COMPLAINT: IMPORTANCE, PARTS, VERIFICATION, NON-FORUM SHOPPING CERTIFICATION

THE IMPORTANCE OF A COMPLAINT

A Complaint is the most important pleading in litigation. It initiates a case, which is why it is called an initiatory pleading. Moreover, it dictates the way a case will proceed because the Complaint shows you the following:

In the title and caption of the Complaint, you will see the:

• Judicial region in which the court sits
• Court which has jurisdiction over the case
• Venue where the case is filed
• Name of the Plaintiff
• Name of the Defendant
• Designation of either the cause of action or relief sought.

In the first two or three paragraphs, you will see:

• The name and address of the Plaintiff, and whether the Plaintiff is an individual, a partnership or a corporation;
• The name and address of the Defendant, and whether the latter is an individual, a partnership or a corporation

These names and addresses are important because, in personal actions, the choice of venue depends on the place where the residence of Plaintiff is located, or where the residence of Defendant is located, at the option of Plaintiff. 

If the case is filed in another place, there is an improper venue, unless the parties have made a valid written stipulation on a different venue prior to the filing of the case. This is discussed in a different post on venue.

In the body of the Complaint, you will see the allegations of facts through which the Plaintiff seeks to establish his/her cause of action. The latter part of the body will state the evidence that Plaintiff will submit. The body will end with a prayer or a statement of the reliefs sought. The lawyer's signature will be followed by a Verification and a Certification of Non-Forum Shopping which we will discuss in detail later in this post.

Since the Plaintiff (really, the Plaintiff's lawyer) is the one who prepares the Complaint, it is the Plaintiff who decides who the parties will be, where the case will be filed, what the cause of action is, what evidence will be presented, and what reliefs are sought. In this sense, the Complaint is the most important pleading.


COMPLAINT AND SUBJECT MATTER JURISDICTION

When you draft a Complaint, you should be careful to indicate the court which has the proper subject matter jurisdiction over your case. As stated, this is indicated in the caption of the Complaint. You will indicate if the Complaint is to be filed in the MTC or RTC based on the provisions of the law on subject matter jurisdiction.

Remember that your choice of subject matter jurisdiction must be correct because if a case is filed in a court that has no subject matter jurisdiction, your case can be dismissed at any time during the proceedings either upon motion of the Defendant or by the court motu proprio. Lack of jurisdiction over the subject matter is one of four grounds for dismissal that can be raised at any time.

Although subject matter jurisdiction is conferred by law, it is determined by the allegations of the Complaint. To reiterate, it is the Complaint that determines subject matter jurisdiction. The Answer does not do so.

To illustrate this concept more concretely, if the Complaint is for unlawful detainer, the MTC has subject matter jurisdiction. An action for unlawful detainer can be filed by a landlord who leased out a piece of real property, but the lessee continued to stay despite the termination of the lease contract.

Suppose the lessee, as Defendant, claims in his Answer that he owns the real property, in an attempt to prove that the case is not for unlawful detainer and that the issue involves ownership of the property. Defendant insists that the RTC, not the MTC, has subject matter jurisdiction given the assessed value of the property. He now files a motion to dismiss the case for lack of subject matter jurisdiction. Will this prosper?

The answer is no. The reason is that the allegations of the Complaint (not the Answer) determine the subject matter jurisdiction.


BODY OF THE COMPLAINT

The body of the Complaint should contain the following:

• Statement of the names and circumstances of the parties
• Statement of the facts constituting the cause of action
• Legal basis
• Factual basis (Evidence)
• Witnesses
• Documentary evidence
• Real evidence
• Attachments

For details, refer to Rules 7 and 8 of the Rules of Court.


STATEMENT OF THE NAMES 

AND CIRCUMSTANCES OF 

THE PARTIES

Typically, this will appear in the first couple of paragraphs of the Complaint. For the Plaintiff, a sample allegation is as follows if the Plaintiff is an individual:

"1. Plaintiff is Filipino, of legal age, single, and residing at 54321 Macopa Street, Frutas Village, Sampaloc, Manila."

If the Plaintiff is a corporation, here is a sample allegation:

"1. Plaintiff is a domestic corporation organized under Philippine laws with principal address at 54321 Macopa Street, Frutas Village, Sampaloc, Manila."

The next paragraph will provide the allegations about the Defendant. If he is an individual, it would be as follows:

"2. Defendant is Filipino, of legal age, single, and with residential address at 987 Kalye Onse, Black Jack Village, Sampaloc, Manila where he may be served with summons and other processes of the Honorable Court."

If it is a corporation, the allegation would be:

"2. Defendant is a domestic corporation organized under Philippine laws with principal address at 987 Kalye Onse, Black Jack Village, Sampaloc, Manila where it may be served with summons and other processes of the Honorable Court."

