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Guidelines to be Observed in the Conduct of

Pre-Trial
From Legal Wiki
In A.M. No. 03-1-09-SC dated 13 July 2004, the Supreme Court approved the Guidelines to be Observed by Trial
Court Judges and Clerks of Court in the Conduct of Pre-Trial and Use of Deposition-Discovery Measures. The
Guidelines, referred to as Guidelines to be Observed in the Conduct of Pre-Trial under A.M. No. 11-6-10-SC,
took effect on August 16, 2004.
The SC recognized in A.M. No. 03-1-09-SC that the "use of pre-trial and the deposition-discovery measures are
undeniably important and vital components of case management in trial courts." The issuance of A.M. No.
03-1-09-SC is intended to abbreviate court proceedings, ensure prompt disposition of cases and decongest court
dockets, and to further implement the pre-trial guidelines laid down in Administrative Circular No. 3-99.

Contents
1 Civil Cases
1.1 Mandatory mediation
2 Criminal Cases
3 References

Civil Cases
1. Within one day from receipt of the complaint:[1]
1.1 Summons shall be prepared and shall contain a reminder to defendant to observe restraint in filing a motion to
dismiss and instead allege the grounds thereof as defenses in the Answer, in conformity with IBP-OCA
Memorandum on Policy Guidelines dated March 12, 2002. A copy of the summons is hereto attached as Annex
"A;" and
1.2 The court shall issue an order requiring the parties to avail of interrogatories to parties under Rule 25 and
request for admission by adverse party under Rule 26 or at their discretion make use of depositions under Rule 23
or other measures under Rules 27 and 28 within five days from the filing of the answer. A copy of the order shall
be served upon the defendant together with the summons and upon the plaintiff.

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Within five (5) days from date of filing of the reply,[2] the plaintiff must promptly move ex parte that the case be
set for pre-trial conference.[3] If the plaintiff fails to file said motion within the given period, the Branch COC
shall issue a notice of pre-trial.
2. The parties shall submit, at least three (3) days before the pre-trial, pre-trial briefs containing the following:[4]
a. A statement of their willingness to enter into an amicable settlement indicating the desired terms thereof or to
submit the case to any of the alternative modes of dispute resolution;
b. A summary of admitted facts and proposed stipulation of facts;
c. The issues to be tried or resolved;
d. The 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);
e. A manifestation of their having availed or their intention to avail themselves of discovery procedures or referral
to commissioners; and
f. The number and names of the witnesses, the substance of their testimonies, and the approximate number of
hours that will be required by the parties for the presentation of their respective witnesses.
A copy of the Notice of Pre-trial Conference is hereto attached as Annex "B."
The rule on the contents of the pre-trial brief must strictly be complied with.
The parties are bound by the representations and statements in their respective pre-trial briefs.

Mandatory mediation
3. At the start of the pre-trial conference, the judge shall immediately refer the parties and/or their counsel if
authorized by their clients to the PMC mediation unit for purposes of mediation if available.5 [5] If mediation
fails, the judge will schedule the continuance of the pre-trial conference. Before the continuance, the Judge may
refer the case to the Branch COC for a preliminary conference to assist the parties in reaching a settlement, to
mark the documents or exhibits to be presented by the parties and copies thereof to be attached to the records
after comparison and to consider such other matters as may aid in its prompt disposition.[6]
During the preliminary conference, the Branch COC shall also ascertain from the parties the undisputed facts and
admissions on the genuineness and due execution of the documents marked as exhibits. The proceedings during
.the preliminary conference shall be recorded in the "Minutes of Preliminary Conference" to be signed by both
parties and/or counsel, the form of which is hereto attached as Annex. "C".
The minutes of preliminary conference and the exhibits shall be attached by the Branch COC to the case record
before the pre-trial.
4. Before the continuation of the pre-trial conference, the judge must study all the pleadings of the case, and
determine the issues thereof and the respective positions of the parties thereon to enable him to intelligently steer
the parties toward a possible amicable settlement of the case, or, at the very least, to help reduce and limit the
issues. The judge should not allow the termination of pre-trial simply because of the manifestation of the parties
that they cannot settle the case. He should expose the parties to the advantages of pre-trial. He must also be

