CRIM.

1: Introduction to Criminology and Psychology of Crimes

CRIMINOLOGY

- According to Edwin H. Sutherland, “criminology is the entire body of knowledge regarding crime as a social
phenomenon. It includes within its scope the process of making of laws, of breaking of laws, and the society’s reaction
towards the breaking of laws.”
- A body of knowledge regarding crimes, criminals and the efforts of society to prevent and repress them.
- The scientific study of the causes of crime in relation to man and society who sets and define rules and regulations for
himself and others to govern.

Other Definitions

- Criminology explores the etiology (origin), extent, and nature of crime in society. It is concerned with identifying the
nature, extent, and cause of crime.
- Criminology is an interdisciplinary science that gathers and analyzes data on various aspects of criminal, delinquent,
and general anti-social behavior.
- It also refers to the scientific study of crimes, criminals, and victims. It also deals with the prevention, and solution of
crimes. (R.A. 11131)

SOCIOLOGICAL CRIMINOLOGY – the study of crime focused on the group of people and society as a whole. It is
primarily based on the examination of the relationship of demographic an d group variables to crime. Variables such
as socio-economic status, interpersonal relationships, age, race, gender, and cultural groups of people are probed in
relation to the environmental factors that are most conducive to criminal action, such as time, place, and circumstances
surrounding the crime.

R.A. 6506 – “An Act Creating the Board of Examiners for Criminologists in the Philippines and for other purposes”.

R.A. 11131 – “An Act Regulating the Practice of Criminology Profession in the Philippines, and Appropriating Funds
therefor, repealing for the purpose R.A. 6506 otherwise known as “An Act Creating the Board of Examiners for
Criminologists in the Philippines”.

- Also known as “The Philippine Criminology Profession Act of 2018”

R.A. 10912 – “An Act Mandating and Strengthening the Continuing Professional Development Program for All
Regulated Professions, Creating Continuing Professional Development Council, and Appropriating Funds Therefor, and
for Other Related Purposes”
Also known as "Continuing Professional Development Act of 2016".

Professional Criminologist Association of the Philippines (PCAP)

The legitimate organization of Criminologists recognized by the Professional Regulation Commission.

Philippine Educators Association for Criminology Education (PEACE)

Created on January 13-25, 1983; primarily its role is to professionalize criminology education in the context of national
development.

Registered Criminologist

- any person who is a graduate of the Degree of Criminology, who has passed the examination for criminologists and is
registered as such by the Board of Examiners of the Professional Regulation Commission (PRC). (R.A. 6506)

- Refers to a natural person who holds a valid certificate of registration and an updated professional identification card
as criminologist issued by the Board and the Commission pursuant to R.A. 11131.

Origin of the word “Criminology”

Etymologically, the term criminology came from the Latin word “crimen” meaning crime and Greek word “Logos”
which means “to study”.

In 1885, Rafael Garofalo, an Italian Law Professor coined the term “criminologia”.

In 1889, Paul Topinard, French Anthropologist, used the term criminology in French “criminologie” for the first time.

Sociology – It is the mother discipline of Criminology. It is the study of human society, its origin, structure, functions
and direction.

Principal Divisions of Criminology

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 1. Etiology of Crimes/ Criminal Etiology – the scientific analysis of the causes of crimes and the criminal
behavior.

- An attempt at scientific analysis of the cause of crime.

2. Sociology of Law – refers to the investigation of the nature of criminal law and its administration.

- An attempt at scientific analysis of the conditions under which criminal laws has developed as a process of
formal or social control.

3. Penology – the study of the control of crimes and the rehabilitation of offender

- It is a division of criminology which deals with punishment of crime and jail management.
- Concerned with crime control by repressing criminal activities through fear of punishment.

Some other authors suggest that CRIMINALISTICS is another branch of division or branch of criminology.
CRIMINALISTICS - the sum total application of entire science in crime detection. The profession and scientific
discipline directed to the recognition, identification, individualization, and evaluation of physical evidence by application
of the physical and natural sciences to law-sciences matters

CRIMINALIST – An individual who is trained in science of application of instruments and methods to the detection of
crime.

Is criminology a science?

According to George Wilker, criminology cannot become a science because it has not yet acquired universal
validity. Edwin H. Sutherland, the “Dean of Modern Criminology”, hoped that it will become a science in the future
since the causes of crimes are almost the same which may be biological, environmental or combination of the two.

GEORGE L. WILKER – A criminologist who in his manuscript “The Scientific Adequacy of Criminological Concept”
argued that criminology cannot possibly become a science. Accordingly, general proposition of universal validity is the
essence of science.

WHO IS EDWIN SUTHERLAND?

➢ Author of the “Differential Association Theory Note: DAT proposed that criminal behavior is a product of learning
process through socialization with other people that possess criminal behavior.
➢ Coined the phrase “White Collar Crime” Note: WCC – these are crimes which are committed by people belonging to
higher social or economic status. Sometimes called as economic crime, financial crime or crime of the upper-world.
➢ Comprehensively defined “Criminology”
➢ Considered as the Dean of Modern Criminology
➢ Father or Pioneer of American Criminology

Edwin Sutherland is clear on explaining that criminology focuses on studying crime as something or an event that
could be considered as a social phenomenon or something that can happen in a repetitive manner. Sutherland also
pointed that criminology not only deals with understanding the nature of criminal laws that exists in our society but
also with understanding the reasons why people despite of existing laws still break and violate laws. Finally, Sutherland
suggested in his definition of criminology that this study must also give attention to the proper punishment or penalty
to prevent and repress crime and criminal behavior.

Nature of Criminology

1. It is an applied science because criminology as a body of knowledge has already established universally accepted
principles and concepts used by other fields of study. It is the use of sciences in the practice of criminology. The process
is called “Instrumentation”.

2. It is a social science because it studies crime as a social phenomenon. Crime is a social problem which has a great
impact to society. Crime is a social creation and it exists in a society being a social phenomenon.

3. It is dynamic because the concepts of criminology and its applications adapt to the changing time. Criminology
changes as a social condition change. It is concomitant with the advancement of other sciences that have been applied
to it.

4. It is nationalistic because the study of criminology takes into consideration the history, culture and social norms
and the laws of the country. Each country has its own sets of laws and crimes are defined by the laws of the country.
The study of crimes must be in relation with the existing criminal law within a territory or country. The question as to
whether an act is a crime is dependent on the criminal law of a state.

Scope in the Study of Criminology

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 1. Study of the origin and development of criminal law

2. Study of the causes of crimes and development of criminals

3. Study of other sciences that examine criminal behavior using scientific methods such as:

Criminal Demography – the study of the relationship between criminality and population.

Note: RAWSON W. RAWSON - utilized crime statistics to suggest a link between population density and crime
rates with crowded cities creating an environment conducive for crime.

Criminal Epidemiology – the study of the relationship between environment (milieu) and criminality.

Note: HENRY MAYHEW - used empirical methods and an ethnographic method to address social questions and
poverty.

Criminal Ecology – the study of criminality in relation to the spatial distribution in a community.

Criminal Physical Anthropology – the study of criminality in relation to physical constitution of men.

Criminal Psychology – the study of human behavior in relation to criminality.

Criminal Psychiatry – the study of human mind in relation to criminality.

Criminal Politics – An integrated approach to the study of organized crime, politics, and violence. It is also a science
consisting of principles with which the State organizes its fight against criminality. The bases are knowledge of criminal
law, criminality, penalties and other measures of social defense.

- A science consisting of principles with which the Government organizes its fight against criminality. The bases are
knowledge of criminal law, of criminality, penalties and other measures of social defense.

Victimology – the study of the role of the victim in the commission of a crime.

VICTIMOLOGY defined

Victimology (victima – “fear”) is the study about victims of crime. It is a branch of

criminology that deals purely on the underlying factors of victimization and the contributory
role of the victims in the commission of crimes.

Victimology, being the study of “crime targets”, showed that a person becomes a
victim of crime consciously (knowingly) and unconsciously (unknowingly). A person could
become a victim due to his own action or fault. He somehow contributes to the commission
of crime because of his own making.

Criminal victims could be key actors in the criminal justice process, but more often
they are kept at the discussion. The victim of crime often becomes the FORGOTTEN PERSON
of the criminal justice system while the criminal is the celebrity. Victims are only valued for
their capacity to report crimes and to appear in court as witnesses.

Typology of Criminal Victims

General Classes of Victims

(Based on the classification of Hans Von Hentig, a European lawyer)
1. The Young – the weak by virtue of age and immaturity
2. The Female – often less physically powerful and easily dominated by males.
3. The Old – the incapable of physical defense and the common object of confidence
scheme.
4. The Mentally Defective – those that are unable to think clearly.
5. The Immigrant – those that are unsure of the rules of conduct in the surrounding
society.
6. The Minorities – racial prejudice may lead to victimization or unequal treatment by the
agency of justice.

Psychological Types of Victims

1. The Depressed –submissive person by virtue of emotional condition
2. The Acquisitive or Greedy – person who wants more than what is sufficient makes a
natural victim of crime
3. The Wanton or Overly Sensual – person ruled by passion and thoughtlessly seeking
pleasure
4. The Lonesome – person who eventually becomes a victim by virtue of wanting

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 companionship or affection
5. The Heartbroken – one who is emotionally disturbed by virtue of heartaches and pains
6. The Tormented – a victim who asked for it, often from his own family or friends

BENJAMIN MENDELSOHN – often referred to as the 'FATHER OF VICTIMOLOGY'. His major contributions were
arguably the term 'general victimology' and a typology of crime victims

Benjamin Mendelsohn is generally credited as the initiator of the word VICTIMOLOGY as well as the concept
of PENAL COUPLE. Penal Couple is a term that describes the relationship between the victim and the criminal. He also
coined the term VICTIMAL to describe the victim counterpart of the criminal and the word VICTIMITY which signifies
the opposite of criminality.

Another class of victim is the ‘LOSER’ or one who is initially the attacker but later, the
situation is reversed. An example could be the case of a mugger or a bully who ends up
injured or a swindler becomes swindled.

Dynamics of Victimization

There are a number of procedural models which can be applied to the study of the
victimization process for the purpose of understanding the experience of the victims.

1. “Victims of Crime Model” (by Bard and Sangrey). According to this model, there are three stages involved in any
victimization:

a. Stage of Impact & Disorganization – stage during and immediately following the criminal event
b. Stage of Recoil – stage during which the victim formulates psychological defenses and deals with conflicting
emotions of guilt, anger, acceptance, and desire of revenge (said to last three to eight months),
c. Reorganization Stage – stage during which the victim puts his or her life back to normal daily living. Some victims,
however may not successfully adopt the victimization experience and a maladaptive reorganization stage may last for
many years.

2. “Disaster Victim’s Model” – this model was developed to explain the coping behavior of
victims of natural disaster. According to this model, there are four stages of victimization:
a. Pre-impact - stage describe the victim’s condition prior to being victimized.
b. Impact - the stage at which victimization occur.
c. Post-impact - stage which entails the degree and duration of personal and social disorganization following
victimization.
d. Behavioral outcome – stage that describes the victim’s adjustment to the victimization experience

Factors of Victimization
1. Hedonism
2. Materialistic Culture
3. Sex Values
4. Decay of Discipline
5. Public Morality

Victimology & Damages

“If there is a complainant, there must be a defendant.” Thus, there could never be a
victim if there is no offender, except in what is known as victimless crimes.

The only thing that does away with criminality is decriminalization. This is otherwise
known as LOGOMACY. Logomacy is a statement that we have no crime if we had no
criminal law, and that we could eliminate all crime by abolishing all criminal laws.

Man has a juridical capacity and capacity to act. He is normally entitled to the
following civil damages.

1. Moral Damages – the compensation awarded to a person’s physical suffering,

mental anguish, fright, serious anxiety, besmirched reputation, wounded feelings,
moral shock, social humiliation, and similar injury.
2. Actual or Compensatory Damages – the compensation awarded to a person for
such pecuniary loss suffered by him as he has duly proved
3. Nominal Damages – amount awarded to a victim in order that his right that had
been violated or invaded maybe restored or recognized
4. Temperate Damages – moderate damages; the compensation that is more than
nominal but less than compensatory damages given to a person when the court
finds that he has suffered some pecuniary loss, but its amount cannot, from the
nature of the case, be proved with certainty
5. Liquidated Damages – damages that agreed upon by the parties to a contract to be
paid in case of BREACH OF CONTRACT
6. Exemplary Damages – corrective damages; those that imposed by way of example
or correction for the public good, in addition to the moral, temperate, liquidated or

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 compensatory damages

WHY MUST MEMBERS OF SOCIETY INTERESTED IN CRIME?

➢ CRIME IS PERVASIVE – nearly all participants of a free society are once upon a time a victim of an offender of a
criminal act. Criminal as an associate of society affects almost all people regardless of age, sex, race, nationality,
religion, financial condition, education and other personal circumstances.
➢ CRIME IS EXPENSIVE – the government and private sector use an enormous amount of currency for crime detection,
prosecution correction and prevention. Those expenses are either:
➢ CRIME IS DESTRUCTIVE – many lives have been vanished because of crimes like murder, homicide and other
violent deaths. Properties have been lost or devastated on account of robbery, theft and arson.
➢ CRIME IS REFLECTIVE – crime rate or incidence in a given locality is reflecting of the efficiency of the social defenses
employed by the people primarily that of the police system.
➢ CRIME IS PROGRESSIVE – the progressive upsurge in the volume of crime is on account of the ever-increasing
population. The ever-increasing crime rate and their technique show the progress thinking of the society for
advancement.

SCHOOLS OF THOUGHT IN CRIMINOLOGY

School of Thought – refers to a group of beliefs or ideas that supports a specific theory.

3 Main Schools of Thought

1. Classical School

2. Positivist School

3. Chicago School

Theory – set of statements devised to explain behavior, events or phenomenon especially one that has been
repeatedly tested and widely accepted.

THREE (3) TYPES OF EXPLANATIONS TO THE EXISTENCE OF CRIMINAL BEHAVIOR (S-E-M-I)

1. SINGLE/UNITARY THEORY – contends that crime is produced by one factor. It may be biological, sociological,
or psychological.
2. MULTIPLE FACTOR THEORY – views that crime is not a product of a single cause or factor but a combination of
several factors.
3. ECLECTIC THEORY – That crime stemmed by one or more factors while in other instances it is caused by
another set of factors.
4. INTEGRATED THEORY – A theory that combines two or more theories to generate a single model or framework.

1. DEMONOLOGICAL THEORY - asserts that a person commits wrongful acts due to the fact that he was possessed
by demons.

2. CLASSICAL SCHOOL OF CRIMINOLOGY

The classical school of criminology grew out of a reaction against the barbaric system of law, punishment and
justice that existed. There was no real system of criminal justice in Europe at that time. Some crimes were specified,
some were not. Judges had discretionary power to convict a person for an act not even legally defined as criminal.

This school of thought is based on the assumption that individuals choose to commit crimes after weighing the
consequences of their actions. According to classical criminologists, individuals have “free will. They can choose legal
or illegal means to get what they want; fear of punishment can deter them from committing a crime and society can
control behavior by making the pain of punishment greater than the pleasure of criminal gains.

This theory, however, does not give any distinction between an adult and a minor or a mentally-handicapped in as
far as free will is concerned. Founders of classical school of criminology are Cesare Beccaria and Jeremy Bentham.

Cesare Beccaria (Cesare Bonesana Marchese di Beccaria) (1738-1794)

- He is best known for his essay, “On Crimes and Punishment” which presented key ideas on the abolition of torture
as a legitimate means of extracting confession.
- His book contains almost all modern penal reforms but its greatest contribution was the foundation it laid for
subsequent changes in criminal legislation.
- His book was influential in the reforms of Penal Code in France, Russia, Prussia and it influenced the first ten
amendments in the US Constitution

Beccaria believed that:

a. people want to achieve pleasure and avoid pain.

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 b. crime provides some pleasure to the criminal.

c. to deter crime, he believed that one must administer pain in an appropriate amount to counterbalance the pleasure
obtained from committing a crime.

d. Famous in sayings “Let the punishment fit the crime”

HIGHLIGHTS OF CESARE BECCARIA’S IDEAS REGARDING CRIMES AND THE CRIMINAL JUSTICE SYSTEM

1. In forming a human society, men and women sacrifice a portion of their liberty so as to enjoy peace and security.
2. Punishments that go beyond the need of preserving the public safety are in their nature unjust.
3. Criminal laws must be clear and certain. Judges must make uniform judgments in similar crimes.
4. The law must specify the degree of evidence that will justify the detention of an accused offender prior to his trial.
5. Accusations must be public. False accusations should be severely punished.
6. To torture accused offenders to obtain a confession is inadmissible.
7. The promptitude of punishment is one of the most effective curbs on crimes.
8. The aim of punishment can only be to prevent the criminal from committing new crimes against his countrymen,
and to keep others from doing likewise. Punishments, therefore, and the method of inflicting them, should be chosen
in due proportion to the crime, so as to make the most lasting impression on the minds of men.
9. Capital punishment is inefficacious and its place should be substituted by life imprisonment.
10. It is better to prevent crimes than to punish them. That is the chief purpose of all good legislation.

Jeremy Bentham (1748-1832)

- His contribution to classical school of criminology is the concept of utilitarianism and the felicific calculus.
- He proposed “Utilitarian Hedonism” which explains that person always acts in such a way to seek pleasure and
avoid pain.
- He founded the concept of UTILITARIANISM – assumes that all our actions are calculated in accordance with
their likelihood of bringing pleasure and pain.
- He devised the pseudo-mathematical formula called “felicific calculus” which states that individuals are human
calculators who put all the factors into an equation in order to decide whether a particular crime is worth committing
or not.
- He reasoned that in order to deter individuals from committing crimes, the punishment or pain must be greater
than the satisfaction or pleasure he would gain from committing the crime

Utilitarianism
– It is a philosophy which argues that what is right is the one that would cause the greatest good for the
greatest number of people.
- Others refer to it as the greatest happiness principle or the principle of utility.
- From this principle, Bentham formulated the “felicific calculus”.

Felicific Calculus or the “pleasure and pain principle” – It is a theory that proposes that individuals calculate the
consequences of his actions by weighing the pleasure (gain) and the pain (suffering) he would derive from doing the
action.

MODERN OUTGROWTHS OF CLASSICAL SCHOOL

Rational Choice Theory, Routine Activities Theory, General Deterrence Theory, Specific Deterrence, Incapacitation

DETERRENCE - the prevention of a certain act or acts (such as a crime) through fear of punishment.

A. GENERAL DETERRENCE - A crime control policy that hinges on the fear of criminal penalties. General deterrence
measures, such as long prison sentences for violent crimes, are aimed at convincing the potential law violator that the
pains associated with crime outweigh its benefits.
B. SPECIFIC DETERRENCE - A crime control policy proposing that punishment be severe enough to convince
convicted offenders never to repeat their criminal activity.

THREE (3) CHARACTERISTICS OF AN EFECTIVE DETTERENT (CE- SE – CE)

1. CELERITY OR SWIFTNESS - the rapidity with which punishment follows a crime.

2. SEVERITY - the complexity or unpleasantness of a sanction.
3. CERTAINTY - the likelihood that a crime will be detected and punished.

Rational Choice Theory by William Glasser

- It states that individuals use rational calculations to make rational choices and achieve outcomes that are aligned
with their own personal objectives. These results are also associated with an individual’s best, self-interests.

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 - It is also known as Choice Theory or Rational Action Theory. It is a framework for understanding and often
formally modeling social and economic behavior.

Routine Activity Theory by Marcus Felson and Laurence E. Cohen

- It emphasizes that crime occurs when three elements converge: (1) a motivated offender; (2) a suitable target;
and (3) the absence of a capable guardian. This theory includes the routine activities of both offender and victim. It is
a sub-field of crime opportunity theory that focuses on situations of crimes. In this theory “opportunity and vulnerability”
are the reasons of crime.

3. NEOCLASSICAL CRIMINOLOGY
This theory modified the doctrine of free will by stating that free will of men may be affected by other factors and crime
is committed due to some compelling reasons that prevail. These causes are pathology, incompetence, insanity or any
condition that will make it impossible for the individual to exercise free will entirely. In the study of legal provisions,
this is termed as either mitigating or exempting circumstances.

4. POSITIVIST SCHOOL OF CRIMINOLOGY

- The term “positivism” refers to a method of analysis based on the collection of observable scientific facts.
- Positivists believe that causes of behavior can be measured and observed.
- It demands for facts and scientific proof, thus, changing the study of crimes and criminals into scientific approach.
- Positive theorists were the first to claim the importance of looking at individuals’ differences among criminals. These
theorists who concentrated on the individual structures of persons stated that people are passive and controlled whose
behaviors are imposed upon them by biological and environmental factors.

Behavioral Theory

- The human actions are developed through learning experiences rather than focus on unconscious personality traits
and cognitive development patterns produced early in childhood.

Evolutionary Theory by Charles Darwin

- The behavior is genetic and passed down from one generation to the next through evolutionary process of natural
selection and survival.
- This theory of evolution by natural selection is first formulated in Darwin`s book “On the Origin of Species” in 1859.
It is the process by which organism changes over time as a result of changes in heritable physical or behavioral traits.

August Comte

- He was a French philosopher and sociologist and is believed to be the one who reinvented the French term
sociologie.

- He was recognized as the “Father of Sociology and Positivism”.

THE (UN) HOLY THREE (3) OF CRIMINOLOGY

1. Cesare Lombroso
2. Enricco Ferri
3. Raffaelle Garofalo

EZCHIA MARCO “CESARE” LOMBROSO/ Cesare Lombroso

- He is recognized as the “Father of Modern and Empirical Criminology” due to his application of modern
scientific methods to trace criminal behavior. However, most of his ideas are now discredited.

- Known for the concept of atavistic stigmata (the physical features of creatures at an earlier stage of
development).

- he claimed that criminals are distinguishable from non-criminals due to the presence of atavistic stigmata and crimes
committed by those who are born with certain recognizable heredity traits.

- According to his theory, criminals are usually in possession of huge jaws and strong canine teeth; the arm
span of criminals is often greater than their height just like that of apes who use their forearms to push themselves
along the ground.

- Other physical stigmata include deviation in head size and shape; asymmetry of the face; excessive
dimensions of the jaw and cheekbones; eye defects and peculiarities; ears of unusual size; nose twisted; upturned or
flattened in thieves; or aquiline or beaklike in murderers, fleshy lips, swollen and protruding, and pouches in the cheek
like those of animals’ toes.

- Lombroso’s work supported the idea that a criminal is a biologically and physically inferior person.

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 ATAVISM - The return of a trait or reappearance of previous behavior after a period of absence.
ATAVISTIC ANOMALY - physically, their resemblances on the evolutionary scale to more primitive times where
people were savages.

- According to him, there are four (4) classes of criminals:

a. Born Criminals – individuals with at least five (5) atavistic stigmata.

b. Insane Criminals – those who became criminals because of some brain defects which affected their ability to
understand and differentiate what is right from what is wrong.

c. Criminaloids - those with makeup of an ambiguous group that include habitual criminals, criminals by passion and
other diverse types.

d. PSEUDO-CRIMINALS - those criminals who committed a felonious act due to self-defense.

Enricco Ferri

- He focused his study on the influences of psychological factors and sociological factors such as economics on
crimes.
- He believed that criminals could not be held morally responsible because they did not choose to commit crimes but
rather were driven to commit crimes by conditions of their lives.
- Advocated the “Theory of Imputability and the Denial of the Free Will” in 1878.

Raffaelle Garofallo

- He treated the roots of the criminals’ behavior not to physical features but to their psychology equivalent which he
referred to as moral anomalies.
- He rejected the doctrine of freewill.
- Classified criminals as Murderers, Violent Criminals, Deficient Criminals, and Lascivious Criminals.

- Classified criminals as:

1. MURDERERS – motivated by revenge
2. VIOLENT CRIMINALS – committed violent crimes
3. DEFICIENT CRIMINALS – committed crimes against properties
4. LASCIVIOUS CRIMINALS – committed crimes against chastity and other sexual crimes.

THEORIES OF CRIME CAUSATION

1.BIOLOGICAL THEORIES
- These refer to the set of theories that point to physical, physiological and other natural factors as the causes for
the commission of crimes of certain individuals.
- These explain the existence of criminal traits associates an individual’s evil disposition to physical disfigurement or
impairment.

a. Physiognomy – It is the study of facial features and their relation to human behavior.

1. Giambatista dela Porta

- He is the founder of human physiognomy

- According to him, criminal behavior may be predicted based on facial features of a person.

2. Johann Kaspar Lavater

- He supported the belief of dela Porta

- He believed that a person’s character is revealed through his facial characteristics.

b. Phrenology, Craniology or Cranioscopy – It is the study of the external formation of the skull in relation to the
person’s personality and tendencies toward criminal behavior.

1. Franz Joseph Gall

- He developed cranioscopy which was later renamed as phrenology.

2. Johann Kaspar Spurzheim

- He was an assistant of Gall in the study of phrenology.

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 - He was the man most responsible for popularizing and spreading phrenology to a wide audience.
3. EARNEST HOOTON (1887 - 1954)
- Tall thin men tend to commit forgery and fraud;
- Undersized men are thieves and burglars;
- Short heavy person commits assault, rape and other sex crimes
- Whereas mediocre (average) physique flounder around among other crimes.
- He also contended that criminals are originally inferior and that crime is the result of the impact of environment.

c. Physiology or Somatotype – It refers to the study of body build of a person in relation to his temperament and
personality and the type of offense he is most prone to commit.
1. Ernst Kretschmer
- He distinguished three (3) principal types of physiques: asthenic, athletic, pyknik and dysplastic.
a. Asthenic – characterized as thin, small and weak.
b. Athletic – muscular and strong.
c. Pyknic – stout, round and fat.
d. Dysplastic – combination of two body types

2. William Herbert Sheldon

formulated his own group of somatotypes: ectomorph, mesomorph and endomorph.
a. Ectomorph – tall and thin; less social and more intellectual than the other types. Relative pre- dominance of skin
and its appendages which includes the nervous system; it has fragile and delicate bones; with droopy shoulders, small
face and sharp nose, fine hair.
Cerebrotonic – an introvert which is prone to allergies, skin troubles, chronic fatigue, insomnia, sensitive skin and
sensitive to noise and with relatively small body.

b. Mesomorph – has well-developed muscles and an athletic appearance, with relative predominance of muscles,
bones and motor organs of the body with large wrist and hands.
Romotonic – active, dynamic; walks, talks and gestures assertively and behaves aggressively.

c. Endomorph – heavy build and slow moving; relatively large digestive viscera; round body; short tapering limbs;
bones; smooth, velvety skin.
Viscerotonic – generally relaxed and comfortable small person, loves luxury and essentially extrovert.

Heredity – It is the transmission of traits from parents to offspring.

KARYOTYPE STUDIES - examination and comparison of chromosomes.

Nature Theory (Henry Goddard, William Healy, Augusta Bronner)

- It argues that intelligence is largely determined genetically; that ancestry determines I.Q.; and that low intelligence
as demonstrated by low I.Q., is linked to criminal behavior.

Nurture Theory

- It refers to all the environmental variables that impact who we are including our early childhood experiences; how
we were raised; our social relationships; and our surrounding culture.
- It assumes that correlations between environmental factors and psychological outcomes are caused
environmentally. For example, how much parents read with their children and how well children learn to read, it appears
to be related. People select, modify and create environments correlated with their genetic disposition.

1. Richard Louis Dugdale

- He conducted a study of the Jukes family by researching their family tree as far back 200 years. He discovered that
most of the ascendants of the Jukes were criminals.
2. Henry Goddard
- He traced the descendants of the Martin Kallikak from each of his two wives and found a distinct difference in terms
of quality of lives of his descendants. He coined the term “moron”.
3. Charles Goring
- He believed that criminal traits can be passed from parents to offspring through the genes.
- He proposed that individuals who possess criminal characteristics should be prohibited from having children.
4. FRANCIS GALTON – He developed “EUGENICS” or the science of improving a human population by controlled
breeding to increase the occurrence of desirable heritable characteristics. Developed largely as a method of improving
the human race.
5. Schulsinger (1972)
- He found criminality in adoptive boys to be higher when biological fathers had criminal records.
6. Hutchings and Mednick (1977)

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 - They studied 1,145 male adoptees with criminal records and found the criminality of the biological father was a major
predictor of the child`s behavior.
7. Sir Jonathan Edwards
- He was a famous preacher during colonial period. His family tree was traced, none of the descendants was found to
be criminal. Out of his pedigree many became Presidents of the United States, Governor, Members of the Supreme
Court, famous writers, preachers and teachers.

Bio-Chemical

- Crime, especially violent, is a function of diet, vitamin intake, hormonal imbalance, or food allergies.
a. Katharina Dalton’s study of “Menstruation and Crime” found that nearly half of the crimes of her sample of
female inmates had occurred during menstruation or pre-menstruation. This is called as “Pre-Menstrual Syndrome”.
b. In Schauss’ study comparing nutritional differences of delinquents and non-delinquents, the surprising major
difference found was that delinquents drank more milk.
c. Low blood sugar (HYPOGLYCEMIA) also has been claimed to be linked to impaired brain function and violent crime.

HYPOGLYCEMIA – a condition that occurs when the level of blood sugar falls below an acceptable range.

3. PSYCHOLOGICAL THEORIES
- refer to the theories that attribute criminal behavior of individuals to psychological factors such as emotion and mental
problems.

PSYCHOLOGY – the science of behavior and mental processes of the criminal. It is focused on the individual criminal
behavior-how it is acquired, evoked, maintained and modified. Both the environmental and personality influences are
considered, along with the mental processes that mediate the behavior.

CRIMINAL PSYCHO-DYNAMICS – The study of mental processes of criminals in action, the study of the genesis,
development and motivation of human behavior that conflicts with accepted norms and standards of society. This study
concentrates on the study of individuals as opposed to general studies of mass populations with respect to their general
criminal behavior.

COMMON TYPES OF INSANITY

a. DEMENTIA PRAECOX - A collective term for mental disorders that begin at or shortly after puberty and usually
lead to general failure of the mental faculties with the corresponding physiological impairment. Also known as
Schizophrenia.
b. MANIC DEPRESSIVE (characterized by mania and mental depression)
c. PARALYSIS – condition of helpless inactivity or of inability to act.
d. SENILE – mental deterioration often accompanying old age (Dementia and Alzheimer’s Disease).

ALIENIST – This term is applied to a specialist in the study of mental disorders.

HALLUCINATION – An apparent or false perception without any corresponding external object, especially in
psychiatry, any of the numerous sensations, auditory, visual or tactile experienced without external stimulus and caused
by mental derangement, intoxication or fever hence, may be a sign of approaching insanity.

DELUSION – A false belief; an idiosyncratic belief or impression that is firmly maintained despite being contradicted
by what is generally accepted as reality or rational argument; typically, a symptom of mental disorder.

ATTENTION DEFICIT HYPERACTIVITY DISORDER (ADHD) - A psychological disorder in which a child shows
developmentally inappropriate impulsivity, hyperactivity, and lack of attention.

CLASSES OF MENTAL DEFICIENCY

❖ IDIOTS – person whose case there exist mental defectiveness of such a degree that they are unable to guard
themselves against common physical dangers. Their mentality is compared to a two years old person.
❖ IMBECILES – persons in whose case there exist mental defectiveness which thought not amounting to idiocy, is
yet so pronounced that they are incapable of managing themselves or their affairs. Their mentality is like a child of 2
to 7 years old.
❖ FEEBLE-MINDED PERSONS – those in whose case there exist mental defectiveness which thought not amounting
to imbecility, is yet so pronounced that they require care, supervision and control for their own or for the protection of
others, or in the case of children, they appear to be permanently incapable by reason of such defectiveness or receiving
proper benefit from the intrusion in ordinary schools.
❖ MORAL DEFECTIVENESS – person wherein defect exists coupled with strong vicious or criminal propensities, and
who require care and supervision, and control for their own or for the protection of others.

INTELLIGENCE AS A FACTOR IN CRIMINALITY

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 The classic studies of the Juke and Kallikak families were among the first to show that feeblemindedness or low-
intelligence can be inherited and transferred from one generation to the next. Numerous tests were also conducted
that lead to the development of the use of IQ tests as a testing procedure for offenders. The very first results seemed
to confirm that offenders had low mental abilities and they were found to be mentally impaired.

ALFRED BINET – a French psychologist who developed the first IQ test.

- The test measured the capacity of individual children to perform tasks or solve problems in relation to the
average capacity of their peers.

ALBERT ADLER (1870- 1937) = founder of individual psychology and coined the term “inferiority complex”; people
who have feelings of inferiority as children and spend the rest of their lives trying to conpensate for those feelings.

ERIK ERIKSON (1902-1984) = described the so called “identity crisis”; a psychological state in which youth face
inner turmoil and uncertainty about life roles.

AUGUST AICHHORN - is considered to be one of the founders of psychoanalytic education. He is remembered for
his work with juvenile delinquent and disadvantaged youth. He believed that imposed discipline and suppression which
were practiced in traditional reformatories yielded few positive results.

a. Sigmund Freud

- He is recognized as the FATHER OF PSYCHOANALYSIS.

- He is known for his psychoanalytic theory.
- According to him, criminality is caused by the imbalance of the three (3) components of personality: the id, the ego,
and the superego.
- According to him there are three parts of personality:

1. ID – this stands for instinctual drives. It is governed by the “pleasure principle”. The id impulses are not social and
must be repressed or adapted so that they may become socially acceptable.

2. EGO – this is considered to be the sensible and responsible part of an individual’s personality and is governed by
the “reality principle”. It is developed early in life and compensate for the demands of the id by helping the individual
guide his actions to remain within the boundaries of accepted social behavior; it is the objective, rational part of the
personality.

3. SUPEREGO – serves as the moral conscience of an individual. It is structured by what values were taught by the
parents, the school and the community as well as belief in God. It is largely responsible for making a person follow the
moral codes of society.

PSYCHOSEXUAL STAGES OF HUMAN DEVELOPMENT

EROS – The most basic human drive present at birth (the instinct to preserve and create life); expressed sexually.

Oral Stage – Usually during the first year of life when the child attains pleasure by sucking and biting (Birth to 1 st
year).

Anal Stage – Focus on the elimination of bodily wastes during the second and third years of life (1 to 3 years old).

Phallic Stage – During the third year when child focuses their attention on their genitals (3rd to 6th year).

Oedipus Complex – A stage of development when male begins to have sexual feelings for their mother.

Electra Complex – A stage of development when girls begin to have sexual feelings for their fathers.

Latency - Begins at age 6; feelings of sexuality are expressed until the genital stage begins at puberty. This marks
the beginning of adult sexuality (6th year to puberty).

