Professional Documents
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Pre Trial Amended
Pre Trial Amended
5. Advisability of a preliminary reference of
10. PRE-TRIAL issues to a commissioner
6. Propriety of rendering judgment on the
a. Concept of Pre-Trial pleadings, or summary judgment, or of
dismissing the action should a valid ground
Pre-trial is a procedural device by which the therefore be found to exist
court is called upon, after the filing of the last 7. The requirement for the parties to:
pleading, to compel the parties and their a. Mark their evidence if not yet marked in
lawyers to appear before it, and negotiate an the judicial affidavits of their witnesses,
amicable settlement or otherwise make a
formal settlement and embody in a single Note: The Judicial Affidavit Rule requires
document the issues of fact and law involved in that documentary or object evidence must
the action, and such other matters as may aid be marked and attached to the judicial
in the prompt disposition in the action, such as affidavits, with such evidence being
the marked as Exhibit A, B, C for the plaintiff,
a. Number of witnesses the parties intend to and Exhibit 1, 2, 3 for the defendant. [Sec.
present 2(a)(2), AM No. 12-8-8-SC]
b. Tenor or character of their testimonies
c. Documentary evidence b. Examine and make comparisons of
d. Nature and purpose of each of them the adverse parties’ evidence vis-
e. Number of trial dates that each will need to a-vis the copies to be marked,
put on his case. [1 Herrera 1074, 2007 Ed.] c. Manifest for the record, stipulations
regarding the faithfulness of the
b. Nature and Purpose reproductions and the genuineness
and due execution of the adverse
Pre-trial is mandatory and should be parties’ evidence,
terminated promptly. [Sec. 2, Rule 18] d. Reserve evidence not available at
the pre-trial, but only in the
Purpose of pre-trial is to consider following manner, or else it shall
1. Possibility of an amicable settlement or of not be allowed
a submission to alternative modes of i. Testimonial evidence: by
dispute resolution giving the name or position and
2. Simplification of the issues the nature of the proposed
3. Possibility of obtaining stipulations or witness
admissions of facts and of documents to ii. Documentary/Object
avoid unnecessary proof evidence: by giving a
4. Limitation of the number and identification particular description of the
of witnesses and the setting of trial dates evidence
8. Such other matters as may aid in the
prompt disposition of the action
Failure without just cause of a party and
counsel to appear during pre-trial, despite
notice, shall result in a waiver of any
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objections to the faithfulness of the The sufficiency of the written notice of pre-trial
reproductions marked, or their genuineness is irrelevant where evidence shows that
and due execution counsel and the parties actually knew of the
pre-trial. [Bembo v. CA, G.R. No. 116845
Failure without just cause to bring the evidence (1995)]
required shall be deemed a waiver of the
presentation of such evidence. [Sec. 2, Rule When pre-trial conducted
18] The notice of pre-trial shall set pre-trial to be
conducted not later than 60 calendar days
Note: Both waivers mentioned above are from the filing of the last responsive pleading.
based on lack of just cause either to appear [Sec. 1, Rule 18]
during pre-trial or to bring the evidence
required. Contents of Notice of Pre-Trial
The notice of pre-trial shall include the dates
c. Notice of Pre-Trial set for:
a. Pre-trial;
After the last responsive pleading has been b. Court-Annexed Mediation (CAM); and
served and filed, the branch clerk of court shall c. Judicial Dispute Resolution (JDR), if
issue a notice of pre-trial within 5 calendar necessary [Sec. 3, Rule 18]
days from filing. [Sec. 1, Rule 18]
Service of Notice of Pre-Trial
Note: Under the Amended Rules, there is no The notice of pre-trial shall be served on
longer a need for the plaintiff to move ex parte counsel, or on the party if he or she has no
for the case to be set for pre-trial. Such was the counsel [Sec. 3, Rule 18]
case before, as mandated by AM No. 03-1-09-
SC. Under that circular, the plaintiff used to be d. Appearance of Parties; Effect of
burdened with the duty to move ex parte that Failure to Appear
the case be set for pre-trial conference. Such
was done 5 days from the date of the filing of It shall be the duty of the parties and their
the reply. If the plaintiff failed to move for such, counsel to appear at:
it became the duty of the branch clerk of court a. Pre-trial,
to do so. [BPI v. Genuino, G.R. No. 208792 b. Court-annexed mediation, and
(2015)] The Amended Rules have now deleted c. Judicial dispute resolution, if necessary.