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mindful that there are other important aspects of the pre-trial that ought to be taken up to expedite the disposition
of the case.[7]
The Judge with all tact, patience, impartiality and with due regard to the rights of the parties shall endeavor to
persuade them to arrive at a settlement of the dispute.[8] The court shall initially ask the parties and their lawyers
if an amicable settlement of the case is possible. If not, the judge may confer with the parties with the opposing
counsel to consider the following:
a. Given the evidence of the plaintiff presented in his pre-trial brief to support his claim, what manner of
compromise is considered acceptable to the defendant at the present stage?
b. Given the evidence of the defendant described in his pre-trial brief to support his defense, what manner of
compromise is considered acceptable to the plaintiff at the present stage?
If not successful, the court shall confer with the party and his counsel separately.
If the manner of compromise is not acceptable, the judge shall confer with the parties without their counsel for the
same purpose of settlement.
5. If all efforts to settle fail, the trial judge shall:
a. Adopt the minutes of preliminary conference as part of the pre-trial proceedings and confirm markings of
exhibits or substituted photocopies and admissions on the genuineness and due execution of documents;
b. Inquire if there are cases arising out of the same facts pending before other courts and order its consolidation if
warranted;
c. Inquire if the pleadings are in order. If not, order the amendments if necessary;
d. Inquire if interlocutory issues are involved and resolve the same;
e. Consider the adding or dropping of parties;
f. Scrutinize every single allegation of the complaint, answer and other pleadings and attachments thereto and the
contents of documents and all other evidence identified and pre-marked during pre-trial in determining further
admissions of facts and documents. To obtain admissions, the Court shall ask the parties to submit the depositions
taken under Rule 23, the answers to written interrogatories under Rule 25 and the answers to request for
admissions by the adverse party under Rule 26. It may also require the production of documents or things
requested by a party under Rule 27 and the results of the physical and mental examination of persons under Rule
28;
g. Define and simplify the factual and legal issues arising from the pleadings. Uncontroverted issues and frivolous
claims or defenses should be eliminated. For each factual issue, the parties/counsel shall state all the evidence to
support their positions thereon. For each legal issue, parties/counsel shall state the applicable law and
jurisprudence supporting their respective positions thereon. If only legal issues are presented, the judge shall
require the parties to submit their respective memoranda and the court can proceed to render judgment;[9]
h. Determine the propriety of rendering a summary judgment dismissing the case based on the disclosures made at
the pre-trial or a judgment based on the pleadings, evidence identified and admissions made during pre-trial;[10]
i. Ask parties to agree on the specific trial dates for continuous trial in accordance with Circular No. 1-89 dated
January 19, 1989; adhere to the case flow chart determined by the court, which shall contain the different stages

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of the proceedings up to the promulgation of the decision and use the time frame for each stage in setting the trial
dates. The One-Day Examination of Witness Rule, that is, a witness has to be fully examined in one (1) day only,
shall be strictly adhered to subject to the courts' discretion during trial on whether or not to extend the direct
and/or cross-examination for justifiable reasons. On the last hearing day allotted for each party, he is required to
make his formal offer of evidence after the presentation of his last witness and the opposing party is required to
immediately interpose his objection thereto. Thereafter, the Judge shall make the ruling on the offer of evidence in
open court. However the judge has the discretion to allow the offer of evidence in writing in conformity with
Section 35, Rule 132;
j. Determine the most important witnesses to be heard and limit the number of witnesses (Most Important Witness
Rule). The facts to be proven by each witness and the approximate number of hours per witness shall be fixed;
k. At his discretion, order the parties to use the affidavits of witnesses as direct testimonies subject to the right to
object to inadmissible portions thereof and to the right of cross-examination by the other party. The affidavits shall
be based on personal knowledge, shall set forth facts as would be admissible in evidence, and shall show
affirmatively that the affiant is competent to testify to the matters stated therein. The affidavits shall be in
question and answer form, and shall comply with the rules on admissibility of evidence;
l. Require the parties and/or counsel to submit to the Branch COC the names, addresses and contact numbers of
the witnesses to be summoned by subpoena;
m. Order the delegation of the reception of evidence to the Branch COC under Rule 30; and
n. Refer the case to a trial by commissioner under Rule 32.
During the pre-trial, the judge shall be the one to ask questions on issues raised therein and all questions or
comments by counsel or parties must be directed to the judge to avoid hostilities between the parties.
6. The trial judge shall schedule the pre-trial in the afternoon sessions and set as many pre-trial conferences as
may be necessary.
7. All proceedings during the pre-trial shall be recorded. The minutes of each pre-trial conference shall contain
matters taken up therein more particularly admissions of facts and exhibits and shall be signed by the parties and
their counsel.
8. The judge shall issue the required Pre-Trial Order within ten (10) days after the termination of the pre-trial. Said
Order shall bind the parties, limit the trial to matters not disposed of and control the course of the action during
the trial. A sample Pre-Trial Order is hereto attached as Annex "D."
However, the Court may opt to dictate the Pre-Trial Order in open court in the presence of the parties and their
counsel and with the use of a computer, shall have the same immediately finalized and printed. Once finished, the
parties and/or their counsel shall sign the same to manifest their conformity thereto.
9. The court shall endeavor to make the parties agree to an equitable compromise or settlement at any stage of the
proceedings before rendition of judgment.