Genital - This is the last stage of Freud's psychosexual theory of personality development and begins in puberty. It is
a time of adolescent sexual experimentation, the successful resolution of which is settling down in a loving one-to-one
relationship with another person in our 20's. Sexual instinct is directed to heterosexual pleasure, rather than self-
pleasure like during the phallic stage (Puberty to Adulthood).

Fixated Person – It exhibits behavior traits characteristics of those encountered during infantile sexual development
e.g., an infant who does not receive enough oral gratification during the first year of life if likely as an adult engage in
such oral behavior as smoking, drinking, or drug abuse and others.

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 PSYCHOPATHY OR ANTI-SOCIAL PERSONALITY
- Personality that is characterized by an inability to learn from experience, lack of warmth and no sense of guilt.
- Referred to as “manie sans delire” or madness without confusion by the French physician Philippe Pinel
- Called as “moral insanity” by James Prichard
- Referred to “irresistible atavistic impulses” by Gina Lombroso-Ferrero

Psychopaths (Sociologists call them “sociopaths”)

1. Characterized by no sense of guilt;

2. No subjective conscience;
3. No sense of right and wrong;
4. They have difficulty in forming relationships with other people; and
5. They cannot relate to other people.

ISAAC RAY (1807-1881) - Questioned whether people who were morally insane could be held legally responsible for
their acts.

CYRIL BURT - gave the theory of general emotionality. An excess of the submissive instinct account for tendency of
many criminals to be weak-willed or easily led. Fear and absconding may be due to the impulse of fear.

SOCIOLOGICAL THEORIES

- Sociological factors refer to things, places and people with whom we come in contact with and which play a part in
determining our actions and conduct. These causes may bring about the development of criminal behavior.

SOCIOLOGY – the study of crime focused on the group of people and society as a whole. It is primarily based on the
examination of the relationship of demographic and group variables to crime. Variables such as socio-economic status,
interpersonal relationships, age, race, gender, and cultural groups of people are probed in relation to the environmental
factors that are most conducive to criminal action, such as time, place, and circumstances surrounding the crime.

SOCIOLOGICAL FACTORS - refer to things, places and people with whom we come in contact with and which play
a part in determining our actions and conduct. These causes may bring about the development of criminal behavior

ANOMIE (B – A – N) - is a condition in which society provides little moral guidance to individuals. This is characterized
by breakdown of social order, absence of social norms and normlessness.

NOTE: LOGOMACY – A statement that we would have no crime if we have no criminal laws and that we could eliminate
all crime merely by abolishing all criminal laws.

a. David Emile Durkheim or Emile Durkheim

- He stated that crime is a normal part of the society just like birth and death.

- He proposed the concept of “anomie” or the absence of social norms. It is characterized by disorder due to lack of
common values shared by individuals lack of respect for authority, lack of appreciation for what is acceptable and not
acceptable in a society and lack of social regulations in modern societies.

b. Gabriel Tarde

- He introduced the theory of imitation which proposes the process by which people become criminals.

- According to this theory, individuals imitate the behavior of other individuals based on the degree of their association
with other individuals and it is inferior or weak who tend to imitate the superior and strong.

SUGGESTO-IMITATIVE ASSAULTS - A term coined by Gabriel Tarde to describe crime in terms of imitative behavior.
As part of a general theory of crime it depicts crime as socially learned behavior which propagates through society via
both the media and interpersonal communication.

COPYCAT CRIME - A copycat crime is a criminal act that is modeled or inspired by a previous crime that has been
reported in the media or described in fiction.

c. Adolphe Quetelet and Andre Michael Guerry

- He repudiated the free will doctrine of the classicists.
- He is a founder of cartographic school of criminology.
- He is a founder of moral statistics.
- First Scientific Criminologist
- Father of Modern Sociological and Psychological Statistics

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 - Thermic Law (Temperature and Crime)
- Cartographic school of criminology made use of statistical data such as population, age, gender, occupation, religious
affiliations and social economic status and studies their influences and relationship to criminality. It also states that
crimes against person increase during summer and crimes against property increase during winter.

“Thermic Law” Of Crime - Observed that crimes against persons increase in warmer climates while property crimes
are most prevalent in colder climates (Fox, 1976, p. 64).

ROBERT EZRA PARK (1864 - 1944) - He advocated the “Human Ecology Theory”. Human Ecology is the study
of the interrelationship of people and their environment. This theory maintains that crime is a function of social
change that occurs along with environmental change. It also maintains that the isolation, segregation,
competition, conflict, social contract, interaction and social hierarchy of people are the major influences of
criminal behavior and crimes.

CONCENTRIC ZONE THEORY - A diagram of the ecological structure which, in the words of its author, ‘represents
an ideal construction of the tendencies of any city to expand radially from its central business district’ (Park and E.
Burgess, 1925). The theory posits concentric zones round the central area, defined by their residential composition,
moving from the very poor and socially deviant, in the inner zone of transition, to a peripheral suburban commuter
ring.

MODERN SOCIOLOGICAL THEORIES OF CRIME CAUSATION

- Environmental factors such as the kind of rearing or family upbringing, quality of teaching in school, influences of
peers and friends, conditions of the neighborhood, and economic and other societal factors are believed to be
contributory to crime and criminal behavior.

Chicago school - arose in the early 20th century, through the work of Robert Park, Ernest
Burgess and other urban sociologist at the university of Chicago. Park and Burgess identified
five concentric zones that often exist as cities grow, including the zone in transition which
was identified as most volatile and subject to disorder.

1. SOCIAL STRUCTURE THEORIES

- These refer not only to the physical features of the communities but also to the way society is organized.
- These include such things as level of poverty and unemployment and the amount of crowded housing which are
believed to affect behavior and attitudes of individuals which in turn contribute to their commission of crimes.
- Also called social environment
- These include social disorganization theory, strain theory and cultural deviance theory.

a. Social Disorganization Theory

- This was popularized by Clifford Shaw and Henry McKay.
- According to this theory, crimes in urban areas are more prevalent because residents have impersonal relationships
with each other.
- Increase in the number of broken families and single parenthood are also very common in disorganized
communities.
- Another feature of disorganized community is poverty as evidenced by poor living conditions such as rundown
houses, unsanitary and unsightly streets and high unemployment rates.

b. Strain Theory by Robert King Merton or Robert Merton

- Strain refers to the individual’s frustration, anger and resentment.
- It holds that crime is a function of the conflict between the goals people have and the means they can use to legally
obtain them. This also argues that the ability to obtain these goals is class dependent; members of the lower class are
unable to achieve these goals which come easily to those belonging to the upper class. Consequently, they feel anger,
frustration and resentment, failure of a man to achieve a higher status of life caused them to commit crimes in order
for those status/goals to be attained referred to as STRAIN.

Four possible adaptation to strain:

 Innovation - The innovator buys into the culturally approved goals of society but pursues them through
unacceptable means.
 Ritualism - This describes a person who, over time, abandonsthe goal of financial success. Despite this, they
continue to embrace the accepted means.
 Retreatism – A retreatist is a social dropout. This type of person will not resort to illegitimate means to achieve
widely shared goals. This individual simply withdraws from society.
 Rebellion – These are individuals who oppose both culturally dominant goals and the means to achieve these
goals. The rebel seeks to establish a new social order and embraces a different cultural goal.

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 c. Cultural Deviance Theory
- It gives emphasis on the concept of culture and sub-culture.
- According to this theory, people in the lower class feel isolated due to extreme deprivation or poverty. They tend
to create a sub-culture with its own set of rules and values. This is characterized by deviant behavior which results in
criminal behavior among its members.

Culture Conflict Theory

- Different Groups learn different conduct norms and that the conduct norms of some groups may clash with
conventional middle-class rules. It defines what is considered appropriate or normal behavior and what inappropriate
or abnormal behavior is and considered as the source of delinquent behaviors.

Sub-culture Theory by Albert Cohen

- He claims that lower class cannot socialize effectively as the middle-class behavior. Thus, the lower class gathered
together to share their common values/problems forming a sub-culture that rejects middle-class values.

Differential Opportunity Theory by Lloyd Ohlin

- It explains that society leads the lower class to want things and society does things to people.

1.SOCIAL PROCESS THEORIES (Social Learning)

- These refer to a group of theories which points to the individual’s socialization process as the cause for the
commission of crimes. These theories cite interaction with people and experiences and exposure to different elements
in the environment as primary factors to criminality.

- Under this theory is the social learning theory which in turn has three (3) sub-theories: differential association
theory; differential reinforcement theory; and neutralization theory.

a. Differential Association Theory

- This was formulated by Edwin Sutherland
- his theory states that criminal behavior is learned through socialization.
- Criminal behavior is learned in interaction with other persons in a process of communication.

b. Differential Reinforcement Theory

- According to this theory, individual’s behavior depends on how people around him react towards his behavior.
- An act that is rewarded is repeated; an act that is punished will be avoided.

c. Neutralization Theory

- This was introduced by David Matza and Gresham Sykes.

- Sometimes referred to as “drift theory”
- According to this theory, people know when they are doing something wrong. However, they rationalize and justify
their actions. This rationalizing is what we called “neutralization”.

Denial of Responsibility – It shifts the blame for a deviant act away from the actor.

Denial of Injury – It is an offender’s claim that no “real” offense occurred because no one was harmed.

Denial of Victim – It implies that the victim got what he or she deserved.

Condemnation of the Condemners – Involves attempts by the offender to share guilt with the condemners by
asserting that their behaviors are just bad as his or hers.

Appeal to Higher Loyalties – Elevates the offender’s moral integrity by claiming altruistic motives.

2. SOCIAL REACTION THEORY

- This is more commonly called “labeling theory”.
- It states that people become criminals when significant members of society label them as such and they accept those
labels as a personal identity.

1. FRANK TENNEMBAUM – He made the earliest statements of latter-day labeling theory. He describes the process
of defining deviant behavior as different among juvenile delinquents and conventional society, causing a "tagging" of
juveniles as delinquent by mainstream society. The stigma that accompanies the deviant "tag" causes a person fall into
deeper non-conformity.

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 2. ERWIN LEMERT – founder of the "Societal Reaction" theory. This theory explores the journey to social deviance
in two stages; primary deviance and secondary deviance which are both incorporated into Labeling Theory as well.
3. HOWARD BECKER - hailed as the founder of modern labeling theory. He proposes that this label becomes a
person’s master status, meaning that this is a constant label, affecting and over-riding how others will view them.
4. GEORGE HERBERT MEAD - One of the founders of Social Interactionism. Believed that people are compelled to
see themselves as society perceives them to be.

TAGGING - like labeling, the process whereby an individual is negatively defined by agencies of justice.

3. SOCIAL CONTROL THEORIES

- Maintain that everyone has the potential to become criminal but most people are controlled by their bonds to society.
- Social control refers to the agencies of social control such as family, school, religion or church, government and laws
and other identified authorities in society.

- There are two (2) sub-theories: containment theory and social bond theory.

a. Containment Theory
- It was proposed by Walter Reckless
- He stated that inner and outer containments help prevent juvenile offending.
- Containment means the forces within and outside the individual that has the power to influence his actions.
- Inner containments include positive self-concept, tolerance for frustration and an ability to set realistic goals.
- Outer containments include family.

b. Social Bond Theory (B-I-A-C)

- This was propagated by Travis Hirschi

- This theory views crime as a result of individuals with weakened bonds to social institutions.
- According to this theory, there are four (4) elements of social bonds: attachment; commitment; involvement
and belief.

❖ Belief – refers to acceptance of the norms of conventional society

❖ Involvement – refers to the amount of time an individual spends on a conventional pursuit.
❖ Attachment – refers to the degree to which an individual care about the opinions of others.
❖ Commitment – refers to an individual’s investment of energy and emotion in conventional pursuits such as getting
good grades.

Economic Theory (Workers VS Capitalist)

ECONOMIC DETERMINIST - Insisted that society’s economic substructure shapes all other institutions and
relationships.

Karl Marx – The emergence of capitalism produces economic inequality in which the proletariats (Workers) are
exploited by the bourgeoisie (owners or capitalist class). This exploitation creates poverty and is also at the root of
the existence of other social problems.

Instrumentalist Theory by Earl Richard Quinney: He claimed that the higher classes are using the existence of
the State to exploit the lower classes by making rules for their own protection, benefit and interest.

Feminist Theory

- Attempts to define criminology and criminal justice based upon the understanding, experiences and view of the world
by the women.

Feminist Criminology

- Focuses on trying to understand female offending from feminist perspective, which contends that women are faced
with special disabilities living in an oppressive sexist society.

Peacemaking Criminology

- It is based on religious principles more than empirical science. It wants to make peace on crime, counsels us what
we should appreciate the criminal’s point of view and wants us to be less punitive.

Contemporary Strands of Integrative Criminology: Developmental and Life Course

Developmental Theories

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 - Follow individuals across the life course to determine the differential effect of risk factors for offending at different
junctures.

Moffitt’s Dual Pathway Theory

- There are two main pathways to offending: Life Course Persistent and Adolescent-Limited. LCP offenders have
neurological and temperamental difficulties which are exacerbated by inept parenting. LCP offenders do across time
and situations, begin prior puberty, and continue well into adulthood. Adolescent-Limited offenders are “normal”
individuals temporarily derailed during adolescence.

Sampson & Laub’s Age-Graded Theory

- Emphasizes the power of informal social controls across the life course. Assumes classical notions of why people
commit crimes, therefore no need to dwell too much on risks factors. These turning points are made easier if one has
accumulated significant social capital.

AGING OUT PHENOMEMNON - The process by which individuals reduce the frequency of their offending behavior
as they age. It is also known as spontaneous remission because people are believed to spontaneously reduce the rate
of their criminal behavior as they mature. Aging out is thought to occur among all groups of offenders.

Social Capital

- A store of positive relationships built on norms of reciprocity and trust developed over time upon which the individual
can draw for support when needed.

Distinct Groups of Developmental Theories

1. Life Course Theory

- This theory views criminality as a dynamic process, influenced by a multitude of individual characteristics, traits and
social experiences. As people travel through the life course, they are constantly bombarded by changing perceptions
and experiences and as a result of which their behavior will change directions, sometimes for the better and sometimes
for the worse.

- Changes are influenced by the family, job, peer influence and behavior. Life Course Theories have four various
models, such as: Social Development Model (SMD) by Joseph Weis, Richard Catalano, J. David Hawkins and
their associates who claimed that weak social controls produce crime. A person`s place in the structure influences his
or her bond to society; Farrington`s Theory of Delinquent Development by David Farrington who found out that
personal and social factors control the onset and stability of criminal careers; Interactional Theory by Terence
Thornberry who proposed that criminals go through lifestyle changes during their offending careers; and Age-graded
Theory by Robert Sampson and John Laub who claimed that as people mature, the factors that influence their
propensity to commit crime change. In childhood, family factors are critical, in adulthood, marital and job factors are
the key.

Latent Trait Theory

- Latent Trait Theory holds that human development is controlled by a “Master Trait” consists of personality,
intelligence and genetic make-up present at birth and soon after some criminologists believe that this master trait
remains stable and unchanging throughout a person’s lifetime whereas others suggest that it can be altered, influenced,
or changed by subsequent experience. In either event, as people travel through their life course this trait is always
there directing their behavior.

CRIMES AND CRIMINALS

CRIME - refers to an act committed or omitted in violation of public law (Phil. Law Dictionary).
- It also refers to an act committed or omitted in violation of a public law forbidding or commanding it (Reyes 2006).
Misdemeanor – refers to a minor or petty crime.
Crime Typology – refers to the type of a particular crime category, such as the following:
1. Violent Crime
- Where violence was used in its commission.
2. Economic Crime
- Committed to bring financial gain to the offender.
3. Public Order Crimes
- These are acts considered illegal because they conflict with social policy, accepted moral rules and public opinion.
Examples of which are prostitution, gambling, pornography, obstruction, etc. These are known as “Victimless Crime”

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 - These are unlawful acts that interfere the operation of society and the ability of people to function efficiently and they
are called “victimless” because there is no complaining victim e.g. prostitutions, gambling, drug addiction, alcoholism,
etc.

Essential Elements of Crime/ Triad of Crime

1. Desire – It is what induces or pushes the person to commit crime.

2. Opportunity – This refers to the physical possibility that the crime could have been committed.
3. Capability – It is the ability of the person to execute the acts or omission punishable by law.

- According to Abrahamsen in his book entitled, “Crime and Human Mind” in 1945, he explained the causes of crime
by this formula:

C=T+S
R
Where:
- C-Crime (ACT)
- T-Tendency (DESIRE/INTENT)
- S-Situation (OPPORTUNITY)
- R-Resistance to Temptation (CONTROL)

CLASSIFICATION OF CRIMES

LEGAL CLASSIFICATIONS:

1. According to law violated

a. Felony – an act or omission punishable by law which is committed by means of dolo (deceit) or culpa (fault) and
punishable under the Revised Penal Code

b. Offense – an act or omission in violation of a special law

c. Infraction – an act or omission in violation of a city or municipal ordinance

2. According to the manner of committing crime:

a. By means of dolo or deceit – if the crime is committed with deliberate intent. Thus, it is called intentional felonies.
• freedom or voluntariness
• intelligence
• intent
“M’Naghten Rule” stated that a defendant is not guilty of a crime if, at the time of the act, mental illness permits the
actor from 1.) knowing what he or she was going or 2.) knowing that the act was wrong.

b. By means of culpa or fault

- felonies committed by means of culpa (fault)
- the act or omission of the offender is not malicious and the injury caused by the offender is unintentional, it being
simply the incident of another act performed without malice
• lack of foresight
• lack of skill
• negligence
• imprudence

3. According to the stages in the commission:

a. Attempted – the crime is attempted when the offender commences the commission of a felony directly or over
acts and does not perform all the acts of execution which should produce the felony by reason of some cause or
accident other than his own spontaneous desistance.
b. Frustrated - when the offender performs all the acts of execution which would produce the felony as a
consequence but which, nevertheless do not produce it by reason of causes independent of the will of the perpetrator.
c. Consummated - when all the elements necessary for its accomplishment and execution are present

4. According to plurality:

a. Simple Crime – It is a single act constituting only one offense.

b. Complex Crime – It is a single act constituting two or more grave felonies or an is a necessary means for
committing the other.

Two (2) Kinds of Complex Crime:

1. compound crime (delito compuesto)

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 2. complex crime proper (delito complejo)

5. According to gravity:

a. Grave felonies - are those to which the law attaches the capital punishment or penalties which in any of their
periods are afflictive.
b. Less grave felonies - are those which the law punishes with penalties which in their maximum period are
correctional.
c. Light felonies - are infraction of law for the commission of which the penalty of arresto menor or a fine not
exceeding Forty Thousand Pesos (PhP40,000) or both is provided. (Sec.1, R.A. 10951).

6. According to the nature of the act:

a. Crimes mala in se – are acts that are inherently evil. Examples are murder, robbery, etc.
b. Crimes mala prohibita – are acts which are prohibited only because there are laws forbidding such acts.
Examples are Illegal Possession of Firearms, Traffic Violations, etc.

CRIMINOLOGICAL CLASSIFICATIONS OF CRIME:

1. According to the result of the crime:

a. Acquisitive crime – if the offender acquired or gained something by committing the crime. Examples are robbery,
estafa, bribery, etc.
b. Destructive crime – if the crime resulted in destruction, damage or even death. Examples are arson, murder and
homicide, damage to property, etc.

2. According to the time or period of commission:

a. Seasonal crimes – are crimes that happen only during a particular season or period of the year. Examples are
violations of election law, tax law violations, etc.
b. Situational crimes – are crimes committed when the situation is conducive to the commission of the crime and
there is an opportunity to commit it. Examples are pickpocketing, theft, etc.

3. According to the length of time of the commission:

a. Instant crimes – are those crimes that can be committed in a very short time. Example: theft
b. Episoidal crimes – are crimes committed through series of acts or episodes and in much longer time. Example:
serious illegal detention

4. According to place or location:

a. Static crimes – are committed only in one place. Examples are theft and robbery
b. Continuing crimes – are crimes that take place in more than one place or several places. Examples are abduction,
kidnapping, etc.

5. According to the use of mental faculties:

a. Rational crimes – when the offender is capable of knowing what he is doing and understanding the consequences
of his actions.
b. Irrational Crimes – when the offender suffers from any form of mental disorders, insanity or abnormality. Thus,
the offender doesn’t know what he is doing.

6. According to the type of offender:

a. White Collar Crimes – crimes committed by those persons belonging to the upper socio-economic status or in
the course of his occupational activities.
b. Blue Collar Crimes – are those crimes committed by ordinary criminals as a means of livelihood.

Other Types of Crimes

Bias Crimes

- Violent acts directed toward a particular person or members of a group merely because the targets share a discernible
racial, ethnic, religious, or gender characteristics. Also called Hate Crimes acts of violence or intimidation designed to
terrorize or frighten people considered undesirable because of their race, religion, ethnic origin, or sexual orientation.
- These are violent acts directed toward a particular person or members of a group merely because the targets share
discernable racial, ethnic, religious, or gender characteristics.

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 Corporate Crimes

- White collar crime involving legal violation by corporate entity, such as price fixing, restraint of trade, or hazardous
waste dumping.

Crime of Reduction

- Crimes that are committed when the offended party experience a loss of his/her present standing such as when they
become victims of robbery or theft but they may also be victimized if their dignity is stripped from them when they are
taunted by racists.

Crime of Repression

- Crimes that are committed when members of a group are prevented from achieving their fullest potential because of
racism, sexism, or some status bias.

Cyber Crime

- The commission of criminal acts using the instrument of modern technology such as computers or the internet.

Economic Crime

- An act in violation of the criminal law that is designed to bring financial gain to the offender.

Enterprise Crime

- The use of illegal tactics by a business to make profit in the market place.

Expressive Crime

A crime that has no purpose except to accomplish the behavior and such as shooting someone.

Inchoate Crimes

- Incomplete or contemplated crimes such as criminal solicitation or criminal attempts.

Reactive Hate Crime

- Perpetrators believe they are taking a defensive stand against outsiders who they believe threaten their community
or way of life.

Retaliatory Hate Crime

- Offense committed in response to a hate crime, real or perceived.

Statutory Crimes

- Crimes defined by legislative bodies in response to changing social conditions, public opinion, and custom.

Trill-Seeking Hate Crime

- Hatemongers who join forces to have fun by bashing minorities or destroying property; inflicting pain on others give
a sadistic thrill.

Other terms referring to crimes

I.Crime of Rape
a. Acquaintance Rape – forcible sex in which offender and the victim are acquainted with one another.
b. Aggravated Rape – rape involving multiple offenders, weapons and victim injuries.
c. Date Rape – forcible sex during the courting relationship.
d. Gang Rape – forcible sex involving multiple attacker.
e. Marital Rape - forcible sex between people who are legally married to each other.
f. Serial Rape – multiple rapes committed by one-person overtime.
g. Statutory Rape – sexual relations between an underage minor female and an adult male.
II.Crime of Killing
a. Homicide - The killing of human being by another without any attendant circumstances.
b. Parricide – The act of killing one’s own father, mother, or child (whether legitimate or illegitimate), or of legitimate
ascendant or descendant and legal spouse.
c. Infanticide – Killing of an infant less than 3 days old.

RED NOTES 2022 19

 d. Sororicide – Killing one’s own sister
e. Fratricide – Killing of one’s own brother.
f. Matricide – Killing of a mother by her own child.
g. Patricide – Killing of a father by his own child.
h. Uxoricide – Act of one who murders his wife.
i. Eldercide – The murder of a senior citizen.
j. Abortion (Aborticide) – An act of destroying (killing) a fetus in the womb.
k. Suicide – Taking one’s own life voluntarily and intentionally.
l. Regicide – The killing or murder of a king.
m. Vaticide – The killing of a prophet.
n. Euthanasia – Mercy killing or the act or practice of painlessly putting to death a person’s suffering from incurable
and distressing disease.
o. Involuntary Manslaughter - a homicide that occurs as a result of act that are negligent and without regard for
the harm, they may cause others, such as driving while under the influence of liquor or drugs. Also known as negligent
manslaughter.
p. Voluntary Manslaughter – A homicide committed in the heat of passion or during a sudden quarrel; although
intent may be present, malice is not.
q. Mass Murder – The killing of a large number of people in a single incident by an offender who typically does not
seek concealment or escape.
r. Murder - The unlawful killing of a human being with malicious intent and with the presence of any attendant
circumstance/s.
s. Serial Murder – The killing of a large number of people over time by an offender who seeks to escape detection.

CRIMINAL

- In a “legal sense”, a criminal is any person who has been found to have committed a wrongful act in the course of
the standard judicial process; there must be a final verdict of his guilt.
- In a “criminological sense”, a person is already considered a criminal the moment he committed a crime.

CLASSIFICATIONS OF CRIMINALS

1. According to etiology:

a. Acute criminal – is a person who committed crime as a result of reacting to a situation or during a moment of
anger or burst of feeling.
b. Chronic criminal – is one who committed a crime with intent or deliberated thinking.
1. Neurotic criminal – is one who has mental disorder.
2. Normal criminal – a person who commits crimes because he looks up to and idolizes people who are criminals.

2. According to the types of offender:

a. Ordinary criminal – a criminal who engages in crimes which do not require specialized or technical skill. The
lowest form of criminal career; they engage only in conventional crimes.
b. Organized criminal – is one who possesses some skills and know-how which enable him to commit crimes and
evade detection.
c. Professional criminal – a highly skilled criminal who is engaged in a large-scale criminal activities and usually
operates in groups.

3. According to criminal activities:

a. Professional criminal – a criminal who earns his living through criminal activities.
b. Situational criminal – a person who got involved in criminal act because the situation presented itself.
c. Habitual criminal – one who repeatedly commits criminal act for different reasons.
d. Accidental criminal – a person who accidentally violated the law due to some circumstances.

4. Types of violent criminals

a. Culturally Violent Offenders - Individuals who live in subculture in which violence is acceptable problem-solving
mechanism. This is prevalent among lower income minorities from slum environments of large central cities.
b. Criminally Violent Offenders – Offenders use violence as a means of accomplishing criminal act, such as in
robbery.
c. Pathologically Violent Offenders - Mental illness or brain damage characterizes the pathologically violent
offenders.
d. Situational Violent Offenders – Offenders commit acts of violence on rare occasions, often under provocation.
These incidents are often described as crimes of passion in which the individual temporarily loses control and often
express regret for the action later.

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 Serial Killer

- Operates over a long period of time.

Mass Murderers

- Kills many victims in a single violent outburst.

Types of Serial Killers (Jack Liven and James Allan Fox)

a) Thrill Killers – These killers strive for either sexual sadism or dominance. They are the most common form of
serial murderer.
b) Mission Killers – These killers want to reform the world or have a vision that drive them to kill.
c) Expedience Killers – Killers who kill out for profit or want to protect themselves from a perceived threat.

Types of Mass Murderer (Jack Liven and James Allan Fox)

a) Revenge Killers – These killers seek to get even with individuals or society at large.
b) Love Killers - Motivated by warped sense of devotion. They are often despondent people who commit suicide and
take others such as a wife and children with them.
c) Profit Killers – Usually trying to cover-up a crime; eliminate witnesses; and carry out a criminal conspiracy.
d) Terrorist Killers – Killers who are trying to send a message. Gang killings tell rivals to watch out; cult killers may
actually leave a message behind to warn society about impending doom.

Rape as Violent Crimes

- Rape is derived from the Latin word “Rapere” or to take by force, often perceived primarily as a sexually-motivated
act, however upon the enactment of RA 8353, otherwise known as the “Anti Rape Law of 1997” amending the
Revised Penal Code, rape is identified primarily as a violent act in which sexual relations are merely a means of
expressing violence, aggression and domination. Consequently, it is divided into two acts; rape by sexual intercourse
and rape through sexual assault which could be committed by a male and female.

Three Types of Rape

a) Anger Rape – Sexual attack becomes a means of expressing rage or anger and involves far more physical assault
upon the victim than is necessary.
b) Power Rape – Assailant primarily wishes to express his domination over the victim. Since rape is an expression of
power rather than the means of sexual gratification, the rapist generally uses only the amount of force necessary to
exert his super-ordinant position.
c) Sadistic Rape – Perpetrator combines the sexuality and aggression aiming psychotic desires to often torment,
torture, or otherwise abuse his victim.
d) ACQUAINTANCE RAPE - forcible sex in which offender and the victim are acquainted with one another.
e) AGGRAVATED RAPE - rape involving multiple offenders, weapons and victim injuries.
f) DATE RAPE - forcible sex during the courting relationship.
g) SERIAL RAPE - multiple rapes committed by one person over time.
h) STATUTORY RAPE - sexual relations between an underage minor female and an adult male.

Categories of Rapists

a) Naïve Graspers – Sexually inexperienced youths who possess an unrealistic conception of female erotic arousal.
Awkward in relating to the opposite sex, they hold high expectations that their cute advances will be met with affection
by their victims.
b) Meaning Stretchers – An offender misinterprets woman’s expressions of friendliness and affection as indicating
that the female desire continues even when she says no.
c) Sex Looters – Persons who have a low desire for affection or low respect for the victim’s autonomy and callously
use woman as sex object.
d) Group Conformers – Rapist participates in a group rape or gang bang; often following the leader. A sex looter
felt a sense of conformity and notion demonstrating their masculinity.

STUDY OF CRIMINAL LAW

EVOLUTION OF CRIMINAL LAWS

A) PRE-HISTORIC CRIME AND PUNISHMENT
Primitive Tribes
- Punishment may be in the form of ostracism and expulsion.

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 - Adultery may be punished by the aggrieved husband who may kill the adulterer and his own offending wife.
- Crime may be avenged by the victim himself or by the victim’s family

B) THE EARLY CODES

SUMERIAN CODE

- Crafted during the time of King Dongi; a code made from clay tablet which is said to have been created 100 years
prior to the Code of Hammurabi. This code did not survive the passage of time and has not been recovered.

1) CODE OF HAMMURABI

- Hammurabi; the king of Babylon during the eighteenth-century B.C. Recognized as the first codifier of laws.
- It provided the first comprehensive view of the laws in the early days.
- The Code was carved in stone.
- The “law of talion”, or the principle of “tit for tat”, (an eye for an eye, tooth for a tooth) appears throughout the Code
- Under the principle of the law of talion, the punishment should be the same as the harm inflicted on the victim

2) THE HITTITES

- The Hittites existed about two centuries after Hammurabi and eventually conquered Babylon.

3) DEUTERONOMY OR THE MOSAIC CODE

- It is the fifth book in the bible which contains the basis of the Jewish laws. Deuteronomy is believed to have been made
by Moses. It is in a form of covenant which starts with the Ten (10) Commandments then later became statutes and
ordinances.
- The first five (5) books of the Old Testament is what collectively known to be the Mosaic Code or the Laws of
Moses. This was considered to be the foundation of the law system throughout the western world. (Roth 2005)

4) CODE OF DRAKON

- Known as the “ultimate in severity”

- Codified by Drakon, the Athenian lawgiver of the seventh century B.C.

5) LAWS OF SOLON

- Solon was appointed archon and was given legislative powers.

- Solon repealed all the laws of the Code of Drakon except the law on homicide.
- Solon was one of the first to see that a lawgiver had to make laws that applied equally to all citizens and also saw
that the law of punishment had to maintain proportionality to the crimes committed.

6) ROME’S TWELVE TABLES

- Roman law began with the Twelve Tables which were written in the middle of the sixth century B.C.
- The Twelve Tables were the foundation of all laws in Rome and written in tablets of bronze.
- They were drafted by the Decemvirs, a body of men composed of patricians.

7) LEX SALICA

- It refers to the legal customs of the ancient Germanic tribes of the middle ages. This law provides for schedule of
monetary compensation for wrongdoings which they called “the botes”. The value of monetary compensation for
human life based on his status in life referred to as Wergild or Wergeld.

CRIMINAL LAW

– is that branch of public law which defines crimes treats of their nature and provides for their punishment.

Revised Penal Code or Act No. 3815

– The book that contains the Philippine Criminal Law and different special laws and decrees which are penal
in nature. It is called as RPC because the Old Penal Code which took effect in the country on July 14, 1887 and was
in force until Dec. 31, 1931 was revised by the Committee created by Administrative Order No. 94 of the Department
of Justice, dated Oct. 18, 1927, composed of Anacleto Diaz as Chairman, Alex Reyes and Mariano de Joya as
members.The RPC was approved on Dec. 8, 1930 and took effect on January 1, 1932.

Principal Parts of the RPC

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 It is composed of two books; book one which is composed of Articles 1-113 and book two covering Articles 114-367.

a. Articles 1-20 – principles affecting criminal liability

b. Articles 21-113 – penalties including criminal and civil liability
c. Articles 114-367 – felonies

Characteristics of the RPC

1. Generality - the law is applicable to all persons within the territory irrespective of sex, race, nationality or civil
status except:

a. Heads of State;

b. Foreign Diplomats; Ambassadors; who are duly accredited in our country;

c. Foreign troops permitted to march within the territory.

2. Territoriality - the RPC is applicable to felonies committed within the Philippine territorial jurisdiction.
a. Philippine archipelago - all the islands that comprise the Philippines;
b. Atmosphere water – all bodies of water that connect all the islands such as bays, rivers and streams; and
c. Maritime zone – the twelve (12) Nautical Mile limit beyond our shore measured at low tide.

EXCEPTIONS TO THE TERRITORIAL CHARACTERISTICS OF THE REVISED PENAL CODE:

The Revised Penal Code shall be applicable to all cases committed outside the Philippine territorial jurisdiction under
the following circumstances:

a) Should commit an offense while on Philippine ship or airship;

b) Should forge or counterfeit any coin or currency note of the Philippine Island or obligations and securities issued
by the Government of the Philippines;
c) While being public officers or employees, should commit an offense in the exercise of their functions.
d) Should commit any of the crimes against national security and law of nations

3. Prospectivity - the provisions of the RPC cannot be applied if the act is not yet punishable at the time the felony
was committed. However, it may have a retroactive effect if it is favorable to the accused who is not a habitual
delinquent.

4. It is specific and definite.

Criminal law must give a strict definition of a specific act which constitutes an offense. Where there is doubt as to
whether a definition embodied in the Revised Penal Code applies to the accused or not, the judge is obligated to decide
the case in favor of the accused. Criminal law must be construed liberally in favor of the accused and strictly against
the state.

5. It is uniform in application.
An act described as a crime is a crime no matter who committed it, wherever committed in the Philippines and
whenever committed. No exceptions must be made as to the criminal liability. The definition of crimes together with
the corresponding punishment must be uniformly construed although there may be a difference in the enforcement of
a given specific provision of the penal law.

