Title
Lucas vs. Lucas
Case
G.R. No. 190710
Decision Date
Jun 6, 2011
Petitioner sought to establish filiation, claiming paternity by respondent. SC reversed CA, reinstated RTC orders, ruled jurisdiction valid, prima facie case unnecessary initially, DNA testing discretionary, petition sufficient for trial.
jurisdiction
trial court
discretionary nature

Case Summary (G.R. No. 190710)

Factual Background

Petitioner alleged that his mother, Elsie Uy, had a consensual intimate relationship with respondent in Manila in the late 1960s, resulting in petitioner’s birth on March 11, 1969. Petitioner’s certificate of live birth did not name his father, but petitioner averred that his mother later told him that respondent was his father. Respondent allegedly provided financial support for about two years but later the relationship ended and Elsie raised petitioner alone. Petitioner attached to his petition his birth and baptismal certificates, educational credentials, and newspaper clippings attesting to his public persona as a musical prodigy.

Initiation of the Case and Early Proceedings

On July 26, 2007, petitioner filed a Petition to Establish Illegitimate Filiation with Motion for the Submission of Parties to DNA Testing before the RTC. The RTC, finding the petition sufficient in form and substance, issued an order on September 3, 2007 setting the case for hearing, directing publication for three consecutive weeks, and furnishing the petition and order to the Solicitor General. Respondent was not personally served but learned of the petition, secured a copy, and filed a Special Appearance and Comment on September 4, 2007 asserting lack of summons, contesting the adversarial form of the petition, and objecting to publication on grounds of confidentiality.

RTC Dismissal for Failure to Establish Prima Facie Case

Acting on respondent’s motion for reconsideration, the RTC issued an Order on July 30, 2008 dismissing the petition for failure to establish the four so-called procedural aspects of a traditional paternity action articulated in Herrera v. Alba, namely: prima facie case, affirmative defenses, presumption of legitimacy, and physical resemblance. The RTC held that petitioner had not shown a prima facie case because the mother’s declarations were not of petitioner’s personal knowledge, the birth certificate did not bear respondent’s signature, and mere use of respondent’s surname did not show that petitioner was treated as respondent’s child. The RTC therefore denied the motion for DNA testing and dismissed the case without prejudice.

RTC Reconsideration and Order Setting the Case for Hearing

Petitioner filed a timely motion for reconsideration. The RTC granted reconsideration and, by Order dated October 20, 2008, set the petition for hearing on January 22, 2009, finding the petition sufficient in form and substance under Section 1, Rule 8 of the Rules of Court and emphasizing that questions as to the personal knowledge of allegations and admissibility of DNA evidence were evidentiary matters for trial. The RTC denied respondent’s subsequent motion for reconsideration on January 19, 2009 and proceeded to reschedule hearings.

Court of Appeals Proceedings and Decision

Respondent filed a petition for certiorari with the Court of Appeals. On September 25, 2009, the CA granted the petition, reversed and set aside the RTC Orders dated October 20, 2008 and January 19, 2009, and dismissed the case. The CA concluded that the RTC lacked jurisdiction over respondent because no summons had been served and respondent’s special appearance was not a voluntary submission to jurisdiction. The CA further held that a DNA testing order ought not to be issued where the petitioner failed to establish a prima facie case, warning that unconditional availability of DNA testing would encourage harassment and extortion. The CA denied petitioner’s motion for reconsideration on December 17, 2009.

Issues Presented in the Petition for Review

In the petition for review on certiorari to the Supreme Court petitioner raised multiple issues, including whether the CA exceeded its jurisdiction by ruling on lack of personal jurisdiction where that issue was not presented, whether respondent had voluntarily submitted to the RTC’s jurisdiction, whether the caption or the body of the pleading controls the form of an adversarial petition, whether the CA erred in dismissing the petition because of petitioner’s motion for DNA testing, whether DNA testing can be ordered only after a prior prima facie showing, and whether the CA misapplied Herrera v. Alba concerning the four procedural aspects of paternity actions.

Parties’ Contentions on Jurisdiction and Form

Petitioner argued that the CA should not have entertained the jurisdictional question, that respondent had voluntarily submitted to the RTC’s jurisdiction by filing motions seeking affirmative relief, and that the petition’s body sufficiently identified respondent and his address despite the caption. Petitioner also asserted that the motion for DNA testing was not a ground for dismissal and that Section 4 of the Rule on DNA Evidence does not require prior proof of filiation. Respondent reiterated the CA’s grounds, insisted he had not waived service of summons, and maintained that the petition was deficient in form and substance.

Interlocutory Nature of the Orders and Scope of Certiorari

The Supreme Court noted that the assailed RTC orders were interlocutory orders denying respondent’s motion to dismiss and that, as a general rule, denial of a motion to dismiss is not subject to certiorari unless tainted by grave abuse of discretion amounting to lack or excess of jurisdiction. The Court found no grave abuse of discretion in the RTC’s denial of the motion to dismiss and focused instead on the controlling question whether service of summons was jurisdictional in the particular nature of the action filed.

Nature of the Action: In Rem Character of a Petition to Establish Filiation

The Court examined the nature of the petition and concluded that a petition to establish illegitimate filiation is an action in rem. The Court reiterated the distinction among actions in personam, in rem, and quasi in rem and explained that in an in rem proceeding jurisdiction over the person of a named individual is not a prerequisite to confer jurisdiction so long as the court has jurisdiction over the res. The Court held that the filing of the petition, together with the statutorily directed publication, vested the RTC with jurisdiction over the case.

Notice, Publication, and Adversarial Character

The Court explained that publication in an in rem proceeding constitutes notice to the world and satisfies the requirement of an adversarial proceeding by giving legal warning and opportunity to contest to interested parties. The Court found that the trial court’s orders directing publication and furnishing copies to the Solicitor General sufficiently afforded respondent an opportunity to oppose the petition and thereby satisfied due process requirements, rendering the lack of personal service nonjurisdictional in this context. The Court also held that the petition was adversarial in substance despite a caption that did not name a defendant.

Sufficiency of the Petition and the Motion to Dismiss Standard

Addressing respondent’s contention that the petition was defective because allegations were hearsay, the Court reiterated the settled rule governing motions to dismiss for failure to state a cause of action: the court confines its inquiry to the four corners of the complaint and must hypothetically admit the truth of the facts alleged. The Court held that the petition met Section 1, Rule 8’s requirement of a plain, concise, and direct statement of ultimate facts and that questions of veracity and evidentiary sufficiency are to be resolved at trial.

The Rule on DNA Evidence and Section 4 Requirements

The Court examined the Rule on DNA Evidence and emphasized its purpose to prescribe parameters for reliable DNA testing and to prevent misuse. It set out the requisites of Section 4 of the Rule on DNA Evidence, which permits the appropriate court, motu proprio or upon application of a person with legal interest, to order DNA testing after due hearing and notice upon a showing that: (a) a biological sample exists that is relevant to the case; (b) the sa

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