing”
and Transport Corporation v. C.A., G.R. No.
107518 (1998)]. Objection
Objection to offer of evidence must be made
Since admissibility of evidence is orally immediately after the offer is made.
dete2rmined by its relevance and ● Objection to the testimony of a witness for
competence, admissibility is, therefore, an lack of formal offer must be made as soon
affair of logic and law. On the other hand, as the witness begins to testify.
the weight to be given to such evidence, ● Objection as to a question propounded in
once admitted, depends on judicial the course of the oral examination of a
evaluation within the guidelines provided in witness must be made as soon as the
Rule 133 and the jurisprudence laid down grounds therefor become reasonably
by the Court. Thus, while evidence may be apparent.
admissible, it may be entitled to little or no ● The grounds for objections must be
weight at all. Conversely, evidence which specified [Sec. 36, Rule 132].
may have evidentiary weight may be
inadmissible because a special rule forbids 1. Requisites for Admissibility;
its reception [People v. Turco, G.R. No. Relevance and Competence
137757 (2000)].

To emphasize, “a preliminary investigation

a. Relevance
is merely preparatory to a trial; it is not a trial
When the evidence has such a relation to the
on the merits.” Since “it cannot be expected
fact in issue as to induce belief in its existence
that upon the filing of the information in court
or non-existence [Sec. 4, Rule 128] (e.g.,
the prosecutor would have already
evidence as to the age of a person who has
presented all the evidence necessary to
been raped is relevant in a situation where the
secure a conviction of the accused,” the

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age would qualify the offense to statutory Example: a copy of a writing may not be
rape). considered competent evidence until the
original is proven to be lost or destroyed
Determinable by the rules of logic and
human experience [2 Regalado 704, 2008 Conditional admissibility requires no bad faith
Ed.]. on the part of the proponent.

Collateral Matters iii. Curative Admissibility

Matters other than the fact in issue and
which are offered as a basis for inference as The right of a party to introduce incompetent
to the existence or non-existence of the evidence in his behalf where the court has
facts in issue [2 Regalado 708, 2008 Ed.]. admitted incompetent evidence adduced by
the adverse party.
General Rule: Evidence on collateral
matters is NOT allowed. iv. Direct and Circumstantial Evidence

Exception: When it tends in any

Direct Circumstantial Evidence
reasonable degree to establish the
Evidence
probability or improbability of the fact in
issue [Sec. 4, Rule 128].
Proves the Proof of facts from which,
fact in dispute taken collectively, the
Note: What the Rules prohibit is evidence of
without the existence of a particular
irrelevant collateral facts [2 Regalado
aid of any fact in dispute may be
708, 2008 Ed.].
inference or inferred as a necessary or
presumption probable consequence
i. Multiple Admissibility

Where the evidence is relevant and [Francisco 2, 1996 Ed.]

competent for two or more purposes, such
evidence should be admitted for any or all Requisites to Warrant a Conviction Based
the purposes for which it is offered, provided on Circumstantial Evidence
it satisfies all the requisites of law for its 1. There is more than one circumstance;
admissibility therefor [2 Regalado 706, 2008 2. The facts from which the inferences are
Ed.]. derived are proven; and
3. The combination of all the circumstances is
When a fact is offered for one purpose, and such as to produce conviction beyond
is admissible insofar as it satisfies all rules reasonable doubt [Sec. 4, Rule 133].
applicable to it when offered for that
purpose, its failure to satisfy some other rule Inferences cannot be based on other
which would be applicable to it if offered for inferences [Ibid].
another purpose does not exclude it
[Francisco 11, 1996 Ed.]. The totality of the evidence must constitute an
unbroken chain showing the guilt of the
ii. Conditional Admissibility accused beyond reasonable doubt [People v.
Matito, G.R. No. 144405 (2004)].
Where the evidence at the time of its offer
appears to be immaterial or irrelevant Note: Circumstantial evidence is not a weaker
unless it is connected with the other facts to form of evidence vis-a-vis direct evidence
be subsequently proved, such evidence [Ibid].
may be received on condition that the other
facts will be proved thereafter; otherwise,
the evidence already given shall be stricken
out [2 Regalado 705, 2008 Ed.].

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v. Positive and Negative Evidence vi. Competent and Credible Evidence

Positive Negative Evidence Competent Credible Evidence

Evidence Evidence

Witness affirms Witness states he/she Not excluded by Refers to probative

that a certain did not see or does not the Constitution, value or convincing
state of facts did know of the occurrence the law, or the weight
exist or that a of a fact. Rules [Sec. 3,
certain event Rule 128] Weight involves the
happened. effect of evidence
admitted, its tendency
to convince and
[2 Regalado 703, 2008 Ed.] persuade. It is not
determined
mathematically by the
numerical superiority
of the witnesses
testifying to a given
fact, but depends upon
its practical effect in
inducing belief on the
part of the judge trying
the case [Francisco
11, 1996 Ed.].

Determined by
the prevailing
exclusionary
rules of evidence
[2 Regalado 704,
2008 Ed.].

Note:
Exclusionary
rules may affect
due process. To
the extent that
they might
prejudice
substantive
rights, therefore,
they cannot be
made to apply
retroactively.

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Relevant Competent competent and independent counsel, (c)
express, and (d) in writing.

When the evidence Not excluded by Moreover, Section 2 of Republic Act No. 7438
has such a relation the Constitution, requires that "any person arrested, detained or
to the fact in issue the law, or the under custodial investigation shall at all times
as to induce belief Rules [Sec. 3, Rule be assisted by counsel.”
in its existence or 128].
non-existence [Sec. b. Statutory exclusionary rules
4, Rule 128]. • Lack of documentary stamp tax to
documents required to have one makes
such document inadmissible as evidence
b. Competence in court until the requisite stamp/s shall
have been affixed thereto and cancelled
Not excluded by the Constitution, the law, or [Sec. 201, NIRC];
the Rules [Sec. 3, Rule 128]. • Any communication obtained by a person,
not being authorized by all the parties to
2. Exclusionary Rules of Evidence any private communication, by tapping any
wire/cable or using any other
a. Constitutional exclusionary rules device/arrangement to secretly
overhear/intercept/record such information
Consequence Violation by using any device, shall not be
admissible in evidence in any hearing or
investigation [Secs. 1 and 4, R.A. 4200
Inadmissible for Art III, Sec 2 (Wire-Tapping Act)].
any proceeding (unreasonable
searches and Note: there must be a law that renders the
seizure) evidence inadmissible [Ejercito v.
Sandiganbayan, G.R. Nos. 157294-95
Art III, Sec 3 (2006)]. In this case, the SC held that nowhere
(privacy of in R.A. 1405 (Bank Secrecy Law) does it
communication and provide that an unlawful examination of bank
correspondence) accounts shall render the evidence obtained
therefrom inadmissible in evidence.
Inadmissible Art III, Sec 12 (right
against the to counsel,
1. Exclusions Under the Rules on
accused, but may prohibition on
Evidence
be used by the torture, force,
a. Original document rule (previously best
offended party in a violence, threat,
evidence rule)
suit for damages intimidation or other
b. Hearsay evidence rule
against the violator means which vitiate
c. Offer of compromise in civil cases
the free will;
prohibition on
secret detention 2. Exclusions Under Court issuances
places, solitary, a. Rule on Electronic Evidence, e.g.
incommunicado) compliance with authentication requirements
for electronic evidence
Art III, Sec 17 (right b. Rule on Examination of a Child Witness, e.g.
against self- sexual abuse shield rule
incrimination) c. Judicial Affidavit Rule

It is settled that for an extrajudicial

confession to be admissible in evidence
against the accused, the same “must be (a)
voluntary, (b) made with the assistance of a

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III. JUDICIAL NOTICE AND Note: It is grave abuse of discretion if the court
does not allow the taking of judicial notice [Prof.
JUDICIAL ADMISSIONS Avena].

A. What Need Not Be Proved Since we consider the act of cancellation by

President Macapagal-Arroyo of the proposed
1. Facts of Judicial Notice ZTE- NBN Project during the meeting of
2. Judicial Admissions October 2, 2007 with the Chinese President in
3. Conclusive Presumptions China as an official act of the executive
department, the Court must take judicial
Note: Evidence is also not required when notice of such official act without need of
the issue is purely a question of law. The evidence [Suplico v. NEDA, G.R. No. 178830
definition of “evidence” in Sec. 1, Rule 128 (2008)].
refers to “a matter of fact”.
The Management Contract entered into by
petitioner and the Philippine Ports Authority is
B. Matters of Judicial Notice clearly not among the matters which the courts
can take judicial notice of. It cannot be
Judicial Notice considered an official act of the executive
Judicial notice is the cognizance of certain department. The PPA was only performing a
facts that judges may properly take and act proprietary function when it entered into a
on without proof because these facts are Management Contract with the petitioner.
already known to them. Put differently, it is [Asian Terminals v. Malayan Insurance, G.R.
the assumption by a court of a fact without No. 171406 (2011)].
need of further traditional evidentiary
support. [Republic v. Sandiganbayan, G.R. The RTC declared that the discrepancy arose
No. 166859 (2011)]. from the fact that Barrio Catmon was
previously part of Barrio Tinajeros. The RTC
Courts must take judicial notice with has authority to declare so because this is a
caution. Any reasonable doubt on the matter subject to mandatory judicial notice.
subject must be resolved in the negative Geographical divisions are among matters that
(court will not take judicial notice). courts should take judicial notice of [B.E. San
Diego, Inc. v. C.A., G.R. No. 159230 (2010)].
1. When Mandatory
2. When Discretionary
a. Existence and territorial extent of
states; 1. Matters of public knowledge;
b. Their political history, forms of 2. Matters capable of unquestionable
government, and symbols of demonstration; and
nationality; 3. Matters ought to be known to judges
c. Law of nations; because of their judicial functions [Sec.
d. Admiralty and maritime courts of the 2, Rule 129].
world and their seals;
e. Political constitution and history of Requisites
the Philippines; 1. The matter must be one of common
f. Official acts of the legislative, and general knowledge;
executive and judicial departments 2. It must be well and authoritatively
of the National Government of the settled and not doubtful or uncertain;
Philippines; 3. It must be known to be within the limits
g. Laws of nature; of the jurisdiction of the court
h. Measure of time; and [Expertravel & Tours, Inc. v. CA and
i. Geographical divisions [Sec. 1, Korean Airlines, G.R. No. 152392
Rule 129]. (2005)].

The principal guide in determining what facts

may be assumed to be judicially-known is that
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of notoriety. Hence, it can be said that same court [Republic v. C.A., G.R. No. 119288
judicial notice is limited to facts evidenced (1997)].
by public records and facts of general
notoriety. Moreover, a judicially-noticed fact With Respect to Records of Other Cases
must be one not subject to a reasonable
dispute in that it is either (1) generally General Rule:
known within the territorial jurisdiction of the As a general rule, courts are not authorized to
trial court; or (2) capable of accurate and take judicial notice of the contents of the
ready determination by resorting to sources records of other cases, even when such cases
whose accuracy cannot reasonably be have been tried or are pending in the same
questionable [Ibid]. court, and notwithstanding the fact that both
cases may have been tried or are actually
Things of “common knowledge,” of which pending before the same judge [People v.
courts take judicial notice, may be matters Hernandez, G.R. No. 108028 (1996)].
coming to the knowledge of men generally
in the course of the ordinary experiences of Exceptions:
life, or they may be matters which are In the absence of objection, and as a matter of
generally accepted by mankind as true and convenience to all parties, a court may properly
are capable of ready and unquestioned treat all or any part of the original record of a
demonstration [State Prosecutors v, Muro, case filed in its archives as read into the record
A.M. No. RTJ-92-876 (1994)]. of a case pending before it, when:
1. With the knowledge of the opposing
Judicial notice is not judicial knowledge. party, reference is made to it for that
The mere personal knowledge of the judge purpose, by name and number or in
is not the judicial knowledge of the court, some other manner by which it is
and he is not authorized to make his sufficiently designated; or
individual knowledge of a fact, not generally 2. The original record of the former case
or professionally known, the basis of his or any part of it, is actually withdrawn
action [Ibid]. from the archives by the court's
direction, at the request or with the
Note: When Hearing Necessary consent of the parties, and admitted as
a part of the record of the case then
During the Pre-Trial and the Trial pending [US v. Claveria, G.R. No. 9282
The court, motu proprio, or upon motion, (1915)].
shall hear the parties on the propriety of
taking judicial notice of any matter. [Sec. 3, Courts may also take judicial notice of
Rule 129]. proceedings in other causes because of their:
a. Close connection with the matter in
After the Trial and Before Judgment or controversy. For example, in a
on Appeal separate civil action against the
The court, motu proprio or upon motion, administrator of an estate arising from
may take judicial notice of any matter and an appeal against the report of the
shall hear the parties thereon if such matter committee on claims appointed in the
is decisive of a material issue in the case administration proceedings of the said
[Sec. 3, Rule 129]. estate, the court took judicial notice of
the record of the administration
Note: With Respect to the Court’s Own proceedings to determine whether or
Acts and Records not the appeal was taken on time.
A court will take judicial notice of its own b. To determine whether or not the case
acts and records in the same case, of facts pending is a moot one or whether or not
established in prior proceedings in the same a previous ruling is applicable in the
case, of the authenticity of its own records case under consideration.
of another case between the same parties, c. The other case had been decided by
of the files of related cases in the same the same court, involving the same
court, and of public records on file in the subject matter, with the same cause of
action, and was between the same
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parties (which was not denied), and 3. Must be made in the course of the
constituted res judicata on the proceedings in the same case [Sec. 4,
current cause before the court Rule 129].
[Tiburcio v. PHHC, G.R. No. L-
13479 (1959)]. Note: The admission, to be judicial, must be
made in the course of the proceedings in the
In this case, the requisite of notoriety is same case. Thus, an admission made in
belied by the necessity of attaching another judicial proceeding will not be deemed
documentary evidence, i.e. the Joint a judicial admission in the case where the
Affidavit of the stallholders, to prove the admission is not made. Instead, it will be
alleged practice of paying goodwill money in considered an extrajudicial admission for
a particular area [Latip v. Chua, G.R. No. purposes of the other proceeding where such
177809 (2009)]. admission is offered [Riano 87, 2016 Ed.].

The classification of the land is obviously Judicial admissions may be made in

essential to the valuation of the property. 1. the pleadings filed by the parties,
The parties should thus have been given the 2. in the course of the trial, either by verbal or
opportunity to present evidence on the written manifestations or stipulations, or
nature of the property before the lower court 3. in other stages of the judicial proceeding;
took judicial notice of the commercial nature e.g. stipulation of facts in a pre-trial
of a portion of the subject landholdings [LBP conference [People v. Hernandez, G.R.
v. Honeycomb Farms, G.R. No. 166259 No. 108028 (1996)], allegations in motions
(2012)]. not specifically denied [Republic v. de
Guzman, G.R. No. 175021 (2011)], pre-
It can be considered of public knowledge trial, depositions, written interrogatories or
and judicially noticed that the scene of the requests for admission [2 Regalado 836-
rape is not always nor necessarily isolated 837, 2008 Ed.].
or secluded for lust is no respecter of time
or place. [People v. Tundag, G.R. Nos. Note:
135695-96 (2000)]. 1. Admissions made by a party pursuant
to a request for admission is for the
Laws of nature involving the physical purpose of the pending action only
sciences, specifically biology, include the [Sec. 3, Rule 26].
structural make-up and composition of living 2. In criminal cases, all agreements or
things. The Court may take judicial notice admissions made or entered during the
that a person’s organs were in their proper pre-trial conference shall be reduced in
anatomical locations [Atienza v. Board of writing and signed by the accused and
Medicine, G.R. No. 177407 (2011)]. counsel, otherwise, they cannot be
used against the accused [Sec. 2, Rule
The distance between places may be taken 118]. However, in the civil case
as a matter of judicial notice [Maceda v. instituted with the criminal case, such
Vda. De Macatangay, G.R. No. 164947 admission will be admissible against
(2006)]. any other party.

The Court may take judicial notice of the There are averments made in pleadings which
assessed value of property. [Bangko are not deemed admissions even if the adverse
Sentral ng Pilipinas v. Legaspi, G.R. No. party fails to make a specific denial of the
205966 (2016)]. same, like immaterial allegations [Sec. 11,
Rule 8], conclusions, as well as the amount of
C. Judicial Admissions liquidated damages [Sec. 11, Rule 8; Riano 89,
2016 Ed.].
In General
To be a judicial admission, the same: Note: The theory of adoptive admission has
1. May be oral or written; been adopted by the court in this jurisdiction.
2. Must be made by a party to the An adoptive admission is a party’s reaction to
case; and a statement or action by another person
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when it is reasonable to treat the party’s A party who judicially admits a fact cannot later
reaction as an admission of something challenge that fact, as judicial admissions are
stated or implied by the other person. a waiver of proof; production of evidence is
The basis for admissibility of admissions dispensed with [Alfelor v. Halasan, G.R. No.
made vicariously is that arising from the 165987 (2006)].
ratification or adoption by the party of the
statements which the other person had Consequently:
made. 1. An admission made in the pleadings
cannot be controverted by the party
In the Angara Diary, Estrada’s options making such admission and are
started to dwindle when the armed forces conclusive as to such party, and all
withdrew its support. Thus, Executive proofs to the contrary or inconsistent
Secretary Angara had to ask Senate therewith should be ignored, whether
President Pimentel to advise the petitioner objection is interposed by the party or
to consider the option of dignified exit or not.
resignation. Estrada did not object to the 2. The allegations, statements or
suggested option but simply said he could admissions contained in a pleading are
never leave the country [Estrada v. conclusive as against the pleader.
Desierto, G.R. Nos. 146710-15 (2001)]. 3. A party cannot subsequently take a
position contrary of or inconsistent with
Judicial Proceeding [Sec. 3, Rule 1] what was pleaded. [Florete, Sr. v.
1. Civil – includes special civil actions Florete, Jr., G.R. No. 223321 (2018)].
2. Criminal
3. Special Proceeding 2. How Judicial Admissions May Be
Contradicted
Examples of statements made that are
not judicial admissions As an exception to the general rule, judicial
a. Statements made during preliminary admissions may be contradicted only by
investigation showing that:
b. Statements during Court-Annexed 1. It was made through palpable mistake; or
Mediation 2. The imputed admission was not, in fact,
made [Sec. 4, Rule 129].
Note: Execution of judgment is part of a
judicial proceeding. The Court retains This may be invoked when the statement of a
control over the case until the full party is taken out of context or that his
satisfaction of the final judgment [People v. statement was made not in the sense it is made
Gallo, G.R. No. 124736 (1999)]. to appear by the other party [Phil. Health Care
Providers v. Estrada, G.R. No. 171052 (2008),
1. Effect of Judicial Admissions citing Atillo, III v. C.A. (1997)].

The judicial admission does not require An admission against interest binds the person
proof [Sec. 4, Rule 129]. who makes the same, and absent any showing
that this was made through palpable mistake,
Sec. 8, Rule 10 (as amended) provides that no amount of rationalization can offset it,
“[a]n amended pleading supersedes the especially so in this case where respondents
pleading that it amends. However, failed to present even one piece of evidence in
admissions in superseded pleadings their defense. [Heirs of Donton v. Stier, G.R.
may be offered in evidence against the No. 216491 (2017)].
pleader.” Thus, admissions in superseded
pleadings have to be “[offered] in evidence” Note: Allegations (and admissions) in a
precisely because they become extra- pleading, even if not shown to be made through
judicial in nature the moment the pleading “palpable mistake,” can still be corrected or
containing them are superseded by virtue of amended provided that the amendment is
amendment. See Bastida v. Menzi & Co, sanctioned under Sec. 8, Rule 10 of the Rules
Inc. [G.R. No. L-35840 (1933)], cited in 2 of Court [Yujuico v. United Resources, G.R.
Regalado 837, 2008 Ed.]. No. 211113 (2015)].
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Pre-trial Admissions
Facts subject of a stipulation or agreement
entered into by the parties at the pre-trial of
a case constitute judicial admissions by
them [Lim v. Jabalde, G.R. No. L-36786
(1989), cited in 2 Regalado 837, 2008 Ed.].

When the parties in a case agree on what

the foreign law provides, these are
admissions of fact which the other parties
and the court are made to rely and act upon,
hence they are in estoppel to subsequently
take a contrary position [PCIB v. Escolin
G.R. Nos. L-27860 and L-27896 (1974],
cited in 2 Regalado 838, 2008 Ed.].

When contradicted:
1. In civil cases: if to prevent manifest
injustice [Sec. 7, Rule 18];
2. In criminal cases: if the pre-trial
admission was reduced to writing and
signed by the accused and his counsel
[Secs. 2 and 4, Rule 118].

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IV. OBJECT (REAL) RELEVANT
General Rule: When an object is relevant to
EVIDENCE the fact in issue, it may be exhibited to,
examined or viewed by the court [Sec. 1, Rule
A. Nature of object evidence 130].

Object Evidence Exceptions: Court may refuse exhibition of

Those addressed to the senses of the court object evidence and rely on testimonial
[Sec. 1, Rule 130]. evidence alone if—
a. Exhibition is contrary to public policy,
Physical evidence is a mute but eloquent morals or decency;
manifestation of truth, and it ranks high in b. It would result in delays,
our hierarchy of trustworthy evidence. inconvenience, unnecessary expenses
Where the physical evidence on record runs out of proportion to the evidentiary
counter to the testimonial evidence of the value of such object; [People v. Tavera,
prosecution witnesses, we consistently rule G.R. No. L-23172 (1925)].
that the physical evidence should prevail c. Evidence would be confusing or
[BPI v. Reyes, G.R. No. 157177 (2008)]. misleading;
d. The testimonial or documentary
A person’s appearance, where relevant, is evidence already presented clearly
admissible as object evidence, the same portrays the object in question as to
being addressed to the senses of the court render a view thereof unnecessary.
[People v. Rullepa, G.R. No. 131516
(2003)]. COMPETENT AND AUTHENTICATED

An ocular inspection of the body of the Evidence Must Be Authenticated

accused is permissible [Villaflor v. To authenticate the object is to show that the
Summers, G.R., No. 16444 (1920)]. object is the very thing that is either the subject
matter of the lawsuit or the very one involved to
The right against self-incrimination cannot prove an issue in the case.
be invoked against object evidence [People
v. Malimit, G.R. No. 109775 (1996)]. Authentication Must Be Made by a
Competent Witness
View of an Object or Scene The witness must have the capacity to identify
The inspection or view outside the the object as the very thing involved in the
courtroom should be made in the presence litigation.
of the parties or at least with previous notice
to them in order that they may show the A witness can testify only to those facts which
object to be viewed. Such inspection or he/she knows of his/her personal knowledge;
view is a part of the trial, inasmuch as that is, which are derived from his/her own
evidence is thereby being received, which is perception [Sec. 22, Rule 130].
expressly authorized by law [5 Moran 81,
1970 Ed., cited in In re Climaco, A.C. No. Note: Requisites for the Admissibility of
134-J (1974)]. Tape Recording
1. A showing that the recording was
capable of taking testimony
B. Requisites for 2. A showing that the operator of the
Admissibility recording device is competent
3. Establishment of the authenticity and
Basic Requisites for Admissibility correctness of recording
1. Evidence must be relevant; 4. A showing that no changes, deletions,
2. Evidence must be authenticated by or additions have been made on the
a competent witness; recordings
3. Object must be formally offered 5. A showing of the manner of
[Sec. 34, Rule 132; Riano 101, 2016 preservation of the recording
Ed.]. 6. Identification of speakers
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7. A showing that the testimony Audio, photographic and video evidence of
elicited was voluntarily made events, acts or transactions shall be admissible
without any kind of inducement provided it shall be:
[Torralba v. People, G.R. No. • Shown, presented or displayed to the
153699 (2005)]. court, and
• Identified, explained or authenticated
C. Categories of Object o By the person who made the
Evidence recording, or
o By some other person
Two Classifications: competent to testify on the
1. Actual physical or “autopic” accuracy thereof [Sec. 1, Rule
evidence –those which have a 11, Rules on Electronic
direct relation or part in the fact or Evidence].
incident sought to be proven and
those brought to the court for Note: Reenactments are object evidence
personal examination by the because they are exhibited, examined and
presiding magistrate; viewed by the court. E.g. a person who hears a
man cat-call a woman, and mimics the cat-call
in court is reenacting the event. He is not
Objects that testifying because he was not declaring
have readily anything nor making a statement [Prof. Avena].
E.g. Gun with
identifiable
a serial
marks; or
Unique
number D. Chain Of Custody In Relation
objects Exhibit
Car with a
To Sec. 21 Of The
identifiable Comprehensive Dangerous
dent on its
visual or
physical
left bumper Drugs Act Of 2002
peculiarities
“Chain of Custody” means the duly recorded
Objects with no authorized movements and custody of seized
unique drugs or controlled chemicals or plant sources
E.g. Sachet
characteristic of dangerous drugs or laboratory equipment of
of shabu with
Objects but are made each stage, from the time of
initials of the
made readily seizure/confiscation to receipt in the forensic
police officer
unique identifiable by laboratory to safekeeping to presentation in
who retrieved
law enforcers court for destruction [Sec. 1(b), Dangerous
it
upon retrieval Drugs Board Resolution No. 1 (2002)].
or confiscation
As a method of authenticating evidence, the
Objects with no chain of custody rule requires that the
Non- identifying E.g. Narcotic admission of an exhibit be preceded by
unique marks and substances, evidence sufficient to support a finding that
objects cannot be bodily fluids the matter in question is what the proponent
marked claims it to be. It would include testimony about
[People v. Olarte, G.R. No. 233209 (2019)] every link in the chain, from the moment the
item was picked up to the time it is offered into
2. Demonstrative Evidence evidence, in such a way that every person who
Those which represent the actual or touched the exhibit would describe how and
physical object (or event in case of pictures from whom it was received, where it was and
or videos) being offered to support or draw what happened to it while in the witness'
an inference or to aid in comprehending the possession, the condition in which it was
verbal testimony of a witness [People v. received and the condition in which it was
Olarte, G.R. No. 233209 (2019)]. delivered to the next link in the chain. These
witnesses would then describe the precautions
taken to ensure that there had been no change

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in the condition of the item and no requires no further analysis or
opportunity for someone not in the chain to discussion;
have possession of the same [Malilin v. b. Inconclusive – It is not possible to be
People, 576 Phil. 576 (2008)]. sure, based on the results of the test,
whether the samples have similar DNA
As a general rule, four links in the chain types. This might occur for a variety of
of custody of the confiscated item must be reasons including degradation,
established: contamination, or failure of some
1. First, the seizure and marking, if aspect of the protocol. Various parts of
practicable, of the illegal drug recovered the analysis might then be repeated
from the accused by the apprehending with the same or a different sample, to
officer; obtain a more conclusive result; or
2. Second, the turnover of the illegal drug c. Inclusion – The samples are similar,
seized by the apprehending officer to and could have originated from the
the investigating officer; same source. In such a case, the
3. Third, the turnover by the investigating samples are found to be similar, the
officer of the illegal drug to the forensic analyst proceeds to determine the
chemist for laboratory examination; and statistical significance of the similarity
4. Fourth, the turnover and submission of [People v. Vallejo, G.R. No. 144656
the marked illegal drug seized from the (2002)].
forensic chemist to the court [People v.
Gayoso, G.R. No. 206590 (2017)]. Obtaining DNA samples from an accused in a
criminal case or from the respondent in a
Note: If the proffered evidence is unique, paternity case, contrary to the belief of
readily identifiable, and relatively resistant respondent in this action, will not violate the
to change, that foundation need only consist right against self-incrimination [Herrera v. Alba,
of testimony by a witness with knowledge G.R. No. 148220 (2005)].
that the evidence is what the proponent
claims; otherwise, the chain of custody rule “DNA evidence” constitutes the totality of the
has to be resorted to and complied with by DNA profiles, results and other genetic
the proponent to satisfy the evidentiary information directly generated from DNA
requirement of relevancy. And at all times, testing of biological samples.
the source of amorphous as well as firmly
structured objects being offered as “DNA testing” means verified and credible
evidence must be tethered to and supported scientific methods which include the extraction
by a testimony. of DNA from biological samples, the generation
of DNA profiles and the comparison of the
E. DNA Evidence information obtained from the DNA testing of
biological samples for the purpose of
When a crime is committed, material is determining, with reasonable certainty,
collected from the scene of the crime or whether or not the DNA obtained from two or
from the victim’s body for the suspect’s more distinct biological samples originates
DNA. This is the evidence sample. The from the same person (direct identification) or
evidence sample is then matched with the if the biological samples originate from related
reference sample taken from the suspect persons (kinship analysis) [Sec. 3, AM No. 06-
and the victim. The purpose of DNA testing 11-5-SC or Rule on DNA Evidence].
is to ascertain whether an association exists
between the evidence sample and the a. Application for DNA testing order
reference sample. The samples collected
are subjected to various chemical The appropriate court may, at any time, either
processes to establish their profile. The test motu proprio or on application of any person
may yield three possible results: who has a legal interest in the matter in
a. Exclusion – The samples are litigation, order a DNA testing.
different and therefore must have
originated from different sources.
This conclusion is absolute and
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Such order shall issue after due hearing and Remedy if the Results Are Favorable to the
notice to the parties upon a showing of the Convict
following: The convict or the prosecution may file a
a. A biological sample exists that is petition for a writ of habeas corpus in the
relevant to the case; court of origin if the results of the post-
b. The biological sample: (i) was not conviction DNA testing are favorable to the
previously subjected to the type of convict.
DNA testing now requested; or (ii)
was previously subjected to DNA In case the court, after due hearing finds the
testing, but the results may require petition to be meritorious, if shall reverse or
confirmation for good reasons; modify the judgment of conviction and order
c. The DNA testing uses a the release of the convict, unless continued
scientifically valid technique; detention is justified for a lawful cause.
d. The DNA testing has the scientific
potential to produce new A similar petition may be filed either in the
information that is relevant to the Court of Appeals or the Supreme Court, or with
proper resolution of the case; and any member of said courts, which may conduct
e. The existence of other factors, if a hearing thereon or remand the petition to the
any, which the court may consider court of origin and issue the appropriate orders
as potentially affecting the accuracy [Sec. 10, Rule on DNA Evidence].
of integrity of the DNA testing.
c. Assessment of Probative Value of
Exception: DNA testing may be done DNA Evidence and Admissibility
without a prior court order, at the behest of
any party (including law enforcement In assessing the probative value of the DNA
agencies), before a suit or proceeding is evidence presented, the court shall consider
commenced [Sec. 4, Rule on DNA the following:
Evidence]. 1. The chain of custody, including how the
biological samples were collected, how
Note: The death of the petitioner (putative they were handled, and the possibility of
father) does not ipso facto negate the contamination of the samples;
application of DNA testing for as long as 2. The DNA testing methodology, including
there exist appropriate biological samples of the procedure followed in analyzing the
his DNA. The term “biological sample” samples, the advantages and
means any organic material originating from disadvantages of the procedure, and
a person’s body, even if found in inanimate compliance with the scientifically valid
objects, that is susceptible to DNA testing. standards in conducting the tests;
This includes blood, saliva, and other body 3. The forensic DNA laboratory, including
fluids, tissues, hairs and bones [Ong v. accreditation by any reputable standards-
Diaz, G.R. No. 1717113 (2007)]. setting institution and the qualification of
the analyst who conducted the tests. If the
b. Post-conviction DNA Testing; laboratory is not accredited, the relevant
Remedy experience of the laboratory in forensic
casework and credibility shall be properly
Post-conviction DNA testing may be established; and
available, without need of prior court order, 4. The reliability of the testing result, as
to the prosecution or any person convicted provided in Sec. 8 [Sec. 7, Rule on DNA
by final and executory judgment provided Evidence].
that:
1. A biological sample exists; Note: The provisions of the Rules of Court
2. Such sample is relevant to the case; concerning the appreciation of evidence shall
and apply suppletorily [Sec. 7, Rule on DNA
3. The testing would probably result in Evidence].
the reversal or modification of the
judgment of conviction [Sec. 6, Rule
on DNA Evidence].
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d. Rules on Evaluation of
Reliability of the DNA Testing
Methodology

In evaluating the results of DNA testing, the

court shall consider the following:
1. The evaluation of the weight of
matching DNA evidence or the
relevance of mismatching DNA
evidence;
2. The results of the DNA testing in the
light of the totality of the other
evidence presented in the case; and
that
3. DNA results that exclude the
putative parent from paternity shall
be conclusive proof of non-
paternity. If the value of the
Probability of Paternity is less than
99.9%, the results of the DNA
testing shall be considered as
corroborative evidence. If the value
of the Probability of Paternity is
99.9% or higher there shall be a
disputable presumption of paternity
[Sec. 9, Rule on DNA Evidence].

It is not enough to state that the child’s DNA

profile matches that of the putative father. A
complete match between the DNA profile of
the child and the DNA profile of the putative
father does not necessarily establish
paternity. For this reason, following the
highest standard adopted in an American
jurisdiction, trial courts should require at
least 99.9% as a minimum value of the
Probability of Paternity (“W”) prior to a
paternity inclusion. W is a numerical
estimate for the likelihood of paternity of a
putative father compared to the probability
of a random match of two unrelated
individuals. Due to the probabilistic nature
of paternity inclusions, W will never equal to
100% [Herrera v. Alba, G.R. No. 148220
(2005)].

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apply and testimonial evidence is admissible.
V. DOCUMENTARY Any other substitutionary evidence is likewise
EVIDENCE admissible without need for accounting for the
original [Republic v. Gimenez, G.R. No.
A. Meaning of Documentary 174673 (2016)].
Evidence Affidavits and depositions are considered as
not being the best evidence, hence not
Consist of writings, recordings, admissible if the affiants or deponents are
photographs, or any material containing available as witnesses [2 Regalado 721, 2008
letters, words, sounds, numbers, figures, Ed., citing 4 Martin 82].
symbols, or their equivalent, or other modes
of written expressions offered as proof of The best evidence rule (now original document
their contents [Sec. 2, Rule 130]. If offered rule) does not apply to all types of evidence. It
for some other purpose, they constitute does not comprehend object and testimonial
object evidence. evidence [Riano, 133, 2016 Ed.].

Photographs include still pictures, drawings, 3. Meaning of Original Document and

stored images, x-ray films, motion pictures
Duplicate
or videos [Sec. 2, Rule 130].
Original — The document itself or any
1. Requisites for Admissibility counterpart intended to have the same effect
by a person executing or issuing it.
1. The document must be relevant;
2. The evidence must be An “original” of a photograph includes the
authenticated; negative or any print therefrom.
3. The document must be
authenticated by a competent If data is stored in a computer or similar
witness; device, any printout or other output
4. The document must be formally readable by sight or other means, shown to
offered in evidence [Riano 132, reflect the data accurately, is an “original” [Sec.
2016 Ed.]. 4(a), Rule 130].

B. Best Evidence/Original Duplicate—counterpart produced by:

Document Rule • The same impression as the original, or
from the same matrix;
1. Meaning of the Rule • Means of photography, including
enlargements and miniatures;
When the subject of inquiry is the contents • Mechanical or electronic recording;
of a document, writing, recording, • Chemical reproduction; or
photograph, or other record, no evidence is • Other equivalent techniques which
admissible other than the original accurately reproduce the original [Sec.
document itself [Sec. 3, Rule 130]. 4(b), Rule 130].

Note: Original document rule is a rule on General Rule: A duplicate is admissible to the
admissibility (competence). This rule same extent as an original.
replaced the Best Evidence Rule.
Exceptions:
2. When Not Applicable 1. A general question is raised as to the
authenticity of the original; or
Where the issue is only as to whether such 2. In the circumstances, it is unjust or
document was actually executed, or exists, inequitable to admit the duplicate in lieu
or on the circumstances relevant to or of the original [Sec. 4(c), Rule 130].
surrounding its execution, the best evidence
rule (now original document rule) does not Note: 2019 Amendments made substantial
changes to Sec. 4, Rule 130.
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Carbon copies are deemed duplicate signatures, or by a person to whom the
(originals) [People v. Tan, G.R. No. L-14257 parties to the instruments had
(1959); Skunac v. Sylianteng, G.R. No. previously confessed the execution
205879 (2014)]. thereof [Director of Lands v. C.A., G.R.
No. L-29575 (1971)].
4. Exception; Secondary Evidence;
Summaries When more than one original copy exists, it
must appear that all of them have been lost,
The following are the exceptions to the destroyed, or cannot be produced in court
original document rule: before secondary evidence can be given of any
one. A photocopy may not be used without
a. When the original is unavailable accounting for the other originals [Citibank v.
Teodoro, G.R. No. 150905 (2003)].
1. When the original has been lost or
destroyed, or cannot be produced in The general rule concerning proof of a lost
court; instrument is, that reasonable search shall be
2. Upon proof of its execution or made for it in the place where it was last known
existence and the cause of its to have been, and, if such search does not
unavailability; and discover it, then inquiry should be made of
3. Without bad faith on the offeror’s persons most likely to have its custody, or who
part. have some reasons to know of its whereabouts
[Tan v. CA, G.R. No. L-56866 (1985)].
What to present to prove contents (in
this order) b. When the original is in the custody or
A copy; control of the adverse party OR original
A recital of its contents in some cannot be obtained by local judicial
authentic document; or processes or procedures
The testimony of witnesses [Rule 130,
Sec. 5]. What to Present to Prove Contents
Same as when lost, destroyed, or cannot be
In order that secondary evidence may be produced in court [Sec. 6, Rule 130].
admissible, there must be proof by
satisfactory evidence of: c. When the contents of documents,
1. Due execution of the original; records, photographs, or numerous
2. Loss, destruction, or unavailability accounts are voluminous and cannot be
of all such originals; and examined in court without great loss of
3. Reasonable diligence and good
time, and the fact sought to be
faith in the search for or attempt to
produce the original [Republic v.
established from them is only the
Marcos-Manotoc, G.R. No. 171701 general result of the whole
(2012)]. (“Summaries”)

The correct order of proof is existence, What to Present to Prove Contents

execution, loss, and contents [Republic v. Chart, summary, or calculation of the contents
Cuenca, G.R. No. 198393 (2018)]. of such evidence.

Due execution of the document should be The originals shall be available for examination
proved through the testimony of either: or copying, or both, by the adverse party at a
1. The person or persons who reasonable time and place. The court may
executed it; order that they be produced in court [Sec. 7,
2. The person before whom its Rule 130].
execution was acknowledged; or
3. Any person who was present and d. When the original is a public record
saw it executed and delivered, or in the custody of a public officer or is
who, after its execution and recorded in a public office
delivery, saw it and recognized the
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What to Present to Prove Contents 3. When Parol Evidence Can Be
Certified copy issued by the public officer in Introduced
custody thereof [Sec. 8, Rule 130].
How Parol Evidence Can Be Introduced
e. When original is outside the General Rule: Ground/s for presenting parol
jurisdiction of the court evidence is put in issue in a verified pleading
[Sec. 10, Rule 130].
When the original is outside the jurisdiction
of the court, secondary evidence is Exception: If the facts in the pleadings all lead
admissible. [Regalado 784, 2008 Ed., citing to the fact that it is being put in issue then the
PNB v. Olila, G.R. No. L-8189 (1956), Parol Evidence exception may apply [Sps.
unreported]. Paras v. Kimwa Corporation, G.R. No. 171601
(2015)].
C. Parol Evidence Rule
In sum, two (2) things must be established for
1. Meaning of the Rule parol evidence to be admitted:
● That the existence of any of the four (4)
Any evidence aliunde, whether oral or exceptions has been put in issue in a
written, which is intended or tends to vary or party's pleading or has not been objected
contradict a complete and enforceable to by the adverse party; and
agreement embodied in a document [2 ● That the parol evidence sought to be
Regalado 730, 2008 Ed.]. presented serves to form the basis of the
conclusion proposed by the presenting
party. [Sps. Paras v. Kimwa Corporation,
2. Application of the Parol
G. R. No. 171601 (2015)].
Evidence Rule
When Can Parol Evidence Can Be
General Rule Introduced
When the terms of an agreement (including ● Intrinsic ambiguity, mistake or imperfection
wills) have been reduced to writing, it is in the written agreement
considered as containing all the terms ● Failure of the written agreement to express
agreed upon and there can be, as between the true intent and agreement of the parties
the parties and their successors in interest, thereto
no evidence of such terms other than the ● Validity of the written agreement
contents of the written agreement [Sec. 10, ● Existence of other terms agreed to by the
Rule 130]. parties or their successors-in-interest after
the execution of the written agreement.
The parol evidence rule forbids any addition
to or contradiction of the terms of a written
a. Intrinsic Ambiguity, Mistake or
instrument by testimony or other evidence
purporting to show that, at or before the Imperfection in the Written Agreement
execution of the parties' written agreement,
other or different terms were agreed upon Intrinsic ambiguity (latent)– writing admits of
by the parties, varying the purport of the two constructions, both of which are in
written contract. [Felix Plazo Urban Poor harmony with the language used [Ignacio v.
Settlers v. Lipat, G.R. No. 182409 (2017)]. Rementeria, 99 Phil. 1054 (Unreported)].

Where Not Applicable The document is clear on its face, but matters
It does not apply when third parties are outside the agreement create the ambiguity
involved or those not privy to the written (e.g. “I bequeath this land to my cousin
instrument in question and does not base a George.” However, the testator has two
claim or assent a right originating in the cousins named George) [Riano, 161, 2016
instrument [Lechugas v. C.A., G.R. No. L- Ed.].
39972 & L-40300 (1986)].
Note: American jurisprudence also refers to a
situation where an ambiguity partakes of the
nature of both patent and latent ambiguity, that
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is, an intermediate ambiguity, because 4. Distinction Between the Original
the words of the writing, though seemingly Document Rule and Parol Evidence
clear and with a settled meaning, is actually Rule
equivocal and admits of two interpretations.
Parol evidence, in such a case is admissible
to clarify the ambiguity [2 Regalado 734, Original Document Parol Evidence
2008 Ed., citing 20 Am. Jur 1011] (e.g. Rule Rule
“dollar” may mean USD, CAD, HKD, etc.)
Contemplates the Presupposes that the
Mistake refers to a mistake of fact which is situation wherein the original document is
mutual to the parties [BPI v. Fidelity and original writing is not available in court
Surety, Co., G.R. No. L-26743 (1927)]. available and/or there
is a dispute as to
Imperfection includes an inaccurate whether said writing
statement in the agreement or is the original
incompleteness in the writing, or the
presence of inconsistent provisions [2
Regalado 732, 2008 Ed.].
Prohibits the Prohibits the varying
introduction of of the terms of a
b. Failure of the Written Agreement
substitutionary written agreement
to Express the True Intent and evidence in lieu of the
Agreement of the Parties Thereto original document
regardless of WON it
Purpose varies the contents of
To enable court to ascertain the true the original
intention of the parties [Tolentino v.
Gonzales Sy Chiam, G.R. No. 26085
(1927)]. Applies to all kinds of Applies only to
writings, recordings, documents
c. Validity of the Written Agreement photographs, or any contractual in nature
material containing and to wills
Parol evidence may be admitted to show: letters, words,
1. True consideration of a contract sounds, numbers,
2. Want/Illegality of consideration figures, symbols, or
3. Incapacity of parties their equivalent, or
4. Fictitious/absolutely simulated contract other modes of
5. Fraud in inducement [2 Regalado 733, written expression
2008 Ed.]. offered as proof of
their contents
Can be invoked by Can be invoked only
any party to an action when the
regardless of WON controversy is
such party between the parties
participated in the to the written
writing involved agreement, their
privies or any party
directly affected
thereby
[2 Regalado 731, 2008 Ed.]

D. Interpretation of Documents
Interpretation is defined as the act of making
intelligible what was before not understood,
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ambiguous, or not obvious; it is a method by such a construction is, if possible, to be
which the meaning of language is adopted as will give effect to all [Sec. 11, Rule
ascertained. [PSALM v. Sem-Calaca Power 130].
Corp., G.R. No. 204719 (2016).
The various stipulations of a contract shall be
1. General Rule; Literal, Legal interpreted together, attributing to the doubtful
Meaning ones that sense which may result from all of
them taken jointly [Art. 1374, New Civil Code].
The language of a writing is to be
interpreted according to the legal meaning it In the case at bench, the Memorandum of
bears in the place of its execution, unless Agreement embodies certain provisions that
the parties intended otherwise [Sec. 11, are consistent with either a conventional
Rule 130]. subrogation or assignment of credit. It has not
been shown that any clause or provision in the
If the terms of a contract are clear and leave Memorandum of Agreement is inconsistent or
no doubt upon the intention of the incompatible with a conventional subrogation.
contracting parties, the literal meaning of its On the other hand, the two cited provisions
stipulations shall control. If the words requiring consent of the debtor to the
appear to be contrary to the evident memorandum is inconsistent with a contract of
intention of the parties, the latter shall assignment of credit. Thus, if we were to
prevail over the former [Art. 1370, New Civil interpret the same as one of assignment of
Code]. credit, then the aforementioned stipulations
regarding the consent of Anglo-Asean Bank
When Necessary would be rendered inutile and useless
A contract provision is ambiguous if it is considering that, as previously discussed, the
susceptible of two reasonable consent of the debtor is not necessary in an
alternative interpretations [PSALM v. assignment of credit [Licaros v. Gatmaitan,
Sem-Calaca Power Corp., G.R. No. 204719 G.R. No. 142838 (2001)].
(2016)].
3. Construction of general and
Where the language of a written contract particular provisions
is clear and unambiguous, the contract
must be taken to mean that which, on its In the construction of an instrument, the
face, it purports to mean, unless some intention of the parties is to be pursued; and
good reason can be assigned to show that when a general and a particular provision are
the words should be understood in a inconsistent, the latter is paramount to the
different sense [Ibid]. former. So a particular intent will control a
general one that is inconsistent with it [Sec. 12,
Ambiguity Caused by One Party Rule 130].
The interpretation of obscure words or
stipulations in a contract shall not favor the 4. Construction according to
party who caused the obscurity [Art. 1377, circumstances
New Civil Code].
For the proper construction of an instrument,
An ambiguity in a document is construed the circumstances under which it was made,
against the party who prepared the including the situation of the subject thereof
document, and in accordance with the real and of the parties to it, may be shown, so that
intention of the parties [Capital Insurance v. the judge may be placed in the position of those
Sadang, G.R. No. L-18857 (1967)]. whose language he or she is to interpret [Sec.
13, Rule 130].
2. Construction So as to Give
Effect to All Provisions In order to judge the intention of the contracting
parties, their contemporaneous and
In the construction of an instrument, where subsequent acts shall be principally
there are several provisions or particulars, considered. [Art. 1371, New Civil Code].

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Contracts executed together and in 6. Written Words Control Printed
connection with each other may be used to
interpret an ambiguity found in one of them When an instrument consists partly of written
[Southeast Asia Shipping Corp. v. Seagull words and partly of a printed form, and the two
Maritime Corp., G.R. No. 144439 (2003)]. (2) are inconsistent, the former controls the
latter [Sec. 15, Rule 130].
5. Construction of peculiar
signification of terms Rationale
The rationale for this rule is that the written
The terms of a writing are presumed to have words are the latest expression of the will of the
been used in their primary and general parties [De los Santos v. Vibar, G.R. No.
acceptation, but evidence is admissible to 150931 (2008)].
show that they have a local, technical, or
otherwise peculiar signification, and were 7. Experts and Interpreters; When
so used and understood in the particular Resorted To
instance, in which case the agreement must
be construed accordingly [Sec. 14, Rule When the characters in which an instrument is
130]. written are difficult to be deciphered, or the
language is not understood by the court, the
Words which may have different evidence of persons skilled in deciphering the
significations shall be understood in that characters, or who understand the language, is
which is most in keeping with the nature and admissible to declare the characters or the
object of the contract [Art. 1375, New Civil meaning of the language [Sec. 16, Rule 130].
Code].
8. Preferred Among Two
We hold that reading the clause as requiring Constructions
a final judgment is a strained interpretation
and contrary to settled rules of interpretation When the terms of an agreement have been
of contracts. Paragraph 5(e) only requires intended in a different sense by the different
that the proceeds "could not be recovered parties to it, that sense is to prevail against
from the insurer," and does not state that it either party in which he or she supposed the
should be so declared by a court, or even other understood it, and when different
with finality. In determining the signification constructions of a provision are otherwise
of terms, words are presumed to have been equally proper, that is to be taken which is the
used in their primary and general most favorable to the party in whose favor the
acceptance, and there was no evidence provision was made [Sec. 17, Rule 130].
presented to show that the words used
signified a judicial adjudication. Indeed, if There is also no question that the 10%
the parties had intended the non-recovery guaranteed yearly increase of rents provided
to be through a judicial and final for in sub-paragraph 2.2 of the sub-lease
adjudication, they should have stated so. agreement is for the benefit of respondent
[Security Bank Corp. v. CA, G.R. No. herein, being the sub-lessor of the premises.
141733 (2007)]. As such, any doubt in interpretation must be in
its favor [Horrigan v. Troika Commercial, G.R.
The reliance of the trial court in the Webster No. 148411 (2005)].
definition of the term "indicative," as also
adopted by petitioner, is misplaced. The
transaction at bar involves the sale of an
9. Construction in favor of natural
asset under a privatization scheme which rights
attaches a peculiar meaning or signification
to the term "indicative price." [Moreno Jr. v. When an instrument is equally susceptible of
Private Management Office, G.R. No. two (2) interpretations, one (1) in favor of
159373 (2006)]. natural right and the other against it, the former
is to be adopted [Sec. 18, Rule 130].

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10. Interpretation According to
Usage

An instrument may be construed according

to usage, in order to determine its true
character [Sec. 20, Rule 130].

The usage or custom of the place shall be

borne in mind in the interpretation of the
ambiguities of a contract, and shall fill the
omission of stipulations which are ordinarily
established [Art. 1376, New Civil Code].

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VI. TESTIMONIAL There is no substantive or procedural rule
which requires a witness for a party to present
EVIDENCE some form of authorization to testify as a
witness for the party presenting him or her
A. Qualifications of a Witness [AFP Retirement and Separation Benefits
System v. Republic, G.R. No. 188956 (2013)].
Witness
A witness is one who, being present, When Determined
personally sees or perceives a thing, a Qualification of a witness is determined at the
beholder, spectator or eyewitness. One who time the said witness is produced for
testifies to what he has seen or heard, or examination or at the taking of their
otherwise observed [Herrera citing Black’s depositions.
Law Dictionary].
With respect to children of tender years,
Qualifications of a Witness competence at the time of the occurrence is
All persons who can perceive, and also taken into account.
perceiving, can make known their
perception to others, may be witnesses. In Case Person Is Convicted of a Crime
General Rule: Not disqualified
Religious/political belief, interest in the The fact that a witness has been convicted of
outcome of the case, or conviction of a felony is a circumstance to be taken into
crime unless otherwise provided by law, consideration as affecting his character and
shall not be ground for disqualification [Sec. credibility [Enrile, et al. v. Roberto, et al., G.R.
21, Rule 130]. No. L-42309 (1935)].

Basic Qualifications of a Witness Exception: Otherwise provided by law, e.g.

1. He/she can perceive under Art. 821 of the Civil Code, a person
convicted of any of the following crimes cannot
• Corollary to perception is that the
be a witness to a will:
witness must have personal
knowledge of the facts surrounding a. Falsification of documents,
b. Perjury; or
the subject matter of his testimony
c. False testimony
[Sec. 22, Rule 130]
2. He/she can make known his perception
Competency of a Witness
• This means that he/she must have
One is qualified to take the witness stand if:
the ability to remember and
1. He is capable of perceiving at the time
communicate the remembered
of the occurrence of the fact; and
perception
2. He came make his perception known
3. He/she must take an oath or affirmation
[Sec. 21-22, Rule 130].
[Sec. 1, Rule 132]
4. He/she must not possess any of the
Competency has reference to the basic
disqualifications
qualifications and the absence of
disqualifications of a witness to testify [Riano,
A deaf-mute is competent to be a witness so
185, 2016 Ed.].
long as he/she has the faculty to make
observations and he/she can make those
Competency Presumed
observations known to others [People v.
A person who takes the witness stand is
Aleman y Longhas, G.R. No. 181539
presumed to possess the qualifications of a
(2013)].
witness. His competence may be questioned
by the other party by interposing an objection
Parties declared in default are not
[Herrera].
disqualified from taking the witness stand
for non-disqualified parties. The law does
Remedy for Errors or Questions on
not provide default as an exception [Marcos
Competence
v. Heirs of Navarro, G.R. No. 198240
Appeal, not certiorari, is the proper remedy for
(2013)].
the correction of any error as to the
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competency of a witness committed by an 1. Disqualification by Reason of
inferior court in the course of the trial Marriage
[Icutanim v. Hernandez, G.R. No. L-1709
(1948)]. Also known as Marital Disqualification Rule
[Alvarez v. Ramirez, G.R. No. 143439 (2005)]
Credibility of a Witness or Spousal Immunity
Credibility has nothing to do with the law or
the rules. It refers to the weight and Elements
trustworthiness or reliability of the testimony a. During their marriage
[Riano, 185, 2016 Ed.]. i) The marriage must be valid and
existing at the time of the offer of
Questions concerning the credibility of a the testimony
witness are best addressed to the sound b. The husband or the wife cannot testify
discretion of the trial court as it is in the best against the other
position to observe his demeanor and bodily i) The “other” spouse must be a party
movements. [Llanto v. Alzona, 450 SCRA to the action, either as a plaintiff or
288 (2005)]. defendant
ii) Note: 2019 Revision removed the
B. Testimonial Privilege; words “for or”
Disqualifications of c. Without the consent of the affected
spouse [Sec. 23, Rule 130]
Witnesses
Except: Spouse may testify against the other
Effect of Interest in the Subject Matter even without the consent of the latter
A person is not disqualified by reason of his 1. In a civil case by one against the other;
interest in the subject matter. or
2. In a criminal case for a crime
Interest only affects credibility, not committed by one against the other or
competency. the latter's direct
descendants/ascendants [Sec. 23,
Effect of Relationship Rule 130]
General Rule: Mere relationship does not
impair credibility [People v. De Guzman, Rationale
G.R. No. 130809 (2000)]. a. There is identity of interests between
husband and wife;
Exception: b. If one were to testify against the other,
To warrant rejection, it must be clearly there is a consequent danger of perjury;
shown that: c. Policy of the law is to guard the security
a. Testimony was inherently improbable or and confidence of private life, and to
defective prevent domestic disunion and
b. Improper/evil motives had moved the unhappiness; and
witness to incriminate falsely [People v. d. Where there is want of domestic tranquility,
Daen Jr., G.R. No. 112015 (1995)] there is danger of punishing one spouse
through the hostile testimony of the other
Note: Disqualification by reason of mental [Alvarez v. Ramirez, G.R. No. 143439
incapacity or immaturity (previously Sec. (2005)].
21, Rule 130) and disqualification by reason
of death or insanity of adverse party aka
Dead Man’s Statute (previously Sec. 23,
Rule 130) have been deleted in the 2019
Revisions.

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Duration Rationale
General Rule: During their marriage [Sec. Confidential nature of the privilege; to preserve
23 Rule 130] marital and domestic relations

Exception: Where the marital and domestic Elements

relations are so strained that there is no 1. The husband or the wife
more harmony to be preserved nor peace 2. During or after the marriage
and tranquility which may be disturbed, the 3. Cannot be examined
reason based upon such harmony and 4. Without the consent of the other
tranquility fails. In such a case, identity of 5. As to any communication received in
interests disappears, and the consequent confidence by one from the other
danger of perjury based on that identity is during the marriage [Sec. 24(a), Rule
non-existent [Alvarez v. Ramirez, G.R. No. 130].
143439 (2005)].
Except: Spouse may testify for or against the
Scope of Rule other even without the consent of the latter
The rule also includes utterance as to facts 1. In a civil case by one against the other, or
or mere production of documents. It does 2. In a criminal case for a crime committed by
not only prevent disclosure of matters one against the other or the latter’s direct
communicated in nuptial confidence but is descendants or ascendants. [Sec. 24(a),
an absolute prohibition against the spouse’s Rule 130]
testifying to any facts affecting the other
however these facts may have been A widow of a victim allegedly murdered may
acquired [Herrera]. testify as to her husband’s dying declaration as
to how he died since the same was not
Waiver of Disqualification intended to be confidential [US v. Antipolo,
If one spouse imputes the commission of a G.R. No. L-13109 (1918)].
crime against the other, the latter may testify
against the former [People v. Francisco, Scope: “Any communication”
G.R. No. L-568 (1947)]. Includes utterances, either oral or written, or
acts [Herrera]
Spouses as Co-accused
The other cannot be called as an adverse When not applicable
party witness under this Rule a. When the communication was not
intended to be kept in confidence
2. Disqualifications by Reason of b. When the communication was made prior
Privileged Communications; Rule to the marriage
on Third Parties c. Waiver of the privilege [Herrera]

Privilege Waiver
A privilege is a rule of law that, to protect a 1. Failure of the spouse to object; or
particular relationship or interest, either 2. Calling spouse as witness on cross
permits a witness to refrain from giving examination
testimony he otherwise could be compelled 3. Any conduct constructed as implied
to give, or permits someone usually one of consent [Herrera]
the parties, to prevent the witness from
revealing certain information [Herrera]. The objection to the competency of the spouse
must be made when he or she is first offered
Privilege may only be invoked by the as a witness. The incompetency is waived by
persons protected thereunder. It may also failure to make a timely objection to the
be waived by the same persons, either admission of spouse’s testimony [People v.
impliedly or expressly. Pasensoy, G. R. No. 140634 (2002)].

a. Husband and Wife

Also known as marital privilege

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Marital Exceptions
Marital Privilege 1.Furtherance of crime or fraud
Disqualification
[Sec. 24(a)] a. If the services or advice of the lawyer were
[Sec. 22]
sought or obtained
One spouse should Neither of the b. To enable or aid anyone
be a party to the spouses need to be c. To commit or plan to commit
case; a party; d. What the client knew or reasonably should
have known to be a crime or fraud [Sec.
Applies only if the 24(b)(i), Rule 130]
Does not cease
marriage is existing 2.Claimants through same deceased client
even after the
at the time the a. As to communication relevant to an issue
marriage is
testimony is offered; between parties who
dissolved; and
and b. Claim through the same deceased client
c. Regardless of whether the claims are by
Constitutes a total Prohibition is limited
testate, intestate, or inter vivos transaction
prohibition on any to testimony on
[Sec. 24(b)(ii), Rule 130]
testimony against confidential
3.Breach of duty by lawyer or client
the spouse of the communications
a. As to communications relevant to an
witness between spouses
issue of breach of duty
i. By the lawyer to his/her client; or
b. Attorney and Client ii. By the client to his/her lawyer [Sec.
24(b)(iii), Rule 130]
Elements 4.Document attested by the lawyer
As regards an attorney or any person a. As to communication relevant to an issue
reasonably believed by the client to be concerning an attested document
licensed to engage in the practice of law b. The lawyer is an attesting witness [Sec.
1. Without the consent of his client 24(b)(iv), Rule 130]
2. Cannot be examined as to 5.Joint clients
a. Any communication made by the a. As to a communication relevant to a matter
client to him/her, or of common interest between two or more
b. His/her advice given thereon in clients
the course of, or with a view to, b. The communication was made by any of
professional employment [Sec them to
24(b), Rule 130] c. The lawyer retained or consulted in
common
As regards an attorney’s secretary, d. Communication is offered in an action
stenographer, clerk, or other persons between any of the clients
assisting the attorney e. Neither expressly agreed otherwise [Sec.
1. Without the consent of the client and 24(b)(v), Rule 130]
his/her employer
2. Cannot be examined Identity of Client
3. Concerning any fact the knowledge of General Rule: The attorney-client privilege
which has been acquired in such may not be invoked to refuse to divulge the
capacity [Sec. 24(b), Rule 130] identity of the client.

Subject-matter of the Privilege Exceptions:

1. Communications a. When a strong probability exists that
2. Observations by the lawyer (regardless revealing the name would implicate that
of medium of transmission which may person in the very same activity for which
include oral or written words and he sought the lawyer’s advice;
actions) b. When disclosure would open the client to
3. Tangible evidence delivered to a lawyer liability;
4. Documents entrusted to a lawyer c. When the name would furnish the only link
[Herrera] that would form the chain of testimony
necessary to convict [Regala v.

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Sandiganbayan, G.R. No. 105938 and Physician-patient relationship need not be
G.R. No. 108113 (1996)] entered into voluntarily.

Duration of the privilege When not applicable

In the absence of a statute, the privilege is 1. Communication was not given in
permanent. It may even be claimed by a confidence
client’s executor or administrator after the 2. Communication was irrelevant to the
client’s death [Herrera]. professional employment
3. Communication was made for an
c. Physician and Patient unlawful purpose
4. Communication was intended for the
Elements commission/concealment of a crime
1. A physician, psychotherapist or person 5. Communication was intended to be
reasonably believed by the patient to be made public/divulged in court
authorized to practice medicine or 6. When there was a waiver
psychotherapy 7. When the doctor was presented as an
a. Psychotherapist: expert witness and only hypothetical
i. Person licensed to problems were presented to him [Lim v.
practice medicine C.A., G.R. No. 91114 (1992)]
engaged in the
diagnosis or treatment Waiver
of a mental or emotional 1. Express waiver – may only be done by the
condition; or patient
ii. A person licensed as a 2. Implied waiver
psychologist by the a. By failing to object
government while b. When the patient testifies
similarly engaged c. A testator procures an attending doctor
2. In a civil case to subscribe his will as an attesting
a. Note: the privilege cannot be witness
claimed in a criminal case d. Disclosure of the privileged information
because the interest of the either made or acquiesced by the
public in a criminal prosecution privilege holder before trial
should be deemed more e. Where the patient examines the
important than the secrecy of physician as to matters disclosed in a
the communication [Riano, 211, consultation
2016 Ed.] f. Also check Rule 28 on Physical and
3. Without the consent of the patient Mental Examination [Rules on Civil
4. Cannot be examined as to Procedure] [Herrera]
a. Any confidential communication
made between the patient and Physician allowed to testify as an expert
his/her physician or A doctor is allowed to be an expert witness
psychotherapist when he does not disclose anything obtained
b. For the purpose of diagnosis or in the course of his examination, interview and
treatment treatment of a patient. [Lim v. C.A., G.R. No.
1. Of the patient’s physical, 91114 (1992)]
mental, or emotional
condition Autopsical information
2. Including drug or alcohol If the information was not acquired by the
addiction physician in confidence, he may be allowed to
testify thereto. But if the physician performing
Note: this privilege also applies to persons, the autopsy was also the deceased’s
including members of the patient’s family, physician, he cannot be permitted either
who have participated in the diagnosis or directly or indirectly to disclose facts that came
treatment of the patient under the direction to his knowledge while treating the living
of the physician or psychotherapist [Sec. patient [Herrera, citing US Case Travelers ’
24(c), Rule 130]. Insurance Co. v. Bergeron]
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Duration of privilege contains important evidence” and by
The privilege survives the death of the the unavailability of the information
patient [Riano, 212, 16th Ed.]. elsewhere [Neri v. Senate, G.R. No.
180643 (2008)]
Hospital Records during discovery
procedure Purpose
To allow the disclosure during discovery The privilege is not intended for the protection
procedure of the hospital records would be of public officers but for the protection of the
to allow access to evidence that is public interest. When no public interest would
inadmissible without the patient’s consent. be prejudiced, this privilege cannot be invoked
Disclosing them would be the equivalent of [Banco Filipino v. Monetary Board, G.R. No.
compelling the physician to testify on 70054 (1986)).
privileged matters he gained while dealing
with the patient, without the latter’s prior Rule on Third Parties
consent [Chan v. Chan, G.R. No. 179786 The communication shall remain privileged,
(2013)]. even in the hands of a third person who may
have obtained the information, provided that
d. Priest and Penitent the original parties to the communication took
reasonable precaution to protect its
Elements confidentiality [Sec. 24, Rule 130 (last par.)].
1. A minister or priest or person
reasonably believed to be so Note: This amendment is a stark contrast from
2. Without the consent of the affected the previous rule which removes the privilege
person from communication that landed in the hands
3. Cannot be examined as to any of third parties.
a. communication; or
b. confession made to; or
c. advice given by him/her
4. in his/her professional character
5. in the course of discipline enjoined by
the church to which the minister or priest
belongs [Sec. 24(d), Rule 130]

e. Public Officers

Elements
1. A public officer
2. During or after his/her tenure
3. Cannot be examined as to
communications made to him/her in
official confidence
4. When the court finds that the public
interest would suffer by the
disclosure [Sec. 24(e), Rule 130]

Elements of “presidential
communications privilege”
1. Must relate to a “quintessential and
non-delegable presidential power;”
2. Must be authored or “solicited and
received” by a close advisor of the
President or the President himself;
and
3. Privilege may be overcome by a
showing of adequate need such that
the information sought “likely
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3. Parental and Filial Privilege Rule 4. Trade Secrets

Art. 315, General Rule: A person cannot be compelled

Sec. 25, CC to testify about any trade secret
Art. 215, FC
Rule 130 (repealed
by FC) Exception: the non-disclosure will conceal
fraud or otherwise work injustice
No person
When disclosure is directed, the court shall
shall be
take protective measures, as required by
compelled to
testify against No No • The interests of the owner of the trade
his/her descendant descendant secret;
1. Parents shall be can be • The interests of the parties; and
2. other compelled, in compelled, • The furtherance of justice [Sec. 26,
direct a criminal in a criminal Rule 130]
ascenda case, to case, to
nts testify against testify 5. Other Privileged Communication
3. children his parents against his Not in the Rules of Court
or and parents and
4. other grandparents ascendants a. Newsman’s Privilege
direct
descend General Rule: Publisher, editor or duly
ants accredited reporter of any newspaper,
magazine or periodical of general circulation
Except when cannot be compelled to reveal the source of
Except when such any news-report or information appearing in
such testimony is said publication which was related in
testimony is indispensabl confidence to such publisher, editor or reporter.
indispensabl e in a crime
e in a crime 1. against Exception: Court or a House/Committee of
1. against the None Congress finds that such revelation is
that person or descenda demanded by security of the State.
2. by one nt or
parent 2. by one Note: This is without prejudice to his liability
against the parent under the civil and criminal laws [R.A. 53, as
other. against amended by R.A. 1477].
the other
b. Information in Conciliation
Applicability Proceedings
The rule is applied to both civil and criminal
cases [Herrera]. All information and statements made at
conciliation proceedings shall be treated as
The privilege cannot apply between privileged communications [Art. 233, Labor
stepmothers and stepchildren because the Code].
rule applies only to direct ascendants and
descendants, a family tie connected by a
common ancestry [Lee v. C.A., G.R. No.
177861 (2010)].

A child can waive the filial privilege and

choose to testify against his father. The rule
refers to a privilege not to testify, which can
be invoked or waived like other privileges
[People v. Invencion y Soriano, G.R. No.
131636 (2003)].
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c. Data Privacy Act Requisites for Admissibility
1. They must involve matters of fact;
Personal information controllers may invoke 2. They must be categorical and definite;
the principle of privileged communication 3. They must be knowingly and voluntarily
over privileged information that they lawfully made; and
control or process. Subject to existing laws 4. Is adverse to admitter’s interests [2
and regulations, any evidence gathered on Regalado 754, 2008 Ed.]
privileged information is inadmissible [Sec.
15, RA 10173]. Effect of an Admission
It may be given in evidence against the
d. Food and Drug Administration Act admitter [Sec. 27, Rule 130].

