Pre-trial Under Rule 18 of the 2019 Amended Rules of Civil Procedure (Philippines): When Conducted and Other Key Details

Below is a meticulous discussion on when pre-trial is conducted in civil actions governed by the Rules of Court in the Philippines, as well as all the critical procedural points and requirements surrounding it. References are primarily to Rule 18 of the 2019 Amended Rules of Civil Procedure, which took effect on May 1, 2020.

1. Overview of Pre-trial

Pre-trial is a mandatory procedural step in ordinary civil actions. It is a stage where the court and the parties define, streamline, and possibly settle the dispute before trial. It seeks to secure a “just, speedy, and inexpensive disposition” of every action.

2. When Pre-trial is Conducted

A. Setting the Pre-trial Date

After the Last Pleading Has Been Filed
- Under Section 1, Rule 18, once the last pleading (typically the defendant’s Answer or, if a Reply is allowed, after the Reply) is filed, the Branch Clerk of Court (upon direction of the court) shall issue a notice setting the pre-trial.
- In many instances, the court orders the parties to appear for a pre-trial conference within a reasonable period after the filing of the last pleading, ensuring that both parties have joined issues.
Deadline for Issuance of the Notice
- The 2019 Amendments emphasize prompt setting of the pre-trial. The issuance of the Notice of Pre-trial must be done within five (5) calendar days from the filing of the last pleading. The actual date of the pre-trial is usually set not earlier than six (6) calendar days nor later than ten (10) calendar days from the service of such notice, or as the court may set, provided it meets due process requirements.
Personal Service and Electronic Means
- Under the current rules on service, courts may serve notices through personal service, registered mail, or electronic means (e.g., official email addresses if on record). Proof of service is critical because failure of a party to receive notice (through no fault of that party) may excuse non-appearance at pre-trial.

B. Conditioning Factors for Pre-trial

Jurisdiction over the person of the defendant must be properly acquired (i.e., valid service of summons or voluntary submission).
Pleadings are Complete: The issues must be joined—i.e., complaint and answer on file, and if needed or permitted, a reply.

3. Nature and Purpose of Pre-trial

Although the question focuses on when pre-trial is conducted, it is best understood in context:

Encourages Amicable Settlement
- Courts are mandated to explore the possibility of an amicable settlement or submission to alternative modes of dispute resolution (ADR), such as mediation or judicial dispute resolution (JDR).
Simplification and Limitation of Issues
- The parties are required to identify issues of fact and law, stipulate on facts, and avoid undue repetition or surprise. This stage narrows down what truly needs to be proven during trial.
Referral to ADR
- If there is a high likelihood of settlement, the court may refer the parties to court-annexed mediation or other forms of ADR before trial commences.
Avoidance of Delay
- By requiring early identification of witnesses, documentary exhibits, and relevant evidence, the pre-trial prevents trial “by surprise” and expedites resolution.

4. The Pre-trial Brief and Its Timing

A. Filing the Pre-trial Brief

Mandatory Filing
- Each party must file a pre-trial brief at least three (3) calendar days before the date set for pre-trial (Sec. 6, Rule 18) or within the period ordered by the court.
Contents
- The pre-trial brief must contain, among others:
  - A statement of willingness to discuss settlement.
  - A succinct statement of the admitted facts and proposed stipulations.
  - The issues to be tried or resolved.
  - The documents or exhibits to be presented, including the identification of each and the purpose thereof.
  - The number and names of witnesses to be presented, the substance of their testimonies, and the approximate number of hours that will be required for each witness.
  - Available trial dates.
Sanction for Non-filing or Defective Filing
- Failure to file a pre-trial brief or to comply with its required contents can cause dismissal of the complaint (if by plaintiff) or be a ground to allow the plaintiff to present evidence ex parte (if by defendant), among other sanctions.

5. Appearance During Pre-trial

A. Personal Appearance is Required

Mandatory Presence of Parties and Counsel
- The Rules strictly mandate the presence of the parties and their counsel at the pre-trial conference.
- If a party is juridical (e.g., a corporation), a representative with authority to compromise must appear.
Excuse from Appearance
- A party may be excused from appearing only for valid causes and with the court’s prior approval.
- Counsel alone generally cannot represent the party unless he or she has been vested with a special power of attorney to enter into compromise agreements (and only if the court has approved the party’s non-appearance).

