iii. Petition for Review from RTC to CA (Rule 42)

R. Remedies before Finality of Judgment (part 2 of 4)

(a) To verify the correctness of the original record or the record on appeal, as the case may be, and to make a certification of its correctness; (b) To verify the completeness of the records that will be transmitted to the appellate court; (c) If found to be incomplete, to take such measures as may be required to complete the records, availing of the authority that he or the court may exercise for this purpose; and (d) To transmit the records to the appellate court. If the efforts to complete the records fail, he shall indicate in his letter of transmittal the exhibits or transcripts not included in the records being transmitted to the appellate court, the reasons for their non-transmittal, and the steps taken or that could be taken to have them available. The clerk of court shall furnish the parties with copies of his letter of transmittal of the records to the appellate court. (10a) Section 11. Transcript. – Upon the perfection of the appeal, the clerk shall immediately direct the stenographers concerned to attach to the record of the case five (5) copies of the transcripts of the testimonial evidence referred to in the record on appeal. The stenographers concerned shall transcribe such testimonial evidence and shall prepare and affix to their transcripts an index containing the names of the witnesses and the pages wherein their testimonies are found, and a list of the exhibits and the pages wherein each of them appears to have been offered and admitted or rejected by the trial court. The transcripts shall be transmitted to the clerk of the trial court who shall thereupon arrange the same in the order in which the witnesses testified at the trial, and shall cause the pages to be numbered consecutively. (12a) Section 12. Transmittal. – The clerk of the trial court shall transmit to the appellate court the original record or the approved record on appeal within thirty (30) days from the perfection of the appeal, together with the proof of payment of the appellate court docket and other lawful fees, a certified true copy of the minutes of the proceedings, the order of approval, the certificate of correctness, the original documentary evidence referred to therein, and the original and three (3) copies of the transcripts. Copies of the transcripts and certified true copies of the documentary evidence shall remain in the lower court for the examination of the parties. (11a) Section 13. Dismissal of appeal. – Prior to the transmittal of the original record or the record on appeal to the appellate court, the trial court may, motu proprio or on motion, dismiss the appeal for having been taken out of time or for non-payment of the docket and other lawful fees within the reglementary period. (As amended by A.M. No. 00-2-10-SC, May 1, 2000.)

RULE 42: PETITION FOR REVIEW FROM THE REGIONAL TRIAL COURTS > TO THE COURT OF APPEALS

Section 1. How appeal taken; time for filing. – A party desiring to appeal from a decision of the Regional Trial Court rendered in the exercise of its appellate jurisdiction may file a verified petition for review with the Court of Appeals, paying at the same time to the clerk of said court the corresponding docket and other lawful fees, depositing the amount of P500.00 for costs, and furnishing the Regional Trial Court and the adverse party with a copy of the petition. The petition shall be filed and served within fifteen (15) days from notice of the decision sought to be reviewed or of the denial of petitioner’s motion for new trial or reconsideration filed in due time after judgment. Upon proper motion and the payment of the full amount of the docket and other lawful fees and the deposit for costs before the expiration of the reglementary period, the Court of Appeals may grant an additional period of fifteen (15) days only within which to file the petition for review. No further extension shall be granted except for the most compelling reason and in no case to exceed fifteen (15) days. (n) Section 2. Form and contents. – The petition shall be filed in seven (7) legible copies, with the original copy intended for the court being indicated as such by the petitioner, and shall (a) state the full names of the parties to the case, without impleading the lower courts or judges thereof either as petitioners or respondents; (b) indicate the specific material dates showing that it was filed on time; (c) set forth concisely a statement of the matters involved, the issues raised, the specification of errors of fact or law, or both, allegedly committed by the Regional Trial Court, and the reasons or arguments relied upon for the allowance of the appeal; (d) be accompanied by clearly legible duplicate originals or true copies of the judgments or final orders of both lower courts, certified correct by the clerk of court of the Regional Trial Court, the requisite number of plain copies thereof and of the pleadings and other material portions of the record as would support the allegations of the petition. The petitioner shall also submit together with the petition a certification under oath that he has not theretofore commenced any other action involving the same issues in the Supreme Court, the Court of Appeals or different divisions thereof, or any other tribunal or agency; if there is such other action or proceeding, he must state the status of the same; and if he should thereafter learn that a similar action or proceeding has been filed or is pending before the Supreme Court, the Court of Appeals, or different divisions thereof, or any other tribunal or agency, he undertakes to promptly inform the aforesaid courts and other tribunal or agency thereof within five (5) days therefrom. (n) Section 3. Effect of failure to comply with requirements. – The failure of the petitioner to comply with any of the foregoing requirements regarding the payment of the docket and other lawful fees, the deposit for costs, proof of service of the petition, and the contents of and the documents which should accompany the petition shall be sufficient ground for the dismissal thereof. (n) Section 4. Action on the petition. – The Court of Appeals may require the respondent to file a comment on the petition, not a motion to dismiss, within ten (10) days from notice, or dismiss the petition if it finds the same to be patently without merit, prosecuted manifestly for delay, or that the questions raised therein are too unsubstantial to require consideration. (n) Section 5. Contents of comment. – The comment of the respondent shall be filed in seven (7) legible copies, accompanied by certified true copies of such material portions of the record referred to therein together with other supporting papers and shall (a) state whether or not he accepts the statement of matters involved in the petition; (b) point out such insufficiencies or inaccuracies as he believes exist in petitioner’s statement of matters involved but without repetition; and (c) state the reasons why the petition should not be given due course. A copy thereof shall be served on the petitioner. (n) Section 6. Due course. – If upon the filing of the comment or such other pleadings as the court may allow or require, or after the expiration of the period for the filing thereof without such comment or pleading having been submitted, the Court of Appeals finds prima facie that the lower court has committed an error of fact or law that will warrant a reversal or modification of the appealed decision, it may accordingly give due course to the petition. (n) Section 7. Elevation of record. – Whenever the Court of Appeals deems it necessary, it may order the clerk of court of the Regional Trial Court to elevate the original record of the case including the oral and documentary evidence within fifteen (15) days from notice. (n) Section 8. Perfection of appeal; effect thereof. –

