E. Pleadings

E. Pleadings (part 1 of 3)

• Kinds – Rule 6
• Parts and Contents; Formal Requirements – Rule 7
• Manner of Making Allegations – Rule 8
• Effect of Failure to Plead – Rule 9
• Amended and Supplemental Pleadings – Rule 10
• Period to File Responsive Pleadings – Rule 11
• Filing and Service – Rule 13
• Rules on Docket Fees and Effect of Non-Payment
• A.M. No. 10-3-7-SC, June 1, 2022 or the Revised Guidelines on Submission of Electronic Copies of Supreme Court-Bound Papers pursuant to the Efficient Use of Paper Rule

RULE 6: KINDS OF PLEADINGS

Section 1. Pleadings defined. – Pleadings are the written statements of the respective claims and defenses of the parties submitted to the court for appropriate judgment. (1) Section 2. Pleadings allowed. – The claims of a party are asserted in a complaint, counterclaim, cross- claim, third (fourth, etc.)-party complaint, or complaint-in-intervention. The defenses of a party are alleged in the answer to the pleading asserting a claim against him or her. An answer may be responded to by a reply only if the defending party attaches an actionable document to the answer. (2a) Section 3. Complaint. – The complaint is the pleading alleging the plaintiff’s or claiming party’s cause or causes of action. The names and residences of the plaintiff and defendant must be stated in the complaint. (3a) Section 4. Answer. – An answer is a pleading in which a defending party sets forth his or her defenses. (4a) Section 5. Defenses. – Defenses may either be negative or affirmative. (a) A negative defense is the specific denial of the material fact or facts alleged in the pleading of the claimant essential to his or her cause or causes of action. (b) An affirmative defense is an allegation of a new matter which, while hypothetically admitting the material allegations in the pleading of the claimant, would nevertheless prevent or bar recovery by him or her. The affirmative defenses include fraud, statute of limitations, release, payment, illegality, statute of frauds, estoppel, former recovery, discharge in bankruptcy, and any other matter by way of confession and avoidance. Affirmative defenses may also include grounds for the dismissal of a complaint, specifically, that the court has no jurisdiction over the subject matter, that there is another action pending between the same parties for the same cause, or that the action is barred by a prior judgment. (5a) Section 6. Counterclaim. – A counterclaim is any claim which a defending party may have against an opposing party. (6) Section 7. Compulsory counterclaim. – A compulsory counterclaim is one which, being cognizable by the regular courts of justice, arises out of or is connected with the transaction or occurrence constituting the subject matter of the opposing party’s claim and does not require for its adjudication the presence of third parties of whom the court cannot acquire jurisdiction. Such a counterclaim must be within the jurisdiction of the court both as to the amount and the nature thereof, except that in an original action before the Regional Trial Court, the counterclaim may be considered compulsory regardless of the amount. A compulsory counterclaim not raised in the same action is barred, unless otherwise allowed by these Rules. (7a) Section 8. Cross-claim. – A cross-claim is any claim by one party against a co-party arising out of the transaction or occurrence that is the subject matter either of the original action or of a counterclaim therein. Such cross-claim may cover all or part of the original claim. (8a) Section 9. Counter-counterclaims and counter-cross-claims. – A counterclaim may be asserted against an original counter-claimant. A cross-claim may also be filed against an original cross-claimant. (9) Section 10. Reply. – All new matters alleged in the answer are deemed controverted. If the plaintiff wishes to interpose any claims arising out of the new matters so alleged, such claims shall be set forth in an amended or supplemental complaint. However, the plaintiff may file a reply only if the defending party attaches an actionable document to his or her answer. A reply is a pleading, the office or function of which is to deny, or allege facts in denial or avoidance of new matters alleged in, or relating to, said actionable document. In the event of an actionable document attached to the reply, the defendant may file a rejoinder if the same is based solely on an actionable document. (10a) Section 11. Third, (fourth, etc.)-party complaint. – A third (fourth, etc.)-party complaint is a claim that a defending party may, with leave of court, file against a person not a party to the action, called the third (fourth, etc.)-party defendant, for contribution, indemnity, subrogation or any other relief, in respect of his or her opponent’s claim. The third (fourth, etc.)-party complaint shall be denied admission, and the court shall require the defendant to institute a separate action, where: (a) the third (fourth, etc.)-party defendant cannot be located within thirty (30) calendar days from the grant of such leave; (b) matters extraneous to the issue in the principal case are raised; or (c) the effect would be to introduce a new and separate controversy into the action. (11a) Section 12. Bringing new parties. – When the presence of parties other than those to the original action is required for the granting of complete relief in the determination of a counterclaim or cross-claim, the court shall order them to be brought in as defendants, if jurisdiction over them can be obtained. (12) Section 13. Answer to third (fourth, etc.)-party complaint. – A third (fourth, etc.)-party defendant may allege in his or her answer his or her defenses, counterclaims or cross-claims, including such defenses that the third (fourth, etc.)-party plaintiff may have against the original plaintiff’s claim. In proper cases, he [or she] may also assert a counterclaim against the original plaintiff in respect of the latter’s claim against the third-party plaintiff. (13a)