6. There must be a penal sanction or punishment.

Penal sanction is the most essential part of the definition of the crime. If there is no penalty to a prohibited act, its
enforcement will almost be impossible. The penalty is acting as a deterrence and as a measure of self-defense of the
State to protect society from the threat and wrong inflicted by the criminal.

CRIME STATISTICS

- It refers to the measure of the level or amount of crimes.

- The collection or study of numerical data of crimes recorded/reported to the police.
- It uses the terms index crimes and non-index crimes in classifying crimes.

Index crimes are crimes which are sufficiently significant and which occur with sufficient regularity to be meaningful
such as murder, homicide, physical injury, robbery, theft and rape.

Non-index crimes are crimes that are not classified as index crimes. Violations of special laws and other crimes
against moral and order. These crimes are generated from the result of positive police-initiated operations.

STATISTICAL FORMULA:

RED NOTES 2022 23

 1. Crime Solution Efficiency (CSE) – percentage of solved cases out of the total number of reported crime incidents
handled by the police for a given period of time. It is a general measure of law enforcement agency’s investigative
capability or efficiency.

Formula:

𝑁𝑜. 𝑜𝑓 𝑆𝑜𝑙𝑣𝑒𝑑 𝐶𝑎𝑠𝑒𝑠

CSE = { ________________________________ } 𝑋 100
𝑇𝑜𝑡𝑎𝑙 𝑁𝑜. 𝑜𝑓 𝑅𝑒𝑝𝑜𝑟𝑡𝑒𝑑 𝐶𝑎𝑠𝑒𝑠

2. Crime Rate – the number of incidents in a given period of time for every 100,000 inhabitants of an area/place.

Formula:

𝐶𝑟𝑖𝑚𝑒 𝑉𝑜𝑙𝑢𝑚𝑒
CR = {_________________________} 𝑋 100, 000
𝑃𝑜𝑝𝑢𝑙𝑎𝑡𝑖𝑜𝑛

3. Average Monthly Crime Rate (AMCR) – the average number of crime incidents occurred per month for every
100, 000 inhabitants in a certain area.

Formula:

𝐶𝑟𝑖𝑚𝑒 𝑉𝑜𝑙𝑢𝑚𝑒
AMCR = { _________________ } 𝑋 100, 000 ÷ 𝑛𝑜. 𝑜𝑓 𝑚𝑜𝑛𝑡ℎ𝑠
𝑃𝑜𝑝𝑢𝑙𝑎𝑡𝑖𝑜𝑛

4. Variance (or % change) – one way of analyzing crime trends. It measures the percentage change over a given
period of time.

Formula:

𝐶𝑢𝑟𝑟𝑒𝑛𝑡 𝑑𝑎𝑡𝑎 − 𝑝𝑟𝑒𝑣𝑖𝑜𝑢𝑠 𝑑𝑎𝑡𝑎

= {_____________________________________} 𝑋 100
𝑝𝑟𝑒𝑣𝑖𝑜𝑢𝑠 𝑑𝑎𝑡𝑎

5. Crime Analysis

a. Percentage Share of Crime Volume of a Certain Area

Formula:

𝐶𝑟𝑖𝑚𝑒 𝑣𝑜𝑙𝑢𝑚𝑒 𝑜𝑓 𝑎 𝑐𝑒𝑟𝑡𝑎𝑖𝑛 𝑎𝑟𝑒𝑎

= { ______________________________________ } 𝑋 100
𝐶𝑟𝑖𝑚𝑒 𝑉𝑜𝑙𝑢𝑚𝑒 𝑁𝑎𝑡𝑖𝑜𝑛𝑤𝑖𝑑𝑒

b. Percentage Share of the Occurrence of a Type of Crime

Formula:

𝑇𝑜𝑡𝑎𝑙 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑜𝑐𝑐𝑢𝑟𝑒𝑛𝑐𝑒𝑠 𝑜𝑓 𝑎 𝑡𝑦𝑝𝑒 𝑜𝑓 𝑐𝑟𝑖𝑚𝑒

{ ________________________________________________________ } 𝑋 100
𝐶𝑟𝑖𝑚𝑒 𝑉𝑜𝑙𝑢𝑚𝑒 𝑁𝑎𝑡𝑖𝑜𝑛𝑤𝑖𝑑𝑒

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 CRIM 2: Criminal Justice System

CRIMINAL JUSTICE SYSTEM

Criminal Justice System refers to the sum total of instrumentation which a society uses in the prevention and
control of crime and delinquency. It refers to the machinery of the state or government which enforces the rules of
conduct necessary to protect life and property and to maintain peace and order.

It also comprises all the means used to enforce those standards of conduct which are deemed necessary to
protect individuals and to maintain general community well-being.

Due Process Model

• The accused is presumed innocent until proven guilty beyond reasonable doubt. It is the study of the public
prosecution to prove the guilt of the accused. This is the model used in the Philippines at present.

Crime Control Model

• The accused is presumed guilty and it is his obligation to prove his innocence. This model is prevailant during the
ancient period.

FIVE STAGES IN THE CRIMINAL JUSTICE PROCESS:

1. Arrest
2. Charging
3. Adjudication
4. Sentencing
5. Corrections

CRIMINAL LAW AND THE CRIMINAL JUSTICE SYSTEM

Criminal Law is the basis that takes place in the Criminal Justice System. Only violations of Criminal Law are
being considered and processed in the Criminal Justice System. When there is no violation of Criminal Law or no crime
was committed, criminal justice as a process will not operate.

CRIMINAL LAW

Criminal Law is that branch of public which defines crimes, treats of their nature, and provides for their
punishment.

TWO CLASSIFICATIONS OF CRIMINAL LAW

A. SUBSTANTIVE
- defines the elements that are necessary for an act to constitute as a crime and therefore punishable.

B. PROCEDURAL
- refers to a statute that provides procedures appropriate for the enforcement of the Substantive Criminal Law.

TWO BASIC PRINCIPLES OF CRIMINAL LAW IN THE ADMINISTRATION OF THE CJS

1. PRESUMPTION OF INNOCENCE
This means that those who are accused of crimes are considered innocent until proven guilty. The accused is
entitled to all the rights of the citizens until the accused’s guilt has been determined by the court of law or by the
accused’s acknowledgment of his guilt that he or she indeed committed the crime. No less than the Constitution of the
Philippines provides that an accused shall be presumed innocent until proven guilty.

2. BURDEN OF PROOF

In criminal cases, it means that the government must prove beyond “reasonable doubt” that the suspect
committed the crime. In order to make sure that only those who are guilty of the crime are punished, our Rules on
Evidence provides that the evidence, in order to be sufficient to convict an accused for a criminal act, proof beyond
reasonable doubt is necessary. Unless his guilt is shown beyond reasonable doubt, he is entitled to an acquittal.

CRIMINAL IN RELATION TO CRIMINAL JUSTICE SYSTEM

The criminal is the main character of the Criminal Justice System.

THE DIFFERENT NOMENCLATURES GIVEN TO THE PERSON WHO IS BEING PROCESSED UNDER THE
CRIMINAL JUSTICE SYSTEM:

1. The one who is implicated to the commission of a crime. At the police stage, during investigation, he is referred to
as the SUSPECT.
2. A person who is a subject of preliminary investigation or inquest proceeding. At the Prosecutor’s Office, during the
determination of probable cause or during the Preliminary Investigation, he is referred to as the RESPONDENT.
3. A person charged of an offense in court and facing trial. At the trial of the case, when a case has been filed in
Court, he is referred to as the ACCUSED.

RED NOTES 2022 25

 4. Once the Court has determined that the accused is guilty beyond reasonable doubt as charged and the judgement
has been rendered, he is referred to as the CONVICT.
5. It is only upon undergoing all the process when the person has served the sentence when he can really be
considered as a CRIMINAL.

THE FIVE PILLARS OF THE PHILIPPINE CRIMINAL JUSTICE SYSTEM:

1. Law Enforcement
2. Prosecution
3. Courts
4. Correction
5. Community

The three components of the Criminal Justice System in the United States:
1. Law Enforcement
2. Courts
3. Corrections

PHILOSOPHIES BEHIND THE CJS

1. Adversarial Approach
- assumes innocence
- the prosecutor has the burden of proof
- the emphasis is given on the proper procedures

2. Inquisitorial Approach
- assumes guilt
- the accused has the burden of proof
- the emphasis is on the conviction of the accused

PHILLIPINE CRIMINAL JUSTICE SYSTEM SETTING:

1. LAW ENFORCEMENT

- also called the POLICE pillar. It occupies the frontline of the CJS because they are regarded as the “initiator”
or the “prime mover” of the system. They are also the first contact of the law violator in the CJS process. It investigates,
makes arrests and prepares evidence against the suspects needed to prosecute them.

Its primary goal is “crime prevention”.

2. PROSECUTION

- takes care of evaluating the evidence and formally charges the suspects before the court. It serves as screening
process on whether to file a case based on evidence or dismiss the same and determines what particular crime shall
be formally filed and presents the burden of proof against the suspect.

3. COURT

- conducts arraignment and trial. It issues warrant of arrest if the accused is at large and acquits the innocent and
adjudicate penalty for the accused if found guilty.

4. CORRECTION

- responsible for the incarceration and rehabilitation of the convicted person to prepare for eventual reintegration in
the community.

5. COMMUNITY

- helps the penitent offender to become law-abiding citizen by accepting the ex-convict’s re-entry and assists said
penitent offender lead a new life as a responsible member of the society
- not under or independent among the branches of the government.

FIRST PILLAR: LAW ENFORCEMENT

The law enforcement pillar is the branch of the criminal justice system that has the specific responsibility
of maintaining law and order and combating crime within the society.

The Law Enforcement as the first pillar is considered to be the “initiator” or the “prime mover” of the Criminal
Justice System. This pillar is also commonly referred to as the police pillar.

This pillar is comprised of the different law enforcement agencies in the country such as the Philippine National
Police, the National Bureau of Investigation, the Philippine Drug Enforcement Agency, the Bureau of Customs, the
Bureau of Internal Revenue, and the Land Transportation Office, among others.

THE FUNCTION OF LAW ENFORCEMENT IN GENERAL

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 1. To prevent criminal behavior
2. To reduce crime
3. To apprehend and arrest offender
4. To protect the life and property
5. To regulate non-criminal conduct

PHILIPPINE NATIONAL POLICE

- This was organized pursuant to R.A. 6975, as amended by R.A. 8551 and as further amended by R.A. 9708.

RELEVANT LAWS ON THE ORGANIZATION OF THE PNP:

1. RA 6975 - The “Department of the Interior and Local Government Act of 1990”.
- Approved on Dec 13, 1990

2. RA 8551 – The “PNP Reform and Reorganization Act of 1998

- Approved on February 25, 1998.

3. RA 9708 - “An Act extending for 5 years the reglementary period for complying the minimum educational
qualification for appointment to the PNP and adjusting the promotion system thereof”.
- Approved on August 12, 2009

PHILIPPINE NATIONAL POLICE

- A law enforcement agency under the DILG.

- It is under administrative control and operational supervision of the National Police Commission.

It is an organization that is national in scope and civilian in character, as provided by Section 6, Article 16
of the 1987 Philippine Constitution: “The state shall establish and maintain one police force which shall be
national in scope and civilian in character…”

NATIONAL IN SCOPE

- means that the PNP is a nationwide government organization whose jurisdiction covers the entire breadth of the
Philippine archipelago.
- all uniformed and non-uniformed personnel of the PNP are national government employees.

CIVILIAN IN CHARACTER

- It means that that the PNP is not a part of the military, although it retains some military attributes such as discipline.

POWERS AND FUNCTIONS OF THE PNP

1. Enforce all laws and ordinances relative to the protection of lives and properties;
2. Maintain peace and order and take all necessary steps to ensure public safety;
3. Investigate and prevent crimes, effect the arrest of criminal offenders, bring offenders to justice and assist in their
prosecution;
4. Exercise the general powers to make arrest, search and seizure in accordance with the Constitution and pertinent
laws;
5. Detain an arrested person for a period not beyond what is prescribed by law, informing the person so detained of
all his rights under the Constitution;
6. Issue licenses for the possession of firearms and explosives in accordance with law;
7. Supervise and control the training and operations of security agencies and issue licenses to operate security
agencies and to security guards and private detectives, for the purpose of their professions.

POLICE ROLES AND FUNCTIONS IN THE SOCIETY

I. LAW ENFORCEMENT

The Philippine National Police has the power to enforce laws and ordinances relative to the protection of lives and
property, such as the Revised Penal Code, other special penal laws and city and municipal ordinances.

II. CRIME PREVENTION - the elimination of the opportunity for the commission of a crime.

III. POLICE PATROL

Patrol has been described as the backbone of the police department. Theoretically, patrol officers are the most
valuable people in the organization.

IV. CRIME DETECTION

RED NOTES 2022 27

 Crime detection is the discovery of the police that a crime had been committed.

There are traditional ways that occurrence of crime is made known to the police:

1) when the victim personally reports the crime to the police;

2) when a witness personally reports the crime to the police; and
3) when the police catch an offender while in the commission of a crime.

V. CRIMINAL APPREHENSION

The legal term for criminal apprehension is arrest.

ARREST

Arrest is the taking of a person into custody in order that he may be bound to answer for the commission of
an offense.

Modes of Arrest
1. arrest by virtue of a warrant
2. arrest without a warrant

An arrest may be made on any day and at any time of the day or night, even on a Sunday.

WARRANT OF ARREST

- It is an order in writing issued in the name of the People of the Philippines, signed by a judge and directed to a peace
officer, commanding him to take a person into custody in order that he may be bound to answer for the commission
of an offense
- It shall remain valid until the person to be arrested has been arrested or has surrendered

CIRCUMSTANCES OF WARRANTLESS ARREST:

Arrest without warrant; when lawful. – A peace officer or a private person may, without a warrant, arrest
a person:

a. When, in his presence, the person to be arrested has committed, is actually committing, or is attempting to commit
an offense;

b. When an offense has just been committed and he has probable cause to believe based on personal knowledge of
facts or circumstances that the person to be arrested has committed it; and

c. When the person to be arrested is a prisoner who has escaped from a penal establishment or place where he is
serving final judgment or is temporarily confined while his case is pending, or has escaped while being transferred from
one confinement to another.

VI. SEARCH AND SEIZURE

Search refers to the examination of an individual’s person, house, papers or effects, or other buildings and premises
to discover contraband or some evidence of guilt to be used in the prosecution of a criminal action

SEARCH WARRANT

- It is an order in writing issued in the name of the People of the Philippines, signed by a judge and directed to a peace
officer commanding him to search for personal property described therein, and bring it before the court
- It has a validity period of TEN (10) days
- It can be served only once within its validity period

PERSONAL PROPERTY TO BE SEIZED

a. Subject of the offense;

b. Stolen or embezzled and other proceeds, fruits of the offense; or
c. Use or intended to be used as a means of the commission of the offense.

CIRCUMSTANCES OF WARRANTLESS SEARCH:

a. Warrantless search incidental to a lawful arrest under Sec. 12, Rule 128 Rules of Court;
b. Seizure of evidence in plain view;
c. Search of a moving vehicle;
d. Consented warrantless search;
e. Customs search;
f. Stop and frisk search; and

RED NOTES 2022 28

 g. Exigent and emergency circumstances.

VII. CRIMINAL INVESTIGATION - It is an art which deals with identity and location of the offender and
provides evidence of his guilt in criminal proceedings.

NATIONAL BUREAU OF INVESTIGATION (NBI)

The National Bureau of Investigation (NBI) saw its inception on November 13, 1936 upon approval of Commonwealth
Act No. 181 by the legislature.

It is tasked with organizing a Division of Investigation or DI patterned after the United States Federal Bureau of
Investigation were Thomas Dugan, a veteran American police captain from the New York Police Department and
Flaviano C. Guerrero, the only Filipino member of the United States Federal Bureau of Investigation.

On June 19, 1947, by virtue of Republic Act No. 157, it was reorganized into the Bureau of Investigation. Later, it
was amended by Executive Order No. 94 issued on October 4, 1947 renaming it to what it is presently known, the
National Bureau of Investigation (NBI).

The NBI is a government entity that is civilian in character and national in scope which is under the Department of
Justice.

PHILIPPINE DRUG ENFORCEMENT AGENCY (PDEA)

- It was created by virtue of Republic Act 9165.

- It serves as the implementing arm of the Dangerous Drugs Board (DDB).
- It is responsible for the efficient and effective law enforcement of all the provisions on any dangerous drug and/or
controlled precursor and essential chemical as provided in RA 9165.
- It is headed by a Director General with the rank of Undersecretary appointed by the President.
- The head of the PDEA is assisted by 2 Deputies Director General with the rank of Assistant Secretary; 1 for
Operations and 1 for Administration. They are also appointed by the President.

BUREAU OF INTERNAL REVENUE

- It is mandated to assess and collect all national internal revenue taxes, fees, charges and to enforce all forfeitures,
penalties and fines connected therewith, including the execution of judgments in all cases decided in its favor by the
Court of Tax Appeals (CTA) and the ordinary courts.

SECOND PILLAR: PROSECUTION (Traffic Cop) or (Key Stone)

Prosecution is the course of action or process whereby accusations are brought before a court of justice to
determine the innocence or guilt of the accused.

In a criminal action, it is a proceeding instituted and carried on by due course of law, before a competent
tribunal for the purpose of determining the guilt or innocence of a person charged with a crime.

The party in a criminal proceeding who instituted the criminal action is called the prosecution.

The party against whom the criminal action was instituted is called the defense.

In all criminal prosecutions, the real offended party is the People of the Philippines for a crime is an outrage
against the public/State and its vindication is in favor of the people in a sovereign State. Thus, all criminal cases are
titled “People of the Philippines vs. _____ (the name of the accused).

THE PROSECUTOR

The prosecutor is the officer of the government whose function is the prosecution of criminal actions partaking the
nature of criminal actions.
- To conduct preliminary investigations
- To make proper recommendation during the inquest of the case referred to them by the police after investigation of
the suspect.
- To represent the Government or State during the prosecution of the case against the accused.
- He is also referred to as public prosecutor and fiscal.

THE NATIONAL PROSECUTION SERVICE (NPS)

The NPS was created by virtue of Presidential Decree No. 1275, entitled “Reorganizing the Prosecution Staff of
the Department of Justice and the Offices of the Provincial and City Fiscals, Regionalizing the Prosecution Service and
Creating the National Prosecution Service.” This law was enacted on April 11, 1978.

The NPS is under the supervision and control of the Department of Justice (DOJ) and is tasked as the
prosecutorial arm of the government.

RED NOTES 2022 29

 It is headed by a Prosecutor General (formerly known as Chief State Prosecutor) pursuant to R.A. 10071, otherwise
known as the “Prosecution Service Act of 2010”.

PRELIMINARY INVESTIGATION

Preliminary investigation is an inquiry or proceeding to determine whether there is sufficient ground to engender
a well-founded belief that a crime has been committed and the respondent is probably guilty thereof and should be
held for trial (Sec. 112, Criminal Procedure, Rules of Court).

It is required to be conducted before the filing of the information for an offense where the penalty
prescribed by law is at least 4 years, 2 months and 1 day.

The purpose of conducting preliminary investigation is to establish probable cause.

Probable cause refers to the existence of such facts and circumstances as would excite a belief in a reasonable mind,
acting on the facts within the knowledge of the prosecutor that the person charged is guilty of the crime for which he
is prosecuted. It is the degree of evidence required in preliminary investigation.

PERSONS AUTHORIZED TO CONDUCT PRELIMINARY INVESTIGATION:

a. Provincial or City Prosecutors and their assistants;

b. National and Regional State Prosecutors; and
c. Other officers as may be authorized by law such as:

1. Tanodbayan’s special prosecutors as authorized by the Ombudsman;

2. COMELEC’s authorized legal officers in connection with election offenses; and
3. Special prosecutors appointed by the Secretary of Justice

COMPLAINT

- It is a sworn written statement charging a person with an offense, subscribed by the offended party, any peace officer
or other public officer charged with the enforcement of the law violated.

INFORMATION

- It is an accusation in writing charging a person with an offense subscribed by the prosecutor and filed with the court.

An affidavit is a statement of facts under oath.

A subpoena is a process directed to a person requiring him to attend and to testify at the hearing or the trial of an
action or at any investigation conducted under the law or for the taking of his deposition (Section 1, Rule 23, Rules of
Courts).

INQUEST PROCEEDING

Inquest procedure is an inquiry made by the duty prosecutor to determine the legality of the arrest made especially
those arrests made without a warrant. Each police station or headquarters should in principle also have designated
inquest prosecutors to process inquest procedures with schedule of assignments for their regular inquest duties.

This process requires the prosecutors to resolve the complaint the police filed in a prescribed period which varies
depending on the gravity of the offense:

light penalties = 12 hours

correctional penalties = 18 hours
afflictive penalties = 36 hours

BAIL

Bail is defined as the security given for the release of the person in the custody of the law, furnished by him or a
bondsman to guarantee his appearance before any court as required under the conditions as specified.

The purpose of bail is to secure the appearance of the accused before the court when so required and to provide the
accused of his temporary liberty while awaiting the processing and disposition of the case filed against him

KINDS OF BAIL:

1. Property Bond;
2. Corporate Surety;
3. Cash Deposit; and
4. Recognizance.

THIRD PILLAR: COURT

RED NOTES 2022 30

 Court as the third pillar is said to be the centerpiece of the criminal justice system and its primary and most important
function as a component of the criminal justice system is to decide whether the accused is guilty or not guilty
of the crime. It is within the power of this pillar to end the process for the accused or to proceed with the next pillar,
which is correction.
- It is a body to which the public administration of justice is delegated, being a tribunal officially assembled under
authority of law at the appropriate time and place for the administration of justice through which the State enforces its
sovereign rights and powers.
- It is an organ of the government belonging to the judicial department whose function is the application
of the laws to controversies brought before it and the public for the administration of justice.

CERTIORARI

- A writ issued by a superior court requiring a lower court or a board or officer exercising judicial functions to transmit
the records of a case to the superior court for the purpose of review.

PROHIBITION

- A writ by a superior court commands a lower court or a corporation, board or person acting without or in excess of its
jurisdiction or with grave abuse of discretion, to desist from further proceedings in any action or matter.

MANDAMUS

- An order issued by a superior court commanding a lower court or a corporation, board or person to perform a certain
act which it is his duty to do.

QUO WARRANTO

- An action by the government to recover an office or franchise from an individual or corporation usurping or unlawfully
holding it.

JUDICIAL POWER

- It is the power to apply the laws to contests or disputes concerning legally recognized rights or duties of and
between the State and the private persons or between individual litigants in cases properly brought before the judicial
tribunals. It is vested in one Supreme Court and in such lower courts as may be established by law.

POWER OF JUDICIAL REVIEW

- It is the power of the Supreme Court to determine whether laws passed by Congress and acts of the President are in
accordance with the Constitution when the matter is raised.

NOTE: All courts have judicial power but only the Supreme Court has the power of judicial review.

JURISDICTION

It is the authority of the court to hear and try a particular offense and to impose the punishment provided by law.

VENUE

It refers to the place, location or site where the case is to be heard on its merits.

REQUISITES FOR A VALID EXERCISE OF CRIMINAL JURISDICTION:

1. The offense is one which the court is by law authorized to take cognizance of;
2. The offense must have been committed within its territorial jurisdiction; and
3. The person charged with the offense must have been brought to it for trial, forcibly, by warrant of arrest or upon
his voluntary submission to the court.

KINDS OF JURISDICTION

1. General – when the court is empowered to decide all disputes which may come before it except those assigned in
other courts.
2. Limited – when the court has the authority to hear and determine only a few specified cases.
3. Original - when the court can try and hear a case presented for the first time
4. Appellate – when the court can try a case already heard and decided by a lower court, removed from the latter
by appeal
5. Exclusive – when the court can try and decide a case which cannot be presented before any other court
6. Concurrent – when any of two or more courts may take cognizance of a case.

THE PHILIPPINE JUDICIARY

Batas Pambansa Blg. 129

RED NOTES 2022 31

 - This law is otherwise known as the Judiciary Reorganization Act of 1980 which defines the organization,
composition and jurisdiction of the courts.

I. REGULAR COURTS

1. SUPREME COURT (SC)

- The highest court of the land.
- Composed of a Chief Justice and 14 Associate Justices.
- It has appellate jurisdiction over cases decided by the Court of Appeals and has the power of judicial review.
- Known as the court of last resort.

2. COURT OF APPEALS (CA)

- Headed by a Presiding Justice and composed of sixty-eight (68) Associate Justices.
- It has appellate jurisdiction over cases decided by the Regional Trial Courts.
- It reviews not only the decisions and orders of the Regional Trial Courts nationwide but also those of the Court of
Tax Appeals

3. REGIONAL TRIAL COURTS (RTC)

- Presided by an RTC Judge.
- It has general jurisdiction over criminal cases and has jurisdiction over offenses punishable with imprisonment of
six (6) years and one (1) day and over.
- It has appellate jurisdiction over cases decided by the MTCC, MTC, MeTC and MCTC.

4. Municipal Trial Courts/Municipal Trial Courts in Cities/Municipal Circuit Trial Court/Metropolitan Trial
Court
Original Jurisdiction: (a) all violations of city and municipal ordinances; (b) all offenses punishable with
imprisonment not exceeding six (6) years irrespective of the amount of fine; and (c) damage to property through
criminal negligence.

MUNICIPAL TRIAL COURTS (MTC)

- Every municipality in the Philippines has its own Municipal Trial Court and every MTC covers only one municipality.

MUNICIPAL TRIAL COURTS IN CITIES (MTCC)

- These are the equivalent of the Municipal Trial Courts in cities outside Metropolitan Manila.

MUNICIPAL CIRCUIT TRIAL COURTS (MCTC)

- A Municipal Circuit Trial Court is a municipal trial court which covers two or more municipalities.

METROPOLITAN TRIAL COURTS (MeTC)

- are Municipal Trial Courts in the cities in the Metropolitan Manila Area as distinguished from the other political
subdivisions in the Philippines.

II. SPECIAL COURTS

1. SANDIGANBAYAN
- It was created under Presidential Decree No 1606.
- Its rank or level is equal to that of the Court of Appeals and Court of Tax Appeals.
- It is composed of a Presiding Justice and fourteen (14) Associate Justices.
- This special court is tasked to handle criminal cases involving graft and corruption and other offenses committed
by high- ranking public officers and employees in connection with the performance of their functions.
- It has original exclusive jurisdiction over public officers accused of committing crimes in relation to their official
functions and whose salary grade is 27 and above.

2. COURT OF TAX APPEALS (CTA)

- It was created by Republic Act No 1125, as amended by Republic Act No 9282.
- Its rank or level is equal to that of the Court of Appeals and Sandiganbayan.
- It is composed of a Presiding Justice and five (5) Associate Justices.
- It has both the original and appellate jurisdictions over civil and criminal tax cases involving the National Internal
Revenue Code, Tariff and Customs Code and the Local Government Assessment Code.

3. SHARI’A COURTS
- It was created pursuant to Presidential Decree 1083 otherwise known as the Code of Muslim Personal Laws of the
Philippines.
- It has exclusive jurisdiction over cases that pertain to family rights and duties as well as contractual relations of
Filipino Muslims. Decisions rendered by the Shari’a District Courts are final.

JUDICIAL AND BAR COUNCIL (JBC)

The Judicial and Bar Council or JBC is a body created by the 1987 Philippine Constitution under the supervision of
the Supreme Court. It has the principal function of recommending appointees to the Judiciary. All justices and judges
are appointed by the President from a list of at least three (3) nominees prepared by the Judicial and Bar Council.

RED NOTES 2022 32

 CRIMINAL PROCEEDINGS
A criminal proceeding consists of five main stages or parts:
1) Arraignment
2) Pre-trial
3) Trial
4) Judgment
5) Appeal

First Stage: ARRAIGNMENT

- The reading of the criminal complaint or information to the defendant, by the judge or clerk of court, and the
delivering to him a copy thereof, including a list of witnesses, and asking him whether he pleads guilty or not guilty as
charged.
- It is the stage where the accused is formally informed of the charges against him by reading before him the
information or criminal complaint and asking him whether he pleads guilty or not guilty as charged
- It is the stage where the issues are joined in criminal action and without which the proceedings cannot advance
further.
- It requires that the accused be personally or physically present in court.

Plea is the response of the accused when asked whether he is guilty or not guilty of the offense charged. It is of two
kinds:

1. guilty plea, which must be unconditional; and

2. not guilty.

SECOND STAGE: PRE-TRIAL

- It is a conference called by the judge that requires the presence of both the prosecution and the accused before
the beginning of a trial
- It is mandatory in all criminal cases

The following are to be taken up during the conference:

a. plea bargaining;
b. stipulation of facts;
c. marking for identification of evidence of the parties;
d. waiver of objections to admissibility of evidence;
e. modification of the order of trial if the accused admits the charge but interposes a lawful defense;
f. such other matters as will promote a fair and expeditious trial of the criminal and civil aspects of the case.

PLEA BARGAINING

- It is the process whereby the accused, the offended party and the prosecution work out a mutually satisfactory
disposition of the case subject to court approval

THIRD STAGE: TRIAL

Trial is the examination before a competent tribunal according to the laws of the land of the facts put in issue in a
case for the purpose of determining such issue. It is the period for the introduction of evidence by both parties.

- It is the period for the introduction of evidence by both parties.

- It shall in no case exceed 180 days from the first day of the trial except as otherwise provided by the Supreme Court.

FOURTH STAGE: JUDGMENT

- It is the adjudication by the court that the accused is guilty or not guilty of the offense charged and the imposition
of the proper penalty and civil liability.
- It is defined as the decision or sentence given by a court as a result of proceedings instituted therein.

Judgment of Conviction - if the judge finds the accused guilty of the charges against him.

Judgment of Acquittal - if the judge finds the accused not guilty of the charges against him.

Promulgation of Judgment – It is an official proclamation or announcement of the decision of the court. The
judgment is promulgated by reading in the presence of the accused and any judge of the court in which it was rendered.

A judgment becomes final:

1. when the period for perfecting appeal an appeal has lapsed;

2. when the sentence is partially or totally satisfied or served;
3. when the accused expressly waives in writing his right to appeal; and

RED NOTES 2022 33

 4. when the accused applies for probation.
FIFTH STAGE: APPEAL

- It is the elevation by an aggrieved party of any decision, order or award of a lower body to a higher body by means
of a document which includes the assignment of errors, memorandum of arguments in support thereof and the reliefs
prayed for.
- An appeal must be made within fifteen (15) days from promulgation of judgment, which is the period for perfecting
an appeal.
- The accused may or may not appeal his case.
- When the accused decides not to appeal his case, the decision becomes final and executory.
- On appeal, the State is represented by the Solicitor General.

FOURTH PILLAR: CORRECTIONS

- Corrections is the fourth component of the criminal justice system. Where some people viewed it as the “Weakest
Pillar” among the pillars of Criminal Justice System. It is the branch of administration of criminal justice charged with
the responsibility for the custody, supervision and rehabilitation of convicted offenders. It also deals with punishment,
treatment and incarceration of offenders.
- It is composed of the institutional and non-institutional agencies of the government.

PENOLOGY
- It is a branch of criminology which deals with the treatment, management and administration of inmates

PURPOSES/OBJECTVES OF MODERN CORRECTIONS:

1. RETRIBUTION
- Imprisonment is supposed to be the payment of the offender to the victim or the victim’s family for the crime he
committed against him or them.

2. DETERRENCE
- Imprisonment is supposed to discourage convicted offenders from committing crimes again because of their
experience in the prison or jail.

3. ISOLATION
- Convicted offenders are separated from society to prevent them from committing another crime
- At the same time, imprisonment protects law-abiding citizens from harm which criminals may inflict on them.

4. REFORMATION
- This involves the use of punitive and disciplinary measures such as solitary confinement to modify or reform
criminal behavior whose conduct and deportment is not totally responding to rehabilitation programs.

5. REHABILITATION
- Based on the premise that through correctional intervention such as educational and vocational training and
psychotherapeutic programs, an offender may be changed.

6. REINTEGRATION
- The effort of correction to change criminal behavior should result in a situation and ability on the part of the penitent
offender to return to society in some productive and meaningful capacity in a free community.

PENALTY
- It is the suffering that is inflicted by the State for the transgression of the law.

PUNISHMENT
- It is the redress that the State takes against the offender member of society

TIME WHEN CORRECTIONS ENTER INTO THE PICTURE IN THE ADMINISTRATION OF CJS

As a rule, correctional institutions enter into the picture when the conviction of the accused has become final and
executory and that is when the judicial process has been completed and the court issues MITTIMUS for the enforcement
of its decision.

Correctional institutions, jails in particular, may receive an accused for custody or detention only, in which case the
court issues a COMMITMENT ORDER.

MITTIMUS
- It is a warrant issued by a court bearing its seal and the signature of the judge directing the jail or prison authorities
to receive the convicted offender for service of sentence.

COMMITMENT ORDER
- It is a written order of a court or authority consigning a person to jail or prison for detention.

TWO DIVISIONS OF CORRECTIONS

RED NOTES 2022 34

 1) Institutional Corrections
2) Non-Institutional Corrections

INSTITUTIONAL CORRECTIONS

PRISON
- It is a confinement facility which has authority over an individual sentence by a court to imprisonment which is
administered by a national government.

JAIL
- It is primarily an adult penal institution used for the detention of law violators which is administered by a province, city
or municipality.

DEVELOPMENT OF CORRECTIONS IN THE PHILIPPINES:

OLD BILIBID PRISON

- It is known as the main penitentiary which was constructed in Azcarraga Street, Manila in 1847.
- It was formally opened on 10 April 1865 by a Royal Decree.
- It was later transferred to its new site in Muntinlupa

BUREAU OF PRISONS
- It was created pursuant to Act No 1407 otherwise known as the Reorganization Act of 1905 which was enacted on
1 November 1905 as an agency under the Department of Commerce and Police.
- It was renamed Bureau of Corrections (Bucor) pursuant to Executive Order No 292 dated 22 November 1989.

SEVEN (7) PRISONS AND PENAL FARMS IN THE PHILIPPINES

1. SAN RAMON PRISON AND PENAL FARM

- It was established in Southern Zamboanga on 21 August 1869.
- It was established during the tenure of Governor General Ramon Blanco. It was named after its patron saint.
- It was established originally for persons convicted of political crimes
- It is considered as the oldest penal facility in the Philippines.

2. IWAHIG PENAL COLONY

- It was established on 16 November 1904 in Puerto Princesa City, Palawan.
- Originally, it served as a depository for prisoners who could not be accommodated at the Old Bilibid Prison in Manila.
- It was classified as a penal institution in 1907 by virtue of Act No 1723.