Criminal Cases
B. Criminal Cases

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1. Before arraignment, the Court shall issue an order directing the public prosecutor to submit the record of the
preliminary investigation to the Branch COC for the latter to attach the same to the record of the criminal case.
Where the accused is under preventive detention, his case shall be raffled and its records transmitted to the judge
to whom the case was raffled within three days from the filing of the complaint or information. The accused shall
be arraigned within ten days from the date of the raffle. The pre-trial of his case shall be held within ten days after
arraignment unless a shorter period is provided for by law.[11]
2. After the arraignment, the court shall forthwith set the pre-trial conference within thirty days from the date of
arraignment, and issue an order: (a) requiring the private offended party to appear thereat for purposes of
plea-bargaining except for violations of the Comprehensive Dangerous Drugs Act of 2002, and for other matters
requiring his presence;[12] (b) referring the case to the Branch COC, if warranted, for a preliminary conference to
be set at least three days prior to the pre-trial to mark the documents or exhibits to be presented by the parties and
copies thereof to be attached to the records after comparison and to consider other matters as may aid in its
prompt disposition; and (c) informing the parties that no evidence shall be allowed to be presented and offered
during the trial other than those identified and marked during the pre-trial except when allowed by the court for
good cause shown. A copy of the order is hereto attached as Annex "E". In mediatable cases, the judge shall refer
the parties and their counsel to the PMC unit for purposes of mediation if available.
3. During the preliminary conference, the Branch COC shall assist the parties in reaching a settlement of the civil
aspect of the case, mark the documents to be presented as exhibits and copies thereof attached to the records
after comparison, ascertain from the parties the undisputed facts and admissions on the genuineness and due
execution of documents marked as exhibits and consider such other matters as may aid in the prompt disposition
of the case. The proceedings during the preliminary conference shall be recorded in the Minutes of Preliminary
Conference to be signed by both parties and counsel. (Please see Annex "B")
The Minutes of Preliminary Conference and the exhibits shall be attached by the Branch COC to the case record
before the pre-trial.
4. Before the pre-trial conference the judge must study the allegations of the information, the statements in the
affidavits of witnesses and other documentary evidence which form part of the record of the preliminary
investigation.
5. During the pre-trial, except for violations of the Comprehensive Dangerous Drugs Act of 2002, the trial judge
shall consider plea-bargaining arrangements.[13]3 Where the prosecution and the offended party agree to the plea
offered by the accused, the court shall:
a. Issue an order which contains the plea bargaining arrived at;
b. Proceed to receive evidence on the civil aspect of the case; and
c. Render and promulgate judgment of conviction, including the civil liability or damages duly established by the
evidence.[14]
6. When plea bargaining fails, the Court shall:
a. Adopt the minutes of preliminary conference as part of the pre-trial proceedings, confirm markings of exhibits
or substituted photocopies and admissions on the genuineness and due execution of documents and list object and
testimonial evidence;
b. Scrutinize every allegation of the information and the statements in the affidavits and other documents which