B. Effect of Non-appearance

Plaintiff’s Failure to Appear
- Leads to dismissal of the action, with prejudice unless otherwise ordered by the court (Sec. 5, Rule 18).
Defendant’s Failure to Appear
- May result in the defendant being declared in default, allowing the plaintiff to present evidence ex parte.

6. Consequences of Pre-trial Proceedings

A. Pre-trial Order

At the close of pre-trial, the court issues a Pre-trial Order summarizing the matters taken up and establishing the following:
1. Facts stipulated by the parties.
2. The issues to be tried.
3. The documents and exhibits presented and marked.
4. The schedule of the presentation of witnesses.

This Pre-trial Order controls the subsequent proceedings unless modified by the court to prevent manifest injustice.

B. Limitation on Issues

After pre-trial, no new issues may be raised, no new witnesses or exhibits may be presented, unless the court allows it on grounds of equity, prevention of surprise, or justice.

C. Possible ADR or Compromise

Often, courts will refer parties to court-annexed mediation or judicial dispute resolution (JDR) after the pre-trial if settlement prospects are strong.

7. Relevant Jurisprudence

Republic v. Sandiganbayan
- Emphasizes that pre-trial is mandatory and underscores that non-compliance with the rules on pre-trial can lead to serious procedural repercussions, including dismissal or default.
Heirs of Bertuldo Hinog v. Melicor
- Reinforces the principle that courts should conduct pre-trial in strict adherence to the Rules, as it is designed to avoid lengthy, costly litigation.
Roberto S. Benedicto v. Court of Appeals
- Stresses that the pre-trial order serves as the controlling blueprint for trial. A party’s omission of an issue or evidence in pre-trial typically precludes them from presenting it later.

(Note: Case citations are simplified references to highlight principles. Always consult updated Supreme Court rulings for precise citations.)

8. Practical Tips and Ethical Considerations

Timely Coordination with Clients
- Lawyers must ensure their clients understand the necessity of personal appearance or the requirement of a properly authorized representative.
Organized Preparation
- Prepare the pre-trial brief meticulously, listing all exhibits, witnesses, and stipulations to avoid accidental waiver of crucial evidence.
Good Faith Negotiations
- Pre-trial includes exploring settlement. Both counsel and client must participate in good faith, consistent with their duty to facilitate speedy and just resolution.
Avoiding Frivolous Delay
- Courts now have strict timelines and penalize dilatory tactics. Counsel must be mindful of the heightened duty of candor to the tribunal, in line with legal ethics.

9. Summary of Key Points

Trigger for Setting Pre-trial: The pre-trial is set after the last pleading is filed.
Mandatory: No civil case under ordinary procedure proceeds to trial without pre-trial, unless excepted by specific rules (e.g., small claims, summary procedure, special proceedings).
Notice Within 5 Days: The clerk of court issues the Notice of Pre-trial to parties and their counsel promptly.
Pre-trial Brief: Must be filed at least 3 days before pre-trial, with complete contents, or face dismissal/default consequences.
Appearance: Parties (and their counsel) must appear personally, except where formally excused.
Consequences:
- Plaintiff’s absence = dismissal of the case.
- Defendant’s absence = default.
- Lack of or defective Pre-trial Brief = sanctions, including dismissal or ex parte proceedings.
Pre-trial Order: Governs subsequent proceedings and finalizes issues and evidence. Modifications are strictly regulated.

Conclusion

Under Philippine civil procedure, pre-trial under Rule 18 is conducted once the last pleading is filed and issues are joined, with the court promptly setting the matter for conference. It is a critical, mandatory stage aimed at early dispute resolution, simplification of issues, and ensuring a smooth trial if settlement fails. Any party’s or counsel’s failure to comply with the rules on pre-trial can result in severe sanctions, underscoring the need for thorough preparation, meticulous attention to procedural requirements, and genuine effort to resolve or narrow the dispute at the earliest possible opportunity.