Note that these allegations would enable anyone to determine if the Complaint has been filed in the proper venue if it is a transitory action.

STATEMENT OF THE FACTS

CONSTITUTING THE CAUSE

OF ACTION

The next paragraphs should state FACTS that present the cause of action of the Plaintiff. 

Again, let us go back to the elements of a cause of action. Make sure that in reciting the facts, you are able to show that each element is present - the Plaintiff's right, the Defendant's obligation, and the violation committed by Defendant resulting in damage or injury to Plaintiff. It is important that the factual basis of each element be STATED in clear terms. Do not rely on implications.

The best way to present the facts is in chronological order. It should show a clear and logical story, starting with how Plaintiff's right was acquired or recognized, what Defendant did to violate the right, and what injury Plaintiff incurred because of the violation. The chronological order makes it easier for the judge and the parties to process the story.

Naturally, the story should end with the effects of the violation --- injury and damage, costs and expenses incurred by the Plaintiff.

This will be followed by the relief sought: what remedies does the Plaintiff seek to restore him as close as possible to his position before the violation? This will entail indemnity for damages or payment of a sum of money, interests, costs, and attorney's fees.

STATEMENT OF THE LEGAL BASIS

Rule 8, Section 1 states:

Section 1. In general. — Every pleading shall contain in a methodical and logical form, a plain, concise and direct statement of the ultimate facts, including the evidence on which the party pleading relies for his or her claim or defense, as the case may be.

If a cause of action or defense relied on is based on law, the pertinent provisions thereof and their applicability to him or her shall be clearly and concisely stated. (1a)

You should state the legal basis of your claim, in such a case.

FACTUAL BASIS: DOCUMENTARY

AND REAL EVIDENCE

Remember, I told you that every case deals only with two types of issues: legal and factual. Legal issues are resolved by a resort to the applicable laws. Factual issues are resolved by a study of the available evidence.

Therefore, in your Complaint, you are required to lay down the factual basis of your claim. Rule 7, Section 6 requireS you to include the following in your Complaint:

Section 6. Contents. — Every pleading stating a party’s claims or defenses shall, in addition to those mandated by Section 2, Rule 7, state the following:

(a)Names of witnesses who will be presented to prove a party’s claim or defense;

(b)Summary of the witnesses’ intended testimonies, provided that the judicial affidavits of said witnesses shall be attached to the pleading and form an integral part thereof. Only witnesses whose judicial affidavits are attached to the pleading shall be presented by the parties during trial. Except if a party presents meritorious reasons as basis for the admission of additional witnesses, no other witness or affidavit shall be heard or admitted by the court; and

(c)Documentary and object evidence in support of the allegations contained in the pleading. (n)

PRAYER, LAWYER'S SIGNATURE,

VERIFICATION, AND CERTIFICATION 

OF NON-FORUM SHOPPING

Prayer; reliefs sought

The prayer in the Complaint tells the court what reliefs  the Plaintiff is seeking.  The reliefs must be specific because these tell the court exactly what the Plaintiff should prove by evidence. These also serve as the basis for computing the filing fee. 

According to the Supreme Court, "the court’s grant of relief is limited only to what has been prayed for in the Complaint or related thereto, supported by evidence, and covered by the party’s cause of action." (Leticia Diona versus Romeo A. Balangue, et al, GR No. 173559, January 7, 2013)

Plaintiff may include a general prayer for "such other reliefs as may be just and equitable in the premises." The Supreme Court stated that "Certainly, a general prayer for "other reliefs just and equitable" appearing on a complaint or pleading (a petition in this case) normally enables the court to award reliefs supported by the complaint or other pleadings, by the facts admitted at the trial, and by the evidence adduced by the parties, even if these reliefs are not specifically prayed for in the complaint." (Ramon K.Ilusorio versus Sylvia K. Ilusorio, GR No. 210475)


Lawyer's signature

The lawyer's signature on a pleading is valuable and carries with it certain ethical commitments. Rule 7, Section 3 states:

Section 3. Signature and address. — 

(a) Every pleading and other written submissions to the court must be signed by the party or counsel representing him or her.

(b) The signature of counsel constitutes a certificate by him or her that he or she has read the pleading and document; that to the best of his or her knowledge, information, and belief, formed after an inquiry reasonable under the circumstances:

(1)It is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation;

(2)The claims, defenses, and other legal contentions are warranted by existing law or jurisprudence, or by a non-frivolous argument for extending, modifying, or reversing existing jurisprudence;

(3)The factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after availment of the modes of discovery under these rules; and

(4) The denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information.

