Pleadings allowed in small claim cases

(1) A small claims action is commenced by filing with the court an accomplished and verified Statement of Claim (Form 1-SCC) in duplicate, accompanied by a Certification of Non-forum Shopping (Form 1-A, SCC), and two (2) duly certified photocopies of the actionable document/s subject of the claim, as well as the affidavits of witnesses and other evidence to support the claim. No evidence shall be allowed during the hearing which was not attached to or submitted together with the Claim, unless good cause is shown for the admission of additional evidence.

No formal pleading, other than the Statement of Claim described in this Rule, is necessary to initiate a small claims action. (Sec 5, A.M. No. 08-8-7-SC)

Pleadings allowed in cases covered by the rules on summary procedure a. Complaint;

b. Compulsory counterclaim;

c. Cross-claim pleaded in the answer; and

d. Answers thereto. (Sec 9, IV, Rules on Summary Procedure) 3. Parts of a Pleading

a) Caption – the caption contains the following:

1. Name of the court

2. Title of the action – name of parties and their respective participation in the case 3. Docket number, if assigned. (Sec 1, Rule 7)

b) The Body – the body of the pleading sets forth its designation, allegations of the party’s claims or defenses, the relief prayed for, and the date of the pleading. (Sec2, Rule 7)

1. Paragraphs (Sec 2 [a]) 2. Headings (Sec 2 [b]) 3. Reliefs (Sec 2 [c])

4. Date of the Pleading (Sec 2 [d]) c) Signature and address

1. Every pleading must be signed by the party or his counsel;

- unsigned pleading has no legal effect

2. Indicating his address which should NOT be a post office box. (Sec 3, Rule 7) d) Verification

General Rule: Pleadings need not be under oath, verified or accompanied by affidavit.

Exception: When otherwise specifically required by law or rule.

The following pleadings must be verified:

1. Petition to take deposition before action; (Rule 24, Sec 1) 2. Petition for Relief from Judgment; (Rule 33, Sec 3) 3. Appeal by Certiorari from CA to SC; (Rule 45, Sec 1)

4. Application for Preliminary Injunction or Temporary Restraining Order; (Rule 58, Sec 4) 5. Application for Appointment of a Receiver; (Rule 59, Sec 1)

6. Petition for Certiorari, Prohibition, or Mandamus; (Rule 65)

7. All pleadings of forcible entry and unlawful detainer; (Rule 70, Sec 1) 8. Petition for Appointment of General Guardian; (Rule 93, Sec 2)

9. Petition of Guardian for leave to sell or encumber property of estate; (Rule 95, Sec 1) 10. Petition to declare competency of ward; (Rule 97, Sec 1)

11. Application for Writ of Habeas Corpus; (Rule 102, Sec 3) 12. Petition for Change of name; (Rule 103, Sec 2)

13. Petition for Voluntary dissolution of corporation; (Rule 104, Sec 1) 14. Petition to Correct entries in civil registry; (Rule 108, Sec 1)

15. Pleadings in summary procedure. Sec 3, B, Revised Rules on Summary Procedure)

o How a pleading is verified – a pleading is verified by an affidavit. This affidavit declares that (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 (Sec 4, Rule 7) o While not required to be verified in the manner and form prescribed in Sec 4, Rule 7,

the following must be under oath:

a. Denial of genuineness and due execution of actionable document; (Rule 8, Sec 8) b. Denial of allegations of usury; (Rule 8, Sec 11)

c. Motion to set aside order of default; (Rule 9, Sec 3[b]) d. Answer to written interrogatories; (Rule 25, Sec 2) e. Answer to request for admission, (Rule 26, Sec 2)

o Supporting Affidavit (or Affidavit of Merit) is required in the following:

a. Motion for summary judgment or opposition thereto; (Rule 35, Secs. 1, 2, 3 and 5)

b. Motion for new trial on the ground of fraud, accident, mistake or excusable negligence (FAME), or opposition thereto; (Rule 37, Sec 2)

c. Motion for new trial based on newly discovered evidence; (Rule 37, Sec 2) d. Affidavit of third-party claim on levied property; (Rule 39, Sec 16)

e. Proof required of redemptioner; (Rule 39, Sec 30)

f. Complaint with prayer for preliminary attachment; (Rule 57, Sec 3)

g. Affidavit of third party claim on attached property; (Rule 57, Sec 14)

h. Motion to dissolve preliminary injunction on ground of irreparable damage to movant while the adverse party can be fully compensated; (Rule 58, Sec 6) i. Complaint for replevin; (Rule 60, Sec 2)

j. Claim against the estate of decedent. (Rule 86, Sec 9) e) Certification against forum shopping

1. Required only for complaint or initiatory pleading.

2. The certification may be in the complaint or in a sworn statement annexed thereto and simultaneously filed therewith.

3. The certification shall contain the following undertakings:

a. That he 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 knowledge, no such 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 should thereafter 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. Sec 5, Rule 7)

4. Effect of lack of certification requirement or failure to comply therewith:

a. Failure to comply is not curable by mere amendment of complaint;

b. Dismissal of case is without prejudice, unless otherwise provided.