the requirement for the plaintiff to move for pre- [Sec. 4, Rule 18]
trial, and has directly vested it with the clerk of
court. Note: Both parties and their counsel are
required to attend. Appearance of either only
The “last pleading” need not be literally the party or his counsel counts as non-
construed as the actual filing of the last appearance, unless:
pleading. For the purpose of pre-trial, the
expiration of the period for filing the last Excused non-appearance
pleading is sufficient. [Sarmiento v. Juan, G.R. Appearance of a party and counsel may only
No. L-56605 (1983)] be excused for:
a. Acts of god,
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b. Force majeure, or i. By the plaintiff and counsel
c. Duly substantiated physical inability. [Sec.
4, Rule 18] The action shall be dismissed with prejudice,
unless otherwise ordered by the court. [Sec. 5,
Appearance by Representative Rule 18]
A representative may appear on behalf of a
party, but must be fully authorized in writing to: Remedy: Motion for reconsideration, then
a. Enter into an amicable settlement, appeal
b. To submit to alternative modes of dispute
resolution, and Note: This would be the proper remedy
c. To enter into stipulations or admissions of because dismissal with prejudice amounts to
facts and documents. [Sec. 4, Rule 18] an adjudication on the merits and is thus, final.
[1 Riano 426, 2016 Bantam Ed.]
Note: It is not sufficient for the representative to
be given the power to enter into one or two of ii. By the defendant and counsel
the matters enumerated. An incomplete
authority does not satisfy the requirement of The plaintiff shall be allowed to present
the Rules and should be deemed the evidence ex parte within 10 calendar days from
equivalent of having no authority at all. [1 Riano termination of pre-trial, and judgment shall be
429, 2016 Bantam Ed.] rendered based on the evidence offered. [Sec.
5, Rule 18]
Moreover, only the authorization is required in
order for a representative to appear on behalf Remedy: Motion for reconsideration, and if the
of a party. A ground for excused non- denial is tainted with grave abuse of discretion,
appearance need not concur with the written a petition for certiorari
authorization in order to allow a representative
to appear on behalf of the party. Note: This is because the order of the court
allowing the plaintiff to present evidence ex
The written authorization must be in the form of parte does not dispose of the case with finality
a special power of attorney as authority to and the order is, therefore, interlocutory and
enter into amicable settlement must be in such not appealable. [1 Riano 428, 2016 Bantam
form [Sec. 23, Rule 138; Art. 1878(3), Civil Ed. citing Sec. 1(b), Rule 41]
Code]
The non-appearance of the defendant in pre-
Effect of failure to appear trial is not a ground to declare him in default.
Note: The party and counsel must have been While the effect of the failure of the defendant
duly notified and their failure to appear was to appear at the pre-trial is similar to that of
without valid cause. It is only then that the default (possible presentation of evidence ex
following effects occur upon non-appearance parte), under the Rules, this consequence is
of both party and counsel: not to be called a declaration of default. [1
Riano 302, 2016 Bantam Ed.]
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e. The documents or other object evidence to
Default by Failure to appear
be marked, stating the purpose thereof;
defendant [Sec. 3, by defendant [Sec.
f. The names of the witnesses, and the
Rule 9] 5, Rule 18]
summary of their respective testimonies;
Upon motion of the Not required and
claiming party with g. A brief statement of points of law and
notice to the citation of authorities. [Sec. 6, Rule 18]
defending party
Requires proof of Not required
failure to answer
Court may render Court renders
judgment without judgment based on
receiving evidence the evidence
presented ex parte
Relief awarded must No such limitation
be the same in
nature and amount
as prayed for in the
complaint
Note: Representations and statements in the
pre-trial briefs are in the nature of judicial
admissions [Sec. 4, Rule 129]
Effect of failure to file:
Failure to file the pre-trial brief shall have the
same effect as failure to appear at the pre-trial.
