Parts and Contents of a Pleading (RULE 7) | Pleadings | CIVIL PROCEDURE

Below is a comprehensive and meticulous discussion of Rule 7 of the 2019 Amendments to the 1997 Rules of Civil Procedure (Philippines), governing the Parts and Contents of a Pleading. This summary integrates relevant jurisprudence, rules, and best practices.

I. INTRODUCTION

Rule 7 of the Rules of Court specifies the required parts and formalities of every pleading submitted in Philippine courts. Non-compliance with these requirements can have serious procedural consequences, including the outright dismissal of a complaint or the striking out of a pleading. Understanding each sub-rule is crucial not only for compliance but also for the effective presentation of one’s claims or defenses.

For reference, the governing provisions on pleadings and their parts are found in Rule 7 of the 2019 Amendments to the 1997 Rules of Civil Procedure (A.M. No. 19-10-20-SC), which took effect on May 1, 2020. Despite the amendments, much of the established jurisprudence on verification and certification against forum shopping remains relevant, unless expressly modified by the new rules.

II. PARTS AND CONTENTS OF A PLEADING

A. Caption (Section 1)

  1. Definition and Purpose

    • The “caption” of a pleading provides the name of the court in which the action is pending, the title of the action, and the docket number, if assigned.
    • It identifies the parties to the case, specifying who is the plaintiff or petitioner, and who is the defendant or respondent.
    • It also indicates the case number that the court assigns once the complaint or initiatory pleading is filed.

  2. Requirements

    • Name of the court: The complete name (e.g., “Regional Trial Court of [Branch and Location]”) or “Municipal Trial Court/Municipal Trial Court in Cities” as applicable.
    • Title of the action: Lists all the parties, stating their respective designations (e.g., plaintiff vs. defendant, petitioner vs. respondent). Additional parties may be indicated with “et al.” only after all indispensable parties are named, or if they exceed practicality for listing.
    • Docket number: Placed upon filing and indicated in all subsequent pleadings.

B. The Body of the Pleading (Section 2)

The body of every pleading sets out:

  1. Allegations of the Party’s Claims or Defenses
    • Allegations must be concise, direct, and as far as practicable, divided into paragraphs. Each paragraph should deal with a single averment, set of facts, or argument.
    • Ultimate Facts vs. Evidentiary Facts: Rule 8, Section 1 states that the pleading should contain ultimate facts, not mere conclusions of law or evidentiary details. The party should state the facts from which conclusions of law are drawn.
  2. Headings
    • If the pleading contains several causes of action or defenses, they must be stated separately, usually with appropriate headings.
    • For example, a complaint with multiple causes of action will have separate paragraphs or sections for each cause, each clearly labeled.

C. Relief (Prayer) (Section 2, final paragraph)

The prayer (sometimes referred to as the “Wherefore” clause) indicates the specific relief(s) sought. This is crucial because:

  1. It guides the court on what the plaintiff or defendant wants the court to grant.
  2. The court generally cannot award relief not included in or logically flowing from the prayer (subject to certain exceptions such as awarding complete relief to fully dispose of the issues).

Example:
Wherefore, premises considered, it is respectfully prayed that judgment be rendered ordering defendant to pay plaintiff actual damages of PhP 200,000.00, moral damages of PhP 50,000.00, attorney’s fees of PhP 30,000.00, plus costs of suit.

D. Date of the Pleading (Section 2, final paragraph)

Every pleading must be dated to indicate when it was prepared. This is important for ensuring clarity in the timeline of procedural documents.

E. Signature and Address (Section 3)

  1. Signature

    • Every pleading must be signed by the party’s counsel (or the party if unrepresented).
    • Under Rule 7, the signature also constitutes a certificate by the counsel or party that they have read the pleading and that the allegations are true and correct of their knowledge or based on authentic records.

  2. Address

    • Below the signature, the counsel’s address, Roll of Attorney’s number, PTR number, IBP number, MCLE compliance number, and e-mail address/contact numbers must be indicated in compliance with the rule requiring each counsel to provide their contact details.
    • The purpose is to ensure that notices and processes can be served properly and that counsel’s accountability is clear.

  3. Effect of Signature

    • The signature is not a mere formality. It is a certification that the allegations in the pleading are not frivolous, that the pleading is filed in good faith, and that it is not intended to harass the adverse party.
    • Any willful violation or falsehood may subject the lawyer (or party) to disciplinary action under the Rules of Court and the Code of Professional Responsibility.

