Below is a comprehensive, detailed discussion of Rule 9 of the Rules of Court (Philippines), focusing on the effect of a party’s failure to plead and the rules on default. References are primarily to the 2019 Amendments to the 1997 Rules of Civil Procedure (A.M. No. 19-10-20-SC) and pertinent jurisprudence. This covers the essential doctrines, procedural nuances, and practical considerations that every litigator should know.

I. OVERVIEW OF RULE 9

Rule 9 of the Rules of Court deals with:

Defenses and objections not pleaded (Section 1),
Compulsory counterclaims and cross-claims (Section 2), and
Default (Section 3).

The Rule governs what happens if a party fails to plead certain defenses, objections, or counterclaims, and it outlines when and how a defendant may be declared in default for failure to timely file a responsive pleading.

II. FAILURE TO PLEAD: SECTIONS 1 AND 2 OF RULE 9

A. Defenses and Objections Not Pleaded (Section 1)

General Rule
Defenses and objections not raised either in a motion to dismiss (when still permissible) or in the answer are deemed waived. The rationale is the Omnibus Motion Rule, which requires the defendant to raise all available objections and defenses at the earliest opportunity to avoid piecemeal litigation and undue delay.
Exceptions
The following defenses are not waived even if not raised in the answer or in a motion:
- Lack of jurisdiction over the subject matter;
- Litis pendentia (when the same case or a similar case with the same parties, cause of action, and issues is pending in another court or tribunal);
- Res judicata (when the matter has already been finally adjudicated by a competent court);
- Prescription of the claim (extinctive prescription).
These defenses are so fundamental that courts have allowed them to be raised at any stage of the proceedings—even on appeal—if evidence on record justifies their consideration.

B. Compulsory Counterclaims and Cross-Claims Not Set Up (Section 2)

Compulsory Counterclaims
A compulsory counterclaim is one that (a) arises out of or is necessarily connected with the transaction or occurrence constituting the subject matter of the opposing party’s claim, (b) does not require for its adjudication the presence of third parties of whom the court cannot acquire jurisdiction, and (c) is within the jurisdiction of the court.
Under the Rules, a compulsory counterclaim not set up in the answer is barred forever—that is, it can no longer be asserted in a subsequent action. This encourages parties to consolidate all related claims in a single proceeding, preventing multiple litigations over the same issues.
Cross-Claims
A cross-claim is a claim by one party against a co-party arising out of the same transaction or occurrence that is the subject matter of the original action or counterclaim. If a cross-claim is not set up, the party failing to plead it is likewise barred from asserting it in any other action.

III. DEFAULT: SECTION 3 OF RULE 9

A. Concept and Grounds

A defendant is declared in default when, despite being duly summoned and required to answer, he or she fails to file a responsive pleading (e.g., an Answer, or an Answer with Counterclaims) within the reglementary period. Being in default is a drastic remedy; hence, courts generally frown upon default judgments. Nonetheless, the Rules permit it to prevent undue delay in the disposition of cases.

Grounds for Declaration of Default:

Proper service of summons on the defendant;
Lapse of the time to file the required responsive pleading (Answer or other permissible responsive pleading);
Failure to file the responsive pleading within the allowed time;
Proof (usually via motion by the plaintiff) that no responsive pleading was filed despite the lapse of the period.

B. Procedure for Declaration of Default

Filing of Motion to Declare in Default
- The plaintiff or claiming party files a motion stating that the defending party has been served summons and has failed to file an Answer (or other proper pleading) within the reglementary period.
- The motion must be verified and must show that the required notice of the motion was served upon the defendant.
Notice to Defendant
- The court will require proper notice to be served on the defendant, ensuring compliance with due process.
- The defendant may file an opposition or show cause why he or she should not be declared in default.
Order of Default
- If the court is satisfied that the defendant has indeed failed to file a responsive pleading without justifiable cause, it issues an Order of Default.
- Once declared in default, the defendant loses the right to participate in the trial, except:
  - To receive notices of subsequent proceedings, and
  - To cross-examine witnesses, if allowed by the court.

