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Civil Procedure: Rule 6 Pleadings (Substantial Requirements)
OCT 2
Posted by Magz
Definition
Rule 6, Sec. 1.
Pleadings are the written statements of the respective claims and defenses of the parties submitted to the court for
appropriate judgment
Allowed Pleadings
Rule 6, Sec. 2
The claims of a party are asserted in a complaint, counter-claim, 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.
Liberal construction
Gerales v. CA, 218 SCRA 638 (’93)
Facts: Counsel for petitioner: Sir Luigi, este, Camacho pala) A vehicular accident occurred resulting in respondent filing
a case for damage to property. Two cases were filed, criminal & civil. The crim. case was dismissed beech. the parties
entered into an amicable settlement. The civil case continued but resp. was declared in default for failure to file an
answer. What respondent did was merely to send a letter to the Clerk of Court informing the ct. about the amicable
settlement.
Held: The trial ct. should have considered the letter as a responsive pleading even if it lacks the formalities required by
law. The letter contains an affirmative defense, i.e. mutual settlement w/c, if proven in preliminary hearing would
constitute a meritorious defense barring pet. fr. recovery. Pleadings as well as remedial laws should be liberally
construed in order that the litigant may have ample opportunity to prove their respective claims & to prevent possible
denial of substantive due process. Litigations should be decided on the merits not merely on technicality.
Rule 8, Sec. 1
Every pleading shall contain in a methodical and logical form, a plain, concise and direct statement of the ultimate facts
on which the party pleading relies for his claim or defense, as the case may be, omitting the statement of mere
evidentiary facts.
If a defense relied on is based on law, the pertinent provisions thereof and their applicability to him shall be clearly and
concisely stated.
Capacity
Rule 8, Sec. 4
Facts showing the capacity of a party to sue or be sued or the authority of a prty to sue or be sued in a representative
capacity or the legal existence of an organized association of persons that is made a party, must be averred. A prty
desiring to raise an issue as to the legal existence of any party or the capacity of any party to sue or be sued in a
representative capacity, shall do so by specific denial, which shall include such supporting particulars as are peculiarly
within the pleader’s knowledge.
Rule 8, Sec. 2
A party may set forth two or more statements of a claim or defense alternatively or hypothetically, either in one cause of
action or defense or in separate causes of action or defenses. When two or more statements are made in the alternative
and one of them if made independently would be sufficient, the pleading is not made insufficient by the insufficiency of
one or more of the alternative statements.
Conditions precedent
Rule 8, Sec. 3
In any pleading a general averment of the performance or occurrence of all conditions precedent shall be sufficient.
In all averments of fraud or mistake, the circumstances constituting the fraud or mistake must be stated with
particularity. Malice, intent, knowledge or other condition of the mind of a person may be averred generally.
Condition of mind
Judgments
Rule 8, Sec. 6
In pleading a judgment or decision of a domestic or foreign court, judicial or quasi-judicial tribunal, or of a board or
officer, it is sufficient to aver the judgment or decision without setting forth the matter showing jurisdiction to render
it.
Official Documents
Rule 8, Sec. 9
In pleading an official document or official act, it is sufficient to aver that the document was issued or the act done in
compliance with law.
Complaint
Defined and in general
Rule 6, Sec. 3
The complaint is the pleading alleging the plaintiff’s cause or causes of action. The names and residences of the plaintiff
and defendant must be stated in the complaint.
TEST: A fact is essential if it cannot be stricken out w/o leaving the statement of the cause of action insufficient….
Ultimate facts are important & substantial facts w/c either directly form the basis of the primary right & duty, or w/c
directly make up the wrongful acts or omissions of the defendant. The term does not refer to the details of probative
matter or particulars of evidence by w/c these material elements are to be established. It refers to principal,
determinate, constitutive facts, upon the existence of w/c, the entire cause of action rests. “Evidentiary facts” are
those facts w/c are necessary for determination of the ultimate facts; they are the premises upon w/c conclusions of
ultimate facts are based.
Where the complaint states ultimate facts that constitute the three (3) essential elements of a cause of action, namely:
(1) the legal right of the plaintiff, (2) the correlative obligation of the defendant, & (3) the act or omission of the
defendant in violation of said legal right, the complaint states a cause of action, otherwise, the complaint must succumb
to a motion to dismiss on that ground of failure to state a cause of action. However, where the allegations of the
complaint are vague, indefinite, or in the form of conclusions, the proper recourse would be, not a motion to dismiss, but
a motion for a bill of particulars.
