Pre trial is a procedural device by which the Court is called upon after the filing of the last pleading to compel the parties and their lawyers to appear before it, and negotiate an amicable settlement or otherwise make a formal statement and embody in a single document the issues of fact and law involved in the action, and such other matters as may aid in the prompt disposition of the action, such as the number of witnesses the parties intend to present, the tenor or character of their testimonies, their documentary evidence, the nature and purpose of each of them and the number of trial dates that each will need to put on his case. One of the objectives of pre trial procedure is to take the trial of cases out of the realm of surprise and maneuvering. (Permanent Concrete Products, Inc. vs. Teodoro, G.R. No. 29776, November 29, 1968, 26 SCRA 332 )
Pre trial also lays down the foundation and structural framework of another concept, that is, the continuous trial system. (Circular No. 1 89, Administrative Circular No. 4, September 4, 1988) Pre trial is mandatory but not jurisdictional. (Martinez vs. de la Merced, G.R. No. 82309, June 20, 1989, 174 SCRA 18)
Note: Section 4, Rule 18 imposes the duty on litigating parties and their respective counsel to
appear during pre trial. The provision also provides for the instances where the non appearance of a party may be excused. Nothing, however, in Section 4 provides for a sanction should the parties or their respective counsel be absent during pre trial. Instead, the penalty is provided for in Section 5. Notably, what Section 5 penalizes is the failure to appear of either the plaintiff or the defendant, and not their respective counsel (Paredes vs. Verano, G.R. No. 164375, October 12, 2006). )
2. Nature and purpose
What is the nature of pre-trial?
It is mandatory (Rule 18, Sec. 2).
Note: Pre trial is mandatory in civil cases. In criminal cases, it is mandatory in cases cognizable by
the following:
1. Sandiganbayan 2. RTC
3. MeTC, MTCC, MTC, MCTC
It is also mandatory in both criminal and civil cases under the Rule on Summary Procedure. The Courts authority is confined to a mere determination of the propriety of rendering a judgment on the pleadings or a summary judgment
What are the purposes of pre-trial?
The court shall consider the following purposes:
1. Possibility of an amicable settlement or of a submission to alternative modes of dispute resolution;
2. Simplification of the issues;
3. Necessity or desirability of amendments to the pleadings;
4. Possibility of obtaining stipulations or admissions of facts and of documents to avoid unnecessary proof;
5. Limitation of the number of witnesses;
6. Advisability of a preliminary reference of issues to a commissioner;
7. Propriety of rendering judgment on the pleadings, or summary judgment, or of dismissing the action should a valid ground therefore be found to exist;
8. Advisability or necessity of suspending the proceedings; and
9. Such other matters as may aid in the prompt disposition of the action (Rule 18,
Sec. 2).
3. Notice of pre-trial
Rule 18, Sec. 3. Notice of pre trial.
The notice of pre trial shall be served on counsel, or on the party who has no counsel. The counsel served with such notice is charged with the duty of notifying the party represented by him.
On whom must notice of pre-trial be served? (Rule 18, Sec. 3)
a. On counsel who is charged with the duty of notifying his client, or b. On the party who has no counsel
Plaintiff required to move that the case be set for pre-trial
Under Rule 18, Sec. 1, after the last pleading has been served and filed, the plaintiff has the duty to promptly move ex parte that the case be set for pre trial. If he does not file such motion within a reasonable period, the court may dismiss the case for his failure to prosecute pursuant to Rule 17, Sec. 3 (failure to prosecute his action for an unreasonable length of time).
This has been superseded by A.M. No. 03 1 09 SC (Rule on Guidelines to be Observed by Trial Court Judges and Clerks of Court in the Conduct of Pre Trial and Use of Deposition Discovery Measures) which took effect on August 29, 2006. .
Under I.A.1.2 Within 5 days after filing of the reply, the plaintiff must promptly move ex parte that the case by set for pre trial conference. If the plaintiff fails to file such motion within the
given period, the Branch Clerk of Court SHALL ISSUE A NOTICE OF PRE-TRIAL. Binding effect of admissions or stipulations
Admissions or stipulations made during the pre trial and stated in the pre trial order are BINDING upon the party making the admissions (Alano vs. CA, 383 SCRA 269 [1997]).
4. Appearance of parties; effect of failure to appear
Parties and their counsel BOTH have the duty to appear at pre trial
Non-appearance may be excused only if:
1. A valid cause is shown; or
2. A representative appears fully authorized in writing a) to enter into an amicable settlement, b) to submit to alternative modes of dispute resolution and c) to enter into stipulations or admissions of facts and of documents. (Rule 18, Sec. 4)
What is the effect of failure of the parties to appear at the pre-trial?