3. CORRECTIONAL INSTITUTION FOR WOMEN (CIW)

- It was created by virtue of Act No 3579 enacted on November 1931.
- It is located at Welfareville, Mandaluyong City.
- It was established to accommodate female prisoners.
- The female prisoners from the Old BIlibid Prison were transferred to CIW on 14 February 1931.

4. DAVAO PENAL COLONY

- It is the first penal settlement founded and organized under Filipino Administration
- It was mestablished in 21 January 1932 by virtue of Act No 3732.
- It is located in the districts of Panabo and Tagum in Davao del Norte.

5. NEW/OLD BILIBID PRISON

- Originally, it was located in Manila before it was transferred to Muntinlupa City in 1935
- It was officially named the New Bilibid Prison on 22 January 1941
- It has three security facilities/camps:

a.maximum security – for those whose sentence is twenty years and above.
b.medium security – also called Camp Sampaguita; for those whose sentence is less than twenty years.
c.minimum security – also called Camp Bukang Liwayway; for those who are physically-handicapped, sixty-five (65)
years old and above, and those who have only six (6) months remaining in their sentence.

6. SABLAYAN PRISON AND PENAL FARM

- It was established on 27 September 1954 by virtue of Presidential Proclamation No 72
- It is located in Occidental Mindoro
- the facility where prisoners from the New Bilibid Prison are brought for decongestion purposes

7. LEYTE REGIONAL PRISON

- It was established on 16 January 1973 by virtue of Presidential Decree No 28.
- It is situated in Abuyog, Southern Leyte.
- It admits convicted offenders from Region 6 and from the national penitentiary in Muntinlupa

INSTITUTIONAL CORRECTIONAL AGENCIES IN THE PHILIPPINES

1. BUREAU OF CORRECTIONS (BUCOR)

RED NOTES 2022 35

 - It is an attached agency of the Department of Justice.
- Its principal task is for the rehabilitation of prisoners.
- It maintains its office at the New Bilibid Prison Compound in Muntinlupa City
- It exercises over-all control and supervision of all the corrections/prisons facilities nationwide
- It has custody of prisoners sentenced to imprisonment of more than three (3) years

2. Provincial Jails – These are jails for the safekeeping of prisoners at the capital of each province. They shall be
under the supervision and control of the provincial governors.

3. Bureau of Jail Management and Penology (BJMP) – It was created by virtue of Republic Act 6975. It exercises
supervision and control over all districts, city and municipal jails nationwide. It was formally established on January 2,
1991.

DETENTION PRISONERS – They are those held for security reasons, investigation and those awaiting or undergoing
trial and awaiting judgment

SENTENCED PRISONERS - those convicted by final judgment and are serving their sentence.

P.D. 29 – the law that classified prisoners

CLASSIFICATION OF PRISONERS

1. Detention Prisoners
a. Persons held for security reasons
b. Persons held for investigation
c. Persons waiting for final judgment
d. Persons waiting for trial

2. Sentenced Prisoners – prisoners who were convicted by judgment rendered by a competent court.

a.Municipal Jail Prisoners – Prisoners sentenced to serve a prison term of 1 day to 6 months.
b.City Jail Prisoners – Prisoners sentenced to serve imprisonment for 1 day to 3 years.
c.Provincial Jail Prisoners – Prisoners sentenced to serve imprisonment of 6 months and one day to 3 years.
d.National or Insular Prisoners – Prsinoners sentenced to serve imprisonment of 3 years and 1 day to Reclusion
Perpetua or Life Imprisonment.

PRISON
- It is derived from the Spanish word, “presidio”.
- It is under the supervision of the national government through the Bureau of Corrections under the Department of
Justice
- It has custody over convicted offenders whose sentence is imprisonment of three years and one day and
above

JAIL
- It is derived from Spanish words, “jaula” and “caula”
- It is under the supervision of the local government through either the Office of the Provincial Governor or Bureau of
Jail Management and Penology which are both under the Department of Interior and Local Government
- It has custody over convicted offenders whose sentence is imprisonment of three years or less.
- It has custody over offenders who are in detention while undergoing investigation, undergoing trial and awaiting
judgment.

NON-INSTITUTIONAL CORRECTIONS

1. BOARD OF PARDONS AND PAROLE

- It grants parole and recommends to the President the grant of any form of executive clemency to deserving prisoners
or individuals.
- It reviews reports submitted by the Parole and Probation Administration and makes necessary decisions
- It is a functional unit under the Department of Justice.

2. PAROLE AND PROBATION ADMINISTRATION

- It was originally called Probation Administration and was created by virtue of PD 968 of 1976 to administer the probation
system.
- It was renamed Parole and Probation Administration by EO No 292.
- Given the added function of supervising prisoners who, after serving part of their sentence in jails or prisons are
released on parole with parole conditions
- It is an attached agency to the Department of Justice.

3. Department of Social Welfare and Development (DSWD) – It renders services for Children in Conflict with
the Law (CICL) (RA 9344, Juvenile Justice and Welfare Act of 2006, April 28, 2006).
EXECUTIVE CLEMENCY
- It is the collective term for absolute pardon, conditional pardon, reprieve and commutation of sentence.

1. PARDON

RED NOTES 2022 36

 - It is a form of executive clemency granted by the President as a privilege extended to convicts as a discretionary
act of grace

TWO (2) KINDS OF PARDON

a. ABSOLUTE PARDON – It refers to the total extinction of the criminal liability of the individual to whom it is granted
without any condition whatsoever and restores to the individual his civil rights.
b. CONDITIONAL PARDON – It refers to an exemption of an individual within certain limits or conditions from the
punishment that the law inflicts for the offense he has committed resulting in the partial extinction of his criminal
liability

2. REPRIEVE
- It is the temporary stay of the execution of a sentence usually a death sentence.
- It is another prerogative exercised by the President.
- Generally, it is applied to death sentences already affirmed by the Supreme Court.

3. COMMUTATION OF SENTENCE
- An act of clemency by which a heavier or longer sentence is reduced to a lighter or shorter term.
- It refers to the reduction of the duration of a prison sentence
- It is another prerogative of the President

4. AMNESTY
- It a special form of pardon exercised by the President.
- It is a general pardon extended to a certain class of people who are usually political offenders.
- It needs the concurrence or approval of both houses of Congress.

PAROLE

- It a procedure by which prisoners are selected for release on the basis of individual response and progress within
the correctional institution and a service by which they are provided with necessary control and guidance as they serve
the remainder of their sentence within the community.
- It is provided under Act No 4103, the Indeterminate Sentence Law which took effect on 5 December 1933.

PROBATION

It is a disposition under which a defendant after conviction and sentence is released subject to conditions imposed
by the court and under the supervision of a probation officer. It is a privilege granted by the court to a person convicted
of a criminal offense to remain in the community instead of actually going to prison.
- It is provided under Presidential Decree No 986, the Probation Law of 1976.

FIFTH PILLAR: COMMUNITY

Role of the Community as the fifth pillar of the Criminal Justice System

The community is understood to mean as “elements that are mobilized and energized to help authorities in effectively
addressing the law-and-order concern of the citizenry.”

The responsibilities of the community in relation to Law Enforcement

As one of the pillars or components of the Criminal Justice system, the community with its massive membership has
vital responsibilities in law enforcement.

The citizens can achieve these roles by:

(a) identifying offenders;
(b) giving data about the illegal activities and cohorts of the criminals and the proliferation of organized crimes and
syndicates;
(c) volunteering as witnesses; or
(d) adopting precautionary and remedial measures to diminish crime.

As had been pointed out, crime prevention is not the sole responsibility of the police but is equally the concern
of every citizen in order to have a peaceful place to live in.

KATARUNGANG PAMBARANGAY (VILLAGE JUSTICE)

PD 1293 – It is known as the law “CREATING A KATARUNGANG PAMBARANGAY COMMISSION TO STUDY THE
FEASIBILITY OF RESOLVING DISPUTES AT THE BARANGAY LEVEL”.
- It was promulgated on 27 January 1978

PD 1508 – It is kmown as the law “ESTABLISHING A SYSTEM OF AMICABLY SETTLING DISPUTES AT THE BARANGAY
LEVEL”.

RA 7160 – It is otherwise known as the “LOCAL GOVERNMENT CODE OF 1991.

- It provides for the REVISED KATARUNGANG PAMBARANGAY LAW.

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 - It was enacted on 10 October 1991

LUPONG TAGAPAMAYAPA

- It is a body of men created to settle disputes within the barangay level. It is also referred to as the LUPON.
- The Lupon shall be composed of the Barangay Chairman as Chairman of the Lupon and the Barangay Secretary as the
Secretary of the Lupon, plus other members who shall be not less than ten (10) but not more than twenty (20).
- Any resident of the barangay of reputable character may be appointed as member of the Lupon. Members of the
Lupon shall be appointed by the Barangay Chairman.
- The Lupon shall be constituted every three years.
- A Lupon member shall serve for a period of three years.
- Essentially, the Lupon must provide a forum for matters relevant to the amicable settlement of disputes for the speedy
resolution of disputes.

PANGKAT TAGAPAGKASUNDO
- It shall act as the conciliation panel. It is also referred to as the PANGKAT.
- It shall be composed of three (3) members chosen from the members of the Lupon. They shall choose from among
themselves the Pangkat Chairman and Pangkat Secretary.
- The Pangkat shall be constituted whenever a dispute is brought before the Lupon.
- The members of the Pangkat shall be chosen by the parties of the dispute from among the Lupon members. In case
of disagreement, the Barangay Chairman shall draw lots.

What matters fall under the jurisdiction of the Lupon?

a. Those involving offenses that are punishable by imprisonment of one year and below, or a fine in the amount of
five thousand pesos and below;
b. Those involving parties who actually reside or work in the same barangay;
c. Those involving marital and family disputes;
d. Those involving minor disputes between neighbors;
e. Those involving real properties located in the barangay;

VENUE FOR AMICABLE SETTLEMENT

- Disputes between persons actually residing in the same barangay shall be brought for amicable settlement before the
Lupon of said barangay;
- Those involving actual residents of different barangays within the same city or municipality shall be brought in the
barangay where the respondent actually resides;
- All disputes involving real property or any interest shall be brought in the barangay where the real property or the
larger portion is situated;
- Those arising at the workplace where the contending parties are employed or at the institution where such parties are
enrolled for study shall be brought in the barangay where such workplace or institution is located.

PROCEDURE FOR AMICABLE SETTLEMENT

Any individual who has a cause of action against another individual involving any matter within the authority of the
Lupon may complain, orally or in writing, to the Lupon.

COMPLAINANT – the person who filed the complaint against the respondent.
RESPONDENT – the person who is being complained of.

CAUSE OF ACTION – It is an act or omission of one party in violation of the legal rights of another for which the
latter suffers damage which affords a party to a right to judicial intervention

What shall the Chairman do upon receipt of the complaint?

The Chairman shall meet with the respondent and complainant and mediate. If he fails in his mediation within fifteen
(15) days, he shall set a date for the constitution of the Pangkat.

MEDIATION OR CONCILIATION – the process whereby disputants are persuaded by the Punong Barangay or
Pangkat to amicably settle their disputes.

- What shall the Pangkat do after its constitution?

The Pangkat shall meet not later than three (3) days after their constitution on the date set by the Chairman to hear
both parties.

- Within how may days should the Pangkat settle the dispute?
The Pangkat shall arrive at a settlement of the dispute within fifteen (15) days from its meeting. This period may be
extended for another fifteen (15) days at the discretion of the Pangkat.
- The Pangkat shall meet not later than three (3) days after their constitution, on the date set by the Chairman, to hear
both parties.
- The Pangkat shall arrive at a settlement of the dispute within fifteen (15) days from its meeting. This period may be
extended for another fifteen (15) days at the discretion of the Pangkat.

RED NOTES 2022 38

 - All amicable settlements shall be in writing.
Why should parties’ resort to amicable settlement before going to the police?

Because it is a pre-condition to filing of complaint in court:

“No complaint involving any matter within the authority of the Lupon shall be filed directly in court unless there has
been a confrontation between the parties before the Chairman or the Pangkatb and that no conciliation or settlement
has been reached as certified by the Secretary or unless the settlement has been repudiated by the parties.”

The amicable settlement shall have the force and effect of a final judgment of a court upon the expiration of ten (10)
days from the date of settlement.

Criminal Justice System as Process

- Criminal Justice System refers to the “orderly progression of events from the time a person is arrested or taken out of
the community, investigated, prosecuted, sentenced, punished, rehabilitated, and eventually returned to the
community.”

RED NOTES 2022 39

 CRIM 3: Ethics and Values

PART ONE - GENERAL and SPECIAL ETHICS

ETHICS
- It is the science of the morality of human acts
- It is the study of the human motivation, and ultimately of human rational behavior
- It is derived from Greek words “ethos” which means a characteristic way of acting and “ethikos”, which means
customary.

MORALITY
- It is the quality which makes an act good or bad, good or evil, right or wrong.

MORAL DISTINCTIONS
1) moral - good, right
2) immoral - bad, wrong
3) amoral - neither good nor bad

HUMAN ACTS
- These are acts that are done knowingly, deliberately and freely.

ELEMENTS OF HUMAN ACTS:

1) KNOWINGLY
- When the person fully understands what he is doing and has the ability to appreciate the consequences of his actions.
2) DELIBERATELY
- When the person did his actions intentionally
3) FREELY
- When the person performed his actions voluntarily

TWO DIVISIONS OF ETHICS

1) GENERAL ETHICS
- It is the study of the general principles of morality.
2) SPECIAL ETHICS
- It is the study of the application of the general principles of morality; included in this division is the category of
professional ethics.

PROFESSIONAL ETHICS
- It a set of moral code to which every profession must subscribe
- guides the professional where the law is silent or inadequate

POLICE ETHICS
- It is an example of professional ethics.
- It is a practical science that treats the principle of human morality and duty as applied to law enforcement.

VALUES
- It is anything that a person considers important in life such as material things, ideas and experiences.

KINDS OF VALUES

1) BIOLOGICAL VALUES
- Those that are necessary for survival such as food, shelter, clothing, sex, water and sleep.
- These include physiological needs of man as a man.
2) PSYCHOLOGICAL VALUES
- Those are that are necessary for emotional fulfillment of man
such as relationships, companionship, family, friendships and love .
3) INTELLECTUAL VALUES
- Those that are necessary for the intellectual fulfillment of man, such as achievements, career and success.
4) MORAL VALUES
- Those that are necessary for the spiritual fulfillment of man.

VIRTUE
- It is a habit that inclines the person to act in a way that harmonizes with his nature.
- It is the habit of doing good.
- Its opposite is vice, the habit of doing bad.

FOUR MORAL/CARDINAL VIRTUES

1) PRUDENCE
- It is the ability to govern and discipline oneself by means of reason and sound judgment.
- It is a virtue that attracts the intellect to choose the most effective means for accomplishing what is morally good
and avoiding what is evil.

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 2) TEMPERANCE
- It is one’s ability to moderate or avoid something.
- It is a virtue that regulates the carnal appetite for sensual pleasures.
3) FORTITUDE
- It means firmness of mind.
- It is the courage to endure without yielding.
- It is a virtue that incites courage.

a) PATIENCE – It is calmness and composure in enduring situations.

b) PERSEVERANCE – It is the ability to go on despite the obstacles.
c) ENDURANCE – It is the ability to last.

4) JUSTICE
- It is the virtue that inclines the will to give to each one of his rights.

THREE DIVISIONS OF JUSTICE

1) COMMUTATIVE
- It is a virtue that regulates those actions that involve the rights that exist between one and another.
2) DISTRIBUTIVE
- It regulates those actions that involve the rights than an individual may claim from society.
3) LEGAL
- It is a virtue that regulates those actions which society may justly require of the individual for the common good

RIGHT
- It is anything that is owed or due.
- It is something to which a person has a just and lawful claim.
- It is anything that a person can lawfully demand.
HUMAN RIGHTS
- These are rights pertaining to the rights of man.
- These are rights inherent to man by virtue of being a human being.
- These are the supreme, inherent and inalienable rights to life, dignity and to self-development.

supreme rights = highest form of rights

inherent rights = rights attached to men as humans
inalienable rights = rights that cannot be transferred, cannot be borrowed and cannot be taken away

BASIC HUMAN RIGHTS

1) RIGHT TO LIFE
Exceptions:
self-defense
death under exceptional circumstances
death penalty
2) RIGHT TO LIBERTY
Exceptions:
for reasons of public health and public safety
penalty for commission of a crime
circumstances of warrantless arrests
3) RIGHT TO PROPERTY
Exceptions:
circumstances of warrantless search
by virtue of court order

BILL OF RIGHTS
- This is a list of individual liberties, freedom and rights which are guaranteed and protected under Article III of the
1987 Philippine Constitution.
- It is the protection of individuals against abuses of the State.
- This likewise pertains to protection of the rights of an accused.

DUTY
- It is anything we are obliged to do or to omit.
- It is a moral obligation incumbent upon a person of doing, omitting or avoiding.
- For every right, there is a corresponding duty.

PART TWO - THE PHILIPPINE NATIONAL POLICE CODE OF PROFESSIONAL CONDUCT AND
ETHICAL STANDARDS

BACKGROUND ON THE PNP CODE OF PROFESSIONAL CONDUCT AND ETHICAL STANDARDS

SECTION 37, RA 6975

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 “There shall be established a performance evaluation system which shall be administered in accordance with the
rules, regulations and standards, and A CODE OF CONDUCT promulgated by the Commission for members of the
PNP…”

NAPOLCOM RESOLUTION NO 92-4

- A resolution issued by the NAPOLCOM approving the draft of the Philippine National Police Code of Professional
Conduct and Ethical Standards by the PNP
- It was approved on 12 March 1992.

PURPOSES OF THE CODE

1) To foster individual efficiency, behavioral discipline and organizational effectiveness as well as respect for
constitutional and human rights of citizens, democratic principles and ideals and the supremacy of civilian authority
over the military;
2) To set the moral tone and norms of professional conduct in the police service;
3) To provide moral and ethical guidance to all PNP members; and
4) To enlighten members of the police service of what behavior is really acceptable – to define what is permitted and
what is prohibited.

LAWS RELATED TO THE PNP CODE

1) RA 3019 – Anti-Graft and Corruption Practices Act
2) RA 6713 – Code of Conduct and Ethical Standards for Public Officials and Employees
3) RA 7080 – Anti-Plunder Act
4) RA 9485 – the Anti-Red Tape Act of 2007
5) PLEB Rules and Regulations

IMPORTANT TERMS

NON-FEASANCE
- It is the failure to perform an act or duty that is part of one’s obligation without sufficient excuse.

MALFEASANCE
- It is the commission of an act that one is prohibited to do.

MISFEASANCE
- It is the improper or incorrect performance of an act that should be done or performed

INCOMPETENCY
- It is the lack of adequate ability and fitness for the satisfactory performance of police duties. It could be due to
physical or intellectual limitations or lack of skill.

DISLOYALTY TO THE GOVERNMENT

- It is the abandonment or renunciation of one’s loyalty to the government of the Philippines.
- It is advocating to overthrow the present administration.

POLICE DISCRETION
- It is the act or the liberty to decide according to the principles of justice and the police officer’s ideas of what is right
and proper under the circumstances.

THE LAW ENFORCEMENT CODE OF ETHICS

As a law enforcement officer, my fundamental duty is to serve mankind; to safeguard life and property; to
protect the innocent against deception; the weak against oppression or intimidation; and the peaceful against violence
or disorder; and to respect the constitutional rights of all men, to liberty, equality and justice.

I will keep my private life unsullied as an example to all; maintain courageous calm in the face of danger, scorn or
ridicule; develop self-restraint and be constantly mindful of the welfare of others. Honest in thought and deed in both
my personal and official life, I will be exemplary in obeying the laws of the land and regulations of my organization.
Whatever I see or hear of a confidential nature or that is confided to me in my official capacity will be kept ever secret
unless revelation is necessary in the performance of my duty.

I will never act officiously or permit personal feelings, prejudices, animosities or friendship to influence my decision.
With no compromise for crime and with relentless prosecution of criminal, I will enforce the law courteously and
appropriately, without fear or favor, malice or ill-will, never employing unnecessary force or violence and never
accepting gratuities in return.

I recognize the badge of my office as a symbol of public faith and I accept it as a public trust to be held so long as I
am true to the ethics of police service. I will never engage in acts of corruption or bribery, nor will I condone such acts
by other police officers. I will cooperate with all legally authorized agencies and their representatives in the pursuit of
justice.

RED NOTES 2022 42

 I know that I alone am responsible for my own standard of professional performance and will take every reasonable
opportunity to enhance and improve my level of knowledge and competence. I will constantly strive to achieve these
objectives and ideals, dedicating myself before God to my chosen profession... law enforcement.

PHILIPPINE NATIONAL POLICE CODE OF PROFESSIONAL CONDUCT AND ETHICAL STANDARDS

CANONS OF POLICE ETHICS

1) Primordial Police Responsibility

- The primary responsibility of the police is crime prevention.
2) Limitation of Police Authority
- Laws set limits to the power of the police.
- Police officers are not exempted from obeying the laws they enforce.
3) Knowledge of the Law and other Responsibilities
- Police officers are expected to know and understand the laws they enforce.
- Police officers must fully understand their duties and responsibilities.
- Police officers must know and fully understand the relationship of the PNP organization with other law enforcement
agencies and other government agencies
4) Use of Proper Means to Obtain Proper Ends
- Police officers must only employ legal methods in the conduct of their work.
5) Cooperation with Public Officials
- Police officers must cooperate with other public officials and government agencies.
6) Proper Conduct and Behavior
- Police officers must always observe proper conduct and behavior both in their personal and official life.
7) Conduct towards the Community
- Police officers must never forget that they are public servants.
8) Conduct in Arresting Law Violators
- Police officers must always adhere to the prescribed rules when effecting arrests of suspects
9) Firmness in Refusing Gifts
- Police officers must never ask for nor accept gifts or special favors.
10) Impartial Presentation of Evidence
- Police officers must be fair in presenting evidence.
11) Attitude towards Police Profession
- Police officers must have a high regard for the police profession and must be proud that they are police officers.
- Police officers must strive to improve their knowledge and skills in order be the best police officers that they can be.

PROFESSIONAL POLICE PRINCIPLE

1) Prevention of Crime and Disorder

- It is the primary objective of the police to prevent crime.
2) Cooperation of the Community
- The police are dependent upon community support.
3) Unreasonable Force Reduces Community Cooperation
- The use of unreasonable force on the part of the police negatively affects the desire of the people to cooperate with
the police.
4) Use of Reasonable Force when Persuasion is not Sufficient
- The police may only use force when dialogue is no longer effective and the degree of force to be used must be
reasonable.
5) Impartial Enforcement of Laws
- The police must be fair in enforcing the laws.
6) The Community are the Police
- The police and the community are dependent on each other and must work hand in hand to prevent crimes.
7) Police should not Usurp Judicial Power
- The police have no power or authority to decide whether a suspect is guilty or innocent of a crime because only the
court has this power.
8) Rules of Engagement Impartially Observed
- The police must always adhere to the prescribed procedures in the performance of their duty.
9) Reduction of Crime and Disorder
- The effectiveness of the police is measured through the ability of the police to prevent crime.
10) Police Discretion
- The police must never abuse the police discretion granted to them.
PNP CORE VALUES
1) Love of God
2) Respect for Authority
3) Selfless Love and Service to People
4) Sanctity of Marriage and Respect for Women
5) Responsible Dominion and Stewardship over Material Things
7) Truthfulness

POLICE OFFICER’S CREED

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 I believe in God, the Supreme Being, a Great Provider, and the Creator of all men and everything dear
to me. In return, I cannot less than love Him above all, seek His guidance in the performance of my sworn duties and
honor Him at all times.

I believe that respect for authority is a duty. I respect and uphold the Constitution, the laws of the land and
the applicable rules and regulations. I recognize the legitimacy and authority of the leadership and follow and obey
legal orders of my superior officers.

I believe in selfless love and service to people. Towards this end, I commit myself to the service of my
fellowmen over and above my personal convenience.

I believe in the sanctity of marriage and respect for women. I shall set the example of decency and morality
and shall have high regard for family life and chastity.

I believe in responsible dominion and stewardship over material things. I shall inhibit myself from
ostentatious display of my property. I shall protect the environment and conserve nature to maintain ecological balance.
I shall respect private and public properties and prevent others from destroying them.

I believe in the wisdom of truthfulness. I must be trustworthy and I shall speak the truth at all times as required
by the profession.

PNP STAND OF BASIC ISSUES

1) PNP IMAGE
- The PNP shall live in accordance with the PNP Core Values and shall possess the following virtues:
a) HONOR
b) INTEGRITY
c) VALOR
d) JUSTICE
e) HONESTY
f) HUMILITY
g) CHARITY
h) LOYALTY TO SERVICE
2) CAREER MANAGEMENT
- The PNP shall formulate and implement policies and human resources development system for all PNP personnel
from recruitment to retirement
3) POLICE MANAGEMENT LEADERSHIP
- The primary basis for consideration in the selection of personnel for employment and deployment shall be the
individual’s capabilities and competent leadership
4) EQUALITY IN THE SERVICE
- There shall be judicious and equitable distribution of opportunity to prove one’s worth in the PNP service.
- The PNP shall strictly adhere to the rule of merit and fitness system.
5) DELICADEZA
- All members of the PNP must have moral courage to sacrifice self-interest
6) POLICE LIFESTYLE
- The PNP shall endeavor to promote a lifestyle that is acceptable and respectable in the eyes of the public because
the public expects a police officer to live a simple, yet dignified life.
7) POLITICAL PATRONAGE
- All PNP members must inhibit themselves from soliciting political patronage in matters pertaining to assignments,
promotions, trainings and awards
8) HUMAN RIGHTS
- All PNP members shall respect and protect human dignity and man’s rights to life, liberty and property.

POLICE PROFESSIONAL CONDUCT

1) COMMITMENT TO DEMOCRACY
- Police officers must commit themselves to a democratic way of life and values and maintain the principle of public
accountability.
- They shall at all times uphold the Constitution and be loyal to the legitimate government.
2) COMMITMENT TO PUBLIC INTEREST
- Police officers must always uphold public interest over and above personal interest.
- They shall use public resources and properties economically and judiciously to avoid wastage of public funds.

3) NON-PARTISANSHIP
- Police officers shall provide services to everyone without discrimination regardless of political affiliation in
accordance with existing laws and regulations.

4) PHYSICAL FITNESS AND HEALTH

- Police officers shall strive to be physically and mentally fit and in good health at all times.
5) SECRECY DISCIPLINE
- Police officers shall guard the confidentiality of official information against unauthorized access and disclosure.
6) SOCIAL AWARENESS
- Police officers, as well as their immediate family members shall be encouraged to actively get involved in religious,
social and civic activities to enhance the image of the PNP organization.

RED NOTES 2022 44

 7) NON-SOLICITATION OF PATRONAGE
- Police officers shall seek self-improvement through career development without directly or indirectly soliciting favors
or recommendation from politicians, high-ranking government officials and the like.
8) PROPER CARE AND USE OF PUBLIC PROPERTY
- Police officers shall be responsible for the security, proper care and use of public authority issued to them for the
performance of their duties.
9) RESPECT FOR HUMAN RIGHTS
- Police officers shall respect and protect human rights in the performance of their duty.
10) DEVOTION TO DUTY
- Police officers shall perform their duties with dedication, thoroughness, efficiency, enthusiasm, determination and
manifest concern for public welfare.
11) CONSERVATION OF NATURAL RESOURCES
- Police officers shall help in the development and conservation of our natural resources for ecological balance and
posterity.
12) DISCIPLINE
- Police officers shall conduct themselves properly at all times in keeping with the rules and regulations of the
organization.
13) LOYALTY
- Police officers must be loyal to the Constitution and to the police service as manifested by their loyalty to their
superiors, peers and subordinates as well.
14) OBEDIENCE TO SUPERIORS
- Police officers shall obey lawful orders and be courteous to superior officers and other appropriate authorities.
15) COMMAND RESPONSIBILITY
- Immediate commanders shall be responsible for the effective supervision, control and direction of their personnel.

ETHICAL STANDARDS

- These shall refer to established and generally accepted moral values and ethical acts.

1) MORALITY
- Police officers must adhere to high standards of morality and decency and shall set good example for others.
2) JUDICIOUS USE OF AUTHORITY
- Police officers shall exercise proper and legitimate use of authority and discretion in the performance of their duty.
3) INTEGRITY
- Police officers shall not allow themselves to be victims of corruption and dishonest practices.
4) JUSTICE
- Police officers shall strive constantly to respect the rights of others.
5) HUMILITY
- Police officers shall recognize the fact that they are public servants and not the masters of the people.
- They should perform their duties without arrogance.
- They should recognize their own inadequacies, inabilities and limitations as individuals.
- They should perform their duties without attracting attention or expecting the applause of others.
6) ORDERLINESS
- Police officers shall follow logical procedures in accomplishing tasks assigned to them to minimize wasted time and
resources.
7) PERSEVERANCE
- Police officers must exert all efforts to achieve their goal or mission even in the face of difficulties and obstacles.

PNP CUSTOMS AND TRADITIONS

CUSTOMS
- These are established usages or social practices carried on by tradition that have obtained the force of law.

PNP CUSTOMS ON COURTESY

- A manifestation or expression of consideration and respect for others.

SALUTE
- The usual greeting rendered by uniformed personnel upon meeting and recognizing persons entitled to it.

SALUTE TO NATIONAL COLOR AND STANDARD

- Police officers must stand at attention and salute the national color and standards as it passes by them or when
the national color is raised or lowered during ceremonies

ADDRESS/TITLE
- Junior in rank must address senior members who are entitled to a salute with the “Sir” or “Ma’am”

COURTESY CALLS
1) COURTESY CALL OF NEWLY-ASSIGNED/APPOINTED MEMBER
- PNP members who are newly-assigned or appointed to a unit or command must call on the chief of the unit or
command and to other key personnel for accounting, orientation and other purposes.
2) CHRISTMAS CALL
- PNP members pay a Christmas call on their local executives in their respective area of responsibility.
3) NEW YEAR’S CALL

RED NOTES 2022 45

 - PNP members pay a New Year’s call on their commanders and/or key officials in their respective area of
responsibility.
4) PROMOTION CALL
- Newly-promoted PNP members call on their unit head.
5) EXIT CALL
- PNP members pay an exit call on their superiors in the unit or command when relieved or reassigned out of said
unit or command.
COURTESY OF THE POST
- The host unit extends hospitality to visiting personnel who pay respect to the command or unit.

“RANK-HAS-ITS-OWN-PRIVILEGE”
- PNP members must acknowledge that different ranks carry with them corresponding privileges.

CEREMONY
- It is a formal act or set of formal acts established by customs or authority as proper to special occasion.

PNP CUSTOMS ON CEREMONIES

FLAG-RAISING CEREMONY
- PNP members honor the flag by raising it and singing the National Anthem before the start of the official day’s
work.

FLAG-RETREAT CEREMONY
- PNP members salute the lowering of the flag at the end of the official day’s work.

HALF-MAST
- The flag is raised at half-mast in deference to deceased uniformed members of the command.

FUNERAL SERVICE AND HONORS

- Departed uniformed members, retirees, war veterans or former PNP members are given vigil, necrological services
and graveside honors.

CEREMONY TENDERED TO RETIREES

- In recognition of their long, faithful and honorable service to the PNP, a testimonial activity shall be tendered in
their honor.

HONOR CEREMONIES
- Arrival and departure honor ceremonies are rendered to visiting dignitaries, VIPs, PNP officers with the rank of Chief
Superintendent and above and AFP officers of equivalent grade.

TURN-OVER CEREMONY
- The relinquishment and assumption of command or key position is publicly announced by the outgoing and incoming
officers.

WEDDING CEREMONY
- During marriage of PNP members, a ceremony is conducted with participants in uniform and swords drawn.

ANNIVERSARY
- The birth or institutional establishment of a command or unit is commemorated in an anniversary ceremony.

SOCIAL DECORUM
- A set of norms and standards practiced by members during social and other functions.

PNP CUSTOMS ON SOCIAL DECORUM

UNIFORM/APPEARANCE

- Police officers must observe the following:

a) wearing of prescribed uniform;
b) wearing, as part of the uniform, awards and decorations earned in accordance with the prescribed rules and
regulations; and
c) adherence to haircut prescribed by rules and regulations.

MANNER OF WALKING
- Every PNP officer is expected to walk with pride and dignity.

OTHER POLICE CUSTOMS

1) Visiting the Sick

- Immediate commanders or other available officers of the unit visit PNP members who are sick in the hospital, their
residence or any place of confinement in order that their needs are attended to.
2) Survivor Assistance to Heirs of Deceased Members

RED NOTES 2022 46

 - A survivor officer is designated whenever PNP members die to render maximum assistance to their bereaved family
until all benefits due shall have been received.
3) Visiting Religious Leaders
- PNP officers visit religious leaders in their areas of assignment to establish or maintain rapport and cooperation
between the different religious leaders and the PNP.
4) Athletics
- PNP members indulge in physical fitness activities to ensure that their proper physical appearance and bearing are
maintained with the waist line measurement always smaller than the size of his chest and in conformity with the
standard set forth by the organization.
5) Happy Hours
- Usually on Friday, or any other day suitable for the occasion, PNP members gather together at their PNP Club for a
light-hearted jesting or airing of minor gripes.

TRADITION
- A body of beliefs, stories, customs and usages handed down from generation to generation with the effect of an
unwritten law.

POLICE TRADITIONS

1) SPIRITUAL BELIEFS
- PNP members are traditionally religious and God-loving persons. They attend religious services together with the
members of their family.
2) VALOR
- Police officers sacrifice their lives and limbs for the people they have pledged to serve.
3) PATRIOTISM
- Police officers manifest their love of country with a pledge of allegiance to the flag and a vow to defend the
Constitution.
4) DISCIPLINE
- Police officers manifest discipline by instinctive obedience to lawful orders and through spontaneous actions towards
attainment of organizational objectives guided by moral, ethical and legal norms.
5) GENTLEMANLINESS
- Police officers are upright in character, polite in manners, dignified in appearance and sincere in their concern for
their fellowmen.
6) WORD OF HONOR
- Police officers stand by and commit to uphold their word.
7) DUTY
- Police officers are dedicated public servants who perform their tasks with a deep sense of responsibility and self-
sacrifice.
8) LOYALTY
- Police officers are traditionally loyal to the organization, country and fellowmen.

9) CAMARADERIE
- The binding spirit that enhances teamwork and cooperation in the police organization.

POLICE OFFICER’S PLEDGE

1) I will love and serve God, my country and people;

2) I will uphold the Constitution and obey legal orders of the duly-constituted authorities;
3) I will oblige myself to maintain a high standard of morality and professionalism;
4) I will respect the customs and traditions of the police service; and
5) I will live a decent and virtuous life and to serve as an example to others.