RULE 7: PARTS AND CONTENTS OF A PLEADING

Section 1. Caption. – The caption sets forth the name of the court, the title of the action, and the docket number if assigned. The title of the action indicates the names of the parties. They shall all be named in the original complaint or petition; but in subsequent pleadings, it shall be sufficient if the name of the first party on each side be stated with an appropriate indication when there are other parties. Their respective participation in the case shall be indicated. (1) Section 2. The body. – The body of the pleading sets forth its designation, the allegations of the party’s claims or defenses, the relief prayed for, and the date of the pleading. (a) Paragraphs. – The allegations in the body of a pleading shall be divided into paragraphs so numbered as to be readily identified, each of which shall contain a statement of a single set of circumstances so far as that can be done with convenience. A paragraph may be referred to by its number in all succeeding pleadings. (b) Headings. – When two or more causes of action are joined, the statement of the first shall be prefaced by the words “first cause of action,” of the second by “second cause of action,” and so on for the others. When one or more paragraphs in the answer are addressed to one of several causes of action in the complaint, they shall be prefaced by the words “answer to the first cause of action” or “answer to the second cause of action” and so on; and when one or more paragraphs of the answer are addressed to several causes of action, they shall be prefaced by words to that effect. (c) Relief. – The pleading shall specify the relief sought, but it may add a general prayer for such further or other relief as may be deemed just or equitable. (d) Date. – Every pleading shall be dated. (4)

Section 3. Signature and address. – (a) Every pleading [and other written submissions to the court] must be signed by the party or counsel representing him or her. (b) The signature of counsel constitutes a certificate by him or her that he or she has read the pleading and document; that to the best of his or her knowledge, information, and belief formed after an inquiry reasonable under the circumstances:

(1) It is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation; (2) The claims, defenses, and other legal contentions are warranted by existing law or jurisprudence, or by a non-frivolous argument for extending, modifying, or reversing existing jurisprudence; (3) The factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after availment of the modes of discovery under these [R]ules; and

(4) The denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information. (c) If the court determines, on motion or motu proprio and after notice and hearing, that this [R]ule has been violated, it may impose an appropriate sanction or refer such violation to the proper office for disciplinary action, on any attorney, law firm, or party that violated the rule, or is responsible for the violation. Absent exceptional circumstances, a law firm shall be held jointly and severally liable for a violation committed by its partner, associate, or employee. The sanction may include, but shall not be limited to, non-monetary directive or sanction; an order to pay a penalty in court; or, if imposed on motion and warranted for effective deterrence, an order directing payment to the movant of part or all of the reasonable attorney’s fees and other expenses directly resulting from the violation, including attorney’s fees for the filing of the motion for sanction. The lawyer or law firm cannot pass on the monetary penalty to the client. (3a)

Section 4. Verification. – Except when otherwise specifically required by law or rule, pleadings need not be under oath or verified.

A pleading is verified by an affidavit of an affiant duly authorized to sign said verification. The authorization of the affiant to act on behalf of a party, whether in the form of a secretary’s certificate or a special power of attorney, should be attached to the pleading, and shall allege the following attestations:

(a) The allegations in the pleading are true and correct based on his or her personal knowledge, or based on authentic documents;

(b) The pleading is not filed to harass, cause unnecessary delay, or needlessly increase the cost of litigation; and

(c) The factual allegations therein have evidentiary support or, if specifically so identified, will likewise have evidentiary support after a reasonable opportunity for discovery.