Prohibits the use of a person to his own Flight from justice is an admission by conduct
advantage, or revealing, other than to the and circumstantial evidence of consciousness
Secretary of Health or officers or employees of guilt [US v. Sarikala, G.R. No. L-12988
of the Department of Health or to the courts (1918)].
when relevant in any judicial proceeding
under this Act, any information acquired Rationale
under authority Board of Food Inspection No man would make any declaration against
and Board of Food and Drug, or concerning himself unless it is true [Republic v. Bautista,
any method or process which as a trade G.R. No. 169801 (2007)].
secret is entitled to protection [Secs. 9, 11
(f) and 12, RA 3720]. Judicial and Extrajudicial Admissions

C. Admissions and Judicial Extrajudicial

Confessions Made in connection
Any other
with a judicial
1. Admission by a Party admission [Secs.
proceeding in which it
27 and 33, Rule
is offered [Sec. 4,
Elements 130]
Rule 129]
1. The act, declaration or omission
2. Of a party Must still be
3. As to a relevant fact formally offered in
4. Against his or her interest [Sec. 27, Does not require evidence (Note the
Rule 130] proof [Sec. 4, Rule language of Sec.
5. Made out of court (Those made in 129] 27, Rule 130: “may
court are governed by Sec. 4, Rule be given in
129) [2 Regalado 754, 2008 Ed.] evidence”)
6. Offered and presented in court in an
admissible manner (e.g. non- May be conclusive
hearsay) unless contradicted Rebuttable
[Sec. 4, Rule 129]
EXTRAJUDICIAL ADMISSIONS May be written, oral express or implied
Any statement of fact made by a party [Sec. 4, Rule 129; Sec. 27, Rule 130]
against his interest or unfavorable to the
conclusion for which he contends or is
inconsistent with the facts alleged by him [2 2. Res Inter Alios Acta Rule
Regalado 754, 2008 Ed., citing 31 C.J.S.
1022]. “Res inter alios acta alteri nocere non debet”—
Things done between strangers ought not to
A statement by the accused, direct or injure those who are not parties to them
implied, of facts pertinent to the issue, and [Black’s Law Dictionary].
tending in connection with proof of other
facts, to prove his guilt [People v. Lorenzo,
G.R. No. 110107 (1995)].
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Two Branches a. authorized by the party to make a
1. First branch: Admission by a third statement concerning the subject; or
party [Sec. 29, Rule 130]. b. within the scope of his/her authority
2. Second branch: Similar acts as 3. During the existence of the partnership or
evidence [Sec. 35, Rule 130]. agency,
4. May be given in evidence against such
3. Admission by a Third Party party
5. After the partnership or agency is shown by
General Rule: The rights of a party cannot evidence other than such act or declaration
be prejudiced by an act, declaration, or (evidence aliunde) [Sec. 30, Rule 130]
omission of another [Sec. 29, Rule 130].
This rule also applies to the act or declaration
Admission by a third party is inadmissible as of a joint owner, joint debtor, or other persons
against another. The act, declaration or jointly interested with the party [Sec. 30, Rule
omission of another is generally irrelevant, 130].
and that in justice, a person should not be
bound by the acts of mere unauthorized Statements Made After Partnership Is
strangers. Dissolved
As a rule, statements made after the
The rule is well-settled that a party is not partnership has been dissolved do not fall
bound by any agreement of which he has no within the exception, but where the admissions
knowledge and to which he has not given are made in connection with the winding up
his consent and that his rights cannot be of the partnership affairs, said admissions
prejudiced by the declaration, act or are still admissible as the partner is acting as
omission of another, except by virtue of a an agent of his co-partners in said winding up
particular relation between them. [2 Regalado 759, 2008 Ed.].

Exceptions: Joint Interests

a. Partner’s or Agent’s Admission [Sec. a. The joint interest must be first made to
30, Rule 130] appear by evidence other than the
b. Admission by conspirator [Sec. 31, Rule admission itself
130] b. The admission must relate to the subject-
c. Admission by privies [Sec. 32, Rule 130] matter of joint interest [Herrera]

Basis of Exception The word “joint” must be construed according

A third party may be so united in interest to its meaning in the common law system, that
with the party-opponent that the other is, in solidum for the whole [Jaucian v. Querol,
person’s admissions may be receivable G.R. No. L-11307 (1918)].
against the party himself. The term “privy” is
the orthodox catchword for the relation. A mere community of interests between
several persons is not sufficient to make the
Note: The res inter alios acta rule only admissions of one admissible against all
applies to extrajudicial declarations [Herrera].
(admissions and confessions). However,
when the declarant repeats his extrajudicial Just like in partnership and agency, the interest
declaration in open court and his co- must be a subsisting one unless for the
accused are given the opportunity to cross- admission to be admissible [Herrera].
examine him, the declaration becomes
admissible against the co-accused. 5. Admission by a Conspirator

4. Admission By a Co-Partner or Requisites for Admissibility

Agent 1. The act or declaration
2. Of a conspirator
Requisites for Admissibility 3. In furtherance of the conspiracy and
1. The act or declaration during its existence,
2. Of a partner or agent
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4. May be given in evidence against 2. Identical with each other in their
the co-conspirator essential details;
5. After the conspiracy is shown by 3. Corroborated by other evidence on
evidence other than such act or record [People v. Molleda, G.R. No. L-
declaration (evidence aliunde) [Sec. 34248 (1978), People v. Tuniaco, G.R.
31, Rule 130] No. 185710 (2010)]

An exception to the res inter alios acta rule Note: Interlocking confessions may also be
is an admission made by a conspirator used as evidence aliunde to prove conspiracy.
under Sec. 30, Rule 130 [People v.
Cachuela, G.R. No. 191752 (2013)]. Applicable to Extrajudicial Statements
The evidence adduced in court by the
Existence of the conspiracy may be inferred conspirators as witnesses are not declarations
from acts of the accused [People v. Belen, of conspirators, but direct testimony to the acts
G.R. No. L-13895 (1963)]. to which they testify. This is applicable only
when it is sought to introduce extrajudicial
Applies only to extra-judicial statements, not declarations and statements of the co-
to testimony given on the stand [People v. conspirators [Herrera, citing People v.
Serrano, G.R. No. L-7973 (1959)] or at trial Vizcarra, G.R. No. L-38859 (1982)].
where the party adversely affected has the
opportunity to cross-examine [People v. 6. Admission by Privies
Palijon, G.R. No. 123545 (2000].
Privies
As regards extrajudicial admissions Persons who are partakers or have an interest
AFTER termination of conspiracy, in any action or thing, or any relation to another
BEFORE trial [Riano 262, 2016 Ed., citing Black’s Law
Dictionary].
General Rule: Not admissible [People v.
Badilla, G.R. No. 23792 (1926); People v. It denotes the idea of succession, not only by
Yatco, G.R. No. L-9181 (1955)]. right of heirship and testamentary legacy, but
also that of succession by singular title, derived
Exceptions: from acts inter vivos, and for special purposes
1. Made in the presence of the co- (e.g. assignee of a credit and one subrogated
conspirator who expressly/impliedly to it are privies) [Alpuerto v. Perez Pastor and
agreed (tacit admission) Roa, G.R. No. L-12794 (1918)].
2. Facts in admission are confirmed in the
independent extrajudicial confessions Requisites for Admissibility
made by the co-conspirators after 1. One derives title to property from another
apprehension [People v. Badilla, G.R. 2. The act, declaration, or omission
No. 23792 (1926)] a. Of the latter (the person from whom title
3. As a circumstance to determine is derived)
credibility of a witness [People v. b. While holding the title
Narciso, G.R. No. L-24484 (1968)] c. In relation to the property
4. Circumstantial evidence to show the d. Is evidence against the former (one
probability of the latter’s participation [2 who derives title from another) [Sec.
Regalado 761, 2008 Ed.] 32, Rule 130]

Doctrine of Interlocking Confessions 7. Admission by Silence

Extrajudicial statements of co-accused may
be taken as circumstantial evidence An act or declaration made in the presence and
against the person implicated to show within the hearing or observation of a party who
the probability of the latter’s actual does or says nothing when the act or
participation, provided that the statements declaration is such as naturally to call for action
are made by several accused are: or comment if not true, and when proper and
1. Made without collusion possible for him/her to do so, may be given in
evidence against him/her [Sec. 33, Rule 130].
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Requisites: When silence is deemed an included therein, may be given in evidence
admission against him/her [Sec. 34, Rule 130].
a. Person heard or understood the
statement; An acknowledgment in express words or
b. That he was at a liberty to make a terms, by a party in a criminal case, of his
denial; guilt of the crime charged [People v. Lorenzo,
c. That the statement was about a matter G.R. No. 110107 (1995)].
affecting his rights or in which he was
interested and which naturally calls for a Requisites
response; 1. Express and categorical acknowledgement
d. That the facts were within his of guilt [U.S. v. Corrales, G.R. No. 9230
knowledge; and (1914)]
e. That the fact admitted from his silence 2. Facts admitted constitutes a criminal
is material to the issue [People v. offense [U.S. v. Flores, G.R. No. 9014
Paragsa, G.R. No. L-44060 (1978)]. (1913)]
3. Given voluntarily [People v Nishishima,
This rule applies even when a person was G.R. No. 35122 (1932)]
surprised in the act [US v. Bay, G.R. No. 4. Intelligently made [Bilaan v Cusi, G.R. No.
9341 (1914)] or even if he was already in the L-18179 (1962)], realizing the importance
custody of the police [People v. Ancheta, or legal significance of the act [U.S. v.
G.R. No. 143935 (2004)]. Agatea, G.R. No. 15177 (1919)]
5. No violation of Secs. 12 and 17, Art. III of
When Not Applicable the Constitution [2 Regalado 765, 2008
1. Statements adverse to the party were Ed.]
made in the course of an official
investigation [U.S. v. De la Cruz, G.R. If the accused admits having committed the act
No. 4740 (1908)], as where he was in question but alleges a justification therefore,
pointed out in the course of a custodial the same is merely an admission [Ladiana v.
investigation and was neither asked to People, G.R. No. 144293 (2002)].
reply nor comment on such imputations
[People v. Alegre, G.R. No. L-30423 Any confession, including a re-enactment,
(1979)] without admonition of the right to silence and to
2. Party had justifiable reason to remain counsel, and without counsel chosen by the
silent, e.g. acting on advice of counsel accused is inadmissible in evidence [People v.
[2 Regalado 763, 2008 Ed.] Yip Wai Ming, G.R. No. 120959 (1996)].

Failure to File a Comment [T]he basic test for the validity of a confession
Respondent’s failure to file a comment is – was it voluntarily and freely made. The term
despite all the opportunities afforded him "voluntary" means that the accused speaks of
constituted a waiver of his right to defend his free will and accord, without inducement of
himself. In the natural order of things, a man any kind, and with a full and complete
would resist an unfounded claim or knowledge of the nature and consequences of
imputation against him. It is generally the confession, and when the speaking is so
contrary to human nature to remain silent free from influences affecting the will of the
and say nothing in the face of false accused, at the time the confession was made,
accusations. As such, respondents' silence that it renders it admissible in evidence against
may be construed as an implied admission him. Plainly, the admissibility of a confession in
and acknowledgement of the veracity of the evidence hinges on its voluntariness [People v.
allegations against him [OCA v. Amor, A.M. Satorre, G.R. No. 133858 (2003)].
No. RTJ-08-2140 (2014)].
An extrajudicial confession may be given in
8. Confessions evidence against the confessant but not
against his co-accused (since) they are
The declaration of an accused deprived of the opportunity to cross-examine
acknowledging his/her guilt of the offense him. A judicial confession is admissible
charged, or of any offense necessarily against the declarant’s co-accused since the
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latter are afforded the opportunity to cross- 9. Admissibility of Offers of
examine the former. [People v. Palijon, G.R. compromise
No. 123545 (2000), cited in People v.
Janjalani, G.R. No. 188314 (2011)]. In civil cases
An offer of compromise is not an admission of
Effect of Extrajudicial Confession of any liability and is not admissible in evidence
Guilt against the offeror
General Rule: An extrajudicial confession
made by an accused, shall not be a General Rule: Evidence of conduct or
sufficient ground for conviction. statements made in compromise negotiations
are also not admissible
Exception: When corroborated by
evidence of corpus delicti [Sec. 3, Rule Exceptions: Evidence otherwise discoverable
133]. or offered for another purpose such as
a. Proving bias or prejudice of a witness;
Corpus Delicti b. Negativing a contention of undue delay; or
Substance of the crime; the fact that a crime c. Proving an effort to obstruct a criminal
has actually been committed [People v. De investigation or prosecution
Leon, G.R. No. 180762 (2009)].
In criminal cases
As Distinguished from Admissions of a General Rule: An offer of compromise by the
Party accused may be received as an implied
admission of guilt
Admission of a
Confession Exception: In cases involving quasi-offenses
Party
(criminal negligence) or those allowed by the
Acknowledgment of law to be compromised
A statement of fact [2
guilt or liability [2
Regalado 754, 2008
Regalado 754, 2008 Pleas of guilty
Ed.]
Ed.] Not admissible against the accused who made
the plea or offer:
Maybe express or Must be express [2 e. Plea of guilty later withdrawn;
tacit [2 Regalado Regalado 754, 2008
f. Unaccepted offer of a plea of guilty to a
754, 2008 Ed.] Ed.]
lesser offense; or
Can be made only by g. Statement made in the course of plea
Maybe made by 3rd the party himself, bargaining with the prosecution which does
parties, and in and admissible not result in a plea of guilty or which results
certain cases, against his co- in a plea of guilty later withdrawn
admissible against a accused in some
party [2 Regalado instances [2 Offer to pay medical, hospital or other
754, 2008 Ed.] Regalado 754, 2008 expenses
Ed.] Offer to pay or the payment of medical, hospital
or other expenses occasioned by an injury is
Acts, declarations or not admissible in evidence as proof of civil or
Declarations [Sec.
omissions [Sec. 26,
34, Rule 130]
criminal liability for the injury [Sec. 28, Rule
Rule 130] 130].

May be in any
proceeding D. Previous Conduct as
[Sec. 27, Rule 130 Criminal case [Sec. Evidence
refers to a party 34, Rule 130 refers
without distinction as to “accused”]
1. Similar Acts as Evidence
to nature of
proceeding]
General Rule: Evidence that one did or did not
do a certain thing at one time is not admissible

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to prove that he/she did or did not do the What is needed
same or similar thing at another time. Habit, custom, usage or pattern of conduct
must be proved like any other facts. Courts
Exceptions: Said evidence may be must contend with the caveat that, before they
received to prove a: admit evidence of usage, of habit or pattern of
1. Specific intent or knowledge conduct, the offering party must establish the
2. Identity degree of specificity and frequency of uniform
3. Plan, system, or scheme response that ensures more than a mere
4. Habit tendency to act in a given manner but rather,
5. Custom or usage and the like [Sec. 35, conduct that is semi-automatic in nature. The
Rule 130] offering party must allege and prove specific,
repetitive conduct that might constitute
2nd Branch of res inter alios acta rule [2 evidence of habit. The examples offered in
Regalado 774, 2008 Ed.]. evidence to prove habit, or pattern of evidence
must be numerous enough to base on
Reason for General Rule inference of systematic conduct. Mere
The rule is founded upon reason, public similarity of contracts does not present the kind
policy, justice and judicial convenience. The of sufficiently similar circumstances to
fact that a person has committed the same outweigh the danger of prejudice and
or similar acts at some prior time affords, as confusion… In determining whether the
a general rule, no logical guaranty that he examples are numerous enough, and
committed the act in question. This is so sufficiently regular, the key criteria are
because, subjectively, a man's mind and adequacy of sampling and uniformity of
even his modes of life may change; and, response. After all, habit means a course of
objectively, the conditions under which he behavior of a person regularly represented in
may find himself at a given time may like circumstances [Boston Bank v. Manalo,
likewise change and thus induce him to act G.R. No. 158149 (2006)].
in a different way. Besides, if evidence of
similar acts are to be invariably admitted, 2. Unaccepted Offer
they will give rise to a multiplicity of
collateral issues and will subject the An offer in writing to pay a particular sum of
defendant to surprise as well as confuse the money or to deliver a written instrument or
court and prolong the trial. [Metropolitan specific personal property is, if rejected without
Bank and Trust v. Custodio, G.R. No. valid cause, equivalent to the actual production
173780 (2011)]. and tender of the money, instrument, or
property [Sec. 36, Rule 130].
Evidence is not admissible when it shows,
or tends to show, that the accused in a
criminal case has committed a crime E. Testimonial Knowledge;
independent from the offense for which he Hearsay Rule
is on trial. A man may be a notorious
criminal, and may have committed many 1. Meaning of Hearsay
crimes, and still be innocent of the crime
charged on trial [People v. Pineda, G.R. No. Hearsay is a statement other than the one
141644 (2004)]. made by the declarant while testifying at a trial
or hearing, offered to prove the truth of the facts
When useful asserted therein.
Evidence of similar acts may frequently
become relevant, especially to actions Statement — Oral or written assertion OR
based on fraud and deceit, because it sheds non-verbal conduct of a person if it is intended
light on the state of mind or knowledge of a by him/her as an assertion [Sec. 37, Rule 130].
person; it provides insight into such
person's motive or intent; it uncovers a Elements
scheme, design or plan, or it reveals a a. Declarant is out of court
mistake [Ibid]. b. Out of court declaration is offered as proof
of its contents
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c. Absence of opportunity for cross- Hearsay evidence is excluded precisely
examination because the party against whom it is presented
is deprived of or is bereft of opportunity to
Testimonial Knowledge; General Rule on cross-examine the persons to whom the
Hearsay statements or writings are attributed
A witness can testify only as to those facts [Philippines Free Press v. C.A., G.R. No.
which he/she knows of his personal 132864 (2005)]
knowledge, that is, which are derived from
his/her own perception [Sec. 22, Rule 130].

If a party does not object to hearsay

evidence, the same is admissible, as a party
can waive his right to cross-examine
[People v. Ola, G.R. No. L-47147 (1987)].

Repeated failure to cross-examine is an

implied waiver [Savory Luncheonette v.
Lakas ng Manggagawang Pilipino, G.R. No.
L-38964 (1975)].

When a statement is NOT hearsay:

1. If the declarant testifies at the trial or
hearing and is subject to cross-
examination concerning the statement;
and
2. The statement is:
a. Inconsistent with the declarant’s
testimony and was given under oath
subject to the penalty of perjury at a
trial, hearing, or other proceeding,
or in a deposition
b. Consistent with the declarant’s
testimony and is offered to rebut an
express or implied charge against
the declarant of recent fabrication or
improper influence or motive
c. Identification of a person made after
perceiving him/her [Sec. 37, Rule
130]

2. Reason for Exclusion of Hearsay

Evidence

The underlying rule against hearsay is a

serious concern about the worth
(trustworthiness, reliability) of hearsay
evidence. Because such evidence:
1. Was not given under oath or solemn
affirmation; and
2. Was not subject to cross-examination by
opposing counsel to test the perception,
memory, veracity and articulateness of
out-of-court declarant or actor upon
whose reliability on which the worth of
the out-of-court testimony depends
[Herrera]
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3. Exceptions to the Hearsay Rule an oath administered by the court [People v.
Cerilla, G.R. No. 177147 (2007)].
1. Dying declaration
2. Statement of decedent or person of The admissibility of an ante mortem declaration
unsound mind is not affected by the fact that the declarant
3. Declaration against interest died hours or several days after making his
4. Act or declaration about pedigree declaration. It is sufficient that he believes
5. Family reputation or tradition himself in imminent danger of death at the time
regarding pedigree of such declaration [Herrera, citing People v.
6. Common reputation Ericta, 77 SCRA 199].
7. Part of the res gestae
8. Records of regularly conducted The rule is that, in order to make a dying
business activity declaration admissible, a fixed belief in
9. Entries in official records inevitable and imminent death must be entered
10. Commercial lists and the like by the declarant. It is the belief in impending
11. Learned treatises death and not the rapid succession of death in
12. Testimony or deposition at a former point of fact that renders a dying declaration
trial admissible. The test is whether the declarant
13. Residual exception has abandoned all hopes of survival and
looked on death as certainly impending.
a. Dying Declaration
Objections to the dying declaration
Also known as “antemortem statement” or May be premised on any of the requisites for its
“statement in articulo mortis” [People v. admissibility embodied in Sec. 38, Rule 130
Mendoza, G.R. No. 142654 (2001)] [Riano 302, 2016 Ed.]

Requisites for Admissibility Dying declarations are admissible in favor of

1. Declaration of a dying person the defendant as well as against him [US v.
2. Declaration was made under the Antipolo, 37 Phil. 726 (1918)].
consciousness of an impending death
3. Declaration may be received in any b. Statement of Decedent or Person of
case wherein his/her death is the Unsound Mind
subject of inquiry, as evidence of the
cause and surrounding circumstances Requisites for Admissibility
of such death [Sec. 38, Rule 130] General Rule: Any statement of the deceased
4. Declarant would have been competent or the person of unsound mind may be
as a witness had he survived [Geraldo v received in evidence
People, G.R. No. 173608 (2008)); and 1. In an action against:
5. Declarant should have died [People v. a. an executor, administrator or other
Macandog, G.R. No. 129534 and representative of a deceased person;
1411691 (2001)] OR
b. a person of unsound mind
A dying declaration must be single hearsay 2. Upon a claim or demand against the estate
to be admissible [People v. Bautista, G.R. of such deceased person or against such
No. 117685 (1999)]. person of unsound mind
3. Where party or assignor of a party or a
Rationale for Admissibility person in whose behalf a case is
As a general rule, when a person is at the prosecuted testifies on a matter of fact
point of death, every motive of falsehood is occurring before the death of the deceased
silenced [People v Bacunawa, G.R. No. or before the person became of unsound
136859 (2001)]. mind
4. Statement was made by the deceased or
The law considers the point of death as a person of unsound mind at a time where
situation so solemn and awful as creating an the matter had been recently perceived by
obligation equal to that which is imposed by him/her while his/her recollection was clear

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Exception: The statement is inadmissible if As Distinguished from Admissions
made under circumstances indicating its
lack of trustworthiness [Sec. 39, Rule 130]. Admission By a Declaration
Party [Sec. 27, Against Interest
c. Declaration Against Interest Rule 130] [Sec. 40, Rule 130]

Requisites for Admissibility Admitter is a party Declarant is neither

1. Declarant is dead or unable to testify; himself, or in privity a party nor in privity
2. Declaration relates to a fact against the with such party with a party
interest of the declarant;
3. At the time he made said declaration, Admissible whether Admissible only
declarant was aware that the same was or not admitter is when declarant is
contrary to the declarant’s own interest; available as a unavailable as a
and witness witness
4. Declarant had no motive to falsify and
Can be made any Must have been
believed such declaration to be true
time, even during made ante litem
[Sec. 40, Rule 130]
trial motam
When NOT Admissible
General Rule: If the statement tends to Admissible only Admissible even
expose the declarant to criminal liability and against the admitter against 3rd persons
is offered to exculpate the accused.
Admissible not as Admissible as an
Exception: Admissible if corroborating an exception to any exception to the
circumstances clearly indicate the rule hearsay rule
trustworthiness of the statement [Sec. 40,
Rule 130]. Made against one’s
claim or defense, Made against one’s
Inability to testify means that the person is although not moral pecuniary or moral
dead, mentally incapacitated or physically or pecuniary interest
incompetent. Mere absence from the interest
jurisdiction does not make him ipso facto Secondary
unavailable [Fuentes v. C.A., G.R. No. Primary evidence
evidence
111692 (1996)].
[Estrada v. Desierto, G.R. Nos. 146710-15
Admissible Against Third Persons (2001)]
Declaration against interest made by the
deceased, or by one unable to testify, is d. Act or Declaration About Pedigree
admissible even against the declarant’s
successors-in-interest or even against third Requisites for Admissibility
persons [Sec. 40, Rule 130]. 1. The act or declaration
2. Of a person deceased or unable to testify
Actual or Real Interest 3. In respect to the pedigree of another
It is essential that at the time of the person related to him/her by
statement, the declarant’s interest affected a. Birth;
thereby should be actual, real or apparent, b. Adoption;
not merely contingent, future or, conditional; c. Marriage; or
otherwise the declaration would not in d. In the absence thereof, with those
reality be against interest. (Example: family he/she was so intimately
declarations regarding a declarant’s associated as to be likely to have
inheritance are not admissible because accurate information concerning
these are future interests) [Herrera] his/her pedigree
4. May be received in evidence where the
act/declaration occurred before the
controversy; and

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5. Relationship between the declarant and A person’s statement as to his date of birth and
the person whose pedigree is in age, as he learned of these from his parents or
question must be shown by evidence relatives, is an ante litem motam declaration of
other than such act or declaration a family tradition [Gravador v. Mamigo, G.R.
(evidence aliunde) [Sec. 41, Rule 130] No. L-24989 (1967)].

Pedigree includes: Distinguished From Declaration About

1. Relationship; Pedigree
2. Family genealogy;
3. Birth; Sec. 41 – Sec. 42 – Family
4. Marriage; Declaration About Reputation or
5. Death; Pedigree Tradition
6. Dates when these facts occurred;
7. Places where these facts occurred; There must be a The witness
8. Names of relatives; and declarant and a testifying to the
9. Facts of family history intimately witness family reputation
connected with pedigree [Sec. 40, Rule
The witness need and tradition must
130]
not be a relative of be a member of the
the person whose family member of
Pedigree Declaration By Conduct
pedigree is in the person whose
This rule may also consist of proof of acts or
conduct of relatives and the mode of question, it must be pedigree is in
the declarant. controversy.
treatment in the family of one whose
parentage is in question [Herrera 649]
The witness may
Independent
e. Family Reputation or Tradition evidence is needed
testify about the
Regarding Pedigree relationship himself.
to establish
The author of the
relationship
Requisites for Admissibility reputation need not
between declarant
1. Witness must be a member, by be established by
and person whose
consanguinity, affinity, or adoption, of independent
pedigree is in issue
the same family as the subject; and evidence.
2. Such reputation or tradition must have
existed in that family ante litem motam [Herrera]
(before the controversy) [Sec. 42, Rule
130].
a. Note: Ante litem motam means before
the controversy arose, not before the
suit was brought [Prof. Avena].

Other Admissible Evidence

1. Entries in family bibles or other family
books;
2. Charts;
3. Engravings on rings;
4. Family portraits and the like [Sec. 42,
Rule 130]

This enumeration, by ejusdem generis, is

limited to "family possessions," or those
articles which represent, in effect, a family's
joint statement of its belief as to the
pedigree of a person [Jison v. C.A., G.R.
No. 124853 (1998)]

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f. Common Reputation Res gestae, as an exception to the hearsay
rule, refers to those exclamations and
Definition: The definite opinion of the statements made by either the participants,
community in which the fact to be proved is victims, or spectators to a crime immediately
known or exists. It means the general or before, during, or after the commission of the
substantially undivided reputation, as crime, when the circumstances are such that
distinguished from a partial or qualified one, the statements were made as a spontaneous
although it need not be unanimous [2 reaction or utterance inspired by the
Regalado, 787, 2008 Ed.]. excitement of the occasion and there was no
opportunity for the declarant to deliberate and
Requisites for Admissibility to fabricate a false statement [DBP Pool of
1. Common reputation existed ante litem Accredited Insurance Companies v. Radio
motam Mindanao Network, Inc., G.R. No. 147039
2. Reputation pertains to: (2006)]
a. boundaries of or customs affecting
lands in the community A dying declaration can be made only by the
b. events of general history important victim, while a statement as part of the res
to the community gestae may be that of the killer himself after or
c. marriage, or during the killing [2 Regalado 788, 2008 Ed.,
d. moral character [Sec. 43, Rule 130] citing People v. Reyes, G.R. Nos. L-1846–48
(1949)]
Note: The 30-year rule was removed in the
Amended Rules A statement not admissible as dying
declaration because it was not made under
Other Admissible Evidence consciousness of impending death, may still be
1. Monuments admissible as part of res gestae if made
2. Inscriptions in public places [Sec. immediately after the incident [People v.
43, Rule 130] Gueron, G.R. No. L-29365 (1983)].

Pedigree may be established by reputation

in the family, but not in the community
[Secs. 42-43, Rule 130].

Common reputation is hearsay like any

other exception to the hearsay rule, but is
admissible because of trustworthiness
[Riano 327, 2016 Ed., citing Reg. v.
Bedforshire, 4 E & B 535, 82 ECL 535, 542].

Reputation has been held admissible as

evidence of age, birth, race, or race-
ancestry, and on the question of whether a
child was born alive [In re: Florencio
Mallare, A.M. No. 533 (1974)]

Unlike that of matters of pedigree, general

reputation of marriage may proceed from
persons who are not members of the family
— the reason for the distinction is the public
interest [In re: Florencio Mallare, A.M. No.
533 (1974)].

g. Part of the Res Gestate

Res gestae — “things done”

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Requisites for Res Gestae Sec. 44. Res Sec. 38. Dying
Spontaneous Gestae Declaration
Verbal Acts
Statements
Statement may be Can be made only
a. The principal a. The res gestae made by the killer by the victim
act, the res or principal act himself
gestae, be or to be after or during the
made due to a characterized killing [People v.
startling must be Reyes, G.R. Nos. L-
occurrence equivocal; 1846–48 (1949)]
b. The statements b. Such act must OR that of a
were made be material to 3rd person.
before the the issue
declarant had c. The statements May precede, Made only after the
the opportunity must accompany or be homicidal attack
to contrive accompany the made after the has been
c. The statements equivocal act. homicidal attack committed
must refer to d. The statements was committed
the occurrence give a legal Justification in the Trustworthiness
in question and significance to spontaneity of the based upon in its
its attending the equivocal statement. being given in
circumstances act [Talidano v. awareness of
[Talidano v. Falcon impending death
Falcon Maritime, G.R.
Maritime, G.R. No. 172031 [2 Regalado 788-789, 2008 Ed.]
No. 172031 (2008)]
(2008)]] h. Records of Regularly Conducted
[2 Regalado 790, Business Activity
[2 Regalado 788, 2008 Ed.]
2008 Ed., citing Requisites for Admissibility
People v. Siscar, 1. Memorandum, report, record or data
G.R. No. 55649 compilation
(1985)] a. Of acts, events, conditions, opinions, or
diagnoses
Spontaneous b. Made by writing, typing, electronic,
exclamations may optical, or other similar means
have been made c. At or near the time of or from
before, transmission or supply of information
during or 2. Entrant had knowledge thereof
Verbal act must
immediately after 3. Records are kept in the regular course or
have been made at
the startling conduct of a business activity
the time, and not
occurrence 4. The making of the memorandum, report,
after, the equivocal
equivocal act [2 record, or data compilation by electronic,
act was being
Regalado 790, optical or similar means is regular practice
performed
2008 Ed.] 5. All of the above are shown by the testimony
[2 Regalado 790,
2008 Ed.] of a custodian or other qualified witness
AND must be under [Sec. 45, Rule 130]
the stress or
excitement caused Note: Sec. 45 has no counterpart in the
by the occurrence previous Rules but it is the exact reproduction
[Sec. 44, Rule 130] of Sec. 2, Rule 8, Rules on Electronic Evidence
(“Business records as exception to the hearsay
rule under the Rules on Electronic Evidence”)

If the entrant is available as a witness, the

entries will not be admitted, but they may
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nevertheless be availed of by said entrant such errors as might have occurred
as a memorandum to refresh his memory [Herce, Jr. v. Municipality of Cabuyao,
while testifying on the transactions reflected Laguna, G.R. No. 166645 (2005)]
therein [Cang Yui v. Gardner, G.R. No. L-
9974 (1916)] A sheriff’s return is an official statement by a
public official in the performance of a duty
Entries in the payroll, being entries in the specially enjoined by law and is prima facie
course of business, enjoy the presumption evidence of the facts therein stated. Being an
of regularity [Sapio v. Undaloc Construction, exception to the hearsay rule, the sheriff need
G.R. No. 155034 (2008)]. not testify in court as to the facts stated in said
return [Manalo v Robles Trans.Co., G.R. No. L-
Reason for rule 8171 (1956)].
The duty of the employees to communicate
facts is itself a badge of trustworthiness of Entries in official records are merely prima
the entries [Security Bank and Trust facie evidence of the facts therein stated [Sec.
Company v. Gan, G.R. No. 150464 (2006)]. 46, Rule 130].

These entries are accorded unusual Entries in a police blotter are not conclusive
reliability because their regularity and proof of the truth of such entries [People v.
continuity are calculated to discipline record Cabuang, G.R. No. 103292 (1993)].
keepers in the habit of precision [LBP v.
Monet’s Export and Manufacturing Corp., Baptismal certificates or parochial records of
G.R. No. 184971 (2010)]. baptism are not official records [Fortus v.
Novero, G.R. No. L-22378 (1968)].
i. Entries in Official Records
j. Commercial Lists and the Like
Requisites for Admissibility
1. Entries in official records were made Requisites for Admissibility
by a public officer in the a. Evidence of statements of matters of
performance of his/her duties or by interest to persons engaged in an
a person in the performance of a occupation
duty specially enjoined by law [Sec. b. Such statements are contained in a list,
46, Rule 130]; register, periodical, or other published
2. Entrant must have personal compilations
knowledge of the facts stated by him c. Compilation is published for use by
or such facts acquired by him from persons engaged in that occupation; and
reports made by persons under a a. Example: mortality tables, MIMS
legal duty to submit the same drug database
[Barcelon, Roxas Securities v. CIR, d. It is generally used and relied upon by them
G.R. No. 157064 (2006)]; and [Sec. 47, Rule 130]
3. Entries were duly entered in a
regular manner in the official k. Learned Treatises
records [People v. Mayingque, G.R.
No. 179709 (2010)]. Requisites for Admissibility
1. Published treatise, periodical or
The trustworthiness of public documents pamphlet is on a subject of history, law,
and the value given to the entries made science, or art; and
therein could be grounded on: 2. Court takes either:
1. The sense of official duty in the a. Judicial notice of it, or
preparation of the statement made; b. A witness expert in the subject
2. The penalty which is usually affixed testifies that the writer of the
to a breach of that duty; statement in the treatise,
3. The routine and disinterested origin periodical or pamphlet is
of most such statements; and recognized in his/her
4. The publicity of record which makes profession or calling as expert
more likely the prior exposure of
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in the subject [Sec. 48, Rule procure through reasonable efforts;
130]. and
c. The general purposes of these rules
Scientific studies or articles and websites and the interests of justice will be best
which were culled from the internet, served by its admission.
attached to the Petition, and were not 4. Proponent makes known to the adverse
testified to by an expert witness are hearsay party, sufficiently in advance of the hearing
in nature and cannot be given probative or by the pre-trial stage in case of a trial of
weight. [Paje v. Casiño, G.R. No. 207257 the main case, to provide the adverse party
(2015)] with a fair opportunity to prepare to meet it,
the proponent’s intention to offer the
l. Testimony or Deposition at a statement and its particulars, including the
Former Trial name and address of the declarant [Sec.
50, Rule 130].
Requisites for Admissibility
1. Witness is dead, out of the Philippines OTHER EXCEPTIONS OUTSIDE THE
or with due diligence cannot be found RULES OF COURT
therein, unavailable, or unable to testify; 1. Affidavit in the Rules of Summary
2. The testimony or deposition was given Procedure - shall not be considered as
in a former case or proceeding, judicial competent evidence for the party presenting
or administrative, between the same the affidavit, but the adverse party may
parties or those representing the same utilize the same for any admissible purpose
interests; [Sec. 14, Rules on Summary Procedure]
3. Former case involved the same subject 2. Under the Rule on Examination of a Child
as that in the present case although on Witness, hearsay exception in child abuse
different causes of action; cases [See Sec. 28].
4. Issue testified to by the witness in the
former trial is the same issue involved in 4. Independently Relevant
the present case; and Statements (IRS)
5. Adverse party had the opportunity to
cross-examine the witness in the former Statements or writings attributed to a person
case [Sec. 49, Rule 130]. not on the witness stand, which are being
offered not to prove the truth of the facts
Inability to Testify (Meaning and stated therein, but only to prove that such were
Standard) actually made.
The inability of the witness to testify must
proceed from a grave cause, almost These are not covered by the hearsay rule
amounting to death, as when the witness is [People v. Cusi, G.R. No. L-20986 (1965)].
old and has lost the power of speech. Mere
refusal shall not suffice [Tan v. C.A., G.R. These are statements which are relevant
No. L-22793 (1967)]. independently of whether they are true or not
[Estrada v. Desierto, G.R. No. 146710 (2001)].
m. Residual Exception
Two classes of independently relevant
Requisites for admissibility statements:
1. Statement not specifically covered by 1. Statements which are the very facts in
any of the foregoing exceptions; issue, and
2. Has the equivalent circumstantial 2. Statements which are circumstantial
guarantees of trustworthiness evidence of the facts in issue. They include
3. The court determines that: the following:
a. The statement is offered as a. Statement of a person
evidence of a material fact; showing his state of mind, that
b. It is more probative on the point for is, his mental condition,
which it is offered than any other knowledge, belief, intention, ill
evidence which the proponent can will and other emotions;

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b. Statements of a person the judge is as well qualified as the witness to
which show his physical draw its own or his own deductions from the
condition, as illness and the hypothetical facts [Herrera].
like;
c. Statements of a person Court discretion to exclude or include
from which an inference expert evidence
may be made as to the If men of common understanding are capable
state of mind of another, of comprehending the primary facts and
that is, the knowledge, drawing correct conclusions from them, expert
belief, motive, good or bad testimony may be excluded by the Court
faith, etc. of the latter; [Herrera].
d. Statements which may
identify the date, place and Competency of witness is a preliminary
person in question; and question before testimony is admitted
e. Statements showing the It must be shown that the witness is really an
lack of credibility of a expert; determination of competency is a
witness [Estrada v. preliminary question [Herrera]
Desierto, G.R. No. 146710
(2001)] The competence of an expert witness is a
matter for the trial court to decide upon in the
F. Opinion Rule exercise of its discretion. The test of
qualification is necessarily a relative one,
Opinion is an inference or conclusion drawn depending upon the subject matter of the
from facts observed [Black’s Law investigation, and the fitness of the expert
Dictionary] witness. In our jurisdiction, the criterion
remains to be the expert witness' special
General Rule: The opinion of witness is not knowledge, experience and practical
admissible [Sec. 51, Rule 130]. training that qualify him/her to explain
highly technical medical matters to the
Exceptions: Court.
1. Expert witness [Sec. 52, Rule 130]
2. Ordinary witness [Sec. 53, Rule 130] It is the specialist's knowledge of the
requisite subject matter, rather than his/her
specialty that determines his/her
1. Opinion of Expert Witness;
qualification to testify. [Casumpang v.
Weight given Cortejo, G.R. No. 171127 (2015)]
The opinion of a witness on a matter
b. Examining an Expert Witness
requiring special knowledge, skill,
experience, training, or education, which
Mode of Examination of Expert Witness
he/she shown to possess, may be received
He may base his opinion on the basis of
in evidence [Sec. 52, Rule 130].
hypothetical questions where the facts are
presented to him hypothetically, and on the
Expert witness is one who has made the
assumption that they are true, formulates his
subject upon which he gives his opinion a
opinion on this hypothesis [Herrera].
matter of particular study, practice or
observation and he must have particular
The lack of personal examination and interview
and special knowledge on the subject
of the respondent, or any other person
[People v. Dekingco, G.R. No. 87685
diagnosed with personality disorder, does not
(1990)]
per se invalidate the testimonies of the doctors.
Neither do their findings automatically
a. Admitting Expert Testimony constitute hearsay that would result in their
exclusion as evidence. Within their
Question in admitting expert testimony acknowledged field of expertise, doctors can
Whether the opinion called for will aid the diagnose the psychological make up of a
fact finder in resolving an issue, or whether person based on a number of factors culled
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from various sources [Camacho-Reyes v. iii. Condition, or
Reyes, G.R. No. 185286 (2010)]. iv. Appearance of a person [Sec. 53,
Rule 130].
How to Present an Expert Witness
a. Introduce and qualify the witness; a. Identity of a Person About Whom He
b. Let him give his factual testimony, if he Has Adequate Knowledge
has knowledge of the facts;
c. Begin the hypothetical question by Statements of a witness as to identity are not
asking him to assume certain facts as to be rejected because he is unable to describe
true; features of the person in question [Herrera].
d. Conclude the question, by first asking
the expert if he has an opinion on a Identification by voice is recognized by the
certain point courts, especially in a case where it was
e. assuming that these facts are true and impossible to see the accused but the witness
secondly, asking him, after he has has known the accused since their childhood
answered affirmatively, to give his [Herrera, citing US v. Manabat].
opinion on the point;
f. After he has stated his opinion, ask him b. Handwriting With Which He Has
to give his reasons. Sufficient Familiarity
Weight Given to Expert Testimony The ordinary witness must be acquainted with
Courts are not bound by the findings or the characteristics of the handwriting of a
opinions of the expert. Their evidence is not person. He may only draw on the knowledge
conclusive, but merely advisory. which he already has, and which enables him
to recognize the handwriting.
How Weight May Be Determined
In determining the weight to be given to Only experts are allowed to give conclusions
expert testimony, the court may consider from the comparison of samples of handwriting
the following: of a person whose handwriting he is not familiar
1. Whether the opinion is based upon with [Herrera].
sufficient facts or data;
2. Whether it is the product of reliable
c. Mental Sanity of a Person With
principles and methods;
3. Whether the witness has applied Whom He Is Sufficiently Acquainted
the principles and methods reliably
to the facts of the case; and These are allowed where the witness can
4. Such other factors as the court may adequately describe the actions, looks or
deem helpful to make such symptoms of a person’s sanity or insanity
determination [Sec. 5, Rule 133]. which is impossible for the court to determine
[Herrera].
2. Opinion of Ordinary Witness
d. Impressions of the Emotion,
The opinion of an ordinary witness is Behavior, Condition or Appearance of
admissible: a Person
1. If proper basis is given, and
2. Regarding: The rule recognizes instances when a witness
a. Identity of a person about whom may be permitted to state his inferences that
he/she has adequate knowledge; are drawn from minute facts and details which
b. Handwriting with which he/she has the witness cannot fully and properly describe
sufficient familiarity; in court. Such expressions are expressed to
c. Mental sanity of a person with whom the countenance, the eye and the general
he/she is sufficiently acquainted; manner and bearing of the individual;
and appearance which are plainly enough
recognized by a person of good judgment, but
d. Impressions of the
which he cannot otherwise communicate by an
i. Emotion,
ii. Behavior,
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expression of results in the shape of an of his doing the act charged. The accused may
opinion [Herrera, citing US case Hardy v. prove his good moral character only if it is
Merill]. pertinent to the moral trait involved in the
offense charged [Herrera].
G. Character Evidence
Bad moral character of accused in rebuttal
Note: There are substantial changes in this Unless and until the accused gives evidence of
part under the 2019 Revised Rules. his good moral character the prosecution may
not introduce evidence of his bad character
Character distinguished from reputation [Herrera, citing People v. Rabanes, G.R. No.
'Character' is what a man is, and 'reputation' 93709 (1992)].
is what he is supposed to be in what people
say he is. 'Character' depends on attributes Character evidence must be limited to the traits
possessed, and 'reputation' on attributes and characteristics involved in the type of
which others believe one to possess. The offense charged. Thus:
former signifies reality and the latter merely a. On a charge of rape: character for chastity
what is accepted to be reality at present b. On a charge of assault: character for
[Lim v. C.A., G.R. No. 91114 (1992)]. peaceableness or violence
c. On a charge of embezzlement: character
General Rule: for honesty [CSC v. Belagan, G.R. No.
Evidence of a person’s character or a trait 132164 (2004)]
of character is not admissible for the
purpose of proving action in conformity Proof of the bad character of the victim is
therewith on a particular occasion [Sec. 54, not admissible:
Rule 130]. a. In a murder case: If the crime was
committed through treachery and evident
Exceptions: premeditation [People v. Soliman, G.R. No.
1. Criminal cases [Sec. 54(a), Rule 130] L-9723 (1957)]
2. Civil case [Sec. 54(b), Rule 130] b. In a rape case: If through violence and
3. In both civil and criminal cases [Sec. intimidation [People v. Blance, G.R. No.
54(c), Rule 130] 20063 (1923)]
a. Evidence of good character of
witness is not admissible until such Rape Shield Rule
character has been impeached In prosecution for rape, evidence of
b. When the character or trait of complainant’s past sexual conduct, opinion
character is an essential element of a thereof or of his/her reputation shall not be
charge, claim or defense admitted unless, and only to the extent that the
court finds that such evidence is material and
relevant to the case [Sec. 6, R.A. 8505].
1. Criminal Cases
Sexual Abuse Shield Rule
1. Accused – May prove his/her good
The following evidence is not admissible in any
moral character, which is pertinent
criminal proceeding involving alleged child
to the moral trait involved in the
sexual abuse:
offense charged.
a. Evidence to prove that the alleged victim
2. Prosecution – May not prove the
engaged in other sexual behavior; and
bad moral character of the accused,
b. Evidence offered to prove the sexual
except in rebuttal.
predisposition of the alleged victim [Sec.
3. Offended Party – May be proved if
30, Rule on Examination of a Child
it tends to establish in any
Witness]
reasonable degree the probability or
improbability of the offense charged
[Sec. 54, Rule 130]. 2. Civil Cases

Good Moral Character of Accused Moral character is admissible only when

The purpose of presenting evidence of good pertinent to the issue of character involved in
moral character is to prove the improbability the case [Sec. 54(b), Rule 130].
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3. Criminal and Civil Cases

Evidence of the witness ’good character is

not admissible until such character has
been impeached.

In all cases in which evidence of character

or a trait of character of a person is
admissible, proof may be made by:
a. Testimony as to reputation; or
b. Testimony in the form of an opinion

On cross-examination, inquiry is allowable

into relevant specific instances of conduct.

In cases where the character or trait of

character is an essential element of a
charge, claim, or defense, proof may also
be made of specific instances of that
person’s conduct. [Sec. 54(c), Rule 130]

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VII. BURDEN OF PROOF In both civil and criminal cases, the burden of
evidence lies with the party who asserts an
AND PRESUMPTIONS affirmative allegation [2 Regalado 817, 2008
Ed.].
A. Burden of Proof and
Example:
Burden of Evidence In a case for collection of a sum of money, if
the defendant asserts that she has paid, then
Burden of proof is the duty of a party to she has the burden of proving that she had, not
present evidence on the facts in issue on the creditor that she had not. While the
necessary to establish his or her claim or creditor had needed to prove the existence of
defense by the amount of evidence required a debt, the burden shifts to the debtor because
by law. Burden of proof never shifts [Sec. 1, she alleged an affirmative defense, which
Rule 131]. admits the creditor’s allegation [Vitarich v.
● In civil cases, the burden of proof is on Losin, G.R. No. 181560 (2010)].
the party who would be defeated if no
evidence were given on either side, the
plaintiff with respect to his complaint, the
B. Presumptions
defendant with respect to his
counterclaim, and the cross-claimant, Presumptions are inferences as to the
with respect to his cross-claim [2 existence of a fact not actually known, arising
Regalado 816, 2008 Ed.]. from its usual connection with another which is
● In criminal cases, the burden of proof known, or a conjecture based on past
rests on the prosecution [Boac v. People, experience as to what course human affairs
G.R. No. 180597 (2008)]. ordinarily take [University of Mindanao, Inc. v.
Bangko Sentral ng Pilipinas, G.R. No. 194964-
Burden of evidence is the duty of a party 65 (2016)].
to present evidence sufficient to establish
or rebut a fact in issue to establish a prima A presumption can rest only upon ascertained
facie case. Burden of evidence may shift facts. It cannot be based on other
from one party to the other in the course of presumptions, assumptions, probabilities or
the proceedings, depending on the inferences [Francisco, 52].
exigencies of the case [Sec. 1, Rule 131].
Presumptions are not allegations, nor do they
A party will have the burden of evidence supply their absence. Presumptions are
only if there is any factum probandum conclusions. They do not apply when there are
(whether evidentiary or otherwise) that the no facts or allegations to support them
adverse party has already established [University of Mindanao, Inc. v. Bangko Sentral
(whether by law, rule, or by virtue of ng Pilipinas, G.R. No. 194964-65 (2016)].
evidence that he has presented) that he (the
potential proponent) has to overcome. A
party will not have any burden of evidence
at all if the adverse party has not
established any factum probandum in the
first place [Prof. Avena].

The burden of proof is generally

determined by the pleadings filed by the
party; the burden of evidence is generally
determined by the developments at the trial,
or by the provisions of the substantive law
or procedural rules which may relieve the
party from presenting evidence on the fact
alleged, i.e., presumptions, judicial notice
and admissions [2 Regalado 816-817, 2008
Ed.].

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Presumption of Presumption of 1. Conclusive Presumptions
Fact Law
The technical definition of “conclusive
Praesumptiones Praesumptiones presumption” is implied by way of contra-
hominis [2 juris [2 Regalado distinction with that for the term “disputable
Regalado 819, 819, 2008 Ed.] presumption” in Sec. 3 of Rule 131 of the Rules
2008 Ed.] of Court.
Those which the law Thus, a conclusive presumption is a class of
Those which the requires to be evidence which the law does not allow to be
experience of drawn from the contradicted [2 Regalado 703, 2008 Ed.].
mankind has existence of
shown to be valid, established facts in Conclusive presumptions in the ROC [Sec.
founded on the absence of 2, Rule 131]:
general knowledge contrary evidence; 1. A party is not permitted falsify a thing
and information; derived from the law whenever:
essentially an itself rather from a. By his or her own declaration, act or
inference common logic or omission;
probability b. He or she intentionally and
e.g. Inference of deliberately led another to believe a
guilt upon In the absence of a particular thing is true;
discovery of legal provision or c. To act upon such belief; and
bloodied garment ruling, there is no d. The litigation arises out of such
in possession of presumption of law. declaration act or omission
accused 2. A tenant is not permitted to deny the title
e.g. Presumption of of his or her landlord at the time of the
innocence in favor commencement of the relation of landlord
of the accused, and tenant between them
presumption of
negligence of a These conclusive presumptions are based
common carrier upon the doctrine of estoppel in pais, see Arts.
1431-1439, Civil Code [2 Regalado 820, 2008
Ed.]
Conclusive Disputable
Once a contract of lease is shown to exist
between the parties, the lessee cannot by any
Inferences which Satisfactory if proof, however strong, overturn the conclusive
the law makes so uncontradicted, but presumption that the lessor has a valid title to
peremptory that it may be or a better right of possession to the subject
will not allow them contradicted and premises than the lessee [Santos v. National
to be overturned overcome by other Statistics Office., G.R. No. 171129 (2011)].
by any contrary evidence [Sec. 3,
proof however Rule 131]. What a tenant is estopped from denying is the
strong [Datalift title of his landlord at the time of the
Movers v. commencement of the landlord-tenant relation.
Belgravia Realty, If the title asserted is one that is alleged to have
G.R. No. 144268 been acquired subsequent to the
(2006)]. commencement of that relation, the
presumption will not apply. Hence, the tenant
may show that the landlord's title has expired
or been conveyed to another or himself; and he
is not estopped to deny a claim for rent, if he
has been ousted or evicted by title paramount
[Ermitaño v Paglas, G.R. No. 174436 (2013)].

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Sources of conclusive presumptions possesses or exercises acts of ownership
other than the Rules of Court: over are owned by him or her;
a. Law k. Person in possession of an order on himself
i. The decree of registration and the or herself for the payment of the money, or
certificate of title issued shall the delivery of anything, has paid the money
become incontrovertible, upon the or delivered the thing accordingly;
expiration of the one-year period l. Person acting in a public office was
within which any person deprived of regularly appointed or elected to it;
land or of any estate or interest m. Official duty has been regularly performed;
therein by such adjudication or n. A court, or judge acting as such, whether in
confirmation of title obtained by the Philippines or elsewhere, was acting in
actual fraud, to file in the proper court the lawful exercise of jurisdiction;
a petition for reopening and review of o. All the matters within an issue raised in a
the decree of registration [Sec. 32, case were laid before the court and passed
P.D. 1529]. upon by it; and in like manner that all
ii. The child shall be considered matters within an issue raised in a dispute
legitimate although the mother may submitted for arbitration were laid before the
have declared against its legitimacy arbitrators and passed upon by them;
or may have been sentenced as an p. Private transactions have been fair and
adulteress. [Art. 167, FC]. Factum regular;
probans that the child was conceived q. Ordinary course of business has been
or born during the marriage of its followed;
parents conclusively establishes the r. There was a sufficient consideration for a
factum probandum of the legitimate contract;
status of that child, Art. 167 is saying s. Negotiable instrument was given or
that any factum probans presented indorsed for a sufficient consideration;
and offered to prove the truth of the t. An indorsement of a negotiable instrument
latter declaration (of the mother) will was made before the instrument was
be inadmissible in evidence. overdue and at the place where the
instrument is dated;
b. SC Issuances u. A writing is truly dated;
v. Letter duly directed and mailed was
2. Disputable Presumptions received in the regular course of the mail;
w. Presumptions concerning absence:
a. Person is innocent of crime or wrong; i. Ordinary but continued absence of:
b. Unlawful act is done with an unlawful 1. 7 years, it being unknown WON the
intent; absentee still lives, he or she is
c. Person intends the ordinary considered dead for all purposes,
consequences of his or her voluntary act; except for those of succession
d. Person takes ordinary care of his or her 2. 10 years – the absentee shall be
concerns; considered dead for the purpose of
e. Evidence willfully suppressed would be opening his succession; but if he
adverse if produced; disappeared after the age of 75 years,
f. Money paid by one to another was due an absence of 5 years shall be
to the latter; sufficient to open his or her
g. Thing delivered by one to another succession
belonged to the latter; 3. 4 consecutive years – the spouse
h. Obligation delivered up to the debtor has present may contract a subsequent
been paid; marriage if s/he has a well-founded
i. Prior rents or installments had been paid belief that the absent spouse is
when a receipt for the later ones is already dead; but where there is
produced; danger of death, an absence of only 2
j. A person found in possession of a thing years shall be sufficient for
taken in the doing of a recent wrongful remarriage
act is the taker and doer of the whole act; a. Note: before marrying again, the
otherwise, that things which a person present spouse must institute
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summary proceedings for termination of her former marriage (in the
declaration of presumptive absence of proof to the contrary):
death of spouse
ii. Qualified absence – The following
When Child Was Presumption
shall be considered dead for all Born
purposes including the division of the
estate among the heirs
Before 180 days after Considered to have
1. A person on board a vessel lost the solemnization of been conceived
during a sea voyage, or an the subsequent during the former
aircraft which is missing, who marriage marriage, provided it
has not been heard of for 4 be born within 300
years since the loss of the days after the
vessel or aircraft termination of the
2. A member of the armed forces former marriage
who has taken part in armed
After 180 days Considered to have
hostilities, and has been
following the been conceived
missing for 4 years celebration of the during the
3. A person who has been in subsequent marriage subsequent marriage,
danger of death under other even though it be
circumstances and whose born within the 300
existence has not been known days after the
for 4 years termination of the
x. Acquiescence resulted from a belief that former marriage.
the thing acquiesced in was conformable
to the law or fact
ee. A thing once proved to exist continues
i. “Acquiescence” – reluctant
as long as is usual with things of the nature;
acceptance without protest
ff. The law has been obeyed;
y. Things have happened according to the
gg. A printed/published book, purporting to
ordinary course of nature and the
be printed/published by public authority,
ordinary habits of life
was so printed/published;
z. Persons acting as co-partners have
hh. A printed/published book, purporting to
entered into a contract of co-partnership;
contain reports of cases adjudged in
aa. A man and woman deporting
tribunals of the country where the book is
themselves as husband and wife have
published, contains correct reports of such
entered into a lawful contract of
cases;
marriage;
ii. A trustee or other person whose duty it was
bb. Property acquired by a man and a
to convey real property to a particular
woman who are capacitated to marry
person has actually conveyed it to him when
each other and who live exclusively with
such presumption is necessary to perfect
each other as husband and wife without
the title of such person or his successor in
the benefit of marriage or under a void
interest;
marriage, has been obtained by their
jj. Presumptions regarding survivorship:
joint efforts, work or industry;
(Applicable for all purposes except
cc. In cases of cohabitation by a man and a
succession)
woman who are not capacitated to marry
i. When 2 persons perish in the same
each other and who have acquired
calamity
property through their actual joint
ii. It is not shown who died first; and
contribution of money, property or
iii. There are no particular circumstances
industry, such contributions and their
from which the order of death can be
corresponding shares including joint
inferred
deposits of money and evidences of
credit are equal;
The survivorship is determined from the
dd. Presumptions governing children of
probabilities resulting from the strength and the
women who contracted another
age of the sexes:
marriage within 300 days after

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Situation Person Presumed The presumption of regularity in the
to Have Survived performance of official duty obtains only when
there is no deviation from the regular
Both < 15 y/o The older performance of duty. Where the official act in
question is irregular on its face, no presumption
of regularity can arise [People v. Casabuena,
Both > 60 y/o The younger G.R. No. 186455 (2014)].

When there is gross disregard of the

One < 15 y/o, The one < 15 procedural safeguards set forth in Republic Act
the other > 60 y/o No. 9165 (Comprehensive Dangerous Drugs
Act of 2002), serious uncertainty is generated
as to the identity of the seized items that the
prosecution presented in evidence. Such doubt
Both > 15 and < 60 The male cannot be remedied by merely invoking the
y/o, of different presumption of regularity in the performance of
sexes official duties [People v. Lagahit, G.R. No.
200877 (2014)]
Both > 15 and <60 The older
y/o, of the same sex 3. Presumptions in Civil Actions and
Proceedings; Against an Accused in
One < 15 or > 60 The one between
y/o, and the other those ages Criminal Cases
between those ages
Civil Actions and Proceedings
In all civil actions and proceedings not
otherwise provided for by the law or these
kk. As between 2 or more persons called to Rules, a presumption imposes on the party
succeed each other: If there is a doubt against whom it is directed the burden of going
as to which of them died first, whoever forward with evidence to rebut or meet the
alleges the death of one prior to the presumption.
other, shall prove the same.
i. In the absence of proof, they shall If presumptions are inconsistent, the
be considered to have died at the presumption that is founded upon weightier
same time [Sec. 3, Rule 131]. considerations of policy shall apply.

No presumption of legitimacy or If considerations of policy are of equal weight,

illegitimacy neither presumption applies [Sec. 5, Rule 131].
There is no presumption of legitimacy or
illegitimacy of a child born after 300 days Criminal Cases
following the dissolution of marriage or the If a presumed fact that established guilt, is an
separation of spouses. Whoever alleges the element of the offense charged, or negates a
legitimacy or illegitimacy of such child must defense, the existence of the basic fact must
prove his or her allegation [Sec. 4, Rule be proved beyond reasonable doubt and the
131]. presumed fact follows from the basic fact
beyond reasonable doubt [Sec. 6, Rule 131].
The adverse presumption of suppression of
evidence is not applicable when:
a. The suppression is not willful;
b. The evidence suppressed or withheld is
merely corroborative or cumulative;
c. The evidence is at the disposal of both
parties; and
d. The suppression is an exercise of a
privilege [Tarapen v. People, G.R. No.
173824 (2008)]

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VIII. PRESENTATION OF 1. Rights and Obligations of a
Witness
EVIDENCE
RIGHTS
A. Examination of a Witness 1. To be protected from irrelevant, improper,
or insulting questions, and from harsh or
Shall Be Done insulting demeanor;
In open court, and 2. Not to be detained longer than the interests
Under oath or affirmation. of justice require;
3. To only be examined as to matters
Answers shall be given orally, unless the pertinent to the issue;
Witness is incapacitated to speak, or 4. Not to give an answer which will tend to
Question calls for a different mode of subject him/her to a penalty for an offense
answer [Sec. 1, Rule 132]. a. Unless: otherwise provided by law

Proceedings to be recorded, including: b. Example of this right: Sec. 8, R.A. 1379

1. The questions propounded to a witness and other immunity statutes which
and his answers thereto grant the witness immunity from
2. The statements made by the judge or criminal prosecution for offenses
any of the parties, counsel, or witnesses admitted
with reference to the case
By means of shorthand or stenotype or by 5. Not to give an answer which will tend to
other means of recording found suitable by degrade his/her reputation
the court [Sec. 2, Rule 132]. a. Exceptions:
i) the answer is the very fact in issue;
Transcript Deemed Prima Facie Correct ii) the answer is a fact from which the
A transcript of the record of the proceedings fact in issue would be presumed
made by the official stenographer, b. Exception to the exception: he/she
stenotypist or recorder and certified as must answer to the fact of his/her
correct by him shall be deemed prima facie previous final conviction for an offense
a correct statement of such proceedings [Sec. 3, Rule 132].
[Sec. 2, Rule 132].
OBLIGATION
Exclusion and Separation of Witnesses A witness must answer questions, although
The court, motu proprio or upon motion, his/her answer may tend to establish a claim
shall order witnesses excluded so that they against him/her. [Sec. 3, Rule 132]
cannot hear the testimony of other
witnesses. One-Day Examination of Witness Rule
A witness has to be fully examined in one (1)
However, this rule does NOT AUTHORIZE day only. It shall be strictly adhered to subject
exclusion of: to the courts' discretion during trial on whether
1. A party who is a natural person; or not to extend the direct and/or cross-
2. A duly designated representative of a examination for justifiable reasons [A.M. No.
juridical entity which is a party to the 03-1-09-SC].
case;
3. A person whose presence is essential to 2. Order in the Examination of an
the presentation of the party’s cause; or Individual Witness
4. A person authorized by a statute to be a. Direct examination by the proponent;
present. b. Cross-examination by the opponent;
c. Re-direct examination by the
The court may also cause witnesses to be
proponent;
kept separate and to be prevented from
d. Re-cross examination by the opponent
conversing with one another, directly or
[Sec. 4, Rule 132].
through intermediaries, until all shall have
been examined [Sec. 15].

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Direct examination — Examination-in- party on matters stated in his/her re-direct and
chief of a witness by the party presenting on other matters allowed by the court in its
him/her on the facts relevant to the issue discretion [Sec. 8, Rule 132].
[Sec. 5, Rule 132].
Recalling the Witness
Cross-examination — The witness may be After examination by both sides has been
cross examined by the adverse party on any concluded, the witness cannot be recalled
relevant matter with sufficient fullness and without leave of court [Sec. 9, Rule 132].
freedom
● Purpose: To test the witness ’accuracy, Why Conducted
truthfulness and freedom from interest or 1. Particularly identified material points were
bias, or the reverse; and to elicit all not covered in cross-examination
important facts bearing upon the issue 2. Particularly described vital documents
[Sec. 6, Rule 132]. were not presented to the witness
3. Cross-examination was conducted in so
Right to Cross-examination inept a manner as to result in a virtual
Cross-examination is the most reliable and absence thereof [People v. Rivera, G.R.
effective way known of testing the credibility No. 98376 (1991)].
and accuracy of testimony. This is an
essential element of due process [Herrera, 3. Leading and Misleading Questions
citing Alford v. US (1931)].
Leading question: A question which suggests
The right to cross-examine under the to the witness the answer which the examining
constitution is superior to technical rules on party desires.
evidence [Herrera, citing People v. Valero,
G.R. No. L-45283-84 (1982)]. General Rule: Not allowed

Effect of Denial of Right to Cross- Except:

examine a. On cross examination;
Most courts require that the testimony given b. On preliminary matters;
on direct examination be stricken off – c. When there is difficulty in getting direct
provided the unavailability of the witness is and intelligible answers from a witness
through no fault of the party seeking to who is ignorant, or a child of tender
cross-examine [Herrera]. years, or is of feeble mind, or a deaf-
mute;
Cross-examination must be completed or d. Of an unwilling or hostile witness; or
finished. When cross-examination is not e. Of a witness who is an adverse party or
and cannot be done or completed due to an officer, director, or managing agent
causes attributable to the party offering the of a public or private corporation or of a
witness, the uncompleted testimony is partnership or association which is an
thereby rendered incompetent [Herrera, adverse party [Sec. 10, Rule 132]
citing Ortigas, Jr. v. Lufthansa German
Airlines, G.R. No. L-28773 (1975)]. Misleading question: One which assumes as
true a fact not yet testified to by the witness, or
Re-direct examination—re-examination of contrary to that which he/she has previously
the witness by the party calling him/her stated. It is not allowed [Sec. 10, Rule 132].
● Purpose: to explain or supplement
his/her answers given during the cross- 4. Impeachment of Witness
examination
● Questions on matters not dealt with a. Adverse Party’s Witness
during the cross-examination may be
allowed by the court in its discretion. 1. By contradictory evidence;
[Sec. 7, Rule 132] 2. By evidence that his/her general reputation
for truth, honesty or integrity is bad;
Re-cross-examination — Re-cross-
examination of the witness by the adverse
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3. By evidence that he/she has made at d. How the Witness Is Impeached By
other times statements inconsistent with Evidence of Inconsistent Statements
his present testimony
But NOT by evidence of particular wrongful 1. The statements must be related to
acts, EXCEPT that it may be shown by the him/her, with the circumstances of the
examination of the witness, or the record of times and places and the persons
the judgment, that he/she has been present, and
convicted of an offense [Sec. 11, Rule 132]. 2. He/she must be asked whether he/she
made such statements, and if so,
b. By Evidence of Conviction of allowed to explain them.
Crime 3. If the statements be in writing, they
must be shown to the witness before
1. By evidence that he/she has been any question is put to him/her
convicted by final judgment of a crime: concerning them [Sec. 14, Rule 132].
a. Punishable by a penalty in excess of
one year; or 5. Referral of Witness to
b. Involving moral turpitude, regardless Memorandum
of penalty
When Witness May Refer to Memorandum
HOWEVER, evidence of conviction is not 1. A witness may be allowed to
admissible if the conviction has been refresh his/her memory respecting
subject of an amnesty or annulment of the a fact
conviction [Sec. 12, Rule 132]. a. By anything written or
recorded
c. Own Witness b. By himself/herself or under
his/her direction
Party May Not Impeach His Own Witness c. At the time when the fact
EXCEPT with respect to occurred, or immediately
a. An unwilling or hostile witness; or thereafter, or at any other
b. A witness who is an adverse party time when the fact was
or an officer, director, or managing fresh in his/her memory
agent of a public or private and
corporation or of a partnership or d. He/she knew that the same
association which is an adverse was correctly written or
party recorded
e. The writing or record must
When Witness Considered Unwilling or be produced and may be
Hostile inspected by the adverse
Only if so declared by the court upon party, who may, if he/she
adequate showing of his/her chooses, cross-examine
1. adverse interest the witness upon it, and
2. unjustified reluctance to testify, or may read it in evidence.
3. having misled the party into calling 2. A witness may also testify from
him/her to the witness stand such a writing or record, though
he/she retain no recollection of
How impeached: The unwilling or hostile the particular facts, if he/she is able
witness so declared, or the witness who is to swear that the writing or record
an adverse party, may be impeached by the correctly stated the transaction
party presenting him/her in all respects as if when made; but such evidence
he/she had been called by the adverse must be received with caution [Sec.
party, except by evidence of his bad 16, Rule 132].
character. He/she may also be impeached
and cross-examined by the adverse party,
but such cross-examination must only be on
the subject matter of his examination-in-
chief [Sec. 13, Rule 132].
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When Part of Transaction, Writing or Exception: the court shall conduct a
Record Given in Evidence, the competency examination of a child, motu
Remainder Admissible proprio or on motion of a party when it finds that
1. When part of an act, declaration, substantial doubt exists regarding the child’s
conversation, writing or record is given ability to:
in evidence by one party, the whole of 1. Perceive
the same subject may be inquired into 2. Remember
by the other 3. Communicate
2. When a detached act, declaration, 4. Distinguish from falsehood, or
conversation, writing or record is given 5. Appreciate the duty to tell the truth in court
in evidence, any other act, declaration, [Sec. 6]
conversation, writing or record
necessary to its understanding may Proof of Necessity
also be given in evidence [Sec. 17, Rule The party seeking a competency examination
132]. must present proof of its necessity. The age of
the child, by itself, is not a sufficient basis [Sec.
Right to Inspect Writing shown to 6(a)].
Witness
Whenever a writing is shown to a witness, it Burden of proof lies with the party challenging
may be inspected by the adverse party the child’s competence [Sec. 6(b)].
[Sec. 18, Rule 132].
Conduct of Examination
6. Examination of a Child Witness 1. Conducted only by the judge
(A.M. No. 004-07-SC) 2. Counsel for the parties may submit
questions to the judge
a. Applicability of the Rule a. It is discretionary upon the
judge if he will ask the child
Unless otherwise provided, this rule shall the submitted questions
govern the examination of a child witness [Sec. 6(d)].
who are:
1. Victims of a crime; Developmentally Appropriate Questions
2. Accused of a crime; and The questions asked shall:
3. Witnesses to a crime 1. Be appropriate to the age and
developmental level of the child;
Where applicable: all criminal and non- 2. Not be related to the issues at trial; and
criminal proceedings involving child 3. Focus on the ability of the child to
witnesses [Sec. 1, Rule on Examination of remember, communicate, distinguish
a Child Witness]. between truth and falsehood, and
appreciate the duty to testify truthfully [Sec.
69(d)].
b. Meaning of “Child Witness"
Continuing Duty to Assess Competence
Child witness—any person who at the
The court has the duty of continuously
time of giving testimony is:
assessing the competence of the child
1. Below the age of 18 years; or
throughout his testimony [Sec. 6(f)].
2. In child abuse cases, may be over 18 but
is found by the court unable to fully take
care of himself or protect himself from d. Examination of a Child Witness
abuse, neglect, cruelty, exploitation, or
discrimination because of a physical or Done in open court
mental disability or condition [Sec. 4 (a),
Rule on Examination of a Child Witness] General Rule: Given orally
Exception: If the witness is incapacitated to
speak or the question calls for a different mode
c. Competency of a child witness
of answer [Sec. 8].
General Rule: Every child is presumed
qualified to be a witness.
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e. Live-link TV Testimony of a Child When granted: If the court finds that the child
Witness will not be able to testify in open court at trial

The prosecutor, counsel or guardian ad The judge shall preside at the videotaped
litem may apply for an order that the deposition of the child.
testimony of the child be taken in a room
outside the courtroom and be televised to Objection to deposition testimony or evidence,
the courtroom by live-link television. or parts thereof, and the grounds of objection
shall be stated and ruled upon at the time of the
Prerequisite for applying: the guardian ad taking of the deposition.
litem shall consult the prosecutor or counsel
and defer to their judgment regarding the Who Else Is Allowed in the Proceeding:
necessity of applying for an order. 1. Prosecutor
2. Defense counsel
If the guardian is convinced that the 3. Guardian ad litem
decision of the prosecutor or counsel not to 4. Accused, subject to subsection (e)
apply will cause the child serious emotional a. If there is evidence that the child is
trauma, he himself may apply for the order. unable to testify in the physical
[Sec. 25(a)] presence of the accused, the court may
direct the latter to be excluded from the
When applied for: at least 5 days before room where the deposition is
the trial date UNLESS the court finds on the conducted
record that the need for such an order was b. In case of exclusion of the accused, the
not reasonably foreseeable [Sec. 25(a)] court shall order the testimony of the
child to be taken by live-link TV in
The court shall issue an order granting or accordance with Sec. 25
denying the use of live-link television and c. It is not necessary for the child to be
stating the reasons therefor. [Sec. 25(e)] able to view an image of the accused
5. Other persons whose presence is
When granted: if there is a substantial determined by the court to be necessary for
likelihood that the child would suffer trauma the welfare and well-being of the child
from testifying in the presence of the 6. One or both of his support persons, the
accused, his counsel or the prosecutor facilitator and interpreter, if any
1. the trauma must be of a kind which would 7. Court stenographer; and
impair the completeness or truthfulness 8. Persons necessary to operate the
of the testimony of the child [Sec. 25(f)] videotape equipment [Sec. 27(c)].

