4. Even if the parties concerned agreed to execute a stipulation of facts it does not mean that the respective counsels of contending parties can prepare a stipulation of facts the contents of which is prejudicial to the interests of their clients and sign it themselves without the intervention of their clients. (Caballero v. Dejarme) Jurisprudence:
1. The filing of a pre-trial brief is mandatory and is not excused simply because defendant was not represented by counsel (Saguid v. CA)
Duty of the Judge
- Before the continuation of the pre-trial conference, judge must study all pleadings, and determine the issues thereof and the respective positions of the parties to enable him to intelligently steer the parties toward a possible amicable settlement or, at the very least, to help reduce and limit the issues
- He should expose the parties to advantages of pre-trial: a. The simplification of issues
b. The necessity or desirability of amendments to pleadings
c. Possibility of obtaining stipulations or admissions of facts and of documents to avoid unnecessary proof - During pre-trial, judge shall be the one to ask questions on
issues raised therein and all questions or comments by counsel must be directed to judge to avoid hostilities 1. The court shall initially ask the parties and lawyers if an
amicable settlement is possible
2. If not, judge may confer with parties with the opposing counsel to consider the following:
a. Given the evidence of plaintiff presented in his pre- trial brief to support his claim, what manner of compromise is considered acceptable to defendant at the present stage?
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b. Given the evidence of defendant described in his pre- trial brief to support his defense, what manner of compromise is considered acceptable to plaintiff at the present stage?
3. If not successful, court shall confer with the party and his counsel separately
4. If the manner of compromise is not acceptable, judge shall confer with the parties without their counsel for the same purpose of settlement
POWER OF THE COURT
Itemization of Issues In a Single Document As held in DBP v. CA
- A trial court can always compel the parties to simplify, or at the very least, identify the issues
- Court has the power to require the parties to make a formals statement of the issues of fact and law involved To set out which of the material averments of fact, or
parts thereof, are admitted and which are denied - The desirability and usefulness of the itemization in a
single document:
a. Of the facts which are admitted – and as to which no evidence need be presented; and
b. Those of which are controverted – and as to which proof must be adduced
Disclosure of Witnesses and Evidence
The trial court has the power to require the parties at pre-trial: 1. To state the number of witnesses intended to be called to
the stand, their names and addresses, and a brief summary of the evidence each of them is expected to give
2. To formally disclose the number of the documents and things or a short description of the nature of each
3. To state the number of trial dates that each will need to put on his case
On the Number of Witnesses
1. The One-Day Examination of Witness Rule 2. The Most Important Witness Rule
Determine the most important witnesses to be heard and limit the number of facts to be proven by each witnesses and approximate number of hours per witness shall be fixed
Duty of Disclosure
1. The parties are required to state the documents or exhibits to be presented, stating the purpose thereof (Sec. 6(d)) No evidence shall be allowed to be presented and
offered during the trial in support of an evidence-in- chief other than those that had been earlier identified and pre-marked during pre-trial
Except if allowed by the court for good cause shown 2. The number and names of witnesses (Sec. 6(f))
The substance of their respective testimonies Approximate number of hours that will be required
by parties for the prosecution of their respective witnesses
In light of the objectives of a pre-trial and the role of trial court therein, it is evident that judges have the discretion to exclude witnesses and other pieces of evidence not listed in the pre-trial brief, provide the parties are given prior notice to this effect.