PART THREE - POLICE-COMMUNITY RELATIONS (PCR)

BACKGROUND ON POLICE-COMMUNITY RELATIONS

Section 2 of Republic Act No 6975 reads:

SECTION 2. Declaration of Policy. — It is hereby declared to be the policy of the State to promote peace and order,
ensure public safety and further strengthen local government capability aimed towards the effective delivery of the
basic services to the citizenry through the establishment of a highly efficient and competent police force that is national
in scope and civilian in character. Towards this end, the State shall bolster a system of coordination and
cooperation among the citizenry, local executives and the integrated law enforcement and public safety
agencies created under this Act.

Said provision was later amended by R.A. 8551, which reads:

Section 2. Declaration of Policy and Principles. — It is hereby declared the policy of the State to establish a highly
efficient and competent police force which is national in scope and civilian in character administered and controlled by
a national police commission.

RED NOTES 2022 47

 The Philippine National Police (PNP) shall be a community and service-oriented agency responsible for the
maintenance of peace and order and public safety.

PNP VISION

The Men and Women of the PNP is committed to a vision of a professional, dynamic and highly motivated Philippine
National Police working in partnership with a responsive community towards the attainment of a safe place to
live, work, invest and do business with.

PNP MISSION

To enforce the law, to prevent and control crimes, to maintain peace and order and to ensure public safety and
internal security with the active support of the community.

IMPORTANT TERMS

POLICE
- A group of persons established, maintained and organized for keeping order, safety, protection of lives and property
and for prevention and detection of crimes.

COMMUNITY
- It refers to the civilian populace or the public in general, and shall be used interchangeably with the terms, public,
citizenry, society and private sector.
- It is a body of people organized into political, municipal or social unity or a body of persons living in the same locality
- It is derived from Latin words, “communis” which means common, and “tatis” which means fellowship.

POLICE-COMMUNITY RELATIONS
- The sum total of the dealings between the police and the people it serves and whose goodwill and cooperation it
craves for the greatest possible efficiency in the service.
- This refers to reciprocal attitudes of the police and the community.

PUBLIC RELATIONS
- The act of bringing about better understanding, confidence and acceptance for an individual or an organization.

POLICE PUBLIC RELATIONS

- The continuing process by which endeavors are made to obtain the goodwill and cooperation of the public for effective
enforcement of the law and accomplishment of the police purposes.

HUMAN RELATIONS
- These consist of the fundamental rules both moral and legal which govern the relationship of men in all aspects of
life.

MEDIA/MASS MEDIA
- The channels through which information is disseminated to the public.
- These may be in the form of television, movies, radio or newspaper and the like.

PROPAGANDA
- The planned use of mass communication for public purpose.

POLICE PUBLIC IMAGE

- This refers on how the people in the community perceive or regard the police.

PRINCIPLES OF POLICING BY SIR ROBERT PEEL

1) The basic mission for which police exist is to prevent crime and disorder as an alternative to the repression of crime
and disorder by military force and severity of legal punishment.
2) The ability of the police to perform their duties is dependent upon public approval of police existence, actions and
behavior and the ability of the police to secure and maintain public respect.
3) The police must secure the willing cooperation of the public in voluntary observance of the law to be able to secure
and maintain public respect.
4) The degree of the cooperation of the public that can be secured diminishes proportionately the necessity for the
use of physical force and the compulsion in achieving police objectives.
5) The police seek and preserve public favor not by catering to public opinion but by constantly demonstrating
absolutely impartial service to the law in complete independence of policy and without regard to the justice or injustice
of the substance of individual laws; by ready offering of individual service and friendship to all members of society
without regard to their race or social standing; by ready exercise of courtesy and friendly good humor; and; by ready
offering of individual sacrifice in protecting and preserving life.
6) The police should use physical force to the extent necessary to secure observance of the law or to restore order
only when the exercise of persuasion, advice and warning is found to be insufficient to achieve police objectives and
police should use only the minimum degree of physical force that is necessary on any particular occasion for achieving
police objectives.

RED NOTES 2022 48

 7) The police at all times should maintain a relationship with the public that gives reality to the historic tradition that
the police are the public and the public are the police; the police are only members of the public who are paid to give
full-time attention to duties that are incumbent on every citizen in the intent of community welfare.
8) The police should always direct their actions toward their functions and never appear to usurp the powers of the
judiciary by avenging individuals or the State or authoritatively judging guilt or punishing the guilty.
9) The test of police efficiency is the absence of crime and disorder not the visible evidence of police action in dealing
with them.

FOUNDATION OF COMMUNITY RELATIONS

The foundation of community relations is EFFICIENT SERVICE.

REQUIREMENTS FOR GOOD COMMUNITY RELATIONS

1) Sincerity in serving the public;

2) Full knowledge of the job;
3) Deep conviction in the mobility of his work as a necessary service to promote individual or national welfare;
4) Sound police ethics;
5) High standard of management and operation.

THREE (3) ASPECTS OF POLICE-COMMUNITY RELATIONS

1) COMMUNITY SERVICE
- This refers to activity that provides service to the community
- It may be in the form of medical-dental mission, sports clinic, feeding program, seminar, etc.
2) COMMUNITY PARTICIPATION
- This refers to the involvement of the community in the various social projects, particularly in the area of crime
prevention.
- It is the awareness of the community of their role in crime prevention.
3) PUBLIC RELATIONS
- This refers to activities directed at creating and maintaining favorable impressions to the public.
- It likewise refers to the projection of the police public image to the people to gain their support and cooperation.

OBJECTIVES OF POLICE-COMMUNITY RELATIONS

1) To maintain and develop the goodwill and confidence of the community for the police;
2) To obtain cooperation and assistance;
3) To develop public understanding and support and appreciation for the service of the police;
4) To create broader understanding and sympathy with the problems and needs of the police;
5) To facilitate law enforcement and compliance;
6) To build public opinion in favor of the police; and
7) To achieve the police purpose of preserving the peace, protection of life and property, and the prevention of crime.

PRINCIPLES OF POLICE-COMMUNITY RELATIONS

1) Community support must be maintained.

2) Community resentment must be avoided.
3) Community goodwill must be developed.
4) Community must be kept informed.

FOUR (4) GENERAL APPROACHES IN POLICE-COMMUNITY RELATIONS

1) Externally-Oriented Approach
- It is directed towards the general public or various enclaves within the society.
2) Youth-Oriented Approach
- directed the majority of police efforts towards the youth of the community
3) Service-Oriented Approach
- The emphasis is given to the alleviation of social problems as the basic objective of the program.
4) Internally-Oriented Approach
- Its essential characteristic is the realization that the officer on beat creates community relations because “Every
officer of the organization is a police-community relations officer”.

TYPES OF POLICE-COMMUNITY RELATIONS

1) Public Information Program

- It is designed to bridge the communication gap between the police and the public

Forms of Media Used:

a) Personal Media
- They consist of face-to-face communication such as meetings, rallies, delivering speeches and house-to-
house visitation.
b) Mass Media
- They include printed matter and audio-visual communications.

RED NOTES 2022 49

 2) Public Relations Program
- It is designed to maintain harmony and mutual support between the police and the community.
- It is designed to “sell” the police to the public.

3) Civic Action Program

- It is designed to maintain and encourage community development.
4) Psychological Program
- It is designed to condition both friendly and hostile public ensuring the facilitation of the attainment of police
objectives.

DUTIES OF PUBLIC RELATIONS OFFICER

1) He shall issue press releases from time to time regarding police activities which are of public concern;
2) He shall build good image through actual commendable performance without inefficiency and corruption;
and
3) He shall evaluate public opinion and attitude with respect to policies, methods and personnel of the police
station.

DUTIES OF CIVIC ACTION OFFICER

1) He shall encourage and actively participate in athletic competitions to promote youth development by wisely
coordinating with the social elements of the populace;
2) He shall initiate fund-raising campaigns for juvenile delinquents who are being rehabilitated;
3) He shall be alert to safeguard the community against loss and damage to properties and possible death in
the event of calamity;
4) He shall render possible assistance especially to the men folk in enabling them to obtain the means of
productive endeavors and discourage them from loitering in the street or engaging uneconomic activities such as illegal
gambling and others

MEASURES TO ENHANCE POLICE PUBLIC IMAGE

1) Increase police visibility through the dispersal of personnel from the headquarters to the field offices;
2) Efficient and optimized delivery of police services to the communities;
3) Constant dialogue and meetings with the barangay officials in their respective territorial jurisdictions;
4) Community service-oriented policing by conducting seminars for the traffic aides, police aides and the
barangay tanods; and
5) Coordination with the media for image-enhancing projects.

CRIM 4: Juvenile Delinquency and Crime Prevention

DELINQUENCY IN GENERAL

- Delinquency refers to any action; course or conduct that deviates from acts approved by the majority of people.
- Delinquency, therefore, is a general term for any misconduct or misbehavior that is tantamount to felony or offense.
- It is a description of those acts that do not conform to the accepted rules, norms and mores of the society
(sociological definition).
- It is, however, distinct from crime in the sense that the former may be in the form of violation of law, ordinance or
rule but it is punishable only by a small fine or short-term imprisonment or both.
- Legally speaking, delinquency means the failure to perform an act required by law, or the non-performance of a
duty or obligation that is mandated by existing law or rule.

JUVENILE DELINQUENCY

- It is an anti-social behavior or act which does not conform with the standards of society.
- Youth behavior which is against the norms and regulations of society which if left unchecked would give rise to
criminality
- It describes a large number of disapproved behavior of children or youth.
- It is considered as anti-social acts or behavior of children which deviate from the normal pattern of rules and
regulations, custom and culture which society does not accept and which therefore justify some kind of admonition,
punishment or corrective measures in the interest of the public.

JUVENILE
- A child or a young person, who, under the legal system may be dealt with for an offense in a manner different from
that of an adult.
- A minor, a youth, or who is not yet emancipated by law.
- Refers to a person of tender years.
- A person below the age of majority, that is, below eighteen years old, or who is unable to fully take care of
himself from abuse, neglect, cruelty, exploitation or discrimination because of physical or mental disability or conditions.

JUVENILE DELINQUENT

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 - Juveniles are young people who are regarded as immature or one whose mental as well as emotional faculties are
not fully developed thus, making them incapable of taking full responsibility of their actions.
- In legal points, the term juvenile is a person subject to juvenile court proceedings because of a statutorily defined
event or condition caused by or affecting that person and was alleged to have occurred while his or her age was below
the specified age limit.
- In view of the above, juvenile delinquents are youthful offenders and have been adjudicated as such by the court
of proper jurisdiction.
- The term should only be applied to children who commit criminal offenses and is in need of supervision or treatment.

AGE OF MAJORITY
- It commences at the age of eighteen (18) years.

EMANCIPATION
- It is freedom from parental authority, both over his person and property.
- It happens upon reaching the age of eighteen years.

RA 6809
- It is the law which amends the age of majority.
- It lowered the age of majority from twenty-one (21) to eighteen (18) years.
- It was approved on 13 December 1989

DELINQUENT
- One whose behavior has brought him into repeated conflict with the law regardless of whether or not he has been
taken before a court and adjudged as a delinquent.
- one who has committed an offense that violated the approved norms of conduct and is guilty of a misdeed

STATUS OFFENSES
- These are certain acts or omissions which may not be punishable socially or legally if committed by adults but
become anti-social or illegal because the offender is a minor, such as:
a) truancy or frequent unreasonable absenteeism from school;
b) use of profane language;
c) running away from home;
d) smoking and drinking alcoholic beverages;
e) disobedience to parents, guardians or school officials
f) mendicancy or begging in the streets;
g) association with delinquent gangs; or
h) curfew violations.

ANTI-SOCIAL BEHAVIOR
- It is characterized by disobedience to, or disrespect to authorities.

PARENS PATRIAE (“father of the country”)

- It is a doctrine that does not consider delinquent acts as criminal violation. Thus, making delinquents non-criminal
persons and cannot be found guilty of a crime and punished like an adult criminal.
- It views minor who violates laws as victims of improper care, custody and treatment at home.
- It is the assumption by the State of the role of guardian over children whose parents are deemed incapable or
unworthy.
- It is the authority of the state to act on behalf of the children.

FAMILY IMMUNITY DOCTRINE

- Legal doctrine preventing unemancipated children from suing their parents.

FAMILY PURPOSE DOCTRINE

- Legal doctrine holding parents liable for injuries caused by a child's negligent driving or other actions.

FOSTER CARE

- Temporary care funded via Federal-State passthrough and arranged by a child welfare agency in order to allow
receipt of adequate food, clothing, shelter, education, and medical treatment for anyone raising a child that is not their
own.

GUARDIAN AD LITEM

- Phrase meaning "For the Proceeding" referring to adults who look after the welfare of a child and represent their
legal interests.

THREE TYPES OF DELIQUENCY

1) ENVIRONMENTAL DELINQUENTS
- Characterized by occasional law-breaking.

RED NOTES 2022 51

 2) EMOTIONALLY MALADJUSTED DELINQUENTS
- Characterized by chronic law-breaking; a habit which this type cannot avoid or escape from.

3) PSYCHIATRIC DELINQUENTS
- Characterized by serious emotional disturbances within the individual and in some cases associated with tendencies
towards mental illness.

TYPES OF DELINQUENT YOUTH

1) SOCIAL
An aggressive youth who resents authority of anyone who makes an effort to control his behavior.

2) NEUROTIC
One who has internalized his conflicts and is preoccupied with his own feelings.

3) ASOCIAL
- One whose delinquent acts have a cold, brutal and vicious quality for which the youth feel no remorse.

4) ACCIDENTAL
- One who is essentially sociable and law-abiding but happens to be at the wrong time and place and becomes
involved in delinquent acts not typical of his general behavior.

DIFFERENT APPROACHES IN THE STUDY OF DELINQUENCY

1) BIOGENIC APPROACH
- It gives an explanation that law violations and delinquency are a result of some physical defects.

2) PSYCHOGENIC APPROACH
- It argues that the critical factors in delinquency are personality problems to which misbehavior is presumed to be
the response.

3) SOCIOGENIC APPROACH
- It attributes delinquency pattern to social structures.
- It views youthful misdeed as a result of a learning process through interactions with other members of society.

In general, the approaches in the study of crime are:

1. subjective approach,
2. objective approach and
3. The contemporary approach.
SUBJECTIVE APPROACHES
- It deals mainly on the biological explanation of crimes, focused on the forms of abnormalities that exist in the
individual criminal before, during and after the commission of the crime (Tradio, 1999). Included under this approach
are:

1. ANTHROPOLOGICAL APPROACH – the study on the physical characteristics of an individual offender with non-
offenders in the attempt to discover differences covering criminal behavior (Hooton).
2. MEDICAL APPROACH - the application of medical examinations on the individual criminal explains the mental
and physical condition of the individual prior and after the commission of the crime (Positivist).
3. BIOLOGICAL APPROACH –the evaluation of genetic influences to criminal behavior. It is noted that heredity is
one force pushing the criminal to crime (Positivist).
4. PHYSIOLOGICAL APPROACH – the study on the nature of human being concerning his physical needs in order
to satisfy his ants. It explains that the deprivation of the physical body on the basic needs is an important determiner
of the commission if crime (Maslow).
5. PSYCHOLOGICAL APPROACH – it is concerned about the deprivation of the psychological needs of man which
constitute the development of deviations of normal behavior resulting to unpleasant emotions (Freud, Maslow).
6. PSYCHIATRIC APPROACH – the explanation of crime through diagnosis of mental diseases as a cause of the
criminal behavior (Positivist).
7. PSYCHOANALYTICAL APPROACH – the explanation of crimes based on the Freudian Theory which traces
behavior as the deviation of the repression of the basic drives (Freud).

OBJECTIVE APPROACHES
The objective approaches deal on the study of groups, social processes and institutions as influences to behavior. They
are primarily derived from social sciences (Tradio, 1999). Under these are:

1. GEOGRAPHIC APPROACH – this approach considers topography, natural resources, geographical location, and
climate lead an individual to commit crime (Quetelet).
2. ECOLOGICAL APPROACH – it is concerned with the biotic grouping of men resulting to migration, competition,
social discrimination, division of labor and social conflict as factors of crime (Park).
3. ECONOMIC APPROACH – it deals with the explanation of crime concerning financial security of inadequacy and
other necessities to support life as factors to criminality (Merton).
4. SOCIO – CULTURAL APPROACH – this focuses on institutions, economic, financial, education, political, and
religious influences to crime (Cohen).

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 CONTEMPORARY APPROACHES

Modern days put emphasis on scientific modes of explaining crime and criminal behavior. This approach is focused on
the psychoanalytical, psychiatric and sociological explanations of crime in an integrated theory – an explanatory
perspective that merges concepts drawn from different sources (Schmalleger, 1997).

CAUSES OF BEHAVIORAL DISORDERS

1. PREDISPOSING FACTORS - Internal propensities which may not be considered as criminal unless the attempt
was made.
2. PRECIPITATING FACTORS - Conditions and elements which provoke crimes such as personal problems, curiosity,
ignorance, necessities, diseases, traumatic experiences and the like.

DIFFERENT THEORIES CONCERNING DELINQUENCY

CHOICE THEORY

- It is based on the classical school of criminology that views an individual as having free will in choosing his actions
and that he calculates what he will gain or lose if he commits an act.
- It views the delinquent as a motivated offender who breaks the law because he or she perceives an abundance of
benefits and an absence of threat.

BIOSOCIAL OR TRAIT THEORIES

- These are based on the view that both thought and behavior have biological and social bases.
- Contemporary explanation of the biogenic approach.
- They have three sub-theories: biochemical, neurological and genetics.

1) BIOCHEMICAL
- It views that crime and delinquency especially violence are the result of diet, vitamin intake, hormonal imbalance
and other biological causes.

2) NEUROLOGICAL
- It explains that crime and delinquency occur because the individual suffers from brain impairment or abnormality
in the structure of the brains.
- Learning disabilities such as attention deficit/hyperactive disorder and minimum brain dysfunction are related to
antisocial behavior.

3) GENETIC
- It explains that delinquent traits and predisposition to criminality are inherited from parents.
- Criminality of parents can predict delinquency of children.
- It is supported by research on twin studies and adoption studies.

PSYCHOLOGICAL THEORIES
- views delinquency as a result of emotional and mental disturbance of the individual
- contemporary explanation of the psychogenic approach
- has three sub-theories: psychodynamic, behavioral and cognitive

1) PSYCHODYNAMIC THEORY
- It is based on the psychoanalytic theory of Sigmund Freud.
- Delinquency is the result of the imbalance of the three components of personality: id, ego and superego
- Delinquency is the product of the abnormal personality structure formed in early life and which thereafter controls
human behavior choices.

2) BEHAVIORAL THEORY
- It believes that individuals learn by observing how people react to their behavior
- Behavior is reinforced by some positive reaction and it is extinguished if punished.
- Misbehavior of children if left unchecked will persist until adolescence

3) COGNITIVE THEORY
- It views that delinquency is a result of the faulty perception and analysis of data of an individual.
- It believes that when an individual makes decision, he engages in a sequence of cognitive thought processes:

1) he first encodes the information so that it can be interpreted;

2) then, he searches for a proper response and decide upon the most appropriate action; and
3) finally, he acts on his decision.
- Delinquency-prone adolescents may have cognitive deficits and use information incorrectly when they make
decisions

SOCIOLOGICAL THEORIES
- They view delinquency as a product of the different social factors and dynamics
- They have four groups of theories which in turn contain several sub-theories: social structure theories, social process
theories, social reaction theories and social conflict theories.

1) SOCIAL STRUCTURE THEORIES

RED NOTES 2022 53

 - They hold that delinquency is a function of a person’s place in the economic structure.

2) SOCIAL PROCESS THEORIES

- They view delinquency as a result of poor or faulty socialization or upbringing

3) SOCIAL REACTION THEORIES

- They view delinquent acts and criminality as products of stigma and labeling.

4) SOCIAL CONFLICT THEORIES

- They hold that delinquent behavior is a product of economic inequality.

CONTRIBUTORY FACTORS IN JUVENILE DELINQUENCY

1) FAMILY
- The first and most basic institution of society responsible for developing a child’s potential in all its aspects like
physical, emotional, spiritual, moral, intellectual and social
- It molds the child to learn to curb his desires and to accept rules that define the time, place and circumstances
under which highly personal needs may be satisfied in socially acceptable ways.
- The basic and most important social unit to affect children.

TYPES OF FAMILY STRUCTURE:

1) NUCLEAR FAMILY
➢ It consists of father, mother and children.
2) EXTENDED FAMILY
➢ It consists of father, mother, children, grandparents, uncles and aunts, cousins, nephews and nieces, and in-laws.
3) Conjugal Family
➢ It consists of the Husband and Wife (Father and Mother)

4) BLENDED FAMILY
➢ mixing of two families brought by divorce or remarriage.

OTHER FAMILY STRUCTURES:

1. Join Family – Married children within their spouses and children living in one residence. (horizontal structure);
2. Household – Several people may or may not be related to one another having the same residence and share
responsibilities.
3. Truncated – The grandparent-grandchildren relationship. The grandparents substitute the authority of the parents
or act as surrogate parents.
4. Stem – It is similar to the extended family. The only difference is that they do not share common residence. Their
residence is located only in the same place. (It may consist of two kinds of family: family of orientation and family of
procreation).

Model of Family:

Ideally, a home must have the following:

a) structural completeness
- presence of both father and mother
b) economic security
- capability to provide for the basic needs and wants
c) cultural conformity
- typical family beliefs and practices
d) moral conformity
- moral uprightness, Christian way of living
e) physical and psychological normalcy
f) emotional adequacy
- affection, support, love and care between faulty members
g) Religious Homogeneity
- both parents profess the same religion

Factors in the home life that may cause delinquency:

a) faulty development of the child;

b) lack of parental guidance;
c) parental rejection;
d) broken homes;
e) lack of love;
f) unfair treatment;
g) too harsh discipline by either or both parents;
h) too much leniency by either or both parents; and
i) unfavorable parental example.

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 Marriage (Wedlock)
- A special contract of permanent union between a man and a woman entered into for purposes of establishing
conjugal and family relation.
- Social or legal contract between individuals that creates kinship.

Kinship
- Human relation whether by blood or by marriage.

Monogamy
- One marriage (One Man and One Woman)

Polygamy
- Having more than one marriages (One Man with more than One Woman or One Woman with more than One
Husband.
• Polygyny – Marriage of one man with two or more wives.
• Polyandry – Marriage of one woman with two or more husband.

Kinds of Marriage:

1. Adoptive Marriage – A kind of marriage in which a family who does not have a son and in order to preserve their
surname requests the prospective son-in-law to adopt the family name of the bride’s parents before marriage.
2. Sororate Marriage – This is called sister-in-law marriage where a man remarries his deceased wife’s sister.
3. Levirate Marriage – A woman who remarries the brother of her deceased husband.
4. Ghost Marriage – It is similar to levirate marriage. The children become the “sired” by the dead husband. This
means that the second husband or the brother is only a “surrogate” or who substituted for his brother.
5. Endogamy Marriage – A form of marriage practice in some tribes that an individual should marry from a member
of one’s clan or ethnic group. However, the parents may direct that marriage may be extended to the religious group
or social class.
6. Exogamy Marriage – The marriage which prescribes that one marries outside of one’s clan or ethnic group.

Residence for Marriage

1. Neolocal Residence – The couple will live in a new house (Own Residence).
2. Patrilocal Residence – The newlyweds live (moves) to the husband`s parents (Other name is “Virilocal
Residence”)
3. Matrilocal Residence – The newlyweds live or move with the wife’s parents’ residence. It is also called “Uxorilocal
Residence”
4. Bilocal Residence – When the newlyweds shift or transfer residence from matrilocal to patrilocal residence or
vice versa.

Legal forms of Marriages:

1. Valid Marriage – When all the essential and formal requisites of a marriage are present.

Essential Requirements:
a. Legal capacity of contracting parties who must be a male and a female (of legal age);
Between 18 to 21 – Parental Consent
Between 21 to 25 – Parental Advise

b. Consent freely given in the presence of the solemnizing officer.

Formal Requisites:
a. Authority of the solemnizing officer;
b. Marriage license; and
c. Marriage ceremony.

2. Null and Void marriage (Void ab initio) – Lack of any essential or formal elements.
Action: Petition for Declaration of Nullity of Marriage

3. Voidable – When there is a defect in any of the two essential requisites of a valid marriage.
Action: Petition for Annulment of Marriage

Note: Divorce is not recognized in the Philippines.

Annulment – It dissolves a marriage. It allows parties to remarry.

Legal Separation – Separation from bed and board (marriage remains).

Types of Parenting Style

1. Authoritarians or Disciplinarians - Less warmth and nurturing, high expectations but low responsiveness and
mistakes are punished harshly and expect blind obedience. A child tends to have lower academic performance, low
self-esteem, poorer social skills, mental illness, drug and alcohol abuse and delinquency.
- They believe kids should be seen and not heard.

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 - When it comes to rules, they believe “it’s their way or the highway.”
- They don’t take their child’s feelings into consideration.
- The focus is on obedience and punishment over discipline.

2. Authoritative - warm and responsive, clear rules, high expectations, supportive and value independence. Children
tends to have higher academic performance, more self-esteem, better social skills, less mental illness and lower
delinquency
- They put a lot of efforts into creating and maintaining a positive relationship with their child.
- They explain the reasons behind their rules.
- They enforce rules and give consequences but they take their child's feelings into consideration
- They create positive relationship and enforce rules.

3. Permissive or Indulgent - warm and responsive, few or no rules, indulgent, lenient. Children may be having
impulsive behavior, egocentric, poorer social skills and problematic relationship.
- They set rules but rarely enforce them.
- They don't give out consequences very often.
- They think their child will learn best with little interference from them.
- They don’t enforce rules. Kids will be kids.

4. INDIFFERENT OR NEGLECTFUL (Uninvolved) - – cold and unresponsive, no rules, uninvolved, indifferent.

Children can be impulsive, cannot self-regulate emotions, encounter more delinquency and addiction problems and
may have more mental issues like suicidal behavior.
- They don't ask their child about school or homework.
- They rarely know where their child is or who she is with.
- They don't spend much time with your child.
- They provide little guidance, nurturing or attention.

2) SCHOOL
- It is considered as the second home of a child and the teachers are the second parents. An institution responsible
for the training of young person’s intellectual, moral as well as social skills which they need for them to grow up as
productive, law-abiding and responsible citizens

Instances of deviant conduct attributed to school inadequacy:

a) failure of teachers to detect and address problems of children and report such problems to the parents;
b) poor academic atmosphere;
c) membership in school gangs or development of friendships with the wrong crowd;
d) lack of facilities for curricular and extra-curricular activities;
e) failure of teachers in character development of the students;
f) failure to actually finish school resulting to being out-of-school youths with a lot of time to waste and do
unproductive activities; and
g) failure to get gainful employment due to lack of sufficient education.

3) ENVIRONMENT
- The culture, norms and behavior of the child’s surroundings may very well influence the upbringing of the child
especially during their formative years and such misbehavior learned is likely to be carried on until the child’s maturity.

Some of the behavior modification by means of imitation as brought about by environmental influence:

a) rampant drug addiction;

b) vices such as gambling and drinking alcoholic beverages;
c) association with criminal groups or gangs; and
d) too much exposure to sex and violence in movies, television, print and internet.

BRIEF HISTORY OF JUVENILE DELINQUENCY THE HARSH BEGINNING

❖ Children were viewed as non-persons until the 1700's.
❖ They did not receive special treatment or recognition.
❖ children.
❖ There was a strong chance that the children would not survive until adulthood.

"The Age of Enlightenment" (18th Century)

❖ Appeared as a new cultural transition.
❖ This period of history is sometimes known as the beginning of reason and humanism.
❖ People began to see children as flowers which needed nurturing in order to bloom.
❖ It was the invention of childhood, love and nurturing instead of beatings to stay in line.
❖ Children had finally begun to emerge as a distinct group.
❖ Infant and child mortality were high.
❖ It did not make sense to the parents in those days to create an emotional bond with ally begun to emerge as a
distinct group.
❖ It started with the upper-class who were allowed to attend colleges and universities.
❖ Generally, the immature were not considered morally responsible for their behavior.
❖ Under the Code Napoléon in France, for example, limited responsibility was ascribed to children under the age of
16.

RED NOTES 2022 56

 ❖ The punishment of juvenile offenders was often severe until the 19th century.

PRIOR TO THE 20TH CENTURY

❖ juvenile offenders were often treated as adults.
❖ The first development contrary to this in the United Kingdom was the establishment of Borstal training center in
place of normal imprisonment, which was intended to build up the offender's character.
❖ They were unsuccessful, and since the 1960s, policy has been directed away from the detention of young
offenders towards treatment in the community, beginning with avoiding court altogether.
❖ The police are encouraged to caution juveniles who admit an offence, unless they are persistent offenders.
❖ When juvenile offenders are dealt with more formally, they are tried by a dedicated juvenile court, having as little
contact with the mainstream system as possible.
❖ There is considerable emphasis on parental responsibility, and the parents may be ordered to pay the juvenile's
fine, or be liable to pay a sum of money if the child is in trouble again.
❖ If the courts need to punish juveniles, they can utilize community sentences.
❖ Those aged 15 and over may also be sentenced to probation orders (supervision), community service orders
(compulsory work under supervision), or a combination of both.
❖ If juveniles are to be detained, those aged 15 or over may be held in a young offender institution for between 2
and 12 months.
❖ Younger offenders can only be detained in the most serious of cases, and there are national units to deal with
them. All Offenders aged 10 to 13 can be detained only if convicted of manslaughter or murder.

HISTORY OF JUVENILE JUSTICE

The modern practice of legally separating adult and juvenile offenders can be traced back to two developments in
English custom and law that occurred centuries ago. The development of POOR LAWS and the creation of the English
CHANCERY COURTS. Both were designed to allow the state to take control of the lives of needy but not necessarily
criminal children. This system was brought to the United States where it was developed further and until later it became
the basis of the juvenile justice system in the Philippines.

ENGLISH SYSTEM

POOR LAWS
- In 1535, statutes which mandated the appointment of overseers who placed destitute or neglected children with
families who then trained them in agricultural, trade or domestic services; this practice is called indenture
- In 1601, a system was created wherein church workers with the consent of justice of the peace identified vagrant,
delinquent and neglected children and took measures to put them to work. These children were placed in workhouses
until their adulthood

CHANCERY COURTS
- They protected the property rights and welfare of minor children who could not care for themselves.
- The courts dealt with issues of guardianship and the use and control of property
- The courts operated under the parens patriae philosophy which held that children were under the protective
control of the State.

AMERICAN SYSTEM

- The practice of indenture and chancery courts in England were adopted by the States of Virginia, Connecticut
and Massachusetts. However, those youths who committed serious criminal offenses continued to be tried in the same
courts as adults.
- Middle-class civic leaders, who referred themselves as CHILD SAVERS began to develop organizations and
groups to help alleviate the burdens of the poor and immigrants by sponsoring shelter care for youths, educational and
social activities and the development of settlement houses. This was called the CHILD SAVING MOVEMENT.
- They are responsible for creating a number of programs for indigent youths including the New York House of
Refuge, a reformatory, which began operations in 1825.
- The House of Refuge was created to protect indigent youths who were at risk to crime by taking them off the
streets and reforming them in a family-like environment.
- The first comprehensive juvenile court was established in Illinois in 1899 through the passage of the Illinois
Juvenile Court Act of 1899 which sets up an independent court to handle criminal law violations by children under
sixteen (16) years of age as well as to care for neglected, dependent, and wayward youths.
- The purpose of the act was to separate juveniles from adult offenders and provide a legal framework in which
juveniles could get adequate care and custody.
- Congress passed the Juvenile Justice and Delinquency Prevention Act of 1974 to identify the needs of
youths and to fund programs in the juvenile justice system
- Its main goal was to separate wayward, non-dangerous youths from institutions housing delinquents and to
remove adolescents from institutions housing adult offenders.

JUVENILE COURT
- It is a court that has original jurisdiction over persons defined by statute as juveniles and alleged to be
delinquents or status offenders.

CHILD IN NEED OF SUPERVISION (CHINS)

- A term applied to status offenders adjudicated in juvenile court.

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 BREED v. JONES (1975)

- Case allowing second prosecution in adult court for conviction in juvenile court based on idea that first conviction
was a "civil" matter.

CIVIL PROTECTION ORDER

- A form of protective custody in which child welfare or police agencies order an adult suspected of abuse to leave
the home.

DELINQUENCY PROCEEDING

- Court action to officially declare someone a juvenile delinquent. A "delinquent" is defined as under the age of
majority who has been convicted in juvenile court of something that would be classified as a crime in adult court.

DISPOSITION

- Phase of delinquency proceeding similar to "sentencing" phase of adult trial. The judge must consider alternative,
innovative, and individualized sentences rather than imposing standard sentences.

RESTITUTION
- A disposition requiring a defendant to pay damages to a victim. The law prohibits making restitution as a
condition of receiving probation. Poor families cannot be deprived of probation simply because they are too poor to
afford restitution. Some States do not allow families to pay restitution.

DEVELOPMENT OF JUVENILE JUSTICE IN THE PHILIPPINES

1) PD 603 – Child and Youth Welfare Code

2) Ra 7610 – Anti-Child Abuse Law
3) RA 6809 – Law amending the Age of Majority
4) RA 8552 AND RA 8043 – Laws on Adoption
5) RA 9208 – Anti-Trafficking in Persons Act
6) RA 9231 – Law amending RA 7610 on Working Children
7) RA 9255 – Law on the Use of Father’s Surname of
Illegitimate Children
8) RA 9262 – Anti-Violence Against Women and their Children
9) RA 9523 – Law amending the Laws on Adoption
10) RA 9344 - Juvenile Justice and Welfare Act
11) RA 9775 – Anti-Child Pornography Act

IMPORTANT PROVISIONS OF PD 603

PD 603 – THE CHILD AND YOUTH WELFARE CODE

- It was approved on 10 December 1974.
- Effectivity date was on 10 June 1975 (six months after approval)
- This law applies to persons under eighteen (18) years of age.

Art. 3. Rights of the Child. – All children shall be entitled to the rights herein set forth without distinction as to
legitimacy or illegitimacy, sex, social status, religion, political antecedents, and other factors.

(1) Every child is endowed with the dignity and worth of a human being from the moment of his conception, as
generally accepted in medical parlance and has, therefore, the right to be born well.

(2) Every child has the right to a wholesome family life that will provide him with love, care and understanding,
guidance and counseling, moral and material security. The dependent or abandoned child shall be provided with
the nearest substitute for a home.