The testimony of the child shall be Rights of the accused during trial, especially
preserved on videotape, digital disc, or the right to counsel and confront and cross-
other similar devices which shall be made examine the child, shall NOT BE VIOLATED
part of the court record and shall be subject during the deposition.
to a protective order as provided in Sec.
31(b). [Sec. 25(h)] If, at the time of the trial, the court finds that the
child is unable to testify for a reason stated in
f. Videotaped Deposition of a Child Sec. 25(f) of this Rule or is unavailable for any
Witness reason described in Rule 23, Sec 4(c) of the
1997 Rules of Civil Procedure, the court may
The prosecutor, counsel or guardian ad admit into evidence the videotaped deposition
litem may apply for an order that a of the child in lieu of his testimony at the trial.
deposition be taken of the testimony of the [Sec. 27]
child and that it be recorded and preserved
on videotape. g. Hearsay Exception in Child abuse
Cases
Prerequisite for applying: Same as
application for live-link TV testimony in Sec. Applicability: Any criminal and non-criminal
25(a) proceeding
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A statement made by a child describing any process or other reasonable means [Sec.
act or attempted act of child abuse, not 28(c)].
otherwise admissible under the hearsay
rule, may be admitted in evidence subject to Condition for admissibility if child is
the following rules: unavailable: His/her hearsay testimony must
1. Before the hearsay statement may be be corroborated by other admissible evidence
admitted, its proponent shall make [Sec. 28(d)]
known to the adverse party the
intention to offer such statement and h. Sexual Abuse Shield Rule
its particulars
a. Reason: to provide him a fair General Rule: The following evidence is
opportunity to object inadmissible in any criminal proceeding
b. if the child is available: the court shall, involving alleged child sexual abuse:
upon motion of the adverse party, 1. Evidence offered to prove that the alleged
require the child to be present at the victim engaged in other sexual behavior;
presentation of the hearsay and
statement for cross-examination 2. Evidence to prove the sexual
c. if the child is unavailable: the fact of predisposition of the alleged victim
unavailability must be proved by the
opponent [Sec. 28(a)] Exception: Evidence of specific instances of
2. The court shall consider the time, sexual behavior by the alleged victim to prove
content and circumstances of the that a person other than the accused was
hearsay statement which provide the source of the semen, injury, or other
sufficient indicia of reliability physical evidence shall be ADMISSIBLE.
a. factors to consider:
i. motive to lie Requirements for Party Intending to Offer
ii. general character of declarant Such Evidence:
child 1. Written motion filed at least 15 days before
iii. whether more than one person trial, specifically describing the evidence
heard the statement and stating the purpose for which it is
iv. whether the statement was offered
spontaneous a. Exception: if the court, for good cause,
v. timing of the statement and the requires a different time for filing or
relationship between the permits filing during trial
declarant child and witness 2. Motion served on all parties and the
vi. cross-examination could not guardian ad litem at least 3 days before the
show the lack of knowledge of hearing of the motion
the declarant child
vii. possibility of faulty recollection of Hearing Necessary
the declarant child is remote Before admitting such evidence, the court must
viii. the circumstances surrounding conduct a hearing in chambers and afford the
the statement are such that there child, his/her guardian ad litem, the parties, and
is no reason to suppose the their counsel a right to attend and be heard.
declarant child misrepresented
the involvement of the accused The motion and the record of the hearing must
[Sec. 28(b)] be sealed and remain under seal and protected
by a protective order.
When a Child Is Considered Unavailable:
1. He/she is deceased, suffers from mental The child shall not be required to testify at the
infirmity, lack of memory, mental illness, hearing in chambers EXCEPT if he consents.
or will be exposed to severe [Sec. 30]
psychological injury; or
2. He/she is absent from the hearing and i. Protective Orders
the proponent of his statement has been
unable to procure his attendance by Coverage: Any videotape or audiotape of a
child that is part of the court record
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EVIDENCE REMEDIAL LAW AND ETHICS
Provisions of the Order: and other penalties prescribed
1. Tapes may be viewed only by the by law.”
parties, their counsel, their expert 5. No tape shall be given, loaned, sold, or
witnesses, and the guardian ad litem shown to any person EXCEPT as ordered
2. No tape, or any portion thereof, shall be by the court
divulged by any person mentioned in 6. Within 30 days from receipt, all copies of the
Sec. 31(a) to any other person, except tape and any transcripts thereof shall be
as necessary for the trial returned to the clerk of court for safekeeping
a. Persons in Sec. 31(a): UNLESS the period is extended by the court
members of the court staff on motion of a party
for administrative use, the 7. This protective order shall remain in full
prosecuting attorney, force and effect until further order of the
defense counsel, guardian court [Sec. 31(b)].
ad litem, agents of
investigating law Additional Protective Order
enforcement agencies, and The court may, motu proprio or on motion of
other persons as any party, the child, his parents, legal guardian,
determined by the court or the guardian ad litem, issue additional
3. No person shall be granted access to the orders to protect the privacy of the child [Sec.
tape, its transcript, or any part thereof, 31(c)].
UNLESS:
a. He signs a written B. Authentication and Proof of
affirmation that he has
received and read a copy of Documents
the protective order;
b. He submits to the 1. Meaning of Authentication
jurisdiction of the court with
respect to the protective Proving that the objects and documents
order; and presented in evidence are genuine and what it
c. In case of violation, he will purports to be.
be subject to the contempt
power of the court 2. Classes of Documents
4. Each of the cassette tapes and
transcripts thereof made available to the Public Documents
parties, their counsel, and their a. Written official acts or records of the official
respective agents shall bear the acts of the sovereign authority, official
following cautionary notice: bodies and tribunals, and public officers,
a. “This object or document whether of the Philippines or of a foreign
and the contents thereof are country
subject to a protective order b. Notarial documents (except last wills and
issued by the court in (case testaments)
title), (case number). They c. Documents considered public documents
shall not be examined, under treaties and conventions which are
inspected, read, viewed, or in force between the Philippines and the
copied by any person, or country of source
disclosed to any person,
except as provided in the Note: This is a new addition to the
protective order. No original provision.
additional copies of the tape
or any of its portion shall be d. Public records, kept in the Philippines, of
made, given, sold, or shown private documents required by law to be
to any person without prior entered therein [Sec. 19, Rule 132]
court order. Any person
violating such protective A public document enjoys the presumption of
order is subject to the regularity. It is a prima facie evidence of the
contempt power of the court truth of the facts stated therein and a
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conclusive presumption of its existence and If a private writing itself is inserted officially into
due execution. To overcome this a public record, its record, its recordation, or its
presumption, there must be clear and incorporation into the public record becomes a
convincing evidence [Chua v. Westmont public document, but that does not make the
Bank, G.R. No. 182650 (2012)]. private writing itself a public document so as to
make it admissible without authentication
A public document is self-authenticating [Republic v. Sandiganbayan, G.R. No. 188881
and requires no further authentication in (2014)].
order to be presented as evidence in court
[Patula v. People, G.R. No. 164457 (2012)]. 4. When Evidence of Authenticity of a
Private Writing Is Not Required
Private Documents
All other writings are private [Sec. 19, Rule The requirement of authentication of a private
130]. document is excused only in four instances,
specifically:
A private document is any other writing, a. When the document is an ancient one
deed, or instrument executed by a private which is:
person without the intervention of a notary 1. More than 30 years old;
or other person legally authorized by which 2. Produced from a custody in which it
some disposition or agreement is proved or would naturally be found if genuine;
set forth [Patula v. People, G.R. No. 164457 and
(2012)]. 3. Unblemished by any alterations or
circumstances of suspicion [Sec. 21,
3. When a Private Writing Requires Rule 132]
Authentication; Proof of Private b. When the genuineness and authenticity of
Writing the actionable document have not been
specifically denied under oath by the
General Rule: Before any private document adverse party;
offered as authentic is received in evidence, c. When the genuineness and authenticity of
its due execution and authenticity must be the document have been admitted; or
proved [Sec. 20, Rule 132]. d. When the document is not being offered as
genuine.
How to Prove Due Execution and
Authenticity 5. Genuineness of a Handwriting
a. By anyone who saw the document
executed or written; a. By any witness who believes it to be the
b. By evidence of the genuineness of the handwriting of such person because:
signature or handwriting of the maker; or i. He/she has seen the person write; or
c. By other evidence showing its due ii. He/she has seen writing purporting to be
execution and authenticity [Sec. 20, Rule his/hers upon which the witness has
132] acted or been charged, and has thus
acquired knowledge of the handwriting of
Before a private document is admitted in such person [Sec. 22, Rule 132].
evidence, it must be authenticated either by: b. A comparison by the witness or the court of
1. The person who executed it, the questioned handwriting, and admitted
2. The person before whom its execution genuine specimens thereof or proved to be
was acknowledged, genuine to the satisfaction of the judge [Sec.
3. Any person who was present and saw it 22, Rule 132]
executed, or c. Expert evidence [Sec. 52, Rule 130]
4. Who after its execution, saw it and
recognized the signatures, or 6. Public Documents as Evidence;
5. The person to whom the parties to the Proof of Official Records
instruments had previously confessed
execution thereof [Malayan Insurance v. Documents consisting of entries in public
Phil. Nails and Wires Corp., G.R. No. records made in the performance of a duty by
138084 (2002)].
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EVIDENCE REMEDIAL LAW AND ETHICS
a public officer are prima facie evidence of seal, under the seal of such court [Sec. 25,
the facts therein stated. All other public Rule 132]
documents are evidence, even against a
third person, of the fact which gave rise to 8. Public Record of Private
their execution and of the date of the latter Documents
[Sec. 23, Rule 132].
a. By the original record; or
Proof of Official Record Referred to in b. By a copy thereof, attested by the legal
Sec. 19(a), Rule 132 custodian of the record, with an appropriate
1) By an official publication thereof; or certificate that such officer has the custody
2) By a copy of the document attested by [Sec. 27, Rule 132]
the officer having legal custody of the
record, or his/her deputy See Sec. 25, Rule 132
a) If record is not kept in the
Philippines: accompany with a 9. Proof of Lack of Record
certificate that such officer has the
custody a. Written statement
i) If the foreign country is a
• Signed by an officer having the custody
contracting party to a treaty or
of an official record or by his/her deputy
convention to which the
• Must state that after diligent search, no
Philippines is also a party, or it
record or entry of a specified tenor is
is considered a public document
found to exist in the records of his/her
under the treaty or convention:
office
certificate or its equivalent shall
b. Certificate
be in the form prescribed
therein, subject to reciprocity • Accompanying the written statement
ii) If not a contracting party: • Must state that that such officer has the
certificate made by a secretary custody [Sec. 28, Rule 132]
of the embassy or legation,
consul general, consul, vice- 10. How a Judicial Record is
consul, or consular agent, or Impeached
any officer in the foreign service
of the Philippines stationed in Establish:
the country where the record is a. Want of jurisdiction in the court or judicial
kept officer;
(1) Must be authenticated by b. Collusion between the parties; or
the seal of his/her office c. Fraud in the party offering the record, with
respect to the proceedings [Sec. 29, Rule
The certificate shall not be required when a 132].
treaty or convention between a foreign
country and the Philippines has abolished 11. Proof of Notarial Documents
the requirement or has exempted the
document itself [Sec 24, Rule. 132]. Notarial Documents
Every instrument duly acknowledged or proved
Note: Substantial amendment to Sec 24, and certified as provided by law which may be
Rule 132 presented in evidence without further proof, the
certificate of acknowledgment being prima
7. Attestation of a Copy of a facie evidence of the execution of the
Document or Record instrument or document involved [Sec. 30,
Rule 132]
a. Must state that the copy is a correct copy
of the original or a specific part thereof, Such notarized documents are evidence, even
as the case may be against third persons, of the facts which gave
b. Must be under the official seal of the rise to their execution and of the date of
attesting officer, if there be any, or if execution [Sec. 23, Rule 132].
he/she be the clerk of a court having a
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EVIDENCE REMEDIAL LAW AND ETHICS
Note: Last wills and testaments are not Exception:
public documents [Sec. 19, Rule 132]. Evidence not formally offered may be
admissible when two essential conditions
12. Alterations in a Document concur:
a. The same must have been duly identified by
When Applicable and Whose Burden of testimony duly recorded and,
Proof b. The same must have been incorporated in
The party producing a document as genuine the records of the case [Star Two v. Ko,
which has been altered and appears to have G.R. No. 185454 (2011)]
been altered after its execution, in a part
material to the question in dispute, must As Distinguished from Identification of
account for the alteration. If he or she fails Documentary Evidence
to do that, the document shall not be Identification of
admissible in evidence [Sec. 31, Rule 132]. Formal Offer of
Documentary
Evidence
Evidence
How to Account for Alteration
Party producing a document as genuine Done in the course of Done only when the
may show that the alteration the trial and party rests his/her
a. Was made by another, without his/her accompanied by the case
concurrence; marking of the
b. Was made with the consent of the evidence
parties affected by it; [Interpacific Transit v. Aviles, G.R. No. 86062
c. Was otherwise properly or innocently (1990)]
made; or
d. Did not change the meaning or language Why Formal Offer is Necessary
of the instrument [Sec. 31, Rule 132]. Parties are required to inform the courts of the
purpose of introducing their respective exhibits
13. Documentary Evidence in an to assist the latter in ruling on their admissibility
Unofficial Language in case an objection thereto is made [Star Two
v. Ko, G.R. No. 185454 (2011)].
Not admissible unless accompanied by a
translation into English or Filipino. Parties or A formal offer is necessary because it is the
their attorneys are directed to have the duty of a judge to rest his findings of facts and
translation prepared before trial [Sec. 33, his judgment only and strictly upon the
Rule 132]. evidence offered by the parties to the suit. It is
a settled rule that the mere fact that a particular
Where such document, not so accompanied document is identified and marked as an
with a translation in English or Filipino, is exhibit does not mean that it has thereby
offered in evidence and not objected to, already been offered as part of the evidence of
either by the parties or the court, it must be a party [Parel v. Prudencio, G.R. 146556
presumed that the language in which the (2006).
document is written is understood by all,
and the document is admissible in evidence No evidentiary value can be given to pieces of
[Heirs of Doronio v. Heirs of Doronio, G.R. evidence not formally offered [Dizon v. CTA,
No. 169454 (2007)]. G.R. No. 140944 (2008)].

C. Offer and Objection However, where the absence of an offer of

testimonial evidence was not objected to as
1. Offer of Evidence when the witness was cross-examined by the
adverse party despite failure to make an offer
General Rule: The court shall consider no of the testimony, the court must consider the
evidence which has not been formally testimony.
offered. The purpose for which the evidence
is offered must be specified [Sec. 34, Rule The provisions of the ROC on the inclusion on
132]. appeal of documentary evidence or exhibits in
the records, cannot be stretched as to include
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such pleadings or documents not offered at 2. When to Make an Offer
the hearing of the case [Candido v. C.A.,
G.R. No. 107493 (1996)].
Kind of
When to offer
evidence
When Formal Offer is NOT Required
a. In a summary proceeding because it is a At the time the witness is
proceeding where there is no full-blown Testimonial
called to testify
trial;
b. Documents judicially admitted or taken After the presentation of
Documentary
judicial notice of; a party’s testimonial
and Object
c. Documents, affidavits, and depositions evidence
used in rendering a summary judgment; [Sec. 35, Rule 132]
d. Documents or affidavits used in deciding
quasi-judicial or administrative cases The party who terminated the presentation of
[Bantolino v. Coca Cola Bottlers, G.R. evidence must make an oral offer of evidence
No. 153660 (2003)] on the very day the party presented the last
e. Lost objects previously marked, witness. Otherwise, the court may consider the
identified, described in the record, and party’s documentary or object evidence waived
testified to by witness who had been [Heirs of Pasag v. Sps. Parocha, G.R. No.
subjects of cross-examination in respect 155483 (2007)].
to said objects [Tabuena v. C.A., G.R.
No. 85423 (1991), citing People v. Manner of Offer
Napat-a, G.R. No. 84951 (1989)] ALL evidence must be offered orally [Sec. 35,
f. When duly identified in a testimony duly Rule 132].
recorded and it was incorporated in the
records of the case [Vda. de Oate v. Note: This is a revision under the 2019 Revised
C.A., G.R. No. 116149 (1995)] Rules.
Evidence can be considered only for the The Court shall consider the evidence solely
purposes it was specifically offered for the purpose for which it is offered, not for
[Republic v. Reyes-Bakunawa, G.R. No. any other purpose [Spouses Ragudo v Fabella
180418 (2013)]. Estate Tenants Association, Inc., G.R. No.
146823 (2005)].
Waiver of Right to Make Formal Offer
It is deemed waived by a party if it fails to
3. Objection
submit within a considerable period of time
its formal offer [Heirs of Pasag v. Parocha,
Concept
G.R. No. 155483 (2007)].
When a party desires the court to reject the
evidence offered, he must so state in the form
A party is not deemed to have waived
of objection. Without such objection, he cannot
objection to admissibility of documents by
raise the question for the first time on appeal
his failure to object to the same when they
[People v. Diaz, G.R. No. 197818 (2015)].
were marked, identified and then introduced
during the trial. This is because objection to
Purposes of Objection
documentary evidence must be made at the
a. Made to keep out inadmissible evidence
time it is formally offered and not earlier
that would cause harm to client’s cause
[Interpacific Transit v. Aviles, G.R. No.
(rules of evidence are not self-operating);
86062 (1990)].
b. To protect the record (for future appeal);
c. To protect witness from being
embarrassed or harassed;
d. To expose adversary’s unfair tactics;
e. To give trial court an opportunity to correct
its own errors and at the same time warn
the court that a ruling adverse to the
objector may supply a reason to invoke a
higher court’s appellate jurisdiction; and
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f. To avoid a waiver of inadmissibility necessary to repeat the objection, it being
[Riano]. sufficient for the adverse party to record his/her
continuing objection to such class of
Objections must be specific enough to questions [Sec. 37, Rule 132].
adequately inform the court the rule of
evidence or of substantive law that A court may, motu proprio, treat the objection
authorizes the exclusion of evidence as a continuing one [Keller v. Ellerman &
[Riano]. Bucknall Steamship, G.R. No. L-12308 (1918)].

MANNER Objection prior to the formal offer is premature

Objection to offer of evidence must be made and could not be considered by the Court as
ORALLY immediately after the offer is basis for a continuing one [Interpacific Transit
made [Sec. 35, Rule 132]. v. Aviles, G.R. No. 86062 (1990)].

When to Object Where a continuing objection had been

What to object to When to object interposed on prohibited testimony, the
objection is deemed waived where the
objecting counsel cross-examined the witness
Testimony of a Immediately as
on the very matters subject of the prohibition
witness for lack of soon as the witness
[De Abraham v. Recto-Kasten, G.R. No. L-
formal offer begins to testify
16741 (1962)].
Must be made as 5. Ruling
A question
soon as the
propounded in the
grounds become
course of oral General Rule: The ruling of the court must be
reasonably
examination given immediately after the objection is made.
apparent
The grounds for objection must be Exception: The court desires to take a
specified in any case. reasonable time to inform itself on the question
presented; but the ruling shall always be made
[Sec. 36, Rule 132] during the trial and at such time as will give the
party against whom it is made an opportunity to
Waiver of Objection meet the situation presented by the ruling [Sec.
When there is failure to point out some 38, Rule 132].
defect, irregularity or wrong in the
admission or exclusion of evidence. Such A reasonable time must not extend beyond the
failure may take various forms and may ninety (90)-day reglementary period from the
either be expressed or implied [Riano 353, date of submission of the formal offer of
2016 Ed.]. evidence [Beltran v. Paderanga, A.M. No. RTJ-
03-1747 (2003)].
Effect of waiver
Although hearsay evidence may be The reason for sustaining or overruling an
admitted because of lack of objection, it is objection need not be stated. However, if the
nonetheless without probative value, unless objection is based on two or more grounds, a
the proponent can show that the evidence ruling sustaining the objection on one or some
falls within the exception to the hearsay of them must specify the ground/s relied upon
evidence rule [Bayani v. People, G.R. No. [Sec. 38, Rule 132].
155619 (2007)].
Reservation of a ruling by the court on an
4. Repetition of an Objection objection to the admissibility of evidence,
without subsequently excluding the same,
When it becomes reasonably apparent in amounts to a denial of an objection [People v.
the course of examination of a witness that Tavera, G.R. No. L-23172 (1925)].
the questions being propounded are of the
same class as those to which objection was
sustained or overruled, it shall not be
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No Express Ruling Needed 7. Tender of Excluded Evidence
The trial court need not make an express
ruling admitting the exhibits if there is no The procedure in Section 40 is known as the
objection interposed to their admission offer of proof or tender of excluded evidence
[Herrera, citing Boix v. Rivera, CA Rep. 2d and is made for purposes of appeal. If an
104]. adverse judgment is eventually rendered
against the offeror, he may in his appeal assign
The ruling of the court is required only when as error the rejection of the excluded evidence.
there is an objection to a question or to the The appellate court will better understand and
admission of an exhibit [Herrera]. appreciate the assignment of error if the
evidence involved is included in the record of
Objections based on irrelevancy and the case [Cruz-Arevalo v. Querubin-Layosa,
immateriality need no specification or A.M. No. RTJ-06-2005 (2006)].
explanation. Relevancy or materiality of
evidence is a matter of logic, since it is The SC had advised trial courts to allow the
determined simply by ascertaining its logical rejected [documentary] evidence to be
connection to a fact in issue in the case attached to the record to enable the appellate
[Cruz-Arevalo v. Querubin-Layosa, A.M. court to examine the same and determine
No. RTJ-06-2005 (2006)]. whether the exclusion of the same was proper
or not [Herrera, citing Banez v. C.A., G.R. No.
6. Striking Out an Answer L-30351 (1974)].

Motion to Strike If an exhibit sought to be presented in evidence

A motion to strike out goes to admissibility is rejected, the party producing it should ask
and not to weight; evidence should not be the courts permission to have the exhibit
stricken out because of its little probative attached to the record. Any evidence that a
value [Herrera]. party desires to submit for the consideration of
a higher court must be formally offered by him
a. Court may sustain an objection and otherwise it is excluded and rejected and
order the answer, testimony, or narration cannot even be taken cognizance of on appeal
to be stricken off the record if: [Catacutan v. People, G.R. No. 175991
i. The witness answers the question (2011)].
before the adverse party had the
opportunity to object; Before tender of excluded evidence is made,
ii. A question is not objectionable, but the evidence must have been formally offered
the answer is not responsive; before the court. And before formal offer of
iii. The witness testifies without a evidence is made, the evidence must have
question being posed; been identified and presented before the court
iv. The witness testifies beyond limits set [Yu v. C.A., G.R. No. 154115 (2005)].
by the court; or
v. The witness does a narration instead How to Tender Evidence
of answering the question; AND Kind of How to tender the
vi. Such objection is found to be evidence evidence
meritorious.
b. The court may also, upon motion, order Offeror may have the
the striking out of answers, which are Documentary same attached or made
i. Incompetent, part of the record.
ii. Irrelevant, or
iii. Otherwise improper [Sec. 39, Offeror may state for the
Rule 132]. record the name and
other personal
Motion to Strike Out Should Specify Testimonial circumstances of the
Objection witness and the
A motion to strike out should specify the substance of the
objection as well as the portion of the proposed testimony.
evidence which is objected to [Herrera]. [Sec. 40, Rule 132]
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Rationale
1. To allow the court to know the nature of
the testimony or the documentary
evidence and convince the trial judge to
permit the evidence or testimony; and
2. Even if he is not convinced to reverse
his earlier ruling, the tender is made to
create and preserve a record for appeal
[Riano 360, 2016 Ed.].

Two Methods of Making the Tender

1. Where the counsel tells the court what
the proposed testimony would be;
2. By using the question and answer form
[Riano 361-362, 2016 Ed.].

Erroneous Way of Making Tender

To make a mere general “offer of proof”
without producing the witness or stating the
evidence where by the fact in issue is to be
proved [Riano 364, 2016 Ed., Douillard v.
Wood, 20 C2d 670, 128 P2d 6 (1942)]

Harmless Error Rule

In dealing with evidence improperly
admitted in trial, we examine its damaging
quality and its impact to the substantive
rights of the litigants. If the impact is slight
and insignificant, we disregard the error as
it will not overcome the weight of the
properly admitted evidence against the
prejudiced party [People v. Teehankee,
G.R. No. 111206 (1995)].

The Rules of Court does not prohibit a party

from requesting the court to allow it to
present additional evidence even after it has
rested its case. Any such opportunity,
however, for the ultimate purpose of the
admission of additional evidence is already
addressed to the sound discretion of the
court [Republic v. Sandiganbayan, G.R. No.
152375 (2011)].

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IX. JUDICIAL AFFIDAVIT without prejudice to the introduction of
secondary evidence in place of the original
RULE (A.M. NO. 12-8-8- when allowed by existing rules [Sec. 2].
SC)
C. Contents
A. Scope Shall be prepared in the language known to the
witness and, if not in English or Filipino,
Where Applicable accompanied by a translation in English or
Applies to all actions and proceedings, and Filipino [Sec. 3]
incidents requiring the reception of
evidence before: 1) The name, age, residence or business
1. Courts (but not to small claims cases) address, and occupation of the witness
2. Investigating officers and bodies 2) The name and address of the lawyer who
authorized by the SC to receive conducts or supervises the examination of
evidence, including the IBP the witness and the place where the
3. Quasi-judicial bodies, whose rules of examination is being held
procedure are subject to disapproval of 3) A statement that the witness is answering
the Supreme Court, insofar as their the questions asked of him, fully conscious
existing rules of procedure contravene that he does so under oath, and that he
the provisions of this Rule [Sec. 1] may face criminal liability for false
testimony or perjury
B. Submission in lieu of 4) Questions asked of the witness and his
Direct Testimony corresponding answers, consecutively
numbered, that
1) The parties shall file with the court and 5) Show the circumstances under which the
serve on the adverse party, personally witness acquired the facts upon which he
or by licensed courier service, not later testifies
than five days before pre-trial or 6) Elicit from him those facts which are
preliminary conference or the relevant to the issues that the case
scheduled hearing with respect to presents; and
motions and incidents, the following 7) Identify the attached documentary and
a) The judicial affidavits of their object evidence and establish their
witnesses, which shall take the authenticity in accordance with the Rules of
place of such witnesses' direct Court
testimonies; and 8) The signature of the witness over his
b) The parties' documentary or object printed name
evidence, if any, shall be marked 9) A jurat with the signature of the notary
and attached to the judicial public who administers the oath or an
affidavits officer who is authorized by law to
2) Should a party or a witness desire to administer the same [Sec. 3]
keep the original document or object 10) A sworn attestation at the end, executed by
evidence in his possession, he may, the lawyer who conducted or supervised
after the same has been identified, the examination of the witness, to the effect
marked as exhibit, and authenticated, that:
warrant in his judicial affidavit that the 11) He faithfully recorded or caused to be
copy or reproduction attached to such recorded the questions he asked and the
affidavit is a faithful copy or reproduction corresponding answers that the witness
of that original. In addition, the party or gave; and
witness shall bring the original 12) Neither he nor any other person then
document or object evidence for present or assisting him coached the
comparison during the preliminary witness regarding the latter's answers.
conference with the attached copy,
reproduction, or pictures, failing which A false attestation shall subject the lawyer
the latter shall not be admitted. This is mentioned to disciplinary action, including
disbarment [Sec. 4].
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D. Offer and Objection cited by their markings during the offers, the
objections, and the rulings, dispensing with
Offer of and Objections to Testimony in the description of each exhibit [Sec. 8].
Judicial Affidavit
1. The party presenting the judicial affidavit E. Application in Criminal Cases
of his witness in place of direct testimony
shall state the purpose of such testimony This Judicial Affidavit Rule shall apply to all
at the start of the presentation of the criminal actions:
witness. 1) Where the maximum of the imposable
2. The adverse party may move to penalty does not exceed six years;
disqualify the witness or to strike out his 2) Where the accused agrees to the use of
affidavit or any of the answers found in it judicial affidavits, irrespective of the
on ground of inadmissibility. penalty involved; or
3. The court shall promptly rule on the 3) With respect to the civil aspect of the
motion and, if granted, shall cause the actions, whatever the penalties involved
marking of any excluded answer by are [Sec. 9].
placing it in brackets under the initials of
an authorized court personnel, without Procedure
prejudice to a tender of excluded 1. The prosecution shall submit the judicial
evidence under Section 40 of Rule 132 affidavits of its witnesses not later than five
of the Rules of Court [Sec. 6]. days before the pre-trial, serving copies ·of
the same upon the accused.
Examination of the Witness on His 2. The complainant or public prosecutor shall
Judicial Affidavit attach to the affidavits such documentary or
1. The adverse party shall have the right to object evidence as he may have, marking
cross-examine the witness on his judicial them as Exhibits A, B, C, and so on.
affidavit and on the exhibits attached to 3. No further judicial affidavit, documentary, or
the same. object evidence shall be admitted at the
2. The party who presents the witness may trial.
also examine him as on re-direct. 4. If the accused desires to be heard on his
3. In every case, the court shall take active defense after receipt of the judicial affidavits
part in examining the witness to of the prosecution, he shall have the option
determine his credibility as well as the to submit his judicial affidavit as well as
truth of his testimony and to elicit the those of his witnesses to the court within ten
answers that it needs for resolving the days from receipt of such affidavits and
issues [Sec. 7]. serve a copy of each on the public and
private prosecutor, including his
Oral Offer of and Objections to Exhibits documentary and object evidence
1. Upon the termination of the testimony of previously marked as Exhibits 1, 2, 3, and
his last witness, a party shall so on. These affidavits shall serve as direct
immediately make an oral offer of testimonies of the accused and his
evidence of his documentary or object witnesses when they appear before the
exhibits, piece by piece, in their court to testify [Sec. 9].
chronological order, stating the purpose
or purposes for which he offers the
particular exhibit.
2. After each piece of exhibit is offered, the
adverse party shall state the legal
ground for his objection, if any, to its
admission, and the court shall
immediately make its ruling respecting
that exhibit.
3. Since the documentary or object exhibits
form part of the judicial affidavits that
describe and authenticate them, it is
sufficient that such exhibits are simply
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F. Effect of non-compliance documents, or other things under his control
available for copying, authentication, and
eventual production in court, the requesting
Non-compliant party may avail himself of the issuance of a
Consequence
behavior subpoena ad testificandum or duces tecum
under Rule 21 of the Rules of Court. The rules
Deemed to have waived governing the issuance of a subpoena to the
their submission witness in this case shall be the same as when
taking his deposition except that the taking of a
Note: Court may allow,
judicial affidavit shall be understood to be ex
only once late
parte [Sec. 5].
submission, provided
Party’s failure
1. the delay (a) is for a
to submit Adverse party witnesses and hostile witnesses
valid reason, (b)
would not prejudice are excluded since they are not covered by
the opposing party Sec. 5 [Tam v. China Banking Corporation,
and G.R. No. 214054 (2015)]
2. the defaulting party
pays a fine. There is nothing in the provisions of the Judicial
Affidavit Rule, which prohibits a defendant from
Witness’ filing a demurrer to evidence, if he truly
failure to believes that the evidence adduced by the
Affidavit shall not be plaintiff is insufficient [Lagon v. Velasco, G.R.
appear at the
considered by the court No. 208424 (2018)].
scheduled
hearing
The provisions of the Rules of Court and other
Deemed to have waived rules of procedure in the investigative or quasi-
Counsel’s
his client’s right to cross- judicial bodies covered by this rule are
failure to
examine the witnesses repealed or modified insofar as these are
appear
there present inconsistent with the provisions of this Rule
[Sec. 11].
Judicial affidavit cannot
be admitted as evidence

The court may, however,

allow only once the
subsequent submission
Non- of the compliant
compliance replacement affidavits
with content before the hearing or trial
and attestation provided
requirements 1. the delay (a) is for a
valid reason, (b)
would not prejudice
the opposing party
and
2. the defaulting party
pays a fine.

[Sec. 10]

Issuance of Subpoena
If the government employee or official, or
the requested witness, who is neither the
witness of the adverse party nor a hostile
witness, unjustifiably declines to execute a
judicial affidavit or refuses without just
cause to make the relevant books,

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X. WEIGHT AND c. Number of witnesses (although
preponderance is not necessarily with the
SUFFICIENCY OF greater number) [Sec. 1, Rule 133]
EVIDENCE 3. Substantial Evidence
A. Quantum of Evidence Degree of evidence required in cases filed
before administrative or quasi-judicial
1. Proof Beyond Reasonable Doubt bodies.

In a criminal case, the accused is entitled to It is the amount of relevant evidence which a
an acquittal, unless his or her guilt is shown reasonable mind might accept as adequate to
beyond reasonable doubt. Proof beyond justify a conclusion. [Sec. 6, Rule 133].
reasonable doubt does not mean such a
degree of proof as, excluding possibility of Also applies to petitions under the Rule on the
error, produces absolute certainty. Moral Writ of Amparo [Sec. 17, Rule on the Writ of
certainty only is required, or that degree of Amparo] and the Rule on the Writ of Habeas
proof which produces conviction in an data [Sec. 16, Rule on the Writ of Habeas
unprejudiced mind [Sec. 2, Rule 133]. data].

The burden is on the prosecution to prove Substantial Evidence Rule

guilt beyond reasonable doubt, NOT on the Factual findings, especially when affirmed by
accused to prove his/her innocence [Boac v the Court of Appeals, are accorded not only
People, G.R. No. 180597 (2008)]. great respect but also finality, and are deemed
binding upon this Court so long as they are
The prosecution must not rely on the supported by substantial evidence [Tan
weakness of the evidence of the defense Brothers Corp. v. Escudero, G.R. No. 188711
[Ubales v People, G.R. No. 175692 (2008); (2013)].
People v. Hu, G.R. No. 182232 (2008)].
4. Clear and Convincing Evidence
2. Preponderance of Evidence
Clear and convincing evidence is more than
Applicable quantum of evidence in civil mere preponderance, but not to the extent
cases [Sec. 1, Rule 133] of such certainty as is required beyond
reasonable doubt as in criminal cases
Means that the evidence adduced by one [Manalo v. Roldan-Confesor, G.R. No. 102358
side is, as a whole, superior to or has (1992)].
greater weight than that of the other
[Habagat Grill v. DMC-Urban Property The standard of proof required in granting or
Developer, Inc., G.R. No. 155110 (2005); denying bail in extradition cases is “clear and
Bank of the Philippine Islands v. Reyes, convincing evidence” that the potential
G.R. No. 157177 (2008)]. extraditee is not a flight risk and will abide with
all the orders and process of the extradition
In determining preponderance of evidence, court [Government of Hongkong Special
the court may consider: Administrative Region v. Olalia, Jr., G.R. No.
a. All the facts and circumstances of the 153675 (2007)].
case;
b. The witnesses’ manner of testifying, their It must be added that the defenses of denial
intelligence, their means and opportunity of and improper motive can only prosper when
knowing the facts to which they testify, the substantiated by clear and convincing
nature of the facts to which they testify, the evidence [People v. Colentava, G.R. No.
probability or improbability of their 190348 (2015)].
testimony, their interest or want of interest,
and also their personal credibility so far as It is used for overturning disputable
the same may legitimately appear upon the presumptions, such as the presumption of
trial; regularity in the performance of official duties
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[Portuguez v. People, G.R. No. 194499 nature and in denying respondent's motion to
(2015)] or the existence of a valuable take them, the trial court was but exercising its
consideration [Tolentino v. Sps. Jerera, judgment on what it perceived to be a
G.R. No. 179874 (2015)]. superfluous exercise on the belief that the
introduction thereof will not reasonably add
Note however: The addressee's “direct to the persuasiveness of the evidence
denial” of receipt of mail alleged to have already on record [People v. Webb, G.R. No.
been mailed to it defeats the presumption in 132577 (1999)].
Sec. 3(v), Rule 131 and shifts the burden
upon the party favored by the presumption C. Evidence on Motion
to prove that the mailed letter was indeed
received by the addressee [Commissioner When a motion is based on facts not appearing
of Internal Revenue v. Metro Star, G.R. No. of record, the court may hear the matter on
185371 (2010)]. affidavits or depositions presented by the
respective parties, but the court may direct that
It is also the standard of proof for invoking the matter be heard wholly or partly on oral
the justifying circumstance of self-defense testimony or depositions [Sec. 8, Rule 133].
for the defense and proving the aggravating
circumstance of treachery for the But respondent judge claims that petitioner has
prosecution [People v. C.A.sas, G.R. No. not proved his minority. This is inaccurate. In
212565 (2015)]. The former is because his motion for bail, petitioner alleged that he
having admitted the killing requires the was a minor of 16 and this averment was never
accused to rely on the strength of his own challenged by the prosecution. Subsequently,
evidence, not on the weakness of the in his memorandum in support of the
Prosecution’s, which, even if it were weak, motion for bail, petitioner attached a copy
could not be disbelieved in view of his of his birth certificate. And finally, after
admission [People v. Mediado, G.R. No. respondent Judge had denied the motion for
169871 (2011)]. bail, petitioner filed a motion for
reconsideration, attaching thereto a certified
B. Power to Stop Further true copy of his birth certificate. Respondents
Evidence Judge however refused to take cognizance of
petitioner's unchallenged minority allegedly
The court may stop the introduction of because the certificate of birth was not offered
further testimony upon any particular point in evidence. This was error because evidence
when the evidence upon it is already so full of petitioner's minority was already a part of the
that more witnesses to the same point record of the case. It was properly filed in
cannot be reasonably expected to be support of a motion. It would be a needless
additionally persuasive. This power shall be formality to offer it in evidence. Respondent
exercised with caution [Sec. 7, Rule 133]. Judge therefore acted with grave abuse of
discretion in disregarding it [Bravo Jr. v. Borja,
[Sec. 7, Rule 133] grants the trial court the G.R. No. L-65228 (1985)].
authority and discretion to stop further
testimonial evidence on the ground that When inapplicable
additional corroborative testimony has [W]hile the court may rule upon motions solely
no more persuasive value as the evidence on the basis of affidavits and counter-affidavits,
on that particular point is already so full [Go if the affidavits contradict each other on
v. Looyuko, G.R. No. 147923 (2007)]. matters of fact, the court can have no basis
to make its findings of facts and the prudent
When evidence is merely cumulative course is to subject the affiants to cross-
It need not be overemphasized that the examination so that the court can decide whom
foregoing factual circumstances only; to believe [People v. Monteiro, G.R. No. 49454
serves to underscore the immutable fact (1990)].
that the depositions proposed to be taken
from the five U.S. based witnesses would
be merely corroborative or cumulative in

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XI. RULES ON accurately reflects the electronic data message
or electronic document. For purposes of these
ELECTRONIC EVIDENCE Rules, the term "electronic document" may be
used interchangeably with "electronic data
(A.M. NO. 01-7-01-SC) message" [Sec. 1(h), Rule 2, Rules on
Electronic Evidence]
Scope
General Rule: The Rules on Electronic Whenever a rule of evidence refers to the term
Evidence (A.M. No. 01-7-01-SC) shall apply writing, document, record, instrument,
whenever an electronic document or memorandum or any other form of writing, such
electronic data message is offered or used term shall be deemed to include an electronic
in evidence. document as defined in these Rules [Sec. 1,
Rule 3, Rules on Electronic Evidence].
Exception: When otherwise provided [Sec.
1, Rule 1, Rules on Electronic Evidence]. Electronic signature — Any distinctive mark,
characteristic and/or sound in electronic form,
Cases covered representing the identity of a person and
The Rules apply to all civil actions and attached to or logically associated with the
proceedings, as well as quasi-judicial and electronic data message or electronic
administrative cases [Sec. 2, Rule 1, Rules document or any methodology or procedure
on Electronic Evidence]. employed or adopted by a person and
executed or adopted by such person with the
However, according to People v. Enojas intention of authenticating, signing or
[G.R. No. 182835 (2010)], the Rules may approving an electronic data message or
also apply to criminal cases. electronic document. For purposes of these
Rules, an electronic signature includes digital
A. Meaning of Electronic signatures. [Sec. 1(j), Rule 2, Rules on
Evidence; Electronic Data Electronic Evidence]
Message Digital signature — An electronic signature
consisting of a transformation of an electronic
Electronic evidence — Evidence, the use document or an electronic data message using
of which is sanctioned by existing rules of an asymmetric or public cryptosystem such
evidence, in ascertaining in a judicial that a person having the initial untransformed
proceeding, the truth respecting a matter of electronic document and the signer's public key
fact, which evidence is received, recorded, can accurately determine:
transmitted, stored, processed, retrieved or 1. Whether the transformation was created
produced electronically [Sec. 3(u), Rule 1, using the private key that corresponds to the
IRR of Cybercrime Prevention Act of 2012] signer's public key; and
2. Whether the initial electronic document had
Electronic data message — Information been altered after the transformation was
generated, sent, received or stored by made [Sec. 1(h), Rule 2, Rules on
electronic, optical or similar means [Sec. Electronic Evidence]
1(g), Rule 2, Rules on Electronic Evidence]
Ephemeral electronic communication —
Electronic document—information or the Telephone conversations, text messages,
representation of information, data, figures, chatroom sessions, streaming audio,
symbols or other modes of written streaming video, and other electronic forms of
expression, described or however communication the evidence of which is not
represented, by which a right is established recorded or retained [Sec. 1(k), Rule 2, Rules
or an obligation extinguished, or by which a on Electronic Evidence].
fact may be proved and affirmed, which is
received, recorded, transmitted, stored,
processed, retrieved or produced
electronically. It includes digitally signed
documents and any print- out or output,
readable by sight or other means, which
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B. Probative Value of C. Authentication of Electronic
Electronic Documents or Documents and Electronic
Evidentiary Weight; Method of Signatures
Proof
Burden of Proof
Factors that may be considered in The person seeking to introduce an electronic
assessing evidentiary weight: document in any legal proceeding has the
1. The reliability of the manner or method burden of proving its authenticity in the manner
in which it was generated, stored or provided in this Rule [Sec. 1, Rule 5, REE].
communicated, including but not limited
to input and output procedures, controls, Manner of Authentication of Private
tests and checks for accuracy and Electronic Document Offered as Authentic
reliability of the electronic data message 1. By evidence that it had been digitally
or document, in the light of all the signed by the person purported to have
circumstances as well as any relevant signed the same;
agreement; 2. By evidence that other appropriate
2. The reliability of the manner in which its security procedures or devices as may
originator was identified; be authorized by the Supreme Court or by
3. The integrity of the information and law for authentication of electronic
communication system in which it is documents were applied to the document;
recorded or stored, including but not or
limited to the hardware and computer 3. By other evidence showing its integrity
programs or software used as well as and reliability to the satisfaction of the
programming errors; judge [Sec. 2, Rule 5, REE]
4. The familiarity of the witness or the
person who made the entry with the Proof of Electronically Notarized Document
communication and information system; A document electronically notarized in
5. The nature and quality of the accordance with the rules promulgated by the
information which went into the Supreme Court shall be considered as a public
communication and information system document and proved as a notarial document
upon which the electronic data message under the Rules of Court [Sec. 3, Rule 5, REE].
or electronic document was based; or
6. Other factors which the court may Manner of Authentication of Electronic
consider as affecting the accuracy or Signature
integrity of the electronic document or By evidence that a method or process
electronic data message [Rule 1, Sec 7, was utilized to establish a digital signature
Rules on Electronic Evidence]. and verify the same;
By any other means provided by law; or
Method of Proof By any other means satisfactory to the
All matters relating to the admissibility and judge as establishing the genuineness of the
evidentiary weight may be established by electronic signature [Sec. 2, Rule 6, REE]
an affidavit:
1. stating facts of direct personal D. Electronic Documents and
knowledge of the affiant or facts based Hearsay Rule
on authentic records; and
2. affirmatively showing the competence General Rule: Hearsay rule does not apply to:
of the affiant to testify on the matters a. A memorandum, report, record or data
contained therein [Sec. 1, Rule 9, REE]. compilation of acts, events, conditions,
opinions, or diagnoses
The affiant shall be made to affirm the b. Made by electronic, optical or other similar
contents of the affidavit in open court and means
may be cross-examined as a matter of right c. At or near the time of or from transmission
[Sec. 2, Rule 9, REE]. or supply of information
d. By a person with knowledge thereof

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e. Kept in the regular course or conduct of
a business activity and
f. Such was the regular practice to make
the memorandum, report, record, or
data compilation by electronic, optical or
similar means and
g. Shown by the testimony of the
custodian or other qualified witnesses
[Sec. 1, Rule 8, REE].

Exception: The presumption may be

overcome by evidence of the
untrustworthiness of the source of
information or the method or circumstances
of the preparation, transmission or storage
thereof [Sec. 2, Rule 8, REE].

1. Audio, Photographic, Video and

Ephemeral evidence

Audio, Photographic and Video

Evidence of Events, Acts or
Transactions
a. Must be shown, presented or displayed
to the court; and
b. Shall be identified, explained or
authenticated by the person who made
the recording or by some other person
competent to testify on the accuracy
thereof [Sec. 1, Rule 11, REE].

Ephemeral Electronic Communications

a. Proven by the testimony of:
i. A person who was a party to the
same; or
ii. Has personal knowledge
thereof.
b. In the absence or unavailability of such
witnesses, other competent evidence
may be admitted

Recording of the Telephone

Conversation or Ephemeral Electronic
Communication
Same as audio, photo and video evidence

If recorded or embodied in an electronic

document, provisions of Rule 5
(Authentication of electronic documents)
shall apply [Sec. 2, Rule 11, REE].

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REMEDIAL LAW AND
LEGAL ETHICS

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I. APPEALS; GENERAL any ruling or order or in anything done or

omitted by the trial court or by any of the parties
PRINCIPLES is ground for granting a new trial or for setting
A. Nature of the Right to aside, modifying, or otherwise disturbing a
judgment or order, unless refusal to take such
Appeal action appears to the court inconsistent with
substantial justice [Sec. 6, Rule 51].
Nature
1. The right to appeal is not a constitutional, The court at every stage of the proceeding
natural, or inherent right. must disregard any error or defect which does
2. It is a statutory privilege and of statutory not affect the substantial rights of the parties
origin and is available only if granted or if so [Sec. 6, Rule 51].
provided by statute [Yu v. Samson-Tatad,
G.R. No. 170979 (2011)]. We have likewise followed the harmless error
3. As a rule, the perfection of an appeal in the rule in our jurisdiction. In dealing with evidence
manner and within the period prescribed by improperly admitted in trial, we examine its
law is not only mandatory, but jurisdictional. damaging quality and its impact to the
A failure to comply with the rules of appeal substantive rights of the litigant. If the impact is
will render the judgment final and executory slight and insignificant, we disregard the error
[Landbank of the Philippines v. CA, G.R. as it will not overcome the weight of the
No. 221636 (2016)]. properly admitted evidence against the
prejudiced party [People v. Teehankee, Jr.,
Appeal vs. Action to review G.R. Nos. 111206-08 (1995)].
An appeal is different from an action to review.
In an appeal, the court by which the first Modes of Appeal
determination was made is not a party to the 1. Ordinary appeal – Rule 40 and 41
proceeding for review whereas in an action for a. Notice of appeal
review, the court which made the determination b. Record on appeal
is a party to the proceeding for review [1 2. Petition for review – Rule 42
Regalado 556, 2010 Ed.]. 3. Appeal from quasi-judicial agencies (QJAs)
to the CA – Rule 43
Harmless error rule in appellate decisions 4. Petition for review on certiorari – Rule 4
No error in either the admission or the
exclusion of evidence and no error or defect in

Modes of Appeal
Appeals from QJAs to Petition for Review by
Ordinary Appeal Petition for Review
the CA Certiorari
Rule Rule 41 Rule 42 Rule 43 Rule 45
Case where only
questions of law are
Awards, judgments, final raised or involved [Sec.
orders or resolutions of or 2(c), Rule 41]
authorized by any QJA in
Case decided by Case decided by RTC
the exercise of its quasi- Appeal by certiorari from
RTC in exercise of in exercise of
judicial functions [Sec. 1] a judgment or final order
original jurisdiction appellate jurisdiction
or resolution of the CA,
[Sec. 2(a)] [Sec. 2(b), Rule 41]
Except: Judgments or the Sandiganbayan, the
final orders issued under RTC or other courts
the Labor Code [Sec. 2] whenever authorized by
law [Sec. 1]

Notice of
Petition for review with Petition for review on
Mode of appeal/Record on Verified petition for review
the CA [Sec. 2(b), certiorari with the SC
appeal appeal with the CA with the CA [Sec. 5]
Rule 41] [Sec. 2(c), Rule 41]
[Sec. 2(a)]

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Appeals from QJAs to Petition for Review by
Ordinary Appeal Petition for Review
the CA Certiorari
File a verified petition for
File verified petition for
review in 7 legible copies
review on certiorari with
Filing a notice of with the CA, with proof of
File a verified petition the SC [Sec. 1]
appeal with the service of a copy thereof
for review with the CA,
court which on the adverse party and
paying at the same Petitioner shall pay the
rendered the on the court or agency a
time to the clerk of corresponding docket and
judgment or final quo. The original copy of
said court the other lawful fees to the
order appealed from the petition intended for
corresponding docket COC of the SC and
and serving a copy the CA shall be indicated
How and other lawful fees, deposit the amount of
thereof upon the as such by the petitioner.
made depositing the amount PHP 500.00 for costs at
adverse party
of PHP 500.00 for the time of the filing of the
Upon the filing of the
costs, and furnishing petition. Proof of service
If required, the petition, the petitioner
the RTC and the of a copy thereof on the
record-on appeal shall pay to the COC of
adverse party with a lower court concerned
shall be filed and the CA the docketing and
copy of the petition and on the adverse party
served in like other lawful fees and
[Sec. 1] shall be submitted
manner [Sec. 2] deposit the sum of PHP
together with the petition
500.00 for costs
[Sec. 3]
[Sec. 5]
Within 15 days from:
1. Notice of the award,
Within 15 days from
judgment, final order
notice of the Within 15 days from Within 15 days from
or resolution, or
judgment or final notice of notice of
order appealed from 2. The date of
1. The decision i. its last publication, 1. The judgment or final
sought to be if publication is order or resolution
Where a record of
reviewed or required by law for appealed from, or
Period of appeal is required,
appeal file a notice of 2. The denial of its effectivity, or 2. The denial of the
appeal and a record petitioner’s MNT ii. the denial of petitioner’s MNT or
on appeal within 30 or MR filed in due petitioner’s MNT or MR filed in due time
days from notice of time after MR duly filed in after notice of the
the judgment or final judgment accordance with judgment
order [Sec. 1] the governing law [Sec. 2]
[Sec. 3] of the court or
agency a quo
[Sec. 4]

1. Issues to Be Raised on Appeal d. That is closely related to or dependent to an

assigned error, and properly argued in brief,
Issues e. That is a plain clerical error,
Issues that have not been raised before the f. Of which consideration is necessary to
lower courts cannot be raised on the first time arrive at a just decision and complete
on appeal [Sps. Erorita v. Sps. Dumlao, G.R. resolution of the case or serve the interests
No. 195477 (2016)] of justice, or
g. Raised in the trial court and are matters of
Errors record having such bearing on the issue
General Rule: The appellate court shall submitted which the parties failed to raise or
consider no error unless stated in the which the lower court
assignment of errors [Sec. 8, Rule 51]. [1 Riano 529-530, 2016 Ed.]

Exceptions: The court may consider an error The appellate court has no jurisdiction to
not raised on appeal provided that it is an error: review a judgment which is immediately final
a. That affects the jurisdiction over the subject and executory by express provision of law
matter, [Republic v. Bermudez-Lorino, G.R. No.
b. That affects validity of the judgment 160258 (2005)].
appealed from,
c. Which affects the validity of the
proceedings,
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2. Period of Appeal C. Matters Not Appealable ;
The fresh period rule shall apply to:
Available Remedies
a. Rule 40 governing appeals from the MTCs
1. An order denying a petition for relief or any
to the RTCs
similar motion seeking relief from judgment;
b. Rule 41 governing appeals from the RTCs
2. An interlocutory order;
to CA
3. An order disallowing or dismissing an
c. Rule 42 on petitions for review from the
appeal;
RTCs to the CA
4. An order denying a motion to set aside a
d. Rule 43 on appeals from quasi-judicial
judgment by consent, confession or
agencies to the CA, and
compromise on the ground of fraud, mistake
e. Rule 45 governing appeals by certiorari to
or duress, or any other ground vitiating
the SC
consent;
5. An order of execution;
Note: The fresh period rule gives the appellant
6. A judgment or final order for or against one
a fresh 15-day period within which to make his
or more of several parties or in separate
appeal from the order denying the MNT, MR,
claims, counterclaims, cross-claims and
or any final order or resolution.
third-party complaints, while the main case
is pending, unless the court allows an
The new rule aims to regiment or make the
appeal therefrom; and
appeal period uniform, to be counted from
7. An order dismissing an action without
receipt of the order denying the MNT, MR
prejudice [Sec. 1, Rule 41, as amended by
(whether full or partial) or any final order or
A.M. No. 07-7-12-SC]
resolution [Neypes v. CA, G.R. No. 141524
(2005)].
Final order v. Interlocutory order
Final Order Interlocutory Order
3. Perfection of Appeal One that determines
incidental matters
Perfection of an appeal in the manner and One that finally
that does not touch
within the period laid down by law is mandatory disposes of a case,
on the merits of the
and jurisdictional [Balgami v. CA, G.R. No. leaving nothing more
case or put an end to
131287 (2004)] to be done by the
the proceedings
Court in respect
[Silverio, Jr. v.
Effect of failure to perfect appeal thereto [Investments,
Filipino Business
a. Defeats a party’s right to appeal, and Inc. v. CA, G.R. No.
Consultants, Inc.,
b. Precludes appellate court from acquiring L-60036 (1987)]
G.R. No. 143312
jurisdiction [1 Riano 20, 2011 Ed.]
(2005)]
Proper remedy to
B. Judgments and Final question an
Orders Subject to Appeal improvident
interlocutory order is
Subject to appeal
An appeal may be taken from a judgment or a petition for
[Investments, Inc. v.
final order that completely disposes of the certiorari under Rule
CA, supra]
case, or of a particular matter therein when 65 [Silverio, Jr. v.
declared by the ROC to be appealable [Sec. 1, Filipino Business
Rule 41]. Consultants, Inc.,
supra]
Note: Not every judgment or final order is Not considered
Must express clearly
appealable. An example of judgments or final decisions or
and distinctly the
orders which do not completely dispose of a judgments within the
facts and the law on
case and are, hence, not appealable are constitutional
which it is based
several and separate judgments provided for definition [1 Riano
[Sec. 14, Art. VIII,
under Secs. 4 and 5 of Rule 36. 581, 2014 Bantam
Constitution]
Ed., citing Amargo v.

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CA, G.R. No. L- c. Whenever circumstances transpire after
31762 (1973)] finality of the decision, rendering its
execution unjust and inequitable [Apo Fruits
[Pahila-Garrido v. Tortogo, G.R. No. 156358 Corp. v. Land Bank of the Phils., G.R. No.
(2011)] 164195 (2010)]
d. In cases of special and exceptional nature,
Effect of an appeal from an interlocutory when it is necessary in the interest of justice
order to direct modification in order to harmonize
If an order appealed from is interlocutory, the the disposition with the prevailing
appellate court can dismiss the appeal even if circumstances [Industrial Timber Corp. v.
the appellee did not file any objection [1 Ababon, G.R. No. 164518 (2006)]
Regalado 552, 2010 Ed.]. e. In case of void judgments [FGU Insurance
v. RTC Makati, G.R. No. 161282 (2011)]
Remedy Against Judgments and Orders f. Where there is a strong showing that a
Which Are Not Appealable grave injustice would result from an
In those instances where the judgment or final application of the Rules [Almuete v. People,
order is not appealable, the aggrieved party G.R. No. 179611 (2013)]
may file the appropriate special civil action g. When there are grounds for annulment of
under Rule 65 [Sec. 1, Rule 41]. judgment or petition for relief [Gochan v.
Mancao, G.R. No. 182314 (2013)]
D. Doctrine of Finality/
Immutability of Judgment ;
Exceptions
General Rule: Once a decision or order
becomes final and executory, it is removed
from the power or jurisdiction of the court which
rendered it to further alter or amend it [Silliman
University v. Fontelo-Paalan, G.R. No. 170948
(2007)].

A judgment that has acquired finality becomes

immutable and unalterable, and may no longer
be modified in any respect, even if the
modification is meant to correct erroneous
conclusions of fact and law, and whether it be
made by the court that rendered it or by the
Highest Court of the land [PNB v. Sps.
Maranon, G.R. No. 189316 (2013)].

Rationale
a. To avoid delay in the administration of
justice, and procedurally to make orderly the
discharge of judicial business, and
b. To put an end to judicial controversies at the
risk of occasional errors [PCI Leasing and
Finance, Inc. v. Milan, G.R. No. 151215
(2010)]

Exceptions:
a. Correction of clerical errors [Filipinas
Palmoil Processing, Inc. v. Dejapa, G.R. No.
167332 (2011)]
b. Nunc pro tunc entries [Filipinas Palmoil
Processing, Inc. v. Dejapa, supra]
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II. POST-JUDGMENT Motion for new trial and petition for relief
Motion for New Petition for Relief
REMEDIES OTHER THAN Trial [Rule 37] [Rule 38]
APPEAL Available after
Available before
judgment has
judgment becomes
become final and
final and executory
A. Petition for Relief from executory
Applies to
Judgment Applies to
judgments, final
judgments or final
orders and other
Nature orders only
proceedings
A legal remedy whereby a party seeks to set Grounds:
aside a judgment rendered against him by a 1. FAME; or
court whenever he was unjustly deprived of a 2. Newly Ground: FAME
hearing or was prevented from taking an discovered
appeal because of fraud, accident, mistake, or evidence
excusable negligence (FAME) [Quelnan v.
Filed:
VHF Phils., G.R. No. 138500 (2005)]
1. Within 60 days
from knowledge
A petition for relief from judgment is an Filed within the time
of judgment; and
equitable remedy allowed only in exceptional to appeal
2. Within 6 months
cases when there is no other available or
from entry of
adequate remedy. When a party has another
judgment
remedy available, either MNT or appeal, and
If denied, order
he was not prevented by FAME from filing such
denying a petition
motion or taking such appeal, he cannot avail If denied, order of
for relief is not
himself of this petition [Trust International denial is not
appealable;
Paper Corp. v. Pelaez, G.R. No. 164871 appealable; hence,
remedy is
(2006)]. remedy is appeal
appropriate civil
from judgment
action under Rule
In addition, a petition for relief is available only
65
when the loss of the remedy was due to the
Legal remedy Equitable remedy
petitioner’s own fault [Tuason v. CA, G.R. No.
116607 (1996)]. Motion need not be Petition must be
verified verified
Relief under Rule 38 will not be granted to a These remedies are mutually exclusive
party who seeks to be relieved from the effects [Francisco v. Puno, G.R. No. L-55694
of the judgment when the loss of the remedy of (1981)]
law was due to his own negligence, or a [1 Regalado 426-437, 441-442, 2010 Ed.]
mistaken mode of procedure for that matter;
otherwise, the petition for relief will be When proper
tantamount to reviving the right of appeal which When a judgment or final order is entered, or
has already been lost either because of any other proceeding is thereafter taken
inexcusable negligence or due to a mistake of against a party in any court through FAME
procedure by counsel [Fukuzumi v. Sanritsu [Sec. 1, Rule 38]
Great International Corp., G.R. No. 140630
(2004)]. Thus, it was held that a petition for relief is also
applicable to a proceeding taken after entry of
judgment or final order such as an order of
execution [Cayetano v. Ceguerra, G.R. No. L-
18831 (1965)] or an order dismissing an appeal
[Medran v. CA, G.R. No. L-1350 (1949)].

