COMPREHENSIVE DISCUSSION ON “REPRESENTATIVES AS PARTIES” UNDER RULE 3 OF THE PHILIPPINE RULES OF COURT

I. INTRODUCTION

In Philippine civil procedure, the general rule is that every action must be prosecuted or defended in the name of the real party-in-interest. However, there are instances when a person who is not the direct beneficiary of a claim (or who is not the one ultimately liable) may bring or defend an action in a representative or fiduciary capacity. Rule 3 of the Rules of Court governs the parties to civil actions, and Section 3 specifically addresses representatives as parties.

This discussion exhaustively explains who can appear as a representative, how representation works, and what procedural nuances must be observed.

II. LEGAL BASIS

Rule 3, Section 3 of the 2019 Amendments to the 1997 Rules of Civil Procedure provides:

Section 3. Representatives as parties. – Where the action is allowed to be prosecuted or defended by a representative or someone acting in a fiduciary capacity, the beneficiary shall be included in the title of the case and shall be deemed to be the real party-in-interest.

This provision underscores two core principles:

The Representative – The person authorized to sue or be sued in a fiduciary capacity (e.g., executor, administrator, guardian, trustee, agent with special power of attorney, etc.).
The Beneficiary – The true and ultimate real party-in-interest, on whose behalf the representative acts.

III. WHO MAY ACT AS REPRESENTATIVE

A representative is anyone allowed by law, rules, or jurisprudence to stand on behalf of another in a legal proceeding. Common examples include:

Executors or Administrators
- When a person dies, actions involving the estate are generally brought by or against the executor or administrator. They act in a fiduciary capacity to protect the interests of the deceased’s estate and its creditors/heirs.
- Rule 82 of the Rules of Court (Settlement of Estate of Deceased Persons) details when and how an executor or administrator is appointed and the scope of their authority to represent the decedent’s estate.
Guardians or Guardians Ad Litem
- For minors or persons declared incompetent, the guardian (general guardian) or guardian ad litem (appointed specifically for a litigation) appears on behalf of the ward.
- Rule 3, Section 5 of the Rules of Court provides that a minor or incompetent person must be assisted or represented by his legal guardian. If none is appointed, the court may appoint a guardian ad litem.
Trustees of an Express Trust
- A trustee may sue or be sued as the representative of a trust. The beneficial owners are the real parties-in-interest, but the trustee can litigate matters concerning the trust property.
Parties Authorized by Law or by the Rules
- Persons vested with authority under a special power of attorney to sue or defend on behalf of another (e.g., an agent representing a principal under a valid SPA).
- Heirs when they prosecute or defend suits involving property of the decedent under certain circumstances (though ordinarily, an administrator is preferred, heirs can represent the estate under exceptional conditions).

In all these instances, the named representative stands in for the real party-in-interest, but the ultimate beneficiaries or persons whose rights are directly affected must be disclosed and included in the title of the case.

IV. BENEFICIARY DEEMED REAL PARTY-IN-INTEREST

The rule clarifies that “the beneficiary shall be included in the title of the case and shall be deemed to be the real party-in-interest.” This means:

Naming the Beneficiary – Even if the representative is named as the plaintiff or defendant “in his capacity as,” the caption and/or body of the pleading should make it clear that the actual interest or claim belongs to the beneficiary.
Real Party-in-Interest Requirement – Courts require that the party who stands to be benefited or injured by the court’s judgment or who is entitled to the avails of the suit be made party to the action. In “representative suits,” that real party remains the beneficiary, even though the representative is the formal party on record.

Failure to properly identify and join the beneficiary may result in a procedural defect, possibly affecting the action’s dismissal for lack of real party-in-interest, unless timely remedied (via amendment under Rule 3, Section 11 on misjoinder and non-joinder of parties).

V. CAPACITY TO SUE OR BE SUED: PROCEDURAL REQUIREMENTS

When one appears in a fiduciary or representative capacity:

Allegation of Representative Capacity
- The complaint (or other initiatory pleading) must state the capacity in which the representative is suing, and must show that the action is brought on behalf of or in defense of the real party-in-interest.
Proof of Authority
- Where required, a Special Power of Attorney or appropriate court appointment (letters testamentary, letters of administration, guardianship order) must be attached or presented.
- Courts may require formal proof that the named representative is legally authorized to act in that capacity.
Inclusion of Beneficiaries
- The court may direct the representative to include or name all beneficial owners. In practice, the complaint’s caption might read:
  
  “Juan dela Cruz, in his capacity as administrator of the estate of Pedro dela Cruz, for and on behalf of the heirs of Pedro dela Cruz, Plaintiffs…”
  and in the body or prayer, the heirs may be specifically identified.
Effect of Non-Compliance
- If the complaint does not properly allege or prove the representative’s authority, the action may be dismissed for failure to state a cause of action or for lack of real party-in-interest, subject to the possibility of amendment.

VI. MINORS AND INCOMPETENT PERSONS

While Section 3 of Rule 3 covers “representatives” generally, Section 5 explicitly addresses minors and incompetent persons. In practice, they overlap. Key points:

Mandatory Guardian or Guardian Ad Litem
- A minor (below 18 years of age) or an incompetent (mentally incapacitated or otherwise unable to manage their affairs) cannot sue or be sued without representation.
- The appointed guardian acts as the representative, but the minor or incompetent remains the real party-in-interest.
Appointment of Guardian Ad Litem
- If there is no existing legal guardian, the court motu proprio or upon motion appoints a guardian ad litem specifically for the lawsuit.
- The court ensures that the guardian ad litem has no conflicting interests and is able to protect the ward’s interests.