5. Effect of submission of false certification or non-compliance with the undertakings:

a. Indirect contempt of court b. Administrative or criminal action 6. Effect of willful and deliberate forum shopping:

a. Summary dismissal (of case) with prejudice b. Direct contempt

c. Administrative sanction

7. How to determine existence of forum shopping – the test is to see whether in the two or more cases pending, there is:

a. Identity of parties,

b. Identity of rights or causes of action, and

c. Identity of reliefs sought (Huibonhoa v. Concepcion, GR No. 153785, 3 August 2006) 8. Forum shopping exists when the elements of litis pendentia are present or where a final

judgment in one case will amount to res judicata in another. Litis pendentia requires the concurrence of the following requisites: (1) identity of parties, or at least such parties as those representing the same interests in both actions; (2) identity of rights asserted and reliefs prayed for, the reliefs being founded on the same facts; and (3) identity with respect to the two preceding particulars in the two cases such that any judgment that may be rendered in the pending case, regardless of which party is successful would amount to res adjudicate in the other case. (Lim v. Vianzon, GR. No. 137187, 3 August 2006)

 Requirements of a corporation executing the verification/certification of non-forum shopping - a juridical entity, unlike a natural person, can only perform physical acts through properly delegated individuals. The certification against forum shopping where the plaintiff or a principal party is a juridical entity like a corporation may be executed by properly authorized persons. This person may be the lawyer of a corporation. As long as he is duly authorized by the corporation and has personal knowledge of the facts required to be disclosed in the certification against forum shopping, the certification may be signed by the authorized lawyer (National Steel Corp v. CA, 388 SCRA 85).

f) Effect of the signature of counsel in a pleading – the signature of a counsel in a pleading constitutes a certificate by him that:

(1) he has read the pleading,

(2) that to the best of his knowledge, information and belief there is good ground to support it, and (3) that it is not interposed for delay (Sec 3, Rule 7)

4.Allegations in a Pleading 1) What to allege in pleadings

a. Ultimate facts (Sec 1, Rule 8)

o they are those which directly form the basis of the RIGHT SOUGHT TO BE ENFORCED, or the DEFENSE RELIED UPON (Alizua v. Johnson, 21 Phil 308)

o they are the VERY FACTS without which, for example, the cause of action stated in a complaint would be insufficient. The details or particulars of evidence do not, of course, have to be stated (De los Santos v Sheriff of Manila, 64 Phil 193)

o if ultimate facts are not stated or alleged, THE CAUSE OF ACTION WOULD BE INSUFFICIENT (De los Santos v Sheriff of Manila, 64 Phil 193)

- if a defense relied on is based on law, the pertinent provisions thereof and their applicability to him shall be clearly and concisely stated. (Sec 1, last par.)

b. alternative causes of action or defenses (Sec 2, Rule 8) example:

(1) alternative cause of action – breach of contract of carriage or tort (La Mallorca Bus Co. v. CA, 100 Phil 1048 [1957])

(2) alternative defense – payment; even if not paid, action has prescribed.

c. conditions precedent (Sec 3, Rule 8) example: exhaustion of administrative remedies

d. Capacity (Sec 4, Rule 8) 2) Manner of Making Allegations

a. (1) Fraud, mistake, condition of mind (Sec 5, Rule 8)

When fraud or mistake is alleged without particularity, the other party can move for a Bill of Particulars. If not complied with, the complaint of plaintiff may be dismissed (Santos v. Liwag, 101 SCRA 327 [1980]) or the answer of the defendant may be stricken off the records and he will be declared in default.

(2) Malice, intent, knowledge (Sec 6, Rule 8)

May be alleged generally, subject to proof during trial.

(3) Judgment (Sec 6, Rule 8)

(4) Official document or act (Sec 9, Rule 8)

b. Pleading an actionable document (Sec 7, Rule 8) – how to plead:

Allege the substance of the document in the pleading AND attach the original or copy thereof as exhibit OR copy the contents verbatim.

How to contest genuineness of actionable document (Sec 8, Rule 8): deny under oath its genuineness and due execution.

Genuineness – signature not falsified, no substantial alteration to the document.

Due execution – signed by one with authority c. Specific denials (Sec 10, Rule 8) (1) how to make specific denial:

i. Deny specific material allegation and set forth the substance of the matters relied upon to support the denial;

ii. If only a part is denied, specify which is true and deny the remainder;

iii. If denial is due to lack of knowledge or information as to the truth of a material averment, state it so, and this shall have the effect of denial.

(2) allegations not specifically denied deemed (Sec 11, Rule 8)

Except: amount of unliquidated damages which must always be proved.

Allegations of usury in a complaint to recover usurious interest are admitted if not denied under oath.

d. Striking out of pleading or matter contained therein (Sec 12, Rule 8)

1. Upon motion when to move

i. Pleading which is sham or false, redundant, immaterial, impertinent or scandalous; or ii. Matters contained in the pleading which are sham or false, redundant, immaterial,

impertinent or scandalous; or

e. Matters that need not be alleged in the pleading:

1. Evidentiary or probative facts

2. Those presumed by law 3. Facts of judicial notice

4. Inferences, arguments and conclusions of law derived or inferred from the stated ultimate facts. (Ortiz v. Garcia, 15 Phil 192)

f. Test of sufficiency of the pleading

In a complaint, for example, if, from the facts alleged, a valid judgment may be rendered for the plaintiff, the complaint is prima facie sufficient.