[Sec. 6, Rule 18] Therefore, the following
sanctions are meted out to those failing to file
their respective pre-trial briefs:
1. Waiver of any objections to the faithfulness
e. Pre-Trial Brief; Effect of Failure When to file and serve pre-trial brief
to File The parties shall file with the court and serve
on the adverse party to ensure receipt at least
3 calendar days before the date of pre-trial of the reproductions marked, or their
their pre-trial briefs. [Sec. 6, Rule 18] genuineness and due execution, [Sec. 2,
Rule 18]
Contents of pre-trial brief: 2. If plaintiff and counsel fail to appear
a. A concise statement of the case and the The action will be dismissed with
reliefs prayed for; prejudice, unless otherwise ordered by
b. A summary of admitted facts and proposed the court
If defendant and counsel fail to appear
The plaintiff shall be allowed to present
evidence ex parte within 10 calendar
days from termination of pre-trial, and
judgment shall be rendered based on
the evidence offered. [Sec. 5, Rule 18]
stipulation of facts;
c. The main factual and legal issues to be
tried or resolved;
d. The propriety of referral of factual issues to
commissioners;
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f. Pre-Trial Order jurisprudence;
e. The evidence marked;
When is a Pre-trial order Issued f. The specific trial dates for continuous trial,
The court shall issue and order within 10 which shall be within the period provided by
calendar days from termination of pre-trial. the rules;
[Sec. 7, Rule 18] g. The case flowchart to be determined by the
court
Effects of pre-trial order
Contains the different stages of the
The contents of the order shall control the
proceedings up to the promulgation of
subsequent course of the action, unless: the decision and the use of time frames
a. The order is modified before trial to prevent
for each stage in setting the trial dates.
manifest injustice, or [Sec. 7, Rule 18]
h. A statement that the one-day examination
b. There are issues impliedly included therein of witness rule and most important witness
or may be inferable therefrom by
rule shall be strictly followed; and
necessary implication. [Philippine Export
One day examination of witness rule
and Foreign Loan Guarantee Corp. v.
The One-Day Examination of Witness
Amalgamated Management and
Rule, that is, a witness has to be fully
Development Corp., G.R. No. 177729
(2011)]
Contents of a pre-trial order
a. An enumeration of the admitted facts;
b. The minutes of the pre-trial conference
prepared by the branch clerk of court [Sec.
2, Rule 18];
c. The legal and factual issued to be tried;
d. The applicable law, rules, and
examined in one (1) day only, shall be Rule 18]
strictly adhered to subject to the courts'
discretion during trial on whether or not Use of Judicial Affidavits
to extend the direct and/or cross- The direct testimony of witnesses for the
examination for justifiable reasons plaintiff shall be in the form of judicial
[Item I-A-5-i, A.M. No. 03-1-09-SC] affidavits. However, even witnesses for the
defendant are required to submit judicial
Most important witness rule affidavits, which likewise take the place of their
The court shall determine the most direct testimony. [AM No. 12-8-8-SC, Sec.
important witnesses to be heard and 2(a)(1)]
limit the number of witnesses (Most
Important Witness Rule) [Item I-A-5-j, After identification of such affidavits, cross-
AM No. 03-1-09-SC] examination shall proceed immediately. [Sec.
The court shall require the parties 7, Rule 18]
and/or counsel to submit to the Branch
COC the names, addresses and Postponement of presentation of witnesses
contact numbers of the witnesses to be General Rule: Postponement of presentation
summoned by subpoena [Item I-A-5-l, of the parties’ witnesses at a scheduled date is
AM No. 03-1-09-SC] prohibited.
i. A statement that the court shall render Effect of failure to appear without valid
judgment on the pleadings or summary cause: The presentation of the scheduled
judgment, as the case may be. [Sec. 7, witness will proceed with the absent party
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appeal or certiorari as provided for expressly
Exception: A motion for postponement for Motu proprio order for summary judgment
presentation of witnesses is allowed if the
or judgment on the pleadings
postponement is based on:
The court may motu proprio include in the pre-
a. Acts of God,
trial order that the case be submitted for
b. Force majeure, or
summary judgment or judgment on the
c. Duly substantiated inability of the witness
pleadings without need of position papers or
to appear and testify.
memoranda, and without prejudice to a party
moving for either judgement on the pleadings
Note: The party causing the postponement
or summary judgement when:
must still finish his presentation of evidence
a. There be no more controverted facts,
within the remaining dates previously agreed
b. No more genuine issue as to any material
upon. [Sec. 7, Rule 18 in relation to Sec. 2,
fact,
Rule 30]
c. There be an absence of any issue, or
d. Should the answer fail to tender an issue.