(a) Upon the timely filing of a petition for review and the payment of the corresponding docket and other lawful fees, the appeal is deemed perfected as to the petitioner. The Regional Trial Court loses jurisdiction over the case upon the perfection of the appeals filed in due time and the expiration of the time to appeal of the other parties. However, before the Court of Appeals gives due course to the petition, the Regional Trial Court may issue orders for the protection and preservation of the rights of the parties which do not involve any matter litigated by the appeal, approve compromises, permit appeals of indigent litigants, order execution pending appeal in accordance with section 2 of Rule 39, and allow withdrawal of the appeal. (9a, R41) (b) Except in civil cases decided under the Rule on Summary Procedure, the appeal shall stay the judgment or final order unless the Court of Appeals, the law, or these Rules shall provide otherwise. (n) Section 9. Submission for decision. – If the petition is given due course, the Court of Appeals may set the case for oral argument or require the parties to submit memoranda within a period of fifteen (15) days from notice. The case shall be deemed submitted for decision upon the filing of the last pleading or memorandum required by these Rules or by the court itself. (n)

RULE 43: APPEALS FROM THE COURT OF TAX APPEALS AND QUASI-JUDICIAL AGENCIES TO THE COURT OF APPEALS

Section 1. Scope. – This Rule shall apply to appeals from judgments or final orders of the Court of Tax Appeals and from awards, judgments, final orders or resolutions of or authorized by any quasi- judicial agency in the exercise of its quasi-judicial functions. Among these agencies are the Civil Service Commission, Central Board of Assessment Appeals, Securities and Exchange Commission, Office of the President, Land Registration Authority, Social Security Commission, Civil Aeronautics Board, Bureau of Patents, Trademarks and Technology Transfer, National Electrification Administration, Energy Regulatory Board, National Telecommunications Commission, Department of Agrarian Reform under Republic Act No. 6657, Government Service Insurance System, Employees Compensation Commission, Agricultural Inventions Board, Insurance Commission, Philippine Atomic Energy Commission, Board of Investments, Construction Industry Arbitration Commission, and voluntary arbitrators authorized by law. (n) Section 2. Cases not covered. – This Rule shall not apply to judgments or final orders issued under the Labor Code of Philippines. (n) Section 3. Where to appeal. – An appeal under this Rule may be taken to the Court of Appeals within the period and in the manner herein provided, whether the appeal involves questions of fact, of law, or mixed questions of fact and law. (n) Section 4. Period of appeal. – The appeal shall be taken within fifteen (15) days from notice of the award, judgment, final order or resolution, or from the date of its last publication, if publication is required by law for its effectivity, or of the denial of petitioner’s motion for new trial or reconsideration duly filed in accordance with the governing law of the court or agency a quo. Only one (1) motion for reconsideration shall be allowed. Upon proper motion and the payment of the full amount of the docket fee before the expiration of the reglementary period, the Court of Appeals may grant an additional period of fifteen (15) days only within which to file the petition for review. No further extension shall be granted except for the most compelling reason and in no case to exceed fifteen (15) days. (n) Section 5. How appeal taken. – Appeal shall be taken by filing a verified petition for review in seven (7) legible copies with the Court of Appeals, with proof of service of a copy thereof on the adverse party and on the court or agency a quo. The original copy of the petition intended for the Court of Appeals shall be indicated as such by the petitioner. Upon the filing of the petition, the petitioner shall pay to the clerk of court of the Court of Appeals the docketing and other lawful fees and deposit the sum of P500.00 for costs. Exemption from payment of docketing and other lawful fees and the deposit for costs may be granted by the Court of Appeals upon a verified motion setting forth valid grounds therefor. If the Court of Appeals denies the motion, the petitioner shall pay the docketing and other lawful fees and deposit for costs within fifteen (15) days from notice of the denial. (n) Section 6. Contents of the petition. – The petition for review shall (a) state the full names of the parties to the case, without impleading the court or agencies either as petitioners or respondents; (b) contain a concise statement of the facts and issues involved and the grounds relied upon for the review; (c) be accompanied by a clearly legible duplicate original or a certified true copy of the award, judgment, final order or resolution appealed from, together with certified true copies of such material portions of the record referred to therein and other supporting papers; and (d) contain a sworn certification against forum shopping as provided in the last paragraph of section 2, Rule 42. The petition shall state the specific material dates showing that it was filed within the period fixed herein. (2a) Section 7. Effect of failure to comply with requirements. – The failure of the petitioner to comply with any of the foregoing requirements regarding the payment of the docket and other lawful fees, the deposit for costs, proof of service of the petition, and the contents of and the documents which should accompany the petition shall be sufficient ground for the dismissal thereof. (n) Section 8. Action on the petition. – The Court of Appeals may require the respondent to file a comment on the petition, not a motion to dismiss, within ten (10) days from notice, or dismiss the petition if it finds the same to be patently without merit, prosecuted manifestly for delay, or that the questions raised therein are too unsubstantial to require consideration. (6a) Section 9. Contents of comment. – The comment shall be filed within ten (10) days from notice in seven (7) legible copies and accompanied by clearly legible certified true copies of such material portions of the record referred to therein together with other supporting papers. The comment shall (a) point out insufficiencies or inaccuracies in petitioner’s statement of facts and issues; and (b) state the reasons why the petition should be denied or dismissed. A copy thereof shall be served on the petitioner, and proof of such service shall be filed with the Court of Appeals. (9a) Section 10. Due course. – If upon the filing of the comment or such other pleadings or documents as may be required or allowed by the Court of Appeals or upon the expiration of the period for the filing thereof, and on the basis of the petition or the records the Court of Appeals finds prima facie that the court or agency concerned has committed errors of fact or law that would warrant reversal or modification of the award, judgment, final order or resolution sought to be reviewed, it may give due course to the petition; otherwise, it shall dismiss the same. The findings of fact of the court or agency concerned, when supported by substantial evidence, shall be binding on the Court of Appeals. (n) Section 11. Transmittal of record. – Within fifteen (15) days from notice that the petition has been given due course, the Court of Appeals may require the court or agency concerned to transmit the original or a legible certified true copy of the entire record of the proceeding under review. The record to be transmitted may be abridged by agreement of all parties to the proceeding. The Court of Appeals may require or permit subsequent correction of or addition to the record. (8a) Section 12. Effect of appeal. – The appeal shall not stay the award, judgment, final order or resolution sought to be reviewed unless the Court of Appeals shall direct otherwise upon such terms as it may deem just. (10a) Section 13. Submission for decision. – If the petition is given due course, the Court of Appeals may set the case for oral argument or require the parties to submit memoranda within a period of fifteen (15) days from notice. The case shall be deemed submitted for decision upon the filing of the last pleading or memorandum required by these Rules or by the Court of Appeals. (n)

RULE 44: ORDINARY APPEALED CASES

Special cases:

A. RTC acting as Special Agrarian Court – petition for review to CA

B. RTC acting as a Commercial Court – petition for review to CA

Petition for Review form the Regional Trial Court to the Court of Appeals (Rule 42)

An appeal from the judgment or final order of the Regional Trial Court to the Court of Appeals decided by the Regional Trial Court in the exercise of its appellate jurisdiction on questions of fact, of law or of fact and law.