1. If the plaintiff fails to appear the action shall be dismissed with prejudice, unless otherwise ordered by the court (Rule 18, Sec. 5, 1st and 2nd sentences).
2. If the defendant fails to appear plaintiff shall be allowed to present his evidence ex parte and the court shall render judgment on the basis thereof (Rule 18, Sec. 5, 3rd sentence).
5. Pre-trial brief
The pre-trial brief(to be filed at least three days before the pre trial) shall contain the following:
1. Statement of the parties willingness to enter into amicable settlement or alternative modes of dispute resolution, indicating the desired terms
2. A summary of admitted facts and proposed stipulation of facts 3. Issues to be tried or resolved
4. Documents or exhibits to be presented, stating the purpose thereof (No evidence shall be allowed to be presented and offered during the trial in support of a party's evidence in chief other than those that had been earlier identified and pre marked during the pre trial, except if allowed by the court for good cause shown (A.M. No. 03 1 09 SC)
5. A manifestation of their having availed OR their intention to avail themselves of discovery procedures or referral to commissioners;
6. The number and names of witnesses and the substance of their testimonies (Rule 18, Sec. 6)
Parties are bound by the representations and statements in their respective pre trial briefs as such are in the nature of judicial admissions.
What is the effect of failure to file a pre-trial brief?
Same effect as failure to appear at the pre trial (Rule 18, Sec. 6). As to plaintiff his complaint may be dismissed or he is non suited.
As to defendant he may be considered as in default, and plaintiff may be authorized to present evidence ex parte against him. (Rule 18, Sec. 5)
Distinction between pre-trial in civil case and pre-trial in criminal case
Civil Case Criminal Case
1. it is set when the plaintiff moves ex parte to set the case for pre trial.
1. it is ordered by the court and no motion to set the case for pre trial is required from either the prosecution or the defense.
2. the motion to set case for pre trial is made after the last pleading has been served and filed.
2. the pre trial is ordered by the court after arraignment and within 30 days from the date the court acquires jurisdiction over the person of the accused.
3. considers the possibility of an amicable settlement as an important objective.
3. does not include the considering of the possibility of amicable settlement of criminal liability as one of its purposes.
4. the agreements and admissions made in the pretrial are not required to be signed by both the parties and their counsels. They are to be
4. there is a stricter procedure required. All agreements or admissions made or entered during the pretrial conference
contained in the record of pre trial and the pre trial order. However, A.M. No. 03 1 09 SC dated July 13, 2004 now requires the proceedings during the preliminary conference to be recorded in the Minutes of Preliminary Conference to be signed by both parties and/or counsel. The rule allows either the party or his counsel to sign the minutes.
shall be reduced in writing and signed by both the accused and counsel, otherwise, they cannot be used against the accused.
5. the sanction for non appearance in a pre trial are imposed upon the plaintiff and the defendant in a civil case.
5. the sanction are imposed upon the counsel for the accused or the prosecutor.
6. a pre trial brief is required to be submitted 6. pre trial brief is not required to be submitted.
(Civil Procedure, A Restatement of the Bar, Willard B. Riano, 2009 Edition pp. 373 374)
Pre-Trial Order
The order of the court is issued upon the termination of the pre trial.
The order shall contain
1. The matters taken up in the conference; 2. The action taken thereon;
3. The amendments allowed to the pleadings; and 4. The agreements or admissions made by the parties.
The pre trial order shall define and limit the issues to be tried and shall control the subsequent course of the action except if it is modified before trial to prevent manifest injustice (Rule 18, Sec.7)
7. Alternative Dispute Resolution (ADR) A.M. No. 01-10-5-SC-PHILJA, 0ctober 16, 2001 Coverage:
1. All civil cases, settlement of estates, and cases covered by the Rule on Summary Procedure, except those which by law may not be compromised;
2. Cases cognizable by the Lupong Tagapamayapa under the Katarungang Pambarangay Law;
3. The civil aspect of BP 22 cases; and
4. The civil aspect of quasi offenses under Title 14 of the Revised Penal Code
The trial court, after determining the possibility of an amicable settlement or of a submission to alternative modes of dispute resolution, shall issue an Order referring the case to the Philippine
Mediation Center (PMC) Unit for mediation and directing the parties to proceed immediately to
the PMC Unit.