Conduct of pre-trial
[Sec. 10, Rule 18]
The judge shall be the one to ask questions
on issues raised by the parties, and all
Note: Such order is deemed an interlocutory
questions or comments by counsel or parties
order as it is included in the pre-trial order.
must be directed to the judge to avoid hostilities
However, the order of the court submitting the
between the parties. [A.M. No. 03-1-09-SC
case for such judgment shall not be subject to
(2004)]
under Sec. 10, Rule 18. shall proceed on the dates agreed upon.
[Sec. 9, Rule 18]
Judgment shall be rendered within 90 calendar
days from termination of pre-trial. [Sec. 10, Pre-trial in a Pre-trial in a
Rule 18] Civil Case Criminal Case
[Rule 18] [Rule 118]
Court-Annexed Mediation (CAM)
After pre-trial and after the issues are joined,
the court shall refer the parties for mandatory As to Not later than After
CAM. when 60 calendar arraignment
conducted days from the and within 30
Period: Not exceeding 30 calendar days filing of the last days from the
without extension. responsive date the court
[Sec. 8, Rule 18] pleading. acquires
[Sec. 1] jurisdiction
Note: A.M. 11-1-6-SC-PHILJA insofar as it over the
provides that an extended period of another 30 person of the
days may be granted by the court upon motion accused
by the mediator and with the conformity of the
parties shall no longer apply. Exception: If
special laws
Effect of failure of mediation: and circulars
a. Proceed with trial; or provide for a
b. If the judge is convinced that settlement is shorter period
possible, referral to another court to
proceed with JDR. [Sec. 1]
Note: JDR is no longer mandatory as provided
for under A.M. 11-1-6-SC-PHILJA due to the
amended rules. The aforementioned A.M. also
provides for a 30-day JDR for first level courts,
As to Mandatory Mandatory a 60-day JDR for second level courts, and
whether or [Sec. 2] [Sec. 1] discretion on the part of the JDR judge to order
not a longer period of JDR. Such provisions are
mandatory
now repealed due to the Amended Rules
As to Of the plaintiff If the counsel providing for a non-extendible shorter period of
effect of 15 calendar days for JDR.
– the case for the accused
failure to shall be or the
appear Confidentiality
dismissed with prosecutor
prejudice, does not All proceedings during CAM and JDR shall be
confidential. [Sec. 9, Rule 18]
unless the appear at the
court orders pre-trial
Effect of non-appearance at CAM or JDR
conference
Of the and does not Note: Non-appearance at CAM or JDR, if
defendant – offer an necessary, shall be deemed as non-
appearance at pre-trial. [Sec. 3, Rule 18]
the plaintiff acceptable
shall be excuse for his
Therefore, the following sanctions are meted
allowed to lack of
out to non-appearing parties at CAM or JDR:
present cooperation,
evidence ex the court may 1. Waiver of any objections to the faithfulness
parte, and impose proper of the reproductions marked, or their
genuineness and due execution, [Sec. 2,
judgment shall sanctions or
Rule 18]
be rendered penalties. [Sec.
2. If plaintiff and counsel fail to appear
based thereon 3]
[Sec. 5, Rule The action will be dismissed with
18] prejudice, unless otherwise ordered by
the court
As to The court shall Not in the If defendant and counsel fail to appear
possibility consider this enumeration to The plaintiff shall be allowed to present
of an matter [Sec. be considered. evidence ex parte within 10 calendar
amicable 2(a)] [Sec. 1] days from termination of pre-trial, and
settlement judgment shall be rendered based on
the evidence offered. [Sec. 5, Rule 18]
As to A pre-trial brief A pre-trial brief
requireme is specifically is not required
nt of Pre- required to be under Rule
g. Pre-Trial in Civil Cases vs. Pre-
Trial Brief submitted 118. Trial in Criminal Cases
[Sec. 6]
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As to The pre-trial Shall be
agreement order shall reduced in
s of include an writing and
admission enumeration signed by the
s made of the admitted accused and
facts and counsel,
proposed otherwise, they
stipulation of cannot be used
facts. [Sec. against the
7(a)] accused. [Sec.
2]
11. INTERVENTION
Definition of Intervention
A proceeding in a suit or an action by which a
third person is permitted by the court to
make himself a party, either:
1. Joining plaintiff in claiming what is sought
by the complaint,
2. Uniting with defendant in resisting the
claims of the plaintiff, or
3. Demanding something adverse to both of
them. [1 Herrera 1117, 2007 Ed., citing
Gutierrez v. Villegas, G.R. No. L-11848
(1962)]
Purpose of Intervention
Its purpose is to afford one not an original party,
yet having a certain right/interest in the pending
case, the opportunity to appear and be
joined so he could assert or protect such
right/interest [Cariño v. Ofilada, G.R. No.
