Nature of Pleadings

Pleadings are the written statements of the

respective claims and defenses of the parties
submitted to the court for judgment.
Necessity and Purpose of Pleadings
It is necessary, in order to confer jurisdiction
on a court, that the subject matter be
presented for its consideration in a mode
sanctioned by law and this is done by filing of
a complaint or other pleading.
Construction of Pleadings
All pleadings must be liberally construed so
as to do substantial justice.
Pleadings allowed by the Rules of Court
(a)
(b)
(c)
(d)
(e)
(f)
(g)

complaint
answer
counterclaim
crossclaim
third-party complaint
complaint-in-intervention
reply

Pleadings allowed under the Rules on

Summary Procedure
(a) complaint
(b) compulsory counterclaim pleaded in
the answer
(c) cross-claim pleaded in the answer;
and
(d) answers thereto
Pleadings in the Rule of Procedure for
Small Claims Cases

Pleadings are expressed in specific

forms described therein.

Small claims action is commenced by

filing with the court an accomplished
and verified Statement of Claim.

Instead of filing an answer, the

defendant shall file with the court
and serve on the plaintiff a duly
accomplished and verified Response
(Form)

Pleadings and Petitions Not allowed for Small

Claims Cases:
(a) Petition for relief for Judgment;

(b) Petition for Certiorari, mandamus, or

prohibition
against
interlocutory
order issued by the court;
(c) Reply;
(d) Third-party complaints; and
(e) Interventions
Pleadings not allowed in a petition for a
writ of amparo or habeas data
(a)
(b)
(c)
(d)
(e)

counterclaim;
cross-claim;
Third-party complaint;
Reply; and
Intervention

Pleadings in the Rules of Procedure For

Environmental Cases
Pleadings that may be filed are:
(a) complaint;
(b) answer which may include a
compulsory counterclaim and crossclaim
(c) Pleading in intervention (IN A CITIZEN
SUIT)
**Reply and rejoinder and third-party
complaint PROHIBITED PLEADINGS**
Nature of Pleading; how determined
Determined by the averments in it and not by
its title
Variance between caption and
allegations in pleading
Not the caption of the pleading but the
allegations therein which determine the
nature of the action and the court shall grant
relief warranted by the allegations and proof
even if no such relief is prayed for.

B. Parts of A Pleading
Caption of the Pleading
Caption contains the ff:
(a) name of the court;
(b) title of the action; and
(c) docket number, if assigned
Title of the action

Contains the names of the parties whose

participation in the case shall be indicated

Relief

Body of the Pleading

Sets forth its designation, the

allegations of the partys claims or
defenses, the relief prayed for and
the date of the pleading.

Allegations in the pleading shall be

divided into paragraphs and shall so
be numbered for ready identification.

Each paragraph shall contain a

statement of a single set of
circumstances so far as that can be
done with convenience

Headings; designation of causes

actions joined in one complaint

of

When two or more causes of action are

joined, the first cause of action shall be
prefaced with the word, first cause of
action, or the second cause of action by the
words, second cause of action, and so on
for the others.
Allegations of ultimate facts

A pleading must only aver facts

because conclusions are for the
courts to make.

Ultimate facts - Facts essential to a

partys cause of action or defense or
such facts as are so essential that
they cannot be stricken out without
leaving the statement of the cause of
action inadequate

Every pleading shall omit from its

allegations statements of mere
evidentiary
facts.
(Evidentiary
matters are to be presented during
the trial of the case, not in the
pleadings of the parties)
Stated in a methodical and logical
form and in a plain, concise and
direct manner.

Complaint must contain a statement of the

relief sought from the court and to which he
believes he is entitled.

It is the material allegations of the

complaint, not the legal conclusions
made therein or the prayer that
determines the relief to which the
plaintiff is entitled

The court may grant a relief not

prayed for as long as the relief is
warranted by the allegations of the
complaint and the proof.

Signature and address

Every pleading must be signed by the
plaintiff or counsel representing him stating
in either case his address. This address
should not be a post office box.

A signed pleading is one that is

signed either by the party himself or
his counsel.

Only the signature of either the party

himself or his counsel operated to
validly convert a pleading from one
that is unsigned to one that is signed.

Signature in a pleading is important

for it to have a legal effect.

Effect of unsigned Pleading

an unsigned pleading produces no legal
effect.

The court however, is authorized to

allow the pleader to correct the
deficiency if the pleader shows to the
satisfaction of the court, that the
failure to sign the pleading was due
to mere inadvertence and not to
delay the proceedings.

Significance of the signature of counsel

Constitutes a certificate by him that

Allegations in an environmental case

Complaint shall state an environmental case
and the law involved.

(a) he has read the pleading,

(b) that to the best of his knowledge,

information and belief there is good
ground to support it, and
(c) that it is not interposed for delay
When counsel is subject to disciplinary
action in connection with pleadings

condition affecting only the form of

the pleading and non-compliance
therewith does not necessarily render
it fatally defective.

(a) when he deliberately files an

unsigned pleading
(b) when he signs a pleading in violation
of the Rules
(c) when he alleges in the pleading
scandalous or indecent matter;
(d) when he fails to promptly report to
the court a change of his address.
Verification in a Pleading
Pleading need not be under oath, verified or
accompanied by affidavit, except when so
required by law or a rule.
How a pleading is verified
A pleading is verified by an affidavit. Affidavit
declares:
(a) the affiant has read the pleading; and
(b) that the allegations therein are true
and
correct
of
his
personal
knowledge or based on authentic
records.