F. Verification (Section 4)

A verification is a sworn declaration by the party filing the pleading. This ensures the sincerity of the allegations. The rule prescribes the following:

  1. Who Must Verify

    • Generally, the verification must be signed by the party themselves, not merely by counsel.
    • In corporations, partnerships, or juridical entities, an authorized officer may verify, provided proof of authorization is attached (e.g., board resolution, secretary’s certificate).

  2. Form and Content

    • A pleading is verified by an affidavit stating that the affiant has read the pleading and that the allegations therein are true and correct based on their personal knowledge or based on authentic records.
    • The verification must be done under oath, administered by a notary public or other officer authorized to administer oaths.

  3. Effect of Lack of Verification

    • A pleading required by law or rule to be verified that lacks the proper verification is treated as an unsigned pleading. Courts typically direct the party to correct the deficiency within a non-extendible period; otherwise, the pleading may be stricken from the record or dismissed.

  4. Substantial Compliance

    • Courts generally allow amendments to conform to the requirements on verification, especially if the error is not willful or intended to mislead. In practice, courts are more liberal in allowing correction unless there is a clear showing of intent to deceive or to commit forum shopping.

G. Certification Against Forum Shopping (Section 5)

Perhaps the most litigated subsection of Rule 7 is the certification against forum shopping, where the plaintiff or principal party certifies under oath that:

  1. They have not commenced or filed any claim involving the same issues in any court, tribunal, or quasi-judicial agency.
  2. If such action or claim is pending, they must disclose its status.
  3. If they learn of the filing or pendency of the same or a similar action, they undertake to report such fact within five (5) days therefrom.

Failure to include a certification against forum shopping in an initiatory pleading is fatal and generally results in the dismissal of the case.

1. Who Must Execute the Certification?

  • The plaintiff or principal party (i.e., the party initiating the action), not merely the counsel, must sign the certification.
  • In the case of corporations or juridical entities, the person signing should be someone with authority to do so (again, typically proven by a board resolution or secretary’s certificate).

2. Effect of Non-compliance or Defective Certification

  • If an initiatory pleading is unaccompanied by the required certification, the complaint can be dismissed without prejudice, allowing refiling once the defect is corrected.
  • A false certification or an omission of a material fact in the certification can lead to the summary dismissal of the complaint with prejudice, as well as administrative and criminal sanctions against the litigant and/or counsel.

3. Subsequent or Non-Initiatory Pleadings

  • Non-initiatory pleadings (such as an answer, motion, or other submissions) do not require a certification against forum shopping. Only initiatory pleadings—like a complaint, a petition, or a counterclaim that effectively commences a new action—must be accompanied by a certification.

H. Additional Requirements Under the 2019 Amendments

With the 2019 amendments, certain new mandates took effect:

  1. Electronic Service and Indication of Email
    • Counsel and parties (if unrepresented) must indicate a valid email address and contact number in the pleadings for possible electronic service of court processes.
  2. MCLE Compliance and Other Identifiers
    • Lawyers must continue to indicate in their pleadings their Roll of Attorneys number, IBP number, PTR (Professional Tax Receipt) number, MCLE compliance number, and the date and place of their issuance.

III. LEGAL SIGNIFICANCE OF RULE 7 REQUIREMENTS

  1. Preventing Frivolous Suits
    • The requirement of the signature of counsel or party ensures that the allegations have been read and are believed to be true and not interposed for delay.
  2. Promoting Candor and Transparency
    • Verification and certification against forum shopping encourage parties to be forthright regarding the existence or non-existence of similar actions involving the same issues.
  3. Protecting the Integrity of Judicial Processes
    • The forum shopping rule protects courts from the mischief of litigants who seek multiple remedies in different tribunals for the same cause, which can lead to conflicting decisions and wastage of judicial resources.
  4. Ensuring Adequate Notice and Due Process
    • Proper caption and address allow the court and parties to keep track of the case and effect proper service of notices and pleadings.