The Trial Judge also has the following powers: (see The Guidelines) 1. At his discretion, order the parties to use affidavits of
witnesses as direct testimonies
Subject to the right to object to inadmissible portions thereof and to the right of cross-examination Affidavits shall be based on personal knowledge Set forth facts as would be admissible in evidence Shall show affirmatively that the affiant is competent
to testify to the matters stated therein Shall be in question and answer form
Shall conform with the rules on admissibility of evidence
2. Order the delegation of the reception of evidence to the Branch Clerk of Court under Rule 30
3. The advisability of a preliminary reference of issues to a commissioner (see Rule 32)
The propriety of rendering judgment on the pleadings, or summary judgment, or of dismissing the action should a valid ground therefor be found to exist
- A judgment on the pleadings may be rendered on motion of a party:
1. Where the answer fails to tender an issue, or 2. Otherwise admits to the material allegations of the
adverse party’s pleading
- Note however in actions for annulment or for legal separation, material allegations alleged in complaint shall always be proved (Rule 34)
- A summary judgment may be rendered if the pleadings, depositions, and admissions on file, together with the affidavits, show that, except as to the amount of damages, there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law (Rule 35)
The former rule which authorized the court to render judgment on the pleadings or summary judgment if it appears at pre-trial that facts exist which justify such action has been included in this section
- Court should merely consider the propriety of such action - If proper, a motion for judgment on the pleadings or
summary judgment should be filed and heard in accordance with the rules (Auman v. Estenzo)
Under the Guidelines:
- The judge should determine the propriety of rendering a summary judgment dismissing the case based on the disclosures made at pre-trial or a judgment based on the pleadings, evidence identified and admissions made during pre-trial
- If at pre-trial court finds that facts exist upon which a judgment on the pleadings of summary judgment may be made, it may render judgment on the pleadings or summary judgment
The advisability or necessity of suspending the proceedings - See Sec. 8, Rule 30
- Said rule provides that the suspension of actions shall be governed by the provisions of the civil code
- Art. 2030 – every civil action or proceeding shall be suspended: if it appears that one of the parties before the commencement of the action have offered to discuss a possible compromise but the other party refused the offer Such other matters as may aid in the prompt disposition of the action: As held in DBP v. CA:
- While it is not reasonable to expect that a pre-trial will always result in the parties reaching agreement as to all matters specified in the rule,
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- It is nonetheless certain that by it, the court can always bring about the prompt disposition of the action:
(1) The simplification of issues; and
(2) Such other matters as may aid in the prompt disposition of the action
Good Faith is Required – the parties are obliged, not only to make formal identification and specification of the issues and of their proofs, but also and equally as peremptorily, to directly address and discuss with sincerity and candor and in entire good faith, each of the other subjects enumerated in Sec. 2, Rule 18 (Mercader v. DBP)
PART THREE: PROCEEDINGS AFTER TERMINATION OF PRE-TRIAL
SECTION 7 - Record of pre-trial.—The proceedings in the pretrial
shall be recorded. Upon the termination thereof, the court shall issue an order which shall recite in detail the matters taken up in the conference; the action taken thereon, the amendments allowed to the pleadings, and the agreements or admissions made by the parties as to any of the matters considered. Should the action proceed to trial, the order shall explicitly define and limit the issues to be tried. The contents of the order shall control the subsequent course of the action, unless modified before trial to prevent manifest injustice. (5a, R20)
Breakdown of Provision
A. The proceedings in the pre-trial shall be recorded
B. Upon termination, court shall issue an order which shall recite in detail:
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 as
to any of the matters considered
C. Should the action proceed to trial, order shall explicitly define and limit the issues to be tried
D. Contents of the order shall control the subsequent course of the action
1. Unless modified before trial to prevent manifest injustice
GENERAL RULE: The contents of the pre-trial order shall control the subsequent course of the action
UNLESS:
1. Modified before trial to prevent manifest injustice (Rule 18, Sec. 7)
2. Issues impliedly included therein or may be inferable therefrom by necessary implication (Velasco v. Apostol) 3. Amendment to conform to evidence (Rule 10, Sec. 5) A party is deemed to have waived the delimitations in a pre-trial order if he failed to object to the introduction of evidence on an issue outside of the pre-trial order, as well as in cross-examining the witness in regard to said evidence.
If trial is necessary, the judge shall fix the trial dates required to complete presentation of evidence by both parties within 90 days from date of initial hearing.
Note: After pre-trial conference, Judge should not fail to prepare and issue the requisite pre-trial order which shall embody the matters mentioned in Sec. 7
Specific Rules under the Guidelines
A. All proceedings during pre-trial shall be recorded 1. Transcripts prepared
2. Minutes signed by parties and/or their counsels B. The Trial Judge
1. Shall issue a Pre-Trial Order
a. Within 10 days after termination of pre-trial b. Order shall set forth:
(1) Actions taken during pre-trial conference (2) Facts stipulated
(3) Admissions made, evidence marked (4) Number of witnesses to be presented (5) Schedule of trial
c. Effect of Order:
(1) Shall bind the parties
(2) Limit the trial to matters not disposed of (3) Control the course of the action during trial d. Court may opt to dictate the Order in open court in
the presence of parties and their counsel and with the use of a computer,
(1) He shall have the same immediately finalized and printed
(2) Once finished, parties and/or their counsel shall sign the same to manifest conformity
2. Ask the parties to agree on specific trial dates for continuous trial in accordance with Circular No. 1-89, January 19, 2989
a. Adhere to the case flow chart determined by the court (1) Containing the different stages of the
proceedings up to promulgation of decision (2) Use the same time frame for each stage in setting
the trial dates
b. One-Day Examination of Witness Rule to be followed (1) A witness has to be fully examined in one day
only
(2) Rule shall be strictly adhered to
(3) Subject to the court’s discretion during trial on whether or not to extend the direct and/or cross-examination for justifiable reasons 3. On the last hearing day
a. On the last hearing day allotted for each party, party is required to make his formal offer of evidence after presentation of his last witness and opposing party is required to immediately interpose his objection thereto
b. Thereafter, judge shall make the ruling on the offer of evidence in open court
c. Judge has the discretion to allow the offer of evidence in writing in conformity with Sec. 35, Rule 132 Contents of Pre-Trial Order – Circular No. 1-89 specifically mandates that the pre-trial order shall include the following:
1. A statement of the nature of the case
2. The stipulations or admissions of the parties, including testimonial and documentary evidence
3. The issues involved: (1) factual and (2) legal 4. Number of witnesses; and
5. The dates of trial
A pre-trial order has the presumption of veracity and that the judge who issued it is presumed to have performed his duty regularly and faithfully, in the absence of competent proof to the contrary. (Lao v.