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form part of the record of the preliminary investigation and other documents identified and marked as exhibits in
determining farther admissions of facts, documents and in particular as to the following:[15]
1. the identity of the accused;
2. court's territorial jurisdiction relative to the offense/s charged;
3. qualification of expert witness/es;
4. amount of damages;
5. genuineness and due execution of documents;
6. the cause of death or injury, in proper cases;
7. adoption of any evidence presented during the preliminary investigation;
8. disclosure of defenses of alibi, insanity, self-defense, exercise of public authority and justifying or exempting
circumstances; and
9. such other matters that would limit the facts in issue.
c. Define factual and legal issues;
d. Ask parties to agree on the specific trial dates and adhere to the flow chart determined by the court which shall
contain the time frames for the different stages of the proceeding up to promulgation of decision and use the time
frame for each stage in setting the trial dates;
e. Require the parties to submit to the Branch COC the names, addresses and contact numbers of witnesses that
need to be summoned by subpoena;[16] and
f. Consider modification of order of trial if the accused admits the charge but interposes a lawful defense.
7. During the pre-trial, the judge shall be the one to ask questions on issues raised therein and all questions must
be directed to him to avoid hostilities between parties.
8. All agreements or admissions made or entered during the pre-trial conference shall be reduced in writing and
signed by the accused and counsel, otherwise, they cannot be used against the accused. The agreements covering
the matters referred to in Section 1 of Rule 118 shall be approved by the court.
9. All proceedings during the pre-trial shall be recorded, the transcripts prepared and the minutes signed by the
parties and/or their counsels.
10. The trial judge shall issue a Pre-trial Order within ten (10) days after the termination of the pre-trial setting
forth the actions taken during the pre-trial conference, the facts stipulated, the admissions made, evidence
marked, the number of witnesses to be presented and the schedule of trial. Said Order shall bind the parties, limit
the trial to matters not disposed of and control the course the action during the trial.[17]
Encl:
Annex "A" - Summons
Annex "B" - Notice of Pre-trial Conference in Civil Cases

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Annex "C" - Minutes of Preliminary Conference

Annex "D" - Pre-trial Order in Civil Cases
Annex "E" - Notice of Pre-trial Conference in Criminal Cases

References
1. Par. I(A)(1) Guidelines to be Observed in the Conduct of Pre-Trial
2. Guidelines to be Observed in the Conduct of Pre-Trial, citing Administrative Circular No. 3-99 dated 15
January 1999
3. Guidelines to be Observed in the Conduct of Pre-Trial, citing Sec. 1, Rule 18, 1997 Rules of Civil
Procedure
4. Guidelines to be Observed in the Conduct of Pre-Trial, citing Sec. 6, Rule 18, 1997 Rules of Civil
Procedure
5. Guidelines to be Observed in the Conduct of Pre-Trial, citing the Issuances of the Court in A.M. No.
01-10-5-SC-PHILJA dated October 16, 2001, Administrative Circular No. 20-2002 dated April 24, 2002
and A.M. No. 04-3-15-SC-PHILJA dated March 23, 2004 relative to the use of Alternative Dispute
Resolution in Pre-Trial, particularly, on court-annexed mediation shall continue to apply in proceedings
before pilot courts in Metro Manila, Cebu and Davao
6. Guidelines to be Observed in the Conduct of Pre-Trial, citing Vol. I, 2002 Revised Manual for Clerks of
Court, pp. 234-244
7. Guidelines to be Observed in the Conduct of Pre-Trial, citing Administrative Circular No. 3-99 dated 15
January 1999
8. Guidelines to be Observed in the Conduct of Pre-Trial, citing Administrative Circular No. 3-99 dated 15
January 1999
9. Guidelines to be Observed in the Conduct of Pre-Trial, citing Administrative Circular No. 3-99 dated 15
January 1999
10. Guidelines to be Observed in the Conduct of Pre-Trial, citing Administrative Circular No. 3-99 dated 15
January 1999
11. Guidelines to be Observed in the Conduct of Pre-Trial, citing Sec. 1, Rule 116, Revised Rules of Criminal
Procedure, as amended
12. Guidelines to be Observed in the Conduct of Pre-Trial, citing Sec. 1, Rule 118
13. Guidelines to be Observed in the Conduct of Pre-Trial, citing Bellosillo, J., Effective Pre-trial Technique,
pp. 4-42
14. Guidelines to be Observed in the Conduct of Pre-Trial, citing Bellosillo, J., Effective Pre-trial Technique,
pp. 4-42
15. Guidelines to be Observed in the Conduct of Pre-Trial, citing Bellosillo, J., Effective Pre-trial Technique,
pp. 4-42
16. Guidelines to be Observed in the Conduct of Pre-Trial, citing Bellosillo, J., Effective Pre-trial Technique,
pp. 4-42
17. Guidelines to be Observed in the Conduct of Pre-Trial, citing Bellosillo, Effective Pre-trial Technique,
1990, p. 622, Sec. 7, Rule 18, 1997 Rules of Civil Procedure and Sec. 4, Rule 118, Revised Rules of
Criminal Procedure
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