Other requirements
All pleadings, motions, and papers filed in
court by counsel shall bear, in addition to
counsels current Professional Tax Receipt
number (PTR), counsels current IBP Official
Receipt Number indicating its date of issue.
(**Roll of attorney number, number and date
of issue of MCLE Certificate of Compliance or
Certificate of Exemption**)

Significance of a verification
Verification requirement is significant, as it is
intended to secure an assurance that the
allegations in a pleading are true and correct
and not the product of the imagination or a
matter of speculation, and that the pleading
is filed in good faith.

Effect of lack of verification

A pleading that lack the proper verification
shall be treated as an unsigned pleading.
Hence, produces no legal effect.

The lack of proper verification is

cause to treat the pleading as
unsigned and dismissible.

The absence of a verification or the

non-compliance with the verification
requirement does not necessarily
render the pleading defective. It is
only a formal and not jurisdictional
requirement. The requirement is a

The court may order its submission or

correction or act on the pleading if
the attending circumstances are such
that strict compliance with the Rule
may be dispensed with in order that
the ends of justice may be served
thereby.

Pleadings, motions, and papers which

do not comply with this requirement
may not be acted upon by the court,
without
prejudice
to
whatever
disciplinary action the court may take
against the erring counsel who shall
likewise be required to comply with
the requirement within (5) days from
notice.
Failure
to
comply
with
such
requirement shall be a ground for
further disciplinary sanction for
contempt of court.
All practicing members of the bar are
required to indicate in all pleadings
filed before the courts or quasijudicial bodies, the number and date
of issue of their MCLE Certificate of
Compliance
or
Certificate
of
Exemption. (Failure to disclose the
requirement information would cause
the dismissal of the case and the
expunction of the pleadings from the
records.)

Certification against forum shopping

**Mandatory but not jurisdictional**

A sworn statement in which the plaintiff or

principal party certifies in a complaint or
initiatory pleading to the following matters:
(a) that he has not 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 knowledge, no such other
action or claim is pending therein;
(b) that if there is such other pending
action
or
claim,
a
complete
statement of the present status
thereof; and
(c) that if he should therefore learn that
the same or similar action or claim
has been filed or is pending, he shall
report that fact within five (5) days
therefrom to the court wherein his
aforesaid complaint or initiatory
pleading has been filed.

Three
ways
shopping

of

committing

forum

(1) filing multiple cases based on the

same cause of action and with the
same prayer, the previous case not
having been resolved yet. (litis
pendentia)
(2) filing multiple cases based in the
same cause of action and the same
prayer, the previous case having
been finally
resolved (where the
ground for dismissal is res judicata);
and
(3) filing multiple cases based on the
same cause of action, but with
different prayers (splitting of causes
of action, where the grounds for
dismissal is also either litis pendentia
or res judicata)
Rationale against forum shopping

Applicability to special civil actions

Certification of non forum shopping applies
also to special civil actions
Meaning of forum shopping
When a party repetitively avails of several
judicial
remedies
in
different
courts,
simultaneously
or
successively,
all
substantially
founded
on
the
same
transactions and the same essential facts
and
circumstances,
and
all
raising
substantially the same issues either pending
in or already resolved adversely by some
other court.

Forum consists of filing multiple suits

involving the same parties for the
same
cause
of
action,
either
simultaneously or successively, for
the purpose of obtaining a favorable
judgment.

(a) identity of parties

(b) identity of rights asserted and relief
prayed for, relief being founded on
the same facts
(c) identity of the two preceding
particulars is such that any judgment
rendered in the pending case,
regardless
of
which
party
is
successful would amount to res
judicata

The party should not be allowed to pursue

simultaneous remedies in two different fora.

Filing multiple petitions or complaints

constitutes abuse of court processes,
which
tends
to
degrade
the
administration of justice, wreaks
havoc
upon
orderly
judicial
procedure,
and
adds
to
the
congestion of the heavily burdened
dockets of the courts.

How to determine
forum shopping

the

existence

of

Whether the elements of litis pendentia are

present or whether a final judgment in one
case will result in res judicata.
Whether in the two or more cases pending,
there is:
(1) identity of parties
(2) identity of rights or causes of action,
and
(3) identity of reliefs sought
Who executes the certification against
forum shopping; exception
It is the plaintiff or the principal party that
executes the certification under oath.
Reason: It is the petitioner and not the
counsel who is in the best position to know

whether he or it actually filed or caused the

filing of a petition. A petition signed by
counsel is a defective certification and is a
valid cause for dismissal.
Exception:
If for reasonable or justifiable reasons, the
party-pleader is unable to sign, he must
execute a Special Power of Attorney
designating his counsel of record to sign in
his behalf.
Rule if there are several plaintiffs or
petitioners; exception
Certification against forum shopping must be
signed by all the plaintiffs or petitioners in a
case; otherwise, those who did not sign will
be dropped as parties to the case.

(Under
reasonable
or
justifiable
circumstances, however, as when the
plaintiffs or petitioners share common
interest and invoke a common cause of
action or defense, the signature of only one
of them substantially conforms to the Rule.)
Liberal interpretation of the rules on the
signing of the certification against
forum shopping
The rules on forum shopping, which were
precisely designed to promote and facilitate
the orderly administration of justice, should
not be interpreted with such absolute
literalness as to subvert its own ultimate and
legitimate objective which is the goal of all
rules of procedure- that is, to achieve
substantial justice as expeditiously as
possible.