(3) Every child has the right to a well-rounded development of his personality to the end that he may become a
happy, useful and active member of society. The gifted child shall be given opportunity and encouragement to
develop his special talents. The emotionally disturbed or socially maladjusted child shall be treated with sympathy
and understanding, and shall be entitled to treatment and competent care. The physically or mentally handicapped
child shall be given the treatment, education and care required by his particular condition.

(4) Every child has the right to a balanced diet, adequate clothing, sufficient shelter, proper medical attention, and
all the basic physical requirements of a healthy and vigorous life.

(5) Every child has the right to be brought up in an atmosphere of morality and rectitude for the enrichment and
the strengthening of his character.

(6) Every child has the right to an education commensurate with his abilities and to the development of his skills
for the improvement of his capacity for service to himself and to his fellowmen.

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 (7) Every child has the right to full opportunities for safe and wholesome recreation and activities, individual as well
as social, for the wholesome use of his leisure hours.

(8) Every child has the right to protection against exploitation, improper influences, hazards, and other conditions
or circumstances prejudicial to his physical, mental, emotional, social and moral development.

(9) Every child has the right to live in a community and a society that can offer him an environment free from
pernicious influences and conducive to the promotion of his health and the cultivation of his desirable traits and
attributes.

(10) Every child has the right to the care, assistance, and protection of the State particularly when his parents or
guardians fail or are unable to provide him with his fundamental needs for growth, development, and improvement.

(11) Every child has the right to an efficient and honest government that will deepen his faith in democracy and
inspire him with the morality of the constituted authorities both in their public and private lives.

(12) Every child has the right to grow up as a free individual in an atmosphere of peace, understanding, tolerance
and universal brotherhood and with the determination to contribute his share in the building of a better world.

Art. 4. Responsibilities of the Child. – Every child, regardless of the circumstances of his birth, sex, religion, social
status, political antecedents and other factors shall:

(1) Strive to lead an upright and virtuous life in accordance with the tenets of his religion, the teachings of his
elders and mentors, and the biddings of a clean conscience;

(2) Love, respect and obey his parents and cooperate with them in the strengthening of the family;

(3) Extend to his brothers and sisters his love, thoughtfulness, helpfulness, and endeavor with them to keep the
family harmonious and united;

(4) Exert his utmost to develop his potentialities for service, particularly by undergoing a formal education suited
to his abilities, in order that he may become an asset to himself and to society;

(5) Respect not only his elders but also the customs and traditions of our people, the memory of our heroes, the
duly constituted authorities, the laws of our country, and the principles and institutions of democracy;

(6) Participate actively in civic affairs and in the promotion of the general welfare, always bearing in mind that it is
the youth who will eventually be called upon to discharge the responsibility of leadership in shaping the nation’s
future; and

(7) Help in the observance of individual human rights, the strengthening of freedom everywhere, the fostering of
cooperation among nations in the pursuit of their common aspirations for programs and prosperity, and the
furtherance of world peace.

Section A. In General,

Art. 17. Joint Parental Authority. – The father and mother shall exercise jointly just and reasonable parental
authority and responsibility over their legitimate or adopted children. In case of disagreement, the father’s decision
shall prevail unless there is a judicial order to the contrary. In case of the absence or death of either parent, the present
or surviving parent shall continue to exercise parental authority over such children, unless in case of the surviving
parent’s remarriage, the court, for justifiable reasons, appoints another person as guardian. In case of separation of
his parents, no child under five years of age shall be separated from his mother unless the court finds compelling
reasons to do so.

PARENTAL AUTHORITY (PATRIA POTESTAS)

- It is the sum total of the rights of the parents over the person and property of their child.
- The exercise of which has no distinction between a legitimate and an illegitimate child.
- The father and the mother shall exercise jointly just and reasonable parental authority and responsibility over their
legitimate or adopted children
- In case of death of either parent, the surviving parent shall exercise sole parental authority.
- In case of disagreement, the father’s decision shall prevail unless there is a judicial order to the contrary

UNFIT PARENT
- A temporary or permanent termination of parental rights in the best interest of the child usually for reasons of
abandonment, abuse, or neglect, but also including mental illness, addiction, or criminal record. Poverty alone and
character flaws are prohibited by law from being indicators of "unfitness".

PARENTAL RESPONSIBILITY
- It is the sum total of the duties and obligations of parents over their minor children

LIABILITIES OF PARENTS
- Parents and guardians are responsible for the damage or injury caused by the child under their parental authority.

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 LEGAL CUSTODY
- In case of separation of parents, no child under SEVEN (7) YEARS OF AGE shall be separated from his mother
unless the court decides otherwise.

GUARDIANSHIP
- It is a trust relation of the most sacred character in which one person called a guardian acts for another called a
ward who is regarded as incapable of managing his own affairs

SUBSTITUTE PARENTAL AUTHORITY

- In case of absence or death of both parents, substitute parental authority shall be given to the following, in order
of priority:

1) grandparents;
2) oldest brother or sister at least 21 years of age; and
3) relative who has actual custody of the child/guardian duly appointed by the court.

IN LOCO PARENTIS
- Teachers, administrators, and babysitters who are viewed as having some temporary parental rights & obligations.

IN RE GAULT (1967)
- (US) - Case that determined the Constitution requires a separate juvenile justice system with certain standard
procedures and protections, but still not as many as in adult systems.

COMMENCEMENT OF CIVIL PERSONALITY

- The CIVIL PERSONALITY of the child shall commence from the MOMENT OF CONCEPTION.

CONCEPTION
- It is the start of life.
- It is the union of the sperm cell and the egg cell.
- It is also called the process of fertilization

CIVIL PERSONALITY
- It pertains to the identity and recognition of an individual as person having rights.
- It shall commence from the moment of conception and thus, all children shall have the right to be born and the
right to live.

ILLEGITIMACY
- Being born to unmarried parents. The law assumes legitimacy via a married mother's husband, whether or not this
is the true father. Illegitimacy status limits inheritance rights.

ABORTION
- It is the expulsion of the fetus from the mother’s womb.

KINDS OF ABORTION

1) CRIMINAL ABORTION
- It is classified as intentional or unintentional as provided in the Revised Penal Code.
- It is punishable by law.

2) THERAPEUTIC ABORTION
- It is recommended and performed by a certified physician when there are health risks and complications.
- It is not punishable by law

SPECIAL CATEGORIES OF CHILDREN:

1) DEPENDENT
- One who is without a parent, guardian or custodian, or whose parents, guardian or other custodian for good cause
desire to be relieved of his care and custody and is dependent upon the public for support.

2) ABANDONED
- One who had no proper parental care or guardianship or whose parents or guardians have deserted him for a period
of at least six consecutive months (PD 603).
- Refers to a child who has no proper parental care or guardianship or whose parents have deserted him or her for
a period of at least three (3) continuous months (RA 9523).

3) NEGLECTED
- One whose basic needs have been deliberately unattended or inadequately attended.
- A child is unattended when left by himself without provision for his needs and without proper supervision.
- Neglect may occur in two ways:
a) Physical Neglect
o malnourishment, untidy and damaged clothing, no shelter
b) Emotional Neglect
o maltreated, raped, seduced, abused, exploited, made to work under conditions not conducive to good health or
placed in moral and physical danger

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 4) MENTALLY-RETARDED
- Socially incompetent, socially inadequate, occupationally incompetent and unable to manage their own affairs
- Mentally sub-normal
- Retarded intellectually from birth or early age
- Retarded at maturity
- Mentally deficient as a result of constitutional origin through heredity or disease
- Essentially incurable

1. Custodial – (1-25 I.Q.)

2. Trainable – (25-50 I.Q.)
3. Educable – (50-75 I.Q.)
4. Borderline or Low Normal – (75-89 I.Q.)
5. Idiot – One whose mental condition is likened to a person 2 years old and below
6. Imbecile – Those whose mental condition is similar to that of age 2 to 7 years old.
7. Moron – One whose mental condition is similar to that of seven years of age and below.

5) PHYSICALLY-HANDICAPPED
- A crippled, deaf-mute, blind and other conditions which restrict their means of action or communication with others.
-
6) EMOTIONALLY-DISTURBED
- Those who, although not afflicted with insanity or mental defect are unable to maintain normal social relations with
others and the community in general due to emotional problems or complexes.
- May be caused by traumatic experiences

7) MENTALLY-ILL
- Those with any behavioral disorder, whether functional or organic, which is of such a degree of severity as to
require professional help or hospitalization.

8) DISABLED
- Includes mentally-retarded, physically-handicapped, emotionally-disturbed and mentally-ill children.

IMPORTANT PROVISIONS OF THE LAWS ON ADOPTION

ADOPTION
- It is an act by which relations of paternity and filiations are recognized as legally existing between persons not so
related by nature.
- It is the taking into one’s family of the child of another as son or daughter and heir and conferring on it a title to
the rights and privileges of such.

FILIATION
- The civil status of the child in relation to his parents.

PATERNITY
- The civil status of the child in relation to his father.

MATERNITY
- The civil status of the child in relation to his mother.

MATERNAL PREFERENCE RULE

- Legal doctrine granting mothers custodial preference after a divorce.

STEPPARENT
- A spouse of a biological parent who has no legal rights or duties to the child other than those which have been
voluntarily accepted.
SURROGATE PARENT
- A parent who provided an egg, sperm, or uterus with an intent of giving the child up for adoption to specific parties.

PSYCHOLOGICAL PARENT DOCTRINE

- Legal doctrine granting custody to the parent whom the child feels the greatest emotional attachment to.

TENDER YEARS DOCTRINE

- Legal doctrine that unless the mother is "unfit", very young children should be placed in custody with their mother
following a divorce.

BIOLOGICAL CHILD
- A natural-born child of the parents

ADOPTED CHILD
- A child who underwent the judicial process of adoption.

FOUNDLING
- Refers to a deserted or abandoned infant or child whose parents, guardian or relatives are unknown.

RED NOTES 2022 61

 Legal Classifications of Children

• Legitimate – A child born duringthe marriage

• Illegitimate - A child born outside the marriage
• Legitimated – illegitimate child raises to the status of a legitimate child by sequent marriage of his parents.
• ADOPTED - a person who is raised to the status of legitimacy through adoption.

RA 8552 – DOMESTIC ADOPTION ACT OF 1998

- It was approved on 25 February 1998

ADOPTER
- The person adopting or petitioning for the adoption of a child.

ADOPTEE
- The child or person being petitioned for adoption.

CHILD LEGALLY AVAILABLE FOR ADOPTION

- A child who has been voluntarily or involuntarily committed to the DSWD or to a duly licensed and accredited child-
placing or child-caring agency, freed of the parental authority of his or her biological parents or guardians or adopter
in case of rescission.
- Refers to a child in whose favor a certification was issued by the DSWD that he or she is legally available for
adoption after the fact of abandonment or neglect has been proven through the submission of pertinent documents or
one who was voluntarily committed by his or her parents or legal guardian (RA 9523).

VOLUNTARILY-COMMITTED CHILD
- One whose parents or legal guardian knowingly and wilfully relinquished parental authority to the DSWD or any
duly accredited child-placement or child caring agency or institution

CHILD-CARING AGENCY OR INSTITUTION

- Refers to a private non-profit or government agency duly accredited by the DSWD that provides twenty-four (24)
hour residential care services for abandoned, neglected, or voluntarily committed children (RA 9523).

CHILD-PLACING AGENCY OR INSTITUTION

- Refers to a private non-profit institution or government agency duly accredited by the DSWD that receives and
processes applicants to become foster or adoptive parents and facilitate placement of children eligible for foster care
or adoption.

WHO MAY ADOPT:

1) Any Filipino citizen, of legal age and at least sixteen (16) years older than the adoptee unless the adopter is the
biological parent of the adoptee or is the spouse of the adoptee’s biological parent
2) Any alien possessing the same qualifications as that of a Filipino citizen, who has been living in the Philippines for
at least three (3) consecutive years, and whose country has diplomatic relations with the Philippines

WHO MAY ADOPTED:

1) Any person below eighteen (18) years of age judicially declared available for adoption
2) The legitimate son or daughter of one spouse by the other spouse.
3) An illegitimate son or daughter by a qualified adopter to improve his or her status to that of legitimacy.
4) A person of legal age if prior to the adoption, said person has been consistently considered and treated by the
adopter as his or her own child since minority.
5) A child whose adoption has been previously rescinded.
6) A child whose biological or adoptive parents has died but proceedings may only be initiated after six (6) months
from the time of the death of the parents.

SUPERVISED TRIAL CUSTODY

- A period of time within which a social worker oversees the adjustment and emotional readiness of both adopter
and adoptee in stabilizing their filial relationship.
- The period is at least six (6) months.

RESCISSION OF ADOPTION
- The nullification of the adoption.
- Adoption shall not be subject to rescission by the adopter.

GROUNDS FOR RESCISSION OF ADOPTION

1) Repeated physical and verbal maltreatment by the adopter despite having undergone counseling;
2) Attempt on the life of the adoptee;
3) Sexual assault or violence; or
4) Abandonment and failure to comply with parental obligations.

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 RA 8043 – INTER-COUNTRY ADOPTION ACT OF 1995
- It was approved on 7 June 1995.

INTER-COUNTRY ADOPTION
- It is the socio-legal process of adopting a Filipino child by a foreigner or a Filipino citizen permanently residing
abroad where the petition is filed. The supervised trial custody is undertaken and the decree of adoption is issued
outside the Philippines.
INTER-COUNTRY ADOPTION BOARD
- Acts as the central authority in matters relating to inter-country adoption.
- It shall act as the policy-making body for purposes of carrying out the provisions of RA 8043 in consultation and
coordination with the DSWD.
- Headed by the Secretary of the DSWD as ex officio chairman and six (6) members to be appointed by the President
with a term of office of six (6) years.

WHO MAY ADOPT:

1) Any alien or a Filipino citizen permanently residing abroad;

2) At least twenty-seven (27) years of age;
3) At least sixteen (16) years older than the adoptee unless the adopter is the parent by nature of the adoptee or the
spouse of such parent;
4) Coming from a country with whom the Philippines has diplomatic relations; or
5) Possesses all the qualifications provided in other applicable Philippine laws.

WHERE TO FILE APPLICATION

- It shall be filed either with:

a) the Philippine Regional Trial Court; or

b) the Inter-Country Adoption Board through an intermediate agency in the country of the prospective adoptive
parents.

SUPERVISED TRIAL CUSTODY

- Shall be at least six (6) months

IMPORTANT PROVISIONS OF RA 9523

RA 9523 – It is the law giving DSWD the sole authority to issue the certification declaring a child legally
available for adoption.
- It amended certain provisions of RA 8552 and RA 8043.
- It was approved on 12 March 2009.

IMPORTANT PROVISIONS OF RA 7610

RA 7610 – SPECIAL PROTECTION OF CHILDREN AGAINST CHILD ABUSE, EXPLOITATION AND

DISCRIMINATION ACT
- It was approved on 17 June 1992.
- This law is also commonly referred to as the Anti-Child Abuse Act.

RA 7658 – It is an amendatory law to RA 7610

- It was approved on 9 November 1993.
- This law amended the provisions of RA 7610 regarding working children.
- This law was further amended by RA 9231.

CHILD ABUSE
- This refers to maltreatment of the child whether habitual or not.

FORMS OF CHILD ABUSE

1) CRUELTY – It refers to any word or deed which debases, degrades or demeans the intrinsic worth and dignity of
the child as a human being.
2) PHYSICAL INJURY – It includes but is not limited to lacerations, fractured bones, burns, internal injuries, severe
injuries, or serious bodily harm suffered by a child.
3) PSYCHOLOGICAL INJURY – It means harm to a child’s psychological or intellectual functioning which may be
exhibited by severe anxiety, depression, withdrawal or outward aggressive behavior.
4) NEGLECT – It means failure to provide for reasons other than poverty, the basic needs of the child such as food,
clothing, medical care, shelter and basic education.
5) SEXUAL ABUSE – It includes the employment, use, inducement or coercion of a child to engage in sexual
intercourse or lascivious conduct, molestation, prostitution and/or incest with children.

CHILD PROSTITUTION
- This refers to exploitation of children, whether male or female by coercing them into indulging in sexual intercourse
or lascivious conduct for money, profit or any other consideration.

WHO ARE CRIMINALLY LIABLE FOR CHILD PROSTITUTION:

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 1) those who engage in or promote, facilitate or induce child prostitution, such as:
a) those acting as procurer of a child prostitute
b) parents, guardians or relatives who knowingly allow or coerce their children or ward into prostitution
2) those who commit the act of sexual intercourse or lascivious conduct with a child exploited in child prostitution,
such as clients of child prostitutes
3) those who derive profit or advantage therefrom, such as managers or owners of the establishment where the
prostitution takes place.

OBSCENE PUBLICATIONS AND INDECENT SHOWS

- The use, hiring, employment and coercing of children as performers, actors or models for obscene exhibitions and
indecent shows, whether live or in video or in printed pornographic materials.

CHILDREN AS ZONES OF PEACE

- Children shall not be the object of attack in situations of armed conflict.
- They shall be protected from any form of threat, assault, torture or other cruel, inhumane or degrading treatment.
- Children shall not be recruited to become members of the Armed Forces of the Philippines of its civilian units, nor
be allowed to take part in the fighting or be used as guides, couriers or spies.
- Children shall be given priority during evacuation as a result of armed conflict.

CHILD PROTECTION ACTION - The filing of legal papers by a child welfare agency when its investigation has turned
up evidence of child abuse. This is a civil, rather than criminal, charge designed to take preventive action (like
appointment of a Guardian ad litem) for at-risk children before abuse occurs.

IMPORTANT PROVISIONS OF RA 9208

RA 9208 – ANTI-TRAFFICKING IN PERSONS ACT OF 2003

- It was approved on 26 May 2003.

TRAFFICKING IN PERSONS
- It is the recruitment, transportation, transfer or harboring, or receipt of persons with or without the victim’s consent
or knowledge within or across national borders by means of threat or use of force, or other forms of coercion, abduction,
fraud, deception, abuse of power or prostitution, taking advantage of the vulnerability of the person, or giving or
receiving of payments or benefits to achieve the consent of a person having control over another person for the purpose
of exploitation which includes at a minimum, the exploitation or the prostitution of others or other forms of sexual
exploitation, forced labor or services, slavery, servitude or the removal or sale of organs.

- The recruitment, transportation, transfer, harboring or receipt of a child for the purpose of exploitation shall also
be considered as “trafficking in person” even if it does not involve any of the means set forth in the preceding paragraph.

QUALIFIED TRAFFICKING IN PERSON

1) When the trafficked person is a child;
2) When the adoption is effected through RA 8043 and said adoption is for the purpose of prostitution, pornography,
sexual exploitation, forced labor, slavery, involuntary servitude or debt bondage; or
3) When the offender is an ascendant, parent, sibling, guardian or a person who exercised authority over the trafficked
person or when the offense is committed by a public officer or employee.

FORCED LABOR AND SLAVERY

- Refer to the extraction of work or services from any person by means of enticement, violence, intimidation or threat,
use of force or coercion, including deprivation of freedom, abuse of authority or moral ascendancy, debt-bondage or
deception.

SEX TOURISM
- This refers to a program organized by travel and tourism related establishments and individuals which consist of
tourism packages or activities, utilizing and offering escort and sexual services as enticement for tourists.

PORNOGRAPHY
- It refers to any representation, through publication, exhibition, cinematography, indecent shows, information
technology, or by whatever means, of a person engaged in real or simulated explicit sexual activities or any
representation of the sexual parts of a person primarily for sexual purposes.

DEBT BONDAGE
- It refers to pledging by the debtor of his or her personal services or labor or those of a person under his or her
control as security or payment for a debt when the length and nature of services are not clearly defined or when the
value of the services as reasonably assessed is not applied toward the liquidation of a debt.

IMPORTANT PROVISIONS OF RA 9231

RA 9231 - It is the law prohibiting the worst forms of child labor

- It is an amendatory law to RA 7160 and RA 7658
- It amended the provisions of RA 7160 regarding working children
- It was approved on 19 December 2003

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 Children below fifteen (15) years of age shall not be employed, except:

1) When a child works directly under sole responsibility of his parents or legal guardian and where only members of
the employer’s family are employed;
2) Where a child’s employment or participation in public entertainment or information through cinema, theatre, radio
or television is essential with the approval of the Department of Labor and Employment (DOLE)
- It is the duty of the employer to submit to the DOLE a report of all children employed by him.
- If a domestic is under sixteen (16) years of age, the head of the family shall give him or her an opportunity to
complete at least elementary education, the cost of which shall be a part of the domestic’s compensation.

WORK PERMIT OF WORKING CHILDREN

- It shall be the duty of the employer to secure permit from the DOLE of working children employed by him.

EMPLOYMENT CONTRACT OF WORKING CHILDREN

- The contract shall be signed by the working child’s parent or legal guardian with the express agreement of the
child.

WORKING HOURS

If the child is under 15:

- He/She may work for a maximum of four (4) hours a day, twenty (20) hours a week.
- He/She may work between six o’clock in the morning to eight o’clock in the evening (6am to 8pm).

If the child is 15 but under 18:

- He/She may work for a maximum of eight (8) hours a day, forty (40) hours a week.
- He/She may work between six o’clock in the morning to ten o’clock in the evening (6am to 10pm).

PROHIBITION ON THE EMPLOYMENT OF CHILDREN IN CERTAIN ADVERTISEMENTS

- No child shall be employed as a model in any advertisement directly or indirectly promoting the following:
a) alcoholic beverages;
b) intoxicating drinks;
c) tobacco and cigarettes;
d) gambling; or
e) any form of violence or pornography.

IMPORTANT PROVISIONS OF RA 9262

RA 9262 – ANTI-VIOLENCE AGAINST WOMEN AND THEIR CHILDREN ACT OF 2004
- It was approved on 8 March 2004.

VIOLENCE AGAINST WOMEN AND THEIR CHILDREN

- This refers to any act or a series of acts committed by any person against a woman who is his wife, former wife or
against a woman with whom the person has or had a sexual or dating relations or with whom he has a common child,
or against her child, whether legitimate or illegitimate, within or without the family abode, which result in or is likely to
result in physical, sexual, psychological harm or suffering, or economic abuse including threats of such acts, battery,
assault, coercion, harassment or arbitrary deprivation of liberty.

PHYSICAL VIOLENCE
- It refers to acts that include bodily or physical harm.

SEXUAL VIOLENCE
- It refers to an act which is sexual in nature committed against a woman or her child.
PSYCHOLOGICAL VIOLENCE
- It refers to acts or omissions causing or likely to cause mental or emotional suffering of the victim such as but not
limited to intimidation, harassment, stalking, damage to property, public ridicule or humiliation, and repeated verbal
abuse.
ECONOMIC ABUSE
- It refers to acts that make or attempt to make a woman financially dependent

BATTERY
- It refers to an act of inflicting physical harm upon the woman or her child resulting to the physical and psychological
or emotional distress.

STALKING
- It refers to an intentional act committed by a person who knowingly and without lawful justification follows the
woman or her child or places the woman or her child under surveillance directly or indirectly

PHILIPPINE JUVENILE JUSTICE SYSTEM

RA 9344 – the JUVENILE JUSTICE AND WELFARE ACT OF 2006

- It was approved on 28 April 2006.
- It became effective on 20 May 2006.
- It repealed the provisions of the Revised Penal Code and Presidential Decree No 603 on minor offenders.

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 IMPORTANT TERMS INTRODUCED BY RA 9344

BEST INTEREST OF THE CHILD

refers to the totality of the circumstances and conditions which are most congenial to the survival, protection and
feelings of security of the child and most encouraging to the child’s physical, psychological and emotional development.
It also means the least detrimental available alternative for safeguarding the growth and development of the child.

CHILD
- refers to a person under the age of eighteen (18) years

CHILD AT RISK

- refers to a child who is vulnerable to and at the risk of committing criminal offenses because of personal, family
and social circumstances, such as, but not limited to, the following:

(1) being abused by any person through sexual, physical, psychological, mental, economic or any other means and the
parents or guardian refuse, are unwilling, or unable to provide protection for the child;
(2) being exploited including sexually or economically;
(3) being abandoned or neglected, and after diligent search and inquiry, the parent or guardian cannot be found;
(4) coming from a dysfunctional or broken family or without a parent or guardian;
(5) being out of school;
(6) being a streetchild;
(7) being a member of a gang;
(8) living in a community with a high level of criminality or drug abuse; and
(9) living in situations of armed conflict.

JUVENILE JUSTICE AND WELFARE SYSTEM

- It refers to a system dealing with children at risk and children in conflict with the law which provides child-
appropriate proceedings, including programs and services for prevention, diversion, rehabilitation, re-integration and
aftercare to ensure their normal growth and development.

RESTORATIVE JUSTICE
- It refers to a principle which requires a process of resolving conflicts with the maximum involvement of the victim,
the offender and the community; seeks to obtain reparation for the victim, reconciliation of the offender, the offended
and the community and reassurance to the offender that he or she can be reintegrated into society. It also enhances
public safety by activating the offender, the victim and the community in prevention strategies.

CHILD AT RISK
- This refers to a child who is vulnerable to and at the risk of committing criminal offenses because of personal, family
and social circumstances.

CHILD IN CONFLICT WITH THE LAW

- This refers to a child who is alleged as, accused of, or adjudged as, having committed an offense under Philippine
laws.

INITIAL CONTACT WITH THE CHILD

- It refers to the apprehension or taking into custody ]of a child in conflict with the law by law enforcement officers
or private citizens.

INTERVENTION
- It refers to a series of activities which are designed to address issues that caused the child to commit an offense.
- It may take the form of an individualized treatment program which may include counseling, skills training, education
and other activities that will enhance his or her psychological, emotional and psycho-social well-being.

COMMUNITY-BASED PROGRAMS
- Refer to the programs provided in a community setting developed for purposes of intervention and diversion as
well as rehabilitation of the child in conflict with the law, for reintegration into his/her family and/or community.

DIVERSION
- It refers to an alternative, child-appropriate process of determining the responsibility and treatment of a child in
conflict with the law on the basis of his or her social, cultural, economic, psychological or educational background
without resorting to formal court proceedings.

DIVERSION PROGRAM
- It refers to the program that the child in conflict with the law is required to undergo after he or she is found
responsible for an offense without resorting to formal court proceedings.

YOUTH DETENTION HOME

- This refers to a 24-hour child-caring institution managed by accredited local government units (LGU) and licensed
and/or accredited non-governmental organizations (NGO’s) providing short-term residential care for children in

RED NOTES 2022 66

 conflict with the law who are awaiting court disposition of their cases or transfer to other agencies or
jurisdiction.
YOUTH REHABILITATION CENTER
- This refers to a 24-hour residential care facility managed by the DSWD, local government units, licensed or
accredited non-governmental organizations monitored by the DSWD which provides care, treatment and
rehabilitation services for children in conflict with the law.

RIGHTS OF THE CHILD IN CONFLICT WITH THE LAW

1) the right not to be imposed a sentence of capital punishment or life imprisonment;

2) the right to be detained or imprisoned as a disposition of last resort which shall be for the shortest appropriate
period of time;
3) the right to be separated from adult offenders at all times: during detention, while being transported to and from
the court and while waiting for the hearing.
4) the right to be detained only with other detainees of the same sex, if detention is necessary;
5) the right to be searched only by a law enforcement officer of the same gender;
6) the right not to be handcuffed when such is not necessary;
7) the right to have his parents or guardians present;
8) the right to diversion if he or she is qualified and voluntarily avails of the same;
9) the right to AUTOMATIC SUSPENSION OF SENTENCE;
10) the right to probation as an alternative to imprisonment if qualified under the Probation Law; and
11) the right to have the records and proceedings involving him be considered PRIVILEGED AND CONFIDENTIAL.

MINIMUM AGE OF CRIMINAL RESPONSIBILITY

- A child FIFTEEN (15) YEARS OF AGE OR UNDER at the time of the commission of the offense shall be
“EXEMPT” from CRIMINAL LIABILITY but he shall undergo INTERVENTION PROGRAM.

- A child “ABOVE” FIFTEEN (15) YEARS OF AGE “BUT BELOW” EIGHTEEN (18) YEARS OF AGE shall likewise
be “EXEMPT” from CRIMINAL LIABILITY if he or she acted WITHOUT DISCERNMENT but he shall undergo
INTERVENTION PROGRAM
- However, they are exempted only from criminal liability and not from civil liability.

- A child “ABOVE” FIFTEEN (15) YEARS OF AGE “BUT BELOW EIGHTEEN” (18) YEARS OF AGE who acted
WITH DISCERNMENT shall be subjected to the DIVERSION PROCEEDINGS and shall undergo DIVERSION
PROGRAM, “if qualified”.

- A child “ABOVE” FIFTEEN (15) YEARS OF AGE “BUT BELOW EIGHTEEN” (18) YEARS OF AGE who acted
WITH DISCERNMENT and who is “NOT QUALIFIED” for DIVERSION, OR “REFUSED” to undergo DIVERSION
shall be “PROSECUTED”.

TREATMENT OF CHILD BELOW THE AGE OF CRIMINAL RESPONSIBILITY

- It shall be the duty of the law enforcement officer to determine the age of the child apprehended.
- If the child apprehended is FIFTEEN (15) YEARS OLD OR BELOW, the law enforcement officer MUST
RELEASE THE CHILD TO THE CUSTODY OF HIS OR HER PARENTS OR GUARDIANS OR THE CHILD’S
NEAREST RELATIVE.
- It shall also be the duty of the law enforcement officer to give notice to the local social welfare and development
officer as to the apprehension of the child in conflict with the law.

COMPREHENSIVE JUVENILE INTERVENTION PROGRAM

- It shall be instituted in local government units from the barangay to the provincial levels.
- It shall include community-based programs on juvenile justice and welfare.

COMMUNITY-BASED PROGRAMS ON JUVENILE JUSTICE AND WELFARE

- These shall be instituted by the local government units through the school, youth organizations and other concerned
agencies.
- These shall respond to the special needs, problems, interests and concerns of children and which offer appropriate
counseling and guidance to them and their families
- These programs shall consist of three (3) levels:

1) PRIMARY INTERVENTION
- It includes general measures to promote social justice and equal opportunity which tackle perceived root causes of
offending.

2) SECONDARY INTERVENTION
- It includes measures to assist children at risk.

3) TERTIARY INTERVENTION
- It includes measures to avoid unnecessary contact with the formal justice system and other measures to prevent
re-offending.

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 SYSTEM OF DIVERSION
- Children in conflict with the law shall undergo diversion proceedings subject to the following conditions:

1) the imposable penalty for the crime committed is NOT MORE THAN SIX (6) YEARS IMPRISONMENT
2) in victimless crimes, the imposable penalty is NOT MORE THAN SIX (6) YEARS IMPRISONMENT
3) in cases where the imposable penalty exceeds six (6) years, diversion measures may be resorted to only by the
court.

- The diversion proceedings shall be completed within FORTY-FIVE (45) DAYS

CONTRACT OF DIVERSION

- It shall be prepared if the child:

1) is qualified for diversion; and
2) voluntarily admits the commission of the act and the parents or guardian of the child and the child himself agree
to the diversion program.
- It must be signed by the child’s parents or guardian and the authorities concerned.

PROSECUTION

- A child in conflict with the law shall undergo PROSECUTION if:

1) he is not qualified for diversion;
2) he is qualified for diversion but he or his parents or guardian does not agree to diversion; or
3) diversion is not appropriate for the child in conflict with the law based on the social worker’s recommendations.

CONDUCT OF PRELIMINARY INVESTIGATION

- There shall be a specially-trained prosecutor to conduct inquest, preliminary investigation and prosecution of cases
involving children in conflict with the law.
- The information against the child shall be filed before the Family Court within FORTY-FIVE DAYS from the start
of the preliminary investigation.

COURT PROCEEDINGS
- During trial, the court shall order:
1) the release of the child on recognizance to his or her parents and other suitable persons;
2) the release of the child on bail; or
3) if the child is to be detained, the transfer of the child to a youth detention home

- Detention of the child shall be ordered only as a last resort

AUTOMATIC SUSPENSION OF SENTENCE

- If the child in conflict with the law is found guilty of the offense charged, the court shall place the child under
suspended sentence without need of application.
- The automatic suspension of sentence may be extended until the child reaches the maximum age of TWENTY-ONE
(21) YEARS OLD.
- The court shall order the detention of the child in a youth rehabilitation center where he shall undergo the
appropriate disposition measures.

DISCHARGE OF THE CHILD IN CONFLICT WITH THE LAW

- Upon the recommendation of the social worker who has custody of the child, the court shall DISMISS THE CASE
AGAINST THE CHILD if the court finds that the disposition measures have been fulfilled.

RETURN OF THE CHILD IN CONFLICT WITH THE LAW TO COURT

- If the court finds that the objective of the disposition measures imposed upon the child have not been fulfilled
or if the child has willfully failed to comply with the conditions of his or her rehabilitation program, the
child shall be returned to court for the EXECUTION OF JUDGMENT.

PROBATION
- A child in conflict with the law whose sentence was executed by the court upon reaching the maximum age of
TWENTY-ONE (21) shall be entitled to the benefits of probation under PD 968, the Probation Law of 1976.

OFFENSES NOT APPLICABLE TO CHILDREN

- Persons below eighteen (18) years old shall be exempt from prosecution for the following crimes:
1) vagrancy and prostitution under the Revised Penal Code;
2) mendicancy under PD No 1563; and
3) sniffing of rugby under PD 1619.

EARLY STAGES OF DELINQUENCY PREVENTION

1. HOME-BASED PROGRAMS - Programs which involve the provision of support for families. A supportive & loving
home environment, parents care for their children’s health and general well-being.
2. PARENTING SKILLS PROGRAM - Main focus is on parent training programs with the objective of improving
parenting skills and to improve the parent-child bond.
3. DAY CARE PROGRAMS - Programs designed to working parents. These programs afford children a number of
benefits which includes social interaction and stimulation of cognitive, sensory and motor control skills.

RED NOTES 2022 68

 4. PRE-SCHOOL PROGRAMS - Geared more toward preparing children for school. Usually children ages 3-5
considered as the formative years of brain development.

REPUBLIC ACT NO 10630

- It amended certain provisions of Republic Act 9344

- It renamed RA 9344 into An Act Establishing a Comprehensive Juvenile Justice and Welfare system,
Creating the Juvenile Justice and Welfare Council under the Department of Social Welfare and
Development, Appropriating Funds Therefor, and for Other Purposes
- It transferred the administrative supervision of the Juvenile Justice and Welfare Council (JJWC) from the Department
of Justice (DOJ) to the Department of Social Welfare and Development (DSWD)
- It also provided for the creation of the Regional Juvenile Justice and Welfare Council (RJJWC) in each
region.
- It mandates the establishment of Bahay Pag-Asa and provides for its definition.