(c) If the court determines, on motion or motu proprio and after notice and hearing, that this rule has been violated, it may impose an appropriate sanction or refer such violation to the proper office for disciplinary action, on any attorney, law firm, or party that violated the rule, or is responsible for the violation. Absent exceptional circumstances, a law firm shall be held jointly and severally liable for a violation committed by its partner, associate, or employee. The sanction may include, but shall not be limited to, non-monetary directive or sanction; an order to pay a penalty in court; or, if imposed on motion and warranted for effective deterrence, an order directing payment to the movant of part or all of the reasonable attorney’s fees and other expenses directly resulting from the violation, including attorney’s fees for the filing of the motion for sanction. The lawyer or law firm cannot pass on the monetary penalty to the client. (3a)

Take note of the sanctions and disciplinary action that may be imposed upon the lawyer and law firm for violations of these commitments. Note also that these violations may be committed not only by the lawyers but also by non-lawyer employees of the firm. Lastly, if a monetary penalty is imposed on the lawyer or the law firm, they cannot pass this on to the client.

Verification and certification 

of non-forum shopping

These are different parts of the pleading, governed by Sections 4 and 5 of Rule 7. However, sometimes, the lawyer combines these.

The verification should be under oath. It is signed by Plaintiff or his/her representative. 

There are two situations when a representative may sign. One is when the Plaintiff is not available, as when he is out of the country. The other is when the Plaintiff is a juridical person such as a partnership or a corporation. The authorization of the representative is proven by a special power of attorney or a secretary's certificate which should be attached to the Complaint.

This signature of the Plaintiff/representative also carries certain commitments specified in Section 4, and which should be alleged in the verification itself:

(a)The allegations in the pleading are true and correct based on his or her personal knowledge, or based on authentic documents;

(b)The pleading is not filed to harass, cause unnecessary delay, or needlessly increase the cost of litigation; and

(c)The factual allegations therein have evidentiary support or, if specifically so identified, will likewise have evidentiary support after a reasonable opportunity for discovery.

The signature of the affiant shall further serve as a certification of the truthfulness of the allegations in the pleading.

A pleading required to be verified that contains a verification based on “information and belief,” or upon “knowledge, information and belief,” or lacks a proper verification, shall be treated as an unsigned pleading. (4a)

The significance of an oath (verification) is that if it turns out that the allegations are not true, the person who signed it can be held criminally liable for perjury.

Perjury is penalized under Article 183 of the Revised Penal Code:

 

"Article 183. False testimony in other cases and perjury in solemn affirmation. - The penalty of prision mayor in its minimum period shall be imposed upon any person who, knowingly making untruthful statements and not being included in the provisions of the next preceding articles, shall testify under oath, or make an affidavit, upon any material matter before a competent person authorized to administer an oath in cases in which the law so requires.

Any person who, in case of a solemn affirmation made in lieu of an oath, shall commit any of the falsehoods mentioned in this and the three preceding articles of this section, shall suffer the respective penalties provided therein: Provided, That is the person responsible for the commission of this felony is a public officer or employee, the penalty shall be imposed in its maximum period: Provided, finally, That the offender shall also suffer a fine not to exceed One million pesos (P1,000,000.00) and perpetual absolute disqualification from holding any appointive or elective position in the government or in any agency, entity, or instrumentality thereof."

 The Certification of Non-Forum Shopping is governed by Section 5 which states:

Section 5. Certification against forum shopping. — The plaintiff or principal party shall certify under oath in the complaint or other initiatory pleading asserting a claim for relief, or in a sworn certification annexed thereto and simultaneously filed therewith:

(a) that he or she has not theretofore commenced any action or filed any claim involving the same issues in any court, tribunal or quasi-judicial agency and, to the best of his or her knowledge, no such other action or claim is pending therein;

(b) if there is such other pending action or claim, a complete statement of the present status thereof; and

(c) if he or she should thereafter learn that the same or similar action or claim has been filed or is pending, he or she shall report that fact within five (5) calendar days therefrom to the court wherein his or her aforesaid complaint or initiatory pleading has been filed.

The rules also provide that:

The authorization of the affiant to act on behalf of a party, whether in the form of a secretary's certificate or a special power of attorney, should be attached to the pleading.

Failure to comply with the foregoing requirements shall not be curable by mere amendment of the complaint or other initiatory pleading but shall be cause for the dismissal of the case without prejudice, unless otherwise provided, upon motion and after hearing. The submission of a false certification or non-compliance with any of the undertakings therein shall constitute indirect contempt of court, without prejudice to the corresponding administrative and criminal actions. If the acts of the party or his [or her] counsel clearly constitute willful and deliberate forum shopping, the same shall be ground for summary dismissal with prejudice and shall constitute direct contempt, as well as a cause for administrative sanctions.