C. Effect of an Order of Default

Ex Parte Reception of Evidence
The plaintiff may be allowed to present evidence ex parte. The court can proceed to render judgment based on the evidence presented by the plaintiff alone.
Despite the ex parte proceeding, the burden of proof remains with the plaintiff. The plaintiff is not automatically entitled to a favorable judgment just because the defendant is in default. The plaintiff’s evidence must still establish a prima facie case.
Loss of Standing in Court
The defaulting defendant generally loses the right to:
- Take part in the trial;
- Present evidence;
- Control the proceedings or cross-examine witnesses (unless permitted by the court on certain humanitarian or due process considerations).
Relief from Default
A defendant declared in default may, at any time after discovery of the default but before judgment becomes final and executory, file a verified motion to set aside the order of default. The motion must show:
- That the default was due to fraud, accident, mistake, or excusable negligence (FAME), and
- That the defendant has a meritorious defense (this usually takes the form of an attached draft answer or the defenses in detail).
If the court is satisfied by the explanation and the proposed defenses, it may lift the order of default. Once lifted, the defaulting defendant can then participate fully in the proceedings.
Partial Default
Where a suit is brought against several defendants, some of whom answer and at least one does not, a partial default situation arises. The court may:
- Declare the non-answering defendant in default and allow ex parte reception of evidence against such defendant, while continuing the normal proceeding with the answering defendants;
- Render judgment after hearing the case on the merits, ensuring no conflicting or contradictory judgments.

D. Judgment After Default

No Automatic Right to Judgment
Even if declared in default, the defendant is not automatically held liable. The plaintiff must still prove his or her claim. The court is bound to evaluate the sufficiency of the plaintiff’s evidence and determine if the reliefs sought are warranted under the law and the pleadings.
Limitations on Award
Under Section 3(c) of Rule 9, a judgment rendered against a defaulting defendant cannot exceed or differ from what the plaintiff has demanded in the complaint. Courts must ensure that the relief granted is consistent with and does not exceed what was sought in the prayer of the complaint.
Finality of Judgment
If the defendant does not seek relief from default or fails in his or her motion, and the court eventually renders a decision, that decision, once final and executory, is binding. The defendant cannot raise issues that could have been brought up had he or she filed a timely answer.

IV. JURISPRUDENTIAL HIGHLIGHTS

Default is Not Favored
Courts have repeatedly held that default judgments are disfavored as they undermine the policy of hearing both sides and resolving the case on the merits. (See, e.g., Pioneer Insurance & Surety Corp. v. Venus, G.R. No. 152967)
Substantial Compliance
Slight or technical delays in filing an answer may sometimes be excused, especially if promptly corrected and without prejudice to the plaintiff. The Supreme Court has recognized instances where it sets aside defaults in the interest of substantial justice. (See, e.g., Looyuko v. Court of Appeals, 306 SCRA 550)
Mandatory Nature of Notice
Strict compliance with notice requirements before a declaration of default is indispensable to protect the defendant’s right to due process. (See, e.g., Cinco v. Canonoy, 151 SCRA 465)
Meritorious Defense
The defendant’s motion to lift an order of default must sufficiently show that he or she has a substantial and valid defense that could affect the outcome of the case. A mere general denial or bare allegation will not suffice. The court must be persuaded that the defaulted defendant could present evidence that might lead to a different judgment.