Appeal is perfected as to petitioner upon timely:

• Filing of a petition for review; and
• Payment of the corresponding docket and other lawful fees. (Rule 42, Sec. 8)

Requisites:

• File a verified petition for review with the Court of Appeals within 15 days from notice of the decision or of the denial of Motion for Reconsideration/Motion for New Trial
• The Court of Appeals may grant an additional period of 15 days within which to file the petition for review. No further extension shall be granted except for the most compelling reason and in no case to exceed 15 days.
• Pay docket and lawful fees and deposit P500.00 to the Clerk of Court of the Court of Appeals.
• Furnish the Regional Trial Court and adverse party with a copy of the petition. (Rule 42, Sec. 1)

Form and Contents

File in 3 legible copies, with the original copy intended for the court being indicated as such by the petitioner. (per Efficient Use of Paper Rule, A.M. No. 11-9-4-SC)

The Petition shall contain:

• Full names of the parties, without impleading the lower courts/judges thereof as petitioners or respondents.
• Specific material dates to show it was filed on time.
• A statement of the matters involved, the issues raised, the specification or errors of fact or law, or both, allegedly committed by the Regional Trial Court, and the reasons or arguments relied upon for the allowance of the appeal.
• Clearly legible duplicate originals or true copies of judgments of both lower courts, certified correct by the RTC Clerk of Court.
• Certificate of non-forum shopping. (Rule 42, Sec. 2)

The lower courts or judges that rendered the judgment or final order complained of should not be impleaded as parties. The same prohibition is now provided in petitions for review on certiorari under Rule 45, since these are petitions for purposes of appeal and NOT petitions in original actions.

Updated: A Rule 42 petition need include only relevant and pertinent records; where the facts are undisputed and the question is purely legal, the assailed resolution may suffice (So v. Food Fest Land, Inc., G.R. No. 261784, 2 April 2025).

Effect of Failure to Comply With Requirements

The failure of the petitioner to comply with any of the following requirements shall be sufficient ground for the dismissal thereof:

• Payment of the docket and other lawful fees.
• Deposit for costs.

Note: Before the Court of Appeals may grant the 15-day extension to file a petition for review, Sec. 1, Rule 42 of the Rules of Court requires the payment of the full amount of the docket and other lawful fees and the deposit of the necessary amount for costs before the expiration of the reglementary period. (Heirs of Esplana vs. CA, G.R. No. 155758, 2008)

• Proof of service of the petition;

Note: The service of judgment serves as the reckoning point to determine whether a decision had been appealed within the reglementary period or has already become final. (Mindanao Terminal and Brokerage vs. CA, G.R. No. 163286, 2012);

Note: In Teh vs People, the Court of Appeals correctly dismissed the petition for being insufficient in form, not being accompanied by duplicate original or certified true copies of the documents and material parts of the record that would support the allegations. Moreover, there was no written explanation why service of the petition was not done personally. (Teh vs. People, G.R. No. 141180, 2005); and

• Contents of and the documents, which should accompany the petition. (Rule 42, Sec. 3)

Note: It is petitioner who knows best what pleadings or material portions of the record of the case would support the allegations in the petition. Petitioner’s discretion in choosing the documents to be attached to the petition is however not unbridled. The CA has the duty to check the exercise of this discretion, to see to it that the submission of supporting documents is not merely perfunctory.

The practical aspect of this duty is to enable the CA to determine at the earliest possible time the existence of prima facie merit in the petition. Moreover, (Rule 42, Sec. 3) provides that if petitioner fails to comply with the submission of "documents, which should accompany the petition," it "shall be sufficient ground for the dismissal thereof." (Canton vs. City of Cebu, G.R. No. 152898, 2007)

Note: In Quintin Lee vs. CA, the Court of Appeals correctly dismissed petitioner's appeal not only because he purportedly employed the wrong mode of appeal. It likewise found that petitioner failed to comply with the requirements of (Rule 42, Sec. 2[d]). In his petition before the appellate court, petitioner attached only plain machine copies of the certified photocopies of the assailed decisions of the lower courts. Neither did he submit the pleadings and other material portions of the record to support his allegations. (Quintin Lee vs. CA, G.R. No. 165918, 2008)

Purpose: To eliminate the causes of judicial backlog and delay in light of the experience of the appellate courts.