A party who has filed a timely MNT or MR can

no longer file a petition for relief from judgment

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after his motion has been denied [Francisco v. 2. Accompanied by an affidavit showing the
Puno, G.R. No. L-55694 (1981)]. FAME relied upon; and
3. The facts constituting the petitioner’s good
A petition for relief is not an available remedy and substantial cause of action or defense,
in the SC or the CA [Purcon, Jr. v. MRM as the case may be [Sec. 3, Rule 38]
Philippines Inc., G.R. No. 182718 (2008)].
Note: A petition for relief from judgment may
1. Grounds for Availing of the only be availed of by a party to the proceeding
Remedy [Alaban v. CA, G.R. No. 156021 (2005)].

a. When judgment or final order is entered, or The absence of an affidavit of merits is a fatal
any other proceeding is thereafter taken defect and warrants denial of the petition
against petitioner through FAME [Fernandez v. Tan Tiong Tick, G.R. No. L-
• Petition is filed in the same court, in the 15877 (1961)]. However, it is not a fatal defect
same case with prayer for the judgment, so long as the facts required to be set out also
order, proceeding to be set aside appear in the verified petition [Fabar, Inc. v.
b. When petitioner has been prevented from Rodelas, G.R. No. L-46394 (1977)].
taking an appeal by FAME
• Petition is filed in the same court, in the When affidavit of merit is not necessary:
same case with prayer for the appeal to 1. When there is lack of jurisdiction over the
be given due course [Secs. 1-2, Rule 38] defendant;
2. When there is lack of jurisdiction over the
Note: “Extrinsic fraud” - fraud which the subject matter;
prevailing party caused to prevent the losing 3. When judgment was taken by default;
4. When judgment was entered by mistake or
party from being heard on his action or
defense. Such fraud concerns not the was obtained by fraud; or
judgment itself but the manner in which it was 5. Other similar cases [1 Regalado 434-435,
obtained [AFP Mutual Benefit Association, Inc. 2010 Ed.]
v. RTC-Marikina City, G.R. No. 183906
(2011)]. Order to file answer
If the petition is sufficient in form and substance
to justify relief, the court in which it is filed, shall
2. Time to File Petition issue an order requiring the adverse parties to
answer the same within 15 days from the
a. Within 60 days after the petitioner learns
receipt thereof.
of the judgment, final order, or other
proceeding to be set aside, and
The order shall be served in such manner as
b. Not more than 6 months after such
the court may direct, together with copies of the
judgment or final order was entered, or such
petition and the accompanying affidavits [Sec.
proceeding was taken [Sec. 3, Rule 38]
4, Rule 38].
Note: These two periods must concur, are
Note: Failure to answer the petition for relief
not extendible and are never interrupted.
does not constitute default. Even without it, the
Strict compliance with these periods stems
court will still have to hear the petition on the
from the equitable character and nature of the
merits [1 Regalado 447. 2010 Ed.].
petition for relief. Such petition is actually the
“last chance” given by law to litigants to
Proceedings after answer is filed
question a final judgment or order. Failure to
After the filing of the answer or the expiration of
avail of such chance, within the grace period
the period therefore, the court shall hear the
fixed by the Rules, is fatal [Quelnan v. VHF
petition.
Phils., G.R. No. 138500 (2005)].
a. If the allegations are not true, the petition
shall be dismissed.
3. Contents of Petition b. If the allegations are true, it shall set aside
the judgment or final order or other
The petition must be: proceeding complained of upon such terms
1. Verified; as may be just and the case shall stand as
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if such judgment, final order or other will be a renewal of litigation [Sps. Teano v. The
proceeding had never been rendered, Municipality of Navotas, supra].
issued or taken. The court shall then
proceed to hear and determine the case as When proper
if a timely motion for a new trial or An action for annulment of judgment may be
reconsideration had been granted by it [Sec. availed of even if the judgment to be annulled
3, Rule 38]. has already been fully executed or
implemented [Islamic Da’wah Council of the
Note: Where the denial of an appeal is set Philippines v. CA, G.R. No. 80892 (1989)].
aside, the lower court shall be required to give
due course to the appeal and to elevate the When not available
record of the appealed case as if a timely and The remedy may not be invoked:
proper appeal had been made [Sec. 7, Rule a. Where the party has availed himself of the
38]. remedy of new trial, appeal, petition for
review, or other appropriate remedy and
Remedy for denial of petition for relief lost, or
Appeal from an order denying a petition for b. Where he has failed to avail himself of those
relief is no longer available under the present remedies through his own fault or
rules [1 Regalado 437, 2010 Ed., citing Sec. 1, negligence [Republic v. ‘G’ Holdings, Inc.,
Rule 41]. G.R. No. 141241 (2005)]

Note: An order granting a petition for relief is Note: It is a condition sine qua non that one
interlocutory and non-appealable [1 Regalado must have failed to avail of those remedies,
447, 2010 Ed.] through no fault attributable to him. Otherwise,
he would benefit from his own inaction or
The remedy against a denial of a petition for negligence [Republic v. De Castro, G.R. No.
relief is certiorari under Rule 65, when proper 189724 (2011)].
[1 Regalado 437, 2010 Ed.]
Where filed
B. Annulment of Judgment Judgment, Final Judgment, Final
Order or Order or
by the Court of Appeals Resolution of the Resolution of the
RTC MTC, etc.
Nature Filed with the CA Filed with the RTC
An action for annulment of judgment is a [Sec. 1, Rule 47] [Sec. 19(6), BP 129]
remedy in equity exceptional in character
CA has exclusive
availed of only when other remedies are RTC as a court of
and original
wanting [Sps. Teano v. The Municipality of general jurisdiction
jurisdiction over said
Navotas, G.R. No. 205814 (2016)]. under Sec. 19(6), BP
action under Sec.
129
9(2) of BP 129
It is a remedy independent of the case where
The CA may dismiss
the judgment sought to be annulled is The RTC has no
the case outright; it
rendered. It is not the continuation of the same such discretion, it is
has the discretion on
case, like in the reliefs of MR, appeal, or required to consider
whether or not to
petition for relief [CIR v. Kepco Ilijan Corp., it as an ordinary civil
entertain the petition
G.R. No. 199422 (2016)]. action.
[Sec. 5, Rule 47].
Such remedy is considered an exception to the
Who can file
final judgment rule or the doctrine of
A person who is not a party to the judgment
immutability of judgments [Diona v. Balangue,
may sue for its annulment provided that he can
G.R. No. 173559 (2013)].
prove:
a. The judgment was obtained through fraud
Purpose
or collusion, and
The purpose of such action is to have the final
b. He would be adversely affected thereby
and executory judgment set aside so that there
[Alaban v. CA, G.R. No. 156021 (2005)]

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1. Grounds for Annulment 2. In 7 clearly legible copies, together with
sufficient copies corresponding to the
The annulment may be based only on the number of respondents;
grounds of: 3. Certified true copy of the judgment or final
a. Extrinsic fraud, and order or resolution shall be attached to the
Note: Such shall not be a valid ground if it original copy of the petition intended for the
was availed of, or could have been availed court and indicated as such by the
of, in a MNT or petition for relief. petitioner;
b. Lack of jurisdiction [Sec. 2, Rule 47] 4. Affidavits of witnesses or documents
supporting the cause of action or defense;
Extrinsic fraud and
It refers to any fraudulent act of the prevailing 5. Certificate of non-forum shopping
party in litigation committed outside the trial of [Sec. 3, Rule 47]
the case where the defeated party prevented
from fully exhibiting his side by fraud or 2. Period to File Action
deception practiced on him by his opponents
like: Extrinsic Lack of
a. Keeping him away from court, fraud jurisdiction
b. Giving him false promise of a compromise, Before it is
or Period for 4 years from barred by
c. Where an attorney fraudulently or without filing discovery laches or
authority connives at his defeat [Cagayan estoppel
Economic Zone Authority v. Meridien Vista [Sec. 3, Rule 47]
Gaming Corp., G.R. No. 194962 (2016)]
Note: There must be a manifest showing with
Note: Use of forged instruments, perjured petition that it was filed within the 4-yr period [1
testimonies, or other manufactured evidence is Regalado 532, 2010 Ed.]
not extrinsic fraud since such evidence does
not preclude a party’s participation in trial Action of the court
[Bobis v. CA, G.R. No. 113796 (2000); Conde 1. Should the court find no substantial merit
v. IAC, G.R. No. 70443 (1986)] in the petition, the same may be
dismissed outright with specific reasons for
Lack of jurisdiction such dismissal.
Either lack of jurisdiction over the person of the 2. Should prima facie merit be found in the
defending party, or over the subject matter of petition, the same shall be given due
the claim [1 Regalado 630, 2010 Ed.] course and summons shall be served on
the respondent [Sec. 5, Rule 47]
Petitioner must show absolute lack of
jurisdiction and not mere abuse of judicial Procedure
discretion; a claim of grave abuse of discretion The procedure in ordinary civil cases shall be
will support a petition for certiorari but not an observed. Should a trial be necessary, the
action for annulment of judgment [1 Riano 633, reception of the evidence may be referred to a
2011 Ed.] member of the court or a judge of a RTC [Sec.
6, Rule 47].
Only evidence found in the record can justify
nullity [Arcelona v. CA, G.R. No. 102900 Note: Prima facie determination is not available
(1997)]. in annulment of judgments or final orders of
MTCs before the RTC [Sec. 10, Rule 47].
Form and contents of petition
1. Verified petition, alleging therein: 3. Effects of Judgment of
a. With particularity the facts and the law Annulment
relied upon
b. Petitioner’s good and substantial cause Based on lack of jurisdiction
of action or defense A judgment of annulment shall set aside the
questioned judgment or final order or resolution

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and render the same null and void, without 2. By direct action, as certiorari, or by collateral
prejudice to the original action being refiled in attack in case of apparent nullity
the proper court [Sec. 7, Rule 47]. • The collateral attack must be against a
challenged judgment which is void upon
Based on extrinsic fraud its face as where it is patent that the court
The court may on motion order the trial court to which rendered said judgment has no
try the case as if a timely motion for new trial jurisdiction or that the nullity of the
had been granted therein [Sec. 7, Rule 47]. judgment is apparent from its own
recitals
Difference: When it is based on extrinsic 3. By a Petition for Relief under Rule 38
fraud, the original judgment was not tainted by • Must be taken in the same action or
jurisdictional defects but by the deception proceeding in which the judgment or
which then resulted in the prejudicial error [1 order was entered
Regalado 635-636, 2010 Ed.] [1 Regalado 454-456, 2010 Ed.]

Note: The judgment of annulment may include Void judgment

the award of damages, attorney’s fees, and 1. Considered as no judgment at all
other reliefs [Sec. 9, Rule 47]. 2. Cannot be the source of any right nor the
creator of any obligation
Effect on prescriptive period for refiling of 3. All acts performed pursuant to it and all
the original action claims emanating from it have no legal
When suspended - from the filing of said effect
original action until the finality of the judgment 4. Can never become final and any writ of
of annulment. execution based on it is void
[Polystyrene Manufacturing v. Privatization
When not suspended - where the extrinsic Management, G.R. No. 171336 (2007)]
fraud is attributable to the plaintiff in the original
action. Attacking a void judgment
[Sec. 8, Rule 47] 1. It may be assailed any time, and
2. It may be done collaterally or in a direct
C. Collateral Attack on action unless barred by laches
[Sps. Benatiro v. Heirs of Cuyos, G.R. No.
Judgments, When Proper 161220 (2008)]
Direct attack vs. Collateral attack
Remedies
If the period for appeal has not yet lapsed:
Direct attack - The object of an action is to
1. New Trial and Reconsideration [Rule 37],
annul or set aside such judgment, or enjoin its
2. Appeal [Rules 40-45],
enforcement
3. Petition for Relief [Rule 48], and
4. Other appropriate remedies such as
Collateral/Indirect attack - In an action to
certiorari
obtain a different relief, an attack on the
[1 Riano 60, 2011 Ed.]
judgment or proceeding is made as an incident
thereof [Hortizuela v. Tagufa, G.R. No. 205867
If the appropriate remedies are no longer
(2015)]
available without the fault of the petitioner, he
may avail of a petition for Annulment of
The validity of a judgment or order of the court,
Judgment (Rule 47) [Mandy Commodities Co.
which has become final and executory, may be
Inc. v. ICBC, G.R. No. 166734 (2009)].
attacked in three ways:
1. By a direct action or proceeding to annul the
Note: When all else fails, there is jurisprudence
same
to the effect that a patently void judgment may
• To annul and enjoin enforcement of the be dealt with by a Main Action for Injunction
judgment, where the alleged defect is not [Barrameda v. Moir, G.R. No. L-7927 (1913)].
apparent on its face or from the recitals
contained in the judgment; See Rule 47

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D. Rule 65 as a Remedy from 3. Findings of the Ombudsman on the
existence of probable cause [Duyon v. The
Judgment Former Special Fourth Division of the Court
of Appeals, G.R. No. 172218 (2014)];
Denial of Motion to Dismiss 4. Denial of petition for relief [1 Regalado 437,
The remedy of a petition for certiorari under 2010 Ed.];
Rule 65 is available only when the denial of the 5. Discretionary execution
motion to dismiss is tainted with grave abuse of
discretion. Generally, the proper remedy
against the denial of a motion to dismiss would
be going through the usual trial process, and
later, filing a timely appeal against an adverse
judgement [1 Riano 412, 2016 Bantam Ed.].

Denial of Motion to Dismiss

An order denying a MNT or MR is not
appealable. The remedy is an appeal from the
judgment or final order [Sec. 9, Rule 37].

Remedy Against Judgments and Orders

Which Are Not Appealable
In those instances where the judgment or final
order is not appealable, the aggrieved party
may file the appropriate special civil action
under Rule 65.

Under Sec. 1, Rule 41, the following are not

appealable:
1. An order denying a petition for relief or any
similar motion seeking relief from judgment;
2. An interlocutory order;
3. An order disallowing or dismissing an
appeal;
4. An order denying a motion to set aside a
judgment by consent, confession or
compromise on the ground of fraud, mistake
or duress, or any other ground vitiating
consent;
5. An order of execution;
6. A judgment or final order for or against one
or more of several parties or in separate
claims, counterclaims, cross-claims and
third-party complaints, while the main case
is pending, unless the court allows an
appeal therefrom; and
7. An order dismissing an action without
prejudice [Sec. 1, Rule 41]

Other Judgments, Final Orders, or

Resolutions Which May Be Brought to the
SC Under Rule 65
1. Judgment, final order, or resolution of the
COA;
2. Judgment, final order, or resolution of the
COMELEC [Sec. 2, Rule 64];

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III. APPEALS IN CIVIL Where taken

To the RTC exercising jurisdiction over the
PROCEDURE; MODES OF area to which the former pertains [Sec. 1, Rule
40]
APPEAL FROM
JUDGMENTS OR FINAL When taken
1. Within 15 days after notice to the appellant
ORDERS OF VARIOUS of the judgment or final order appealed
COURTS / TRIBUNALS from.
2. Where a record on appeal is required, the
appellant shall file a notice of appeal and a
A. Rule 40 – Appeal from MTCs record on appeal within 30 days after
to RTCs notice of the judgment or final order.
3. The period of appeal shall be interrupted by
a timely motion for new trial or
Procedure [Rule 40] reconsideration. No motion for extension of
File a notice of appeal with the court that rendered time to file a motion for new trial or
the judgment or final order appealed from [Sec. 3] reconsideration shall be allowed [Sec. 2,
Rule 40].
Within the period for taking an appeal, the appellant
shall pay to the clerk of the court which rendered the
judgment or final order appealed from the full Extension of period to appeal
amount of the appellate court docket and other Period to appeal may be extended but such
lawful fees [Sec. 5] extension is addressed to the sound discretion
↓ of the court [Socco v. Garcia, G.R. No. L-18231
(1962)].
Within 15 days from the perfection of the appeal,
the COC or the branch COC of the lower court
shall transmit the original record or the record on How taken
appeal, together with the transcripts and exhibits, By notice of appeal
which he shall certify as complete, to the proper 1. File a notice of appeal with the trial court
RTC. A copy of his letter of transmittal of the that rendered the judgment or final order
records to the appellate court shall be furnished the appealed from
parties [Sec. 6]
● indicating the parties to the appeal, the
↓ judgment or final order or part thereof
Upon receipt of the complete record or the record appealed from, and state the material
on appeal, the COC of the RTC shall notify the dates showing the timeliness of the
parties of such fact [Sec. 7(a)] appeal
↓ 2. Copies of the notice of appeal shall be
served on the adverse party [Sec. 3, Rule
Within 15 days from such notice, it shall be the duty
40]
of the appellant to submit a memorandum which
shall briefly discuss the errors imputed to the lower 3. Pay to the COC which rendered the
court, a copy of which shall be furnished by him to judgment or final order appealed from the
the adverse party. Failure of the appellant to file a full amount of the appellate court docket and
memorandum shall be a ground for dismissal of the other lawful fees [Sec. 5, Rule 40]
appeal [Sec. 7(b)]
↓ By record on appeal
Within 15 days from receipt of the appellant’s 1. File a notice of appeal [Sec. 2, Rule 41]
memorandum, the appellee may file his following the steps above.
memorandum [Sec. 7(c)] 2. The form and contents of the record on
↓
appeal shall be as provided in Sec. 6, Rule
41 (See appeals from judgments or final
Upon the filing of the memorandum of the appellee, orders of the RTC)
or the expiration of the period to do so, the case
shall be considered submitted for decision. The
3. Copies of the notice of appeal, and the
RTC shall decide the case on the basis of the record on appeal where required, shall be
entire record of the proceedings had in the court of served on the adverse party [Sec. 3, Rule
origin and such memoranda as are filed [Sec. 7(d)] 40].

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4. Pay to the COC which rendered the B. Rule 41 – Appeal from
judgment or final order appealed from the
full amount of the appellate court docket and RTCs
other lawful fees [Sec. 5, Rule 40].
RULE 41
Note: Record on appeal shall be required only Appeal from the RTC to the CA via Rule 41
in: presupposes that
1. Special proceedings 1. The RTC rendered the judgment or final
2. In such other cases of multiple or separate order in the civil action or special
appeals [Sec. 2, Rule 41] proceeding in the exercise of its original
jurisdiction; and
Perfection of appeal 2. That the appeal is taken to the CA on:
The perfection of the appeal and the effect a. Questions of fact or
thereof shall be governed by the provisions of b. Mixed questions of fact and law [1
Sec. 9, Rule 41 [Sec. 4, Rule 40]. Regalado 555, 2010 Ed.]

See appeals from judgments or final orders of NOTICE OF APPEAL

the RTC. Contents
1. Parties to the appeal,
Appeal from order dismissing a case 2. Judgment or final order or part thereof
without trial; lack of jurisdiction appealed from,
Two Scenarios 3. Court to which the appeal is being taken,
1. If an appeal is taken from an order of the and
lower court dismissing the case without a 4. Material dates showing the timeliness of the
trial on the merits appeal [Sec. 5, Rule 41]
a. The RTC may affirm or reverse it, as the
case may be RECORD ON APPEAL
b. In case of affirmance and the ground of General Rule: No record on appeal shall be
dismissal is lack of jurisdiction over the required.
subject matter, the RTC, if it has
jurisdiction thereover, shall try the case Exception: In special proceedings and other
on the merits as if the case was originally cases of multiple or separate appeals where
filed with it the law or the ROC so require.
c. In case of reversal, the case shall be ● In such cases, the record on appeal shall be
remanded for further proceedings filed and served in like manner [Sec. 2(a),
2. If the case was tried on the merits by the Rule 41].
lower court without jurisdiction over the
subject matter, the RTC on appeal shall not Contents of the record on appeal
dismiss the case if it has original jurisdiction 1. Full names of all the parties to the
thereof, but shall decide the case in proceedings shall be stated in the caption of
accordance with Sec. 7, Rule 40, without the record on appeal,
prejudice to the admission of amended 2. The judgment or final order from which the
pleadings and additional evidence in the appeal is taken and,
interest of justice [Sec. 8, Rule 40] 3. In chronological order, copies of only such
pleadings, petitions, motions and all
Applicability of Rule 41 interlocutory orders as are related to the
The other provisions of Rule 41 shall apply to appealed judgment or final order for the
appeals provided for herein insofar as they are proper understanding of the issue involved,
not inconsistent with or may serve to 4. Together with such data as will show that
supplement the provisions of Rule 40 [Sec. 9, the appeal was perfected on time [Sec. 6,
Rule 40]. Rule 41].

Note: The requirement that the record on

appeal must show on its face that the appeal
was perfected on time is mandatory and
jurisdictional that if not complied with, the
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appeal must be dismissed [1 Regalado 563, b. Submit the redrafted record for
2010 Ed.]. approval, upon notice to the appellee,
in like manner as the original draft [Sec.
Exception: If the trial court issued an order to 7, Rule 41].
the effect that the appeal was seasonably
perfected with the filing of the notice of appeal Joint record on appeal
and the record on appeal within the Where both parties are appellants, they may
reglementary period [Pimentel v. CA, G.R. file a joint record on appeal within 30 days from
Nos. L-39423 & L-39684 (1975)]. notice of judgment or final order, or that fixed
by the court [Secs. 3 and 8, Rule 41].
If an issue of fact is to be raised on appeal, the
record on appeal shall include by reference all Period to appeal
the evidence taken upon the issue involved. 1. Within 15 days from notice of judgment or
1. The reference shall specify the final order appealed from
a. Documentary evidence by the exhibit 2. Within 30 days from notice of judgment or
numbers or letters by which it was final order where a record on appeal is
identified when admitted or offered at the required
hearing, and 3. Within 48 hours from notice of judgment or
b. Testimonial evidence by the names of final order appealed from in habeas corpus
the corresponding witnesses cases [Sec. 3, Rule 41]
2. If the whole testimonial and documentary
evidence in the case is to be included, a Note: If a MNT/MR was properly filed but the
statement to that effect will be sufficient motion was ultimately dismissed, a fresh period
without mentioning the names of the of 15 days within which to file the notice of
witnesses or the numbers or letters of appeal in the RTC, counted from receipt of the
exhibits. order dismissing the motion is granted [Neypes
3. Every record on appeal exceeding 20 pages v. CA, G.R. No. 141524 (2005)].
must contain a subject index [Sec. 6, Rule
41]. Reckoning point of reglementary period
Period for filing the appeal should be counted
Approval of the record on appeal from the date when the party’s counsel
1. Upon the filing of the record on appeal for received a copy of the judgment or final order
approval and if no objection is filed by the because that is the effective service of the
appellee within 5 days from receipt of a copy decision. When a party is represented by
thereof, the trial court may: counsel, service of process must be made on
a. Approve it as presented or upon its own counsel, not on the party [Fajardo v. CA, G.R.
motion, or No. 140356 (2001); Sec. 2, Rule 13]
b. At the instance of the appellee, may
direct its amendment Note: The mere filing and pendency of motion
● by the inclusion of any omitted for extension to perfect appeal does not
matters which are deemed suspend the running of the reglementary
essential to the determination of period [King v. Corro, G.R. No. L-23617 (1967)]
the issue of law or fact involved in Extension of period to appeal
the appeal. The period to appeal may be extended but
2. If the trial court orders the amendment of the such extension is addressed to the sound
record, the appellant, within the time limited discretion of the court [Gregorio v. CA, G.R.
in the order, or such extension thereof as No. L-43511 (1976)].
may be granted, or if no time is fixed by the
order within 10 days from receipt thereof, Note: If the trial court approves the record on
shall: appeal even if the period for the appeal has
a. Redraft the record by including therein, expired, this is tantamount to a valid order
in their proper chronological sequence, granting the extension prayed for by the
such additional matters as the court appellant if any such motion has been filed
may have directed him to incorporate, [Berkenkotter v. CA, G.R. No. L-36629 (1973)].
and Conversely, dismissal constitutes a denial of
the extension prayed for, in which case the only
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question that can arise is whether the trial court Contents
had gravely abused its discretion in denying 1. Subject index
such extension [PVTA v. Delos Angeles, G.R. 2. Statement of Facts or Counter-Statement of
No. L-29736 (1974)]. Facts
3. Argument [Sec. 14, Rule 44]
Pleadings to be filed
1. Appellant’s brief Appellant’s reply brief
2. Appellee's brief Within 20 days from receipt of the appellee’s
3. Appellant’s reply brief brief, the appellant may file a reply brief
answering points in the appellee’s brief not
Appellant’s brief covered in his main brief [Sec. 9, Rule 44].
It shall be the duty of the appellant to file with
the court, within 45 days from receipt of the Extension of time for filing briefs:
notice of the clerk that all the evidence, oral and General Rule: Not allowed
documentary, are attached to the record, 7
copies of his legibly typewritten, Exception: Good and sufficient cause, and
mimeographed or printed brief, with proof of only if the motion for extension is filed before
service of 2 copies thereof upon the appellee the expiration of the time sought to be extended
[Sec. 7, Rule 44]. [Sec. 12, Rule 44]

Note: Under Sec. 5(b) of the Efficient Use of Payment of docket fees
Paper Rule [A.M. No. 11-9-4-SC], file one 1. Within the period for taking an appeal, the
original (properly marked) and 2 copies with appellant shall pay to the clerk of the court
their annexes with the CA. which rendered the judgment or final order
appealed from, the full amount of the
Grounds for dismissal with respect to appellate court docket and other lawful
appellant’s brief: fees.
1. Failure of the appellant to serve and file the 2. Proof of payment of said fees shall be
required number of copies of his brief within transmitted to the appellate court together
the time provided by the ROC, or with the original record or the record on
2. Absence of specific assignment of errors in appeal [Sec. 4, Rule 41].
the appellant’s brief [Sec. 1(e)-(f), Rule 50]
Note: Payment of docket fees in full is
Contents mandatory and is a condition sine qua non for
1. Subject index the perfection of an appeal. Subsequent
2. Assignment of errors payment of appellate docket fees does not cure
3. Statement of the Case the defect of the appeal because payment is a
4. Statement of Facts jurisdictional requirement [Santander v.
5. Statement of issues Villanueva, G.R. No. L-6184 (1958)].
6. Arguments
7. Relief Perfection of appeal
8. Copy of judgment or final order appealed 1. A party’s appeal by notice of appeal is
from [Sec. 13, Rule 44] deemed perfected as to him upon the filing
of the notice of appeal in due time.
Appellee’s brief 2. A party’s appeal by record on appeal is
Within 45 days from receipt of the appellant’s deemed perfected as to him with respect to
brief, the appellee shall file with the court 7 the subject matter thereof upon the
copies of his legibly typewritten, approval of the record on appeal filed in
mimeographed or printed brief, with proof of due time [Sec. 9, Rule 41].
service of 2 copies thereof upon the appellant
[Sec. 8, Rule 44]. Note: An appellant who fails to perfect his
appeal on time due to FAME may file for a
Note: Under Sec. 5(b) of the Efficient Use of petition for relief under Sec. 2, Rule 38. If his
Paper Rule [A.M. No. 11-9-4-SC], file one petition for relief is denied, he can file a petition
original (properly marked) and 2 copies with under Rule 65, since the denial of a petition for
their annexes with the CA. relief is no longer appealable under Sec. 1 of
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Rule 41 [De Luna v. Palacio, G.R. No. L-26927 exhibits or transcripts not included in the
(1969)]. records being transmitted to the appellate
court, the reasons for their non-transmittal,
Effect of perfected appeal and the steps taken or that could be taken
1. In appeals by notice of appeal, the court to have them available.
loses jurisdiction over the case upon the 3. The COC shall furnish the parties with
perfection of the appeals filed in due time copies of his letter of transmittal of the
and the expiration of the time to appeal of records to the appellate court [Sec. 10, Rule
the other parties. 41].
2. In appeals by record on appeal, the court
loses jurisdiction only over the subject Note: Even if the appeal has already been
matter thereof upon the approval of the perfected but the records have not yet been
records on appeal filed in due time and the transmitted to the appellate court, the trial court
expiration of the time to appeal of the other still has jurisdiction to set aside its order
parties [Sec. 9, Rule 41]. approving the record on appeal [Cabungcal v.
Fernandez, G.R. No. L-16520 (1964)].
Residual powers/jurisdiction of the RTC
In either case, prior to the transmittal of the Dismissal of appeal
original record or the record on appeal, the Prior to the transmittal of the original record or
court may the record on appeal to the appellate court, the
1. Issue orders for the protection and trial court may motu proprio or on motion
preservation of the rights of the parties dismiss the appeal for:
which do not involve any matter litigated by 1. Having been taken out of time, or
the appeal 2. Non-payment of the docket and other lawful
2. Approve compromises fees within the reglementary period [Sec.
3. Permit appeals of indigent litigants 13, Rule 41]
4. Order execution pending appeal in
accordance with Sec. 2 of Rule 39, and C. Rule 42 – Petition for
5. Allow withdrawal of the appeal [Sec. 9, Rule
41] Review from RTCs to CA

Note: There is no residual jurisdiction to speak RULE 42

of where no appeal or petition has even been Petition for review from the RTC to the CA
filed [Fernandez v. CA, G.R. No. 131094 Appeal via Rule 42 is proper when one appeals
(2005)]. from a decision of the RTC in the exercise of its
appellate jurisdiction. It may be taken on either
Duty of clerk upon perfection of appeal questions of fact, questions of law, or on mixed
1. Within 30 days after perfection of all the questions of fact and law [Macawiwili Gold
appeals in accordance with the preceding Mining and Development Co., Inc. v. CA, G.R.
section, it shall be the duty of the COC of No. 115104 (1998)].
the lower court:
a. To verify the correctness of the original This mode of appeal is not a matter of right but
record or the record on appeal and to is a matter of discretion on the part of the CA,
make a certification of its correctness; on whether or not to entertain the appeal [1
b. To verify the completeness of the Regalado 581, 2010 Ed.]
records that will be transmitted to the
appellate court; Note: Since Rule 42 is a petition for the
c. If found to be incomplete, to take such purpose of appeal and not petitions in original
measures as may be required to actions, lower courts/judges that rendered the
complete the records, availing of the judgment complained of are not impleaded as
authority that he or the court may parties in the appeal [1 Regalado 579, 2010
exercise for this purpose; and Ed.].
d. To transmit the records to the appellate
court How taken
2. If the efforts to complete the records fail, he If a party desires to appeal from a decision of
shall indicate in his letter of transmittal the the RTC in its appellate jurisdiction:
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1. File a verified petition for review with the CA both lower courts, certified correct by the
a. Within 15 days from notice of judgment COC of the RTC,
or final order, or 6. The requisite number of plain copies thereof
b. Within 15 days from notice of denial of and of the pleadings, and
petitioner’s MNT or MR 7. Other material portions of the record as
2. Pay at the same time to the clerk of the CA would support the allegations of the petition,
the corresponding docket and other lawful 8. Certification of non-forum shopping [Sec. 2,
fees, Rule 42]
3. Deposit PHP 500.00 for costs, and
4. Furnish the RTC and the adverse party with Effect of failure to comply
a copy of the petition [Sec. 1, Rule 42]. Failure to comply with any of the following
requirements shall be sufficient ground for
Period to appeal dismissal:
The petition shall be filed and served within 15 1. Payment of docket and other lawful fees
days from notice of the decision sought to be Note: In petitions for review under Rules
reviewed or of the denial of the petitioner's 42, 43, and 45, the docket fee is paid in the
MNT or MR filed in due time after judgment appellate courts
[Sec. 1, Rule 42]. 2. Deposit for costs
3. Proof of service of petition
Extension of period 4. Contents of the documents which should
Upon proper motion and the payment of the full accompany the petition [Sec. 3, Rule 42]
amount of the docket and other lawful fees and
the deposit for costs before the expiration of the Note: Failure to append the pleadings and
reglementary period, the CA may grant an material portions of the record does not justify
additional period of 15 days only within which the outright dismissal of the petition. There is
to file the petition for review. No further substantial compliance when the pleadings
extension shall be granted except for the most were attached to the MR [Mendoza v. David,
compelling reason and in no case to exceed 15 G.R. No. 147575 (2004)].
days [Sec. 1, Rule 42].
Perfection of appeal
Form and contents Appeal is deemed perfected as to petitioner
1. In 7 legible copies, with the original copy upon the
intended for the court being indicated as 1. Timely filing of the petition, and
such by the petitioner 2. Payment of the corresponding docket and
● Note: Under Sec. 5(b) of the Efficient lawful fees [Sec. 8(a), Rule 42]
Use of Paper Rule [A.M. No. 11-9-4-
SC], file one original (properly marked) Jurisdiction of the RTC
and 2 copies with their annexes with 1. The RTC loses jurisdiction over the case
the CA upon the perfection of the appeals filed in
2. Full names of the parties to the case, due time and the expiration of the time to
without impleading the lower courts or appeal of the other parties.
judges thereof either as petitioners or 2. However, before the CA gives due course to
respondents, the petition, the RTC may:
3. Specific material dates showing that it was a. Issue orders for the protection and
filed on time, preservation of the rights of the parties
4. A concise statement of the which do not involve any matter litigated
a. Matters involved, by the appeal, approve corn-promises
b. Issues raised, b. Permit appeals of indigent litigants
c. Specification of errors of fact or law, or c. Order execution pending appeal in
both, allegedly committed by the RTC, accordance with Sec, 2 of Rule 39, and
and d. Allow withdrawal of the appeal [Sec.
d. Reasons or arguments relied upon for 8(a), Rule 42].
the allowance of the appeal
5. Clearly legible duplicate originals or true Note: The Doctrine of Residual Jurisdiction of
copies of the judgments or final orders of the RTC, at item (2) above, applies as in cases
under Rule 42, except that the RTC must
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exercise this jurisdiction before the CA gives Due course
due course to the petition [Sec. 8(a), Rule 42]. 1. If upon the filing of the comment or such
In contrast, the RTC must exercise residual other pleadings as the court may allow or
jurisdiction in Rule 41 prior to transmittal of the require, or
original record or the record on appeal [Sec. 9, 2. After the expiration of the period for the
Rule 41]. filing thereof without such comment or
pleading having been submitted,
Effect of appeal the CA finds prima facie that the lower court
General Rule: The appeal shall stay the has committed an error of fact or law that will
judgment or final order. warrant a reversal or modification of the
appealed decision, it may accordingly give due
Exceptions: course to the petition [Sec. 6, Rule 42].
1. Civil cases decided under the Rule on
Summary Procedure, or Whenever the CA deems it necessary, it may
2. The CA, the law, or ROC provide otherwise order the COC of the RTC to elevate the
[Sec. 8(a), Rule 42] original record of the case including the oral
and documentary evidence within 15 days from
Action on petition notice [Sec. 7, Rule 42].
The CA may:
1. Require the respondent to file a comment Submission for decision
on the petition, not a motion to dismiss, 1. If the petition is given due course, the CA
within 10 days from notice; or may
2. Dismiss the petition if it finds a. set the case for oral argument or
a. The same to be patently without merit or b. require the parties to submit memoranda
prosecuted manifestly for delay, or within a period of 15 days from notice.
b. That the questions raised therein are too 2. The case shall be deemed submitted for
insubstantial to require consideration decision upon the filing of the last pleading
[Sec. 4, Rule 42] or memorandum required by these Rules or
by the court itself [Sec. 9, Rule 42].
Note: Under this Rule, appeal is discretionary
on the CA which may give its due course only D. Rule 43 – Appeals from
when the petition shows prima facie that the
lower court has committed error [1 Riano 600, CTA, CSC, and QJA
2011 Ed.]
1. Appeal from Judgments or Final
Contents of comment Orders of The Court of Tax
1. In 7 legible copies Appeals
● Note: Under Sec. 5(b) of the Efficient
Use of Paper Rule [A.M. No. 11-9-4- Mode of review
SC], file one original (properly marked) The CTA is no longer a quasi-judicial agency
and 2 copies with their annexes with under R.A. 9282, as of April 7, 2004. The CTA
the CA is no longer covered by Rule 43.
2. Certified true copies of such material
portions of the record referred to therein, A party adversely affected by a decision or
3. Together with other supporting papers, ruling of the CTA en banc may file with the SC
4. Whether or not he accepts the statement of a verified petition for review on certiorari under
matters involved in the petition, Rule 45 [Sec. 11, R.A. 9282 and A.M. No. 07-
5. Such insufficiencies or inaccuracies as he 7-12-SC].
believes exist in petitioner’s statement of
matters involved but without repetition, and 2. Review of Final Judgments or
6. The reasons why the petition should not be Final Orders of The Civil Service
given due course.
Commission
A copy thereof shall be served on the petitioner
[Sec. 5, Rule 42].
See Rule 43 on Review of QJAs below.

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3. Review of Final Judgments or decision. In observance of the doctrine of
Final Orders of The Ombudsman hierarchy of courts, this should be filed with the
CA [St. Martin Funeral Homes v. NLRC, G.R.
Unappealable decisions No. 130866 (1998)].
The following decisions are unappealable:
1. In administrative cases where respondent From the CA, the remedy of the aggrieved
is absolved of the charge party is a petition for review by certiorari to the
2. In case of conviction, where penalty SC [Dongon v. Rapid Movers and Forwarders,
imposed is public censure or reprimand, or G.R. No. 163431 (2013)].
suspension of not more than one month or
a fine equivalent to one month salary [Sec. E. Review of Final
7, Rule III, Admin Order No. 7] Judgments or Final Orders of
Jurisdiction of the CA Quasi-judicial Agencies
Appeals from decisions of the Office of the
Ombudsman in administrative disciplinary Scope
cases should be taken to the CA under the Appeals from awards, judgments, final orders,
provisions of Rule 43 [Fabian v. Desierto, G.R. or resolutions of or authorized by any quasi-
No. 129742 (1998)]. judicial agency (QJA) in the exercise of its
quasi-judicial functions [Sec. 1, Rule 43]
Note: The CA has jurisdiction over orders,
directives and decisions of the Office of the A quasi-judicial agency or body is an organ of
Ombudsman in administrative disciplinary government other than a court and other than
cases only. It cannot review the orders, a legislature, which affects the rights of private
directives or decisions of the Office of the parties though either adjudication or rule-
Ombudsman in criminal or non-administrative making [United Coconut Planters Bank v. E.
cases [Duyon v. The Former Special Fourth Ganzon, Inc., G.R. No. 168859 (2009)].
Division of the Court Of Appeals, G.R. No.
172218 (2014)]. Quasi-judicial agencies covered by Rule 43:
1. Civil Service Commission,
Jurisdiction of the SC 2. Securities and Exchange Commission,
Decisions of the Ombudsman in criminal cases 3. Office of the President,
are unappealable. However, where the findings 4. Land Registration Authority,
of the Ombudsman on the existence of 5. Social Security Commission,
probable cause (in criminal cases) are tainted 6. Civil Aeronautics Board,
with grave abuse of discretion amounting to 7. Bureau of Patents, Trademarks and
lack or excess of jurisdiction, the aggrieved Technology Transfer,
party may file before the SC a petition for 8. National Electrification Administration,
certiorari under Rule 65 [Duyon v. The Former 9. Energy Regulatory Board,
Special Fourth Division of the Court Of 10.National Telecommunications Commission,
Appeals, supra] 11.Department of Agrarian Reform under R.A.
6657,
4. Review of Final Judgments or 12.GSIS,
13.Employees Compensation Commission,
Final Orders of The National Labor 14.Agricultural Inventions Board,
Relations Commission 15.Insurance Commission,
16.Philippine Atomic Energy Commission,
Appeal from the NLRC 17.Board of Investment,
Appeal from quasi-judicial agencies under Rule 18.Construction Industry Arbitration
43 does not apply to judgments or final orders Commission, and
issued under the Labor Code [Sec. 2, Rule 43]. 19.Voluntary arbitrators authorized by law

The remedy of a party aggrieved by the Where to appeal

decision of the NLRC is to file a MR and, if Appeal may be taken to the CA on questions of
denied, file a special civil action for certiorari fact, of law, or mixed questions of fact and law.
under Rule 65 within 60 days from notice of the [Sec. 3, Rule 43]
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APPELLATE PRACTICE REMEDIAL LAW AND ETHICS
Period to appeal 3. Clearly legible duplicate original or a
Within 15 days from certified true copy of award, judgment, final
1. Notice of award, judgment, final order, or order, or resolution appealed from
resolution; or 4. Certified true copies of such material
2. Date of its last publication, if publication is portions of record referred to in the petition
required by law for its effectivity; or and other supporting papers
3. Denial of petitioner’s MNT or MR duly filed 5. Certificate of non-forum shopping
in accordance with the governing law of the 6. Statement of specific material dates
court or agency a quo showing timeliness of appeal [Sec. 6, Rule
[Sec. 4, Rule 43] 43]

Extension of period Effect of failure to comply

Upon proper motion and the payment of the full Failure to comply with the following is sufficient
amount of the docket fee before the expiration ground for the CA to dismiss the appeal:
of the reglementary period, the CA may grant 1. Payment of docket and lawful fees
an additional period of 15 days only within 2. Deposit for costs
which to file the petition for review. No further 3. Proof of service of petition
extension shall be granted except for the most 4. Contents of petition
compelling reason and in no case to exceed 15 5. Documents which should accompany the
days [Sec. 4, Rule 43]. petition [Sec. 7, Rule 43]

How taken Action on the petition

1. File a verified petition for review in 7 legible The CA may
copies with the CA. 1. Require the respondent to file a Comment
a. The original copy of the petition intended within 10 days from notice, or
for the CA shall be indicated as such by 2. Dismiss the petition if CA finds the same to
the petitioner. be
b. Under Sec. 5(b) of the Efficient Use of a. Patently without merit
Paper Rule [A.M. No. 11-9-4-SC], file b. Prosecuted manifestly for delay, or
one original (properly marked) and 2 c. Questions raised are too insubstantial to
copies with their annexes with the CA require consideration [Sec. 8, Rule 43]
2. Proof of service of a copy thereof on the
adverse party and on the court or agency a Contents of comment
quo. 1. Filed within 10 days from notice in 7 legible
3. Upon the filing of the petition, pay to the copies;
COC of the CA the docketing and other a. Under Sec. 5(b) of the Efficient Use of
lawful fees and deposit PHP 500.00 for Paper Rule [A.M. No. 11-9-4-SC], file
costs. one original (properly marked) and 2
a. Exemption from payment of docketing copies with their annexes with the CA
and other lawful fees and the deposit for 2. Accompanied by clearly legible certified true
costs may be granted by the CA upon a copies of such material portions of the
verified motion setting forth valid record referred to therein together with other
grounds therefor. supporting papers;
b. If the CA denies the motion, the 3. Point out insufficiencies or inaccuracies in
petitioner shall pay the docketing and petitioner’s statement of facts and issues;
other lawful fees and deposit for costs and
within 15 days from notice of the denial 4. State the reasons why the petition should be
[Sec. 5, Rule 43]. denied or dismissed.
A copy thereof shall be served on the
Contents of petition petitioner, and proof of such service shall be
1. Full names of parties to the case, without filed with the CA [Sec. 9, Rule 43].
impleading the court or agencies
2. Concise statement of facts and issues Due course
involved, and grounds relied upon for review The CA may give due course to the petition
1. If upon

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a. The filing of the comment or such other F. Rule 45 – Appeals by
pleadings or documents as may be
required or allowed by the CA or Certiorari to the Supreme Court
b. The expiration of the period for the filing
thereof, and RULE 45
2. On the basis of the petition or the records, Appeal by certiorari from the RTC to the SC
the CA finds prima facie that the court or via Rule 45
agency concerned has committed errors of RTC must have rendered judgment in the
fact or law that would warrant reversal or exercise of its original jurisdiction [1 Regalado
modification of the award, judgment, final 609, 2010 Ed.].
order or resolution sought to be reviewed
[Sec. 10, Rule 43]. If the RTC is in exercise of its appellate
jurisdiction, proper remedy is to appeal to the
The findings of fact of the court or agency CA via Rule 42 even if only questions of law are
concerned, when supported by substantial raised [1 Regalado 609, 2010 Ed.].
evidence, shall be binding on the CA [Sec. 10,
Rule 43]. Note: A question of law exists when there is a
doubt/controversy as to what the law is on a
Transmittal of records certain state of facts. There is a question of fact
Within 15 days from notice that the petition has when the doubt/ difference arises as to the
been given due course, the CA may require the truth/ falsehood of facts [Ramos v. Pepsi, G.R.
court or agency concerned to transmit the No. L-22533 (1967)]. If the test is whether the
original or a legible certified true copy of the appellate court can determine the issue
entire record of the proceeding under review. raised without reviewing or evaluating the
● The record to be transmitted may be evidence, it is a question of law. The question
abridged by agreement of all parties to the must not involve the examination of the
proceeding. probative value of the evidence presented
● The CA may require or permit subsequent [Vda. De Arroyo v. El Beaterio del Santissimo
correction of or addition to the record [Sec. Rosario de Molo, G.R. No. L-22005 (1968)].
11, Rule 43].
Grave abuse of discretion is not an allowable
Effect of appeal ground under Rule 45 [Martires v. CA, G.R.
General Rule: Appeal shall not stay the Nos. 78036-37 (1990)].
award, judgment, final order or resolution
sought to be reviewed. 1. Appeal from Judgments or Final
Orders of The Court of Appeals
Exception: The CA shall direct otherwise upon
such terms as it may deem just [Sec. 12, Rule Any alleged errors committed in the exercise of
43]. its jurisdiction will amount to nothing more than
errors of judgment which are reviewable by
Submission for decision timely appeal and not by special civil action of
If petition is given due course, the CA may certiorari [Chuidian v. Sandiganbayan (Fifth
a. Set the case for oral argument or Division), G.R. No. 139941 (2001)].
b. Require parties to submit memorandum
within 15 days from notice. As provided in Rule 45, decisions, final orders
or resolutions of the CA in any case, i.e.,
Upon filing of the last pleading or memorandum regardless of the nature of the action or
required by the ROC or the CA, case is proceedings involved, may be appealed to the
deemed submitted for decision [Sec. 13, Rule SC by filing a petition for review, which would
43]. be but a continuation of the appellate process
over the original case [Fortune Guarantee and
Insurance Corp. v. CA, G.R. No. 110701
(2002)].

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Certiorari as mode of appeal and as special the petitioner and
civil action respondents
Appeal by
Certiorari as SCA
certiorari
[Rule 65]
[Rule 45] MR is a condition
Writ of certiorari precedent [Villa Rey
issues for the Prior filing of a MR is Transit v. Bello, G.R.
correction of errors not required [Sec. 1] No. L-18957 (1963)],
Brings up for review, of jurisdiction only or subject to certain
errors of judgment grave abuse of exceptions
committed by the discretion amounting Higher court
court to lack or excess of Appellate court is in exercises original
jurisdiction [Silverio the exercise of its jurisdiction under its
v. CA, G.R. No. L- appellate jurisdiction power of control and
39861 (1986)] and power of review supervision over the
Petition raises the [Regalado 543-544, proceedings of lower
Based on questions issue as to whether 1977 Ed.] courts [Regalado
of law which the the lower court acted 543-544, 1977 Ed.]
appellant desires the without or in excess [2 Herrera 643-645, 2000 Ed.]
appellant court to of jurisdiction or with
resolve grave abuse of Procedure [Rule 45]
discretion File a verified petition for review on certiorari, which
May be directed may include an application for a writ of preliminary
against an injunction or other provisional remedies [Sec. 1]
interlocutory order of
Involves the review the court prior to Proof of service of a copy thereof on the lower court
of the judgment, appeal from the concerned and on the adverse party shall be
submitted together with the petition [Sec. 3]
award or final order judgment or where
on the merits there is no appeal or ↓
any other plain, Pay the corresponding docket and other lawful fees
speedy or adequate to the COC of the SC and deposit the amount of
remedy ₱500.00 for costs at the time of the filing of the
petition [Sec. 3]
May be filed not later ↓
than 60 days from
Must be made within SC may dismiss or deny the petition [Sec. 5], or
notice of the
the reglementary give due course to it [Sec. 8]
judgment, order or
period for appeal ↓
resolution sought to
be assailed If the petition is given due course, the SC may
require the elevation of the complete record of the
Unless a writ of case or specified parts thereof within 15 days from
preliminary notice [Sec. 8]
Stays the judgment, injunction or a TRO
award or order shall have been
appealed from issued, does not stay Propriety as a mode of appeal
the challenged A party desiring to appeal by certiorari from a
proceeding judgment or final order or resolution of the CA,
the Sandiganbayan, the RTC or other courts
The parties are the
Petitioner and whenever authorized by law, may file with the
aggrieved party
respondent are the SC a verified petition for review on certiorari
against the lower
original parties to the [Sec. 1, Rule 45].
court or quasi-
action, and the lower
judicial agency and
court or quasi- Only questions of law are allowed
the prevailing
judicial agency is not The petition shall raise only questions of law
parties, who thereby
to be impleaded [Sec. 1, Rule 45].
respectively become

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Whether an appeal involves only questions of 2. Inference made is manifestly mistaken,
law or both questions of law and fact is best left absurd or impossible [Luna v. Linatoc, G.R.
to the determination of an appellate court and No. L-48403 (1942)]
not by the court which rendered the decision 3. There is grave abuse of discretion in the
appealed from [PNB v. Romillo, et al., G.R. No. appreciation of facts [Buyco v. People, G.R.
70681 (1985)]. No. L-6327 (1954)]
4. Judgment is based on a misapprehension of
Questions of law Questions of fact facts [De la Cruz v. Sosing, G.R. No. L-4875
Doubt as to the truth (1953)]
or falsehood of facts, 5. The CA’s findings of fact are conflicting
Doubt as to what the [Casica v. Villaseca, G.R. No. L-9590
or as to probative
law is on certain facts (1957)]
value of the
evidence presented 6. The CA, in making its findings, went beyond
If the appellate court the issues of the case and the same is
can determine the The determination contrary to the admissions of both appellant
issue without involves evaluation and appellee [Nakpil & Sons v. CA, G.R. No.
reviewing or or review of L-47851 (1986)]
evaluating the evidence 7. The CA manifestly overlooked certain
evidence relevant facts not disputed by the parties
Query involves the and which, if properly considered, would
calibration of the justify a different conclusion [Abellana v.
whole evidence Dosdos, G.R. No. L-19498 (1965)]
considering mainly 8. The CA’s findings of fact are contrary to
the credibility of those of the trial court, or are mere
Can involve conclusions without citation of specific
witnesses,
questions of evidence, or where the facts set forth by the
existence, and
interpretation of law petitioner are not disputed by the
relevancy of specific
with respect to a respondent, or where the findings of fact of
surrounding
certain set of facts the CA are premised on absence of
circumstances and
relation to each evidence but are contradicted by the
other and the whole evidence of record [Manlapaz v. CA, G.R.
probabilities of the No. L-56589 (1987)]
situation
[1 Regalado 609, 2010 Ed., citing Bernardo v. Period of appeal
CA, G.R. No. 101680 (1992); Pilar Within 15 days from notice of the
Development Corp. v. IAC, G.R. No. 72283 1. Judgment or final order or resolution
(1986); Vda. de Arroyo v. El Beaterio del appealed from, or
Santissimo Rosario de Molo, G.R. No. L-22005 2. Denial of the petitioner’s MNT or MR filed in
(1968)] due time after notice of the judgment [Sec.
2, Rule 45].
Conclusiveness of findings of fact
General Rule: The SC is not a trier of facts, Note: The Neypes doctrine which gives a fresh
and is not to review or calibrate the evidence 15-day period to the appellant is also
on record. Moreover, findings of facts of trial applicable to Rule 45 petitions [Neypes v. CA,
court, as affirmed on appeal by the CA, are G.R. No. 141524 (2005)].
conclusive on the court [Boston Bank of the
Philippines v. Manalo, G.R. No. 158149 Extension of period
(2006)]. On motion duly filed and served, with full
payment of the docket and other lawful fees
Exceptions: and the deposit for costs before the
CA’s findings of fact may be reviewed by expiration of the reglementary period, the
the SC on appeal by certiorari when: SC may for justifiable reasons grant an
1. Conclusion is a finding grounded entirely on extension of 30 days only within which to file
speculations, surmises or conjectures the petition [Sec. 2, Rule 45].
[Joaquin v. Navarro, G.R. No. L-5426
(1953)]
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Form and contents of petition copies to the lower court and to the adverse
1. In 7 legible copies, with the original copy party shall result in the outright dismissal of the
intended for the court being indicated as appeal. This is because the service is for the
such by the petitioner; purpose of giving the lower court notice that its
a. Under Sec. 5(a) of the Efficient Use of judgment should not be entered since it is not
Paper Rule [A.M. No. 11-9-4-SC], file yet executory due to the pending petition [1
one original (properly marked) and four Regalado 615-616, 2010 Ed.].
copies, unless the case is referred to the
SC en banc, in which event, the parties Review is discretionary
shall file ten additional copies and A review is not a matter of right, but of sound
simultaneously soft copies of the same judicial discretion, and will be granted only
and their annexes (the latter in PDF when there are special and important reasons
format) either by email to the SC’s e-mail therefore.
address or by compact disc (CD) The following are examples that may be
2. Full names of the parties to the case, considered by the court:
without impleading the lower courts or 1. When the court a quo has decided a
judges thereof either as petitioners or question of substance, not theretofore
respondents; determined by the SC, or has decided it in a
3. Specific material dates showing that it was way probably not in accord with law or with
filed on time; the applicable decisions of the SC, or
4. A concise statement of the 2. When the court a quo has so far departed
a. Matters involved from the accepted and usual course of
b. Issues raised judicial proceedings, or so far sanctioned
c. Specification of errors of fact or law, or such departure by a lower court, as to call
both, allegedly committed by the RTC, for an exercise of the power of supervision
and [Sec. 6, Rule 45]
d. Reasons or arguments relied upon for
the allowance of the appeal Elevation of records
5. Clearly legible duplicate originals or true If the petition is given due course, the SC may
copies of the judgments or final orders of require the elevation of the complete record of
both lower courts, certified correct by the the case or specified parts thereof within 15
COC of the RTC; days from notice [Sec. 8, Rule 45].
6. Requisite number of plain copies thereof
and of the pleadings and other material 2. Appeal from Judgments or Final
portions of the record as would support the Orders of The Sandiganbayan
allegations of the petition;
7. Certificate of non-forum shopping [Sec. 2,
Mode of review
Rule 45] Decisions and final orders of the
Sandiganbayan shall be appealable to the SC
Grounds for denial of petition by petition for review on certiorari raising pure
The SC may dismiss the petition on motion or questions of law in accordance with Rule 45 of
motu proprio upon showing: the ROC [Sec. 7, P.D. 1606, as amended; Sec.
a. Failure of petitioner to comply with 1, Rule 45].
1. Payment of docket or other lawful fees;
2. Deposit for costs.
3. Proof of Service; and
3. Appeal from Judgments or Final
4. Contents of and documents which would Orders of The Court of Tax
accompany the petition Appeals
b. Appeal is without merit
c. It is prosecuted manifestly for delay Mode of review
d. That the questions raised are so The CTA is no longer a quasi-judicial agency
unsubstantial as to require consideration under R.A. 9282, as of April 7, 2004. The CTA
[Sec. 5, Rule 45] is no longer covered by Rule 43.

Note: Although the lower court is not a party to A party adversely affected by a decision or
the case, failure to present proof of service of ruling of the CTA en banc may file with the SC
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a verified petition for review on certiorari under 2. Review of Final Judgments or
Rule 45 [Sec. 11, R.A. 9282 and A.M. No. 07- Final Orders of The Commission
7-12-SC]. on Elections
G. Rule 64 – Review of Mode of review
judgments or final orders of the A judgment or final order or resolution of the
Commission on Elections (COMELEC) may be
COA and COMELEC brought by the aggrieved party to the SC on
certiorari under Rule 65, except as hereinafter
1. Review of Final Judgments or provided [Sec. 2, Rule 64]
Final Orders of The Commission
on Audit Unless otherwise provided by law, or by any
specific provisions in the COMELEC Rules of
Mode of review Procedure, any decision, order or ruling of the
A judgment or final order or resolution of the Commission may be brought to the SC on
Commission on Audit (COA) may be brought certiorari by the aggrieved party within 30 days
by the aggrieved party to the SC on certiorari from its promulgation [Sec. 1, Rule 37,
under Rule 65, except as hereinafter provided COMELEC Rules of Procedure].
[Sec. 2, Rule 64].
a. Dismissal, reinstatement, and
Filing of the petition withdrawal of appeal
1. The petition shall be filed within 30 days
from notice of the judgment or final order or Grounds for dismissal of appeal
resolution sought to be reviewed. 1. Failure of the record on appeal to show on
2. The filing of a MNT or MR of said judgment its face that the appeal was taken within the
or final order or resolution, if allowed under period fixed by the ROC;
the procedural rules of the Commission 2. Failure to file the notice of appeal or the
concerned, shall interrupt the period herein record on appeal within the period
fixed. prescribed by the ROC;
3. If the motion is denied, the aggrieved party 3. Failure of the appellant to pay the docket
may file the petition within the remaining and other lawful fees as provided in Sec. 4,
period, but which shall not be less than 5 Rule 41;
days in any event, reckoned from notice of 4. Unauthorized alterations, omissions or
denial [Sec. 3, Rule 45]. additions in the approved record on appeal
as provided in Sec. 4 of Rule 44;
Effect of filing 5. Failure of the appellant to serve and file the
The filing of a petition for certiorari shall not required number of copies of his brief or
stay the execution of the judgment or final order memorandum within the time provided by
or resolution sought to be reviewed, unless the the ROC;
SC shall direct otherwise upon such terms as it 6. Absence of specific assignment of errors in
may deem just [Sec. 8, Rule 64]. the appellant’s brief, or of page references
to the record as required in Sec. 13(a), (c),
When the decision, order or resolution (d) and (f) of
adversely affects the interest of any 7. Rule 44;
government agency, the appeal may be taken 8. Failure of the appellant to take the
by the proper head of that agency [Sec. 1, Rule necessary steps for the correction or
XII, 2009 Revised Rules of Procedure of the completion of the record within the time
Commission on Audit]. limited by the court in its order;
9. Failure of the appellant to appear at the
preliminary conference under Rule 48 or to
comply with orders, circulars, or directives
of the court without justifiable cause; and
10.The fact that order or judgment appealed
from is not appealable [Sec. 1, Rule 50];

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11. Appeal under Rule 41 taken from the RTC
to the CA raising only questions of law;
12. Appeal by notice of appeal instead of by
petition for review from the appellate
judgment of a RTC [Sec. 2, Rule 50]

Other grounds
1. By agreement of the parties (i.e., amicable
settlement)
2. Where appealed case has become moot or
academic
3. Where appeal is frivolous or dilatory [1
Regalado 644-645, 2010 Ed.]

Withdrawal of appeal
1. An appeal may be with-drawn as a matter
of right at any time before the filing of the
appellee’s brief.
2. Thereafter, the withdrawal may be allowed
in the discretion of the court [Sec. 3, Rule
50].

Dismissal by the SC
The appeal may be dismissed motu proprio or
on motion of the respondent on the following
grounds:
1. Failure to take the appeal within the
reglementary period
2. Lack of merit in the petition
3. Failure to pay the requisite docket fee and
other lawful fees or to make a deposit for
costs
4. Failure to comply with the requirements
regarding proof of service and contents of
and the documents which should
accompany the petition
5. Failure to comply with any circular, directive
or order of the SC without justifiable cause
6. Error in the choice or mode of appeal, and
7. The fact that the case is not appealable to
the SC [Sec. 5, Rule 56]

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Comparative table on the modes of appeal

When Proper
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
ORDINARY APPEAL
Matter of Right; Filed with the court PETITIONS FOR REVIEW
of origin Discretionary; No records are elevated unless the court decrees it
All records are elevated from court of Filed with the appellate court
origin
Appeal from
Appeal from a a decision of Appeals to the SC from a
judgment or final the RTC in judgment or final order or
order of a the exercise resolution of the CA,
Appeals from
MTC/MeTC/MCTC of its original Sandiganbayan, RTC or
awards, judgments,
jurisdiction Appeal from a such other courts as may
final orders or
decision of the be authorized by law
resolution of or
RTC rendered in
authorized by any Decisions, final orders, or
the exercise of its
quasi-judicial resolutions of the CA in
appellate
Rule 41 provisions shall apply to agency in the any case, regardless of
jurisdiction
Rule 40 if not consistent with Rule 40 exercise of its quasi- the nature of the action or
provisions judicial functions proceedings involved,
may be appealed to the
SC by filing a petition for
review
Where to File
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
Filed with the
Filed with the MTC RTC Filed with the CA Filed with the CA Filed with the SC
Appeal to the RTC Appeal to the Appeal to the CA Appeal to the CA Appeal to the SC
CA
Questions of Questions of fact, Questions of fact,
Questions of fact or
fact or mixed questions of law, questions of law, or
mixed questions of Only questions of law
questions of or mixed mixed questions of
fact and law
fact and law questions of both fact and law
Time for Filing
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
Within 15 days from:
1. Notice of award,
judgment, final Within 15 days from:
BY NOTICE OF APPEAL
Within 15 days order, or 1. Notice of judgment,
Within 15 days after notice of
from notice of resolution; final order, or
judgment or final order
decision, or 2. Date of resolution appealed
Within 15 days publication, if from; or
BY RECORD ON APPEAL
from notice of publication is 2. Notice of denial of
Within 30 days from notice of
denial of required by law MNT or
judgment or final order by filing a
petitioner’s MNT for its effectivity; reconsideration filed
notice of appeal and a record on
or reconsideration or in due time after
appeal
3. Denial of notice of judgment
petitioner’s MNT
or MR

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IV. APPEALS IN CRIMINAL Decided by Appeal to Mode Period to

File
CASES: MODES OF Appeal
APPEAL FROM MTC/MeTC/MC RTC (1) Filing Within 15
JUDGMENTS OR FINAL TC [Sec. 3(a),
Rule 122]
of
notice
days from
(a)
ORDERS OF VARIOUS of promulgatio
RTC (original Court of appeal n of the
COURTS/TRIBUNALS jurisdiction) Appeals with the judgment,
[Sec. 3(a), court or (b) from
A. Effect of an Appeal Rule 122] which notice of
rendere the final
An appeal in a criminal proceeding throws the d the order
whole case open for review and it becomes the order appealed
duty of the appellate court to correct an error appeale from.
d from,
as may be found in the appealed judgment
and The period
WON it is made the subject of assignment of (2) to appeal
errors [People v. Calayca, G.R. No. 121212 serving shall be
(1999)]. a copy suspended
thereof from the
to the time a MNT
B. Where to Appeal adverse or MR is
party filed until
notice of
For cases Appeal to
RTC (appellate Court of Petition the order
decided by
jurisdiction) Appeals for overruling
[Sec. 3(b), review the motion
MTC/MeTC/MC Regional Trial Court
Rule 122] (Rule has been
TC [Sec. 2(a), Rule 122]
42) served
RTC Court of Appeals or Supreme Court upon the
(in proper cases provided by law) RTC (where Court of (1) Filing accused or
[Sec. 2(a), Rule 122] penalty imposed Appeals of his counsel.
is [Sec. 3(c), notice
RTC or Sandiganbayan (a) reclusion Rule 122] of [Sec. 6,
MTC/MeTC/ [Sec. 4 (c), P.D. 1606 as amended by perpetua, (b) life appeal Rule 122]
MCTC (if it is R.A. 8249] imprisonment, or with the
government (c) where a court
duty-related, i.e., lesser penalty is which
filed under E.O. imposed but for rendere
1, 2, 4 and 14-A) offenses d the
committed on the order
Court of Supreme Court same occasion appeale
Appeals [Sec. 2(a), Rule 122] or which arose d from,
out of the same and
occurrence that (2)
C. How Appeal Taken gave rise to the serving
more serious a copy
offense thereof
The right to appeal is not a natural right nor a to the
part of due process but merely a statutory adverse
privilege and may be exercised only in the party
manner and in accordance with the provisions
RTC (where Court of Automa Automatic
of the law [Estarija v. People, G.R. No. 173990 penalty imposed Appeals tic Review;
(2009)]. is death penalty) [Sec. 3(d), Review hence, no
Rule 122] as period to
Note: R.A. 9346 provided file appeal
now prohibits the in Sec.
imposition of the 10, Rule
death penalty 122

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Decided by Appeal to Mode Period to 1. Procedure in the Lower Courts

File (MeTC/MTC/MCTC and RTC)
Appeal

Court of Supreme Petition Within 15 General Rule: The procedure to be observed

Appeals (where Court for days from in the MeTC/MTC/MCTC shall be the same as
penalty is not the [Sec. 3(e), review notice of that in the RTC.
Death Penalty, Rule 122] on judgment/fi
reclusion Certiora nal Exceptions:
perpetua, or life ri [Rule order/denia a. Where a particular provision applies only
imprisonment) 45] l of motion
for new trial to either of said courts;
Note: or motion b. Criminal cases governed by the Revised
Should for Rules on Summary Procedure [Sec. 1,
only reconsidera Rule 123]
raise tion.
question
s of law An 2. Procedure in the Court of Appeals
and extension
should of 30 days a. Parties and Title
raise the may be
errors of granted, In all criminal cases appealed to the CA, the
the CA subject to
(not the the court’s
party appealing shall be called the “appellant”
RTC’s) discretion and the adverse party the “appellee” but the
[Batistis [Sec. 2, title of the case shall remain as it was in the
v. Rule 45]. court of origin (i.e., People v. John Doe) [Sec.
People, 1, Rule 124].
G.R. No.
181571
(2009)] b. Briefs

Court of Supreme Filing of Automatic Brief for the appellant

Appeals (where Court Notice review
penalty is the [Sec. 13(c), of Within thirty (30) days from receipt by the appellant
Death Penalty, Rule 122] Appeal or his counsel of the notice from the clerk of court of
reclusion with the the Court of Appeals that the evidence, oral and
perpetua, or life Court of documentary, is already attached to the record, the
imprisonment Appeals appellant shall file seven (7) copies of his brief with
the clerk of court which shall be accompanied by
All other Petition
proof of service of two (2) copies thereof upon the
appeals to for appellee [Sec. 3, Rule 124]
the SC review
on ↓
certiorar
Brief for the appellee
i [Rule
Within thirty (30) days from receipt of the brief of
45
the appellant, the appellee shall file seven (7)
copies of the brief of the appellee with the clerk of
Who May Appeal court which shall be accompanied by proof of
service of two (2) copies thereof upon the appellant
General Rule: Any party may appeal from a [Sec. 4, Rule 124]
judgment or final order [Sec. 1, Rule 122]
↓
Exceptions: Reply to appellee’s brief
a. A party may not appeal if the accused will Within twenty (20) days from receipt of the Brief of
be placed in double jeopardy by such the appellee, the appellant may file a reply brief
traversing matters raised in the former but not
action [Sec. 1, Rule 122];
covered in the brief of the appellant [Sec. 4, Rule
b. If the judgment is for conviction and the 124]
accused fails to appear during
promulgation without justifiable cause, With the use of the word “may”, filing a reply is
he would lose the remedy to appeal [Sec. optional.
6, Rule 120]

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Extension of time for filing briefs ● Likewise, when accused flees after the case
● General Rule: Extension of time for the has been submitted for decision, he is
filing of briefs is not allowed. deemed to have waived his right to appeal
● Exception: Extension may be granted for [People v. Ang Gioc, G.R. No. 48547
good and sufficient cause and only if the (1941)]
motion for extension is filed before the ● However, the appeal will not be dismissed
expiration of the time sought to be extended despite escape
[Sec. 5, Rule 124]. The court may grant as 1. In one exceptional case, the appellant
many extensions as may be asked took advantage of a mass jailbreak
[Gregorio v. CA, G.R. No. L-43511 (1976)]. (because, according to his counsel de
oficio he was innocent and wanted to
3. Dismissal of Appeal for elude an unjust punishment) but was
Abandonment or Failure to recaptured two hours after, the SC ruled
Prosecute; Grounds that these circumstances were not
sufficient to justify dismissal of the
appeal which, upon the conclusion
a. Appellant fails to file his brief within arrived at by the Court on the merits,
the prescribed time would entail a clear miscarriage of justice
[People v. Valencia, G.R. No. L-1369
● The CA may, upon motion of the appellee or (1949)]
motu proprio and with notice to the appellant 2. In case of automatic review [People v.
in either case, dismiss the appeal if the Cornelio, G.R. No. L-1289 (1971)]
appellant fails to file his brief with the time
prescribed, except where the appellant is c. Prompt Disposition of Appeal
represented by a counsel de officio [Sec. 8,
Rule 124] Appeals of accused who are under detention
● If failure to file brief on time is the ground, shall be given precedence in their disposition
appellant must be given notice to give him over other appeals. The Court of Appeals shall
opportunity to reason out why his appeal hear and decide the appeal at the earliest
should not be dismissed [Baradi v. People, practicable time with due regard to the rights of
G.R. No. L-2658 (1948)]. the parties. The accused need not be present
● However, dismissal is proper despite lack of in court during the hearing of the appeal [Sec.
notice: 9, Rule 124].
1. If appellant has filed a MFR or motion to
set aside the order dismissing the
d. Reversal or Modification of
appeal, in which he stated the reason
why he failed to file his brief on time and
Judgment on Appeal
the appellate court denied the motion
after considering reason [Baradi v. General Rule: No judgment shall be reversed
People, supra] or modified.
2. If the appeal was dismissed without
notice but appellant took no steps to Exception: When the CA, after an examination
have the appeal reinstated. Such action of the record and of the parties’ evidence, is of
amounts to abandonment [Salvador v. the opinion that error was committed and such
Reyes, G.R. No. L-2606 (1949)] error injuriously affected the appellant’s
substantial rights [Sec. 10, Rule 124]
b. Appellant escapes, jumps bail, or
When it involves credibility of witnesses,
flees appellate courts will not generally disturb the
TC’s findings [People v. Cabiling, G.R. No. L-
● The CA may also, upon motion of the 38091 (1976)]
appellee or motu proprio, dismiss the
appeal if the appellant escapes from Ratio: The TC is in a better position to decide
prison/confinement, jumps bail or flees to a the question, having seen and heard the
foreign country during the pendency of the witnesses themselves [People v. Cabiling,
appeal [Sec. 8, Rule 124] supra].