Allegations
In general
Rule 8, Sec. 1
Every pleading shall contain in a methodical and logical form, a plain, concise and direct statement of the ultimate facts
on which the party pleading relies for his claim or defense, as the case may be, omitting the statement of mere
evidentiary facts.
If a defense relied on is based on law, the pertinent provisions thereof and their applicability to him shall be clearly and
concisely stated.
Capacity of parties
Rule 8, Sec. 4
Facts showing the capacity of a party to sue or be sued or the authority of a prty to sue or be sued in a representative
capacity or the legal existence of an organized association of persons that is made a party, must be averred. A prty
desiring to raise an issue as to the legal existence of any party or the capacity of any party to sue or be sued in a
representative capacity, shall do so by specific denial, which shall include such supporting particulars as are peculiarly
within the pleader’s knowledge.
Rule 8, Sec. 7
Whenever an action or defense is based upon a written instrument or document, the substance of such instrument or
document shall be set forth in the pleading and the original or a copy thereof shall be attached to the pleading as an
exhibit, which shall be deemed to be a part of the pleading, or said copy may with like effect be set forth in the
pleading.
Answer
Defined and in general
Rule 6, Sec. 4
Types of Defenses
Negative
(a) A negative defense is the specific denial of the material fact or facts alleged in the pleading of the claimant essential
to his cause or causes of action.
How alleged, generally
Rule 8, Sec. 10
A defendant must specify each material allegation of fact the truth of which he does not admit and, whenever
practicable, shall set forth that substance of the matters upon which he relies to support his denial. Where a defendant
desires to deny only a part of an averment, he shall specify so much of it as is true and material and shall deny only the
remainder. Where a defendant is without knowledge or information sufficient to form a belief as to the truth of a
material averment made in the complaint, he shall so state, and this shall have the effect of a denial.
Capacity of parties
Rule 8, Sec. 4
Facts showing the capacity of a party to sue or be sued or the authority of a party to sue or be sued in a representative
capacity or the legal existence of an organized association of persons that is made a party, must be averred. A prty
desiring to raise an issue as to the legal existence of any party or the capacity of any party to sue or be sued in a
representative capacity, shall do so by specific denial, which shall include such supporting particulars as are peculiarly
within the pleader’s knowledge.
Genuineness of document
Rule 8, Sec. 8
When an action or defense is founded upon a written instrument, copied in or attached t o the corresponding pleading as
provided in the preceding section, the genuineness and due execution of the instrument shall be deemed unless the
adverse party, under oath specifically denies them, and sets forth what he claims to be the facts; but the requirement of
an oath does not apply when the adverse party does not appear to be party to the instrument or when compliance with
an order for an inspection of the original instrument is refused.
Donato v. CA
Controversy over a parcel of land allegedly sold to defendants by Rarang by virtue of special power of attorney executed
the by the mother (deceased) of plaintiffs. Trial court held in favor of plaintiffs on the ground that defendants failed to
present evidence to prove genuineness of the power of attorney. CA Affirmed.
Supreme Court held that while R.8, Sec. 8 provides for rule on implied admission of the genuineness and due execution of
a document subject of an action/defense, one exception is when the adverse party does not appear to be a party to the
instrument. In this case, their plaintiffs were mere witnesses to the power of attorney in question. Besides, the
document should not be afforded presumption of genuineness and due execution in view of the discrepancies in its
execution.
Negative pregnant
PHILAMGEN v. Sweet Lines
Controversy over several shipments of chemicals aboard the vessel owned by Sweet Lines which were delivered damaged
and lacking in number to plaintiff PHILAMGEN. Sweet Lines argued that the action has prescribed since the claim for
damages were not presented within the period stipulated in the bills of lading. PHILAMGEN contended that the bills of
lading were not presented in evidence, therefore, since the tenor and existence of the stipulations were not established,
it was inconceivable how they can comply therewith. Trial court held in favor of PHILAMGEN but CA reversed.
Supreme Court held that the action has already prescribed. Besides, plaintiff’s failure to specifically deny the existence,
genuineness and due execution of the instruments amounted too an admission.
PHILAMGEN’s denial has procedural earmarks of a “negative pregnant” which is a denial pregnant with the admission of
the substantial facts in the pleading responded to which are not squarely denied. Such defense is in effect an admission
of the averment. Thus, while they objected to the stipulation in the bills of lading as being contrary to policy, existence
of the bills were nevertheless impliedly admitted.
Affirmative
(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. 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.
Periods to plead
The defendant shall file his answer to the complaint within 15 days after service of summons, unless a different period is
fixed by the court.
Where the defendant is a foreign private juridical entity and service of summons is made on the government official
designated by law to receive the same, the answer shall be filed within 30 days after receipt of summons by such entity.