The Order shall be personally given to the parties during the pre trial. Copy of the Order together with a copy of the Complaint and Answer/s, shall be furnished the PMC Unit within the same date The Supervisor of the PMC Unit shall assist the parties select a mutually acceptable Mediator from a list of duly accredited Mediators and inform the parties about the fees, if any, and the mode of payment. If the parties cannot agree on a Mediator, then the Supervisor shall assign the Mediator. The trial court shall immediately be notified of the name of the Mediator, and shall thereafter confirm the selection/appointment of the Mediator. The Mediator shall immediately commence the mediation proceedings unless both parties agree to reset the mediation within the next five (5) working days, without need of further notice.
Lawyers may attend the mediation proceedings and shall cooperate with the Mediator towards the amicable settlement of the dispute
The period during which the case is undergoing mediation shall be excluded from the regular and mandatory periods for trial and rendition of judgment in ordinary cases and in cases under summary procedure.
The period for mediation shall not exceed (30) days, extendible for another 30 days, in order to allow the parties sufficient time to reach a compromise agreement and put an end to litigation In case of SUCCESSFUL settlement, the trial court shall immediately be informed and given (a) the original Compromise Agreement entered into by the parties as basis for the rendition of a judgment by compromise which may be enforced by execution or, (b) a withdrawal of the Complaint or, (c) a satisfaction of the claim.
If the mediation is NOT SUCCESSFUL, the Mediator shall issue a Certificate of Failed Mediation for the purpose of returning the case for further judicial proceeding
Since mediation is part of Pre Trial, the trial court shall impose the appropriate sanction including but not limited to censure, reprimand, contempt and such sanctions as are provided under the Rules of Court for failure to appear for pre trial, in case any or both of the parties absent himself/themselves, or for abusive conduct during mediation proceedings
J. Intervention(Rule 19)
INTERVENTION is a legal proceeding by which a person who is NOT a party to the action is permitted by the court to become a party by intervening in a pending action after meeting the conditions and requirement set by the Rules of Court.
1. Requisites for intervention
Requisites For Intervention (Rule 19, Sec. 1)
1. There must be a motion for intervention filed BEFORE rendition of judgment. 2. Movant must show in his motion that
a. he has legal interest in the matter in litigation, in the success of either of the parties in the action, or against both parties.
b. he is situated as to be adversely affected by a distribution or other disposition of property in the custody of the court
3. Intervention must not unduly delay or prejudice the adjudication of the rights of the original parties.
4. Intervenors rights may not be fully protected in a separate proceeding.
LEGAL INTEREST one that is actual and material, direct and of an immediate character, not merely contingent or expectant.
Intervention is NOT an absolute right (nor is it compulsory or mandatory) , as it is within the courts discretion to grant the same.
Intervention is an ancillary and supplemental proceeding to an existing litigation. Thus, the final dismissal of the principal action results in the denial for the motion to intervene.
2. Time to intervene (Rule 19, Sec. 2)
Motion for intervention may only be filed BEFORE judgment is rendered by the trial court. The motions for intervention were filed after judgment had already been rendered, indeed when the case was already final and executory. Certainly, intervention can no longer be allowed in a
case already terminated by final judgment.
Intervention is merely collateral or accessory or ancillary to the principal action, and not an independent proceeding; it is an interlocutory proceeding dependent on or subsidiary to the case between the original parties. Where the main action ceases to exist, there is no pending
proceeding wherein the intervention may be based. (Looyuko vs. Court of Appeals, G.R. No.
However, in some cases, the Supreme Court has allowed intervention after judgment, and in one case even after the judgment had become final and executory, to serve the ends of justice and equity. (Office of the Ombudsman vs. Miedes, Sr., G.R. No. 176409, February 27, 2008)
Although Rule 19 of the Rules of Court is explicit on the period when a motion to intervene may be filed. This rule, however, is not inflexible. Interventions have been allowed even beyond the
period prescribed in the Rule, when demanded by the higher interest of justice. Interventions
have also been granted to afford indispensable parties, who have not been impleaded, the right to be heard even after a decision has been rendered by the trial court, when the petition for review of the judgment has already been submitted for decision before the Supreme Court, and even where the assailed order has already become final and executory. (Deogenes O. Rodriguez
vs. Court of Appeals, G.R. No. 184589, June 13, 2013)
3. Remedy from the denial of motion to intervene
The remedy of the aggrieved party is APPEAL The allowance or disallowance of a motion to intervene is addressed to the sound discretion of the court hearing the case. This discretion, once exercised, is not reviewable by certiorari or mandamus save in instances where such discretion is exercised in an arbitrary or capricious manner. (Gallego vs. Galang, G.R. No. 130228, July 27, 2004)
Note: Rule 20 (Calendar of Cases) and Rule 22 (Computation of Time) not included.
K. Subpoena (Rule 21)