102836 (1993)]
Nature of Intervention
Intervention cannot alter the nature of the
action and the issues already joined. [Castro v.
David, 100 Phil 454 (1956)]
Intervention is never an independent action,
but is ancillary and supplemental to the
existing litigation. [Saw vs CA, 195 SCRA 740
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(1991)] An independent controversy cannot be
injected in the suit by intervention since it would The interest must be actual and material, a
enlarge the issues and expand the scope of the concern which is more than mere curiosity, or
remedies. [Mactan-Cebu Intl Airport Authority academic or sentimental desire; it must not be
vs Heirs of Minoza, 641 SCRA 520 (2011)] indirect and contingent, indirect and remote,
conjectural, consequential or collateral [Virra
a. Requisites for Intervention Mall Tenants v. Virra Mall, G.R. No. 182902
(2011)]
1. A motion for leave to intervene filed at any
time before rendition of judgement by the Notwithstanding the presence of a legal
trial court [Sec. 2, Rule 19] interest, permission to intervene is subject to
the sound discretion of the court, the
Note: A motion for intervention is a litigious exercise of which is limited by considering
motion. Therefore, the court shall resolve "whether or not the intervention will unduly
the motion within 15 calendar days from delay or prejudice the adjudication of the rights
receipt of the opposition or upon expiration of the original parties and whether or not the
of the period to file such opposition. The intervenor’s rights may be fully protected in a
period to file an opposition would be 5 separate proceeding [Virra Mall Tenants v.
calendar days from the receipt of such Virra Mall, G.R. No. 182902 (2011)]
opposition. [Sec. 5, Rule 15]
b. Time to Intervene
2. A legal interest: The motion to intervene may be filed at any
a. In the matter in litigation; time before rendition of judgment by the trial
b. In the success of either of the parties; court. [Sec. 2, Rule 19]
c. An interest against both; or
d. So situated as to be adversely affected How effected
by a distribution or other disposition of a. By filing a motion to intervene,
property in the custody of the court or b. Attaching a copy of the pleading-in-
of an officer thereof intervention, and
3. Intervention will not unduly delay or c. Serving the motion and pleading-in-
prejudice the adjudication of rights of the intervention on the original parties [Sec. 2,
original parties Rule 19]
4. Intervenor’s rights may not be fully
protected in a separate proceeding. [Sec.
1, Rule 19; Lorenza Ortega v. CA, G.R. No. Pleadings-in-intervention
125302 (1998)] a. Complaint-in-intervention – If intervenor
asserts a claim against either or all of the
Meaning of legal interest original parties
The interest which entitles a person to b. Answer-in-intervention – If intervenor
intervene in a suit must be on the matter in unites with the defending party in resisting
litigation and of such direct and immediate a claim against the latter
character that the intervenor will either gain or [Sec. 3, Rule 19]
lose by the direct legal operation and effect of c. Answer to complaint-in-intervention - It
the judgment [1 Regalado 324-325, citing 6318 shall be filed within 15 calendar days from
v. Nocom, G.R. No. 175989 (2008)] notice of the order admitting the complaint-
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in-intervention, unless a different period is
fixed by the court [Sec. 4, Rule 19]
c. Remedy for the Denial of Motion
to Intervene
An improper denial of a motion for intervention
is correctable by appeal [1 Regalado 324, 2010
Ed., citing Ortiz v. Trent, G.R. No. 5099 (1909)
and Hospicio de San Jose v. Piccio, G.R. No.
L-8540 (1956)]
But if there is grave abuse of discretion,
mandamus will lie, where there is no other
plain, speedy and adequate remedy [1
Regalado 324, 2010 Ed., citing Dizon v.
Romero, G.R. No. L-26252 (1968) and Macias
v. Cruz, G.R. No. L-28947 (1973)]
Remedy for granting of the motion to
intervene
An improper granting of a motion for
intervention may be controlled by certiorari and
prohibition. [1 Regalado 324, 2010 Ed., citing
Pflieder v. De Britanica, G.R. No. L-19077
(1964)]