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g. Post-CA Judgment
Motion For New Trial

RTC [Rule 121] CA [Rule 124] Certification or appeal of cases to the SC

Whenever the CA finds that the penalty of
Grounds death, reclusion perpetua, or life imprisonment
should be imposed in a case, the court, after
a. Errors of law or a. Newly-discovered discussion of the evidence and the law
irregularities prejudicial evidence material
to the substantial rights to his defense
involved, shall render judgment imposing the
of the accused have penalty of death, reclusion perpetua, or life
been committed during imprisonment as the circumstances warrant.
the trial; However, it shall refrain from entering the
b. New and material judgment and forthwith certify the case and
evidence has been elevate the entire record thereof to the
discovered
Supreme Court for review [Sec. 13, Rule 124].
When Filed
Judgment transmitted and filed in the TC
Filed after judgment, but Filed after appeal from When the CA’s entry of judgment is issued, a
before finality of conviction lower court is perfected certified true copy of the judgment shall be
but before judgment
attached to the original record. These shall be
Case remanded? remanded to the clerk of the court from which
the appeal was taken [Sec. 17, Rule 124].
No. Cannot remand to CA can either conduct
lower court in its exercise the evidentiary hearing Motion for New Trial during the pendency of
of appellate jurisdiction by itself, or it will appeal
remand the case to the
court of origin
1. Appellant may file MNT on the ground of
newly discovered evidence material to his
e. Scope of the CA’s Judgment defense any time:
a. After the appeal from the lower court has
The CA may: been perfected; but
1. Reverse/affirm/modify the judgment; b. Before the CA judgment convicting him
2. Increase/reduce the penalty imposed by the becomes final;
TC; 2. The motion shall conform to Sec. 4, Rule
3. Remand the case to the RTC for new trial or 121 [Sec. 14, Rule 124];
retrial; 3. If the CA grants a MNT, it may either:
4. Dismiss the case [Sec. 11, Rule 124] a. Conduct the hearing and receive
evidence;
f. CA’s Power to Receive Evidence b. Refer the trial to the court of origin [Sec.
15, Rule 124]
The CA has power to try cases and conduct
hearings, receive evidence and perform any Reconsideration of CA judgment
and all acts necessary to resolve factual issues MFR may be filed within 15 days from notice of
in cases: the CA judgment or final order, with copies
1. Falling within its original jurisdiction; served on the adverse party, setting forth the
2. Involving claims for damages arising from grounds in support thereof. The mittimus shall
provisional remedies; be stayed during the MFR’s pendency [Sec.
3. Where the court grants a new trial based 16, Rule 124].
only on the ground of newly-discovered
evidence [Sec. 12, Rule 124] Note: This is not available to the State in case
the CA reverses the conviction of the accused
CA’s trials and hearings must be continuous since double jeopardy shall have attached
and completed within three months, unless [Villareal v. Aliga, G.R. No. 166995 (2014)].
extended by the Chief Justice [Sec. 9, BP 129
as amended by R.A. 7902]. General Rule: No party shall be allowed a
second MFR of a judgment or final order [Sec.
16, Rule 124; Sec. 11, BP 129].

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Exception: Where the first MFR resulted in a
reversal or substantial modification of the
original decision or final resolution. In this case,
the party adversely affected by the
reversal/modification may himself file a MFR of
the latest judgment of the court, because with
respect to him, said motion is a first pleading of
that nature.

Automatic review Ordinary appeal Petition for Review on Certiorari

Automatic review is not a matter of It is available when: It is available when

right on the part of the accused, but a. In cases where the CA imposes a. The constitutionality or validity of
a matter of law. reclusion perpetua, life any treaty, executive agreement,
imprisonment or a lesser penalty, law, ordinance or executive order
It is available when the RTC it shall render and enter judgment or regulation is in question [Sec.
decision is appealed to CA and the imposing such penalty. The 5(2)(a), Art. VIII, 1987
latter is of the opinion that the judgment may be appealed to the Constitution]
penalty imposed should be death. SC by notice of appeal with the b. When validity of law is
CA judgment is imposed but no CA [Sec. 13 (c), Rule 124]. questioned by an accused
entry of judgment is made; instead, b. The penalty of reclusion perpetua convicted under it by the TC, the
the case is certified and the entire or death is imposed on some of the SC cannot review the evidence
record is elevated to the SC for defendants and a lesser penalty or pass upon any other question
review [Sec. 13(a), Rule 124] on the other co-defendants, on of law which may appear on the
account of their varying degree of record, but will only confine itself
participation in the commission of to the question of the in/validity of
the offense or due to the presence that law [Trinidad v. Sweeney,
of modifying circumstances, in G.R. No. 2487 (1905)]
which case the decision on the c. When the jurisdiction of any
non-life convicts is directly inferior court is in issue
appealable to the SC [People v. d. When only an error or question of
Carino, G.R. No. 146426 (2002)]. law is involved [Sec. 6(a), Rule
45]

Note: Again, this is not available to the State if the first MFR resulted in setting aside of judgment of
conviction [Villareal v. Aliga, G.R. No. 166995 (2014)].

Applicable Civil Procedure Rules What the SC may do on review

Provisions of Rules 42, 44-46 and 48-56 In a criminal case, an appeal to the SC throws
relating to procedure in the CA and the SC in open the whole case for review and it becomes
original and appealed civil cases, shall be its duty to correct such errors as may be found
applied to criminal cases insofar as they are in the judgment appealed from, whether or not
applicable and not inconsistent with the they were assigned as errors [People v.
provision of this Rule [Sec. 18, Rule 124]. Olfindo, G.R. No. L-22679 (1924)].

h. Procedure in the Supreme Court It may examine the judgment as to the

qualification of the crime and the degree of the
Uniform Procedure penalty imposed [Macali v. Revilla, G.R. No. L-
General Rule: The procedure in the SC in 25308 (1926)].
original and in appealed cases shall be the
same as in the CA. It may also assess and award civil indemnity
[Quemuel v. CA, G.R. No. L-22794 (1946)].
Exception: The Constitution or law otherwise
provides [Sec. 1, Rule 125]

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Modes by Which a Case May Reach the the corresponding information in court but the
Supreme Court appellant and the trial prosecutor shall see to it
Effect of Erroneous Mode of Appeal that, pending resolution of the appeal, the
In the case of People v. Resuello [G.R. No. L- proceedings in court are held in abeyance
30165 (1969)], the contention of the adverse [Sec. 9, NPS Rule on Appeal].
party that the ordinary appeal filed by appellant
be dismissed because the proper remedy is In case the information has already been filed
petition for review on certiorari (only questions in court, a copy of the motion to defer
of law were involved) was rejected. The SC proceedings filed in court must also
said that in cases similarly situated, and as long accompany the petition.
as the steps formally required for the perfection
of an appeal were taken in due time, appeal If the accused had already been arraigned, the
may be given due course, without prejudice to petition for review shall not be given due course
requiring the appellant to file the necessary by the Secretary of Justice [Sec. 7, NPS Rule
petition for review on certiorari which is also a on Appeal].
form of appeal.
While the pendency of a petition for review with
Decision if Opinion is Equally Divided the Secretary of Justice is a ground for
When the Supreme Court en banc is equally suspension of the arraignment, the deferment
divided in opinion or the necessary majority of the arraignment is limited to a period of 60
cannot be had on whether to acquit the days as provided in Rule 116. After the
appellant, the case shall again be deliberated expiration of said period, the trial court is bound
upon and if no decision is reached after re- to arraign the accused or to deny the motion to
deliberation, the judgment of conviction of the defer arraignment [Samson v. Judge Daway,
lower court shall be reversed and the accused G.R. Nos. 160054-55 (2004)].
acquitted [Sec. 3, Rule 125].
Such deferment or suspension does not signify
i. Appeals from the Office of the that the trial court is ipso facto bound by the
Ombudsman resolution of the Secretary of Justice.
Jurisdiction, once acquired by the trial court, is
An aggrieved party is not without recourse not lost despite a resolution by the Secretary of
where the finding of the Ombudsman as to the Justice to withdraw information or to dismiss
existence of probable cause is tainted with the case [Ledesma v. Court of Appeals, G.R.
grave abuse of discretion amounting to lack or No. 113216 (1997)].
excess of jurisdiction. An aggrieved party may
file a petition for certiorari under Rule 65 of the k. Appeals from the Sandiganbayan
Rules of Civil Procedure before the Supreme
Court [Yatco v. Office of the Deputy Decisions and final orders of the
Ombudsman for Luzon, G.R. No. 244775 Sandiganbayan shall be appealable to the
(2020)]. Supreme Court by petition for review on
certiorari raising pure questions of law in
j. Appeals from the Resolutions of the accordance with Rule 45 of the Rules of Court
Office of the City Prosecutor [Sec. 7, P.D. 1606 as amended by Sec. 3, R.A.
7975].
Appeals from resolutions of the Chief State
Prosecutor, Regional State Prosecutors and l. Effect of Appeal by Any of Several
Provincial City Prosecutors in cases subject of Accused
preliminary investigation or reinvestigation may
be brought to the Secretary of Justice within 15 General Rule:
days from receipt of the resolution, or of the a. An appeal taken by one or more of several
denial of the motion for accused shall not affect those who did not
reconsideration/reinvestigation [DOJ Circular appeal.
70 of 2000 or the NPS Rule on Appeal]. b. The appeal of the offended part from the
Unless the Secretary of Justice directs civil aspect shall not affect the criminal
otherwise, the appeal shall not hold the filing of aspect of the judgment or order appealed
from.
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c. Upon perfection of the appeal, the execution
of the judgment or final order appealed from
shall be stayed as to the appealing party
[Sec. 11, Rule 122].

Effect of appeal by any of several accused

An appeal taken by one or more of several
accused shall not affect those who did not
appeal, except, insofar as the judgment of the
appellate court is favorable and applicable to
the latter [People v. Valdez, G.R. No. 175602
(2013)].

m. Grounds for Dismissal of Appeal

When appeal by the people will not lie

The People/State cannot appeal when it will
put the accused in double jeopardy. The
constitutional mandate against double
jeopardy prohibits not only a subsequent
prosecution in a new and independent cause
but extends also to appeal in the same case by
the prosecution after jeopardy had attached
[Republic v. CA, G.R. No. L- 41115 (1982)].

Rationale
A verdict of that nature is immediately final and
to try on the merits, even in an appellate court,
places the accused in double jeopardy [Central
Bank v. CA, G.R. No. 41859 (1989)].

Dismissal of case upon filing of demurrer by the

accused was held to be final even though
based on erroneous interpretation of the law.
Hence, an appeal therefrom by the prosecution
would constitute double jeopardy [People v.
Sandiganbayan, G.R. No. 174504 (2011),
citing People v. Nieto, 103 Phil. 1133].
Where the TC has jurisdiction but mistakenly
dismisses the complaint/information on the
ground of lack of it, the order of dismissal is
unappealable [People v. Duran, G.R. No. L-
13334 (1960)].

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V. PROCEDURE IN TAX Clerk of court of CA dockets the case and

notifies the parties thereof
CASES When:
See Tax Remedies 1. Upon receipt of the original record or record
on appeal and accompanying documents
and exhibits transmitted by the lower court;
VI. PROCEDURE IN THE 2. Proof of payment of the docket and other
COURT OF APPEALS lawful fees

A. Rule 44 – Ordinary appealed In appeals by record on appeal

Within 10 days from receipt of notice from the
cases clerk of court who docketed the case, the
appellant shall file with the clerk of court seven
Rule 44 involves the procedure in the CA for (7) clearly legible copies of the approved
Ordinary Appeals record on appeal, together with the proof of
i.e., appeals from the RTC to the CA for service of two (2) copies thereof upon the
judgments rendered by the RTC in the exercise appellee. Any unauthorized alteration,
of its original jurisdiction. Thus, Rule 44 is to be omission or addition in the approved record on
read in conjunction with Rule 41. appeal shall be a ground for dismissal of the
appeal [Sec. 4, Rule 44].
Questions that may be raised on appeal
Whether or not the appellant has filed a motion When records of docketed case are
for new trial in the court below he may include incomplete
in his assignment of errors any question of law The clerk of court informs the CA of such fact
or fact that has been raised in the court below and recommends to it measures necessary to
and which is within the issues framed by the complete the record. It shall be the duty of said
parties [Sec. 15, Rule 44]. court to take appropriate action towards the
completion of the record within the shortest
Title of cases possible time [Sec. 5, Rule 44].
In all cases appealed to the Court of Appeals
under Rule 41, the title of the case shall remain When complete record may be dispensed
as it was in the court of origin, but the party with
appealing the case shall be further referred to 1. The completion of the record could not be
as the appellant and the adverse party as the accomplished within a sufficient period
appellee [Sec. 1, Rule 44]. allotted for said purpose due to insuperable
or extremely difficult causes
Counsel and guardians 2. The court, motu propio or on motion,
The counsel and guardians ad litem of the declares that the record and its
parties in the court of origin shall be accompanying transcripts and exhibits so
respectively considered as their counsel and far available are sufficient to decide the
guardians ad litem in the Court of Appeals. issues raised in the appeal
When others appear or are appointed, notice 3. The court issues an order explaining the
thereof shall be served immediately on the reasons therefor [Sec. 6, Rule 44]
adverse party and filed with the court [Sec. 2,
Rule 44]. Appellant’s brief
It shall be the duty of the appellant to file with
Transmittal of record the court, within 45 days from receipt of the
The original record or the record on appeal notice of the clerk that all the evidence, oral and
must be transmitted to the CA within 30 days documentary, are attached to the record, 7
after perfection of the appeal. In case of non- copies of his legibly typewritten,
transmittal, either party may file a motion with mimeographed or printed brief, with proof of
the trial court, with notice to the other, for the service of 2 copies thereof upon the appellee
transmittal of such record or record on appeal [Sec. 7, Rule 44].
[Sec. 3, Rule 44].

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Contents of Appellant’s Brief B. Rule 46 – Original cases
1. Subject index
2. Assignment of errors Rule 46 covers cases originally filed in the CA.
3. Statement of the Case
4. Statement of Facts Designation of Parties
5. Statement of issues The party instituting the action shall be called
6. Arguments the petitioner and the opposing party the
7. Relief respondent [Sec. 1, Rule 46].
8. Copy of judgment or final order appealed
from [Sec. 13, Rule 44] Coverage
Rule 46 applies to original actions for certiorari,
Appellee’s brief prohibition, mandamus and quo warranto.
Within 45 days from receipt of the appellant’s
brief, the appellee shall file with the court 7 Except as otherwise provided, the actions for
copies of his legibly typewritten, annulment of judgment shall be governed by
mimeographed or printed brief, with proof of Rule 47, for certiorari, prohibition and
service of 2 copies thereof upon the appellant mandamus by Rule 65, and for quo warranto
[Sec. 8, Rule 44]. by Rule 66 [Sec. 2, Rule 46].
Contents of Appellee’s Brief Rule 46 primarily governs original actions for
1. Subject index certiorari filed in the CA but Rule 65 generally
2. Statement of Facts or Counter-Statement of serves to supplement the same. Rule 46 and
Facts 65 co-exist with each other and should be
3. Argument [Sec. 14, Rule 44] construed so as to give effect to every provision
of both rules [Republic v. Carmel Development,
Appellant’s reply brief Inc., G.R. No. 142572 (2002)].
Within 20 days from receipt of the appellee’s
brief, the appellant may file a reply brief Contents of petition
answering points in the appellee’s brief not 1. Full names and actual addresses of all
covered in his main brief [Sec. 9, Rule 44]. petitioners and respondents;
2. Concise statement of the matters involved;
Extension of time for filing briefs: 3. Factual background of the case;
General Rule: Not allowed 4. Grounds relied upon for relief prayed for;
5. In actions under Rule 65, the petition shall
Exception: Good and sufficient cause, and further indicate three material dates
only if the motion for extension is filed before showing:
the expiration of the time sought to be extended a. When notice of judgment or final order or
[Sec. 12, Rule 44] resolution was receipt;
b. When motion for new trial or
Memoranda in lieu of briefs reconsideration, if any, was filed; and
In the following cases: c. When notice of denial thereof was
1. Certiorari; received [Sec. 3, Rule 46].
2. Prohibition;
3. Mandamus; Requirements for filing
4. Quo warranto; and 1. Filed in one original (properly marked) and
5. Habeas corpus two legible copies, with proof of service on
the respondent.
Period for filing: Non-extendible period of 2. Other requisite number of copies of the
thirty (30) days from receipt of the notice issued petition shall be accompanied by clearly
by the clerk that all the evidence, oral and legible plain copies of all documents
documentary, is already attached to the record. attached to the original;
3. Accompanied by clearly legible duplicate
The failure of the appellant to file his original or certified true copy of the
memorandum within the period therefor may judgment, order, resolution, or resolution
be a ground for dismissal of the appeal [Sec. subject thereof;
10, Rule 44].
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4. Accompanied by such material portions of C. Rule 47 – Annulment of
the record as are referred to in the petition,
and other documents relevant or pertinent judgments or Final Orders and
thereto; Resolution
5. Certificate of non-forum shopping;
6. Payment of docket and other lawful fees; Nature
and An action for annulment of judgment is a
7. Deposit of P500 remedy in equity exceptional in character
availed of only when other remedies are
Failure to comply with the foregoing shall be wanting [Sps. Teano v. The Municipality of
sufficient ground for dismissal of the appeal Navotas, G.R. No. 205814 (2016)]
[Sec. 3, Rule 46].
It is a remedy independent of the case where
Acquisition of jurisdiction over the parties the judgment sought to be annulled is
1. Petitioner – By the filing of the petition; rendered. It is not the continuation of the same
2. Respondent – case, like in the reliefs of MR, appeal, or
a. By service on respondent of the order or petition for relief [CIR v. Kepco Ilijan Corp.,
resolution indicating the court’s initial G.R. No. 199422 (2016)].
action on the petition; or
b. By his voluntary submission to such Such remedy is considered an exception to the
jurisdiction [Sec. 4, Rule 46] final judgment rule or the doctrine of
immutability of judgments [Diona v. Balangue,
Action by the court 688 SCRA 22, 34, (2013)].
The court may:
1. Dismiss the petition outright with specific Purpose
reasons for such dismissal; or The purpose of such action is to have the final
2. Require the respondent to file a comment and executory judgment set aside so that there
on the same within ten (10) days from will be a renewal of litigation [Sps. Teano v. The
notice. Municipality of Navotas, supra].
Only pleadings required by the court shall be
allowed. All other pleadings and papers, may When proper
be filed only with leave of court [Sec. 5, Rule An action for annulment of judgment may be
46]. availed of even if the judgment to be annulled
has already been fully executed or
Whenever necessary to resolve factual issues, implemented. [Islamic Da’wah Council of the
the court itself may Philippines. v. CA, G.R. No. 80892 (1989)]
1. Conduct hearings thereon; or
2. Delegate the reception of the evidence on When not available
such issue to any of its members or to an The remedy may not be invoked:
appropriate court, agency or office [Sec. 6, a. Where the party has availed himself of the
Rule 46]. remedy of new trial, appeal, petition for
review, or other appropriate remedy and
Failure of any of respondents to file lost, or
comment b. Where he has failed to avail himself of those
The case may be decided on the basis of the remedies through his own fault or
record, without prejudice to any disciplinary negligence [Republic v. ‘G’ Holdings, Inc.,
action which the court may take against the G.R. No. 141241 (2005)]
disobedient party [Sec. 7, Rule 46].
Note: It is a condition sine qua non that one
must have failed to avail of those remedies,
through no fault attributable to him. Otherwise,
he would benefit from his own inaction or
negligence [Republic v. De Castro, G.R. No.
189724 (2011)].

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Where filed Extrinsic fraud
Judgment, Final Judgment, Final It refers to any fraudulent act of the prevailing
Order or Order or party in litigation committed outside the trial
Resolution of the Resolution of the of the case where the defeated party
RTC MTC, etc. prevented from fully exhibiting his side by
Filed with the CA Filed with the RTC fraud or deception practiced on him by his
[Sec. 1, Rule 47] [Sec. 19(6), BP 129] opponents like:
CA has exclusive a. Keeping him away from court,
RTC as a court of b. Giving him false promise of a compromise,
and original
general jurisdiction or
jurisdiction over said
under Sec. 19(6), BP c. Where an attorney fraudulently or without
action under Sec.
129 authority connives at his defeat [Cagayan
9(2) of BP 129
The CA may dismiss Economic Zone Authority vs Meridien Vista
the case outright; it The RTC has no Gaming Corp, G.R. No. 194962 (2016)]
has the discretion on such discretion, it is Note: Use of forged instruments, perjured
whether or not to required to consider testimonies, or other manufactured evidence is
entertain the it as an ordinary civil not extrinsic fraud since such evidence does
petition. [Sec. 5, action. not preclude a party’s participation in trial.
Rule 47] [Bobis v. CA, G.R. No. 113796 (2000), and
Conde v. IAC, G.R. No. 70443 (1986)]
Who can file
A person who is not a party to the judgment Lack of jurisdiction
may sue for its annulment provided that he can Either lack of jurisdiction over the person of the
prove: defending party, or over the subject matter of
a. The judgment was obtained through fraud the claim. [1 Regalado 630, 2010 Ed.]
or collusion, and
b. He would be adversely affected thereby. Petitioner must show absolute lack of
[Alaban v. CA, G.R. No. 156021 (2005)] jurisdiction and not mere abuse of judicial
discretion; a claim of grave abuse of discretion
a. Grounds for Annulment will support a petition for certiorari but not an
action for annulment of judgment. [1 Riano
The annulment may be based only on the 633, 2011 Ed.]
grounds of:
1. Extrinsic fraud, and Only evidence found in the record can justify
nullity [Arcelona v. CA, G.R. No. 102900
● Note: Such shall not be a valid ground
if it was availed of, or could have been (1997)].
availed of, in a MNT or petition for
Form and contents of petition
relief.
1. Verified petition, alleging therein:
2. Lack of jurisdiction.
a. With particularity the facts and the law
[Sec. 2, Rule 47]
relied upon
b. Petitioner’s good and substantial cause
of action or defense
2. In 7 clearly legible copies, together with
sufficient copies corresponding to the
number of respondents
3. Certified true copy of the judgment or final
order or resolution shall be attached to the
original copy of the petition intended for the
court and indicated as such by the petitioner
4. Affidavits of witnesses or documents
supporting the cause of action or defense;
and
5. Certificate of non-forum shopping
[Sec. 3, Rule 47]

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b. Period to File Action Note: The judgment of annulment may include
the award of damages, attorney’s fees, and
Extrinsic Lack of other reliefs [Sec. 9, Rule 47].
fraud jurisdiction
Before it is Effect on prescriptive period for refiling of
Period for 4 years from barred by the original action
filing discovery laches or When suspended - from the filing of said
estoppel original action until the finality of the judgment
[Sec. 3, Rule 47] of annulment.

Note: There must be a manifest showing with When not suspended - where the extrinsic
petition that it was filed within the 4-yr period [1 fraud is attributable to the plaintiff in the original
Regalado 532, 2010 Ed.]. action.
Action of the court [Sec. 8, Rule 47]
1. Should the court find no substantial merit in
the petition, the same may be dismissed D. Rule 50 – dismissal of
outright with specific reasons for such appeal
dismissal.
2. Should prima facie merit be found in the
Grounds for dismissal of appeal
petition, the same shall be given due
1. Failure of the record on appeal to show on
course and summons shall be served on
its face that the appeal was taken within the
the respondent [Sec. 5, Rule 47].
period fixed by the ROC
2. Failure to file the notice of appeal or the
Procedure record on appeal within the period
The procedure in ordinary civil cases shall be
prescribed by the ROC
observed. Should a trial be necessary, the
3. Failure of the appellant to pay the docket
reception of the evidence may be referred to a
and other lawful fees as provided in Sec. 4,
member of the court or a judge of a RTC [Sec.
Rule 41
6, Rule 47].
4. Unauthorized alterations, omissions or
additions in the approved record on appeal
Note: Prima facie determination is not available
as provided in Sec. 4, Rule 44
in annulment of judgments or final orders of
5. Failure of the appellant to serve and file the
MTCs before the RTC [Sec. 10, Rule 47].
required number of copies of his brief or
memorandum within the time provided by
c. Effects of Judgment of the ROC
Annulment 6. Absence of specific assignment of errors in
the appellant’s brief, or of page references
Based on lack of jurisdiction to the record as required in Sec. 13(a), (c),
A judgment of annulment shall set aside the (d) and (f) of Rule 44
questioned judgment or final order or resolution 7. Failure of the appellant to take the
and render the same null and void, without necessary steps for the correction or
prejudice to the original action being refiled in completion of the record within the time
the proper court. [Sec. 7, Rule 47] limited by the court in its order;
8. Failure of the appellant to appear at the
Based on extrinsic fraud preliminary conference under Rule 48 or to
The court may on motion order the trial court to comply with orders, circulars, or directives
try the case as if a timely motion for new trial of the court without justifiable cause, and
had been granted therein [Sec. 7, Rule 47]. 9. The fact that order or judgment appealed
from is not appealable [Sec. 1, Rule 50]
Difference: When it is based on extrinsic 10.Appeal under Rule 41 taken from the RTC
fraud, the original judgment was not tainted by to the CA raising only questions of law
jurisdictional defects but by the deception 11.Appeal by notice of appeal instead of by
which then resulted in the prejudicial error [1 petition for review from the appellate
Regalado 635-636, 2010 Ed.] judgment of a RTC [Sec. 2, Rule 50]

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Other grounds Quorum and voting in the court
1. By agreement of the parties (i.e., amicable 1. Deliberation – The participation of all three
settlement) Justices of a division shall be necessary
2. Where appealed case has become moot or 2. Pronouncement of judgment or final
academic resolution – The unanimous vote of the
3. Where appeal is frivolous or dilatory [1 three Justices shall be required
Regalado 644-645, 2010 Ed.]
If the three justices do not reach a unanimous
Withdrawal of appeal vote:
1. An appeal may be with-drawn as a matter of 1. The clerk shall enter the votes of the
right at any time before the filing of the dissenting Justices in the record;
appellee’s brief. 2. The Chairman of the division shall refer the
2. Thereafter, the withdrawal may be allowed case, together with the minutes of the
in the discretion of the court [Sec. 3, Rule deliberation, to the Presiding Justice who
50]. shall designate two Justices chosen by
raffle from among all the other members of
E. Rule 51 – judgment ; the court to sit temporarily with them,
forming a special division of five Justices;
harmless error 3. The participation of all the five members of
the special division shall be necessary for
When case deemed submitted for judgment the deliberation and the concurrence of a
1. In ordinary appeals majority of such division shall be required
a. Where no hearing on the merits of the for the pronouncement of a judgment or final
main case is held, upon the filing of the resolution [Sec. 3, Rule 51].
last pleading, brief, or memorandum
required by the Rules or by the court Disposition of a case
itself, or the expiration of the period for The CA, in the exercise of its appellate
its filing; jurisdiction, may:
b. Where such a hearing is held, upon its 1. Affirm;
termination or upon the filing of the last 2. Reverse;
pleading or memorandum as may be 3. Modify the judgment or final order appealed
required or permitted to be filed by the from;
court, or the expiration of the period for 4. Direct a new trial or further proceedings to
its filing. be had [Sec. 4, Rule 51].
2. In original actions and petitions for review
a. Where no comment is filed, upon the Content of decision
expiration of the period to comment; Every decision or final resolution of the court in
b. Where no hearing is held, upon the filing appealed cases shall clearly and distinctly
of the last pleading required or permitted state:
to be filed by the court, or the expiration 1. The findings of fact; and
of the period for its filing; 2. The conclusions of law on which it is based,
c. Where a hearing on the merits of the which may be contained in the decision or
main case is held, upon its termination or final resolution itself, or adopted from those
upon the filing of the last pleading or set forth in the decision, order, or resolution
memorandum as may be required or appealed from [Sec. 5, Rule 51].
permitted to be filed by the court, or the
expiration of the period for its filing [Sec. Judgment where there are several parties
1, Rule 51]. In all actions or proceedings, an appealed
judgment may be affirmed as to some of the
The judgment shall be rendered by the appellants, and reversed as to others, and the
members of the court who participated in the case shall thereafter be proceeded with, so far
deliberation on the merits of the case before its as necessary, as if separate actions had been
assignment to a member for the writing of the begun and prosecuted, and execution of the
decision [Sec. 2, Rule 51]. judgment of affirmance may be had
accordingly, and costs may be adjudged in

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such cases, as the court shall deem proper indicate thereon the date of promulgation and
[Sec. 7, Rule 51]. cause true copies thereof to be served upon
the parties or their counsel [Sec. 9, Rule 51].
Harmless error rule in appellate decisions
No error in either the admission or the Entry of judgment and final resolution
exclusion of evidence and no error or defect in If no appeal or motion for new trial or
any ruling or order or in anything done or reconsideration is filed within the time provided
omitted by the trial court or by any of the parties in these Rules, the judgment or final resolution
is ground for granting a new trial or for setting shall forthwith be entered by the clerk in the
aside, modifying, or otherwise disturbing a book of entries of judgments. The date when
judgment or order, unless refusal to take such the judgment or final resolution becomes
action appears to the court inconsistent with executory shall be deemed as the date of its
substantial justice [Sec. 6, Rule 51]. entry. The record shall contain the dispositive
part of the judgment or final resolution and shall
The court at every stage of the proceeding be signed by the clerk, with a certificate that
must disregard any error or defect which does such judgment or final resolution has become
not affect the substantial rights of the parties final and executory [Sec. 10, Rule 51].
[Sec. 6, Rule 51].
Execution of judgment
Errors General Rule: The motion for execution may
General Rule: The appellate court shall only be filed in the proper court after its entry.
consider no error unless stated in the
assignment of errors [Sec. 8, Rule 51]. Exception: Where the judgment or final order
or resolution, or a portion thereof, is ordered to
Exceptions: The court may consider an error be immediately executory.
not raised on appeal provided that it is an error:
1. That affects the jurisdiction over the subject In original actions in the Court of Appeals, its
matter, writ of execution shall be accompanied by a
2. That affects validity of the judgment certified true copy of the entry of judgment or
appealed from, final resolution and addressed to any
3. Which affects the validity of the appropriate officer for its enforcement.
proceedings,
4. That is closely related to or dependent to an In appealed cases, where the motion for
assigned error, and properly argued in brief, execution pending appeal is filed in the Court
5. That is a plain clerical error, of Appeals at a time that it is in possession of
6. Of which consideration is necessary to the original record or the record on appeal, the
arrive at a just decision and complete resolution granting such motion shall be
resolution of the case or serve the interests transmitted to the lower court from which the
of justice, or case originated, together with a certified true
7. Raised in the trial court and are matters of copy of the judgment or final order to be
record having such bearing on the issue executed, with a directive for such court of
submitted which the parties failed to raise or origin to issue the proper writ for its
which the lower court [1 Riano 529-530, enforcement [Sec. 11, Rule 51].
2016 Ed.]
F. Rule 53 – New trial
The appellate court has no jurisdiction to
review a judgment which is immediately final Period for filing and ground
and executory by express provision of law Period: Any time after the appeal from the
[Republic v. Bermudez-Lorino, G.R. No. lower court has been perfected and before the
160258 (2005)]. Court of Appeals loses jurisdiction over the
case
Promulgation and notice of judgment
After the judgment or final resolution and Ground: Newly discovered evidence which
dissenting or separate opinions, if any, are could not have been discovered prior to the trial
signed by the Justices taking part, they shall be in the court below by the exercise of due
delivered for filing to the clerk who shall
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diligence and which is of such a character as
would probably change the result

The motion shall be accompanied by affidavits

showing the facts constituting the grounds
therefor and the newly discovered evidence
[Sec. 1, Rule 53].

The motion shall be resolved within ninety (90)

days from the date when the court declares it
submitted for resolution [Sec. 3, Rule 53].

Hearing and order

The CA shall consider the new evidence
together with that adduced at the trial below,
and may:
1. Grant or refuse a new trial; or
2. May make such order, with notice to both
parties, as to the taking of further testimony,
either orally in court, or by depositions; or
3. Render such other judgment as ought to be
rendered upon such terms as it may deem
just [Sec. 2, Rule 53].

Procedure in new trial

General Rule: The procedure in the new trial
shall be the same as that granted by a Regional
Trial Court.

Exception: When the court otherwise directs

[Sec. 4, Rule 53]

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VII. PROCEDURE IN THE Rules 45, 48, sections 1, 2, and 5 to 11 of Rule

51, 52 and 56 [Sec. 4, Rule 56].
SUPREME COURT
A. Rule 56-A – Original cases Dismissal by the SC
The appeal may be dismissed motu proprio or
Original cases cognizable by the SC and on motion of the respondent on the following
applicable Rules grounds:
1. Failure to take the appeal within the
Original Cases Applicable Rules reglementary period,
2. Lack of merit in the petition,
Certiorari Applicable
3. Failure to pay the requisite docket fee and
Prohibition provisions of the
other lawful fees or to make a deposit for
Mandamus Constitution, laws,
costs,
Quo warranto and Rules 46, 48,
4. Failure to comply with the requirements
Habeas corpus 49, 51, 52
regarding proof of service and contents of
The proceedings for and the documents which should
disciplinary action accompany the petition,
against members of 5. Failure to comply with any circular, directive
Disciplinary
the judiciary shall be or order of the SC without justifiable cause,
proceedings against
governed by the 6. Error in the choice or mode of appeal, and
members of the
laws and Rules 7. The fact that the case is not appealable to
judiciary and
prescribed therefor, the SC [Sec. 5, Rule 56]
attorneys
and those against
attorneys by Rules When court en banc is equally divided in
139-B, as amended opinion or required majority cannot be had
Cases affecting The case shall again be deliberated on, and if
ambassadors, other after such deliberation no decision is reached:
public ministers and 1. The original action commenced in the
consuls court shall be dismissed;
[Sec. 1 and 2, Rule 56] 2. In appealed cases, the judgment or order
appealed from shall stand affirmed; and
a. Rule 56-B – Appealed cases 3. On all incidental matters, the petition or
motion shall be denied [Sec. 7, Rule 56]
Appeal to the SC
Mode: Only by a petition for review on
certiorari, except in criminal cases where the
penalty imposed is death, reclusion perpetua
or life imprisonment [Sec. 3, Rule 56]

Except as provided in section 3, Rule 122

regarding appeals in criminal cases where the
penalty imposed is death, reclusion perpetua
or life imprisonment, an appeal taken to the SC
by notice of appeal shall be dismissed [Sec. 6,
Rule 56].

An appeal by certiorari taken to the SC from the

RTC submitting issues of fact may be referred
to the CA for decision or appropriate action.
The determination of the SC on whether or not
issues of fact are involved shall be final [Sec.
6, Rule 56].

Procedure: The appeal shall be governed by

and disposed of in accordance with the
applicable provisions of the Constitution, laws,
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REMEDIAL LAW AND
LEGAL ETHICS

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I. TAX REMEDIES UNDER Presumption of correctness

An assessment is presumed correct and made
THE NIRC in good faith in the performance of official
A. General Concepts duties and failure to present proof of error will
prosper such assessment [Atlas Consolidated
Mining and Development Corp. v. CA, G.R.
Taxpayer Remedies
Nos. 104151 and 105563 (1995)].

1. Administrative Remedies (BIR) Procedural due process in tax

a. Before payment assessments [Sec. 228, NIRC; RR 12-99, as
i. Filing a protest with request for amended by RR 18-13, RR 7-18 and RR 22-
reconsideration or reinvestigation; and 2020]
ii. Entering into a compromise
b. After payment i. Letter of Authority
i. Filing a claim for refund; and
ii. Filing a claim for tax credit Letter of Authority (LOA): An official
document that empowers a Revenue Officer to
2. Judicial Remedies (CTA/RTC) examine and scrutinize a taxpayer’s books of
a. Civil Action accounts and other accounting records, in
i. Appeal to the CTA; order to determine the taxpayer’s correct
ii. Action to contest forfeiture of chattel; internal revenue tax liabilities
and
iii. Action for damages General Rule: The issuance of an LOA is a
b. Criminal Action mandatory statutory requirement [Sec. 13,
i. Filing a criminal complaint against NIRC].
erring BIR officials and employees
Any tax assessment issued without an LOA is
a violation of the taxpayers’ right to due
Government Remedies
process and is therefore “inescapably void”
[RMC 75-2018; Medicard Philippines, Inc. v.
1. Administrative Remedies CIR, G.R. No. 222743 (2017)].
a. Enforcement of tax lien
b. Distraint of personal property, and Exceptions: The following cases need not be
garnishment of bank deposits covered by a valid LOA:
c. Levy of real property a. Cases involving civil or criminal tax
d. Forfeiture of property fraud which fall under the jurisdiction of
e. Compromise and abatement the Tax Fraud Division of the
f. Penalties and fines Enforcement Services; and
g. Suspension of business operations b. Policy cases under audit by the special
teams in the National Office [RMO 36-
2. Judicial Remedies 99].
a. Ordinary civil action
Letter of Authority vs. Letter Notice
b. Criminal action A Letter Notice (LN) is not found in the NIRC
and is not an authority to conduct an audit. It is
1. Assessment of Internal Revenue merely a notice to the taxpayer that a
Taxes discrepancy is found based on the BIR’s third
party information data matching programs.
Definition Thus, an LOA must still be secured before
An assessment is the notice to the effect that proceeding with the further examination and
the amount therein stated is due from a assessment of the taxpayer [Medicard
taxpayer as a tax with a demand for payment Philippines, Inc. v. CIR, supra].
of the same within a stated period of time [CIR
v. CTA, G.R. No. L-21483 (1969)]. Tax audit
It is the process of examining, going over or
scrutinizing the books and records of the

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taxpayer to ascertain the correctness of the tax an explanation and provide documents to
declared and paid by the taxpayer. support his explanation. The documents must
be submitted during the discussion. Should the
There must be a grant of authority before any taxpayer need more time to present the
revenue officer can conduct an examination or documents, he may submit such documents
assessment. The revenue officer so authorized after the discussion. The taxpayer must submit
must not go beyond the authority given. In the all necessary documents that supports his
absence of such an authority, the assessment explanation within thirty (30) days after receipt
or examination is a nullity [CIR v. Sony of the Notice of Discrepancy.
Philippines, Inc., G.R. No. 178697 (2010)].
If after being afforded the opportunity to
Note: A Revenue Officer is allowed only 120 present his side through the Discussion of
days from the date of receipt of an LOA by the Discrepancy, it is still found that the taxpayer is
taxpayer to conduct the audit and submit the still liable for deficiency tax or taxes and the
required report of investigation. If the Revenue taxpayer does not address the discrepancy
Officer is unable to submit his final report of through payment of the deficiency taxes or the
investigation within the 120-day period, he taxpayer does not agree with the findings, the
must then submit a progress report to his Head investigating office, shall endorse the case to
of Office, and surrender the LOA for the reviewing office and approving official in the
revalidation. National Office or the Revenue Regional
Office, for issuance of a deficiency tax
ii. Notice of Discrepancy assessment in the form of a Preliminary
Assessment Notice within ten (10) days from
If a taxpayer is found to be liable for deficiency the conclusion of the Discussion [RR 12-99, as
tax or taxes in the course of the investigation amended by RR 18-13, RR 7-18 and RR 22-
conducted by a Revenue Officer, the taxpayer 2020].
shall be informed through a notice of
discrepancy. The Notice of Discrepancy aims iii. Issuance of Preliminary Assessment
to fully afford the taxpayer with an opportunity Notice (PAN)
to present and explain his side on the
discrepancies found. General Rule: A PAN shall be issued if it is
determined that there exists sufficient basis to
The Revenue officer who audited the assess the taxpayer for any deficiency tax. It
taxpayer's records shall, among others, state in shall show in detail the facts and the law on
the initial report of investigation his findings of which the proposed assessment is based.
discrepancies.
Exceptions to the issuance of a PAN:
Based on the said officer's submitted initial The NIC and the PAN shall not be required in
report of investigation, the taxpayer shall be any of the following cases, in which case, a
informed, in writing, of the discrepancy or Formal Letter of Demand and Assessment
discrepancies in the taxpayer's payment of his Notice (FLD/FAN) shall be issued outright:
internal revenue taxes, for the purpose of the a. Deficiency tax is the result of
“Discussion of Discrepancy”. mathematical error in the computation
of the tax as appearing on the face of
The Discussion of Discrepancy shall in no case
the return; or
extend beyond thirty (30) days from receipt of
b. A discrepancy has been determined
the Notice of Discrepancy. It is during the
between the tax withheld and the
Discussion of Discrepancy that the taxpayer is
amount actually remitted by the
given the opportunity to present his side of the
withholding agent; or
case and explain the discrepancy found during
c. A taxpayer who opted to claim a refund
the investigation of the Revenue Officer
or tax credit of excess creditable
assigned and submit documents to support the
withholding tax for a taxable period was
explanation or arguments.
determined to have carried over and
If the taxpayer disagrees with the automatically applied the same amount
discrepancy/discrepancies detected during the claimed against the estimated tax
audit/investigation, the taxpayer must present liabilities for the taxable quarter or
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quarters of the succeeding taxable is issued within the period of limitation to
year; or assess internal revenue taxes.
d. The excise tax has not been paid; or
e. An article locally purchased or Note: The revenue officers who caused the
imported by an exempt person has delay shall be subject to administrative
been sold, traded or transferred to a sanction [RMC 11-2014].
non-exempt person [RR 18-2013].
b. If the FLD/FAN is issued before the lapse of
Note: Prior to the issuance of a PAN, the the 15-day period, it shall be void.
taxpayer may be allowed to make voluntary
payments of probable deficiency taxes and v. Disputed Assessment
penalties [RMC 11-2014].
The taxpayer or his duly authorized
Reply to the PAN representative may protest administratively
The taxpayer is given 15 days from the date of against the FLD/FAN within 30 days from date
receipt of the PAN to respond. of receipt thereof. The taxpayer protesting an
• If the taxpayer fails to respond, he is assessment may file a written request for
considered in default and a formal letter of reconsideration or reinvestigation [RR 18-
demand and assessment notice (FLD/FAN) 2013].
shall be issued to the taxpayer.
• If he responds that he disagrees with the vi. Administrative Decision on a
findings of deficiency taxes, an FLD/FAN Disputed Assessment
shall be issued within 15 days from
filing/submission of the taxpayer’s vii. Appeal from an Administrative
response, calling for payment of the
Decision on Disputed Assessment
taxpayer’s deficiency tax liability, inclusive
of the applicable penalties [RR 18-2013].
Requisites for a valid assessment:
1. The taxpayer shall be informed in writing of
iv. Issuance of Formal Letter of Demand the law and the facts on which the
and Final Assessment Notice (FLD/FAN) assessment is made; otherwise, the
assessment notice shall be rendered null
An FLD/FAN is a declaration of deficiency and void [Sec. 228, NIRC].
taxes issued to a taxpayer who: 2. Assessment contains not only a
a. fails to respond to a PAN within the computation of tax liabilities, but also a
prescribed period of time; or demand for payment within a prescribed
b. whose reply to the PAN was found to period [CIR v. Pascor, G.R. No. 128315
be without merit. (1999)].
3. Assessment must be served on and
Contents of the FLD/FAN
received by the taxpayer [CIR v. Pascor,
The taxpayer shall be informed in writing of the
ibid].
law and the facts on which the assessment is
made; otherwise, the assessment shall be void Modes of service of assessment notice
[Sec. 228, NIRC]. 1. Personal Service – Notice is delivered
personally to the taxpayer at his known
An assessment contains not only a
address. If not practicable, notice shall be
computation of tax liabilities, but also a demand
served by substituted service or by mail.
for payment within a certain period.
2. Substituted Service – The notice is left with
Period for Issuance of the FLD/FAN a clerk or a person in charge at the
It must be issued within 15 days from the taxpayer’s known address.
filing/submission of the taxpayer’s response to 3. Service by mail [RR 18-2013].
the PAN.
Service to the tax agent shall be deemed
service to the taxpayer [RR 18-2013].
a. If the FLD/FAN is issued beyond the 15-day
period, it shall still be valid, provided that it The notice shall first be served to the
taxpayer’s registered address before the same
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may be served to the taxpayer’s known
a petition for review
address, or in the alternative, may be served to
with the CTA to toll the
the taxpayer’s registered address and known
running of the
address simultaneously [RMC 11-2014].
prescriptive period.
viii. Tax Delinquency as Distinguished Subject to Subject to
from Tax Deficiency administrative administrative
penalties, such as penalties of interest
Deficiency is defined as the amount still due 25% surcharge, and compromise
and collectible from a taxpayer upon audit or interest, and penalty, but NOT to
investigation; whereas delinquency is defined compromise the 25% surcharge
as the failure of the taxpayer to pay the tax due penalty
on the date fixed by law or indicated in the
assessment notice or letter of demand [Mamalateo]
[Takenaka Corporation Philippine Branch v.
CIR, CTA EB No. 745 (2012)]. d. Prescriptive Period for Assessment

Tax Delinquency vs. Tax Deficiency General Rule: Within 3 years after the last day
prescribed by law for the filing of the return
Tax Delinquency Tax Deficiency or from the date of actual filing, whichever
comes later; provided, that a return filed before
• The self- • The amount by the last day prescribed by law for filing shall be
assessed tax which the tax considered as filed on such last day [Sec. 203,
per return was imposed by law NIRC].
not paid or exceeds the
only partially amount shown in Exception: Within 10 years after the discovery
paid; or the tax return; or of the falsity, fraud or omission in case of: (FFF)
• The deficiency • If no amount is 1. False return;
tax assessed shown in the 2. Fraudulent return with intent to evade tax;
by the BIR return, or if there is or
became final no return, then the 3. Failure to file a return [Sec. 222(a), NIRC].
and executory amount by which
the tax as
determined by the False return Fraudulent Failure to
CIR exceeds the return file return
amount previously
Contains Made with Omission to
assessed as a
wrong intent to file a return
deficiency [Sec.
information evade taxes within the
56(B), NIRC]
due to due time
Delinquency tax Deficiency tax must be mistake, prescribed
can be collected assessed and must go carelessness by law
administratively by through the process of or ignorance
distraint or levy or filing the protest by the
Deviation may Intentional Omission
by judicial action. taxpayer and denial of
or may not be or deceitful may or may
such protest by the
intentional entry with not be
BIR.
intent intentional
The filing of a civil The filing of a civil
action for the action at the ordinary Not subject to Subject to Not subject
collection of the court for collection 50% 50% to 50%
delinquent tax in during the pendency of surcharge, surcharge surcharge,
the ordinary court protest may be the except if done except if
is a proper subject of a motion to willfully omission is
remedy. dismiss. In addition, willful
the taxpayer must file

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Two (2) material dates required on the
Assessment may be made within 10 years
waiver
after discovery of the falsity, fraud or
1. The date of execution of the waiver by the
omission
taxpayer or its authorized representative;
and
Waiver of the Statute of Limitations 2. The expiry date of the period the taxpayer
The taxpayer and the CIR may agree in writing, waives the statute of limitations
before the expiration of the time prescribed in
Sec. 203, to extend the period of assessment Effect of noncompliance with the
[Sec. 222(b), NIRC]. requisites

Note: A waiver of the statute of limitations is a General Rule: When a waiver does not comply
derogation of the taxpayers’ right to security with the requisites for its validity, it is invalid and
against prolonged and unscrupulous ineffective to extend the prescriptive period to
investigations and must therefore be carefully assess taxes.
and strictly construed. However, the waiver
does not mean that the taxpayer relinquishes Exception: When both the BIR and the
the right to invoke the defense of prescription taxpayer are in pari delicto or “in equal fault”, it
unequivocally particularly where the language would be more equitable if the BIR’s lapses
of the document is equivocal [Philippine were allowed to pass and consequently uphold
Journalists Inc. v. CIR, G.R. No. 162852 the validity of the waivers in order to support
(2004)]. the principle that taxes are the lifeblood of the
government [CIR v. Next Mobile, Inc., G.R. No.
Requisites for a valid waiver under RMO 14- 212825 (2015)].
2016:
1. It must be in writing, but not necessarily in Suspension of running of statute of
the form prescribed by RMO No. 20-90 or limitations
RDAO No. 05-01, for as long as the 1. When the CIR is prohibited from making the
following are complied with: assessment or beginning distraint or levy or
a. It is executed before the expiration of the a proceeding in court, and for 60 days
prescriptive period. The date of thereafter;
execution shall be indicated. 2. When the taxpayer requests for a
b. It is signed by the taxpayer himself or his reinvestigation which is granted by the
authorized representative. In a CIR;
corporation, it must be signed by its 3. When the taxpayer cannot be located in the
responsible officials. address given by him in the return filed, BUT
c. The expiry date of the period agreed if the taxpayer informs the CIR of any
upon to assess/collect the tax after the change in address, the running of the
regular 3-year period of prescription statute of limitations shall not be
should be indicated. suspended;
2. Except for waiver of collection of taxes 4. When the warrant of distraint or levy is duly
which shall indicate the particular taxes served upon the taxpayer, his authorized
assessed, the waiver need not specify the representative, or a member of his
particular taxes to be assessed nor the household with sufficient discretion, and no
amount thereof, and it may simply state “all property is located; and
internal revenue taxes”. 5. When the taxpayer is out of the Philippines.
3. It may or may not be notarized.
Determining if prescription has set in
4. CIR or designated officials or the concerned
The important date to remember is the date
revenue district officer or group supervisor
when the demand letter or notice is released,
must indicate acceptance by signing the
mailed or sent by the CIR to the taxpayer
same before the expiration of the period to
[Basilan Estates, Inc. v. CIR, G.R. No. L-22492
assess or collect taxes, or before the lapse
(1967)].
of the period agreed upon in a prior
• Provided the release was effected
agreement.
BEFORE prescription sets in, the
a. The taxpayer has the duty to retain a assessment is deemed made on time,
copy of the accepted waiver.
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even if the taxpayer actually receives it ii. Kinds of Protest — Request for
AFTER the prescriptive period. Reconsideration or Reinvestigation
• Mailing of the assessment before the
prescriptive period sets in must be proved
with substantial evidence by the CIR. Request for Request for
• Direct denial of receipt of a mailed demand Reconsideration Reinvestigation
letter shifts the burden to the Government
to prove that such letter was indeed As to nature/definition
received by the taxpayer [Republic v. CA,
It refers to a plea of It refers to a plea of
G.R. No. L-38540 (1987); Ingles].
re-evaluation of an re-evaluation of an
assessment on the assessment on the
2. Taxpayer’s Remedies basis of existing basis of newly
records without need discovered evidence
a. Protesting the Assessment of additional that a taxpayer
evidence. It may intends to present in
i. Period to File Protest involve both a the reinvestigation. It
question of fact or of may also involve a
After issuance of the FLD/FAN, the taxpayer law or both. question of fact or
may protest the assessment within 30 days law or both.
from receipt thereof by filing a request for
reconsideration or reinvestigation. As to effect on the status of limitations

It shall not suspend A request for

the prescriptive reconsideration does
period to collect. not toll the running of
the prescriptive
Note: It will only toll period for the
the prescriptive collection of an
period to collect if assessed tax [CIR v.
the request for Philippine Global
reinvestigation is Communication Inc.,
granted by the BIR. G.R. No. 167146
(2006)]

As to evidence

It is limited to the It entails the

evidence already at reception and
hand. evaluation of
additional evidence.

Supporting
documents must be
submitted within 60
days from filing the
protest.

Counting of 180-day period for CIR to

decide

From the filing of the From submission of

protest the complete
supporting
documents
[Tabag]
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Contents of the Protest No request for reconsideration or
The protest shall state the following in his reinvestigation shall be granted on tax
protest; otherwise, the protest shall be assessments that have already become final,
considered void and without force and effect. executory and demandable.
a. Nature of protest, whether
reconsideration or reinvestigation, v. Action of the Commissioner on the
specifying newly discovered or Protest Filed
additional evidence he intends to
present if it is a request for Period to act upon or decide the protest
reinvestigation; filed
b. Date of the assessment notice; and 1. By the CIR’s duly authorized representative
c. The applicable law, rules and a. In a request for reinvestigation, within
regulations, or jurisprudence on which 180 days from submission of documents;
his protest is based [RR 18-2013]. or
b. In a request for reconsideration, within
Protest Against Some of Several Issues in 180 days from the date of filing of the
FLD/FAN protest.
• If the taxpayer disputes or protests only 2. By the CIR
some of them, the assessment relating to a. In case of protest, within 180 days from
the undisputed issue(s) shall become final, the filing of the protest; or
executory and demandable. b. In case of an administrative appeal,
• If the taxpayer fails to state the facts, the within 180 days from the filing of the
applicable law, rules and regulations, or administrative appeal.
jurisprudence in support of his protest
against some of the several issues, the Note: An administrative appeal to the CIR may
same shall be considered undisputed and only be availed of upon the denial of the protest
the related assessment shall likewise to the FLD/FAN by the CIR’s duly authorized
become final, executory and demandable representative. Under RR 18-2013, there is no
[RR 18-2013]. administrative appeal to the CIR for inaction by
the CIR’s representative. The remedy is to
iii. Submission of Supporting Documents await the decision or file a petition for review to
For requests for reinvestigation, the taxpayer the CTA within 30 days after the lapse of the
shall submit all relevant supporting documents 180-day waiting period.
in support of his protest within 60 days from
filing of the protest; otherwise, the assessment B. Decision on the Protest
shall become final.
• “Relevant supporting documents” – Filed
documents necessary to support the legal
and factual bases in disputing a tax 1. Denial of the protest through the
assessment as determined by the issuance of a Final Decision on
taxpayer. Disputed Assessment (FDDA)
• “Assessment shall become final” –
taxpayer is barred from disputing the The decision of the CIR or his duly authorized
correctness of the issued assessment by representatives shall state (a) the facts, the
introduction of newly discovered or applicable law, rules and regulations or
additional evidence, and the FDDA shall jurisprudence on which such decision is based,
consequently be denied. and (b) that the same is his final decision.
• The 60-day period to submit supporting
documents shall NOT apply to requests for Effect of a Void FDDA
reconsideration [RR 18-2013]. A void FDDA does not ipso facto render the
assessment void. A “decision” differs from an
iv. Effect of Failure to File Protest “assessment” and failure of the FDDA to state
the facts and law on which it is based renders
Failure of the taxpayer to file a protest against the decision void, but not the assessment [CIR
the FLD/FAN within 30 days will make the v. Liquigaz Philippines Corp., G.R. No. 215534
assessment final, executory and demandable. (2016)].
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2. Indirect denial of the protest become final, executory and
demandable.
The following actions are equivalent to a
denial of the protest: Note: A motion for reconsideration of the
a. Filing of collection suit against taxpayer CIR’s denial of the protest or
[CIR v. Union Shipping, G.R. No. L-66160 administrative appeal shall not toll the
(1990)]. 30-day period to appeal to the CTA.
b. Issuing a warrant of distraint and levy [CIR 2. In case of inaction by the CIR or his duly
v. Algue, G.R. No. L-28896 (1998)]. authorized representative within the 180-
c. A final demand letter from BIR day period
a. Appeal to the CTA within 30 days from
Note: A final demand letter from the BIR, the lapse of the 180-day period; or
reiterating to the taxpayer the immediate b. Await the final decision of the CIR or his
payment of a tax deficiency assessment duly authorized representative on the
previously made, is tantamount to a denial disputed assessment and appeal such
of the taxpayer’s request for final decision to the CTA within 30 days
reconsideration. Such letter amounts to an after receipt of such decision [RR 18-
FDDA and is thus appealable to the CTA 2013].
[CIR v. Isabela Cultural Corporation, G.R.
No. 135210 (2001)]. Note: These options are mutually exclusive,
d. Filing of criminal action against taxpayer and the resort to one bars the application of the
other [Rizal Commercial Banking Corporation
3. Inaction by the CIR or his duly v. CIR, G.R. No. 168498 (2007); RR 18-2013].
authorized representative Effect of failure to appeal to the CTA in due
time
If the protest is not acted upon within the 180- 1. The decision or assessment becomes final,
day period, the inaction by the CIR is executory and demandable;
considered as a denial of protest. 2. The taxpayer is barred, in an action for
collection, from invoking any defense that
Remedies of the taxpayer in case of will re-open the question of his liability on
Denial or Inaction by the CIR the merits;
3. The assessment is considered correct and
1. In case of denial of protest may be enforced by summary remedies or
a. Denial by the CIR’s duly authorized by judicial action;
representative: 4. The taxpayer may raise only questions of
i. Appeal to the CTA within 30 days jurisdiction, collusion between the parties,
from the date of receipt of the or fraud in the party offering the record with
decision respect to the proceedings;
ii. Elevate his protest through a 5. The assessment which has become final
request for reconsideration to the and executory cannot be superseded by a
CIR within 30 days from date of new assessment [De Leon].
receipt of the said decision.
a. Recovery of Tax Erroneously or
Note: No request for reinvestigation Illegally Collected
shall be allowed in administrative
appeal and only issues raised in the Tax Refund vs. Tax Credit
decision of the Commissioner’s duly • Tax refund takes place when there is actual
authorized representative shall be reimbursement.
entertained by the Commissioner • Tax credit takes place upon the issuance of
[RR 18-2013]. a tax certificate or tax credit memo, which
b. Denial by the CIR, the taxpayer may can be applied against any sum that may
appeal to the CTA within 30 days from
be due and collected from the taxpayer.
receipt of the decision denying the
protest. Otherwise, the assessment shall

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i. Grounds, Requisites, and Period Note: The two-year period is not
for Filing a Claim for Refund or jurisdictional. Even if it had already lapsed,
Issuance of a Tax Credit Certificate the same may be suspended for reasons of
(TCC) equity and other special circumstances
[CIR v. Philippine American Life Ins. Co.,
Grounds for filing a claim for tax refund or G.R. No. 105208 (1995)].
credit
1. Tax is erroneously or illegally assessed or It is subject to waiver in the absence of
collected; objection to a claim filed after 2 years.
a. Taxes are erroneously paid when a
Two-year period when counted
taxpayer pays under a mistake of fact, as
General Rule: From the date the tax was paid
when he is not aware of an existing
exemption in his favor at the time that Exceptions:
payment is made. 1. If the tax is withheld at source – from the
b. Taxes are illegally collected when date it falls due at the end of the taxable
payments are made under duress. year [Gibbs v. CIR, G.R. No. L-17406
c. Penalty is collected without authority (1965)]
2. Penalty is collected without authority; or 2. If the income is paid on a quarterly basis –
3. Sum collected is excessive or in any from the time of filing the final adjustment
manner wrongfully collected [Sec. 229, return [CIR v. CA, G.R. No. 117254 (1999)]
NIRC]. 3. When the tax is paid in installments – from
the date of final payment or the last
Requisites for tax refund or tax credit: installment
1. There is a tax collected erroneously or
illegally, or a penalty collected without Legal basis of tax refunds
authority, or a sum excessively or wrongfully Tax refunds are based on the principle of
collected quasi-contract or solutio indebiti. The
2. There must be a written claim for refund Government is not exempted from the
filed by the taxpayer to the CIR [Vda. De application of the time-honored doctrine that no
Aguinaldo v. CIR, G.R. No. L-19927 person shall unjustly enrich himself at the
(1965)]. expense of another [CIR v. Acesite
(Philippines) Hotel Corporation, G.R. No.
Exceptions: 147295 (2007); Secs. 2142 and 2154, NCC],
1. When on the face of the return upon which
payment was made, such payment appears Necessity of proof in claim for refund
clearly to have been erroneously paid, the A claim for refund partakes of the nature of an
CIR may refund or credit the tax even exemption and is strictly construed against the
without a written claim [Sec. 229, NIRC] claimant. The burden of proof is on the
2. A return filed showing an overpayment shall taxpayer claiming the refund that he is entitled
be considered as a written claim for credit or to the same [CIR v. Tokyo Shipping, G.R. No.
refund [Sec. 204(C), NIRC] L-68252 (1995)]
3. The claim must be a categorical claim for
reimbursement [Bermejo v. CIR, G.R. No. L- ii. Proper Party to File Claim for Refund
3029 (1950)]
or Tax Credit
4. The claim for refund must be filed within two
(2) years from the date of the payment of the
General Rule: The “taxpayer” is the person
tax regardless of any supervening cause
entitled to claim a tax refund; hence, the proper
[Sec. 229, NIRC]
party to file a claim for refund or credit.
Note: Both the claim for refund with the BIR Exceptions:
and the subsequent appeal to the CTA must a. In case of indirect taxes, the proper party is
be filed within the 2-year period. the “statutory taxpayer, the person on
e. Taxpayer must show proof of the payment whom the tax is imposed by law and who
of tax [Sec. 229, NIRC] paid the same even if he shifts the burden
thereof to another” [Silkair (Singapore) Pte.
Ltd. v. CIR, G.R. No. 173594 (2008)].
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b. Withholding agent Remedy upon Denial or Inaction by the CIR
i. In case the taxpayer does not
file a claim for refund, the Taxpayer’s remedies
withholding agent may file the 1. If the CIR denies claim – appeal to the CTA
claim [CIR v. Smart within 30 days from receipt of the CIR’s
Communications, Inc., G.R. decision and within 2 years from the date of
Nos. 179045-46 (2010)] payment
ii. The withholding agent of a non- 2. If the CIR does not act on the claim and the
resident foreign corporation 2-year period is about to lapse – file a claim
may file the claim [CIR v. before the CTA prior to the lapse of the 2-
Procter & Gamble Phil. Mfg. year period; otherwise, the claim shall be
Corp., G.R. No. L-66838 barred [R.A. 1125, as amended]
(1991)]
Simultaneous filing allowed
Reason: The withholding agent, who is made If the CIR takes time in deciding the claim and
personally liable for the withholding tax, is a the period of two years is about to end, the suit
“taxpayer” under the NIRC. The withholding or proceeding must be started in the CTA
agent is directly and independently liable for before the end of the 2-year period without
the correct amount of tax that should be awaiting the decision of the CIR [Gibbs v. CIR,
withheld and for deficiency assessments, G.R. No. L-17406 (1965)]
surcharges and penalties [CIR v. Procter &
Gamble Phil. Mfg. Corp., supra]. Period for claiming refund once granted
The refund check or warrant must be claimed
Option of a corporate taxpayer in case of or cashed within 5 years from the date such
excess income tax payments warrant or check was mailed or delivered;
If the sum of the quarterly tax payments made otherwise, it shall be forfeited in favor of the
during the taxable year exceeds the total tax government and the amount thereof shall
due on the entire taxable income of that year, revert to the general fund [Sec. 230(A), NIRC].
the corporation shall either:
a. Carry-over the excess credit; or Period for using the TCC
b. Be credited or refunded with the TCCs may be applied against all internal
excess amount paid revenue taxes, excluding withholding tax.
TCCs which remain unutilized after 5 years
Note: These two options under Section 76 are from the date of issue shall, unless revalidated,
alternative in nature. The choice of one be considered as invalid, and shall revert to the
precludes the other [Republic v. Team (Phils.) general fund [Sec. 230(B), NIRC].
Energy Corporation, G.R. No. 188016 (2015)].
All TCCs issued by the BIR shall not be allowed
Irrevocability rule to be transferred or assigned to any person [RR
Once the option to carry over and apply the 14-2011].
excess income tax payments to succeeding
quarters of the succeeding years is taken, that iii. Distinction Between Refund of
option is irrevocable for that taxable period. Unutilized Input VAT (Sec. 112, NIRC)
Consequently, a taxpayer is barred from and Refund of Erroneously or Illegally
securing a refund of, or tax credit certificate for, Collected Tax (Sec. 229, NIRC)
the excess amount that it has initially opted to
carry-over [Sec. 76, NIRC]. Rules on refund of excess or unutilized
input VAT
Payment under protest not required 1. When to file an administrative claim with
A suit or proceeding for tax refund may be the CIR:
maintained whether or not such tax, penalty or
sum has been paid under protest or duress General Rule: Within 2 years from the close of
[Sec. 229, NIRC]. the taxable quarter when the sales were made
[Sec. 112(A), NIRC; CIR v. Mirant Pagbilao,
G.R. No. 172129 (2008)]

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Exception: Within 2 years from the date of
If the 2-year period Sec. 112(C) of the
payment of the output VAT, if the
is about to lapse NIRC provides a 90-
administrative claim was filed from June 8,
and the CIR has not day waiting period for
2007 (promulgation of Atlas v. CIR) to
acted on the claim, the CIR to decide on
September 12, 2008 (promulgation of Mirant)
the taxpayer may the application for tax
already appeal to refund or credit.
2. When to file a judicial claim with the
the CTA without Compliance with the
CTA:
waiting for the 90-day waiting period
General Rule: Section 112(D) applies; not
decision of the CIR. is mandatory and
Section 229
jurisdictional.
a. Within 30 days from the full or partial denial
of the administrative claim by the CIR; or Thus, the taxpayer
b. Within 30 days from the expiration of the may elevate his claim
90-day period provided to the CIR to to the CTA
decide on the claim. This is mandatory and a. within 30
jurisdictional. days from the
full or partial
Exception: The judicial claim need not await
denial of the
the expiration of the 90-day period, if such was
claim, or
filed from December 10, 2003 (issuance of BIR
b. within 30
Ruling No. DA-489-03) to October 6, 2010
days after the
(promulgation of Aichi).
lapse of the
90-day
Sec. 229 Sec. 112 waiting
period, in
Refers to a refund Refers to a refund or case of
or credit of tax credit of excess inaction by
1. Tax erroneously or unutilized input the CIR.
or illegally VAT attributable to
assessed or zero-rated sales [CIR v. San Roque Power Corporation, G.R.
collected, or No. 187485 (2013); Visayas Geothermal
2. Penalty Power Company v. CIR, G.R. No. 197525
collected without (2014); Sec. 112, NIRC, as amended by
authority, or TRAIN Law]
3. Any sum
excessively or a. Power of Commissioner of Internal
wrongfully Revenue to Compromise
collected
Authority to compromise and abate taxes
The 2-year period The 2-year period General Rule: The CIR has the authority to
shall be reckoned shall be reckoned compromise or abate any tax liability [Sec.
from the date of from the close of the 7(C), NIRC].
payment of the tax taxable quarter
or penalty. when the sales were Exceptions: The power to compromise may
made. be delegated to
1. The Regional Evaluation Board (REB), in
Both the Only the case of:
administrative claim administrative claim a. Assessments issued by regional offices
with the CIR and is required to be filed involving basic taxes of P500,000 or
the appeal to the within the 2-year less; and
CTA must be made period. b. Minor criminal violations discovered by
within the 2-year regional and district officials [Sec. 7(C),
period. NIRC]
2. The National Evaluation Board (NEB),
when:
a. The basic tax exceeds P1,000,000, or
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b. The settlement offered is less than the without his consent. The BIR may only suggest
prescribed minimum rates [Sec. 204(A), settlement of the taxpayer’s liability through a
NIRC] compromise.