The signature of the affiant shall further serve as a certification of the truthfulness of the allegations in the pleading.

A pleading required to be verified that contains a verification based on “information and belief,” or upon “knowledge, information and belief,” or lacks a proper verification, shall be treated as an unsigned pleading. (4a) Section 5. Certification against forum shopping. – The plaintiff or principal party shall certify under oath in the complaint or other initiatory pleading asserting a claim for relief, or in a sworn certification annexed thereto and simultaneously filed therewith: (a) that he [or she] has not theretofore commenced any action or filed any claim involving the same issues in any court, tribunal or quasi-judicial agency and, to the best of his [or her] knowledge, no such other action or claim is pending therein; (b) if there is such other pending action or claim, a complete statement of the present status thereof; and (c) if he [or she] should thereafter learn that the same or similar action or claim has been filed or is pending, he [or she] shall report that fact within five (5) calendar days therefrom to the court wherein his [or her] aforesaid complaint or initiatory pleading has been filed. The authorization of the affiant to act on behalf of a party, whether in the form of a secretary’s certificate or a special power of attorney, should be attached to the pleading. Failure to comply with the foregoing requirements shall not be curable by mere amendment of the complaint or other initiatory pleading but shall be cause for the dismissal of the case without prejudice, unless otherwise provided, upon motion and after hearing. The submission of a false certification or non-compliance with any of the undertakings therein shall constitute indirect contempt of court, without prejudice to the corresponding administrative and criminal actions. If the acts of the party or his [or her] counsel clearly constitute willful and deliberate forum shopping, the same shall be ground for summary dismissal with prejudice and shall constitute direct contempt, as well as a cause for administrative sanctions. (5a) Section 6. Contents. – Every pleading stating a party’s claims or defenses shall, in addition to those mandated by Section 2, Rule 7, state the following:

(a) Names of witnesses who will be presented to prove a party’s claim or defense; (b) Summary of the witnesses’ intended testimonies, provided that the judicial affidavits of said witnesses shall be attached to the pleading and form an integral part thereof. Only witnesses whose judicial affidavits are attached to the pleading shall be presented by the parties during trial. Except if a party presents meritorious reasons as basis for the admission of additional witnesses, no other witness or affidavit shall be heard or admitted by the court; and (c) Documentary and object evidence in support of the allegations contained in the pleading. (n)

RULE 8: MANNER OF MAKING ALLEGATIONS IN PLEADINGS

PLEADINGS ALLOWED BY THE RULES OF COURT:

• Complaint
• Answer
• Counterclaim
• Cross-claim
• Third (fourth, etc. – party complaint)
• Complaint-in-intervention
• Reply (only if the pleading replied to contains an actionable document)

PLEADINGS ALLOWED

The only pleadings allowed to be filed are the complaint, compulsory counterclaim and crossclaim pleaded in the answer, and the answers thereto. All pleadings shall be verified. (Sec. 5, Rule 70)

PLEADINGS ALLOWED IN SMALL CLAIMS CASES AND CASES COVERED BY THE RULE ON SUMMARY PROCEDURE

Allowed Pleadings in Summary Procedure Cases

• Complaint;
• Compulsory Counterclaim;
• Cross-Claims pleaded in the Answer
• Answers to these pleadings (Section 3, Rules on Summary Procedure)

VERIFICATION

Generally, a pleading need not be verified EXCEPT only when verification is required by a law or by a rule. (Rule 7, Sec. 4)

(1) CONDITION PRECEDENT

CONDITIONS PRECEDENT are matters which must be complied with before a cause of action arises. (Riano, Civil Procedure: A Restatement for the bar, 2nd ed, 2009)

Conditions precedent and a general averment of its occurrence must be stated in the pleading.

The Following Papers Are required to be FILED in Court and SERVED upon the parties affected:

• Judgments;
• Resolutions;
• Orders;
• Pleadings subsequent to the complaint;
• Written motion;
• Notices;
• Appearances;
• Demands;
• Offers of judgment; and
• Similar papers. (Rule 13, Sec. 4)