Updated: A Rule 42 petition need attach only relevant and pertinent records, and the assailed resolution may suffice for a purely legal issue on undisputed facts; a final judgment served only by email does not start the appeal period (So v. Food Fest Land, Inc., G.R. No. 261784, 2 April 2025).

Extension of Period to File Petition for Review

General Rule: CA may allow (only) 1 extension of 15 days to file the petition for review after docket fees are paid and if the motion for extension of time is filed within the 15-day reglementary period

Exception: for the most compelling reasons, the CA may allow another extension not to exceed 15 days

Action on the Petition

The Court of Appeals may:

• Require the respondent to comment, not file a motion to dismiss, within 10 days from notice, or
• Dismiss the petition if it finds it to be:
• Patently without merit;
• Prosecuted manifestly for delay; or
• Questions raised are too insubstantial to require consideration. (Rule 42, Sec. 4)

Contents of Comment

Requisites of the comment of the respondent:

• File in 3 legible copies (Efficient Use of Paper Rule, A.M. No. 11-9-4-SC).
• Accompanied by certified true copies of material portions of records referred to.
• State whether or not he/she accepts the statement of matters involved in the petition.
• Point out insufficiencies/inaccuracies as he/she believes exist in petitioner’s statement of matters involved but without repetition; and
• State reasons why petition should not be given due course.

A copy of the comment shall be served on the petitioner. (Rule 42, Sec. 5)

Due course

If the Court of Appeals finds prima facie that the lower court (RTC) committed an error of fact or law that will warrant a reversal or modification of the decision, it may give due course to the petition. (Rule 42, Sec. 6)

Petition for review is not a matter of right but discretionary on the Court of Appeals. It may only give due course to the petition if it shows on its face that the lower court has committed an error of fact and/or law that will warrant reversal or modification of the decision or judgment sought to be reviewed.

Elevation of Record

Whenever the Court of Appeals deems it necessary, it may require the RTC to elevate the original records of the case within 15 days. (Rule 42, Sec. 7)

Records remain with the trial court because it MAY still issue a writ of execution pending appeal and also because in some cases (e.g., ejectment and those of Summary Procedure), the judgments are immediately executory.

A REJOINDER (to the reply) is no longer required under AM No. 99-2-04-SC (15 March 1999).

Upon the Filing of the Reply, the Court Shall Resolve Either to:

• Give due course to the petition; and
• Consider the case submitted for decision based on the pleadings; or
• Require the parties to submit their respective memoranda; or
• Deny or dismiss the petition

Submission for Decision

If the petition is given due course, the Court of Appeals (CA) may:

• Set the case for oral argument. and/or
• Require the parties to submit memoranda within a period of 15 days from notice. (Rule 42, Section 9)

No new issues may be raised by a party in the Memorandum.

Issues raised by a party in previous pleadings but not included in the Memorandum shall be deemed waived or abandoned.

Being a summation of the parties’ previous pleadings, the Memoranda alone may be considered by the CA in deciding or resolving the petition.

The case shall be deemed submitted for decision upon the filing of the last pleading or memorandum required by these Rules or by the CA itself.

PARTICIPATION OF THE SOLICITOR GENERAL DURING APPEAL

According to Book IV, Title III, Chapter 12, Section 35(1) of the Administrative Code of 1987, the Office of the Solicitor General shall “represent the Government in the Supreme Court and the Court of Appeals in all criminal proceedings; represent the Government and its officers in the Supreme Court and Court of Appeals, and all other courts or tribunals in all civil actions and special proceedings in which the Government or any officer thereof in his official capacity is a party.”

The Solicitor General is the sole representative of the People of the Philippines in appeals before the CA and the Supreme Court. Failure to have a copy of a petition served on the People of the Philippines, through the OSG, is a sufficient ground for the dismissal of the petition as provided in Section 3, Rule 42 of the Rules of Court. (People v. Duca, G.R. No. 171175, 2009)

BERNABE: If there is a dismissal of a criminal case by the trial court or if there is an acquittal of the accused, it is only the OSG that may bring an appeal on the criminal aspect representing the People. (People v. Piccio, et al., G.R. No. 193681, 2014)

Transmittal of record

Within 15 days from notice that the petition has been given due course, the Court of Appeals may require the court or agency concerned to transmit the record of the proceeding under review.

The record to be transmitted may be abridged by the agreement of all parties to the proceeding.

The Court of Appeals may require or permit the subsequent correction of or addition to the record. (Rule 43, Sec. 11)