V. PRACTICAL AND ETHICAL CONSIDERATIONS

Diligence in Pleading
Lawyers must ensure that they file all responsive pleadings—Answers, compulsory counterclaims, and cross-claims—within the rules’ time limits. Missing a deadline can prejudice a client’s case and expose counsel to administrative or disciplinary sanctions if the negligence is gross or repeated.
Client Communication
It is an ethical imperative for counsel to promptly inform and advise the client of the consequences of not filing an Answer, as well as the procedure and grounds for obtaining relief from a default order if it has already been issued. Maintaining clear and frequent communication can prevent unwanted default situations.
Avoiding Technicalities that Lead to Default
While technical rules are vital, courts favor judgments on the merits. Lawyers must be mindful not only of strict compliance but also of the overarching policy of fair play and justice. Seeking reasonable extensions of time (where permitted) or promptly filing motions to admit late pleadings—supported by valid grounds—helps safeguard clients’ interests.
Motion to Lift Default
If default is inevitable, counsel should act swiftly to file a verified motion to set aside the order of default. Ensure that the motion clearly details (a) the factual circumstances that justify the finding of excusable negligence (or other valid ground under FAME), and (b) the meritorious defenses that could affect the outcome of the litigation.
Limitation in Damages
Even when the defendant is declared in default, counsel representing the plaintiff must still present clear, sufficient evidence of damages. Courts will not award speculative or excessive damages, and they are bound by the prayer in the complaint.

VI. RELATED LEGAL FORMS AND TEMPLATES

Below are generic descriptions (not exhaustive) of key filings related to Rule 9:

Motion to Declare Defendant in Default
- Caption: Title of the case, name of court, docket number.
- Body: Recitation of facts showing valid service of summons, the defendant’s failure to file an Answer, and the date the reglementary period lapsed.
- Prayer: Request the court to declare defendant in default and allow ex parte presentation of evidence.
- Verification and Certification of Non-Forum Shopping (if required by local practice).
Order Declaring Defendant in Default (Issued by the Court)
- Brief statement of the facts and the legal basis for the default.
- Declaration that the defendant is in default and cannot participate in trial except on limited matters allowed by the court.
- Directive to proceed with the ex parte reception of plaintiff’s evidence or set the case for hearing ex parte.
Motion to Lift/Set Aside Order of Default
- Caption: Title of the case, name of court, docket number.
- Body: (a) Explanation of the excusable negligence, fraud, accident, or mistake that caused the failure to file the pleading on time, and (b) A meritorious defense, often attached as a draft Answer or enumerated in detail.
- Prayer: Request for the court to set aside the default and admit the attached pleading.
- Verification and Certification of Non-Forum Shopping.
Answer with Motion to Admit Attached Answer (If Late)
- In instances where an Answer is belatedly filed but before the actual declaration of default, the defendant can file an Answer accompanied by a motion to admit it out of time. The motion should explain the reasons for delay and show that no undue prejudice will be caused to the adverse party.

VII. KEY TAKEAWAYS

Timely filing of responsive pleadings is critical. Failure to do so risks losing the chance to present one’s side on the merits.
Certain defenses (lack of subject-matter jurisdiction, litis pendentia, res judicata, prescription) are not waived by failure to plead and may be raised at any stage.
Default is a harsh remedy but permissible to expedite proceedings; it strips the defaulted party of most rights to participate in the trial.
A default judgment does not automatically grant victory to the plaintiff; the plaintiff still has the burden of proving his or her claim.
A motion to lift default must show excusable negligence (or fraud, accident, mistake) and a meritorious defense.
Ethical responsibilities require vigilance in ensuring clients are kept informed and that no deadlines are missed without valid reasons.

Final Note

Rule 9 on Failure to Plead and Default shapes significant strategic considerations in civil litigation. While the rules are relatively straightforward, the technicalities of timely filing, proper motion practice, and strategic use of defaults require diligent compliance, keen knowledge of jurisprudential standards, and adherence to ethical responsibilities. Courts prefer to decide cases on their merits but will resort to default procedures when a defendant unjustifiably fails to participate in the litigation. Consequently, both plaintiffs and defendants (and their counsel) must be meticulously prepared to either invoke or defend against the penalties of default, while ensuring full observance of due process at every stage of the proceedings.