VII. ETHICAL CONSIDERATIONS AND COUNSEL’S DUTY

Legal practitioners must be aware of professional and ethical obligations when dealing with representatives:

Verification of Authority
- Lawyers must exercise due diligence to confirm the validity of a client’s representative capacity. This includes reviewing letters of administration, powers of attorney, or guardianship papers.
- Misrepresenting a client’s authority or capacity could expose counsel to administrative and ethical sanctions.
Avoiding Conflicts of Interest
- Attorneys must ensure that the representative’s interests do not conflict with those of the beneficiaries. If a conflict arises, the lawyer must advise the parties accordingly or withdraw if necessary.
Duty to the Tribunal
- Even while zealously advocating for the client, counsel must not mislead the court about the existence or extent of a representative’s authority.

VIII. SUBSTITUTION OF PARTIES vs. REPRESENTATION

Although closely related, substitution under Rule 3, Section 16 (Death of a Party) is distinct from initially filing or defending as a representative. Substitution generally occurs after a party who is a real party-in-interest dies or is incapacitated during the pendency of the case. By contrast, representation from the outset means the real party-in-interest is already under a fiduciary or legal incapacity, or is a beneficiary of a trust/estate/agency.

IX. RELEVANT JURISPRUDENCE (ILLUSTRATIVE)

Sarsaba v. Vda. de Te – Reiterated that in actions involving the estate of the deceased, the executor or administrator is usually the party authorized to sue or be sued. Heirs may only act on behalf of the estate where there is no administrator appointed and their representation is necessary to avoid injustice.
Cabuyao v. Caagbay – Clarified that a trustee of an express trust may sue in his own name without joining the beneficiaries, provided the trust relationship and identities are disclosed.
Andrade v. CA – Emphasized the importance of strict compliance with the requirement of guardianship or representation for minors; judgments obtained without proper representation can be voided.

Although each case turns on its unique facts, these principles underscore the rule that the real party-in-interest is the one whose rights are affected, but the action can be maintained by a duly authorized representative.

X. PRACTICAL TIPS & LEGAL FORMS

Caption and Allegations
- Clearly state in the caption: “X, in his capacity as [executor/administrator/guardian/trustee/attorney-in-fact]…”
- In the body of the pleading, outline the facts conferring representative status.
- Identify the beneficiaries or the true real parties-in-interest.
Attach or Refer to Supporting Documents
- Letters of Administration/Testamentary for executors/administrators.
- Appointment Order for guardians or guardians ad litem.
- Special Power of Attorney for agents acting on behalf of principals.

Sample Form Provision (in a Complaint Caption)

REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
[Judicial Region], Branch [__]
[City/Province]

JUAN DELA CRUZ, 
in his capacity as Administrator of the Estate of  
PEDRO DELA CRUZ, for and on behalf of the Heirs  
of Pedro Dela Cruz,                                   
                             Plaintiff,                CIVIL CASE NO. ____
-versus-

MARIA SANTOS,  
                             Defendant.

Verification & Certification Against Forum Shopping
- If the representative is signing the Verification and Certification, they must aver that they are duly authorized to file the case and that they have personal knowledge or appropriate knowledge of the facts.
- The certification typically includes a statement that no other action involving the same issues is pending or decided before another tribunal, all of which the representative asserts under oath.

XI. CONSEQUENCES OF NON-COMPLIANCE

Possible Dismissal: If the complaint fails to state the representative’s capacity or fails to join the real party-in-interest, the action could be dismissed on the ground of lack of cause of action or lack of real party-in-interest, unless the deficiency is cured by amendment.
Void or Ineffective Judgment: A judgment rendered without proper representation of the real party-in-interest (e.g., a minor not duly represented by a guardian) can be challenged for being void for lack of jurisdiction over the proper parties.
Disciplinary Action: For lawyers, knowingly proceeding without the proper authority or ignoring the representation requirement can lead to sanctions under the Code of Professional Responsibility.

XII. KEY TAKEAWAYS

Representative vs. Beneficiary
- The representative is a formal party on record (executor, guardian, etc.) authorized by law or by the court to prosecute or defend a case.
- The beneficiary (estate, minors, principal, or trust beneficiaries) is the actual party whose substantive rights are in issue.
Disclosure in Pleadings
- It is crucial to name and identify both the representative and the beneficiary in the case title or allegations.
Proof of Authority
- Always ensure that the representative’s capacity is properly documented (letters of administration, SPA, court order of guardianship).
Strict Compliance
- Non-compliance may lead to dismissal or adverse consequences.
Ethical Duty of Counsel
- Counsel must verify and ensure representation is proper, to avoid misleading the court and prejudicing the client’s interests.

CONCLUSION

“Representatives as parties” under Rule 3, Section 3 of the Philippine Rules of Court is a critical procedural device ensuring that persons who cannot appear in court in their own right (or who must appear through a fiduciary) are properly represented. The real party-in-interest remains the beneficiary, but the procedural vehicle is the representative. Strict adherence to the Rules—proper pleading of the representative capacity, inclusion of beneficiaries, and attachment of proof of authority—ensures that the litigation proceeds validly and protects the substantive rights of those whose interests are truly at stake.

Attorneys must meticulously comply with these procedural and ethical rules to avoid jeopardizing their clients’ cases and to uphold the administration of justice.