Juvenile Justice and Welfare Council (JJWC) – A Juvenile Justice and Welfare Council (JJWC) is hereby created
and attached to the Department of Social Welfare and Development and placed under its administrative supervision.
The JJWC shall be chaired by an Undersecretary of the Department of Social Welfare and Development. It shall ensure
the effective implementation of this Act and coordination among the following agencies:

"(a) Department of Justice (DOJ);

"(b) Council for the Welfare of Children (CWC);
"(c) Department of Education (DepED);
"(d) Department of the Interior and Local Government (DILG);
"(e) Public Attorney’s Office (PAO);
"(f) Bureau of Corrections (BUCOR);
"(g) Parole and Probation Administration (PPA);
"(h) National Bureau of Investigation (NBI);
"(i) Philippine National Police (PNP);
"(j) Bureau of Jail Management and Penology (BJMP);
"(k) Commission on Human Rights (CHR);
"(l) Technical Education and Skills Development Authority (TESDA);
"(m) National Youth Commission (NYC); and
"(n) Other institutions focused on juvenile justice and intervention programs.

"The JJWC shall be composed of representatives whose ranks shall not be lower than director, to be designated
by the concerned heads of the following departments or agencies and shall receive emoluments as may be determined
by the Council in accordance with existing budget and accounting rules and regulations:

"(1) Department of Justice (DOJ);

"(2) Department of Social Welfare and Development (DSWD);
"(3) Council for the Welfare of Children (CWC);
"(4) Department of Education (DepED);
"(5) Department of the Interior and Local Government (DILG);
"(6) Commission on Human Rights (CHR);
"(7) National Youth Commission (NYC);
"(8) Two (2) representatives from NGOs, to be designated by the Secretary of Social Welfare and Development, to be
selected based on the criteria established by the Council;
"(9) Department of Health (DOH); and
"(10) One (1) representative each from the League of Provinces, League of Cities, League of Municipalities and League
of Barangays.

"There shall be a Regional Juvenile Justice and Welfare Committee (RJJWC) in each region. The RJJWCs will
be under the administration and supervision of the JJWC. The RJJWC shall be chaired by the director of the regional
office of the DSWD. It shall ensure the effective implementation of this Act at the regional and LGU levels and the
coordination among its member agencies.

"The RJJWC will be composed of permanent representatives who shall have a rank not lower than an assistant
regional director or its equivalent to be designated by the concerned department heads from the following agencies
and shall receive emoluments as may be determined by the Council in accordance with existing budget and accounting
rules and regulations:

"(i) Department of Justice (DOJ);

"(ii) Department of Social Welfare and Development (DSWD);

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 "(iii) Department of Education (DepED);
"(iv) Department of the Interior and Local Government (DILG);
"(v) Commission on Human Rights (CHR);
"(vi) Department of Health (DOH);
"(vii) Two (2) representatives from NGOs operating within the region selected by the RJJWC based on the criteria
established by the JJWC;
"(viii) One (1) sectoral representative from the children or youth sector within the region; and
"(ix) One (1) representative from the League of Provinces/ Cities/ Municipalities/ Barangays of the Philippines.

"The JJWC shall convene within fifteen (15) days from the effectivity of this Act. The Secretary of Social Welfare and
Development shall determine the organizational structure and staffing pattern of the JJWC national secretariat and the
RJJWC secretariat.
"In the implementation of this Act, the JJWC shall consult with the various leagues of local government officials.
"The JJWC shall coordinate with the Office of the Court Administrator and the Philippine Judicial Academy to ensure
the realization of its mandate and the proper discharge of its duties and functions, as herein provided."

Duties and Functions of the JJWC – The JJWC shall have the following duties and functions:
"(a) To oversee the implementation of this Act;
"(b) To advise the President on all matters and policies relating to juvenile justice and welfare;
"(c) To assist the concerned agencies in the review and redrafting of existing policies/regulations or in the formulation
of new ones in line with the provisions of this Act;
"(d) To periodically develop a comprehensive 3 to 5-year national juvenile intervention program, with the participation
of government agencies concerned, NGOs and youth organizations;
"(e) To coordinate the implementation of the juvenile intervention programs and activities by national government
agencies and other activities which may have an important bearing on the success of the entire national juvenile
intervention program. All programs relating to juvenile justice and welfare shall be adopted in consultation with the
JJWC;
"(f) To consult with the various leagues of local government officials in the formulation and recommendation of policies
and strategies for the prevention of juvenile delinquency and the promotion of juvenile justice and welfare;
"(g) To formulate and recommend policies and strategies in consultation with children for the prevention of juvenile
delinquency and the administration of justice, as well as for the treatment and rehabilitation of the children in conflict
with the law;
"(h) To collect relevant information and conduct continuing research and support evaluations and studies on all matters
relating to juvenile justice and welfare, such as, but not limited to:
"(1) The performance and results achieved by juvenile intervention programs and by activities of the local government
units and other government agencies;
"(2) The periodic trends, problems and causes of juvenile delinquency and crimes; and
"(3) The particular needs of children in conflict with the law in custody.

"The data gathered shall be used by the JJWC in the improvement of the administration of juvenile justice and welfare
system.
"The JJWC shall submit an annual report to Congress on the implementation of the provisions of this Act.
"The JJWC shall set up a mechanism to ensure that children are involved in research and policy development.
"(i) Through duly designated persons and with the assistance of the agencies provided in the preceding section, to
conduct regular inspections in detention and rehabilitation facilities and to undertake spot inspections on their own
initiative in order to check compliance with the standards provided herein and to make the necessary recommendations
to appropriate agencies;
"(j) To initiate and coordinate the conduct of trainings for the personnel of the agencies involved in the administration
of the juvenile justice and welfare system and the juvenile intervention program;
"(k) To submit an annual report to the President on the implementation of this Act; and
"(l) To perform such other functions as may be necessary to implement the provisions of this Act."
Duties and Functions of the RJJWC – The RJJWC shall have the following duties and functions:
"(a) To oversee and ensure the effective implementation of this Act at the regional level and at the level of the LGUs;
"(b) To assist the concerned agencies in the implementation and in compliance with the JJWC’s adopted
policies/regulations or provide substantial inputs to the JJWC in the formulation of new ones in line with the provisions
of this Act;
"(c) To assist in the development of the comprehensive 3 to 5-year local juvenile intervention program, with the
participation of concerned LGUs, NGOs and youth organizations within the region and monitor its implementation;
"(d) To coordinate the implementation of the juvenile intervention programs and activities by national government
agencies and other activities within the region;
"(e) To oversee the programs and operation of the intensive juvenile intervention and support center established within
the region;
"(f) To collect relevant regional information and conduct continuing research and support evaluations and studies on
all matters relating to juvenile justice and welfare within the region, such as, but not limited to:
"(1) Performance and results achieved by juvenile intervention programs and by activities of the LGUs and other
government agencies within the region;

RED NOTES 2022 70

 "(2) The periodic trends, problems and causes of juvenile delinquency and crimes from the LGU level to the regional
level; and
"(3) The particular needs of children in conflict with the law in custody within their regional jurisdiction.

"The data gathered shall be forwarded by the RJJWC to the JJWC on an annual basis and as may be deemed necessary
by the JJWC.
"(g) Through duly designated persons and with the assistance of the agencies provided in the preceding section, to
conduct regular inspections in detention and rehabilitation facilities within the region and to undertake spot inspections
on their own initiative in order to check compliance with the standards provided herein and to make the necessary
reports and recommendations to appropriate agencies and to the JJWC;
"(h) To initiate and coordinate the conduct of trainings for the personnel of the agencies involved in the administration
of the juvenile justice and welfare system and the juvenile intervention program within the region;
"(i) To submit an annual report to the JJWC on the implementation of this Act; and
"(j) To perform such other functions as may be determined by the JJWC to implement the provisions of this Act."

BAHAY PAGASA
- It refers to a 24-hour child-caring institution established, funded and managed by local government units (LGUs)
and licensed and/or accredited non-government organizations (NGOs) providing short-term residential care for children
in conflict with the law who are above fifteen (15) but below eighteen (18) years of age who are awaiting
court disposition of their cases or transfer to other agencies or jurisdiction.
- It shall be operated by a multi-disciplinary team composed of a social worker, a psychologist or mental health
professional, a medical doctor, an educational or guidance counselor and a member of a Barangay Council for the
Protection of Children (BCPC).
- It shall be the responsibility of the local government units of every province and highly-urbanized cities to build,
fund and operate a Bahay Pag-asa within their jurisdiction.
- Every Bahay Pag-asa must have a special facility called the Intensive Juvenile Intervention and Support
Center.
- Only CICL whose ages range from above fifteen (15) but below eighteen (18) can be admitted to Bahay Pag-asa.
- Even if the CICL is fifteen (15) years old or below, he may also be admitted to Bahay Pag-Asa if the social worker
believes that it is what is best for the child.
- The minimum age for CICL that can be taken into the Bahay Pag-asa is twelve (12) years old.

Establishment of ‘Bahay Pag-Asa’ – Each province and highly-urbanized city (the LGUs) shall be responsible for
building, funding and operating a ‘Bahay Pag-asa’ within their jurisdiction following the standards that will be set by
the DSWD and adopted by the JJWC.

"Every ‘Bahay Pag-asa’ will have a special facility called the IJISC. This Center will be allocated for children
in conflict with the law in accordance with Sections 20, 20-A and 20-B hereof. These children will be required to undergo
a more intensive multi-disciplinary intervention program. The JJWC in partnership with, but not limited to, the DSWD,
the DOH, the DepED and the DILG, will develop and set the standards for the implementation of the multi-disciplinary
intervention program of the IJISC. Upon institutionalization of the IJISC program, the JJWC will continue to monitor
and provide technical assistance to the multi-disciplinary teams operating the said centers.

SERIOUS CRIMES COMMITTED BY CHILDREN IN CONFLICT WITH THE LAW

Crimes classified as serious crimes by RA 10630:

1) parricide;
2) murder;
3) infanticide;
4) kidnapping and serious illegal detention where the victim is killed or raped;
5) robbery with homicide;
6) robbery with rape;
7) destructive arson;
8) rape;
9) carnapping where the driver or occupant is killed or raped; and
10) offenses under Republic Act No 9165 or the Comprehensive Dangerous Drugs Act of 2002 that are punishable
by more than twelve (12) years of imprisonment.

- It provides that a child who is above twelve (12) years of age up to fifteen (15) years of age who committed
any of the crimes classified as serious crime shall be deemed a neglected child and shall be mandatorily placed
in Bahay Pag-asa under its Intensive Juvenile Intervention and Support Center (Section 20-A of RA 10630.
- CICL whose age is above twelve (12) but below fifteen (15) who will commit a serious crime must be
taken to Bahay Pag-asa instead despite being exempted from criminal liability.

REPETITION OF OFFENSES

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 - A CICL whose age is above twelve (12) up to fifteen (15) years old who had already been subjected to a
community-based intervention program for a commission of a crime and who would again commit another crime
shall also be deemed as a neglected child and shall be mandatorily placed in Bahay Pag-asa to undergo an intensive
intervention program supervised by the DSWD (Section 20-B of RA 10630).

EXPLOITATION OF CHILDREN FOR COMMISSION OF CRIMES

- Any person who shall abuse his authority over a child, or who shall induce, threaten or instigate a child to commit
a crime, is punishable for the crime committed by the child and the penalty to be imposed shall be the maximum
penalty provided by law (Section 20-C of RA 10630)

VIOLATIONS OF LOCAL ORDINANCES

Section 57-A of RA 10630 exempts children from punishment for the following violations of city or municipal
ordinances:

1) curfew;
2) truancy;
3) parental disobedience;
4) smoking;
5) drinking;
6) disorderly conduct;
7) public scandal;
8) harassment;
9) drunkenness;
10) public intoxication;
11) criminal nuisance;
12) vandalism;
13) gambling;
14) mendicancy;
15) littering;
16) public urination; and
17) trespassing.

- A child who violates any city or municipal ordinance related to the enumerated acts above shall be exempt from
criminal liability but an appropriate intervention program will be provided for him.
- In this particular instance, children who shall be caught violating city or municipal ordinances will not be called
children in conflict with the law, instead, they will be referred to as child at risk in all official documents and records.

STRATEGIES OF DELINQUENCY PREVENTION

1. GENERAL DETERRENCE - Concept holds that the choice to commit a delinquent act is structured by the threat
and punishment. Kids believe that their illegal behavior will result in apprehension and severe punishment thus, most
will be deterred to commit crimes.
2. SPECIFIC DETERRENCE - Holds that if offenders are punished severely, the experience will convince them not
to repeat their illegal acts.
3. SITUATIONAL DETERRENCE - Rather than deterring or punishing individuals in order to reduce delinquency
rates, situation prevention strategies aim to reduce the opportunities for people to commit particular crimes.

EFFECTIVE DELINQUENCY PREVENTION

1. EDUCATIONAL MODEL - programs that assist families and children by providing them information and let them
be aware on the effects and consequences of drugs, gangs, sex and weapons.
2. COMMUNITY INVOLVEMENT - Involvement in community groups provide youth with an opportunity to interact
in a safe social environment. Ex. girl scout, boy scout, church youth group, etc.
3. PARENT-CHILD INTERACTION - program that places parents and children in interactive situation. It has been
shown to reduce hyperactivity, attention deficit, aggression and anxious behavior in children.
4. BULLYING PREVENTION - Individual bullies and victims receive independent counseling in order to discourage
future commission of an offense.
5. INTERVENTION ASSISTANCE - a youth entering the juvenile justice system has the opportunity to receive
intervention assistance from the government. A youth may receive drug rehabilitation assistance, counseling and
educational opportunities.
6. YOUTH INSTITUTION - Program which gears toward restoring delinquent youth, designed to assist youthful
offenders by providing them with the help they need to change their behavior.

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 7. ENDING REPEAT OFFENSES - out of the facility, youths face the challenge of readjusting to “free life”. They
must create a pattern of life separate from criminal activity.
8. FUNCTIONAL FAMILY THERAPY - Family therapist works with the family and helps individual members see how
they can positively motivate change in their home.

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 CRIM 5: Human Behavior and Crisis Management

Human Behavior
- Anything an individual does that involves self-initiated action and/or reaction to a given situation/stimulus.
- The sum total of man's reaction to his environment or the way human beings act.
- It is composed of adoptive adjustments people make as they cope with one another, problems, opportunities, and
working together-aspects in a given situation.

Human Beings
Human beings are intelligent social animals with the mental capacity to comprehend, infer and think in rational
ways.

Views in Human Behavior

1. Neurological View – It deals with human actions in relation to events taking place inside the body such as the brain
and the nervous system.
2. Behavioral View – It emphasizes on external functions of the human being that can be observed and measured.
3. Cognitive View – It is concerned with the way the brain processes and transforms information into various ways.
4. Psychoanalytical View – It emphasizes unconscious motives that originate from aggressive impulses in childhood.
5. Humanistic View – It focuses on the subject’s experience, freedom of choice and motivation toward self-actualization.

Can be classified as either:

1. Overt Behavior – An action which can be seen or observed by other people.
2. Covert Behavior – An action which cannot be directly observed but can be concluded from external actions such
as thoughts, feelings and other emotional expressions.

2 Common Seen Behavior:

1. Normal/Accepted Behavior – actions in accordance with the law and norms.
2. Abnormal Behavior – actions against the normal behavior; criminal behavior to be specific.

Two Basic Types of Behavior

a. Inherited (Inborn) Behavior – It refers to any behavioral reactions or reflexes exhibited by people because of
their inherited capabilities or the process of natural selection e.g., the survival of species who are dependent on
behaviors like breathing, digesting food, mating and depending oneself.
b. Learned (Operant) Behavior – It involves knowing or adaptation that enhances human beings’ ability to cope
with changes in the environment in ways which improve the chances of survival. It may be acquired through
environment or training e.g., good command of English, logical problem-solving technique, job skills, and other learned
expertise that give people more control over their lives. It is this behavior that sets human being apart from other
animals.

Classifications of Human Behavior

 Habitual – It refers to motorized behavior usually manifested in language and emotion.
 Instinctive – It is generally unlearned and simply comes out of man’s instinct which can be seen among instinct-
instinct survival behaviors.
 Symbolic – It is a behavior that is usually carried out by means of unsaid words and shown through symbols or body
signs.
 Complex – It is a behavior that combines two or more of the classified ones.

Causes of Human Behavior

 Sensation – It is the feeling or impression created by a given stimulus or cause that leads to a particular reaction
or behavior.
Human Senses:
a. Visual – sight
b. Olfactory – smell
c. Cutaneous – touch
d. Auditory – hearing
e. Gustatory – taste

 Perception – It refers to the person’s knowledge of a given stimulus which largely helps to determine the actual
behavioral response in a given situation.
 Awareness – It refers to the psychological activity based on interpretation of past experiences with a given stimulus
or object.

Factors that affect Human Behavior

 Heredity – It is the passing of traits to offspring (from its parent or ancestors). This is the process by which an
offspring cell or organism acquires or becomes predisposed to the characteristics of its parent cell or organism.
 Environment – It refers to surroundings of an object. It consists of conditions and factors that surround and
influence behavioral pattern.
 Learning – It is the process by which an individual’s behavior changes as a result of experience or practice.

Attributes of behavior
• Duration – how long in terms of function of time
• Extensity – size, distance and location

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 • Intensity – magnitude, whether mild, strong and disintegrated
• Quantity – whether normal, abnormal, misleading or unacceptable

Personality Dimensions that affect Human Behavior

(P-E-N Model of Personality by Hans Eysenck)
Types Characteristics
1. Psychoticism Cold, cruel, social
insensitivity, disregard for
danger, troublesome
behavior, dislike of others,
attraction towards the
unusual
2. Extraversion Frequently seeks
stimulation, excitement, and
thrills
3. Neuroticism Intensely reacts to stress,
generally moody, touchy,
sensitive to slights and
anxious or nervous.
Effects
Impulse aggressive
individual without
appreciable conscience or
sense of morals
Gets people in trouble, has
the greatest role in crime
and delinquency
Enhances habits and
influences the individual to
behave in ways that are
considered anti-social

Guidelines for judging abnormal behavior

1. Appropriateness (includes assessment of not only the behavior itself but also the situation in which it is
happening).
2. Flexibility (normal behavior tends to be flexible as a sign of healthy behavior).
3. Impulsivity (normal behavior is more likely to be a result of a consideration of its consequences with important
decisions being given careful thought before implementation) abnormal behavior, being uncontrolled or partially
controlled needs and drives, tends to be impulsive.

How People Interact: People intermingle by three psychological positions or behavioral patterns called ego states:

1.Parent ego state – One which may be characterized as protective, idealistic, evaluative, righteous, refers to laws,
rules and standards.
2.Adult ego state – One which centers more upon reason, factual, flexible, views as co-equal, worthy and reasonable
human being.
3.Child ego state – One which may be easily described as dependent, rebellious, selfish, demanding, impatient and
emotional.

How People Transact:

1.Complimentary – If the stimulus response pattern from one ego to another are parallel.
2.Non-contemporary – If stimulus and response pattern from one ego state to another are not parallel.

The biological background of behavior

➢ The human being is the product of heredity, environment, and education (training). At birth, man is considering
black except for reflexes which are necessary for his survival. Some of these reflexes are the following, sucking,
swallowing, crying and others.

Man’s eight (8) stages of growth:

1. Pre-natal stage – which is composed of:

a. Ovum period – first two weeks
b. Embryo period – second week to second month
c. Fetus period – second month to birth
2. Infancy stage – first two weeks after birth
3. Babyhood – second week to two years old
4. Childhood – this is divided into: (early childhood, 2- 6 years old and late childhood, 7 to eleven years??)
5. Puberty – end of childhood and beginning of adolescence
6. Adolescence – this is divided into: (early adolescence, puberty to 17 years and late adolescence, 17 to 21 years)
1. Adulthood – 21 to forty years old.
2. Middle age – forty to sixty yrs. Old
3. Old age – sixty and above

Developmental tasks
Every stage of life has its accompanying developmental tasks. They are tasks imposed on the individual by
maturation and culture that prepare him for the next stage of life.

Factors affecting learning;

1. Motivation – arouses interest, provides an objective and direct towards a goal, thus it facilitates learning.
2. Reinforcement - can be made through the use of audio-visual aid, reviews, drills, and other means.
3. Extinction – means to let something die out or be forgotten by disuse if it will not facilitate learning.
4. Association – meaning the more connections are made with a subject, the better it will be learned and retained.

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 5. Interest – in a lesson will facilitate learning and serve as its own motivation, aside from having the one teaching
making the topic interesting.
6. Rewards or punishments – should be immediate for it to be effective and make learning easy.
7. Regency – means that learning should be made recent in the minds of learners for them not to forget what they
have learned.

Motivation
➢ Is defined as behavior instigated by needs within the individual and directed towards a goal that can satisfy the
needs. Motivation may also be regarded as explanation for action which influences behavior in many ways. All
definitions of motivation have certain things in common such as: it comes from within; it is directed towards a goal;
and it arouses interest in the activity.

Motivation is important because it controls and directs behavior. Behavior must be controlled for the
good of the individual and society. For human happiness, it is necessary to control behavior. Motivation
is also important in all aspects of man’s life.

Classification of motives:
➢ Biological drives – include physiological, basic and primarily unlearned motives e.g., water, food and other
survival motives.
➢ Psychological or social drives – they are secondary, acquired, learned, and derived. e.g., Motives to be rich,
popular, balanced and other acquisition of achievements.
➢ Unconscious motives – include mostly general drives such as curiosity, maternal instinct and just being nice as
a natural drive.

Personality
➢ Personality is defined as a pattern of habits, attitudes and trials that defines an individual’s characteristics, behavior
and qualities.
➢ A stable set of characteristics and tendencies that determine the similarities and differences in the psychological
behavior, such as thoughts, feelings, and actions, of people. It can be introvert, extrovert or ambivert. An introvert is
one characterized by direction of interest towards oneself and one’s inner world of experiences; the extrovert,
characterized by interest directed toward the external environment of people and things rather than toward inner
experiences and oneself; the ambivert is a mixture of between an extrovert and introvert.

Personality is more than charm, poise, or physical appearance, this includes the following;

a) Habits – reactions so often repeated that become a person’s fixed characteristic or tendency.
b) Attitudes - may either be positive or negative, favorable or unfavorable, learned or acquired.
c) Physical traits – these include facial appearance, height, weight, physical defects, complexion, strength and
health.
d) Mental traits – include our ability to control the mind.
e) Emotional traits – give an individual the capacity to face different situations in life and still maintain composure.
f) Social traits – the individual’s abilities to get along with others.
g) Moral and religious traits – the standards of a person’s actions and behaviors.

Social Learning Theories

This theory advocate that personality traits are the result of learning as one interacts with people. Personality is
mainly composed of habits and learned responses to stimuli in the environment.

Maslov’s self-actualization theory

Maslov maintains that man is naturally good and that self-actualization is his goal and blocking this goal makes
man frustrated and neurotic. Aggression and destruction are not natural but they are the result of an environment
that prevents the attainment of goals. This theory makes human needs comes first, followed by safety needs, then
belongingness, self-esteem and self-actualization comes last.

Human needs – arise out of a person’s biological and psychological make up. They are the following;
1. Biogenic needs – refer to the needs of the body existing primarily for the maintenance of health and
protection of the body against physical injuries. e.g. need for food, air, rest, sex and avoidance of pain.
2. Psychogenic or sociogenic needs – include the need for love, affection, security, growth and
achievement, and recognition from others.

According to Abraham Maslow who introduced the hierarchy of needs which ascends from the basic biological
needs present at birth to the more complex psychological needs which become important only after the more basic
needs have been satisfied.
➢ Frustration occurs when a person is blocked in the satisfaction of a need. Man becomes anxious and restless and
tries to seek means of relieving these anxieties. So, he tries to engage in various forms of activities intended to satisfy
his needs and reduces his tensions.

Frustration in Human Behavior

Frustration refers to the situation which blocks the individual’s motivated behavior. Sustained frustration may be
characterized by anxiety, irritability, fatigue or depression.

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 Three Basic Forms of Conflict

1. Approach-Avoidance Conflict – It occurs when an individual moves closer to a seemingly desirable object, only
to have the potentially negative consequences of contacting that object push back against the closing behavior.
2. Approach-Approach Conflict - This is a conflict resulting from the necessity of choosing between two desirable
alternatives. There are usually two desirable things wanted, but only one option can be chosen.
3. Avoidance-Avoidance Conflict - This form of conflict involves two undesirable or unattractive alternatives where
a person has to decide of choosing one of the undesirable things.

Coping Mechanism
It is defined as the way people react to frustration. People differ in the way they react to frustration. This could be
attributed to individual differences and the way people prepared in the developmental task they faced during the early
stages of their life.

Frustration Tolerance
It is the ability to withstand frustration without developing inadequate modes of response such as being emotionally
depressed or irritated, becoming neurotic or becoming aggressive.

Broad Reactions to Frustration

 Fight – It is manifested by fighting the problem in a constructive and direct way by means of breaking down the
obstacles preventing the person reaching his goals.
 Flight – It can be manifested by sulking, retreating, becoming indifferent and giving up.

Different Types of Reaction to Frustration

 Direct approach – It can be seen among people who handle their problems in a very objective way. They identify
first the problem, look for the most practical and handy way to solve it and proceed with the constructive manner of
utilizing the solution which will produce the best results.
 Detour - When an individual realizes that in finding for the right solution of the problem, he always end up with a
negative outcome or result. Thus, he tries to make a detour or change direction first and find out if the solution or
remedy is there.
 Substitution - Most of time resulted to in handling frustration when an original plan intended to solve the problem
did not produce the intended result. Thus, the most practical way to face the problem is to look for most possible or
alternative means.
 Withdrawal or retreat -It is corresponding to running away from the problem or flight which to some is the safest
way.
 Developing feeling of inferiority – It comes when a person is unable to hold on to any solution which gives a
positive result. Being discouraged to go on working for a way to handle a frustration could result to diminishing self-
confidence until the time when inferiority complex sets in.
 Aggression - It is a negative outcome of a person's inability to handle frustration rightly. Manifestation in physical
behavior can be observed in one's negative attitudes towards life both in the personal and professional aspect.
 Use of Defense Mechanism – It is the most tolerated way of handling frustration. It is a man’s last result when a
person attempts to overcome fear from an anticipated situation or event.

Defense Mechanism – It is an unconscious psychological process that serves as safety valve that provides relief from
emotional conflict and anxiety.

Common Defense Mechanisms

 Displacement – A strong emotion, such as anger is displaced onto another person or object as the recipient of said
emotion (anger) rather than being focused on the person or object which originally was the cause of said emotion.
 Rationalization – It is the defense mechanism that enables individuals to justify their behavior to themselves and
others by making excuses or formulating fictitious, socially approved arguments to convince themselves and others
that their behavior is logical and acceptable.
 Compensation – It is the psychological defense mechanism through which people attempt to overcome the anxiety
associated with feelings of inferiority and inadequacy in one is of personality or body image by concentrating on another
area where they can excel.
 Projection – It manifests feelings and ideas which are unacceptable to the ego or the superego and are projected
onto others so that they seem to have these feelings or ideas which free the individual from the guilt and anxiety
associated with them.
 Reaction formation – It is defined as the development of a trait or traits which are the opposite of tendencies that
we do not want to recognize. The person is motivated to act in a certain way but behaves in the opposite way.
Consequently, he is able to keep his urges and impulses under control.
 Denial – When a person uses this, he refuses to recognize and deal with reality because of strong inner needs.
 Repression – It is an unconscious process whereby unacceptable urges or painful traumatic experiences are
completely prevented from entering consciousness.
 Suppression – It is sometimes confused with that of repression. It is a conscious activity by which an individual
attempts to forget emotionally disturbing thoughts and experiences by pushing them out of his mind.
 Identification - An individual seeks to overcome his own feelings of inadequacy, loneliness or inferiority by taking
on the characteristics of someone who is important to him. An example is a child who identifies with his parents who
are seen as models of intelligence, strength and competence.
 Substitution - Through this defense mechanism, the individual seeks to overcome feelings of frustration and anxiety
by achieving alternate goals and gratifications.
 Fantasy – this is resulted to whenever unfulfilled ambitions and unconscious drives do not materialize.

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  Regression – A person reverts to a pattern of feeling, thinking or behavior which was appropriate to an earlier stage
of development.
 Sublimation – It is the process by which instinctual drives which consciously unacceptable are diverted into
personally and socially accepted channels. It is a positive and constructive mechanism for defending against own
unacceptable impulses and needs.

When a person is frustrated in his attempts to adjust himself to difficult situation over a long period of
time, he may try to escape from conflicts by suffering from any of the following mental disorders;
➢ Neurosis – a condition where a person compromises with reality by developing imaginary ailments, phobia,
obsession or compulsion;
➢ Psychosis – a mental condition where the person may withdraw from the real world into the world of fantasy
and make-believe, where a person’s hidden or unexpressed desires can be fulfilled;
➢ Psychopath or sociopath with an antisocial personality – a mental disorder where one, instead of
compromising with reality, withdraw into his shell. The person may go to the other extremes and may become very
aggressive and cruel in his behavior towards others and when his antisocial behavior comes in conflict with the law,
he becomes a criminal.
➢ Psychoneurotic persons – are those in the twilight zone between normality and abnormality. They are not
insane, but neither are they normal. The neurotic is always tensed, restless and anxious. Frequently, they have
obsession, compulsion, phobia, and in some cases, amnesia. Anxiety is the dominant characteristic.

Normal Behavior
This refers to a lack of significant deviation from the average. It can also be defined as someone who conforms to
the predominant behavior in a society.

Social norms – These are rules that a group uses for appropriate and inappropriate values, beliefs, attitudes
and behaviors.

Abnormal Behavior
It literally means "away from the normal". “a.b.”; latin initials which mean “away from”. It implies deviation
from some clearly defined norm. In the case of physical illness, the norm is the structural and functional integrity of
the body. Abnormal behavior then can be defined as a behavior which is away from or deviating from the normal
behavior. Normal behavior on the other hand, is one that is within the concept of a person as his own behavior which
he or she sees normal, and that people who behave as they do, are likewise normal and those that do not behave
similarly are abnormal. Abnormal behavior most of the time referred to as “sick” behavior. It is associated to mental
illness. Behavior which are ineffective, self-defeating, self-destructive and which separates the individuals from those
who are important to him, are regarded as abnormal.

BEHAVIORAL DISORDERS

I. PSYCHOSOMATIC DISORDER
A disorder in which the physical illness is considered to be highly associated with emotional factors. The individual
may not perceive that his emotional state is contributing to his physical illness.

II. NEUROSIS
Neurosis is a class of functional mental disorders involving distress but neither delusions nor hallucinations whereby
behavior is not outside socially acceptable norms. The distinguishing feature of neurosis is a sustained characteristics
of showing anxiety, fear, endless troubles that carry significant aspects of the individual’s life.

III. ANXIETY DISORDERS

Anxiety disorders are blanket terms covering several different forms of abnormal and pathological fear and anxiety.
People experience excessive levels of the kind of negative emotions that we identify as being nervous, tense, worried,
scared, and anxious. These terms all refer to anxiety.

 Forms of Anxiety
A. Phobias
This is an intense, unrealistic fear. In this case, anxiety is focused so intensely on some objects or situations that
the individual is acutely uncomfortable around it and will often go to great pain to avoid it.

 TYPES OF PHOBIAS
❑ Acrophobia - high places
❑ Agoraphobia - open spaces and market places
❑ Malgophobia - pain
❑ Astraphobia - storms, thunder, and lightning
❑ Gynophobia – fear of dogs
❑ Hematophobia - blood
❑ Mysophobia - contamination or germs
❑ Monophobia - being alone
❑ Nyctophobia - darkness
❑ Ochlophobia - crowds
❑ Hydrophobia - water
❑ Pathophobia - disease
❑ Pyrophobia - fire
❑ Zoophobia - animals or some particular animals

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 B. Obsessive-Compulsive Disorders

1. Obsession – This is an anxiety provoking thought that will not go away. Thoughts and impulses which occur in the
person’s mind despite attempts to keep them out. They seem uncontrollable as if they do not belong to the individual's
mind.
2. Compulsion – It is an urge wherein a person is compelled to perform some actions against his free will and with
duress as a result of external factors. This is an irresistible urge to engage in certain pattern of behavior.

➢ Impulsion – is an irresistible impulse to perform certain acts that are repetitive and ritualistic.
o Pyromania – the irresistible urge to set fire.
o Dipsomania – compulsive desire to take alcoholic drinks.
o Kleptomania – the urge to steal.

IV. PERSONALITY DISORDERS

Personality disorders, formerly referred to as character disorders are a class of personality types and behaviors
defined as “an enduring pattern of inner experience and behavior that deviates markedly from the expectations of the
culture of the individual who exhibits it”. This category includes those individuals who begin to develop a maladaptive
behavior pattern early in childhood as a result of family, social and cultural influences.

Types of Personality Disorders

1. Paranoid Personality – This is characterized by suspiciousness, hypersensitivity, rigidity, envy, excessive self-
importance and argumentativeness plus a tendency to blame others for one's own mistakes and failures and to ascribe
evil motives to others.

2. Schizoid Personality – Individuals with this personality disorder neither deserve nor enjoy close relationship. They
live a solitary life with little interest in developing friendships. They exhibit emotional coldness, detachment or a
constricted effect. It is characterized by lack of interest in social relationships, a tendency towards a solitary lifestyle,
secretiveness and emotional coldness.

3. Schizotypal Personality – Individuals with this type of personality disorder exhibit odd behaviors based on a belief
in magic or superstition and may report unusual perceptual experiences.

4. Histrionic Personality – This is characterized by attempt to be the center of attention through the use of theatrical
and self-dramatizing behavior. Sexual adjustment is poor and interpersonal relationships are stormy. It is characterized
by excessive emotionality and attention-seeking including an excessive need for approval and inappropriate
seductiveness usually beginning in early adulthood.

5. Narcissistic Personality – Individuals with this type of personality have a pervasive sense of self-importance. A
disorder and its derivatives can be caused by excessive praise and criticism in childhood particularly that from parental
figures.

6. Antisocial Personality – This is characterized by a lifelong history of inability to conform to social norms. This
includes “irritable and aggressive" and may have repeated physical fights. These individuals also have a high prevalence
of morbid substance abuse disorders.

7. Borderline Personality – This is characterized by instability reflected in drastic mood shifts and behavior problems.
Individuals with this type of personality are acutely sensitive to real or imagined abandonment and have a pattern of
repeated unstable but intense interpersonal relationships that alternate between extreme idealization and devaluation.
Such individuals may abuse substances or food or be sexually promiscuous.