Where the plaintiff files an amended complaint as a matter of right, the defendant shall answer the same within 15 days
after being served with a copy thereof.
Where its filing is not a matter of right, the defendant shall answer the amended complaint within 10 days from notice of
the order admitting the same. An answer earlier filed may serve as the answer to the amended complaint if no new
answer is filed.
This Rule shall apply to the answer to an amended counterclaim, amended cross-claim, amended third (fourth, etc) party
complaint, and amended complaint-in-intervention.
Waiver of defenses
Rule 9, Sec. 2
Counterclaims
LECTURE ON CLAIMS AND COUNTERCLAIMS:
A: No; permissive counterclaims need not arise from same transaction or occurrence constituting the subject matter of
the opposing party’s claim
Compulsory counterclaim: need not pay docket fees since ancillary to main case
Permissive counterclaim: need to pay docket fees since has lfe independent of transaction in main case
ROC: if counterclaim only for sum of money less juridical limit, within RTC jurisdiction via compulsory/permissive
counterclaim
Crossclaims always compulsory since arise from same transaction or occurrence that is the subject matter of the
complaint. Mandatory to raise it or else barred forever
GO V CA
L: Go did not sue Lim since business partners or didn’t want to spend more, etc.
L: Do all 3rd party complaints arise from the same transaction or question of law?
Test: if 3rd party D can be subrogated for D and D can raise same defense (Rule 14)
PASCUAL V BAUTISTA
L: SC did not rule on W/N 3rd party complaint propert since not put in issue. Here, 3rd-party complaint, since ancillary,
then left behind, not carried with main cause of action on appeal (Differentiate from REPUBLIC V CENTRAL SURETY where
CA acquired jurisdiction since Central Surety appealed) Since Flores did not appeal, CA did not acquire appellate
jurisdiction over him
Rule 6, Sec. 6
A counterclaim is any claim which a defending party may have against an opposing party.
Rule 6, Sec. 7
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 the amount and the nature thereof, except that in an original action
before the RTC, the counterclaim may be considered compulsory regardless of the amount.
Held: YES. Compulsory counterclaim is also dismissed. There are several requirements of a compulsory counterclaim:
It arises out or is necessarily. connected w/ the transaction or occurrence that is the subj. matter of the opposing
parties claim.
It does not require the presence of third parties of whom the ct. cannot acquire jurisdiction.
The trial ct. has jurisdiction to entertain the same. The test of compulsoriness is : WON the same evidence to sustain it
would refute the plaintiff’s cause of action.
In CAB, the compulsory counterclaim cannot remain pending for independent adjudication. The CC is auxiliary to the
proceeding in the original suit & merely derives its jurisdictional support fr. the orig. case. If the ct. has no or loses
jurisdiction over the main case, it has no jurisdxn over the comp. counterclaim. In CAB, the ct. has lost jurisdxn. over
the main case by virtue of its dismissal upon motion by the defendant.
Held: The award of temp. damages is in error. the damages contemplated in a forcible entry & detainer cases like the
one at bar means rents & reasonable compensation or for use of the property excluding profits w/c might be received.
The issue in this kind of suit is merely possession. In CAB, while the damages arose out of the same transaction, these
are not CC’s bec. they exceed the jurisdiction of the inferior ct.. The rule on bars to cc, meaning the counterclaim
cannot be set up in a difference. case if not set up in the main case, applies only when the inferior ct. involved has
jurisdiction over the claim.
The reason for barring cc not set up in an orig. case is to avoid multiplicity of suits & to dispose of the whole matter in
controversy in one action & adjustments of defendants demand by counterclaim.
How raised
Included in answer
Rule 6, Sec. 9
A compulsory counterclaim or a cross-claim that a defending party has at the time he filed his answer shall be contained
therein.
After answer
When a pleader fails to set up a counterclaim or a cross-claim through oversight, inadvertence, or excusable neglect, or
when justice requires, he may, by leave of court, set up the counterclaim or cross-claim by amendment before
judgment.
In criminal actions
Held: The lower ct. should dismiss the second case for damages. As the civil action was not reserved by the pet. in the
orig. case, it is deemed impliedly instituted w/ the crim. case in the RTC in accordance. w/ Rule 111 Sec. 1. It was
before the RTC where resp. could have explained why he had issued the check. The civil action filed by resp. based on
the same act should be deemed filed in the same RTC too. He could have done this by way of a counterclaim for
damages for the alleged deception of the pet. In fact, the counterclaim is compulsory & could have been also set up as
an affirmative defense.