Grounds for a compromise Cases which may be compromised

The CIR may compromise the payment of any a. Delinquent accounts
internal revenue tax in the following cases: b. Cases under administrative protest after
a. Doubtful validity of the assessment – issuance of the FAN to the taxpayer which
when there exists reasonable doubt as are still pending in the Regional Offices,
to the validity of the claim against the Revenue District Offices, Legal Service,
taxpayer (e.g., one arising from a Large Taxpayer Service (LTS), Collection
jeopardy assessment, arbitrary Service, Enforcement Service and other
assessment); or offices in the National Office
b. Financial incapacity – when the c. Civil tax cases being disputed before the
financial position of the taxpayer courts
demonstrates a clear inability to pay d. Collection cases filed in courts
the assessed tax [Sec. 204(A), NIRC; e. Criminal violations, except
Sec. 3, RR 30-2002] i. Those already filed in court or
ii. Those involving criminal tax fraud [Sec.
Limits of the CIR’s Power to Compromise 2, RR 30-2002]
Ground Minimum compromise Cases which cannot be compromised:
rate a. Withholding tax cases, unless the
applicant-taxpayer invokes provisions
Financial 10% of the basic
of law that cast doubt on the taxpayer's
incapacity assessed tax
obligation to withhold
b. Criminal tax fraud cases confirmed as
Other cases 40% of the basic
such by the CIR or his duly authorized
assessed tax
representative
[Sec. 204(A), NIRC] c. Criminal violations already filed in
court
Payment of compromise upon filing of d. Delinquent accounts with duly
application approved schedule of installment
The compromise offer shall be paid by the payments
taxpayer upon filing of the application for e. Cases where final reports of
compromise settlement. No application for reinvestigation or reconsideration have
compromise settlement shall be processed been issued resulting in reduction in
without the full settlement of the offered the original assessment and the
amount. In case of disapproval of the taxpayer is agreeable to such decision
application for compromise settlement, the by signing the required agreement form
amount paid upon filing of the aforesaid for the purpose
application shall be deducted from the total f. Cases which become final and
outstanding tax liabilities [RR 9-2013]. executory after final judgment of a
court, where compromise is requested
on the ground of doubtful validity of the
Requisites of a tax compromise: assessment
• The taxpayer must have a tax liability; g. Estate tax cases where compromise is
• There must be an offer by the taxpayer or requested on the ground of financial
the Commissioner of an amount to be paid incapacity of the taxpayer [Sec. 2, RR
by the taxpayer 30-2002]
• There must be an acceptance by the
Commissioner or taxpayer as the case may Abatement
be, of the offer in settlement of the original It refers to the cancellation of the entire
claim. amount of tax payable.
Note: A compromise is consensual in nature.
Hence, it may not be imposed on the taxpayer
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Grounds for abatement b. Non-retroactivity of Rulings
a. The tax or any portion thereof appears
to be unjustly or excessively assessed; See Political Law Reviewer, General Principles
or of Taxation, Part G.3 on Prospectivity of Tax
b. The administration and collection costs Laws
do not justify the collection of the
amount due [Sec. 204(B), NIRC] 3. Government Remedies for
Collection of Delinquent Taxes
Coverage of abatement
General Rule: The CIR’s authority to abate is a. Requisites:
applicable to surcharge and compromise 1. The government can initiate collection
penalties only. administratively or judicially once the
assessment becomes final and executory.
Exception: In meritorious instances, the CIR
2. Collection must be made within 5 years
may abate the interest as well as basic tax
following the assessment of the tax [Sec.
assessed, provided that cases for abatement
222(c), NIRC].
or cancellation of tax, penalties and/or interest
by the CIR shall be coursed through certain The government has two ways to collect:
officials [Sec. 4, RR 13-2001]. 1. Summary or administrative remedies
a. Distraint on personal property
Compromise Abatement b. Levy on real property
2. Judicial remedies (civil or criminal)
As to nature/definition
Note: The remedies of distraint and levy shall
It is a contract It is the cancellation not be availed of where the amount of tax
whereby the parties, of the entire amount involved is not more than P100.
by reciprocal of tax payable
concessions, avoid because the tax b. Prescriptive Periods; Suspension of
a litigation or to put appears to be Running of Statute of Limitations
an end to one unjustly or
already excessively Prescriptive period
commenced. It assessed or the General Rule: The taxes due must be
reduces the amount costs do not the collected within 5 years following the
of taxpayer’s collection of the assessment of the tax [Sec. 222(c), NIRC].
liability. amount due.
Exceptions:
As to authorized officer a. In case of (i) false or fraudulent return with
intent to evade tax or of (ii) failure to file a
CIR and, in certain CIR return, a proceeding in court for the
cases, the NEB and collection of such tax without assessment
REB may be made within 10 years from
discovery of falsity, fraud or omission [Sec.
As to grounds 222(a), NIRC]
b. When a waiver of the statute of limitation is
1. Doubtful validity 1. Unjustly or executed within the 5-year period, collection
of assessment excessively may be made within the period agreed upon
2. Financial assessed tax [Sec. 222(d), NIRC]
incapacity 2. Administration
and collection Court proceeding for collection of tax
costs do not General Rule: No proceeding in court without
justify the assessment for the collection of taxes may be
collection of the made after the 3-year period for making an
amount due assessment [Sec. 203, NIRC].

Exception: A proceeding in court for the

collection of such tax may be filed without

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assessment in the case of (i) false or fraudulent ii. Distraint and Levy
return with intent to evade tax or of (ii) failure to
file a return [Sec. 222(a), NIRC]. Distraint of Personal Property
Distraint is a remedy in which the collection of
Waiver of prescriptive period tax is enforced on the goods, chattels, or
If tax was assessed within the period agreed effects, and other personal property of
upon by the CIR and the taxpayer, such tax whatever character, including stocks and other
may be collected by distraint or levy or by a securities, debts, credits, bank accounts, and
proceeding in court within the period agreed interest in and rights to personal property [Sec.
upon in writing before the expiration of the 5- 205(a), NIRC].
year period [Sec. 222(d), NIRC].
Kinds of Distraint:
Suspension of running of statute of 1. Constructive Distraint
limitations 2. Actual Distraint

See discussion under Assessments

Constructive Actual Distraint
Distraint
c. Administrative Remedies
As to procedure
i. Tax Lien
The BIR does not The personal
A tax lien is a legal claim or charge on property, take physical property is actually
whether real or personal, established by law as possession of the taken.
a source of security for the payment of tax personal property.
obligations [HSBC v. Rafferty, G.R. No. L-
13188 (1918)]. As to basis

Nature and extent of tax lien Delinquency of the The taxpayer is

1. When a taxpayer neglects or refuses to pay taxpayer is not already delinquent in
his internal revenue tax liability after necessary. the payment of his
demand, the amount so demanded shall be taxes.
a lien in favor of the government from the
time the assessment was made by the CIR As to the disposition of the property
until paid with interests, penalties, and costs
that may accrue in addition thereto upon all The personal The personal
property and rights to property belonging to property is merely property is taken to
the taxpayer. held as security to be sold in order to
2. The lien shall NOT be valid against any answer for any satisfy the tax
mortgagee, purchaser or judgment creditor future tax delinquencies.
until notice of such lien shall be filed by the delinquencies.
CIR in the office of the Register of Deeds of
the province or city where the property of As to purpose
the taxpayer is situated or located [Sec.
To protect the To satisfy the tax,
219, NIRC].
government expenses of distraint
Seizure under forfeiture vs. seizure to revenues and and the cost of the
enforce a tax lien ensure that there subsequent sale.
In the former, all the proceeds derived from the are properties that
sale of the thing forfeited are turned over to the the government
CIR; in the latter, the residue after payment of could proceed
taxes and expenses is returned to the owner of against after a
the property [BPI v. Trinidad, G.R. No. L-16014 determination of the
(1921)]. amount of
deficiency taxes.
[Tabag]

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Grounds for Constructive Distraint: statement of the sum demanded and note of
When the taxpayer is: the time and place of sale, either:
1. Delinquent; or a. With the owner or person from whose
2. Retiring from any business subject to tax; or possession such goods, chattels, or
3. Intending to leave the Philippines; or effects or other personal property were
4. Intending to remove his property from the taken; or
Philippines or to hide or conceal his b. With someone of suitable age and
property; or discretion at the dwelling or place of
5. Planning to perform any act tending to business of such person [Sec. 208,
obstruct the proceedings for collecting the NIRC]
tax due or which may be due from him [Sec.
206, NIRC]. Distraint of intangible properties
a. Stocks and other securities — by
How constructive distraint is effected: serving a copy of the warrants of
1. By requiring the taxpayer or any person distraint on the taxpayer, and upon the
having possession or control of such president, manager, treasurer or other
property to: responsible officer of the corporation,
a. Sign a receipt covering the property company or association which issued
distrained; the stocks or securities
b. Obligate himself to preserve the same b. Debts and credits — by leaving with the
intact and unaltered; and person owing the debts or having in his
c. Not to dispose of the same in any possession or under his control such
manner whatever, without the express credits, or with his agent, a copy of the
authority of the CIR. warrant of distraint
2. In case the taxpayer or the person having c. Bank accounts — by serving a warrant
the possession and control of the property of garnishment upon the taxpayer and
refuses or fails to sign the receipt, the upon the president, manager, treasurer
revenue officer effecting the constructive or other responsible officer of the bank
distraint shall proceed to prepare a list of [Sec. 208, NIRC]
such property and, in the presence of two
(2) witnesses, leave a copy thereof in the 3. Report on the distraint
premises where the property distrained is A report shall be submitted by the distraining
located [Sec. 206, NIRC] officer to the Revenue District Officer, and to
the Revenue Regional Director within 10 days
Garnishment from receipt of the warrant [Sec. 207(A), NIRC]
This refers to the taking of personal properties,
usually cash or sums of money, owned by a Note: The CIR or his duly authorized
delinquent taxpayer which is in the possession representative may, in his discretion, allow the
of a third party (e.g., bank accounts). lifting of the order of distraint [Sec. 207(A),
NIRC].
Procedure for actual distraint
1. Commencement of distraint 4. Notice of sale of distrained
proceedings properties
The warrant of distraint is issued by: a. A notice of the public sale shall be
a. CIR or his duly authorized posted in not less than two (2) public
representative – where the amount places in the municipality or city (one of
involved is more than P1,000,000 which is the Office of the Mayor) where
b. Revenue District Officer – where the the distraint was made.
amount involved is P1,000,000 or less b. The notice shall specify the time and
[Sec. 207(A), NIRC] place of the sale.
c. The time of sale shall not be less than
2. Service of warrant of distraint 20 days after notice to the owner and
Distraint of tangible properties the publication or posting of such
The officer serving the warrant shall leave a list notice [Sec. 209, NIRC].
of the personal property distrained, including a

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5. Sale at public auction When levy may be made
a. At the time of the public sale, the It can be made before, simultaneously or after
revenue officer shall sell the goods, the distraint of personal property [Sec. 207(B),
chattels, or effects, or other personal NIRC].
property at a public auction, to the
highest bidder for cash or with the Note: If the warrant of levy is not issued before
approval of the CIR, through a duly or simultaneously with the warrant of distraint,
licensed commodity or stock and the proceeds from the sale of the
exchanges. distrained properties are not sufficient to satisfy
b. In case of stocks and other securities, the tax delinquency, the CIR or his duly
the officer shall execute a bill of sale authorized representative shall within 30 days
which he shall deliver to the buyer, and after execution of the distraint, proceed with the
copy thereof to the corporation, levy on the taxpayer’s real property [Sec.
company or association that issued the 207(B), NIRC].
stocks or other securities.
c. Any residue over and above what is Procedure for levy on real property
required to pay the entire claim,
including expenses of sale and 1. Issuance of warrant of levy
distraint, shall be returned to the owner
of the property sold. The expenses The CIR or his duly authorized representative
shall be limited to actual expenses of shall prepare a duly authenticated certificate
seizure and preservation of the showing:
property pending the sale, excluding a. The name of the taxpayer;
charges for the services of the local b. The amount of tax and penalty due from
internal revenue officer or his deputy him; and
[Sec. 209, NIRC]. c. A description of the property levied upon.
6. Release of the properties from 2. Service of written notice
distraint Written notice of the levy shall be mailed to or
If at any time prior to the consummation of the served upon:
sale all proper charges are paid to the officer a. The Register of Deeds of the city of the
conducting the sale, the goods or effects province where the property is located
distrained shall be restored to the owner [Sec. and
210, NIRC]. b. Upon (i) the delinquent taxpayer, or (ii)
if he be absent from the Philippines, to
7. Purchase by the government at his agent or the manager of the
sale upon distraint business in respect to which the liability
If the highest bid is not equal to the amount of arose, or (iii) if there be none, to the
the tax or is very much less than the actual occupant of the property in question
market value of the articles offered for sale, the [Sec. 207(B), NIRC]
CIR or his deputy may purchase the same on
behalf of the National Government for the 3. Advertisement of the sale
amount of taxes, penalties and costs due. The Within 20 days after levy, an advertisement of
property so purchased may be resold by the the sale of the property or a usable portion
CIR or his deputy [Sec. 212, NIRC]. thereof necessary to satisfy the claim and cost
of sale shall be made, and the advertisement
8. Report of sale to CIR shall cover a period of 30 days [Sec. 213,
Within 2 days after the sale, the officer making NIRC].
the same shall make a report of his
proceedings in writing to the CIR [Sec. 211, It shall be effected by:
NIRC]. a. Posting a notice at the main entrance of the
municipal building or city hall and in a
public and conspicuous place in the barrio
or district in which the real estate lies; and

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b. Publication once a week for 3 weeks in a Government in satisfaction of the claim in
newspaper of general circulation in the question.
municipality or city where the property is a. If there is no bidder for the real
located [Sec. 213, NIRC] property; or
b. If the highest bid is not sufficient to
The advertisement shall contain: pay the taxes, penalties and costs
a. The amount of taxes and penalties due; [Sec. 215, NIRC]
b. The time and place of sale;
c. The name of the taxpayer against whom The Register of Deeds shall transfer the title of
taxes are levied; and the property upon registration with his office of
d. A short description of the property to be any declaration of forfeiture [Sec. 215, NIRC].
sold [Sec. 213, NIRC]
The taxpayer may redeem said property by
4. Sale of real property paying the full amount of taxes and penalties,
At any time before the day fixed for the sale, with interest thereon and the costs of sale
the taxpayer may discontinue all within one (1) year from date of forfeiture.
proceedings by paying the taxes, penalties Otherwise, the forfeiture shall become absolute
and interest. Otherwise, the sale shall [Sec. 215, NIRC].
proceed [Sec. 213, NIRC].
Further distraint or levy
The remedy by distraint of personal property
In case the proceeds of the sale exceed the
and levy on realty may be repeated if
claim and cost of sale, the excess shall be necessary until the full amount due, including
turned over to the owner of the property [Sec. all expenses, is collected [Sec. 217, NIRC].
213, NIRC].
Summary
5. Redemption of property sold
Within one (1) year from the date of sale, the Distraint Garnishment Levy of real
taxpayer or anyone for him, may pay to the property
Revenue District Officer the following:
The seizure The taking of The seizure
a. Public taxes
of personal personal of real
b. Penalties
property, property, property of
c. Interest from the date of delinquency to
tangible or usually cash the taxpayer
the date of sale
intangible, or sums of by the
d. Interest of 15% per annum on said
by the money, government
purchase price from the date of sale to
government owned by the in order to
the date of redemption [Sec. 214,
to effect delinquent enforcement
NIRC; RMC 46-2018]
collection of taxpayer payment of
Note: The owner shall not be deprived of taxes which is in the taxes.
possession of the said property and shall be including possession of
entitled to rents and other income until the penalties. a third party.
expiration of the period for redemption [Sec. [Tabag]
214, NIRC].
iii. Forfeiture of Real Property
6. Final deed of sale to the
purchaser Forfeiture implies a divestiture of property
If the property is not redeemed within the without compensation in consequence of a
period of redemption, a final deed of sale shall default or offense. The effect of forfeiture is to
be issued in favor of the purchaser. transfer the title of the specific thing from the
owner to the government [De Leon].
7. Forfeiture in favor of the
government Instances when forfeiture is appropriate
The Internal Revenue Officer conducting the 1. All chattels, machinery, and removable
sale shall declare the property forfeited to the fixtures of any sort used in the unlicensed
production of articles [Sec. 268(B), NIRC]

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2. Dies and other equipment used for the Disposition of funds recovered in legal
printing or making of any internal revenue proceedings or obtained from forfeiture
stamp, label or tag which is in imitation of or All judgments and monies recovered and
purports to be a lawful stamp, label or tag received for taxes, costs, forfeitures, fines and
[Sec. 268(B), NIRC] penalties shall be paid to the CIR or his
3. Goods subject to excise tax which are authorized deputies as the taxes themselves
illegally stored or removed [Sec. 268(C), are required to be paid, and except as specially
NIRC] provided, shall be accounted for and dealt with
4. Liquor or tobacco shipped or removed in the same way [Sec. 226, NIRC].
under a false name or brand [Sec. 262,
NIRC] iv. Suspension of Business Operation

Enforcement of forfeitures In addition to other administrative and penal

1. Forfeiture of chattels and removable sanctions, the CIR or his duly authorized
fixtures — enforced by the seizure, sale or representative may order the suspension or
destruction of the specific forfeited closure of a business establishment for any of
property the following violations:
2. Forfeiture of real property — enforced by a 1. Failure to issue receipts and invoices;
judgment of condemnation and sale in a 2. Failure to file VAT returns as required under
legal action or proceeding civil or criminal Sec. 114 of the NIRC;
as the case may require [Sec. 224, NIRC] 3. Understatement of taxable sales or receipts
by 30% or more of his correct taxable sales
Resale of real estate taken for taxes or receipt for the taxable quarter [Sec.
In case of any real estate taken by the 115(a), NIRC];
government in payment of taxes, penalties or 4. Failure of any person to register as required
costs or in compromise or adjustment of any under Sec. 236 of the NIRC, in which case,
claim, the CIR may: the closure shall be for a duration of not less
a. Sell the same at a public auction after than 5 days and shall be lifted only upon
giving not less than 20 days notice; or compliance [Sec. 115(b), NIRC]
b. Dispose of the same at a private sale
upon approval of the Secretary of v. Judicial Remedies
Finance [Sec. 216, NIRC]
Form and Mode of Proceeding
When property to be sold or destroyed Civil and criminal action and proceedings
1. Forfeited chattels and removable fixtures — instituted in behalf of the Government under
sold in the same manner and under the the authority of this Code or other law enforced
same conditions as the public notice and the by the BIR shall be:
time and manner of sale as are prescribed a. Brought in the name of the Government of
for sales of personal property distrained for the Philippines;
the non-payment of taxes b. Conducted by legal officers of the BIR; and
2. Distilled spirits, liquors, cigars, cigarettes, c. Filed in court only with the approval of the
other manufactured products of tobacco CIR [Sec. 220, NIRC]
and all apparatus used in or about the illicit
production of such articles — destroyed by Civil Action
the order of the CIR when the sale or use Two ways by which civil liability is enforced
would be injurious to public health or a. By filing a civil case for the collection of
prejudicial to the enforcement of the law sum of money with the proper regular
3. All other articles subject to excise tax court; and
manufactured or removed in violation of the b. By filing an answer to the petition for
Code, dies for the printing or making of review filed by the taxpayer with the
internal revenue stamps and labels — sold CTA [Mamalateo]
or destroyed in the discretion of the CIR
[Sec. 225, NIRC] Criminal Action
Note: Forfeited property shall not be destroyed Any person convicted of a crime under the
until at least 20 days after seizure [Sec. 225, NIRC shall be:
NIRC]. a. Liable for the payment of the tax; and
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b. Subject to the penalties imposed
public office, and
under the NIRC [Sec. 253(a), NIRC]
perpetually disqualified
Prescriptive period for criminal action from holding any public
All violations of any provision of the NIRC shall office, to vote, and to
prescribe after 5 years: participate in
a. From the day of the commission of the any election.
violation; or
CPA His license shall be
b. If not known at the time, from the discovery
automatically revoked or
thereof and the institution of judicial
canceled upon
proceedings for its investigation and
conviction.
punishment [Sec. 281, NIRC]

When prescription is interrupted Corporations, The penalty shall be

a. When proceedings are instituted against the associations, imposed on the partner,
guilty persons and the period shall run again if partnerships, president, general
the proceedings are dismissed for reasons not etc. manager, branch
constituting jeopardy; or manager, treasurer,
b. When the offender is absent from the officer-in-charge and
Philippines [Sec. 281, NIRC] employees responsible
for the violation.
Assessment not necessary before filing a [Sec. 253, NIRC]
criminal charge for tax evasion
An assessment is not necessary before a Minimum amount of fine
criminal charge can be filed. The criminal The fines imposed for any violation of the NIRC
charge need only be proved by a prima facie shall not be lower than the fines imposed
showing of a willful attempt to file taxes, such herein or twice the amount of taxes, interests
as failure to file a required tax return [CIR v. and surcharges due from the taxpayer,
Pascor, G.R. No. 128315 (1999)]. whichever is higher [Sec. 253(e), NIRC].
Payment of tax not a defense Common crimes punishable under the
Payment of the tax due after a criminal case NIRC
has been filed shall not constitute a valid a. Attempt to evade or defeat tax [Sec.
defense in any prosecution for violation of the 254, NIRC]
provisions under the NIRC [Sec. 253(a), b. Willful failure to file return, supply
NIRC]. correct and accurate information, pay
tax, withhold and remit tax and refund
Liability of person who aids or abets excess taxes withheld on
Any person who willfully aids or abets in the compensation [Sec. 255, NIRC]
commission of a crime penalized under the
NIRC or who causes the commission of any Willful blindness doctrine
such offense by another shall be liable in the The neglect or omission of the taxpayer to
same manner as the principal [Sec. 253(b), ensure compliance with her obligation to file
NIRC]. her ITRs and pay the tax due is tantamount to
“deliberate ignorance” or “conscious
Offender Penalty avoidance” [People v. Kintanar, CTA EB Crim.
No. 006 (2010)]
Not a citizen of He shall be deported
the Philippines immediately after serving d. No Injunction Rule; Exceptions
the sentence.
General Rule: No court shall have the
A public officer The maximum penalty authority to grant an injunction to restrain the
or employee prescribed for the offense collection of any national internal revenue tax,
shall be imposed and he fee or charge imposed by the NIRC [Sec. 218,
shall be dismissed from NIRC].

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Exception: When in the opinion of the CTA,
Deficiency Delinquency
the collection of tax may jeopardize the interest
Interest Interest
of the government and/or the taxpayer, the
CTA may suspend said collection and require Base Basic tax Basic tax +
the taxpayer to deposit the amount claimed or deficiency
file a surety bond [Sec. 11, R.A. 1125, as interest +
amended]. surcharge
4. Civil Penalties Reckoning From the date From the
Date prescribed for due
a. Delinquency Interest and its payment date
Deficiency Interest until the full appearing in
payment the notice
Interest thereof and demand
In general, interest is assessed and collected of the CIR
on any unpaid amount of tax at the rate of 12% until the
or double the legal interest rate for loans or amount is
forbearance of any money as set by the BSP fully paid
from the date prescribed for payment until the
amount is fully paid [Sec. 249(A), NIRC; Sec. Rate 12% per annum
2, RR 21-2018].

Note: The rate of interest per BSP Circular No. Note: Upon effectivity of the TRAIN Law on
799 series of 2013 for loans or forbearance of January 1, 2018, the deficiency and the
any money in the absence of an express delinquency interest SHALL NOT be imposed
stipulation is 6%. Thus, the interest rate simultaneously [Sec. 249(A), NIRC; Sec. 5, RR
imposable shall be 12% [Sec. 2, RR 21-2018]. 21-2018].
Deficiency Interest Interest on extended payment
Interest at the rate of 12% per annum on any Interest at the rate of 12% per annum on the
deficiency tax due, which interest shall be tax or deficiency tax or any part thereof unpaid
assessed and collected from the date from the date of notice and demand until it is
prescribed for its payment until: paid in the following cases:
a. Full payment thereof; or a. When a person elects to pay the tax on
b. Upon issuance of a notice and installment, but fails to pay the tax or
demand by the CIR or his any installment, or any part of such
authorized representative, amount or installment on or before the
whichever comes first [Sec date prescribed for its payment; or
249(B), NIRC; Sec. 3, RR 21- b. Where the CIR has authorized an
2018] extension of time within which to pay a
tax or a deficiency tax or any part
Delinquency interest thereof [Sec. 249(D), NIRC]
Interest at the rate of 12% per annum on the
unpaid amount in case of failure to pay: Effectivity of the 12% interest rate
a. The amount of the tax due on any The interest rate of 12% is effective starting
return required to be filed; or January 1, 2018. Prior to such date, the
b. The amount of the tax due for which no applicable interest rate shall be 20%.
return is required; or
c. A deficiency tax, or any surcharge or e. Surcharge
interest thereon on the due date
appearing in the notice and demand of This is a civil penalty imposed in addition to the
the CIR or his authorized tax required to be paid [Sec. 248, NIRC]
representative until the amount is fully Rates of surcharge
paid, which interest shall form part of 1. 25% of the amount due in the following
the tax [Sec. 249(C), NIRC; Sec. 4, RR cases:
21-2018]
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a. Failure to file any return and pay the tax • Substantial under declaration of sales,
due on the prescribed date; or receipts or income – failure to report sales,
b. Filing a return with an internal revenue receipts or income in an amount exceeding
officer other than those with whom the 30% of that declared per return
return is required to be filed, unless the • Substantial overstatement of deductions – a
CIR authorizes otherwise; or claim of deductions in an amount exceeding
c. Failure to pay the deficiency tax within 30% of actual deductions [Sec. 248(B),
the time prescribed for its payment in the NIRC]
notice of assessment; or
d. Failure to pay the full or part of the f. Compromise Penalty
amount of tax due on or before the date
prescribed for its payment [Sec. 248(A), A compromise penalty is an amount of money
NIRC] paid by a taxpayer to compromise a tax
2. 50% of the tax or of the deficiency tax in violation that he has committed, in lieu of the
case any payment has been made, in the BIR instituting a criminal action against the
following cases: taxpayer. A compromise is consensual in
a. Willful neglect to file the return within the character, hence, may not be imposed on the
prescribed period; or taxpayer without his consent [Sec. 6, RR 12-
b. A false or fraudulent return is willfully 99].
made [Sec. 248(B), NIRC]
Note: All criminal violations may be
compromised except:
a. Those already filed in court; or
b. Those involving fraud
Prima facie evidence of a false or fraudulent
return

ILLUSTRATION
Mr. A has been assessed deficiency income tax of P1,000,000, exclusive of interest and surcharge,
for taxable year 2015. The tax liability remained unpaid despite the lapse of June 30, 2017, the
deadline for payment stated in the notice and demand issued by the Commissioner. Payment was
made by Mr. A on February 10, 2018. The civil penalties are computed as follows:

Basic Tax Due P 1,000,000.00

Add: 25% surcharge for late payment P 250,000.00

20% deficiency interest from April 16, 2016 to June 30, 2017
(441 days) 241,643.84 491,643.84

Total amount due, June 30, 2017 P 1,491,634.84

Add: 20% deficiency interest from July 1, 2017 to December 31,

2017 (184 days based on P1M) P 100,821.92

20% delinquency interest from July 1, 2017 to December 31,

2017 (184 days based on total amount as of June 30, 2017) 150,390.39

12% delinquency interest from January 1, 2018 to February

10, 2018 (41 days based on total amount due as of June 30,
2017) 20,106.54 271,318.85

Total amount due, February 10, 2018 P 1,762,962.90

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II. TAX REMEDIES UNDER the City Treasurer [China Banking Corp. v. City
Treasurer, G.R. No. 204117 (2015)].
THE LOCAL GOVERNMENT
CODE OF 1991 2. Claim for Refund or Tax Credit
of Erroneously or Illegally
A. Taxpayer’s Remedies Collected Tax, Fee, or Charge

Requisites:
1. Protest of Assessment 1. A written claim for refund or credit must be
filed with the local treasurer; and
How filed: Written protest 2. The case or proceeding must be filed in
court within 2 years from the payment of tax
When filed: Within 60 days from receipt of the or from the date the taxpayer became
notice of assessment; otherwise, it shall entitled to refund or credit [Sec. 196, LGC]
become final and executory
3. Question the Legality of the
With whom filed: Local treasurer
Ordinance
The local treasurer shall decide the protest
within 60 days from the time of its filing. Any question on the constitutionality or legality
a. If found to be wholly or partly meritorious, a of tax ordinances or revenue measures may be
notice canceling wholly or partially the raised on appeal to the Secretary of Justice
assessment will be issued. [Sec. 187, LGC].
b. If denied or when the 60-day period already
lapsed, the taxpayer shall have 30 days Procedure
thereafter to appeal with the court of 1. Appeal must be made to the Secretary of
competent jurisdiction; otherwise, the Justice within 30 days from effectivity of the
assessment becomes conclusive and ordinance.
unappealable [Sec. 195, LGC]. 2. The Secretary must render a decision within
60 days from receipt of the appeal.
Court of competent jurisdiction
1. Depending on the amount involved, the Note: The appeal shall not suspend the
taxpayer may appeal the decision of the effectivity of the ordinance and the accrual
local treasurer to the MTC, MeTC, MCTC or and payment of the tax, fee or charge levied
the RTC in the exercise of its original therein.
jurisdiction. 3. Within 30 days after receipt of the decision
2. Local tax cases decided by the MTC, MeTC or the lapse of the 60-day period without any
and MCTC may be appealed to the RTC in action from the Secretary of Justice, the
the exercise of its appellate jurisdiction. aggrieved party may file appropriate
3. Said cases decided by the RTC in its proceedings with a court of competent
original or appellate jurisdiction may be jurisdiction [Sec. 187, LGC].
elevated to the CTA.
Note: The Secretary of Justice can only
With the passage of R.A. 9282, the authority to review the constitutionality or legality of the
exercise either original or appellate jurisdiction tax ordinance, and, if warranted, to revoke it
over local tax cases depended on the amount on either or both of these grounds. There is
of the claim. In cases where the RTC exercises no need for a written protest when disputing
appellate jurisdiction, it necessarily follows that an ordinance [Ingles].
there must be a court capable of exercising
original jurisdiction – otherwise there would be
no appeal over which the RTC would exercise
appellate jurisdiction. The RTC exercises
appellate jurisdiction only from cases decided
by the Metropolitan, Municipal, and Municipal
Circuit Trial Courts in the proper cases, and not
those decided by non-judicial entities such as
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B. Assessment and Collection may be levied on before, simultaneously or
after the distraint of personal property
of Local Taxes b. Preparation of a duly authenticated
certificate by the local treasurer effecting
1. Remedies of LGUs the levy and showing:
i. The name of the taxpayer,
a. Local Government’s Lien ii. The amount of the tax, fee or
iii. Charge, and penalty due, and
Local taxes, fees, charges and other revenues iv. The description of the property
constitute a lien, superior to all liens or c. Service of written notice of levy to the
encumbrances in favor of any person, assessor, Register of Deeds, and the
enforceable by administrative or judicial action delinquent taxpayer (or his agent if he
[Sec. 173, LGC]. be absent from the Philippines, or if
none, to the occupant of the property in
The lien may only be extinguished upon full question)
payment of the delinquent local taxes, fees, d. Annotation of the levy on the tax
and charges including related surcharges and declaration and the certificate of title
interest [Id]. e. Report on any levy to be submitted to
the Sanggunian within 10 days after
b. Civil Remedies, in General receipt of warrant [Sec. 176, LGC]
f. Advertisement of the sale or auction
Administrative Action shall be held within 30 days after the
levy
Distraint of personal property g. Before the date of sale, the taxpayer
Subject of distraint — goods, chattels or effects may stay the proceedings by paying
and other personal property of whatever the taxes, fees, charges, penalties and
character, including stocks and other interests
securities, debts, credits, bank accounts, and h. Sale of the subject property [Sec. 178,
interest in and rights to personal property [Sec. LGC]
174(a), LGC] i. Redemption of property sold within 1
year from date of sale [Sec. 179, LGC]
Procedure j. If not redeemed, the local treasurer
a. Seizure of personal property shall execute a deed conveying the
b. Accounting of distrained goods property to the purchaser [Sec. 180,
c. Publication of time and place of sale and LGC]
the articles distrained k. Purchase of the real property by the
d. Release of distrained property upon local treasurer in case there is no
payment prior to sale bidder for said property or if the highest
e. Sale of the goods or effects distrained at bid is insufficient to pay the taxes, fees,
public auction or charges, related surcharges,
interests, penalties and costs; resale of
Note: If the property distrained is not said property may be made at a public
disposed of within 120 days from the date of auction [Secs. 181 and 182, LGC]
distraint, the same shall be considered as
sold to the LGU for the amount of the Further distraint or levy
assessment made [Sec. 175(e), LGC]. The remedies of distraint or levy may be
f. Disposition of proceeds [Sec. 175, LGC] repeated if necessary until the full amount due,
including all expenses, is collected [Sec. 184,
Levy on real property LGC].
Subject of levy — real property and interest in
or rights to real property [Sec. 174(a), LGC] Note: In case the levy is not issued before or
simultaneously with the warrant of distraint,
Procedure and the personal property of the taxpayer is not
a. After expiration of the time for payment of sufficient to satisfy his delinquency, the local
delinquent tax, fee or charge, real property treasurer shall within 30 days after execution of

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the distraint, proceed with the levy on the of local taxes. Such lapse may have allowed
taxpayer's real property [Sec. 176, LGC]. preliminary injunction under Rule 58 of the
Rules of Court where local taxes are involved
Property exempt from distraint or levy [Angeles City v. Angeles City Electric
(ToB-CUPLAF) Corporation, G.R. No. 166134 (2010)].
a. Tools and implements necessarily
used by the taxpayer in his trade or Prescriptive period for assessment
employment General Rule: Within 5 years from the date
b. One horse, cow, carabao, or other they become due
Beast of burden, such as the
delinquent taxpayer may select and Exception: In case of fraud or intent to evade
necessarily used by him in his ordinary tax, within 10 years from discovery of fraud or
occupation intent to evade payment [Sec. 194(a), (b),
c. His necessary Clothing, and that of all LGC]
his family
d. Household furniture and Utensils Prescriptive period for collection
necessary for housekeeping and used Within 5 years from the date of assessment by
for that purpose by the delinquent administrative or judicial action. No such action
taxpayer, such as he may select, of a shall be instituted after the expiration of said
value not exceeding P10,000 period [Sec. 194(c), LGC].
e. Provisions, including crops, actually
provided for individual or family use Grounds for suspension of prescriptive
sufficient for four (4) months period
f. The professional Libraries of doctors, 1. The treasurer is legally prevented from
engineers, lawyers and judges making the assessment or collection
g. One Fishing boat and net, not 2. The taxpayer requests for reinvestigation
exceeding the total value of P10,000 by and executes a waiver in writing before the
the lawful use of which a fisherman lapse of the period for assessment or
earns his livelihood collection
h. Any material or Article forming part of a 3. The taxpayer is out of the country or
house or improvement of any real otherwise cannot be located [Sec. 194(d),
property [Sec. 185, LGC] LGC]

Penalty on local treasurer for failure to D. Remedies under the LGC

issue and execute warrant of distraint or on Real Property Tax
levy
Automatic dismissal from service after due 1. Remedies of LGUs
notice and hearing [Sec. 177, LGC]
Issuance of notice of delinquency
C. Judicial Action When the real property tax becomes
delinquent, the local treasurer shall post a
The LGU may enforce the collection of notice of delinquency at the main hall and in a
delinquent taxes, fees, charges or other publicly accessible and conspicuous place in
revenues by civil action in any court of each barangay of the LGU concerned [Sec.
competent jurisdiction within 5 years from the 254, LGC].
date they became due [Secs. 183 and 194,
LGC]. Local government’s lien
The RPT shall constitute a lien on the property
Note: Either of these remedies (administrative subject to tax, superior to all liens, charges or
or judicial action) or all may be pursued encumbrances in favor of any person,
concurrently or simultaneously at the discretion irrespective of the owner or possessor thereof,
of the LGU concerned [Sec. 174, LGC]. enforceable by administrative or judicial action
and may only be extinguished upon payment of
Injunction against collection of local taxes the tax and the related interests and expenses
The LGC does not contain a provision [Sec. 257, LGC].
prohibiting courts from enjoining the collection
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It constitutes a lien on the property from the Further levy until full payment
date of accrual (i.e., January 1) [Sec. 246, Levy may be repeated if necessary until the full
LGC]. due, including all expenses, is collected [Sec.
265, LGC].
a. Administrative Action
Distraint of personal property
Levy on real property The notice of delinquency shall state that
a. After expiration of the time required to pay personal property may be distrained to effect
the tax when due, the local treasurer shall payment. It shall likewise state that any time
issue a warrant of levy on or before, or before the distraint of personal property,
simultaneously with, the institution of the payment of the tax with surcharges, interests
civil action for the collection of the and penalties may be made [Sec. 254, LGC].
delinquent tax.
b. The warrant shall include a duly b. Judicial Action
authenticated certificate showing:
i. The name of the owner or person having The LGU concerned may enforce the collection
legal interest therein; of the basic RPT or any other related tax by civil
ii. Description of the property; and action in any court of competent jurisdiction.
iii. Amount of the tax due and interest The civil action shall be filed by the local
thereon. treasurer within the period prescribed for
c. The warrant must be mailed to or served collection (i.e., 5 years or 10 years) under Sec.
upon the delinquent owner or person 270 of the LGC [Sec. 266, LGC].
having legal interest in the property.
d. Written notice of levy with the attached 2. Taxpayer’s Remedies
warrant must be mailed to or served upon
the assessor and the Register of Deeds a. Contesting the Valuation of Real
where the property is located. Property
e. The Register of Deeds must annotate the
levy on the tax declaration and certificate of i. Appeal to the Local Board of
title.
Assessment Appeals (LBAA)
f. The levying officer shall submit a report on
the levy to the Sanggunian within 10 days Who may appeal
after receipt of warrant by the owner [Sec. Any owner or person having legal interest in the
258, LGC]. property who is not satisfied with the action of
g. Advertisement of the sale or auction shall the local assessor.
be made within 30 days after service of
warrant. With whom: LBAA
h. Before the date of sale, the proceedings
may be stayed by paying the delinquent How: By filing a petition under oath, together
tax. with copies of the tax declarations and such
i. Sale of the real property [Sec. 260, LGC] affidavits or documents submitted in support of
j. Redemption of property sold within 1 year the appeal [Sec. 226, LGC]
from date of sale upon payment of the
delinquent tax [Sec. 261, LGC] When to appeal
k. If not redeemed, the local treasurer shall Within 60 days from the date of receipt of the
execute a deed conveying the property to written notice of assessment [Sec. 226, LGC]
the purchaser [Sec. 262, LGC].
l. Purchase of property by local treasurer in Period to decide on the appeal
case there is no bidder for the real property LBAA decides within 120 days from the date of
or if the highest bid is insufficient to pay the receipt of such appeal [Sec. 229(a), LGC]
RPT and other costs; resale of such
property may be made at a public auction Note: The LBAA shall have the power to
[Sec. 263 and 264, LGC] summon witnesses, administer oaths, conduct
ocular inspection, take depositions, and issue
subpoena and subpoena duces tecum [Sec.
229(b), LGC].
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Motion for reconsideration with local g. Contesting a Deficiency Tax
assessor not allowed Assessment
The procedure likewise does not permit the
property owner the remedy of filing a motion for
i. Payment of RPT under Protest;
reconsideration before the local assessor [Fels
Energy, Inc. v. Province of Batangas, G.R. No. Exceptions
168557 (2007)].
General Rule: No protest shall be entertained
When appeal to LBAA not required unless the taxpayer first pays the tax. There
An exception to the rule on exhaustion of shall be annotated on the tax receipts the
administrative remedies is where the words "paid under protest" [Sec. 252, LGC].
controversy does not involve questions of fact
When the taxpayer questions the
but only of law. Under Sec. 229(b) of the LGC,
excessiveness or reasonableness of the
"the proceedings of the Board shall be
assessment, the taxpayer is required to first
conducted solely for the purpose of
pay the tax due before his protest can be
ascertaining the facts." It follows that appeals
entertained [NPC v. Provincial Treasurer of
to the LBAA may be fruitful only where
Benguet, G.R. No. 209303 (2016)].
questions of fact are involved [Ty v. Trampe,
G.R. No. 117577 (1995)]. Exception: “Payment under protest” is not a
prerequisite when the issue is the legality or
ii. Appeal to the Central Board of validity of the assessment. Certainly, it would
Assessment Appeals (CBAA) be unjust to require the realty owner to first pay
the tax, the validity of which he precisely
Who may appeal questions, before he can lodge a complaint to
The owner of the property or the person having the court [NPC v. Municipal Government of
legal interest therein or the assessor who is not Navotas, G.R. 192300 (2014)].
satisfied with the decision of the LBAA [Sec.
229(c), LGC] ii. File Protest with Local Treasurer
When to appeal Period to file protest
Within 30 days after receipt of the decision of The protest in writing must be filed within 30
said LBAA, appeal to the CBAA [Sec. 229(c), days from payment of the tax to the provincial,
LGC] city or municipal treasurer [Sec. 252(a), LGC].
Period to decide and finality of decision Note: The tax or a portion thereof paid under
The CBAA decides within 12 months from the protest, shall be held in trust by the treasurer
date of receipt thereof, which shall become [Sec. 252(b), LGC].
final and executory 15 days after receipt
thereof by the appellant or appellee, as the Period to decide
case may be [Sec. 9, Rule 3, Chapter VII, The local treasurer shall decide the protest
Manual of Real Property Appraisal and within 60 days from receipt [Sec. 252(a), LGC]
Assessment Operations].
Decision on the protest
Effect of appeal on the payment of tax a. If the protest is decided in favor of the
Appeal on assessments of real property shall taxpayer, the amount or portion of the tax
not suspend the collection of the corresponding protested shall be refunded to the
realty taxes on the property involved as protestant, or applied as tax credit against
assessed by the provincial or city assessor his existing or future tax liability [Sec.
without prejudice to subsequent readjustment 252(c), LGC].
depending upon the final outcome of the b. If the protest is denied or the 60-day period
appeal [Sec. 231, LGC]. expired, the taxpayer may appeal to the
LBAA and subsequently to the CBAA
pursuant to Secs. 226 and 229 as in the
case of assessment appeals [Sec. 252(d),
LGC].

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Erroneous assessment vs. illegal The provincial or city treasurer shall decide the
assessment claim for tax refund or credit within 60 days
from receipt thereof [Sec. 253, LGC].
Erroneous Illegal
assessment assessment Remedy in case of denial by the local
treasurer
Definition
In case the claim for tax refund or credit is
denied, the taxpayer may follow the procedure
Presupposes that the An assessment is in questioning an assessment (i.e., appeal to
taxpayer is subject to illegal if it was the LBAA, then to the CBAA, and subsequently
the tax but is disputing made without the to the CTA En Banc) [Sec. 253, LGC].
the correctness of the authority under the
amount assessed. The law. h. Compromising an RPT Assessment
taxpayer claims that
the local assessor Condonation or reduction of RPT
erred in determining 1. The Sanggunian, in case of general failure
any of the items for of crops or substantial decrease in the price
computing the RPT of agricultural or agri-based products or
calamity, may, by ordinance, condone or
Exhaustion of administrative remedies reduce taxes and interest for the
succeeding year/s in the city or municipality
affected by the calamity [Sec. 276, LGC].
Taxpayer must The taxpayer may 2. The President of the Philippines may, when
exhaust the directly resort to public interest so requires, condone or
administrative judicial action reduce the real property tax and interest for
remedies provided without paying any year in any province or city or
under the LGC. under protest the municipality within Metro Manila [Sec. 277,
assessed tax and LGC].
filing an appeal
with the LBAA and Compromise by authority of the President
CBAA. The CTA allowed the compromise agreement
between Batangas City, represented by its
[City of Lapu-Lapu v. PEZA, G.R. Nos. 184203
Mayor, and the taxpayer since it was entered
and 187583 (2014)]
into in line with an executive order issued by
Note: A claim for exemption from the payment the President to address the real property tax
of RPT pertains to the reasonableness or issues of independent power producers
correctness of the assessment by the local through the reduction of their tax liabilities and
assessor, a question of fact which should be the condonation of fines, penalties and interest
resolved, at the very first instance, by the LBAA on deficiency taxes [Kepco Ilijan Corporation v.
[NPC v. Provincial Treasurer of Benguet, G.R. CBAA, CTA EB No. 909 (2013)].
No. 209303 (2016)].

iii. Refunds or Credits of RPT

Repayment of excessive collections
When an assessment of RPT is found to be
illegal or erroneous and the tax is accordingly
reduced or adjusted, the taxpayer may file a
written claim for refund or credit for taxes and
interests with the provincial or city treasurer
within 2 years from the date the taxpayer is
entitled to such reduction or adjustment [Sec.
253, LGC].

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III. THE COURT OF TAX when the amount involved is

P1 million or more [Sec.
APPEALS 3(c)(1), Rule 4, RRCTA];
A. Jurisdiction of the Court of b. Refunds of internal revenue
taxes, fees, or other charges,
Tax Appeals penalties in relation thereto; or
c. Other matters arising under the
[R.A. 1125, as amended by R.A. No. 3457 and NIRC or other laws
further amended by R.A. 9282 and R.A. 9503, administered by the BIR.
and A.M. No. 05-11-07-CTA or the Revised
Rules of the Court of Tax Appeals (RRCTA)] “Other matters” – limited only
by the qualifying phrase that
1. Civil Cases follows it. The appellate
jurisdiction of the CTA Division
b. Exclusive Original Jurisdiction of is not limited to cases which
the Court in Divisions involve decisions of the CIR on
matters relating to
The Court in Divisions shall exercise exclusive assessments or refunds. It
original jurisdiction in tax collection cases covers other cases that arise
involving final and executory assessments for out of the NIRC or related laws
taxes, fees, charges and penalties, where the administered by the BIR. The
principal amount of taxes and fees, exclusive issue of prescription of the
of charges and penalties, claimed is one million BIR’s right to collect taxes may
pesos or more [Sec. 3(c)(1), Rule 4, RRCTA]. be considered as covered by
the term "other matters" over
If less than P1M or no specified amount which the CTA has appellate
claimed, it exercises exclusive appellate jurisdiction [CIR v. Hambrecht
jurisdiction [Ingles]. & Quist PHL, G.R. No. 169225
(2010)]
Note: Collection cases where the principal
2. Inaction by the CIR in cases involving:
amount of taxes and fees, exclusive of charges
a. Disputed assessments
and penalties claimed is less than P1M shall be
In case the CIR fails to act on the
tried by the proper MTC, MeTC, or RTC,
disputed assessment within the 180-day
depending on their respective jurisdictions. The
period from date of submission of
jurisdiction of the CTA in these cases shall be
documents, a taxpayer can either:
appellate [Sec. 7 (b) (2) (c) (2), RA 9282].
i. File a PFR with CTA within 30 days
after the expiration of the 180-day
b. Exclusive Appellate Jurisdiction in period [Sec. 228 of the NIRC]
Civil Cases • The inaction of the CIR within
the 180-day period under
The Court in Divisions shall exercise exclusive
Section 228 of the NIRC shall
appellate jurisdiction over appeals from the
be deemed a denial for
judgments, resolutions or orders of the RTCs in
purposes of allowing the
tax collection cases originally decided by them
taxpayer to appeal his case to
within their respective territorial jurisdiction
the Court and does not
[Sec. 3(c)(2), Rule 4, RRCTA].
necessarily constitute a formal
The Court in Divisions shall exercise decision of the CIR on the tax
exclusive original or appellate jurisdiction case.
to review by appeal the following: ii. Await the final decision of the CIR
on the disputed assessment beyond
1. Decisions of the CIR in cases involving: the 180-day period, the taxpayer
a. Disputed assessments – being may appeal such final decision to
an action for the collection of the CTA [Sec. 3(a)(2), Rule 4,
sum of money, the CTA has RRCTA]
exclusive original jurisdiction • Should the taxpayer opt to
over undisputed assessments await the final decision of the
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CIR on the disputed Civil cases within the jurisdiction of the
assessments beyond the 180- Court En Banc
day period above mentioned, [Sec. 2(a-e), Rule 4, RRCTA]
the taxpayer may appeal such
final decision to the Court [Sec. The Court en banc shall exercise exclusive
3(a), Rule 8 of the RRCTA]. appellate jurisdiction to review by appeal the
b. Refunds of internal revenue taxes, fees, following:
or other charges, and penalties imposed 1. Decisions or resolutions on motions for
thereto reconsideration or new trial of the Court in
c. Other matters arising under NIRC or Divisions in the exercise of its exclusive
other laws administered by the BIR, appellate jurisdiction over:
where the NIRC provides a specific a. Cases arising from administrative
period for action. agencies – Bureau of Internal Revenue,
3. Decisions, resolutions or orders of the RTC Bureau of Customs, Department of
in local tax cases decided or resolved by Finance, Department of Trade and
them in the exercise of their original Industry, Department of Agriculture;
jurisdiction; b. Local tax cases decided by the RTC in
the exercise of their original jurisdiction;
The term “local taxes” should be considered and
in its general and comprehensive sense, c. Tax collection cases decided by the RTC
which embraces real property tax in the exercise of their original jurisdiction
assessments, in line with the precept “what involving final and executory
is generally spoken shall be generally assessments for taxes, fees, charges
understood” [Salva v. Magpile, G.R. No. and penalties, where the principal
220440 (2017)] amount of taxes and penalties claimed is
4. Decisions of the Commissioner of Customs less than one million pesos [Sec. 2(a),
in cases involving liability for customs Rule 4, RRCTA]
duties, fees or other money charges, 2. Decisions, resolutions or orders of the RTC
seizure, detention or release of property in local tax cases and in tax collection cases
affected, fines, forfeitures of other penalties decided or resolved by them in the exercise
in relation thereto, or other matters arising of their appellate jurisdiction;
under the Customs Law or other laws
administered by the Bureau of Customs; In local tax collection cases, the amount of
5. Decisions of the Secretary of Finance on the claim determines where the case should
customs cases elevated to him be filed. When the claim does not exceed
automatically for review from decisions of 300,000 (or 400,000 in Metro Manila), the
the Commissioner of Customs adverse to case should be filed to MTC, not the RTC.
the Government under Section 2315 of the The RTC exercises appellate jurisdiction in
Tariff and Customs Code; and those cases [China Banking Corp. v. City
Treasurer, G.R. No. 204117 (2015)]
6. Decisions of the Secretary of Trade and
Industry, in the case of nonagricultural Note: R.A. 11576, which amended B.P. 129,
product, commodity or article, and the increased the jurisdictional amount to P2
Secretary of Agriculture, in the case of million [Sec. 19, B.P. 129, as amended]
agricultural product, commodity or article, 3. Decisions, resolutions or orders on motions
involving dumping and countervailing duties for reconsideration or new trial of the Court
under Section 301 and 302, respectively, of in Division in the exercise of its exclusive
the Tariff and Customs Code, and original jurisdiction over tax collection
safeguard measures under Republic Act cases; and
No. 8800, where either party may appeal
the decision to impose or not to impose said The filing of a motion for reconsideration or
duties [Sec. 3(a), Rule 4, RRCTA]. new trial before the CTA Division is an
indispensable requirement for filing an
appeal before the CTA En Banc. Failure to
file such motion for reconsideration or new
trial is cause for dismissal of the appeal
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TAX REMEDIES REMEDIAL LAW AND ETHICS
before the CTA En Banc [City of Manila v. in Division in the exercise of its exclusive
Cosmos Bottling Corporation, G.R. No. original jurisdiction over cases involving
196681 (2018)] criminal offenses arising from violations of
4. Decisions of the Central Board of the NIRC or the Tariff and Customs Code
Assessment Appeals (CBAA) in the and other laws administered by the BIR or
exercise of its appellate jurisdiction over Bureau of Customs;
cases involving the assessment and 2. Decisions, resolutions or orders on motions
taxation of real property originally decided for reconsideration or new trial of the Court
by the provincial or city board of in Division in the exercise of its exclusive
assessment appeals. appellate jurisdiction over criminal offenses
mentioned in the preceding subparagraph;
2. Criminal Cases and
3. Decisions, resolutions or orders of the RTC
a. Exclusive Original Jurisdiction of in the exercise of their appellate jurisdiction
the Court in Divisions over criminal offenses arising from
violations of the NIRC or the Tariff and
The Court in Divisions shall exercise exclusive Customs Code and other laws administered
original jurisdiction over all criminal offenses by the BIR or Bureau of Customs.
arising from violations of the NIRC or Tariff and Note: The CTA has jurisdiction over a special
Customs Code and other laws administered by civil action for certiorari assailing an
the BIR or the Bureau of Customs, where the interlocutory order issued by the RTC in a local
principal amount of taxes and fees, exclusive tax case.
of charges and penalties, claimed is one million
pesos or more [Sec. 3(b)(1), Rule 4, RRCTA]. While there is no express grant of such power,
with respect to the CTA, Section 1, Article VIII
Regular courts shall have jurisdiction in of the 1987 Constitution provides, nonetheless,
offenses or felonies where: that judicial power shall be vested in one
1. The principal amount of taxes and fees Supreme Court and in such lower courts as
exclusive of charges and penalties claimed may be established by law and that judicial
is less than P1 million pesos; or power includes the duty of the courts of justice
2. No specified amount is claimed [Sec. 7(b) to settle actual controversies involving rights
(1), R.A. 1125]. which are legally demandable and enforceable,
and to determine whether or not there has been
b. Exclusive Appellate Jurisdiction in a grave abuse of discretion amounting to lack
Criminal Cases or excess of jurisdiction on the part of any
branch or instrumentality of the Government.
The Court in Divisions shall exercise exclusive
appellate jurisdiction over appeals from the On the strength of the above constitutional
judgments, resolutions or orders of the RTC in provisions, it can be fairly interpreted that the
their original jurisdiction in criminal offenses power of the CTA includes that of determining
arising from violations of the NIRC or Tariff and whether or not there has been grave abuse of
Customs Code and other laws administered by discretion amounting to lack or excess of
the BIR or Bureau of Customs, where the jurisdiction on the part of the RTC in issuing an
principal amount of taxes and fees, exclusive interlocutory order in cases falling within the
of charges and penalties, claimed is less than exclusive appellate jurisdiction of the tax court
one million pesos or where there is no specified [City of Manila v. Grecia-Cuerdo, G.R. No.
amount claimed [Sec. 3(b)(2), Rule 4, RRCTA] 175723 (2014)].

Criminal cases within the jurisdiction of the Procedure

Court En Banc
[Sec. 2(f-h), Rule 4, RRCTA] 1. Filing an Action for Collection of Taxes
a. Internal Revenue Taxes
The Court en banc shall exercise exclusive The remedies for the collection of internal
appellate jurisdiction to review by appeal the revenue taxes, fees or charges, and any
following: increment thereto resulting from delinquency
1. Decisions, resolutions or orders on motions
for reconsideration or new trial of the Court
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can be through the institution of a civil or expiration of the period within which to
criminal action [Sec. 205, NIRC]. assess or collect; and
3. The taxpayer is out of the country or
Note: See Taxpayer’s Remedies – otherwise cannot be located [Sec. 194(d),
Collection above. LGC].
When this remedy is resorted to 3. Civil Cases
The tax assessment becomes final and
executory because of the failure to appeal.
a. Who May Appeal, Mode of Appeal;
Even pending decision of the administrative Effect of Appeal
protest [CIR v. Union Shipping, G.R. No. L-
66160 (1990)] Appeal to CTA Division
1. A party aggrieved or adversely affected by
b. Local Taxes the decision or ruling or inaction of
The LGU concerned may enforce the collection a. CIR;
of delinquent taxes, fees, charges or other b. Commissioner of Customs;
revenues by civil action in any court of c. Secretary of Finance;
competent jurisdiction (MTC/RTC depending d. Secretary of Trade and Industry;
on the jurisdictional amount). The civil action e. Secretary of Agriculture; or
shall be filed by the local treasurer [Sec. 183, f. RTC exercising original jurisdiction
LGC]. 2. May appeal within 30 days from the receipt
of the copy of the decision or ruling, or the
Prescriptive period expiration of the period fixed by law for the
Local taxes, fees, or charges shall be assessed Commissioner to decide, to the Court of Tax
within five (5) years from the date they became Appeals Division.
due [Sec. 194(a), LGC].
Mode of Appeal: Rule 42
No action for the collection of such taxes, fees, Aggrieved party may file a motion for
or charges, whether administrative or judicial, reconsideration or new trial within 15 days from
shall be instituted after the expiration of such receipt of the copy of the decision.
period [Sec. 194(a), LGC].
Appeal to CTA en Banc
In case of fraud or intent to evade the payment A party adversely affected by a decision or
of taxes, fees, or charges, the same may be resolution of a Division of the Court on a motion
assessed within ten (10) years from discovery for reconsideration or new trial may appeal
of the fraud or intent to evade payment [Sec. within 15 days from receipt of the copy of the
194(b), LGC]. decision.

Local taxes, fees, or charges may be collected Mode of Appeal: Rule 43

within 5 years from the date of assessment by A party adversely affected by a decision or
administrative or judicial action [Sec. 194(c), ruling of the CBAA and the RTC in the exercise
LGC]. of their appellate jurisdiction may appeal within
30 days from the receipt of the copy of the
No judicial or administrative action for decision.
collection can be instituted after lapse of the
period for assessment except when there is i. Suspension of Collection of Taxes
fraud or intent to evade tax [Sec. 194(c), LGC].
General Rule: No appeal taken to the Court
shall suspend the payment, levy, distraint, or
The running of the periods of prescription shall sale of any property of the taxpayer for the
be suspended for the time during which: satisfaction of his tax liability as provided under
1. The treasurer is legally prevented from existing laws [Sec. 1, Rule 10, RRCTA].
making the assessment of collection;
2. The taxpayer requests for a reinvestigation Reason: Lifeblood theory [Angeles City v.
and executes a waiver in writing before Angeles City Electric Corporation, G.R. No.
166134 (2010)]
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Exception: Where the collection of the amount 124 of the Rules of Court [Sec. 2, Rule 12,
of the taxpayer’s liability, sought by means of a RRCTA].
demand for payment, by levy, distraint or sale
of any property of the taxpayer, or by whatever Taking of evidence by Justice
means, as provided under existing laws, may The Court may, motu proprio or upon proper
jeopardize the interest of the Government or motion, direct that a case, or any issue therein,
the taxpayer, an interested party may file a be assigned to one of its members for the
motion for the suspension of the collection of taking of evidence, when the determination of
the tax liability [Sec. 11, R.A. No. 1125, as a question of fact arises at any stage of the
amended]. proceedings, or when the taking of an account
is necessary, or when the determination of an
Requisites: issue of fact requires the examination of a long
1. The taxpayer may be required to deposit the account. The hearing before such justice shall
amount claimed or to file a surety bond for proceed in all respects as though the same had
not more than double the amount with the been made before the Court.
Court [Sec. 11, R.A. 1125];
2. In the opinion of the CTA, the collection may Upon the completion of such hearing, the
jeopardize the interest of the Government justice concerned shall promptly submit to the
and/or the taxpayer [Sec. 2, Rule 10, Court a written report thereon, stating therein
RRCTA]; his findings and conclusions. Thereafter, the
3. The motion for the suspension of the Court shall render its decision on the case,
collection of tax shall be verified and shall adopting, modifying, or rejecting the report in
state clearly and distinctly the facts and the whole or in part, or, the Court may, in its
grounds relied upon in support of the motion discretion, recommit it to the justice with
[Sec. 4, Rule 10, RRCTA]; instructions, or receive further evidence [Sec.
4. There is an appeal to the CTA from a CIR 12, R.A. No. 1125, as amended; Sec. 3, Rule
decision; and 12, RRCTA].
5. The appeal is not frivolous or dilatory.
Taking of evidence by Court Official
j. Injunction not Available to Restrain In default or ex parte hearings, or in any case
Collection where the parties agree in writing, the Court
may delegate the reception of evidence to the
General Rule: No court shall have authority to Clerk of Court, the Division Clerks of Court,
grant an injunction to restrain the collection of their assistants who are members of the
any national internal revenue tax, fee or charge Philippine bar, or any Court attorney. The
imposed by the Code [Sec. 217, NIRC]. reception of documentary evidence by a Court
official shall be for the sole purpose of marking,
Exception: Sec. 11, R.A. No. 1125, supra. comparison with the original, and identification
by witnesses of such documentary evidence.
The CTA has ample authority to dispense with The Court official shall have no power to rule
the deposit of the amount claimed or the filing on objections to any question or to the
of the required bond, whenever the method admission of exhibits, which objections shall be
employed by the BIR in the collection of tax resolved by the Court upon submission of his
jeopardizes the interest of the taxpayer for report and the transcripts within ten days from
being patently in violation of law [Sps. termination of the hearing [Sec. 4, Rule 12,
Pacquiao v. CTA First Division, G.R. No. RRCTA].
213394 (2016)].
Motion for reconsideration or new trial
Taking of evidence [Rule 15, RRCTA]
The Court may receive evidence in the
following cases: Who may file
1. In all cases falling within the original Any aggrieved party may seek a
jurisdiction of the Court in Division pursuant reconsideration or new trial of any decision,
to Section 3, Rule 4 of these Rules; and resolution or order of the Court.
2. In appeals in both civil and criminal cases
where the Court grants a new trial pursuant
to Section 2, Rule 53 and Section 12, Rule
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Opposition 4. Criminal Cases
The adverse party may file an opposition to the
motion for reconsideration or new trial within a. Institution and Prosecution of
ten days after his receipt of a copy of the
Criminal Actions
motion for reconsideration or new trial of a
decision, resolution or order of the Court. Institution of criminal action
Instituted by the filing of an information in the
When to file motion
name of the People of the Philippines [Sec. 2,
The motion for reconsideration or new trial
Rule 9, RRCTA]
within 15 days from the date he received notice
of the decision, resolution or order of the Court The filing of criminal actions which involve
in question violations of the NIRC and other laws enforced
by the BIR must be approved by the CIR [Sec.
Period to resolve
2, Rule 9, RRCTA].
The Court shall resolve the motion for
reconsideration or new trial within three months The filing of criminal actions which involve
from the time it is deemed submitted for violations of the Tariff and Customs Code and
resolution. other laws enforced by the Bureau of Customs
(BOC) must be approved by the Commissioner
Contents of the motion
of Customs (COC) [Sec. 2, Rule 9, RRCTA].
The motion shall be in writing stating its
grounds, a written notice of which shall be Note: The institution of the criminal action shall
served by the movant on the adverse party. interrupt the running of the period of
prescription [Sec. 2, Rule 9, RRCTA].
A motion for new trial shall be proved in the
manner provided for proof of motions. A motion Prosecution of criminal action
for the cause mentioned in subparagraph [a] of All criminal actions shall be conducted and
the preceding section shall be supported by prosecuted under the direction and control of
affidavits of merits which may be rebutted by the public prosecutor [Sec. 3, Rule 9, RRCTA].
counter-affidavits. A motion for the cause
mentioned in subparagraph (b) of the Prosecution of criminal actions involving
preceding section shall be supported by violation of the NIRC or other laws enforced by
affidavits of the witnesses by whom such the BIR, and violations of the Tariff and
evidence is expected to be given, or by duly Customs Code or other laws enforced by the
authenticated documents which are proposed BOC may be conducted by their respective
to be introduced in evidence. duly deputized legal officers.
A motion for reconsideration or new trial that k. Institution of Civil Action in
does not comply with the foregoing provisions
Criminal Action
shall be deemed pro forma, which shall not toll
the reglementary period for appeal. In cases within the jurisdiction of the Court, the
criminal action and the corresponding civil
Effect
action for the recovery of civil liability for taxes
The filing of a motion for reconsideration or new
and penalties shall be deemed jointly instituted
trial shall suspend the running of the period
in the same proceeding. The filing of the
within which an appeal may be perfected.
criminal action shall necessarily carry with it the
Restrictions filing of the civil action. No right to reserve the
No party shall be allowed to file a second filing of such civil action separately from the
motion for reconsideration of a decision, final criminal action shall be allowed or recognized
resolution or order; or for new trial. [Sec. 11, Rule 9, RRCTA].