Maya)
Trial is Limited to Unresolved Issues
1. Pre-trial is primarily intended to make certain that all issues necessary to the disposition of a case are properly raised
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2. To obviate surprise, parties are expected to disclose at a pre-trial conference all issues of law and fact which they intend to raise at trial
Except as may involve privileged or impeaching matters
3. Determination of issues at pre-trial conference bars the consideration of other questions on appeal
4. Where the case proceeded to trial, with petitioners actively participating therein without raising their objections to the pre-trial, they are bound by the stipulations at the pre-trial (Macaraeg v. CA)
5. The petitioner should be bound by the delimitation of the issues during the pre-trial because he himself agreed to the same
6. An order allowing the presentation of unnamed witnesses may no longer be modified during trial, without the consent of parties affected (Tiu v. Middletown)
EXCEPTION:
One exception is prescription
As held in Gicano v. Gegato, trial courts have authority and discretion to dismiss an action on the ground of prescription when the parties’ pleadings or other facts of record show it to be indeed barred. What is essential only is that the facts demonstrating the lapse of the prescriptive period be otherwise sufficiently and satisfactorily apparent on the record either in the averments of the plaintiffs or otherwise established by evidence.
However, note the holding in Villanueva v. CA, wherein the SC held that the fact that the case proceeded to trial, with the petitioners actively participating without raising the necessary objection, all the more requires that they be bound by the stipulations they made at pre-trial. Petitioners were well aware that they raised the defense of prescription and laches since they included it in their answer. Their failure to include it in the pre-trial bars the defense.
Another exception is intertwined and intimately connected issues. As held in Jimmy Co v. CA, the question of delay, though not specifically mentioned as an issue at pre-trial may be tackled by the court considering that it is necessarily intertwined and intimately connected with the principal issue agreed upon the parties.
Another exception is Sec. 5, Rule 10 – Amendments to conform to evidence.
This section allows the trial of issues not raised in the pleadings but not objected to or tried with the express or implied consent of the parties, and permits an amendment of the pleadings to conform to the evidence
Issues Not Disposed by Voluntary Agreement of the Parties
1. Issues for trial must be limited to those not disposed of by admissions or agreement
2. The court has no discretion to exclude from trial issues not resolved by voluntary agreement between parties To Prevent Manifest Injustice
1. Rules are not applied with rigidity; to prevent manifest injustice, some exceptions are admitted
2. A pre-trial order is not meant to be a detailed catalogue of each and every issue that is to be or may be taken up during trial
Issues that are impliedly included therein or may be inferable therefrom by necessary implication included
3. The rule that admissions made by parties during a pre- trial conference and incorporated in pre-trial order are binding, is not without exception
“if, in order to prevent manifest injustice, the admissions made by parties during pre-trial were disregarded by lower court, we will not hold otherwise” (Sese v. IAC)
Preliminary Conference on Appeal
Under Rule 48, Rules of the Court of Appeals, at any time during the pendency of a case, the Division concerned may call the parties and their counsel to a preliminary conference:
1. To consider the possibility of an amicable settlement, except when the case is not allowed by law to be the subject of compromise
2. To define, simplify, and clarify issues for determination 3. To formulate stipulations of facts and admissions of
documentary exhibits, limit the number of witnesses to be presented in cases falling within the original jurisdiction of the Court or within its appellate jurisdiction, where a motion for new trial is granted on the ground of newly discovered evidence; and
4. To take up such other matters which may aid the court in the prompt disposition of the case
Procedure:
Proceedings in such conference shall be recorded Upon conclusion, resolution shall issue embodying all
actions taken, stipulations and admissions, issues Resolution shall control all subsequent proceedings
in the case, unless within 5 days from notice any party can satisfactorily show causes why the same should not be followed
Jurisprudence:
1. The amendment of a pre-trial order is addressed to the sound discretion of the court (Gotico v. Leyte)
2. Where the amount of back rentals to be paid by defendant is stated in the pre-trial order in the nature of a compromise agreement thereon, said pre-trial order in that sense has the force of res judicata on that issue (M&M
Management Aids, Inc. v. CA)