Kinds of counterclaims
Compulsory
Held: While it is true that the counterclaim of Meliton satisfies the requisites of a compulsory counterclaim, in CAB, the
SC allowed Meliton to file a separate. civil action on the counterclaim. The SC held that Sec. 4 of Rule 9 is not applicable
beech. 1) Meliton set up the CC in the prior case but the same was dismissed. 2) The prior case was adjudicated not on
the merits so that res judicata would not lie. 3) the first counterclaim was dismissed by the RTC on the ground of LOJ.
4) In the RTC order, there was a reservation for the filing of a separate. case based on the counterclaim.
The lower ct. in the prior case erred in dismissing the counterclaim for non-payment of docket fees. The lesson of
Manchester provides that payment of docket fees for purposes of assuming jurisdiction over the claim is necessary only
for permissive counterclaims & does not apply for compulsory counterclaims like the one at bar.
TEST OF COMPULSORINESS:
Existence of a logical relationship between the claim in the complaint & the counterclaim. Where conducting separate
trials of the respective claims would entail substantial duplication of effort & time & involves many of the same factual &
legal issues.
Held: The separate. collection suit should have been dismissed & set up as a CC in the declaratory relief suit filed by
Visayan packing by way of an amended answer. In CAB, the actions proceeded independently & were decided on the
merits. However, under the circ. where the length of time the case has been pending, it would be violative to subs.
justice to pronounce the proceedings in the collection suit totally defective for breach of the rule on compulsory
counterclaim. Rules of Procedure are after all laid down to attain justice & technicalities cannot prevail over
substance.
Oversight, inadvertence, excusable neglect, et al
In CAB, the compulsory counterclaim cannot remain pending for independent adjudication. The CC is auxiliary to the
proceeding in the original suit & merely derives its jurisdictional support fr. the orig. case. If the ct. has no or loses
jurisdiction over the main case, it has no jurisdxn over the comp. counterclaim. In CAB, the ct. has lost jurisdxn. over
the main case by virtue of its dismissal upon motion by the defendant.
Answer to counterclaim
In general
Period to plead
Reply
Defined and in general
Rule 6, Sec. 10
A reply is a pleading, the office of which is to deny, or allege facts in denial or avoidance of new matters alleged by way
of defense in the answer and thereby join or make issue as to such new matters. If a party does not file such reply, all
the new matters alleged in the answer are deemed controverted.
If a 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.
When required
Usury
Rule 9, sec. 1
Period to plead
A reply may be filed within 10 days from service of the pleading responded to.
Rule 6, sec. 11
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 opponent’s claim.
Thus, citing the case of Capayas, “ the test to determine WON to allow a TPC is WON it arises out of the same
transaction on w/c pltf’s claim is based o retired party’s claim, though arising out of a different transaction or contract is
connected w/ pltf’s claim. Absent a nexus between third party def. & third party pltf. showing strong evidence of a
secondary or derivative liability of former in favor of the latter, no third party complaint may be allowed.
However, in the CAB, in lieu w/ the policy of avoiding multiplicity of suits, the SC allowed the TPC of Fernandez.
Held: A TPC is an ancillary suit w/c depends on the jurisdiction of the ct. over the main action. Jurisdiction over the
main action embraces all the incidental matters arising therefr. or connected therew/, otherwise there would be split
jurisdiction. The TPC is a continuation of the main action the purpose of w/c is to seek contribution or any other relief
in resp. to opponents claim. Thus, regardless of LOJ over the amount in TPC, when ct. has jurisdxn. over main action, it
has jurisdxn. over the TPC.
In TPC, the defendant sue in capacity he is being sued w/ resp. to pltf. claim in the main action. the def. cannot compel
the pltf. to implead the third party def. There must also be privity of contract in relation to the property in litigation.
TEST: there must be a showing that such third party is or might be liable to the def. or pltf. for all or part of the claim
vs. the def.
– WON it arises out of the same transaction on w/c pltf’s claim is based. ( CAVEAT)
The ct. must wait before the 3rd party def. files his answer before proceeding to trial since before the answer, the case
is not yet ready for trials as issues have not yet been joined.
The appeal would finally dispose of Balagot’s rights to enforce the warranty.
Rule 6, Sec. 13
A third (fourth, etc.)-party defendant may allege in his answer his 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
may also assert a counterclaim against the original plaintiff in respect of the latter’s claim against the third-party
plaintiff.
Time to plead
The time to answer a third (fourth, etc.)-party complaint shall be governed by the same rule as the answer to the
complaint.
Extension of time to plead
Upon motion and on such terms as may be just, the court may extend the time to plead as provided in these Rules.
The court may also, upon like terms, allow an answer or other pleading to be filed after the time fixed by these Rules.