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l. Period to Appeal or the LGC shall be maintained, except as
herein provided, until and unless an appeal has
Deciding Period to Mode of been previously filed with the CTA and
body appeal appeal disposed of in accordance with the provisions
of this Act [Sec. 18, R.A. 1125, as amended].
RTC in the 15 days Appeal
exercise of its from receipt pursuant to
A party adversely affected by a resolution of a
original of decision Sec. 3[a]
Division of the CTA on a motion for
jurisdiction [to and 6, Rule
reconsideration or new trial, may file a petition
CTA 122 of the
for review with the CTA en banc [Sec. 18, R.A.
Division] Rules of
1125, as amended].
Court

CTA Division 15 days Petition for The CTA En Banc cannot annul a final and
[to CTA En from receipt review as executory judgment of a division of the
Banc] of decision provided in court
Rule 43 of The laws creating the CTA and expanding its
May be the Rules of jurisdiction, and the CTA’s own rules of
extended for Court procedure do not provide for a scenario where
good cause the CTA sitting en banc is asked to annul a
for not more The Court decision of one of its divisions. Annulment by a
than 15 En Banc collegial court, sitting En Banc is tantamount to
days shall act on allowing a court to annul its own judgment and
the appeal acknowledging that a hierarchy exists within
such court. A proper remedy would have been
RTC in the 15 days Petition for an original action for Certiorari under Rule 65
exercise of from receipt review as [CIR v. Kepco Ilijan Corp., G.R. No. 199422
their appellate of decision provided in (2016)].
jurisdiction Rule 43 of
[To CTA the Rules of n. Petition for Review on Certiorari to the
division] Court Supreme Court

A party adversely affected by a decision or

Solicitor General as counsel for the People ruling of the Court en banc may appeal by filing
and government officials sued in their with the Supreme Court a verified petition for
official capacity review on certiorari within fifteen days from
The Solicitor General shall represent the receipt of a copy of the decision or resolution,
People of the Philippines and government as provided in Rule 45 of the Rules of Court
officials sued in their official capacity in all [Sec. 1, Rule 16, RRCTA].
cases brought to the Court in the exercise of its
appellate jurisdiction. He may deputize the The motion for reconsideration or for new trial
legal officers of the BIR in cases brought under filed before the Court shall be deemed
the NIRC or other laws enforced by the BIR, or abandoned if, during its pendency, the movant
the legal officers of the BOC in cases brought shall appeal to the Supreme Court [Sec. 2,
under the Tariff and Customs Code of the Rule 16, RRCTA].
Philippines or other laws enforced by the BOC,
to appear in behalf of the officials of said
agencies sued in their official capacity:
Provided, however, such duly deputized legal
officers shall remain at all times under the
direct control and supervision of the Solicitor
General [Sec. 10, Rule 9, RRCTA].

m. Appeal to the CTA En Banc

No civil proceeding involving matters arising

under the NIRC, the Tariff and Customs Code
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REMEDIAL LAW AND
LEGAL ETHICS

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I. CODE OF PROFESSIONAL Acts of unlawful, dishonest, immoral

and deceitful conduct
RESPONSIBILITY • Making a client believe that their case had
been filed when it in fact has not been, and
then later, to fix such mistake, filing it
A. TO SOCIETY (CANONS 1-6) despite the client’s demand to no longer
continue the case, is duplicitous in nature
1. Respect for Law and Legal Processes and is against the high standards of legal
proficiency and morality, including honesty,
CANON 1. A lawyer shall uphold the Constitution, integrity and fair dealing [Angeles v. Lina-
obey the laws of the land and promote respect for ac, A.C. No. 12063 (2019)].
law and legal processes. • Procuring a fake court decision in favor of
his client in an annulment case warranted
disbarment [Billanes v. Latido, A.C. No.
Note: Canon 1 is the 4th top source of
12066 (2018)].
Questions on the CPR. It was asked 21 times
in the last 25 years as of 2017 [Lex Pareto • Lawyer had simulated a decision and
(2017)]. certificate of finality to the prejudice of the
client [Madria v. Rivera, A.C. No. 11256
Freedom of speech and of expression, like all (2017)].
constitutional freedoms, is not absolute and
that freedom of expression needs on occasion Immoral conduct has been defined as that
to be adjusted to and accommodated with the conduct which is willful, flagrant, or shameless,
and which shows a moral indifference to the
requirements of equally important public
interests. One of these fundamental public opinion of the good and respectable members
interests is the maintenance of the integrity and of the community. For such conduct to warrant
orderly functioning of the administration of disciplinary action, the same must be "grossly
justice [Zaldivar v. Gonzales, G.R. Nos. 79690- immoral," that is, it must be so corrupt and false
707 and 80578 (1988)]. as to constitute a criminal act or so unprincipled
as to be reprehensible to a high degree [Ui v.
The responsibility of a ‘public’ lawyer (such as Bonifacio, A.C. No. 3319 (2000)]; or when
Special Prosecutor), who owes duties of fidelity committed under such scandalous or revolting
and respect to the Republic and to the circumstances as to shock the community’s
Supreme Court as the embodiment and the sense of decency [Perez v. Catindig, A.C. No.
repository of the judicial power in the 5816 (2015)].
government of the Republic, to uphold the
dignity and authority of the Supreme Court and Examples of Grossly Immoral Acts:
not to promote distrust in the administration of • Abandonment by an attorney of their
justice is heavier than that of a private legitimate family to cohabit with a married
practicing lawyer [Zaldivar v. Gonzales, supra]. person is gross immorality that warrants
disbarment [Ceniza v. Ceniza, A.C. No.
8335 (2019)]
Rule 1.01. A lawyer shall not engage in unlawful, • After abandoning his spouse to cohabit with
dishonest, immoral or deceitful conduct.
another, compounded by the fact that he
sired two children with the mistress despite
Unlawful conduct is an act or omission which already being warned by the Court not to
is against the law. It is a transgression of any continue, shows a cavalier attitude and
provision of law, which need not be penal [Re: even arrogance to the Court; this warrants
Report on the Financial Audit Conducted on disbarment [Villarente v. Atty. Villarente,
the Books of Accounts of Atty. Kho, A.M, P-06- A.C. No. 8866 (2020)]
2177 (2007)]. • “Sextortion” or the abuse of one’s position
or authority to obtain sexual favors from a
Dishonesty involves lying or cheating. It is a subordinate amounts to gross misbehavior
disposition to cheat, deceive, defraud [Agpalo and warrants disbarment [AAA v. Atty. De
(2004)]. Los Reyes, A.C. No. 10022 (2018)]

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• Wanton disregard for the sanctity of abduction, concubinage and smuggling,
marriage as shown when the lawyer falsification of a public document, are
pursued a married woman and thereafter considered crimes involving moral turpitude.
cohabited with her [Guevarra v. Eala, A.C.
No. 7136 (2007)] In the case of homicide, such cases may or
• Rape of a neighbor’s wife, which constitutes may not involve moral turpitude depending on
serious moral depravity, even if his guilt was the degree of the crime. Such would have to be
not proved beyond reasonable doubt in the determined based on the surrounding
criminal prosecution for rape [Calub v. circumstances. In the case of Garcia v.
Suller, A.C. No. 1474 (2000)] Sesbreño, the accused’s indiscriminate firing
• Obtaining money from a client, without against the victims who were just at the wrong
rendering proper legal services, and place and time, constituted moral turpitude
appropriating the proceeds of the insurance [A.C. No. 7973 (2015)].
policies of the client’s deceased husband
[Freeman v. Reyes, A.C. No. 6246 (2011)] Note: Section 27 of Rule 138 expressly
• Falsifying documents [Cobalt Resources, requires that he or she must have been found
Inc. v. Aguado, A.C. No. 10781 (2016)] by final judgment guilty of the crime involving
• The issuance of checks without sufficient moral turpitude [Interadent Zahntechnik Phil.,
funds to cover the same [Aca v. Salvado, Inc. v. Atty. Francisco-Simbillo, A.C. No. 9464
A.C. No. 10952 (2016)] (2016)].

Examples of Acts Not Considered Rule 1.02. A lawyer shall not counsel or abet
Grossly Immoral: activities aimed at defiance of the law or at lessening
confidence in the legal system.
• Mere intimacy between a man and a
woman, both of whom possess no
impediment to marry, voluntarily carried on The Supreme Court will not countenance any
and devoid of deceit on the part of the wrongdoing nor allow the erosion of our
respondent, even if a child was born out of people’s faith in the judicial system, let alone
wedlock of such relationship; it may suggest by those who have been privileged by it to
a doubtful moral character but not grossly practice law in the Philippines [Estrada v.
immoral [Figueroa v. Barranco, SBC Case Sandiganbayan, G.R. No. 159486-88 (2003)].
No. 519 (1997)]
• Stealing a kiss from a client [Advincula v. A lawyer should advise his client to uphold the
Macabata, A.C. No. 7204 (2007)] law, not to violate or disobey it.
• Making sexual advances towards a client, Conversely, he should not recommend to his
but stopping right after the client refused client any recourse or remedy that is contrary
such advances [Roa v. Moreno, A.C. No. to law, public policy, public order, and public
8382 (2010)] morals [Coronel v. Cunanan, A.C. No. 6738
• Although siring a child with a woman other (2015)].
than his legitimate wife constituted
immorality, he committed the immoral Rule 1.03. A lawyer shall not, for any corrupt motive
conduct when he was not yet a lawyer. The or interest, encourage any suit or proceeding or
degree of his immoral conduct was not as delay any man’s cause.
grave than if he had committed the
immorality when already a member of the Barratry or “Maintenance”
Philippine Bar [Advincula v. Advincula, A.C. The offense of inciting or stirring up quarrels,
No. 9226 (2016)]. litigation or groundless lawsuits, either at law or
otherwise [Bouvier].
Moral turpitude includes everything
which is done contrary to justice, Ambulance-chasing
honesty, modesty, or good morals. Note: This was a situation posed in the
2020/2021 Bar.
Murder, estafa, rape, violation of Batas
Pambansa Blg. 22 (Bouncing Checks Law), Unethical practice of inducing personal injury
bribery, bigamy, adultery, seduction, victims to bring suits. The practice of lawyers in
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frequenting hospitals and homes of the injured 2. Efficient and Convenient Legal Services
to convince them to go to court [Lex Pareto
(2014)]. CANON 2. A lawyer shall make his legal services
available in an efficient and convenient manner
Accident-site solicitation of any kind of legal compatible with the independence, integrity and
business by laymen employed by an attorney effectiveness of the profession.
for the purpose or by the attorney himself.
Free access to the courts and quasi-judicial
Supports perjury, the defrauding of innocent bodies and adequate legal assistance shall not
persons by judgments, upon manufactured be denied to any person by reason of poverty
causes of actions and the defrauding of injured [Sec. 11, Art. III, 1987 Constitution].
persons having proper causes of action but
ignorant of legal rights and court procedure. Access to justice by the impoverished is
sacrosanct and the Court may accord litigants
Other prohibited acts include: a chance to establish their indigence (despite
• Volunteering advice to bring lawsuits, raising it only at a later date) when needed
except where ties of blood, relationship or [Ayala Land, Inc. v. Heirs of Lucas Lactao, G.R.
trust make it a duty to do so No. 208213 (2018)].
• Hunting up defects in titles or other causes
of action in order to be employed to bring
Rule 2.01. A lawyer shall not reject, except for valid
suit or breed litigation [Agpalo (2004)]
reasons, the cause of the defenseless or the
oppressed.
Rule 1.04. A lawyer shall encourage his clients to
avoid, end or settle a controversy if it will admit of a
fair settlement. Membership in the bar is a privilege burdened
with conditions. It makes more manifest that
law is indeed a profession dedicated to the
The function of a lawyer is not only to conduct ideal of service and not a mere trade. It is
litigation but to avoid it where possible, by understandable then why a high degree of
advising settlement or withholding suit. He fidelity to duty is required of one so designated
must act as a mediator for compromise rather [Ledesma v. Climaco, G.R. No. L-23815
than an instigator of controversy and a predator (1974)].
of conflict [Agpalo (2004)].
Legal aid is not a matter of charity. It is a means
A lawyer must resist the whims and caprices of for the correction of social imbalance that may
his client and temper his client’s propensity to and often do lead to injustice, for which reason
litigate. A lawyer's oath to uphold the cause of it is a public responsibility of the bar [Sec. 1,
justice is superior to his duty to his client; its Art. 1, IBP Handbook, Guidelines Governing
primacy is indisputable [Castañeda v. Ago, the Establishment and Operation of the Legal
G.R. No. L-28546 (1975)]. Aid Office].

Lawyers covered by the Rule on Community

Legal Aid Service are required to render 120
hours of pro bono legal aid services to qualified
parties enumerated in Section 4(b) thereof,
within the first year of the covered lawyers'
admission Bar, counted from the time they
signed the Roll of Attorneys. For this purpose,
covered lawyers shall report to the chairperson
of the IBP Chapter Legal Aid Committee of their
choice or the chairperson, director, or
supervising partner or lawyer from the
Accredited Legal Aid Service Provider of their
choice for their compliance with this Rule [Sec.
5(a), Rule on Community Legal Aid Service].

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The rule on community legal aid is currently Rule 2.03. A lawyer shall not do or permit to be done
suspended (A.M. No. 17-03-SC). any act designed primarily to solicit legal business.

Exemptions:
• Covered lawyers in the executive and A well-known lawyer has been engaged to run
legislative branches of government, a program in which he encourages indigent
provided that the covered lawyer must party litigants to consult him free of charge
already be in government service at least about their legal problems over a radio and
six (6) months before admission into the television network. Has he violated any ethical
Bar; however, those employed upon rules? – YES, as it involves indirect advertising
admission into the Bar with the judiciary, the and solicitation and is likewise violative of the
Public Attorney's Office, the National confidentiality of lawyer-client relationship. His
Prosecution Service, the Office of the act may also be considered as a form of self-
Solicitor General, the Office of the praise, hence subject to discipline.
Government Corporate Counsel, and Office
of the Ombudsman shall be exempt with this The use of a card containing “As a notary
Rule; public, he can execute for you a deed of sale,
• Those who have already undergone and can renew lost documents and can make your
completed the clinical legal education application for homestead and execute any
program duly organized and accredited kind of affidavit. As a lawyer, he can help you
under Rule 138-A (The Law Student collect your loans as well as any complaint for
Practice Rule); or against you” is a form of prohibited
advertisement. Where to draw the line is a
• Covered lawyers who have worked for at
question of good faith and good taste [In re:
least one (1) year in law firms offering pro
Tagorda, G.R. No. 32329 (1929)].
bono legal services or regularly accepting
counsel de oficio appointments;
A paralegal’s calling card that advertised
• Covered lawyers who have previously
consultancy services contained the phrase
worked for more than 1 year as staff of a
“with financial assistance”. This is an act of
Law School Legal Aid Office, a Public
crass commercialism meant to lure clients in
Interest Law Group, or an alternative or
financial distress. This deserves no place in the
developmental law group; and
legal profession [Linsangan v. Tolentino, A.C.
• Covered lawyers who have worked with No. 6672 (2009)].
lawyers for Public Interest Law Groups or
alternative or developmental law groups for Law is not a business but a profession.
more than 1 year and have filed public
Unlike a businessman, the lawyer has:
interest cases [Sec. 5(c), Rule on
1. Relation to the administration of justice
Community Legal Aid Service].
involving sincerity, integrity and reliability as
an officer of the court;
Rule 2.02. In such cases, even if the lawyer does 2. Duty of public service;
not accept a case, he shall not refuse to render legal 3. Relation to clients with the highest degree of
advice to the person concerned if only to the extent
fiduciary; and
necessary to safeguard the latter’s rights.
4. Relation to colleagues at the bar
characterized by candor, fairness and
Although no lawyer-client relationship is unwillingness to resort to business methods
created when a lawyer categorically refuses to of advertising and encroachment on their
accept a case, a lawyer is still bound to give practice, or dealing directly with their clients
legal advice to the defenseless and oppressed [Agpalo (2004)].
to protect their rights.
The practice of soliciting cases at law for the
But a lawyer shall refrain from giving legal purpose of gain, either personally or through
advice if the reason for not accepting the case paid agents or brokers, constitutes malpractice
is that there is a conflict of interest between him [Sec. 27, Rule 138, RoC].
and a prospective client or between a present
client and a prospective client [Agpalo (2004)]. A lawyer is not prohibited from engaging in
business or other lawful occupation.
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Impropriety arises, though, when the 2. Publication in reputable law list with brief
business is of such a nature or is biographical and other informative data
conducted in such a manner as to be which may include:
inconsistent with the lawyer’s duties as a a. Name;
member of the bar. This inconsistency arises b. Associates;
when the business is one that can readily lend c. Address;
itself to the procurement of professional d. Phone numbers;
employment for the lawyer; or that can be used e. Branches of law practiced;
as a cloak for indirect solicitation on the f. Birthday;
lawyer’s behalf; or is of a nature that, if handled g. Day admitted to the bar;
by a lawyer, would be regarded as the practice h. Schools and dates attended;
of law [Villatuya v. Tabalingcos, A.C. No. 6622 i. Degrees and distinctions;
(2012)]. j. Public or quasi-public offices;
k. Posts of honor;
The best advertising possible for a lawyer is a l. Legal authorships;
well-merited reputation for professional m. Teaching positions;
capacity and fidelity to trust, which must be n. Associations;
earned as the outcome of character and o. Legal fraternities and societies;
conduct. Good and efficient service to a client p. References and regularly represented
as well as to the community has a way of clients must be published for that purpose
publicizing itself and catching public attention. [Ulep v. The Legal Clinic, Inc., supra].
That publicity is a normal by-product of 3. Publication of simple announcement of
effective service which is right and proper. A opening of law firm, change of firm;
good and reputable lawyer needs no artificial 4. Listing in telephone directory but not under
stimulus to generate it and to magnify his designation of special branch of law;
success [Ulep v. The Legal Clinic, Inc., B.M. 5. If acting as an associate (specializing in a
No. 553 (1993)]. branch of law), may publish a brief and
dignified announcement to lawyers (law list,
Note: Lawyer’s advertising was a situation law journal);
posed in the 2020/2021 Bar. 6. If in media, those acts incidental to his
practice and not of his own initiative;
Rule 2.04. A lawyer shall not charge rates lower 7. Writing legal articles;
than those customarily prescribed unless the 8. Activity of an association for the purpose of
circumstances so warrant. legal representation.

The law list must be a reputable law list

3. True, Honest, Fair, Dignified and
published primarily for that purpose; it cannot
Objective Information on Legal Services
be a mere supplemental feature of a paper,
magazine, trade journal or periodical which is
CANON 3. A lawyer in making known his legal published primarily for other purposes.
services shall use only true, honest, fair, dignified
and objective information or statement of facts.
Prohibited Advertisements [Sec. 27, Canon
of Professional Ethics (hereinafter, CPE)]
Note: Canon 3 is 5th top source of Questions
on CPR; it was asked 16 times in the last 25 1. Through touters of any kind whether allied
years as of 2017 [Lex Pareto (2017)]. real estate firms or trust companies
advertising to secure the drawing of deeds
Rule 3.01. A lawyer shall not use or permit the use
or wills;
of any false, fraudulent, misleading, deceptive, 2. Offering retainers in exchange for
undignified, self-laudatory or unfair statement or executorships or trusteeships to be
claim regarding his qualifications or legal services. influenced by the lawyer;
3. Furnishing or inspiring newspaper
comments concerning the manner of their
Allowable advertisements: conduct, the magnitude of the interests
1. Ordinary simple professional card; involved, the importance of lawyer’s
position, and all other like self-laudation.
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A lawyer may not properly publish his brief cases which he is handling, making a
biographical and informative data in a daily courtroom scene to attract the attention of
paper, magazine, trade journal or society newspapermen, or arranging for the purpose
program in order to solicit legal business. A an interview with him by the media [Agpalo
paid advertisement in the newspaper which (2004)].
reads, “Annulment of Marriage Specialist” is
also prohibited [Khan v. Simbillo, A.C. No. 4. Participation in the Improvements and
5299 (2003)]. Reforms in the Legal System

Rule 3.02. In the choice of a firm name, no false, CANON 4. A lawyer shall participate in the
misleading or assumed name shall be used. The development of the legal system by initiating or
continued use of the name of a deceased partner is supporting efforts in law reform and in the
permissible provided that the firm indicates in all its improvement of the administration of justice.
communications that said partner is deceased.

This is a duty that flows from the lawyer’s sense

Ratio for allowing continued use of names of public responsibility [Agpalo (2004)].
of deceased partners: All partners by their
joint efforts over a period of years contributed Examples:
to the goodwill attached to the firm name, and • Presenting position papers or resolutions
the removal of the deceased partner’s name for the introduction of pertinent bills in
disturbs the client goodwill built through the Congress;
years. • Submitting petitions to the Supreme Court
for changes to the RoC;
Firms may not use misleading names showing • Writing legal publications or books as an
association with other foreign firms to purport avenue of improving the legal system.
legal services of highest quality and ties with
multinational business enterprises especially 5. Participation in Legal Education
when such firm, attached as an associate, Programs
cannot legally practice law in the Philippines
[Dacanay v. Baker and McKenzie, A.C. No.
2131 (1985)]. CANON 5. A lawyer shall keep abreast of legal
developments, participate in continuing legal
education programs, support efforts to achieve high
Rule 3.03. Where a partner accepts public office, he standards in law schools as well as in the practical
shall withdraw from the firm and his name shall be training of law students and assist in disseminating
dropped from the firm name unless the law allows information regarding the law and jurisprudence.
him to practice law concurrently.

Purpose: The lawyer’s life is one of continuous

Purpose: To prevent the law firm from using and laborious study; otherwise, his skill and
his name to attract legal business and to avoid knowledge of law and related disciplines will
suspicion of undue influence. lag behind and become obscure due to
obsoleteness.
Rule 3.04. A lawyer shall not pay or give anything of
value to representatives of the mass media in Mandatory Continuing Legal Education
anticipation of, or in return for, publicity to attract (hereinafter, MCLE) Program
legal business. A program which requires lawyers to show
proof of having undertaken improvement in
Purpose: To prevent some lawyers from their knowledge as a precondition for renewing
gaining an unfair advantage over others their license to practice [Lex Pareto (2014)]
through the use of gimmickry, press agentry or
other artificial means. See also Mandatory Continuing Legal
Education below.
This rule prohibits making indirect publicity
gimmickry, such as furnishing or inspiring Atty. Caringal’s failure to attend the required
newspaper comments, procuring his MCLE seminars alongside his acts of indicating
photograph to be published in connection with his MCLE-exemption in his pleadings
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constituted dishonest conduct that put his May a former government lawyer appear in
clients at risk. He should know such pleadings a case against the government? – YES, he
with false information would produce no legal may appear in a case unless there is a specific
effect. This warrants suspension [Turla v. ethical rule or provision of law which prohibits
Caringal, A.C. No. 11641 (2019)]. him from doing so [Lex Pareto (2014)].

Atty. Echanez’s acts of: (a) not complying with When may a former government lawyer
two MCLEs for two compliance periods; (b) be prohibited from accepting a legal
repeatedly indicating false MCLE compliance engagement?
numbers in his pleadings before the trial courts; • A lawyer shall not, after leaving the
and (c) repeatedly failing to obey legal orders government service, accept engagement or
of trial court, IBP Commission on Bar Discipline employment in connection with any matter
and also the Supreme Court despite due in which he had intervened while in said
notice, taken together, constitute serious cases service;
that merit disbarment [Mapalad v. Atty. • Retired members of the judiciary receiving
Echanez, A.C. No. 10911 (2017)]. pensions from the government should not
practice law where the government is the
6. Lawyers in Government Service adverse party or in a criminal case involving
Discharging their Tasks a government employee in the performance
of his duties as such [Lex Pareto (2014)].
CANON 6. These canons shall apply to lawyers in
government services in the discharge of their official Sec. 4, R.A. No. 6713 (Code of Conduct and
duties. Ethical Standards for Public Officials and
Employees) provides the norms of conduct of
Generally speaking, a lawyer who holds a public officials and employees.
government office may not be disciplined as a
member of the Bar for misconduct in the Rule 6.02. A lawyer in the government service shall
discharge of his duties as a government not use his public position to promote or advance his
official. private interests, nor allow the latter to interfere with
his public duties.
However, if said misconduct as a government
official also constitutes a violation of his oath as
Rule 6.03. A lawyer shall not, after leaving
a lawyer, then he may be disciplined by this government service, accept engagement or
Court as a member of the Bar. A member of the employment in connection with any matter in which
Bar who assumes public office does not shed he had intervened while in said service.
his professional obligations. Hence, the CPR
was not meant to govern the conduct of private
practitioners alone, but all lawyers including How government lawyers may leave
those in government service. This is clear from government service:
Canon 6 of said Code. Lawyers in government
are public servants who owe the utmost fidelity 1. Retirement;
to the public service. Thus, they should be 2. Resignation;
more sensitive in the performance of their 3. Expiration of the term of office;
professional obligations, as their conduct is 4. Abandonment;
subject to the ever-constant scrutiny of the 5. Dismissal.
public [Vitriolo v. Dasig, A.C. No. 4984 (2003)].
General Rule: Practice of profession is
The ethical standards under the CPR are allowed immediately after leaving public
rendered even more exacting as to service.
government lawyers because they have the
added duty to abide by the policy of the State Exceptions: The lawyer cannot practice as to
to promote a high standard of ethics, matters with which he had connection to during
competence, and professionalism in public his term. This prohibition lasts:
service [Liang Fuji v. Atty. Dela Cruz, A.C. No. • For one year, if he had not intervened;
11043 (2017)]. • Permanently, if he had intervened.

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The prohibitions continue to apply for a period enterprise which has pending official business
of one year after the public official or with him during the pendency of his office or
employee’s resignation, retirement, or within one year after its termination.
separation from public office, except for the
private practice of profession under subsection B. TO THE LEGAL PROFESSION
(b)(2), which can already be undertaken even
within the one-year prohibition period. As an (CANONS 7-9)
exception to this exception, the one-year
prohibited period applies with respect to any 1. Upholding the Dignity and Integrity of the
matter before the office the public officer or Profession
employee used to work with [Query of Karen
Silverio-Buffe, A.M. No. 08-6-352-RTC (2009)]. CANON 7. A lawyer shall at all times uphold the
integrity and dignity of the legal profession and
A civil service officer or employee whose duty support the activities of the Integrated Bar.
or responsibility does not require his entire time
to be at the disposal of the government may not The bar has to maintain a high standard of legal
engage in the private practice of law without the proficiency, honesty, and fair dealing to be an
written permit from the head of the department effective instrument in the proper
concerned [Agpalo (2004)]. administration of justice. In order to do so, it is
necessary that every lawyer should strive to
It is unlawful for a public official or employee to, uphold the honor and dignity of the legal
among others, engage in the private practice of profession and to improve not only the law, but
their profession, unless authorized by the the administration of justice as well [Agpalo
Constitution or law, provided that such practice (2004)].
will not conflict or tend to conflict with official
functions. The inclusion or retention of the
public official’s name in the professional card Rule 7.01. A lawyer shall be answerable for
knowingly making a false statement or suppressing
constitutes as an unlawful continuance of a material fact in connection with his application for
engagement in private practice [Samonte v. admission to the bar.
Gatdula, A.M. No. P-99-1292 (1999)].

Acts of notarization by a public official or A lawyer must be a disciple of truth. While a

employee without obtaining prior authority from lawyer has the solemn duty to defend his
their office to engage in such practice are client’s rights and is expected to display the
considered acts within the ambit of “practice of utmost zeal in defense of his client’s cause, his
law” and are prohibited [Jabinal v. Overall conduct must never be at the expense of truth
Deputy Ombudsman, G.R. No. 232094 [Young v. Batuegas, A.C. No. 5379 (2003)].
(2019)].
Penalties for knowing suppression or
Absolute and relative prohibition of false representation of a material fact in
public officials from practice of law the application for admission to the bar:
1. Disqualification of the applicant from taking
When any of those absolutely prohibited the bar, if the concealment is discovered
officials is appointed/elected/qualified, he before he takes the bar examinations;
ceases, as a general rule, to engage in the 2. Prohibition from taking the lawyer’s oath, if
private practice of law and his right to practice the concealment is discovered after the
is suspended during his tenure in office. candidate has taken the bar examinations;
3. Revocation of license to practice, if the
See also Public Officials and the Practice of concealment was discovered after he has
Law above. taken his lawyer’s oath [In re: Petition to
Take the Lawyer’s Oath, Caesar Z. Distrito,
Sec. 3(d) of R.A. No. 3019 (Anti-Graft and B.M. No. 1209 (2003)].
Corrupt Practices Act) also considers it an
unlawful and corrupt practice for a public If what the applicant concealed is a crime which
official to accept or have any member of his does not involve moral turpitude, it is the fact of
family accept employment in a private concealment and not the commission of the
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crime itself that makes him morally unfit to immaterial whether the affair was carried out
become a lawyer. It should be noted that the discreetly [Guevarra v. Eala, supra].
application was made under oath, which he
lightly took when he made the concealment [In See also Rule 1.01 above.
re: Petition to Take the Lawyer’s Oath, Caesar
Z. Distrito, supra]. 2. Courtesy, Fairness and Candor Towards
Professional Colleagues
Rule 7.02. A lawyer shall not support the application
for admission to the bar of any person known by him CANON 8. A lawyer shall conduct himself with
to be unqualified in respect to character, education, courtesy, fairness and candor toward his
or other relevant attribute. professional colleagues, and shall avoid harassing
tactics against opposing counsel.

A lawyer should volunteer information or

cooperate in any investigation concerning Lawyers do not:
alleged anomalies in the bar examination so 1. Take advantage of the unpreparedness or
that those candidates who failed therein can be absence of counsel during the trial of a
ferreted out and those lawyers responsible case;
therefor can be disbarred [In re: Parazo, G.R. 2. Make use, to his or to his client’s benefit, the
No. 082027 (1948)]. secrets of the adverse party acquired
through design or inadvertence;
Rule 7.03. A lawyer shall not engage in conduct that 3. Criticize or impute ill motive to the lawyer
adversely reflects on his fitness to practice law, nor who accepts what in his opinion is a weak
shall he, whether in public or private life, behave in case;
a scandalous manner to the discredit of the legal 4. Proceed to negotiate with the client of
profession. another lawyer to waive all kinds of claims
when the latter is still handling the civil case
Public confidence in the law and in lawyers [Camacho v. Pangulayan, A.C. No. 4807
may be eroded by the irresponsible and (2000)];
improper conduct of a member of the bar. 5. Steal another lawyer’s client;
Every lawyer should act and comport himself in 6. Induce a client to retain him by promise of
a manner that promotes public confidence in better service, good result or reduced fees
the integrity of the legal profession [Catu v. for his services;
Rellosa, A.C. No. 5738 (2008)]. 7. Disparage another lawyer, make
comparisons or publicize his talent as a
There is no distinction as to whether the means to further his law practice;
transgression is committed in the lawyer’s 8. In the absence of the adverse party’s
professional capacity or in his private life or in counsel, interview the adverse party and
his private transaction because a lawyer may question him as to the facts of the case even
not divide his personality so as to be an if the adverse party was willing;
attorney at one time and a mere citizen at 9. Sanction the attempt of his client to settle a
another. The moral turpitude for which an litigated matter with the adverse party
attorney may be disbarred may consist of without the consent or knowledge of the
misconduct in either his professional or non- latter’s counsel.
professional activities, in his professional and
private capacity [Royong v. Oblena, A.C. No. Lawyers should treat their opposing
No 376 (1963); In re: Pelaez (1923)]. counsels and other lawyers with
courtesy, dignity and civility.
Whether a lawyer’s sexual congress with a
woman not his wife or without the benefit of Mutual bickering, unjustified recriminations and
marriage should be characterized as grossly offensive behavior among lawyers not only
immoral conduct depends on the surrounding detract from the dignity of the legal profession,
circumstances. The case at bar involves a but also constitute highly unprofessional
relationship between a married lawyer and a conduct subject to disciplinary action [Reyes v.
married woman who is not his wife. It is Chiong, A.C. No. 5148 (2003)].

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Respondent's acts of repeatedly intimidating, [Belo-Henares v. Atty. Guevarra, A.C. No.
harassing, and blackmailing complainant with 11394 (2016)].
purported administrative and criminal cases • Stating in an Answer to a complaint before
and prejudicial media exposures were the IBP CBD the following excerpts:
performed as a tool to return the inconvenience “another outrageously funny and ridiculous
suffered by his client. His actions demonstrated statement totally devoid of any logic and
a misuse of the legal processes available to reason... Who does she think she is - the
him and his client. More significantly, the only qualified doctor in town?... From where
foregoing showed respondent's lack of respect did she get this outrageously funny,
and despicable behavior towards a colleague conceited and arrogant claim”; “...is again
in the legal profession, and constituted conduct outrageously funny... Where do they get
unbecoming of a member thereof [Roque v. these twisted ideas and strange concepts?
Balbin, A.C. No. 7088 (2018)]. Are these people suffering from Alzheimer's
or what have you? Where do they get these
Rule 8.01. A lawyer shall not, in his professional gutter logic and reasoning?” [Mendoza v.
dealings, use language which is abusive, offensive Gadon, supra].
or otherwise improper.
Lack or want of intention is no excuse for
the disrespectful language employed
A lawyer’s language should be forceful but
[Rheem of the Philippines v. Ferrer, G.R. No.
dignified, emphatic but respectful, as
L-22979 (1967)].
befitting an advocate and in keeping with
the dignity of the legal profession [Surigao
Exceptions:
Mineral Reservation Board v. Cloribel, G.R.
• Utterances made out of impulse in the
No. L-27072 (1970)].
course of an argument may be forgiven and
should not be penalized [Cruz v. Cabrera,
Lawyers are always impressed with the duty to
A.C. No. 5737 (2004)].
represent their client’s cause, or as in this case,
to represent a personal matter in court, with • Statements made in the course of judicial
courage and zeal but that should not be used proceedings are absolutely privileged
as a license for the use of offensive and regardless of defamatory tenor and malice,
abusive language [Sanchez v. Aguilos, A.C. provided it is relevant, pertinent or material
No. 10543 (2016)]. to the cause of the subject or inquiry
[Tolentino v. Baylosis, G.R. No. L-15742
The Court has consistently reminded lawyers (1961)].
that though they are entitled to present their
case with vigor and courage, such enthusiasm Rule 8.02. A lawyer shall not, directly or indirectly,
does not justify the use of offensive and encroach upon the professional employment of
abusive language [Mendoza v. Gadon, A.C. another lawyer; however, it is the right of any lawyer,
without fear or favor, to give proper advice and
No. 11810 (2019)]. assistance to those seeking relief against unfaithful
or neglectful counsel.
Examples of Improper Language:
• Calling complainant a "quack doctor,"
"Reyna ng Kaplastikan," "Reyna ng A lawyer may:
Payola," and "Reyna ng Kapalpakan," and 1. Accept employment to handle a matter
insinuating that she has been bribing people previously handled by another lawyer:
to destroy respondent smacks of bad faith a. Provided the other lawyer has been
and reveals an intention to besmirch the given notice of termination of service,
name and reputation of complainant, as well lest it amount to an improper
as BMGI. Respondent also ascribed encroachment upon the professional
criminal negligence upon complainant and employment of the original counsel
BMGI by posting that complainant [Laput v. Remotigue, A.M. No. 219
disfigured ("binaboy") his client Norcio, (1962)]; or
labeling BMGI a "Frankenstein Factory," b. In the absence of a notice of termination
and calling out a boycott of BMGI's services from the client, provided he has obtained
the conformity of the counsel whom he
would substitute; or
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c. In the absence of such conformity, a • Appearance for clients before public
lawyer must at least give sufficient notice tribunals, whether administrative, quasi-
to original counsel so that original judicial or legislative agencies
counsel has the opportunity to protect his
claim against the client. Examples of Unauthorized Practice of
2. Give advice or assistance to any person Law:
who seeks relief against an unfaithful or • A layman was able to misrepresent
neglectful lawyer; themselves as a collaborating counsel in a
3. Associate as a colleague in a case, case with the aid of the main counsel on the
provided he communicates with the original case. The main counsel’s act of aiding this
counsel before making an appearance as layman into the illegal practice of law
co-counsel: constitutes misbehavior that warrants
a. Should the original lawyer object, he suspension [Noe-Lacsamana v. Busmente,
should decline association but if the A.C. No. 7269 (2011)].
original lawyer is relieved, he may come • Preparing and signing pleadings is legal
into the case; or work. A lawyer’s act of allowing his
b. Should it be impracticable for him, whose secretary to sign a Complaint in his name is
judgment has been overruled by his co- an act of direct/indirect assistance into the
counsel to cooperate effectively, he unauthorized practice of law [Tapay &
should ask the client to relieve him. Rustia v. Bancolo, A.C. No. 9604 (2013)].
• It is the signing of the Roll of Attorneys that
A person without a retained lawyer is a finally makes one a full-fledged lawyer.
legitimate prospective client for any lawyer. Appearing as counsel even before taking
But, as soon as he had retained one and had lawyer’s oath is unauthorized practice
not dismissed said counsel, efforts on the part [Aguirre v. Rana, supra].
of another lawyer to take him as a client • Using a letterhead which listed as senior
constitutes as encroachment of employment. A partners those who are only paralegals due
lawyer is encroaching when he promises better to their investments in the law firm
service, lowers attorney’s fees, and [Cambaliza v. Cristal-Tenorio, A.C. No.
downgrades the qualifications or services of 6290 (2004)].
the first attorney.
• A lawyer who only signed the attendance
record at the PICC entrance and not the Roll
3. No Assistance in Unauthorized Practice
of Attorneys, after he realized his mistake of
of Law
fact and yet continued his operations [In re:
Petition to Sign the Roll of Attorneys,
CANON 9. A lawyer shall not, directly or indirectly, Michael A. Medado, B.M. No. 2540 (2013)].
assist in the unauthorized practice of law.

Rule 9.01. A lawyer shall not delegate to any

In Cayetano v. Monsod, the Court held that unqualified person the performance of any task
practice of law means any activity, in or out of which by law may only be performed by a member
court, which requires the application of law, of the bar in good standing.
legal procedure, knowledge, training and
experience. Generally, to practice law is to Purpose: The practice of law is limited only to
render any kind of service which requires the individuals who have the necessary
use of legal knowledge or skill [Aguirre v. Rana, educational qualifications and good moral
B.M. No. 1036 (2003)]. character. Moreover, an attorney-client
relationship is a strictly personal one. Lawyers
Examples of Practice of Law: are selected on account of their special fitness
• Legal advice and instructions to clients to through their learning or probity for the work at
inform them of their rights and obligations hand.
• Preparation for clients of documents
requiring knowledge of legal principles not Unqualified person:
possessed by ordinary laymen • Non-lawyers;
• Lawyers who are not in good standing;
• Lawyers who are not qualified.
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Examples of acts that may only be done attorney’s fees. The statutory rule that an
by a lawyer: attorney shall be entitled to have and recover
• The computation and determination of the from his client a reasonable compensation or
period within which to appeal an adverse remuneration for the services they have
judgment [Eco v. Rodriguez, G.R. No. L- rendered presupposes the existence of an
16731 (1960)] attorney-client relationship. Such a relationship
• The examination of witnesses or the cannot exist when the client’s representative is
presentation of evidence [Robinson v. a non-lawyer [Five J Taxi v. NLRC, G.R. No.
Villafuerte, G.R. No. L-5346 (1911)] 111474 (1994)].

Examples of acts that may be delegated A contract between a lawyer and a layman
to non-lawyers: granting the latter a percentage of the fees
• The examination of case law collected from clients secured by the layman
• Finding and interviewing witnesses and enjoining the lawyer not to deal directly
• Examining court records with said clients is null and void, and the lawyer
• Delivering papers and similar matters may be disciplined for unethical conduct [Tan
[Agpalo (2004)]. Tek Beng v. David, A.C. No. 1261 (1983)].

• Rule 9.02. A lawyer shall not divide or stipulate to

C. TO THE COURTS (Canons 10-
divide a fee for legal services with persons not 13)
licensed to practice law, except:
a. Where there is a pre-existing agreement with a
partner or associate that, upon the latter’s death, 1. Candor, Fairness and Good Faith
money shall be paid over a reasonable period of Towards the Courts
time to his estate or to persons specified in the
agreement; or
b. Where a lawyer undertakes to complete CANON 10. A lawyer owes candor, fairness and
unfinished legal business of a deceased lawyer; good faith to the court.
or
c. Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan
A lawyer’s act of drafting a sham decision
is based in whole or in part, on a profitable regarding an acquittal, including names of
sharing arrangement. Justices in the fake decision, and maliciously
representing to her clients that she could
influence justices of the CA to ensure the
Purpose: Allowing non-lawyers to get aforementioned acquittal, are violative of
attorney’s fees would confuse the public as to Canon 10 [Justice Lampas-Peralta v. Atty.
whom they should consult. It would leave the Hernando, A.C. No. 12415 (2019)].
bar in a chaotic condition because non-lawyers
are also not subject to disciplinary action.
Obligations to Uphold Candor
1. Not to suppress material and vital facts
An agreement between a union lawyer and a
which bear on the merit or lack of in the
layman president of the union to divide equally
complaint or petition;
the attorney’s fees that may be awarded in a
2. To volunteer to the court any development
labor case violates this rule and is illegal and
of the case which renders issues moot and
immoral [Amalgamated Laborers’ Assn. v. CIR,
academic;
G.R. No. L-23467 (1968)].
3. To disclose to the court any adverse
decision to his position of which opposing
A donation by a lawyer to a labor union of part
counsel is apparently ignorant and which
of his attorney’s fees taken from the proceeds
the court should consider in deciding the
of a judgment secured by him for the labor
case;
union is improper because it amounts to a
4. Not to represent himself as a lawyer for a
rebate or commission [Halili v. CIR, G.R. No. L-
client, appear in court and present
24864 (1965)].
pleadings, only to claim later that he was not
authorized to do so [Agpalo (2004)]
While non-lawyers may appear before the
NLRC or any labor arbiter under Art. 222, Labor
Code, they are still not entitled to receive
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Rule 10.01. A lawyer shall not do any falsehood, nor A judge writing to resolve a dispute, whether
consent to the doing of any in court; nor shall he trial or appellate, is exempted from a charge of
mislead, or allow the court to be misled by any plagiarism even if ideas, words or phrases from
artifice. a law review article, novel thoughts published
A lawyer should not conceal the truth from the in a legal periodical or language from a party’s
court, nor mislead the court in any manner no brief are used without giving attribution. Thus,
matter how demanding his duties to clients judges are free to use whatever sources they
may be. His duties to his client should yield to deem appropriate to resolve the matter before
his duty to deal candidly with the court. For no them, without fear of reprisal. The same rule of
client is entitled to receive from the lawyer any exemption from the charge of plagiarism
service involving dishonesty to the courts should apply as well to practicing lawyers.
[Comments of IBP Committee that drafted the They should not be exposed to charges of
Code (hereinafter, IBP Committee)]. plagiarism in what they write so long as they do
not depart, as officers of the court, from the
objective of assisting the Court in the
Example of Falsehood Committed by
administration of justice [In the Matter of
Lawyers:
Charges of Plagiarism against Justice Del
Allowing the use of a forged signature on a
Castillo, A.M. No. 10-7-17-SC (2011)].
petition filed before a court [Vasco-Tamaray v.
Daquis, A.C. No. 10868 (2016)]
Judges need to answer only to two standards–
diligence and honesty. By honesty here is
Canon 32, CPE provides that, “A lawyer should
meant that good faith attempt to attribute to the
not render any service or advice to any client–
author his original words and analysis. Even if
no matter how powerful or important is the
a judge has to rely in large part on the drafts of
cause–which will involve disloyalty to the laws
his legal researchers, the work of a diligent and
of the country which he is bound to uphold and
honest judge will never display the severe
obey.”
plagiarism evident in the Vinuya Decision
published under the name of Justice del
Rule 10.02. A lawyer shall not knowingly misquote Castillo. Analysis shows objective plagiarism
or misrepresent the contents of a paper, the viewed through three lenses: 1) extent of
language or the argument of opposing counsel, or
unattributed copying belying inadvertence, 2)
the text of a decision or authority, or knowingly cite
as law a provision already rendered imperative by deliberateness shown by systematic
repeal or amendment, or assert as a fact that which commission of plagiarism, and 3) effect
has not been proved. [Dissenting Opinion of Justice Sereno in the
Matter of Charges of Plagiarism against Justice
Del Castillo, A.M. No. 10-7-17-SC (2011)].
There is a difference between the academic
and judicial standards of writing. While the
academic publishing model is based on the Rule 10.03. A lawyer shall observe the rules of
originality of the writer’s thesis, the judicial procedure and shall not misuse them to defeat the
ends of justice.
system is based on the doctrine of stare
decisis, which encourages courts to cite
historical legal data, precedents, and related Filing multiple actions constitutes an abuse of
studies in their decisions. The judge is not the court’s processes. Those who file multiple
expected to produce original scholarship in or repetitive actions subject themselves to
every respect. The strength of a decision lies in disciplinary action for incompetence or willful
the soundness and general acceptance of the violation of their duties as attorneys to act with
precedents and long held legal opinions it good fidelity to the courts, and to maintain only
draws from. Justice, not originality, form and such actions that appear to be just and
style, is the object of every decision of a court consistent with truth and honor [Olivares v.
of law. The reason for individual judges not to Villalon, A.C. No. 6323 (2007)].
use original or unique language when
reinstating the laws involved in the cases they A lawyer should not abuse his right of recourse
decide is that it is their duty to apply the laws to the courts for the purpose of arguing a cause
as these are written. that had been repeatedly rebuffed [Garcia v.
Francisco, A.C. No. 3923 (1993)].

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It is the duty of an attorney to employ, for Rule 11.01. A lawyer shall appear in court properly
the purpose of maintaining the causes attired.
confided to him, such means only as are
consistent with truth and honor, and never Petitioner Jesus Nicardo M. Falcis III was
seek to mislead the judge or any judicial officer attired with a casual jacket, cropped jeans and
by an artifice or false statement of fact or law loafers without socks, Associate Justice Marvic
[Sec. 20(d), Rule 138, RoC]. M.V.F. Leonen directed him to show cause by
June 6, 2018, why he should not be cited in
2. Respect for Courts and Judicial Officers direct contempt for his failure to observe the
required decorum during the preliminary
conference which is a formal session of the
CANON 11. A lawyer shall observe and maintain the Court|||[Falcis III v. Civil Registrar-General,
respect due to the courts and to judicial officers and
should insist on similar conduct by others.
G.R. No. 217910 (2018)].

Rule 11.02. A lawyer shall punctually appear at

Observing respect due to the courts means court hearings.
that a lawyer should conduct himself toward
judges:
1. With the courtesy everyone is entitled to Inexcusable absence from, or repeated
expect [Paragas v. Cruz, G.R. No. L-24438 tardiness in, attending a pre-trial or hearing
(1965)] may subject the lawyer to disciplinary action as
2. With the propriety and dignity required by his actions show disrespect to the court and are
the courts [Salcedo v. Hernandez, G.R. No. therefore considered contemptuous behavior
L-42992 (1935)]. [Agpalo (2004)].

Lawyers are duty bound to uphold the Non-appearance at hearings on the ground
dignity and authority of the Court, to which that the issue to be heard has become moot
they owe their fidelities, and to promote the and academic is a lapse in judicial propriety [De
administration of justice. Respect to the Gracia v. Warden of Makati, G.R. No. L-42032
courts guarantees the stability of other (1976)].
institutions [In re: Sotto, 82 Phil 595 (1949)].
Rule 11.03. A lawyer shall abstain from scandalous,
If a pleading containing derogatory, offensive offensive or menacing language or behavior before
and malicious statements is submitted in the the courts.
same court or judge in which the proceedings
are pending, it is direct contempt, equivalent to
a misbehavior committed in the presence of or Every citizen has the right to comment upon
so near a court or judge as to interrupt the and criticize the actuations of public officers.
administration of justice. Direct contempt is This right is not diminished by the fact that the
punishable summarily [In re: Letter of Atty. criticism is aimed at a judicial authority, or that
Sorreda, A.M. No. 05-3-04-SC (2006)]. it is articulated by a lawyer. Well-recognized
therefore is the right of a lawyer, both as an
Liberally imputing sinister and devious motives officer of the court and as a citizen, to
and questioning the impartiality, integrity, and criticize in properly respectful terms and
authority of the members of the Court result in through legitimate channels the acts of
the obstruction and perversion of the courts and judges. But it is the cardinal
dispensation of justice [Estrada v. condition of all such criticism that it shall
Sandiganbayan, G.R. No. 148560 (2001)]. be bona fide, and shall not spill over the
walls of decency and propriety. Intemperate
In Bueno v. Rañeses [A.C. No. 8383 (2012)], and unfair criticism is a gross violation of
the lawyer was disbarred because “he the duty of respect to courts [In re: Almacen,
maligned the judge and the Judiciary by giving G.R. No. L-27654 (1970)].
the impression that court cases are won, not on
the merits, but through deceitful means – a Cf. Rule 8.01 above.
decidedly black mark against the Judiciary.

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Rule 11.04. A lawyer shall not attribute to a judge It is the duty of an attorney not to encourage
motives not supported by the record or have no either the commencement or the continuance
materiality to the case. of an action or proceeding or delay any man’s
cause from any corrupt motive or interest [Sec.
20(g), Rule 138, RoC].
Pe’s denials are not worthy of merit, as had the
document been falsified in Recto, it would not The filing of another action containing the same
have been an almost verbatim reproduction of subject matter, in violation of the doctrine of res
the authentic decision on file in Judge judicata, runs contrary to this canon [Siy Lim v.
Penuela’s branch (except for names and Montano, A.C. No. 5653 (2006)].
dates). Pe also did not attend the NBI
investigation, making it appear that his story is
a mere afterthought [Embido v. Pe Jr., A.C. No. Rule 12.01. A lawyer shall not appear for trial unless
he has adequately prepared himself on the law and
6732 (2013)].
the facts of his case, the evidence he will adduce
and the order of its proferrence. He should also be
Rule 11.05. A lawyer shall submit grievances ready with the original documents for comparison
against a judge to the proper authorities only. with the copies.

The Supreme Court shall have administrative Note: This could be read in conjunction with
supervision over all courts and the personnel Rule 18.02.
thereof [Sec. 6, Art. 8, CONSTI].
Without adequate preparation, the lawyer may
It cannot be over emphasized that it is the not be able to effectively assist the court in the
sworn duty of a lawyer to maintain towards the efficient administration of justice.
Courts a respectful attitude, "not for the sake of
the temporary incumbent of the judicial office, Consequences of Non-Preparation:
but for the maintenance of its supreme
importance". It is precisely for this reason that 1. The postponement of the pre-trial or
the Lawyer's Oath enjoins all members of the hearing, which would thus entail delay in the
bar to conduct themselves with good fidelity early disposition of the case;
towards the courts in order not to erode the 2. The judge may consider the client nonsuited
faith and trust of the public in the judiciary. They or in default;
find it befitting to reiterate that lawyers have the 3. The judge may consider the case submitted
right, both as an officer of the court and as a for decision without client’s evidence, to his
citizen, to criticize in properly respectful terms prejudice [Agpalo (2004)].
and through legitimate channels the acts of
courts and judges. However, closely linked to Examples of acts which amount to
such rule is the cardinal condition that obstruction in the administration of
criticisms, no matter how truthful, shall not spill justice:
over the walls of decency and propriety. To that • Inadequate preparation;
end, the duty of a lawyer to his client's success • Instructing complaining witness in a criminal
is wholly subordinate to the administration of action not to appear at the scheduled
justice [Pantanosas, Jr. v. Pamatong, A.C. No. hearing so that the case against the client
7330 (2016)]. would be dismissed;
• Asking a client to plead guilty to a crime
3. Assistance in the Speedy and Efficient which the lawyer knows his client did not
Administration of Justice commit;
• Advising a client who is detained for crime
CANON 12. A lawyer shall exert every effort and to escape from prison;
consider it his duty to assist in the speedy and • Employing dilatory tactics to frustrate
efficient administration of justice. satisfaction of clearly valid claims;
• Prosecuting clearly frivolous cases or
Note: Asked 11 times in the last 25 years as of appeals to drain the resources of the other
2017 [Lex Pareto (2017)]. party and compel him to submit out of
exhaustion;
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• Filing multiple petitions or complaints for a The rule against forum shopping and the
cause that has been previously rejected in requirement that a certification to that effect be
the false expectation of getting favorable complied with in the filing of complaints,
action; petitions or other initiatory pleadings in all
• Other acts of similar nature [“Legal and courts and agencies applies to quasi-judicial
Judicial Ethics” by Funa (2009)]. bodies, such as the NLRC or Labor Arbiter
[Agpalo (2004)].
Rule 12.02. A lawyer shall not file multiple actions
arising from the same cause. Rule 12.03. A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda or
briefs, let the period lapse without submitting the
Purpose: There is an affirmative duty of a same or offering an explanation for his failure to do
lawyer to check against useless litigations. His so.
signature in every pleading constitutes a
certificate by him that to the best of his
The court censures the practice of counsels
knowledge there is a good ground to support it
who secure repeated extensions of time to
and that it is not to interpose for delay. The
file their pleadings and thereafter simply let
willful violation of this rule may subject him to
the period lapse without submitting the
appropriate disciplinary action or render him
pleading on even an explanation or
liable for the costs of litigation [Agpalo (2004)].
manifestation of their failure to do so. There
exists a breach of duty not only to the court but
This Rule prohibits forum shopping.
also to the client [Achacoso v. CA, G.R. No. L-
35867 (1973)].
Note: Asked to draft a certification on forum
shopping in 2020/21 Bar.
Postponement is not a matter of right but of
sound judicial discretion [Edrial v. Quilat-
Forum Shopping Quilat, G.R. No. 133625 (2000)].
1. When, as a result or in anticipation of an
adverse decision in one forum, a party
seeks a favorable opinion in another forum Rule 12.04. A lawyer shall not unduly delay a case,
through means other than appeal or impede the execution of a judgment or misuse court
proceedings.
certiorari by raising identical causes of
action, subject matter, and issues.
2. The institution of involving the same parties It is one thing to exert to the utmost one’s ability
for the same cause of action, either to protect the interest of one’s client. It is quite
simultaneously or successively, on the another thing to delay if not defeat the recovery
supposition that one or the other court of what is justly due and demandable due to
would come out with a favorable disposition the misleading acts of a lawyer [Manila Pest
[Araneta v. Araneta, G.R. No. 190814 Control v. WCC, G.R. No. L-27662 (1968)].
(2013)].
3. An indicium of the presence of or the test for Once a judgment becomes final and executory,
determining whether a litigant violates the the prevailing party should not be denied the
rule against forum shopping is where the fruits of his victory by some subterfuge devised
elements of litis pendentia are present or by the losing party. Unjustified delay in the
where a final judgment in one case will enforcement of a judgment sets at naught
amount to res judicata in the other case. the role of courts in disposing justiciable
controversies with finality [Aguilar v. Manila
Requisites of res judicata: Banking Corporation, G.R. No. 157911 (2006)].
1. There be a decision on the merits;
2. It be decided by a court of competent If a lawyer is honestly convinced of the futility
jurisdiction; of an appeal in a civil suit, he should not
3. The decision is final; and hesitate to inform his client that most likely, the
4. The two actions involved identical parties, verdict will not be altered. A lawyer should
subject matter, and causes of action. temper his client’s desire to seek appellate
review [Agpalo (2004)].

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Rule 12.05. A lawyer shall refrain from talking to his which event he must, during his testimony,
witness during a break or recess in the trial, while entrust the trial of the case to another counsel.
the witness is still under examination.

When a lawyer may not testify as witness:

Purpose: To prevent the suspicion that he is 1. When such would adversely affect any
coaching the witness what to say during the lawful interest of the client with respect to
resumption of the examination; to uphold and which confidence has been reposed on him;
maintain fair play with the other party and to 2. When, having accepted a retainer, he is to
prevent the examining lawyer from being testify AGAINST his client;
tempted to coach his own witness to suit his 3. When he will serve conflicting interests;
purpose [“Legal and Judicial Ethics Reviewer” 4. When he is to violate confidentiality;
by Callanta]. 5. When as an attorney, he is to testify on the
theory of the case.
See PD 1829: PENALIZING OBSTRUCTION
OF APPREHENSION AND PROSECUTION When a lawyer may testify as witness:
OF CRIMINAL OFFENDERS 1. Formal matters – mailing, authentication,
custody of an instrument;
Rule 12.06. A lawyer shall not knowingly assist a 2. As an expert on his fee;
witness to misrepresent himself or to impersonate 3. Acting as an Arbitrator;
another. 4. Deposition;
5. On substantial matters where his testimony
The lawyer who presented a witness knowing is essential to the ends of justice, in which
him to be a false witness is criminally liable for case he must entrust the trial of the case to
offering false testimony in evidence. The another counsel [PNB v. Uy Teng Piao,
lawyer is both criminally and administratively G.R. No. L-35252 (1932)]
liable [Art. 184, Revised Penal Code
(hereinafter, RPC)]. 4. Reliance on Merits of Case, Not on
Impropriety Tending to Influence the
Subornation of perjury is committed by a Courts
person who knowingly and willfully procures
another to swear falsely and the witness CANON 13. A lawyer shall rely upon the merits of
suborned [or induced] does testify under his cause and refrain from any impropriety which
circumstances rendering him guilty of perjury tends to influence or gives the appearance of
influencing the court.
[US v. Ballena, G.R. No. L-6294 (1911)].

Rule 12.07. A lawyer shall not abuse, browbeat or Note: asked 11 times in the last 25 years as of
harass a witness nor needlessly inconvenience him. 2017 [Lex Pareto (2017)].

It was highly inconsiderate for the prosecutor The judiciary, as the branch of government
and the defense counsel to trade quips at the tasked to administer justice, to settle
precise time the victim was reliving her justiciable controversies or disputes
harrowing experience. Levity has no place in involving enforceable and demandable
the courtroom during the examination of the rights, and to afford redress of wrongs for
victim of rape and at her expense [People v. the violation of said rights must be allowed
Nuguid, G.R. No. 148991 (2004)]. to decide cases independently, free of
outside influence or pressure [In re:
Published Alleged Threats against Members of
Rule 12.08. A lawyer shall avoid testifying in behalf the Court in the Plunder Law Case Hurled by
of his client, except:
Atty. Leonard De Vera, A.M. No. 01-12-03-SC
a. On formal matters, such as the mailing,
authentication or custody of an instrument and (2002)].
the like; or
b. On substantial matters, in cases where his Rule 13.01. A lawyer shall not extend extraordinary
testimony is essential to the ends of justice, in attention or hospitality to, nor seek opportunity for
cultivating familiarity with Judges.

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Marked attention and unusual hospitality on the of a status quo order restraining/enjoining
part of a lawyer to a judge, uncalled for by the further publishing, televising and broadcasting
personal relations of the parties, subject both of any matter relative to the complaint of CDO,
the judge and the lawyer to misconstructions of respondent continued with his attacks against
motive and should be avoided [Canon 3, CPE]. complainant and its products” [A.C. No. 7199
(2009)].
In order to not subject both the judge and the
lawyer to suspicion, the common practice of Rule 13.03. A lawyer shall not brook or invite
some lawyers of making judges and interference by another branch or agency of the
prosecutors godfathers of their children to government in the normal course of judicial
enhance their influence and their law practice proceedings.
should be avoided by judges and lawyers alike
[IBP Committee]. Purpose: The rule is based upon the principle
of separation of powers [Aguirre (2006)]. It also
It is improper for a litigant or counsel to see a endangers the independence of the judiciary
judge in chambers and talk to him about a [IBP Committee].
matter related to the case pending in the court
of said judge [Austria v. Masaquel, G.R. No. L-
22536 (1967)].

It is highly improper for a judge to meet

privately with an accused who has a pending
case before him, without the presence of other
party [Gallo v. Cordero, A.M. No. MTJ-95-1035
(1995)].

Rule 13.02. A lawyer shall not make public

statements in the media regarding a pending case,
tending to arouse public opinion for or against a
party.

Purpose: Newspaper publications regarding a

pending or anticipated litigation may interfere
with a fair trial, prejudice the administration of
justice, or subject a respondent or an accused
to a trial by publicity and create a public
inference of guilt against him [Agpalo (2004)].

Making public statements in the media

regarding a pending case which tends to
arouse public opinion for or against a party may
constitute indirect contempt [Sec. 3, Rule 71,
RoC].

In order to warrant a finding of prejudicial

publicity, there must be an allegation and proof
that the judges had been unduly influenced, not
simply that they might be [People v.
Teehankee Jr., G.R. Nos. 111206-08 (1995);
Martelino v. Alejandro, G.R. No. L-30894
(1970)].
In Foodsphere, Inc. v. Mauricio, the Supreme
Court found that the respondent lawyer
violated Rule 13.02 “for despite the pendency
of the civil case against him and the issuance

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D. TO THE CLIENTS (Canons 14- Purpose: It is a declared policy of the State to
value the dignity of every human person and
22) guarantee the rights of every individual,
particularly those who cannot afford the
The attorney-client relationship is: services of counsel [R.A. No. 9999 (Free Legal
• Strictly personal; Assistance Act of 2010)].
• Highly confidential;
• Fiduciary. R.A. No. 9999 provides incentives for free legal
service. Thus, a lawyer or professional
A written contract, although the best evidence partnerships rendering actual free legal
to show the presence of an attorney-client services shall be entitled to an allowable
relationship, is not essential for the deduction from the gross income,
employment of an attorney. 1. The amount that could have been collected
for the actual free legal services rendered
Retainer or
1. Either the act of a client by which he 2. Up to 10% of the gross income derived from
engages the services of an attorney to the actual performance of the legal
render legal advice or to defend and profession, whichever is lower.
prosecute his cause in court (general or
special) or the fee which a client pays to Indigent
an attorney when the latter is retained 1. A person who has no visible means of
[Agpalo (2004)]. income or whose income is insufficient
2. The relation of attorney to client begins from for the subsistence of his family, to be
the time an attorney is retained. determined by the fiscal or judge, taking
into account the members of his family
1. Availability of Service without dependent upon him for subsistence [Sec.
Discrimination 2, R.A. 6033 (An Act Requiring Courts to
Give Preference to Criminal Cases Where
CANON 14. A lawyer shall not refuse his services to the Party or Parties Involved are Indigents)]
the needy. 2. A person who has no visible means of
support or whose income does not
exceed P300.00 per month or whose
General Rule: While the primary task of the
income even in excess of P300.00 per
lawyer as advocate is to represent a party
month is insufficient for the subsistence of
litigant in court, he is not obliged to act as
his family [Sec. 2, R.A. No. 6035 (An Act
counsel for any person who wishes to become
Requiring Stenographers to Give Free
his client.
Transcript of Notes to Indigent and Low
Income Litigants and providing a Penalty for
Exception: Under Canon 14, when rendering
the Violation Thereof)].
free legal services to the needy and oppressed
who are unable to pay attorney’s fees [Canon
This Canon could be read in conjunction with
14, CPR; Comments of IBP Committee that
Rule 2.01.
drafted the Code, p.75] in order to aid the plight
of the needy and in fulfillment of the IBP’s goal
a. Services Regardless of a Person’s
to make legal services available to those who
need them. Status

1. Lawyer has powers superior to those of an

ordinary agent. Rule 14.01. A lawyer shall not decline to represent
2. A lawyer’s first duty is not to his client but to a person solely on account of the latter’s race,
sex, creed or status of life, or because of his own
the administration of justice. opinion regarding the guilt of said person.
3. The poor and the indigent should not be
further disadvantaged by a lack of access to
the Philippine legal system.
4. Rule on Mandatory Legal Aid Service → 60 It is the duty of an attorney, in the defense of a
hours a year. person accused of a crime, by all fair and
honorable means, regardless of his personal
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opinion as to the guilt of the accused, to Act as Counsel De Officio for the
present every defense that the law permits, to Accused Who Are Indigent in Places
the end that no person may be deprived of life Where There Are No Available
or liberty, but by due process of law [Sec. 20(i), Practicing Attorneys)].
Rule 138, RoC].
Considerations in the appointment of a
b. Services as Counsel de Officio counsel de officio:
1. Gravity of the offense;
Rule 14.02. A lawyer shall not decline, except for 2. Difficulty of the questions that may arise;
serious and sufficient cause, an appointment as 3. Experience and ability of the appointee.
counsel de officio or as amicus curiae, or a request
from the Integrated Bar of the Philippines or any of When the court may appoint a counsel de
its chapters for rendition of free legal aid. officio (in criminal):
1. Before arraignment, the court shall inform
It is the duty of an attorney never to reject, for the accused of his right to counsel and ask
any consideration personal to himself, the him if he desires to have one. Unless the
cause of the defenseless or oppressed [Sec. accused is allowed to defend himself in
20(h), Rule 138]. person or has employed counsel of his
choice, the court must assign a counsel de
A court may assign an attorney to render officio to defend him [Sec. 6, Rule 116,
professional aid free of charge to any party RoC];
in a case if upon investigation, it appears that 2. It is the duty of the clerk of the trial court,
the party is destitute and unable to employ an upon filing of a notice of appeal, to ascertain
attorney, and that the services of counsel are from the appellant if confined in prison,
necessary to secure the ends of justice and whether he desires the Regional Trial Court,
protect the rights of the party. It shall be the Court of Appeals, or the Supreme Court to
duty of the attorney so assigned to render the appoint a counsel de officio [Sec. 14, Rule
required service, unless he is excused 122, RoC];
therefrom by the court for sufficient cause 3. The clerk of the CA shall designate a
shown [Sec. 31, Rule 138]. counsel de officio if it appears from the case
record that:
Counsel de officio – One appointed or a. The accused is confined in prison,
assigned by the court. b. Is without counsel de parte on appeal,
Counsel de parte – One employed or retained or
by the party himself. c. Has signed the notice of appeal
himself.
Who may be appointed as counsel de d. An appellant who is not confined in
officio in criminal cases: prison may, upon request, be assigned
1. A member of the bar in good standing who, a counsel de officio within ten days
by reason of their experience and ability, from receipt of the notice to file brief
can competently defend the accused [Sec. and he establishes his right thereto
7, Rule 116, RoC] [Sec. 2, Rule 124, RoC].
2. In localities without lawyers:
a. Any person, resident of the province c. Valid Grounds for Refusal to Serve
and of good repute for probity and
ability [Sec. 7, Rule 116, RoC]; Note: In Rule 14.03. A lawyer may not refuse to accept
relation to Sec. 34, Rule 138, RoC, representation of an indigent client unless:
this is only allowed in the a. He is in no position to carry out the work
municipal trial court. effectively or competently;
b. A municipal judge or a lawyer b. He labors under a conflict of interest between
him and the prospective client or
employed in any branch, subdivision or between a present client and the prospective
instrumentality of the government client.
within the province [Sec. 1, PD 543
(Authorizing the Designation of
Municipal Judges and Lawyers in any
Branch of the Government Service to
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Grounds of refusal of appointment to be See also:
a counsel de officio: 1. R.A. No. 6033: An Act Requiring Courts to
1. Too many de officio cases assigned to the Give Preference to Criminal Cases Where
lawyer [People v. Daeng, G.R. No. L-34091 the Party or Parties Involved are Indigents
(1973)]; 2. R.A. No. 6034: An Act Providing
2. Conflict of interest [Rule 14.03, CPR]; Transportation and Other Allowances for
3. Lawyer is not in a position to carry out the Indigent Litigants
work effectively or competently [supra]; 3. R.A. No. 6035: An Act Requiring
4. Lawyer is prohibited from practicing law by Stenographers to Give Free Transcript of
reason of his public office which prohibits Notes to Indigent and Low Income Litigants
appearances in court; and Providing A Penalty for the Violation
5. Lawyer is preoccupied with too many cases Thereof
which will spell prejudice to the new clients; 4. R.A. No. 6036: An Act Providing that Bail
6. Health reasons; and Shall Not, with Certain Exceptions, be
7. Extensive travel abroad. Required in Cases of Violations of Municipal
or City Ordinances and in Criminal Offenses
Reason: One of the burdens of the privilege to When the Prescribed Penalty for Such
practice law is to render, when so required by Offenses is Not Higher than Arresto Mayor
the court, free legal services to an indigent and/or a Fine of Two Thousand Pesos or
litigant. Both

Even if the lawyer does not accept a case, he 2. Candor, Fairness and Loyalty to Clients
shall not refuse to render legal advice to the
person concerned if only to the extent CANON 15. A lawyer shall observe candor,
necessary to safeguard the latter’s rights [Rule fairness and loyalty in all his dealings and
2.02, Canon 2, CPR]. transactions with his clients.

Rule 14.04. A lawyer who accepts the cause of a Notes:

person unable to pay his professional fees shall 1. In his dealing with his clients, a lawyer must
observe the same standard of conduct governing his
conduct himself with integrity in a manner
relations with paying clients.
beyond approach.
2. A lawyer should refrain from any action
Neither the amount of attorney's fees nor whereby for his personal benefit or gain, he
the client's financial ability to pay such fees abuses or takes advantage of the
should serve as the test to determine the extent confidence reposed in him by the client.
of the lawyer's devotion to his client’s cause
[Agpalo (2004)].

If a lawyer volunteers his services to a

client, and is therefore not entitled to
attorney’s fees, he is still bound to attend to
a client’s case with all due diligence and
zeal [Blanza v. Arcangel, A.C. No. 492 (1967)].

Pursuant to A.M. No. 08-11-7-SC IRR (2009),

clients of the National Legal Aid Committee
and the IBP local chapter’s legal aid offices are
exempted from the payment of legal fees.

Under Sec. 16-D, R.A. No 9406 (An Act

Reorganizing and Strengthening the Public
Attorney’s Office (PAO)), clients of the PAO are
exempted from paying docket and other fees
incidental to institution actions in court and
other quasi-judicial bodies.