IV. COMMON PITFALLS AND CONSEQUENCES

  1. Failure to Attach Proper Verification
    • The pleading may be stricken from the record or dismissed if verification is mandated by law (e.g., in complaints for injunction, complaint for replevin, special civil actions, etc.).
  2. Defective or Missing Certification Against Forum Shopping in Initiatory Pleadings
    • The case may be dismissed. The Supreme Court has repeatedly held that such certification is mandatory and not a mere technicality.
  3. Failure to Provide Authority for Corporate Verifiers
    • If the person who signed the verification and certification against forum shopping cannot show proof of authority (e.g., board resolution), the verification and certification are considered defective. This can result in dismissal if not corrected.
  4. Forum Shopping
    • If a party is found guilty of forum shopping, the action may be dismissed with prejudice, and the party (and counsel) may face administrative and criminal sanctions.

V. RELEVANT JURISPRUDENCE

  1. Sarmiento v. Zaranta
    • Reinforced the rule that the certification against forum shopping must be signed by the principal party. A mere signature by counsel is not enough.
  2. Altres v. Empleo
    • Enumerated the guidelines on verification, emphasizing the need for personal knowledge or reliance on authentic records.
  3. Torres v. Specialized Packaging Development Corp.
    • Clarified that the non-compliance with the certification against forum shopping requirement for an initiatory pleading is generally a ground for dismissal without prejudice (subject to certain exceptions where the violation is deliberate or intended to mislead).
  4. Uy v. Landbank of the Philippines
    • Stressed that in corporations or juridical entities, a corporate officer must show authority to sign the verification/certification; otherwise, the defect is fatal.

VI. BEST PRACTICES

  1. Always Verify Whether the pleading is initiatory or not. If it is initiatory, prepare and attach the certification against forum shopping as a separate document, duly notarized.
  2. Ensure Proper Authority for signatories. In corporate settings, secure a secretary’s certificate or board resolution specifically authorizing the officer to sign for and on behalf of the company.
  3. Check for Consistency and alignment of allegations. Ensure each count, cause of action, or defense is clearly labeled and separated in the body of the pleading.
  4. Observe Formatting and Technical Requirements
    • Include the correct caption, title, docket number, date, signature, and counsel/party details (including updated address, IBP, PTR, MCLE details).
  5. Avoid Forum Shopping by diligently searching if there is any pending action involving the same issues or cause of action in other courts or quasi-judicial bodies, and if so, disclose it in the certification.

VII. SAMPLE OUTLINE OF A COMPLAINT (For Illustrative Purposes)

  1. Caption and Title
    • “Republic of the Philippines | Regional Trial Court of ___, Branch ___ | [Case Title and Number]”
  2. Body
    • Prefatory Allegations (names, personal circumstances of parties, addresses for service)
    • Allegations of Fact (separated into paragraphs, stating ultimate facts)
    • Cause(s) of Action (label each cause, detail the basis for liability)
    • Prayer (specifically state the reliefs sought)
  3. Signature
    • Counsel’s Signature block including Roll No., IBP No., PTR No., MCLE No., law firm address, email, and contact numbers.
    • Party’s Signature if unrepresented.
  4. Verification
    • “I, [Name of Party], of legal age, [status/citizenship], after being duly sworn, depose and say: …”
    • Jurat (notarial details).
  5. Certification Against Forum Shopping
    • “I, [Name of Party], hereby certify … [all mandatory declarations] … .”
    • Jurat (notarial details).
    • Attach Board Resolution/Secretary’s Certificate if party is a corporation or juridical entity.

VIII. CONCLUSION

Rule 7 of the Rules of Civil Procedure is designed to promote integrity, efficiency, and transparency in litigation. Each requirement—from the caption, signature, and verification, to the all-important certification against forum shopping—serves to streamline judicial processes and deter abuses. Complying meticulously with Rule 7 demonstrates professionalism and respect for the court’s rules, ensuring that litigants receive a fair and expedient adjudication of their claims.

Key Takeaways:

  • Precisely observe form and content requirements for each part of the pleading (caption, body, signature, verification, and certification against forum shopping).
  • Remember that verification assures the truthfulness of the allegations, while the certification against forum shopping assures the court of the exclusive recourse to that forum for the stated cause of action.
  • Non-compliance may lead to dismissal, striking of pleadings, or other disciplinary actions.
  • Where correction is possible (e.g., flawed verification), courts often grant leave to amend unless bad faith or intent to mislead is shown.
  • Ensuring full compliance from the start is the most efficient and ethical practice.

This thorough understanding of Rule 7 will guide any Philippine litigator or party towards proper, careful, and effective pleading, preserving the validity of their cases and protecting them from unwanted procedural obstacles.

Disclaimer: This content is not legal advice and may involve AI assistance. Information may be inaccurate.

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