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a. Confidentiality Rule 3. Legal advice must be sought from
Purpose: To protect the client from possible the attorney in his professional capacity
breach of confidence as a result of a with respect to communications relating to
consultation with a lawyer [Hadjula v. that purpose.
Madianda, A.C. No. 6711 (2007)] 4. The client must intend that
the communication be confidential.
Confidential communication – Information
transmitted by voluntary act of disclosure Note: The party who avers that the
between attorney and client in confidence and communication is privileged has the burden of
by means which so far as the client is aware, proof to establish the existence of the privilege
discloses the information to no third person unless from the face of the document itself, it
other than one reasonably necessary for the clearly appears that it is privileged. The mere
transmission of the information or the allegation that the matter is privileged is not
accomplishment of the purpose for which it was sufficient [People v. Sleeper, G.R. No. L-22783
given [Mercado v. Vitriolo, A.C. No. 5108 (1924); Lapena, Jr. (2009)].
(2005)].
Persons entitled to privilege
Communication may be transmitted by 1. The lawyer, client, and third persons
any form of agency, such as a messenger, who by reason of their work have
an interpreter or any other form of acquired information about the case being
transmission. It is immaterial whether the agent handled, including:
is the agent of the attorney, the client or both. a. Attorney’s secretary, stenographer
and clerk;
Question of privilege is determined by the b. Interpreter, messengers, or
court. agents transmitting communication;
c. Accountant, scientist, physician,
The burden of proof is on the party who or engineer who has been hired
asserts the privilege. for effective consultation.
2. Assignee of the client’s interest as far
b. Privileged Communications as the communication affects the
realization of the assigned interest.
Rule 15.02. A lawyer shall be bound by the rule
on privileged communication in respect of Scope:
matters disclosed to him by a prospective client. 1. Period to be considered is the date
when the privileged communication was
made by the client to the attorney in relation
Purpose: To make the prospective client
to either a crime committed in the past, or
free to discuss whatever he wishes with the
with respect to a crime intended to
lawyer without fear that what he tells the
be committed in the future. If the crime
lawyer will not be divulged nor used against
was committed in the past, the privilege
him, and for the lawyer to be equally free to
applies. If it is still to be committed, the
obtain information from the prospective client
privilege does not apply because
[IBP Committee].
the communication between a lawyer and
his client must be for a lawful purpose or
Requisites: in furtherance of a lawful end to be
1. The person to whom information is given privileged [People v. Sandiganbayan, G.R.
is a lawyer. However, if a person is Nos. 115439-41 (1997)].
pretending to be a lawyer and the client 2. Limited only to communications which
discloses confidential communications, are legitimately and properly within the
the attorney-client privilege applies. This scope of a lawful employment of a lawyer.
includes persons appointed as counsel de It does not extend to those made in
officio. contemplation of a crime or perpetration of
2. There is a legal relationship a fraud. It is not within the profession of a
existing, except in cases of prospective lawyer to advise a client as to how he may
clients. commit a crime [Genato v. Silapan, A.C.
No. 4078 (2003)].
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3. Embraces not only oral or privilege continues even after the termination
written statements but also actions, signs of the attorney-client relationship. It outlasts the
or other means of communications. lawyer’s engagement. It ceases only when
4. An attorney cannot, without the consent waived by the client himself or after his death
of his client, be examined as to by his heir or representative [Baldwin v. CIR,
any communication made by the client to 125 F.2d 812 (1942)].
him or his advice given thereon in the
course of professional employment; nor Exception: Some privileged communications
can an attorney’s secretary, stenographer, lose their privileged character by some
or clerk be examined, without the consent of supervening act done pursuant to the purpose
the client and his employer, concerning of the communication (e.g., a communication
any fact the knowledge of which has intended by the client to be sent to a third
been acquired in such capacity [Sec. 24(b), person through his attorney loses confidential
Rule 130]. character once it reaches the third party).

General Rule: As a matter of public policy, Betrayal of trust: revelation of secrets

a client’s identity should not be shrouded Any attorney-at-law who, by any malicious
in mystery. Thus, a lawyer may not invoke the breach of professional duty or of inexcusable
privilege and refuse to divulge the name or negligence or ignorance shall prejudice his
identity of this client. client or reveal any of the secrets learned by
him in his professional capacity shall be
Exceptions: Client identity is privileged in criminally liable [Art. 209, RPC].
the following instances:
1. Where a strong probability exists c. Conflict of Interest
that revealing the client's name would
implicate that client in the very activity for Rule 15.01. A lawyer, in conferring with a
which he sought the lawyer's advice; prospective client, shall ascertain as soon as
2. Where disclosure would open the client to practicable whether the matter would involve a
civil liability; or conflict with another client or his own interest, and if
3. Where the government’s lawyers have no so, shall forthwith inform the prospective client.
case against an attorney’s client unless, by
revealing the client’s name, the said name
Rule 15.03. A lawyer shall not represent
would furnish the only link that would form conflicting interests except by written consent of all
the chain of testimony necessary to convict concerned given after a full disclosure of the facts.
an individual of a crime [Regala v.
Sandiganbayan, G.R. No. 105938 (1996)].
The rule prohibiting conflict of interest was
Information relating to the identity of the fashioned to prevent situations wherein a
client may fall within the ambit of the privilege lawyer would be representing a client whose
when the client’s name itself has an interest is directly adverse to any of his present
independent significance, such that disclosure or former clients [Tulio v. Buhangin, A.C. No.
would then reveal client confidences [Regala 7110 (2016)].
v. Sandiganbayan, supra].
It is explicit that a lawyer is prohibited from
General Rule: The protection given to the representing new clients whose interests
client is perpetual and does not cease with oppose those of a former client in any manner,
the termination of the litigation, nor is it whether or not they are parties in the same
affected by the client’s ceasing to employ the action or in totally unrelated cases
attorney and retaining another, or by any other [Orola v. Ramos, A.C. No. 9860 (2013)].
change of relation between them. It even
survives the death of the client [Bun Siong Yao There is conflict of interest when a lawyer
v. Aurelio, A.C. No. 7023 (2006)]. represents inconsistent interests of two or
more opposing parties [Hornilla v. Salunat,
Canon 21 enjoins a lawyer to preserve the A.C. No. 5804 (2003)].
confidence and secrets of his client even after
the attorney-client relation is terminated. The
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A lawyer who was giving legal advice and later matter in which he represented him and also
on, soliciting money and properties from a whether he will be called upon in his new
client is guilty of conflict of interest when he relation to use against the first client any
proceeded to do the same for the client’s knowledge acquired through their
creditors. He assured his client and his connection.
opposing interest that this was all part of his 3. Whether or not on behalf of one client, it is
strategy to serve their cause [Pacana v. the lawyer’s duty to fight for an issue or
Pascual-Lopez, A.C. No. 8243 (2009)]. claim, but it is his duty to oppose it for the
other client [Hornilla v. Salunat, supra].
Lawyers are expected not only to keep 4. Whether the lawyer will be asked to use
inviolate the client’s confidence, but also to against his former client any confidential
avoid the appearance of treachery and double- information acquired through their
dealing for only then can litigants be connection or previous employment [Palm
encouraged to entrust their secrets to their v. Iledan, Jr., A.C. No. 8242 (2009)]
lawyers, which is of paramount importance
in the administration of justice [Gonzales v. What is material in determining whether
Cabucana, A.C. No. 6836 (2006)]. there is conflict of interest in the
representation is probability, not certainty
Where a lawyer is disqualified from appearing of conflict.
as counsel in a case because of conflict of
interest with the law firm of which he is a General Rule: Representing adverse interest
member, any member, associate, or assistant may result in:
therein is similarly disqualified or prohibited 1. Disqualification as counsel in the
from acting [Hilado v. David, G.R. No. L-961 new case;
(1949)]. 2. If prejudicial to interests of latter
client, setting aside of a judgment;
Requisites: 3. Administrative and criminal (for betrayal
1. There are conflicting duties; of trust) liability;
2. The acceptance of the new relations 4. Forfeiture of attorney’s fees.
invites or actually leads to unfaithfulness
or double-dealing to another client; or Exception: Representation of conflicting
3. The attorney will be called upon to interests is allowed where clients knowingly
use against his first client any consent to the dual representation.
knowledge acquired in the previous
employment. Exception to the Exception: A lawyer
cannot continue representing a client in an
Types of conflict of interest action even with the client’s consent after the
lawyer brings suit on his own behalf, against
Concurrent or multiple representations – the defendant if it is uncertain whether the
Generally occurs when a lawyer represents defendant will be able to satisfy both
clients whose objectives are adverse to each judgments. A lawyer is not authorized to have
other, no matter how slight or remote such financial stakes in the subject matter of the suit
adverse interest may be. brought on behalf of his client [Gamilla v.
Marino Jr., A.C. No. 4763 (2003)].
The tests for concurrent or multiple
representations: Rule 15.04. A lawyer may, with the written consent
1. Whether the acceptance of a new relation of all concerned, act as mediator, conciliator or
will prevent an attorney from the full arbitrator in settling disputes.
discharge of his duty of undivided fidelity
and loyalty to his client or invite suspicion General Rule: A lawyer may not represent two
of unfaithfulness or double-dealing in its opposing parties at any point in time. A lawyer
performance. need not be the counsel-of-record of either
2. If the acceptance of the new retainer will party. It is enough that the counsel had a hand
require the attorney to perform an act which in the preparation of the pleading of one party.
will injuriously affect his first client in any

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Exception: When the parties agree AND when A lawyer is not barred from dealing with
such is for amicable settlement [Agpalo his client, but the business transaction must
(2004)]. be characterized with utmost honesty and
good faith. Business transactions between
d. Candid and Honest Advice to Clients an attorney and his client are disfavored
and discouraged by policy of law because by
virtue of a lawyer’s office, he is in an easy
Rule 15.05. A lawyer when advising his client, shall
give a candid and honest opinion on the merits and position to take advantage of the credulity and
probable results of the client’s case, neither ignorance of his client. Thus, there is no
overstating nor understating the prospects of the presumption of innocence or improbability of
case. wrongdoing in favor of lawyers [Nakpil v.
Valdes, A.C. No. 2040 (1998)].
A lawyer is bound to give his candid and
honest opinion on the merit or lack of merit 3. Client’s Moneys and Properties
of a client’s case, neither overstating nor
understating the prospect of the case. He CANON 16. A lawyer shall hold in trust all moneys
should also give an honest opinion as to the and properties of his clients that may come into his
probable results of the case [Agpalo (2004)]. possession.

Lawyers are not merely hired employees who Lawyers cannot acquire or purchase, even at
must unquestionably do the bidding of the a public or judicial auction, either in person or
client, however unreasonable this may be, through the mediation of another, the
when tested by their own expert appreciation of property and rights which may be the object of
the facts, applicable law and jurisprudence. any litigation in which they take part by virtue
Counsel must counsel [Periquet v. NLRC, G.R. of their profession [Art. 1491(5), Civil Code].
No. 91298 (1990)].
Purpose: The prohibition is based on the
e. Compliance with Laws existing relation of trust or the lawyer’s peculiar
control over the property.
Rule 15.07. A lawyer shall impress upon his
client compliance with the laws and principles of The duty of a lawyer is derived from the law
fairness. on agency which requires separation,
accounting, notification and delivery by agents
It is the duty of an attorney to counsel or possessing the principal’s property [Funa].
maintain such actions or proceedings only as
appear to him to be just, and such defenses Requisites:
only as he believes to be honestly debatable 1. There is an attorney-client relationship;
under the law [Sec. 20(c), Rule 138, RoC]. 2. The property or interest of the client is
in litigation;
f. Concurrent Practice with Another 3. The attorney takes part as counsel in
Profession the case;
4. The attorney purchases or acquires
the property or right, by himself or through
Rule 15.08. A lawyer who is engaged in another
another, during the pendency of
profession or occupation concurrently with the
practice of law shall make clear to his litigation [Laig v. CA, G.R. No. L-26882
client whether he is acting as a lawyer or in (1978)].
another capacity.
Instances when prohibition in Art. 1491,
Civil Code applies:
Exercise of dual profession is not prohibited
• Even if the purchase or lease of the property
but a lawyer must make it clear when he is
in litigation is in favor of a partnership, of
acting as a lawyer or when he is acting in
which counsel is a partner [Mananquil v.
another capacity, especially in occupations
Villegas, A.M. No. 2430 (1990)]
related to the practice of law [In re: Rothman,
12 N.J. 528 (1953)].

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• If the purchase is made by the wife of for the funds received [Daroy v. Legaspi,
the attorney [In re: Calderon, G.R. No. L- A.M. No. 936 (1975)].
2409 (1907)]
• Mortgage of property in litigation to Ethical and practical considerations make
the lawyer. In this case, acquisition is it both natural and imperative for a lawyer
merely postponed until foreclosure but to issue receipts, even if not demanded, and
effect is the same. It also includes to keep copies of the receipts for his own
assignment of property [Ordonio v. Eduarte, records [Tarog v. Ricafort, A.C. No. 8253
A.M. No. 3216 (1992)] (2011)].
• The purchase by a lawyer of the property in
litigation from his client is void and A lawyer's failure to return upon demand the
could produce no legal effect [Art. 1409(7), funds held by him on behalf of his client gives
Civil Code] rise to the presumption that he has
appropriated the same for his own use, in
Instances when prohibition in Art. 1491 violation of the trust reposed in him by his client
does not apply: [Sison v. Camacho, A.C. No. 10910 (2016)].
• When the attorney is not a counsel in
the case involving the same property at A lawyer’s act of receiving money from the
the time of acquisition; client as filing fees and then later appropriating
• When the purchaser is a corporation, even the same for his own benefit is an act of
if the attorney was an officer [Tuason deception against the client. When receiving
v. Tuason, G.R. No. L-3404 (1951)]; money for a particular purpose, lawyers are
• When sale takes place after termination bound to render an accounting of how the
of litigation, except if there was fraud money was spent, and if not spent, are bound
or use/abuse of confidential information or to return the same to the client [Professional
where lawyer exercised undue influence; Services v. Atty. Socrates, A.C. No. 11241
• Where property in question is stipulated (2020)].
as part of attorney’s fees, provided that
the same is contingent upon the A lawyer who has received money from the
favorable outcome of litigation and, client has the duty to account for the money
provided further, that the fee must be collected. The continued delay of the lawyer to
reasonable. pursue his client’s case alongside their failure
to return the funds upon demand, gave rise to
a. Fiduciary Relationship the presumption that the lawyer appropriated
the same for his own use [Dongga-as v. Atty.
Cruz-Angeles, A.C. No. 11113 (2016)].
Rule 16.01. A lawyer shall account for all money or
property collected or received for or from the client.
b. Commingling of Funds

Purpose: The lawyer merely holds said Rule 16.02. A lawyer shall keep the funds of each
money or property in trust. client separate and apart from his own and those of
others kept by him.
When a lawyer collects or receives money
from his client for a particular purpose (such A lawyer should not comingle a client’s money
as for filing fees, registration fees, with that of other clients and with his private
transportation and office expenses), he should funds, nor use the client’s money for his
promptly account to the client how the money personal purposes without the client’s consent
was spent. If he does not use the money for its [Daroy v. Legaspi, supra].
intended purpose, he must immediately return
it to the client [Belleza v. Macasa, A.C. No.
c. Delivery of Funds
7815 (2009)].

The fact that a lawyer has a lien for fees Rule 16.03. A lawyer shall deliver the funds
and property of his client when due or upon
on money in his hands would not relieve
demand. However, he shall have a lien over the
him from the duty of promptly accounting funds and may apply so much thereof as may

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be necessary to satisfy his lawful fees and A lawyer who borrows jewelry from his client
disbursements, giving notice promptly thereafter to in order to obtain and appropriate for himself
his client. He shall also have a lien the proceeds from a pledge is liable under
to the same extent on all judgments and this canon [Yu v. Dela Cruz, A.C. No. 10912
executions he has secured for his client as (2016)].
provided for in the Rules of Court.
A lawyer is prohibited from lending
When an attorney unjustly retains in his hands money to his client.
money of his client after it has been demanded,
he may be punished for contempt as an officer Purpose: The canon intends to assure the
of the Court who has misbehaved in his official lawyer’s independent professional judgment,
transactions; but proceedings under Sec. 2 for if the lawyer acquires a financial interest in
5, Rule 138 shall not be a bar to criminal the outcome of the case, the free exercise
prosecution. of his judgment may be adversely affected
[Agpalo (2004)].
Money collected by a lawyer in pursuance of a
judgment in favor of his clients is held in trust Exception: When, in the interest of justice, he
and must be immediately turned over to them has to advance necessary expenses in a legal
[Busiños v. Ricafort, A.C. No. 4349 (1997)]. matter he is handling.

An attorney has a lien upon the funds, Prohibition against purchase of “property
documents, and papers of his client which have in litigation”
lawfully come into his possession and may
retain the same until his lawful fees and The following persons cannot acquire by
disbursements have been paid and may apply purchase, even in a public action, either in
such funds to the satisfaction thereof [Sec. 37, person or through the mediation of another,
Rule 138, RoC]. property and rights in litigation, before the court
within whose jurisdiction they exercise their
But, a lawyer is not entitled to unilaterally respective functions [Art. 1491, Civil Code]:
appropriate his client’s money for himself by 1. Justices, Judges, Prosecuting Attorneys
the mere fact alone that the client owes him 2. Clerk, officers and employees connected
attorney’s fees. The fact alone that a lawyer with the administration of justice
has a lien for fees on moneys in his hands 3. Lawyers with respect to property rights
collected for his client does not relieve him of which may be the object of litigation, in
his duty to promptly account for the moneys which they may take part by virtue of their
received; his failure to do so constitutes profession.
professional misconduct [Rayos v. Hernandez,
G.R. No. 169079 (2007)]. The prohibition is absolute and
permanent and rests on consideration
d. Borrowing or Lending of public policy.

Rule 16.04. A lawyer shall not borrow money The prohibition applies in the following:
from his client unless the client’s interests are fully • Redemption, compromise and renunciation
protected by the nature of the case or by of the subject in litigation;
independent advice. Neither shall a lawyer lend
money to a client except when, in the interest of
• Lease;
justice, he has to advance necessary expenses in • Assignment of rights over a property in
a legal matter he is handling for the client. consideration of legal service while the
case is pending [Ordonio v. Eduarte,
supra].
A lawyer is prohibited from borrowing
money from his client. The prohibition does not apply in the
following:
Purpose: This rule is intended to prevent the • Where the property purchased by the
lawyer from taking advantage of his influence lawyer was not involved in litigation;
over his client [Junio v. Grupo, A.C. No. 5020
(2001)].
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• Where the sale took place before it became and diligent in the performance of his best
involved in the suit; efforts, learning, and ability in the protection of
• Where the attorney at the time of the his client’s interests and in the discharge of his
purchase was not the counsel in the case; duties as an officer of the court [Agpalo (2004)].
• Where the purchaser of the property in
litigation was a corporation, despite the a. Adequate Preparation
attorney being an officer thereof;
• Where the sale took place after the Rule 18.02. A lawyer shall not handle any legal
termination of the litigation, the lawyer may matter without adequate preparation.
accept an assignment from his client of a
money judgment rendered in the client’s
favor in a case in which he was not the A lawyer should safeguard his client’s rights
counsel, as payment for professional and interests by thorough study and
services performed in another case. preparation, mastering applicable law and facts
involved in a case, and keeping constantly
4. Fidelity to Client’s Cause abreast of the latest jurisprudence and
developments in all branches of the law
(See Part f., Canon 19 for i. Use of Fair and [Agpalo (2004)].
Honest Means, ii. Client’s fraud, iii.
Procedure in handling cases) A lawyer should give adequate attention,
care, and time to his cases. This is the reason
why a practicing lawyer should accept only so
CANON 17. A lawyer owes fidelity to the cause of many cases he can handle [Legarda v. CA,
his client and he shall be mindful of the trust and
G.R. No. 94457 (1991)].
confidence reposed in him.

The lawyer’s diligence and dedication to his

The failure to exercise due diligence and the work and profession not only promote the
abandonment of a client’s cause makes such a interest of his client, it likewise help attain the
lawyer unworthy of the trust which the client ends of justice by contributing to the proper and
has reposed on him [Cantiller v. Potenciano, speedy administration of cases, bring prestige
A.C. No. 3195 (1989)]. of the bar and maintain respect to the legal
profession [Endaya v. Oca, A.C. No. 3967
In the discharge of his duty of entire (2003)].
devotion to the client's cause, a lawyer
should present every remedy or defense b. Negligence
authorized by law in support of his client’s
cause, regardless of his personal views. He
Rule 18.03. A lawyer shall not neglect a legal matter
should not be afraid of the possibility that entrusted to him, and his negligence in connection
he may displease the judge or the general therewith shall render him liable.
public [Agpalo (2004)].

5. Competence and Diligence If by reason of the lawyer’s negligence, actual

loss has been caused to his client, the latter
has a cause of action against him for damages
CANON 18. A lawyer shall serve his client with [Callanta].
competence and diligence.
General Rule: A client is bound by the
A lawyer must exercise ordinary diligence attorney’s conduct, negligence, and mistake in
or that reasonable degree of care and skill handling the case or in management of
having reference to the character of the litigation and in procedural technique, and he
business he undertakes to do, as any other cannot be heard to complain that the result
member of the bar similarly situated might have been different had his lawyer
commonly possesses and exercises proceeded differently.
[Pajarillo v. WCC, G.R. No. L-42927 (1980)].
Doctrine of Imputed Knowledge: Notice to
In the absence of evidence on the contrary, counsel is notice to client.
however, a lawyer is presumed to be prompt
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Exception: The client is not so bound where c. Duty to Apprise Client
the ignorance, incompetence, or inexperience
of a lawyer is so great and the error so serious Rule 18.04. A lawyer shall keep the client
that the client, who has a good cause, is informed of the status of his case and shall
prejudiced and denied a day in court [People v. respond within a reasonable period of time to
Manzanilla, G.R. No. L-17436 (1922); Alarcon client’s request for information.
v. CA, G.R. No. 126802 (2000)].
Duty to Keep the Client Fully Informed
Note: What amounts to carelessness nor 1. The client must receive from the lawyer, full
negligence in a lawyer’s discharge of his duty and periodic updates on the developments
to client is incapable of exact formulation. It will affecting the case;
depend upon the circumstances of the case. 2. The lawyer should apprise the client of the
mode and the manner which he is utilizing
c. Collaborating Counsel to defend the client’s interests;
3. The lawyer must advise the client of the
Rule 18.01. A lawyer shall not undertake a legal risks, alternatives and their consequences;
service which he knows or should know that he is and
not qualified to render. However, he may render 4. The client must be informed within the
such service if, with the consent of his client, he can period to appeal to enable him to decide
obtain as collaborating counsel a lawyer who is
competent on the matter. whether or not he will still seek appellate
review of an adverse decision.

When a lawyer accepts a case, whether for a Even if the lawyer was honestly and sincerely
fee or not, his acceptance is an implied protecting the interests of his client, he still
representation: does not have the right to waive the appeal
1. That he possesses the requisite degree of without the knowledge and consent of his client
academic learning, skill, and ability [Abay v. Montesino, A.C. No. 5718 (2003)].
necessary in the practice of his profession;
2. That he will exert his best judgment in the 6. Representation with Zeal within Legal
prosecution or defense of the litigation Bounds
entrusted to him;
3. That he will exercise ordinary diligence or
CANON 19. A lawyer shall represent his client with
that reasonable degree of care and skill zeal within the bounds of the law.
demanded of the business he undertakes to
do, protect the client’s interests and take all
steps or do all acts necessary thereof [Uy v. A lawyer’s duty is not to his client but to
Tansinsin, A.C. No 8252 (2009)]; and the administration of justice. To that end,
4. That he will take steps that will adequately his client’s success is wholly subordinate and
safeguar his client’s interests [Islas v. his conduct ought to and must always
Platon, G.R. No. L-23183 (1924)]. be unscrupulously observant of law and ethics
[Maglasang v. People, G.R. No. 90083 (1990)].
A collaborating counsel is a lawyer who is
subsequently engaged to assist another lawyer a. Use of Fair and Honest Means
already handling a particular case for a client.
He cannot just enter his appearance as
collaborating counsel without the conformity of Rule 19.01. A lawyer shall employ only fair and
honest means to attain the lawful objectives of his
the first counsel. client and shall not present, participate in presenting
or threaten to present unfounded criminal charges to
The same diligence of the first counsel is obtain an improper advantage in any case or
required of the collaborating counsel [Sublay v. proceeding.
NLRC, G.R. No. 130104 (2000)].
It is the duty of an attorney to employ, for
the purpose of maintaining the causes
confided to him, such means only as are
consistent with truth and honor, and never
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seek to mislead the judge or any judicial officer
within the exclusive suit to hearing, trial,
by an artifice or false statement of fact or law
control of a client. determination,
[Sec. 20(d), Rule 138, RoC].
judgment, and
execution are within
A lawyer should not file or threaten to file the exclusive control
any unfounded or baseless criminal case or of the attorney
cases against the adversaries of his client [Belandres v. Lopez
designed to secure a leverage to compel Sugar Central Mill,
adversaries to yield or withdraw their own G.R. No. L-6869
cases against the lawyer’s client [Pena v. (1955)].
Aparicio, A.C. No. 7298 (2007)].

b. Client’s Fraud An attorney may not impair, compromise,

settle, surrender, or destroy rights without
Rule 19.02. A lawyer who has received his client's consent. A lawyer has no implied
information that his client has, in the course of the authority to waive his client’s right to appeal or
representation, perpetrated a fraud upon a person to withdraw a pending appeal.
or tribunal, shall promptly call upon the client to
rectify the same, and failing which he shall terminate If a lawyer believes that the appeal of his client
the relationship with such client in accordance with
is frivolous, he cannot move to dismiss the
the Rules of Court.
appeal without the consent of his client. His
remedy is to withdraw from the case [People v.
This rule merely requires the lawyer to Pagarao, G.R. Nos. 93026-27 (1991)].
terminate his relationship with the client in the
event the latter fails or refuses to rectify the A lawyer cannot enter into a compromise
fraud. The lawyer may not volunteer the agreement for their client without the client’s
information concerning the client’s commission written special authority [Sison v. Camacho,
of fraud to anyone, as it will violate his supra].
obligation to maintain the client’s secrets
undisclosed [Agpalo (2004)]. General Rule: The client has an undoubted
right to enter into a compromise without their
Note: It is an unethical tactic for a lawyer to lawyer’s intervention. But when such
offer monetary rewards to anyone who could compromise is entered into in fraud of the
give him information against a party so that he lawyer, to evade paying for litigation, the
could have leverage against all actions compromise has to be subject to the fees justly
involving such a party [CPR Annotated, due to the lawyer. The Attorney’s Rights must
PhilJA]. be protected [Malvar v. Kraft Foods, G.R. No.
183952 (2013)].
c. Procedure in Handling a Case
Presumption of Authority
Rule 19.03. A lawyer shall not allow his client to
An attorney is presumed to be properly
dictate the procedure in handling the case. authorized to represent any cause in which he
appears in all stages of the litigation and
no written authority is required to authorize him
Within Client’s Within Counsel’s to appear. A mere denial by a party that he has
Control Control authorized an attorney to appear, in the
absence of compelling reason, is insufficient to
Substantial Aspect Procedural Aspect overcome the presumption especially when the
denial comes after an adverse judgment
The cause of action, All the proceedings in [Agpalo (2004)].
the claim or demand court to enforce the
sued upon, and the remedy, to bring the 7. Attorney’s Fees
subject matter of the claim, to demand,
litigation are all cause of action, or CANON 20. A lawyer shall charge only fair and
subject matter of the reasonable fees.

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Any counsel worthy of his hire is entitled to c. The importance of the subject matter;
be fully recompensed for his services. With d. The skill demanded;
his capital consisting solely of his brains and e. The probability of losing other employment as a
with his skill, acquired at tremendous cost not result of acceptance of the proffered case;
only in money but in the expenditure of time f. The customary charges for similar services and
and energy, he is entitled to the protection of the schedule of fees of the IBP chapter to which
he belongs;
any judicial tribunal against any attempt of the g. The amount involved in the controversy and the
part of the client to escape payment of his fees benefits resulting to the client from the service;
[Albano v. Coloma, A.C. No. 528 (1967)]. h. The contingency or certainty of compensation;
i. The character of the employment,
An attorney is entitled to have and to recover whether occasional or established; and
j. The professional standing of the lawyer.
from his client no more than a reasonable
compensation for his services with a view to:
1. The importance of the subject matter of the Manners by which attorneys may be
controversy; paid:
2. The extent of the services rendered; and • A fixed or absolute fee which is payable
3. The professional standing of the attorney. regardless of the result of the case;
• A fixed fee payable per appearance;
A written contract for services shall control the • A fixed fee computed by the number of
amount to be paid therefor unless found by hours spent;
the court to be unconscionable or • A fixed fee based on a piece of work;
unreasonable [Sec. 24, Rule 138, RoC]. • A contingent fee that is conditioned upon
the securing of a favorable judgment and
Subject to the availability of funds, the court recovery of money or property and the
may, in its discretion, order an attorney amount of which may be on a percentage
employed as counsel de officio to be basis;
compensated in such a sum as the court may • A combination of any of the above stipulated
fix in accordance with Sec. 24, Rule 138, RoC fees.
[Sec. 32, Rule 138, RoC].
Rule 20.02. A lawyer shall, in case of referral,
The mere fact that an agreement had been with the consent of the client, be entitled to a
reached between attorney and client fixing the division of fees in proportion to the work performed
amount of the attorney’s fees, does not insulate and responsibility assumed.
such agreement from review and modification
by the Court where the fees clearly appear to
be excessive or unreasonable [Tanhueco v. The referral of a client by a lawyer to another
De Dumo, A.M. No. 1437 (1989)]. lawyer does not entitle the former to a
commission or to a portion of the attorney’s
fees. It is only when, in addition to the referral,
When there is no express contract
he performs legal services or assumes
The absence of a formal contract will not
responsibility in the case that he will be entitled
negate the payment of attorney’s fees because
to a fee [Agpalo (2004)].
the contract may be expressed or implied. In
the absence of an express contract, payment
of attorney’s fees may be justified by virtue of Rule 20.03. A lawyer shall not, without the full
the innominate contract of facio ut des (I do and knowledge and consent of the client, accept any fee,
reward, costs, commission, interest, rebate or
you give) which is based on the principle that
forwarding allowance or other compensation
“no one shall enrich himself at the expense of whatsoever related to his professional employment
another” [Corpus v. CA, G.R. No. L-40424 from anyone other than the client.
(1980)].
Purpose: The rule is designed to secure the
Rule 20.01. A lawyer shall be guided by lawyer’s fidelity to the client’s cause and to
the following factors in determining his fees:
prevent that situation in which receipt by him of
a. The time spent and the extent of the services
rendered or required; a rebate or commission from another in
b. The novelty and difficulty of the connection with the client’s cause may interfere
questions involved;

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with the full discharge of his duty to his client Rationale for contingent fee contracts
[Agpalo (2004)]. Contracts of this nature are permitted because
they redound to the benefit of the poor client
It is the duty of an attorney to accept no and the lawyer especially in cases where the
compensation in connection with his client’s client has meritorious cause of action, but no
business except from him or with his means which to pay for the legal services
knowledge and approval [Sec. 20(e), Rule 138, unless he can, with the sanction of law, make
RoC]. a contract for a contingent fee to be paid out of
the proceeds of the litigation [Rayos v. Atty.
a. Acceptance Fees Hernandez, supra].
Acceptance of money from a client
establishes an attorney-client relationship Limitation of the stipulation regarding
and gives rise to the duty of fidelity to the contingent fee contract
client’s cause [Emiliano Court Townhouses It must be reasonable based on the
Homeowners Association v. Dioneda, A.C. No. circumstances of the case. Contingency
5162 (2003)]. contracts are under the supervision and close
scrutiny of the court in order that clients may be
Failure to render the legal services agreed protected from just charges. Its validity
upon, despite receipt of an acceptance fee, is depends on the measure or reasonableness of
a clear violation of the CPR [Macarilay v. the stipulated fees under the circumstances of
Seriña, A.C. No. 6591 (2005)]. the case. Stipulated attorney’s fees must not
be unconscionable where the amount is by far
b. Contingency Fee Arrangements so disproportionate compared to the value of
One which stipulates that the lawyer will be the services rendered as to amount to fraud
paid for his legal services only if the suit or perpetrated to the client [Sesbreño v. CA, G.R.
litigation ends favorably to the client [Taganas No. 117438 (1995)].
v. NLRC, G.R. No. 118746 (1995)]
c. Champertous Contracts
It is like a contract subject to a suspensive
condition wherein the obligation to pay the
counsel is based upon the outcome of the case Champertous Contingent Contract
[Pineda (2009)]. Contract

A contingent fee arrangement is valid in this A champertous A contingent contract is

jurisdiction and is generally recognized as valid contract is one an agreement in which
and binding but must be in an express contract. where the lawyer the lawyer’s fee, usually
The amount of contingent fee to be agreed stipulates with his a fixed
upon by the parties is subject to the stipulation client that he will percentage of what
that counsel will be paid for his legal services bear all the may be recovered in
only if the suit or litigation prospers. A much expenses for the the action, is made to
higher compensation is allowed as contingency prosecution of the depend upon the
and consideration of the risk that the lawyer case, the success in the effort to
may get nothing if the suit fails [Rayos v. Atty. recovery of things enforce or defend the
Hernandez, supra]. or property being client’s right. The lawyer
claimed, and the does not
Note: If a lawyer employed on contingent basis latter pays only up undertake to shoulder
dies or becomes disabled before the final on successful the expenses of
adjudication or settlement of the case has been litigation. litigation.
obtained, he or his estate will be allowed to
This contract is It is a valid agreement.
recover the reasonable value of the services
void for being
rendered. The recovery will be allowed only
against public
after the successful termination of the litigation
policy.
in the client's favor [Morton v. Foresee, Ann.
Cas. (1914); Lapena (2009)].
Contingent fee contracts are subject to the
supervision and close scrutiny of the court
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in order that clients may be protected from e. Fees and Controversies with Clients
unjust charges. A much higher compensation (Quantum Meruit)
is allowed as contingent fees because of the
risk that the lawyer may get nothing if the suit
Rule 20.04. A lawyer shall avoid controversies
fails [Masmud v. NLRC, G.R. No. 183385 with clients concerning his compensation and
(2009)]. shall resort to judicial action only to prevent
imposition, injustice or fraud.
d. Attorney’s Liens
A lawyer should avoid controversies with
Retaining Lien clients concerning compensation so far as shall
An attorney shall have a lien upon the be compatible with self-respect and with his
funds, documents and papers of his client right to receive a reasonable recompense for
which have lawfully come into his possession. his services, and he should resort to lawsuits
Thus: with clients only to prevent injustice, imposition,
1. He may retain the same until his lawful fees or fraud.
and disbursements have been paid;
2. May apply such funds to the satisfaction Lawyers thus seldom, if ever, file judicial
thereof [Sec. 37, Rule 138, RoC]. actions for the recovery of their fees unless
righteous and well-founded and unless forced
Requisites: by the client’s intolerable attitude because such
1. Attorney-client relationship; lawsuits cannot fail to create the impression,
2. Lawful possession by lawyer of the however wrong it may be, that those instituting
client’s funds, documents and papers them are mercenaries [Agpalo (2004)].
in his professional capacity; and
3. Unsatisfied claim for attorney’s fees Judicial actions to recover attorney’s
or disbursements.
fees:
1. An appropriate motion or petition as an
Charging Lien incident in the main action where he
He shall also have a lien to the same extent
rendered legal services;
upon all judgments for the payment of money, 2. A separate civil action for collection of
and executions issued in pursuance of such attorney’s fees.
judgments, which he has secured in a litigation
of his client. This lien exists from and after the Quantum Meruit – “ as much as a lawyer
time when he shall have caused:
deserves”
1. A statement of his claim of such lien to be
entered upon the records of the court Essential requisite: Acceptance of the
rendering such judgment, or issuing
benefits by one sought to be charged for
such execution; and services rendered under circumstances as
2. Written notice thereof to be delivered to his reasonably to notify him that the
client and to the adverse party. lawyer expects compensation.
Requisites:
When authorized:
1. Attorney-client relationship;
1. The agreement as to counsel fees is invalid
2. The attorney has rendered services;
for some reason other than the illegality of
3. A money judgment favorable to the client
the object of performance;
has been secured in the action; and
2. There is no express contract for attorney’s
4. The attorney has a claim for attorney’s fees
fees agreed upon between the lawyer and
or advances statement of his claim has
the client;
been recorded in the case with notice
3. When there is a formal contract of
served upon the client and adverse party.
attorney’s fees, the stipulated fees are
found unconscionable or unreasonable by
the court;
4. When the contract for attorney’s fees is
void due to purely formal matters or defects
of execution;
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5. When the counsel, for justifiable cause, f. Concepts of Attorney’s Fees
was not able to finish the case to its
conclusion;
6. When lawyer and client disregard the Ordinary Extraordinary
contract of attorney’s fees; Concept Concept
7. When there is a contract, but no stipulation
as to attorney’s fees. An attorney’s fee An attorney’s fee is an
is the indemnity for damages
Quantum Meruit Guidelines: reasonable ordered by the court to
1. Time spent and extent of the services compensation be paid by the losing
rendered. A lawyer is justified in fixing paid to a lawyer party to the prevailing
higher fees when the case is so for the legal party in litigation. The
complicated and requires more time and services he has basis of this is any of the
efforts to finish it. rendered to a cases authorized by
2. Nature and importance of subject matter. client. Its basis of law and is payable not
The more important the subject matter or this to the lawyer but to the
the bigger value of the interest or property compensation is client – unless they
in litigation, the higher the attorney’s fees. the fact of have agreed that the
3. Novelty and difficulty of questions involved. employment by award shall pertain to
When the questions in a case are novel the client. the lawyer as additional
and difficult, greater efforts, deeper study, compensation or as
and research are bound to burn the part thereof [Traders
lawyer’s time and stamina considering that Royal Bank Employees
there are no local precedents to rely upon. Union-Independent v.
4. Skill demanded of the lawyer. The totality of NLRC, G.R. No. 120592
the lawyer’s experience provides him the (1997)].
skill and competence admired in lawyers.
5. Loss of opportunity for other employment on 8. Preservation of Client’s Confidence
the part of the lawyer who accepts the
retainer. It is only fair that a client should
CANON 21. A lawyer shall preserve the
compensate his lawyer for being deprived of confidence and secrets of his client even after the
the chance to earn legal fees from others by attorney-client relation is terminated.
reason of his employment at his counsel.
6. Results secured. The importance to a client
of his lawyer’s services depends upon the Purposes:
successful outcome of his litigation. • Unless the client knows that his attorney
7. Whether the fee is contingent. Capacity of cannot be compelled to reveal what is told
client to pay. to him, he will suppress what he thinks to
be unfavorable and the advice which
A determination of all these factors would follows will be useless if not misleading
indispensably require nothing less than a full- • To encourage a client to make full
blown trial where private respondent can disclosure to his attorney and to place
adduce evidence to establish its right to lawful unrestricted confidence in him in matters
attorney’s fees and for petitioner to oppose or affecting his rights or obligations [Agpalo
refute the same [Metrobank v. CA, G.R. Nos. (2004)].
86100-03 (1990)].
It is the duty of an attorney to maintain inviolate
The above rules apply in the case of a counsel the confidence, and at every peril to himself, to
de parte. A counsel de officio may not demand preserve the secrets of his client and to accept
from the accused attorney’s fees even if he no compensation in connection with his client’s
wins the case. However, subject to availability business except from him or with his
of funds, the court may, in its discretion, order knowledge and approval [Sec. 20(e), Rule 138,
an attorney employed as counsel de officio to RoC].
be compensated in such sum as the court may
fix. The protection given to the client is perpetual
and does not cease with the termination of the
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litigation, nor is it affected by the party’s Rule 21.07. A lawyer shall not reveal that he
ceasing to employ the attorney and retaining has been consulted about a particular case
another, or by any other change of relation except to avoid possible conflict of interest.
between them. It even survives the death of the
client [Genato v. Silapan, supra].
See also Rules 15.01 and 14.03.
a. Prohibited Disclosures and Use The privileged communication rule
applies even to prospective clients.
Rule 21.02. A lawyer shall not, to the The disclosure and the lawyer’s opinion
disadvantage of his client, use information acquired thereon create an attorney-client relationship
in the course of employment, nor shall he use the
same to his own advantage or that of a third person,
even though the lawyer does not eventually
unless the client with full knowledge of the accept the employment or the prospective
circumstances consents thereto. client did not thereafter actually engage the
lawyer. By the consultation, the lawyer already
learned of the secrets of prospective client.
Rule 21.03. A lawyer shall not, without the written This rule, of course, is subject to the exception
consent of his client, give information from his files of representation of conflicting interests
to an outside agency seeking such information for
[Agpalo (2004)].
auditing, statistical, bookkeeping, accounting, data
processing, or any similar purpose.
b. Disclosures, When Allowed
The work and product of a lawyer, such as his
effort, research, and thought, and the records Rule 21.01. A lawyer shall not reveal the
of his client, contained in his files are privileged confidences or secrets of his client except:
a. When authorized by the client after
matters. Neither the lawyer nor, after his death, acquainting him of the consequences of the
his heir or legal representative may properly disclosure;
disclose the contents of such a file cabinet b. When required by law;
without client’s consent [Agpalo (2004)]. c. When necessary to collect his fees or to
defend himself, his employees or associates or
by judicial action.
Rule 21.05. A lawyer shall adopt such measures as
may be required to prevent those whose services
are utilized by him from disclosing or using Rule 21.01(a) refers to a waiver by the client.
confidences or secrets of the client.
Since the attorney-client privilege against
disclosure of the client's confidence is intended
The client’s secrets which clerical aids of primarily for the client's protection, only the
lawyers learn of, in the performance of their client as a rule can waive the privilege.
services are covered by privileged
communication. It is the duty of lawyer to Rule 21.01 (b) and (c) are for the protection of
ensure that this is being followed (e.g., the attorney’s rights. The privileged relation
execution of confidentiality agreements) cannot be used as a shield against wrongdoing
[Agpalo (2004)]. nor can it be employed as an excuse to deny a
lawyer the right to protect himself against
Rule 21.06. A lawyer shall avoid indiscreet
abuse by the client or false charges by third
conversation about a client’s affairs even with persons [Agpalo (2004)].
members of his family.
Rule 21.04. A lawyer may disclose the affairs of a
A lawyer must also preserve the confidences client of the firm to partners or associates thereof
unless prohibited by the client.
and secrets of his clients outside the law office,
including his home. He should avoid
committing calculated indiscretion, that is, The professional employment of a law firm is
accidental revelation of secrets obtained in his equivalent to the retainer of the members
professional employment [Agpalo (2004)]. thereof even though only one of them is
consulted; conversely, the employment of one
member of a law firm is generally considered
as employment of the law firm [Agpalo (2004)].
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9. Withdrawal of Services compensation stipulated in the contract [Sec.
26, Rule 138, RoC].
CANON 22. A lawyer shall withdraw his services
only for good cause and upon notice appropriate in Rule 22.01. A lawyer may withdraw his services
the circumstances. in any of the following cases:
a. When the client pursues an illegal or immoral
course of conduct in connection with the matter
An attorney-client relationship may be he is handling;
terminated by the client, the lawyer, or b. When the client insists that the lawyer pursue
by the court for reasons beyond the parties’ conduct violative of these canons and rules;
control. The termination entails certain duties c. When his inability to work with co-counsel will
on the part of the client and his lawyer [Agpalo not promote the best interest of the client;
d. When the mental or physical condition of the
(2004)]. lawyer renders it difficult for him to carry out the
employment effectively;
Causes of termination of attorney-client e. When the client deliberately fails to pay the fees
relationship: for the services or fails to comply with the
1. Withdrawal of the lawyer; retainer agreement;
f. When the lawyer is elected or appointed to public
2. Death of the lawyer; office; and
3. Disbarment or suspension of the lawyer g. Other similar cases.
from the practice of law;
4. Declaration of presumptive death of the
lawyer;
5. Conviction of a crime and imprisonment of 10. Duties of Lawyers in Case of Death
the lawyer; of Parties Represented
6. Discharge or dismissal of the lawyer by the
client; Rule 22.02. A lawyer who withdraws or is
7. Appointment or election of a lawyer to a discharged shall, subject to a retaining lien,
government position which prohibits immediately turn over all papers and property to
private practice of law; which the client is entitled, and shall cooperate with
his successor in the orderly transfer of the matter,
8. Death of the client;
including all information necessary for the proper
9. Intervening incapacity or incompetence of handling of the matter.
the client during pendency of case;
10. Full termination of the case.
Requirements of a valid substitution of
General Rule: The client has the right to counsel:
discharge his attorney at any time with or 1. The filing of a written application for
without just cause or even against his consent. substitution;
2. The client’s written consent;
Exceptions: 3. The written consent of the attorney to
1. The client cannot deprive his counsel of be substituted.
right to be paid services if the dismissal is
without cause. At the discretion of the court, a lawyer, who has
2. The client cannot discharge his counsel as been dismissed by a client, is allowed to
an excuse to secure repeated extensions intervene in a case in order to protect the
of time. client’s rights [Obando v. Figueras, G.R. No.
3. Notice of discharge is required for both the 134854 (2000)].
court and the adverse party [Agpalo
(2004)]. The offensive attitude of a client is not an
excuse to just disappear and withdraw from a
A client may at any time dismiss his attorney or case without notice to the court and to the
substitute another in his place, but if the client, especially when attorney’s fees have
contract between the client and the attorney already been paid [Chang v. Hidalgo, A.C. No.
has been reduced to writing and the dismissal 6934 (2016)].
was without justifiable cause, he shall be
entitled to recover from the client the full

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E. LAWYER’S OATH F. SUSPENSION, DISBARMENT
AND DISCIPLINE OF LAWYERS
An applicant who has passed the required
examination, or has been otherwise found to Rule 139-B as amended by B.M. No. 1645
be entitled to admission to the bar, shall take
and subscribe before the Supreme Court the 1. Nature and Characteristics of
corresponding oath of office [Sec. 17, Rule Disciplinary Actions Against Lawyers
138, RoC].
a. Sui Generis
The lawyer's oath is not a mere ceremony or
formality for practicing law. Every lawyer
Disciplinary proceedings are sui generis
should at all times weigh his actions according
(i.e., they belong to a class of their own). They
to the sworn promises he makes when taking
are neither purely civil nor purely criminal; they
the lawyer's oath [In re: Argosino, B.M. No. 712
do not involve a trial of an action or a suit but
(1997)].
are rather an investigation by the Court into the
conduct of its officers.
The court may deny the applicant’s petition to
take the lawyer’s oath for grave misconduct,
It is not meant to grant relief to a complainant
such as calling himself “attorney” and
but is intended to cleanse the ranks of the legal
appearing as counsel for clients in courts even
profession of its undesirable members in order
before being admitted to the bar [In the Matter
to protect the public and the courts [Tiong v.
of the Disqualification of Bar Examinee Haron
Florendo, A.C. No. 4428 (2011)].
S. Meling in the 2022 Bar Examinations, B.M.
No. 1154 (2004)]
They may be initiated by the Court
motu proprio. The Court merely calls upon
The court may also defer the applicant’s taking
a member of the Bar to account for his
the oath if there is a pending complaint against
actuations of preserving the purity of the legal
him, which, if found to be true, will disqualify
profession and the proper and honest
him from becoming a lawyer or if has been
administration of justice in the exercise of its
involved in a fraternity hazing which caused the
disciplinary powers.
death of a neophyte [In re: Argosino, supra].
Public interest is the primary objective, and the
I, ____________________ do solemnly swear that real question for determination is whether or
I will maintain allegiance to the Republic of the
not the attorney is still a fit person to be allowed
Philippines; I will support the Constitution and obey
the laws as well as the legal orders of the duly the privileges as such [In re: Almacen, supra;
constituted authorities therein; I will do no falsehood, Tiong v. Florendo, supra].
nor consent to the doing of any in court; I will not
wittingly or willingly promote or sue any groundless, Any interested person or the court
false or unlawful suit, nor give aid nor consent to the motu proprio may initiate
same; I will delay no man for money or malice, and
will conduct myself as a lawyer according to the best
disciplinary proceedings. The right to
of my knowledge and discretion with all good fidelity institute disbarment proceedings is not
as well as to the courts as to my clients; and I confined to clients nor is it necessary that the
impose upon myself these voluntary obligations person complaining suffered injury from the
without any mental reservation or purpose of alleged wrongdoing. Disbarment proceedings
evasion. So help me God. are matters of public interest and the only basis
for the judgment is the proof or failure of proof
of the charges [Figueras v. Jimenez, A.C. No.
9116 (2014)].

The burden of proof in disbarment

and suspension proceedings always rests on
the shoulders of the complainant. The
Court exercises its disciplinary power only if
the complainant establishes that imposition of
the harsh penalty is warranted. As a rule,
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an attorney enjoys the legal presumption that render the case moot. The withdrawal of the
he is innocent of the charges made against complaints cannot divest the Court of its
him until the contrary is proved [Joven and jurisdiction to determine the veracity of the
Rasing v. Cruz and Magsalin, A.C. No. 7686 charges and to discipline an erring respondent
(2013)]. [Chan v. Olegario, A.M. No. P-09-2714
(2010)].
The proof required is Substantial
Evidence. 2. Proceedings against attorneys shall
The evidentiary threshold of substantial be private and confidential. However, the
evidence as opposed to preponderance of final order of the Supreme Court shall
evidence is more in keeping with the primordial be published like its decisions in other
purpose of and essential considerations cases [Sec. 18, Rule 139-B, RoC].
attending this type of cases. Not being
intended to inflict punishment, it is in no sense Purposes:
a criminal prosecution [Reyes v. Nieva, A.C. • To enable the Court to make its
No. 8560 (2016)]. investigations free from any extraneous
influence or interference;
b. Prescription of Actions • To protect the personal and professional
reputation of attorneys and judges from the
In Frias v. Bautista-Lozada [A.C. No. 6656 baseless charges of disgruntled vindictive,
(2006)], the Supreme Court, citing Calo v. and irresponsible clients and litigants;
Degamo [A.C. No. 516 (1967)] and Heck v. • To deter the press from publishing
Santos [A.M. No. RTJ-01-1657 (2004)], administrative cases or portions thereof
declared that the defense of prescription does without authority [Saludo, Jr. v. CA, G.R.
not lie in administrative proceedings against No. 121404 (2006)];
lawyers, for an administrative complaint • Malicious and unauthorized publication or
against a member of the bar does not verbatim reproduction of administrative
prescribe. complaints and their premature publication
constitutes contempt of court [Saludo, Jr. v.
Thus, Sec. 1, Rule VIII of the Rules of CA, supra].
Procedure of the Commission on Bar • This is a privilege/right which may be
Discipline, which provided for a prescription waived by the very lawyer in whom and for
period of 2 years from the date of the the protection of whose personal and
professional misconduct, was struck down for professional reputation it is vested,
being ultra vires. pursuant to the general principle that rights
may be waived unless the waiver is contrary
However, in Isenhardt v. Real [A.C. No. 8254 to public policy, among others [Villalon v.
(2012)], the Supreme Court ruled that “the rule IAC, G.R. No. 73751 (1986)].
[Sec. 1, Rule VIII, Rules of Procedure of the
Commission on Bar Discipline] should be 3. Laws dealing with double jeopardy, in
construed to mean two years from the date pari delicto, prescription or with procedure
of discovery of the professional such as verification of pleadings and
misconduct”. prejudicial questions have no application
to disbarment proceedings [Pimentel, Jr.
Other Characteristics v. Llorente, A.C. No. 4680 (2000)].
1. Investigation is not interrupted 4. Because the proceedings are distinct from
or terminated by reason of the desistance, and proceed independently of civil or
settlement, compromise, restitution, criminal cases, whatever has been decided
withdrawal of the charges, or failure of in the disbarment case cannot be a source
the complainant to prosecute the same of right that may be enforced in another
[par. 2, Sec. 5, Rule 139-B, RoC]. action. At best, such judgment may only be
given weight when introduced as evidence,
The fact that the complainant manifested that but in no case does it bind the court in the
he is no longer interested to pursue, after civil action [Esquivias v. CA, G.R. No.
settling with the respondent-lawyer would not 119714 (1997)].

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5. The disbarment proceeding does prudence and diligence as lawyers of
not violate the due process clause. ordinary skill and capacity commonly
The proceeding itself, when instituted in possess and exercise in the performance
proper cases, is due process of law [In of tasks which they undertake, and when
re: Montagne, G.R. No. 1107 (1904)]. such failure proximately causes damage,
6. The rule in criminal cases that the penalty it gives rise to an action in tort [Tan Tek
cannot be imposed in the alternative Beng v. David, supra].
applies in administrative disciplinary cases,
which also involve punitive sanctions b. Grossly immoral conduct
[Navarro v. Meneses III, A.C. No. 313 c. Conviction of a crime involving moral
(1998)]. turpitude
7. Monetary claims cannot be granted • There must be a conviction. The mere
except restitution and return of monies existence of criminal charges cannot
and properties of the client given in the be a ground for suspension or
course of the lawyer-client relationship. disbarment [Agpalo (2004)].
d. Any violation of the lawyer’s oath
2. Grounds e. Willful disobedience of any lawful order of a
superior court
Section 27, Rule 138. Disbarment or suspension of
f. Corruptly or willfully appearing as
attorneys by Supreme Court; grounds therefor. – A an attorney without authority so to do
member of the bar may be disbarred or suspended
from his office as attorney by the Supreme Court for The grounds are not exclusive. The
any deceit, malpractice, or other gross misconduct enumeration is not to be taken as a limitation to
in such office, grossly immoral conduct, or by reason
the general power of courts to suspend or
of his conviction of a crime involving moral turpitude,
or for any violation of the oath which he is required disbar a lawyer. The inherent powers of the
to take before admission to practice, or for a willful court over its officers cannot be restricted
disobedience of any lawful order of a superior court, [Quingwa v. Puno, A.C. No. 389 (1967)]. A
or for corruptly or willfully appearing as an attorney lawyer may be removed from office or
for a party to a case without authority so to do. The suspended from the practice of law by the
practice of soliciting cases at law for the purpose of
Court on grounds not found in the statute as
gain, either personally or through paid agents or
brokers, constitutes malpractice. when their acts are contrary to honesty or good
morals, or do not approximate the highest
degree of morality and integrity expected of
Broadly speaking, the grounds for discipline of members of the bar [Sta. Maria v. Tuazon, A.C.
a lawyer consist of those acts of misconduct No. 396 (1964)].
committed before and after his admission to
the practice [Agpalo (2004)]. Misconduct in private capacity
General Rule: The Court will not
Grounds for disbarment or suspension assume jurisdiction to discipline one of its
members for misconduct alleged to be
a. Deceit, malpractice or other gross committed in his private capacity.
misconduct in office
Exception: An attorney will be removed not
• Deceit is false representation of a matter only for malpractice and dishonesty in his
of fact whether by words or conduct, by profession, but also for gross misconduct not
false or misleading allegations, or by connected with his professional duties, which
concealment of that which should have show him to be unfit for the office and unworthy
been disclosed which deceives or is of the privileges which his license and the law
intended to deceive another so that he confer upon him [Piatt v. Abordo, Piatt (1933)].
shall act upon it to his legal injury
[Alcantara v. CA, G.R. No. 147259 Misconduct before admission to the bar
(2003)]. A lawyer may be disbarred from
• Malpractice ordinarily refers to any misrepresentation or false pretense relative to
malfeasance or dereliction of duty the requirements for admission to practice. The
committed by a lawyer. It consists of a fact that he lacked any of the qualifications for
failure of an attorney to use such skill, membership at the time he took his oath is a
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ground for his disbarment [In re: Diao, A.C. No.
Secretary of any of its chapter and shall be
244 (1963)].
forwarded to the IBP Board of Governors.
3. How Instituted The complaint must allege specific acts
which constitute particular breaches of the
Proceedings for disbarment, suspension law, the CPR, or ethics. Otherwise, the
or discipline of attorneys may be instituted by complaint must fail.
the following:
1. The Supreme Court, motu propio; or ↓
2. The IBP Board of Governors, motu
propio, or upon referral by a) the Supreme Investigation by the National Grievance
Court, b) Chapter Board of Officers, or c) at Investigators within months.
the instance of any person. The respondent has the opportunity to
defend himself, but if he fails to appear, the
All charges against the following shall be investigation will proceed ex parte.
filed with the Supreme Court: ↓
1. Justices of the Court of Appeals;
2. Justices of the Sandiganbayan; Submission of investigative report to the
3. Judges of the Court of Tax Appeals; and IBP Board of Governors.
4. Judges of lower courts [Sec. 1(2),
Rule 139-B, RoC]. ↓

The IBP Board of Governors reviews

Charges filed against justices and
and decides within 30 days.
judges before the IBP shall immediately be
forwarded to the Supreme Court for
The Board then transmits its decision to
disposition and adjudication, including those
the Supreme Court within 10 days from
filed prior to their appointment in the Judiciary
resolution.
[Sec. 1(2), Rule 139-B].
↓
Contents of the complaint:
The Supreme Court reviews the decision of
the IBP Board of Governors and renders the
1. A clear and concise statement of the
final decision for disbarment / suspension /
facts complained of;
dismissal.
2. Supporting documents such as
affidavits or persons having personal
knowledge of the facts alleged in the The inherent power to discipline
complaint and/or by such documents as members of the bar belong to the Supreme
may substantiate the said facts [par. 2, Court, not the IBP. The power to disbar a
Sec. 1, Rule 139-B, RoC]. lawyer is exclusive to it. Thus, no decision of
the IBP is final. Such decisions are
4. Proceedings automatically elevated to the Court for review
[Maronilla v. Jorda, A.C. No. 6973 (2006)].
Institution by any of the following:
1. The Supreme Court, motu propio In Bar Matter No. 1645 (Re: Amendment of
2. The IBP Board of Governors, motu Rule 139-B), dated October 13, 2015, the
propio, or upon referral by a) the Supreme Court issued new rules governing
Supreme Court, b) Chapter Board of administrative disciplinary cases against
Officers, or c) at the instance of any lawyers:
person
3. Upon verified complaint by any person
• Investigation by the Solicitor General is no
↓ longer required.
6 copies of the verified complaint shall be • Only the Supreme Court can dismiss cases
filed with the Secretary of the IBP or against lawyers; it cannot be delegated to
the IBP. Thus, the provision in Rule 139-B

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that the Board of Governors can dismiss the lawyer determines for himself for
cases has been repealed. how long or how short his suspension
• The motive of the complainant and his/her shall last by proving to court that he is
action/inaction after the filing of a verified once again fit to resume practice of
complaint against a lawyer are not essential law.
to the proceedings. 5. Censure, an official reprimand.
6. Disbarment, the act of the Philippine
5. Discipline of Filipino Lawyers Supreme Court in withdrawing from an
who Practice in Foreign Jurisdictions attorney the privilege to practice law and
striking out the name of the lawyer from the
The disbarment or suspension of a member of roll of attorneys.
the Philippine Bar by a competent court or 7. Interim suspension, the temporary
other disciplinary agency in a foreign suspension of a lawyer from the practice of
jurisdiction where he has also been admitted law pending imposition of final discipline. It
as an attorney is a ground for his disbarment or includes:
suspension if the basis of such action includes a. Suspension upon conviction of a serious
any of the acts enumerated as grounds in Rule crime.
138 [In re: Maquera, B.M. No. 793 (2004)]. b. Suspension when the lawyer’s
continuing conduct is likely to cause
A foreign court’s judgment ordering the immediate ad serious injury to a client or
suspension of a Filipino lawyer in that public.
foreign country does not automatically 8. Probation, a sanction that allows a lawyer
result in his suspension or disbarment in to practice law under specified conditions.
the Philippines. The judgment, resolution or
order of the foreign court or disciplinary agency Other sanctions and remedies:
shall be prima facie evidence of the ground for
disbarment or suspension. Due process 1. Restitution
demands that he be given the opportunity to 2. Assessment of costs
defend himself and present testimonial or 3. Limitation upon practice
documentary evidence on the matter, in an 4. Appointment of a receiver
investigation conducted in accordance with 5. Requirement that a lawyer take the bar
Rule 139-B [In re: Maquera, supra]. examination or professional responsibility
examination
6. Sanctions 6. Requirement that a lawyer attend
continuing education courses
Disciplinary Measures 7. Other requirements that the Supreme Court
1. Warning, an act or fact of putting one or disciplinary board deem consistent with
on his guard against an impending the purposes of sanctions.
danger, evil consequences or penalties.
2. Admonition, a gentle or friendly reproof,
mild rebuke, warning or reminder,
counseling, on a fault, error or oversight; an
expression of authoritative advice.
3. Reprimand, a public and formal censure or
severe reproof, administered to a person in
fault by his superior officer or a body to
which he belongs. It is imposed on a minor
infraction of the lawyer’s duty to the court or
client.
4. Suspension, a temporary withholding of
a lawyer’s right to practice his profession
as a lawyer for:
a. A definite period; or
b. An indefinite period, which amounts
to qualified disbarment, in which case,
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II. JUDICIAL ETHICS 3. Impartiality (Canon 3)

Impartiality is essential to the proper discharge

1. Independence (Canon 1)
of the judicial office and applies not only to the
decision itself, but also to the process by which
Canon 1 mandates that judges should be free
the decision is made [Canon 3, Code of Judicial
from external influence, administer justice
Conduct].
impartially and without delay, and be vigilant to
any attempt to undermine the institutional
Sec. 5, Canon 3 provides for the
freedom of the judiciary.
disqualification of judicial officers (See
Disqualification of Judicial Officers for
Thus, the fact that the complainant and his
discussion).
sympathizers had staged a rally demanding
that the judge issue a warrant of arrest against
While the judge has misgivings on the
the accused is not a sufficient excuse for the
imposition of the death penalty due to religious
judge’s haste in fixing bail without a hearing
reasons, he is duty-bound to apply the law and
[Libarios v. Dabalos, A.M. No. RTJ-89-1286
a court of law is not a place for a protracted
(1991)].
debate on the morality or propriety of a
sentence [People v. Veneracion, G.R. Nos.
In another case, it was held that the respondent
119987-88 (1995)].
judge’s admission to have succumbed to
pressure from a national official in deciding the
The prohibition regarding presiding over party-
case in favor of the complainant is a patent
litigants related by consanguinity extends up to
betrayal of the public trust reposed on her as
the Judge’s 2nd cousin (6th degree). If it is to
an arbiter of the law. The judge should thus be
act as counsel, it extends to the Judge’s first
dismissed from the service with forfeiture of
cousin (4th degree) [Sec. 5, Canon 3].
retirement benefits and with prejudice to any
reinstatement in any branch of the government
Informed written consent signed by all parties
or its instrumentalities [Ramirez v. Corpus-
and lawyers regarding the disqualification of a
Macandong, A.M. Nos. R-351, 359, 621, 684,
Judge based on Section 5, is enough to allow
687 (1986)]
the judge to still participate in the proceeding
[Sec. 6, Canon 3].
2. Integrity (Canon 2)
A Judge committed grave abuse of discretion
A judge shall ensure that their conduct is above
amounting to lack or excess of jurisdiction
reproach and also perceived to be so in the
when he imposed reclusion perpetua instead of
eyes of a reasonable observer.
penalty of death in a conviction of rape; against
the imposed penalty already set by penal
Integrity applies not only to the proper
statutes. A judge is not allowed to make a court
discharge of the judicial office but also extends
of law a place for protracted debate on morality
to the personal demeanor of the judge.
or propriety of sentence [People v. Veneracion,
supra].
Judges must adhere to the highest standard of
conduct and must be the embodiment of
The Judge’s act of failing to follow well-known
competence, integrity, and independence. A
rules by conducting a hearing to grant bail for a
judge’s private and official conduct must be
non-bailable offense or using intemperate
free from appearances of impropriety and
language against a prosecutor, speak of bad
beyond reproach. Respondent judge violated
faith and manifest partiality. The complainants
the code of judicial conduct when he was seen
were right to be suspicious considering the
socializing with the congresswoman-mother of
Judge had family members that were close
one of the accused and the accused’s counsel.
associates of the accused [Jorda v. Bitas, A.M.
A judge is not only required to be impartial but
No. RTJ-14-2376 (2014)].
must also appear to be impartial [Dela Cruz v.
Bersamira, A.M. No. RTJ-00-1567 (2000)].

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4. Propriety (Canon 4) 1. Be aware of, and understand diversity in
society and differences arising from various
Propriety and the appearance of propriety are sources, including but not limited to race,
essential to the performance of all the activities color, age, sex, religion, nationality, sexual
of a judge. orientation, marital status, and socio-
economic status [Sec. 1];
Judges must accept the personal restrictions 2. Not manifest bias in the performance of their
that come with the office freely and willingly. judicial duties on irrelevant grounds [Sec. 2]
Particularly, judges shall conduct themselves 3. Carry out duties and responsibilities with
in a way consistent with the dignity of their appropriate consideration to all parties
office [Sec. 2]. without differentiation on irrelevant grounds
[Sec. 3];
While judges are entitled to freedom of 4. Not knowingly permit staff under his
expression, belief, association and assembly, influence, direction, or control, to
they must always conduct themselves in a differentiate between persons concerned on
manner preserving the dignity, impartiality, and irrelevant grounds [Sec. 4];
independence of the judiciary [Sec. 6]. 5. Require lawyers in proceedings before their
courts, to refrain from manifesting bias or
Subject to the performance of their judicial prejudice based on irrelevant grounds
duties, judges may: except those legally relevant to the issue
• Write, lecture, teach, and participate in and are subject to legitimate advocacy [Sec.
activities concerning the law, the 5].
administration of justice, and the legal
system; 6. Competence and Diligence (Canon 6)
• Appear at a public hearing concerned with
matters relating to the law, the legal system, Competence and diligence are prerequisites to
and the administration of justice; the due performance of judicial office. Thus,
• Engage in other activities if these do not Canon 6 provides:
detract from the dignity of the judicial office
or interfere with the performance of judicial 1. That the judicial duties of a judge take
duties [Sec. 10]. precedence over all other activities [Sec. 1];
2. That judges must devote their professional
Canon 4 includes the appearance of propriety. activity to judicial duties which include their
Thus, a judge’s act of posting seductive photos judicial functions but also other tasks
in her social media account contravened the relevant to the court’s operations [Sec. 2];
ethical standard set forth under Canon 4. While 3. That judges will take the necessary steps to
judges are allowed free expression, they must maintain their knowledge, skills, and
remember that they do not shed their status as personal qualities necessary for the proper
judges. Their ethical responsibilities as a judge performance of their judicial duties [Sec. 3];
are carried with them even in the cyberspace 4. That judges shall keep themselves informed
[Lorenzana v. Austria, A.M. No. RTJ-09-2200 about the relevant developments of
(2014)]. international law, and international
conventions regarding human rights norms
Judges and court personnel who participate in [Sec. 4];
social media are enjoined to be cautious and 5. That judges shall perform their duties
circumspect in posting photos, liking posts, and efficiently, fairly, and with reasonable
making comments in public in social promptness [Sec. 5];
networking sites [OCA Circular No. 173-2017, 6. That judges should maintain order and
Proper Use of Social Media (2017)]. decorum in proceedings before the court
and be patient, dignified, and courteous to
5. Equality (Canon 5) litigants, witnesses, and lawyers with whom
they deal with in an official capacity. Judges
Ensuring equality of treatment to all before the must also require the same kind of conduct
courts is essential. Therefore, Judges should: from legal representatives, and court staff
under his influence, direction, and control
[Sec. 6]; and
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7. That judges shall not engage in conduct
incompatible with the diligent discharge of
their judicial duties [Sec. 7].

Thus, a judge claiming to be endowed with

“psychic powers” and who claims that such
powers aid him in the performance of his duties
indicate a lack of competence. Respondent
judge’s preoccupation with paranormal and
psychic phenomena may cloud his judgment
and hamper his role as a judge dispensing
justice. He must therefore be dismissed from
the service due to a medical disability of the
mind rendering him unfit to discharge the
functions of his office [OCA v. Judge Floro,
A.M. Nos. RTJ-99-1460, 99-7-273-RTC, &
RTJ-06-1988 (2006)].

Further, the court has held that while it is true

that a judge may have an overload of cases,
this is no excuse for his failure to file an already
signed decision with the Clerk of Court for over
170 days. It must be reiterated to the members
of the Judiciary that it is their sworn duty to
administer justice without undue delay under
the time-honored precept that justice delayed
is justice denied [Castro v. Malazo, A.M. No.
1237-CAR (1980)].

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