8. Avoidant Personality – Individuals with this personality are fearful of becoming involved with people because of
excessive fears of criticism or rejection.

9. Dependent Personality – This is characterized by inability to make even daily decisions without excessive advice
and reassurance from others and needs others to assume responsibility for most major areas of his or her life.

10. Compulsive Personality – This is characterized by excessive concern with rules, order efficiency and work
coupled with insistence that everyone do things their way and an inability to express warm feelings.

11. Passive-Aggressive Personality – The individual with this personality disorder is usually found to have
overindulged in many things during the early years to the extent that the person comes to anticipate that his needs
will always be met and gratified.

V. SCHIZOPHRENIA
- It is a psychotic condition marked by withdrawal from reality, indifference concerning everyday problems
and tendency to live in a world of fantasy.
- It was formerly called dementia praecox by Emil Kreaplin, a German psychiatrist.
- The term schizophrenia was given by Eugene Bleuler which literally means “splitting of minds”.

Types of Schizophrenia

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  Simple Schizophrenia – It is characterized by a gradual decline of interest and ambition. The person withdraws from
social contacts as well as irritable and inattentive.
 Paranoid Schizophrenia – It is characterized principally by delusions of persecutions and/or grandeur. Hallucinations,
usually auditory, are most of the time present.
 Hebephrenic Schizophrenia – It manifests severe integration of personality and can be observed through
inappropriate giggling and smiling without apparent reasons which to an untrained observer may only be childish
playfulness.
 Catatonic Schizophrenia – It manifests extreme violence and shown with excessive motor activity, grimacing,
talkativeness and unpredictable emotional outburst.

Copycat Crime
Copycat crime is crime inspired by another crime that has been publicized in the news media or fictionally or artistically
represented in which the offender incorporates aspects of the original offense.

SEXUAL DEVIANCY
A sexual act that seeks gratification by means other than heterosexual relationship.

HETEROSEXUALITY – A normal sexual relationship between members of the opposite sex which could lead to
reproduction.

TYPES OF SEXUAL DEVIANCY

❑ Homosexuality
- sexual desire towards the same sex
❑ Transvestitism
- obtaining sexual gratification by wearing the clothes of the opposite sex.
❑ Voyeurism
- obtaining sexual pleasure by watching the members of the opposite sex undressing or engaging in sexual activities.
❑ Exhibitionism - obtaining pleasure by exposing one’s genitals to others.
❑ Fetishism - obtaining sexual gratification primarily and exclusively from specific objects.
❑ Sadism – inflicting pain to others
❑ Masochism – inflicting pain upon themselves.
❑ Sodomy – sexual act through the anus of another human being.
❑ Froilism – a form of sexual perversion in which three (3) persons are participating in sexual act.
❑ Pluralism – a group participates in sexual orgies (sexual festival).
❑ Cunnilingus – licking of woman’s genitals
❑ Fellatio – sucking the penis
❑ Pedophilia – obtaining pleasure from sexual contact with children.
❑ Incest – sexual relations between persons related by blood.
❑ Bestiality – sexual intercourse with a living animal.
❑ Necrophilia – desire to engage in sexual intercourse with a dead body.

CRISIS MANAGEMENT

Crisis
This refers to unstable and dangerous social condition characterized by an impending abrupt change involving
economic, military, political, police, societal or personal affairs that is approaching emergency level event.
- It came from the Greek word “CRISIS” which means to separate.

EMERGENCY
It came from the Latin word “EMERGENTIA” which means dipping; plunging. It is a sudden condition or state of
affairs calling for immediate action.

Crisis Management
It refers to the action undertaken to unify and coordinate resources and efforts to effectively and efficiently
quell a given criminal/life threatening situation.
It is also defined as the expert handling of emergency or crisis to reduce or eliminate danger or damage.

Ten (10) steps to take during crisis;

➢ Assess the situation - by knowing the following; what is happening and why; what is likely to happen and how
quick the response should be to avoid further damage in all aspects; who are involved and who else; and resources at
hand.
➢ Draw preliminary plan of action – step by step; have a contingency plan for a eventualities.
➢ Line up a crisis management team – deal with the situation
➢ Set up a crisis management center
➢ Set up a communication system – to have an immediate access to all members of the team
➢ Prioritize matters
➢ Face problems one-at-a time
➢ Prepare detailed plans
➢ Continuously monitor what exactly is happening
Evaluate actions and reaction.

EMERGENCY, CRISIS AND DISASTER DISTINGUISHED

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 ❑ If the situation is still controlled and the response given is for the purpose of containing the situation from
getting out of control, then it is just an EMERGENCY.
❑ If the situation is already beyond normal control, what is happening is already a CRISIS.
❑ If the effects of the crisis can no longer be controlled even by its author, it is now a DISASTER.

Types of Crisis
 Natural crisis – It is typically natural disasters considered as acts of God such as environmental phenomena e.g.
earthquakes, volcanic eruptions, tornadoes, hurricanes, floods, landslides, tsunamis, storms and droughts that threaten
life, property and the environment itself.
 Man-Made Crisis
- A civil disturbance, revolt, revolution, border incident, war, kidnapping, hijacking, hostage-taking, terrorists’
activities, attacks on government facilities, etc.
Objectives of Crisis Management
 Resolve without further incident;
 Safety of all participants;
 Apprehension of all perpetrators; and
 Accomplishment of the task within the framework of current community standard.

PURPOSE OF CRISIS MANAGEMENT:

“SALVARI VITAS” – to save lives

PHASES OF CRISIS MANAGEMENT

❑ Proactive Phase
- It includes prediction, prevention and preparation.
❑ Reactive Phase
- It involves performance, initial action, action, and post action.

LEGAL REGIMES IN DEALING WITH CRISIS

❑ Sec. 6, Article XVI, 1987 Constitution
- The State shall establish and maintain one police force which shall be national in scope and civilian in character to
be administered and controlled by the NAPOLCOM. The authority of local executives over the police units in their
jurisdiction shall be provided by law
❑ Sec. 444 and 445, R.A. 7160
- The mayor shall act as the deputized representative of the NAPOLCOM which shall exercise operational control and
supervision over the local police forces in the city and municipality.

Hostage Incident
It is any incident in which people are being held by another person or persons against their will usually by force or
coercion and demands are being made by the hostage taker.

Characteristics of a Negotiable Incident

 There must be a need to live on the part of a hostage taker.
 There must be a threat of force on the part of the authorities.
 There must be demands by the hostage taker.
 The negotiator must be seen by the hostage taker as a person who can hurt the hostage taker but is willing to help
him.
 There must be time to negotiate.
 A reliable channel of communication must exist between the hostage taker and the negotiator.
 Both the location and the communications of the incident need to be contained in order to encourage negotiation.
 The negotiator must be able to deal with the hostage taker making the decisions.

Hostage – A person held as a security for the fulfillment of certain terms.

Negotiate - It means to arrange or settle by conferring or discussing.
Crisis Negotiation – It means the use of communication techniques and strategies to influence a person to change
his behavior in accordance with goals within legal, ethical and moral constraints.

Hostage negotiation
➢ In hostage situation the general tendency of the hostage taker is to hostage a prominent personality in order to gain
needed leverage in the negotiation. What is important in this situation is improved communication and the efficiency
of the police in responding to the call of emergency.

PRIORITIES IN HOSTAGE SITUATION

❑ Preservation of life
❑ Apprehend hostage taker
❑ To successfully negotiate; there must be a need to live on the part of the hostage taker and a threat of
force by the authorities.

Principles to be followed;
➢ The hostage has no value to the hostage-taker. His only value is as a tool to get what the hostage-taker wants,
not from the hostage but from the authorities. Violence should be avoided for the sake of the hostage, if it cannot be
avoided, the authorities should be the victor.

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 ➢ To successfully negotiate, there must be a need to live, on the part of the hostage-taker because a hostage-taker
who is bent in killing himself and has no intention of releasing the hostage, is a non-negotiable case which the police
should ascertain.

CATEGORIES OF HOSTAGE-TAKER
❑ PERSONS IN CRISIS
- People who take hostages during a period of prolonged frustration, despair and problems.
❑ PSYCHOTICS
- Mentally-ill people who take hostage during a period of psychiatric disturbance.
❑ COMMON CRIMINALS
- People who take hostages for personal reason.
❑ PRISONERS
- People who take hostage because of dissatisfaction and discontent regarding their living condition in prison.
❑ POLITICAL TERRORISTS
- People who take hostages because of political and ideological beliefs.

Characteristics of hostage-takers;
➢ Mentally deranged - suffers from delusion and hallucination, and they;
o Set the rule
o React on overwhelming stress, forcing them to take action to relieve stress; may even
o Take members of their family as hostage.
➢ Severe depression – suffers also some mental aberration which is an answer to life stress that could lead to
self-destruction as in suicide.
➢ Personality disorder – with anti-social and maladaptive patterns of behavior that brings him repeatedly in
conflict with society.
o If he demands for a member of his family, do not grant, family could be the cause of being what he is.
➢ Paranoid – he feels threatened and persecuted, highly suspicious of people and impulsive.
➢ Sociopathic personality – highly impulsive and unable to delay gratification so that if hostage is a woman,
raping her is a probability.
➢ Terrorist – with political purpose or agenda. They use threats and harassment to create an atmosphere of fear,
disregarding women and children as victims. They are only loyal to themselves and other allied groups and willing to
give life as part of martyrdom.

HANDLING OF SPECIFIC HOSTAGE SITUATION

1. PROFESSIONAL CRIMINAL
- easiest to handle
- rational thinker
- after assessing the situation and weighing the odds; usually come to terms with the police.
PROPER HANDLING: To show force but refrain from unnecessary violence or useless killing.

2. PSYCHOTIC INDIVIDUAL
- present different and somewhat complex problems
- irrational
PROPER HANDLING: The hostage taker may feel a degree of pleasure if he finds himself important being the center of
attraction
- prolonging the time

3. TERRORISTS
- more difficult to handle
- when caught, they rationalize by claiming to be revolutionaries a situation they resolve to die for a cause.
PROPER HANDLING: Their causes may deteriorate in the passage of time.
- If they kill one of the hostages, the negotiators then must set to save the remaining hostages.

Upon arrival at the scene of the incident, negotiator should act immediately on the following:
➢ Containment - control of area and people;
➢ Establish contact – if several hostage-takers are involved, talk with the leader only. If recognized as an officer
of the law, never tell rank, since hostage-taker may ask for demands that he think can be at once granted. If deceit
has to be used, do not get caught and bluff.
➢ Time lengthening – this will give more time to the police to organize and coordinate plan of action. It could also
lead to the hostage-taker’s loss of objectivity.
➢ Telephone negotiation technique – be the caller, plan and prepare and be ready with what has to be
negotiated. Discipline one to listen. For whatever demand granted, hold on to a concession and try to get something
in return. e.g., release of children and women hostages.
➢ On a face-to-face negotiation – observe the rules; do not be over anxious, prepare for a psychological, physical
and emotional confrontation. Wear body armor, have a weapon, but if ask to come without one, ensure that they too,
should lay down firearms before you enter the place of negotiation. Coming on a face-to-face situation, observe
prescribed distances as in personal distance, it should be one to three feet, and while in intimate, about 6 inches. In
getting out, face hostage-taker; slowly walk out of the door with good cover or tactical backup.
➢ On surrenders approach - start with a position approach and act as if the hostage-taker will surrender. Do not
talk too much, talk detail of surrender process, and explain why now is better than later.
o Positive effects of time
o Hostage-taker will wear down emotionally and psychologically.
o Hostage-taker has more demands for food, water, and drinks.

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 o Anxiety reduces, if hostage-taker is given chance to organize his true self.
o Hostage taker’s rationality increases.
o Hostage-taker - negotiator relationship gets improve.
o Hostage-taker’s demands may be reduced.

Stockholm syndrome may develop which refers to the unusual development of mutual positive feelings between
the hostage and hostage-taker for each other that eventually results to negative feelings against the authorities.

Cardinal rule in negotiation

➢ “commander should not negotiate; negotiator should not command.”

Reasons:
➢ Hostage-taker will have sense of importance;
➢ May make impossible demands, knowing that he is dealing with commander;
➢ Conflict with being a negotiator and commander at the same time and will have no more fall back.

Note: In case hostage-taker refuses to talk, motivate him by touching on possible topics related to his act, if he opens
up, stop talking and listen and continue the negotiation.
➢ Advantages of telephone negotiation;
➢ Easier to say no to some demands;
➢ Easier to end and conclude the negotiation;
➢ Conversation is quicker;
➢ Important items can easily be committed;
➢ Negotiator has the advantage and less risk.

Disadvantage;
➢ Impersonal – hostage’s reaction cannot be observed.
➢ Hostage taker – negotiator relationship
o Trust and rapport should be established but while trust is there, be aware of it;
o If deceit is to be used, tell lies but don’t get caught.
➢ Walkie talkies - set in single frequency are still considered to be one of the best in telephone negotiation and
in giving orders.
o If attack has been decided upon, it should be carried within seven (7) seconds upon the decision.

HOSTAGE TAKER’S DEMANDS

❑ Negotiable
- food, cigarettes, drinks, alcohol, transportation, media coverage, freedom
❑ Non-Negotiable
- weapons, ammunitions, drugs, release of prisoners, exchange of hostages

PRINCIPLES IN HOSTAGE NEGOTIATION

❑ The hostage has no value to the hostage taker
❑ The priorities in the hostage situations are the preservation of life and the apprehension of the hostage taker,
recover and protect property.
❑ Hostage situation must not go violently
❑ There must be a need to live on the part of the hostage taker

IMMEDIATE ACTIONS OF THE NEGOTIATOR UPON ARRIVAL AT THE SCENE OF INCIDENT

1. Containment
❑ controlling situation and area by people involved.
2. Establish Contact
❑ communicate with the leader
3. Time Lengthening
❑ give more time to the police to organize and coordinate plan of action.
4. Telephone Negotiation Technique
4.1. Be the caller (talk with the leader only);
4.2. Plan and prepare;
4.3. Be ready with graceful exit;
4.4. Discipline yourself to listen;
4.5. Do not tell that you are the commander, neither your rank;
4.6. Just tell “My name is…I am a police negotiator and willing to help;
4.7. Delay tactic – to wear down hostage taker, physically, psychologically and emotionally. It will also give more time
for police to organize and coordinate plan course of action.
4.8. In case hostage taker won’t talk, continue negotiating. Don’t lose hope!

5. Need for face-to-face conversation

❑ Don’t be over anxious
❑ wear body armor
❑ have tactical back-up (snipers)
❑ Face-to-face, maintain proper distance;
◦ Proper distance – 1 to 3 feet.
◦ Intimate distance – about 6 inches
❑ in retreating, face hostage taker slowly backing out of the door.

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 6. Surrender approach– start with a position approach, act as if hostage taker will surrender. Do not talk too much.
Gradually ask him to surrender. Reassurance is the wisest thing to do. Talk details of surrender process and explain
why now is better than later.

Crisis Negotiation Bargaining Techniques

❑ The use of time to increase basic needs, making it more likely that the subject will exchange a hostage for some
basic needs.
❑ The use of time to collect intelligence on the subject that will help develop a trade.
❑ The use of time to reduce the subject’s expectation of getting what he wants.
❑ Trades can be made for food, drink, transportation and money.
❑ Trades cannot be made for weapons or the exchange of hostages.
❑ The boss does not negotiate.
❑ Start bidding high to give yourself room to negotiate.
❑ Never draw attention to the hostages, it gives the subject too much bargaining power.
❑ Manipulate anxiety levels by cutting off power, gas, etc.
CRISIS MANAGEMENT TEAM

Team – It is a small group of people with complementary skills who are committed to a common purpose, performance
goals and approach for which they hold themselves mutually accountable.

The Negotiating Team (Foreign Set-up)

 Negotiator Supervisor – He is responsible for the overall functioning of the negotiating team. In addition to his
supervisory skills, the supervisor must have leadership ability. He should see to it that the situation is negotiable,
appropriate personnel is available, intelligence is gathered in timely manner, communications are established,
negotiation strategy is working-out, an appropriate record of the negotiation is kept and the commander is well
informed.
 Primary Negotiator – He is the direct communication link to the hostage taker and is responsible for developing
verbal tactics, monitoring and assessing the hostage taker’s level of emotional arousal and helping the hostage taker
engage in problem solving.
 Secondary Negotiator – He is the pipeline between the negotiation team and primary. He helps to develop verbal
tactics and provides moral support for the primary.
 Intelligence Officer – He is responsible for gathering intelligence from various sources, interviewing all relevant
persons involved in the incident, collating and disseminating that information, maintaining and updating status boards
and making sure that all response units are receiving accurate and timely intelligence.
 Mental Health Consultant – He is responsible for evaluating the personality of the hostage taker, recommending
negotiation strategies, monitoring team stress and monitoring stress among the hostage takers and hostages.
 Equipment Officer – He is someone who understands technical information regarding radios, computers, phone
systems, mechanical systems, etc. and can make minor repairs.

Command Post
It is the position from which a unit commander and his staff exercise command over the hostage incident.

Ground Commander is the designated senior officer in command of the incident. He is also termed “incident
commander”

Inner and Outer Perimeter

 Inner Perimeter – It is the immediate area of containment as designated by the on-ground commander
 Outer Perimeter – It is a secondary control area surrounding the inner perimeter and providing a safe zone for access
to the inner perimeter.

The Tactical Team (Foreign Set-up)

It is an assault team responsible in carrying out assault operation whenever negotiation fails. A unit of specially
selected, appointed, trained and equipped officers that provides assistance in those incidents that would require special
tactics, techniques and equipment.

Tactical Team Components (Foreign Set-up)

Tactical Supervisor – He is responsible for the mobilization of the members of the team, deployment of the
containment team, development of the tactical plan and operation of the assault and arrest teams.

The tactical team is divided into three major components:

1. First Component – this component is responsible for maintaining perimeter control both inner and outer. It is
also called containment sub-team.
2. Second Component – It is the apprehension and assault team. Members of this sub-team make an
undetected approach to the location, plan and prepare for the release of hostages and make an assault if necessary.
It is also called apprehension and assault sub-team.
3. Third Component – It is the sniper/observer sub-team. The sniper/observer sub-team (third
component) has two responsibilities:
 Provide intelligence on factors present at the location. These factors may include physical layout, placement of walls,
furniture, specific location of hostages and hostage takers, clothing and mental state of hostages and hostage takers.
 Prepare for a shot on the hostage taker.

Active Listening Techniques

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  Open-Ended Questions/Statements – These are questions or statements directed at the hostage taker designed
to get him to open up and give a long verbal answer.
 Effective Pauses – not saying anything when the hostage taker finishes talking, encouraging him to fill the empty
or blank space with additional communications or information. Periods of silence that are used to emphasize a point or
to encourage the subject to say more.
 Minimal Encouragement – saying yes, ok or other verbal indicators that the negotiator is actually listening to the
hostage taker. Brief, well-timed response that let the subject knows the negotiator is paying attention. It is a neutral
non-threatening response that can be used with any subject.
 Mirroring (Reflecting Feelings) – It is a response in which the negotiator mirrors back to the hostage taker the
emotions of the hostage taker in communicating, the negotiator repeats the last word or phrase.
 Paraphrasing – It is a response in which the negotiator gives the hostage taker the essence of his message in the
negotiator’s words. The negotiator repeats the subject’s meaning in the negotiator’s words. It shows that the negotiator
is listening and understands the content of the subject’s message.
 Emotional Labeling (Reflecting Meaning) – It is a response in which negotiator let the hostage taker know he
understands the facts and the feelings the hostage taker is communicating. The use of emotionally descriptive words
to show that the negotiator understands the feelings the subject is experiencing.
 I-Messages – It is a response in which the negotiator expresses his emotions in response to the hostage taker.
These are messages that personalize the negotiator without becoming a personal attack and allow negotiator to
introduce new ideas without raising excessive resistance.
 Summative Reflections – It is a response in which the negotiator summarizes the main facts and feelings that the
hostage taker has expressed over a relatively long period.

Implementation of Methods to Deal with Hostage situation

Rule 22. Hostage Situation of the revised PNP Operational Procedures

Sec.1. Procedures to be followed in a Hostage Situation – the following steps shall be undertaken:
a. A crisis management task group shall be activated immediately;
b. Incident scene shall be secured and isolated;
c. Unauthorized persons shall not be allowed entry and exit to the incident scene; and
d. Witnesses’ names, addresses and other information shall be recorded. Witnesses shall be directed to a safe location.
Sec.2. Ground Commander – there shall be only one Ground Commander in the area.
Sec.3. Negotiators – They shall be designated by the Ground Commander. No one shall be allowed to talk
to the hostage-taker without clearance from the negotiating panel or Ground Commander.
Sec.4. Assault Team – It shall be alerted for deployment in case the negotiation fails. Members of the
assault team shall wear authorized and easily recognizable uniform during the conduct of the operation.
Bonnets shall not be used.
Sec.5. Assault Plan – The assault shall be planned to ensure minimal threat to life for all parties.
Sec.6. Support Personnel – An ambulance with medical crew and a fire truck shall be detailed at the
incident.
Sec.7. Coordination – Proper coordination with all participating elements shall be done to consolidate
efforts in solving crisis.
Sec.8. Safety of Hostage(s) – In negotiating for the release of a hostage, the safety of the hostage shall
always be paramount.
Sec.9. Procedures to be followed during negotiations

The following shall be undertaken in the conduct of negotiations:

a. Stabilize and contain the situation;
b. Select the right time to make contact with the hostage-taker;
c. Take time when negotiating;
d. Allow hostage-taker to speak;
e. Don’t offer the hostage-taker anything. What he will ask for will be part of the negotiation;
f. Avoid directing frequent attention to the victim when talking to the hostage taker;
g. Do not call them Hostages. Be as honest as possible; avoid tricks; be sincere;
h. Never dismiss any request from the hostage-taker as trivial or unimportant;
i. Never say “NO”
j. Soften the demand
k. Never set deadline; try not to accept a deadline;
l. Do not make alternate suggestions not agreed upon in the negotiation;
m. Do not introduce outsiders (non-law enforcement officers) into the negotiation process unless their presence is
extremely necessary in the solution of the crisis provided that they shall be properly advised on the do’s and don’ts of
hostage negotiations;
n. Do not allow any exchange of hostages unless extremely necessary. In particular, do not exchange a negotiator for
a hostage;
o. Avoid negotiating face-to-face; and
p. Law enforcement officers without proper training shall not be allowed to participate in hostage negotiations.

What is important in a hostage taking situation?

➢ Dry run or constant practice to ensure the unit’s capabilities of control over the situation.
➢ Considerable screening of all members. Team members should give free hand in handling and evaluating the
situations they are in.
o Patrol units, assault units, and all units concerned should know exactly whose command they are under.
o A rescue effort has to run strictly from top, down to the last member.

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 o If chemicals are to be used in the assaults, it should be enough only to maim the perpetrators in order to
incapacitate to disable them.
o Assaults when decided upon should be carried out within 7 seconds.
o Presence of a linguist is necessary, if negotiator is not.

Implementation of methods to deal with hostage situation

➢ Behavior guidelines during negotiation:
o Be the caller
o Use civilian clothes
o Use protective armor
o Do not ask for demands – hostage-takers may not have demand
o Give room to negotiate – do not be excited, nervous, and irritated
o Be calm and relax
o Talk to hostage taker leader only
o Elicit a promise
o Make sure you have a good cover (hidden or otherwise)
o Conserve concession – hold giving in to demand. Delay works in favor of authorities.

On life and death negotiation;

➢ Keep in mind that one hostage-taker, show of force is unnecessary
➢ Speak firmly but not in threatening manner
➢ Do not be over friendly. It may be interpreted as a weakness
Hostage-taker should not drive to desperation (give hope, security, etc.)

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 CRIM 6: Criminological Research and Statistics

Meaning of Research
= It is a scientific investigation of phenomena which includes collection, presentation, analysis and interpretation of
facts that links man’s speculation with reality.
= It is a systematic, controlled, empirical and critical investigation of hypothetical proposition about the presumed
relations among natural phenomena.

Main Purpose of Research: “To serve Man (Good)”

2 Parts of Training-Oriented Research

1. Pre-Empirical Phase – It involves planning, more on theory and concepts, came from secondary sources, ideal
place to find sources is in the library, uses future tense, the Chapter 1 to 3 of the research paper.
2. Empirical Phase – All about the action taken, this is the practical experience of the researcher, came from
primary sources, the reality in the field, uses past tense, the Chapter 4 and 5 of the research papers.

KINDS AND CLASSIFICATION OF RESEARCH

A. According to Purpose
1. Predictive or Prognostic Research – It has the purpose of determining the future operation of the variables
under investigation with the aim of controlling or redirecting such for the better.
2. Directive Research – It determines what should be done based on the findings this is to remedy an unsatisfactory
condition, if there is any.
3. Illuminative Research – It is concerned with the interaction of the components of the variable being investigated,
as for example, “interaction of the components of educational systems and aims to show the connections among
students’ characteristics, organizational pattern and policies, and educational consequences.

B. According to Goal
1. Basic or Pure Research – It is done for the development of theories and principles.
2. Applied Research – It is the application of the results of pure research. This is testing the efficacy of theories and
principles. It aims to test theories and concepts developed for verification, application, development and support and
their relationship to the existing fund of knowledge.

C. According to the Level of Investigation

1. Exploratory Research – The researcher studies the variables pertinent to a specific situation.
2. Descriptive Research – The researcher studies the relationships of the variables.
3. Experimental Research – The experiment studies the effects of the variables on each other.

D. According to the Type of Analysis

1. Analytical Research – The researcher attempts to identify and isolate the components of the research situation.
2. Holistic Research – It begins with the total situation. Focusing attention on the system first and then on its
internal relationships.

E. According to Scope – Under this category is Action Research. This type of research is done on a very limited
scope to solve a particular problem which is not so big. It is almost problem solving.

F. According to Choose of Answers to Problems

1. In Evaluation Research, all possible courses of action are specified and identified and the researcher tries to find
the most advantageous.
2. In Developmental Research, the focus is on finding or developing a more suitable instrument or process than
has been available.

G. According to Statistical Content

1. Quantitative or Statistical Research – It is one in which inferential statistics are utilized to determine the results
of the study. Inferential statistics such as correlation, chi-square, analysis of variance, etc. are used to test the
hypothesis. This type of research usually includes comparison studies, cause-and-effect relationships, etc.
2. Non-Quantitative Research – This is research in which the use of the quantity or statistics is practically nil. This
is especially true in anthropological studies where description is usually used. Descriptive data are gathered rather than
quantitative data.

H. According to Time Element

1. Historical Research describes what was.
2. Descriptive Research describes what is.
3. Experimental Research describes what will be.

Pure Research – A research intended to all bodies of scientific knowledge in order to discover the basic truths or
principles.

Action Research – A decision-oriented research which involves the application of the steps of scientific method in
response to an immediate need for improvement of existing practices.

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 Identification of the Problem – considered as the most fundamental part of the research.

4 M`s needed in conducting a Research:

1. Man
2. Money
3. Materials
4. Machinery

Steps in Scientific Method of Research (Sequential)

1. Determining (recognizing) the problem
2. Forming a hypothesis
3. Doing the library search
4. Designing the study
5. Developing the instruments for collecting data
6. Collecting the data
7. Analyzing the data
8. Determining implications and conclusions from the findings
9. Making recommendations for further research.

Standard Format of Thesis Writing

1. The Problem and the Setting
2. Related Literature and Studies
3. Methods of Research and Procedures
4. Analysis, Presentation, and Interpretation of Data
5. Summary, Conclusions and Recommendations.
Three (3) Major Research Methods
Historical
Descriptive
Experimental Methods of Research

Attributes of Good Research Problem

S = Specific – specifically stated
M = Measurable – easy to measure by using research instrument in collection of data
A = Achievable – data are achievable using correct statistical treatment/techniques to arrive at precise
results
R = Realistic – real results are not manipulated
T = Time-bound – time frame is required in every activity because the shorter completion of the activity
the better

Capsulizing Research Problem into Title

1. It should be clearly and specifically stated;
2. Variables investigated should by all means be written as part of the title;
3. Relationship between and among variables should be indicated;
4. Target population should be indicated in the title to achieve specificity;
5. It should have a maximum of twenty substantive words;
6. Function words should not be placed at the end of each line; and
7. Title must take the form of an inverted pyramid.

Note:
Avoid redundancies like “A Review of…”, “An Analysis of…”, An Evaluation of…”, “An Assessment….” and the like
because even without those terms, the researcher will review, evaluate, assess or analyze the problem posted in the
study.

Avoid Plagiarism
Plagiarism is an act of incorporating into one’s work the work of another without indicating the source.
= The unacknowledged used of somebody else’s words or ideas.
= An act wherein the writer uses passages, ideas, writings and statements of others without giving due credit.

Construction of the Main Problem and Sub-Problem of the Study

1. The main problem of the study may be stated by briefly pointing out the objectives, the subject and the coverage
of the study.
Ex. The study aimed to assess the acceptance of an accurate polygraph results as evidence in court.
2. Specify the sub-problems of the main problem.
Ex. Specifically, it sought to answer the following sub-problems:
1. To what extent does the application of polygraph examination affect the attainment of an accurate results to be
presented as evidence in court in terms of:
1.1. examiner’s competency;
1.2. facility and instrument;
1.3. techniques and procedures; and
1.4. subject’s condition?

Theoretical Framework
✓ Theoretical framework is the foundation of the study.

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 ✓ The theory should have a relationship with the issues posted in the study

Types of Theories
1. Descriptive Theory = It seeks to describe a phenomenon.
2. Prescriptive Theory = It seeks to tell how and sometimes why one should or ought to behave in certain ways.

Guidelines in Choosing Theory

1. Research must be well-founded on universally accepted, known and tested theory, principles or concepts.
2. Research may be anchored on several theories available.
Presentation of Theoretical Framework
Ex. The framework of the study is anchored on …………………

Conceptual Framework
= An illustration of how research problems are generated from the theoretical framework of the study.
= It may be some sort of modification of the theoretical framework or personally conceptualized by the researcher

Presentation of Conceptual Framework/Paradigm

1. The research paradigm must clearly show the major impact of the cited theory on the variables (dependent and
independent variables) of the study.
2. An existing theory may be capsulized in a research paradigm which may be adopted with some modifications.
3. There must be textual explanations of the variables in the paradigm. Textual explanations should come before the
figure or paradigm.

Assumption and Hypothesis

1. Assumption = Self-evident truth which is based upon known fact or phenomenon. It is not usually answered or
proven because it is assumed true or correct which is beyond the control of the researcher.
Note: In historical and descriptive researches, it is oftentimes not explicitly expressed but left implicit, that is, unwritten.
2. Hypothesis = It is a tentative conclusion or answer to specific question raised at the beginning of the investigation.
It is an educated guess about the answer to a specific question.

Research Instrument = It is a device designed or adopted by researcher for data gathering.

Classifications of Research Instrument

1. Researcher Instrument = The researcher obtains information or data himself with little or no direct involvement
of other people
2. Subject Instrument = The information is collected directly from the respondents
3. Informant Instrument = The information or data is collected from those knowledgeable of the subject matter.

Commonly Used Instruments

1. Questionnaire = It is written or printed form containing the questions to be asked on the respondents.

Types of Questionnaire
a. Open-Ended = Respondents are forced to answer the questions asked in the questionnaire.
= Best suited to a qualitative research study
b. Closed-Ended = Also referred as guided response type, closed form or restricted.
= Respondents are guided in answering questions.
= Options may be provided like in multiple choice test while answers are based on the rating scales provided.
2. Interview = It involves face to face contact between the interviewee and the interviewer

Types of Interview
a. Structured Interview = There is a set of carefully prepared questions and their expected answers are provided.
b. Unstructured Interview = Respondents are free to express their opinions
= It is also termed as non-directive or informal.

3. Observation = It may be defined as perceiving data through the senses: sight, hearing, taste, touch and smell.
= Sense of sight is the most important and most used.
= Most direct way and most widely used in studying behavior.

Types of Observation
a. Formal Observation = A researcher makes a guide on what to observe. Possible responses may also be outlined.
b. Informal Observation = It needs critical evaluation of the observation made to avoid biased results.
= It is recommended for qualitative research.

Qualities of Good Research Instrument

1. Validity = degree to which a measuring instrument measures what it intends to measure

Types of Validity
a. Content-Related Validity = It refers to content and format of the instrument which must answer the following
criteria: appropriateness; logical; adequate; and proper format.
b. Criterion-Related Validity = It refers to the relationship between scores obtained using one or more instruments
or measures.

RED NOTES 2022 89

 c. Construct-Related Validity = It refers to the nature of psychological construction or characteristics being
measured by the instrument.
2. Reliability = extent to which the instrument is dependable, self-consistent and stable
= Consistency of responses from moment to moment.
= Even a person takes the same test twice. The test yields the same results.
= Reliable test may not always be valid.
3. Usability = It is otherwise known as Practicability.
= A degree to which the research instrument can be satisfactorily used. It may be determined thru:
a. ease of administration;
b. ease of scoring;
c. ease of interpretation;
d. low cost; or
e. proper mechanical make up.

Statistics = It is a science which deals with the systematic process of collecting, organizing, classifying, presenting,
interpreting and analyzing data.

Interpretation of Data = It is an act or instance of interpreting an explanation. This is done to give meaning to data
generated from the instrument to answer the problems raised in the study.

Levels of Interpretation
1. Table Reading
2. Implications or Meaning of Data
3. Cross referencing or corroboration wherein the results are to be compared with existing knowledge or finished
studies
Survey – Fact-finding the study with adequate and accurate interpretation.

Case Study – It is a comprehensive detailed, in-depth or complete analysis of an individual, institution, group or
community.

Content Analysis – It is a research technique for the objective, systematic and quantitative description of the manifest
content of communication.

Probability Sampling – Used a sample that is proportion.

❖ Pure Random Sampling – everyone in the population is given an equal chance to be selected in the sample.
❖ Systematic Sampling – Every name in a list may be selected to be included in the sample.
❖ Stratified Random Sampling – The process of selecting randomly samples from the different strata of the
population used in the study.
❖ Cluster Sampling – The multistage cluster is used when there is so big or when the locality or geographical
area subject of the research is too large.
❖ Non-Probability Sampling – The sample is not proportion to the population and there is no system in selecting
the sample.
❖ Accidental Sampling – There is no system of selection. Whoever the researcher meet by chance are included.
❖ Quota Sampling – Specified numbers of persons of certain types are in the sample.
❖ Convenience – It is the process of picking out people in the most convenient and to immediately get their
reaction to a certain hot and controversial issue.
❖ Authoritative Sampling – Determines the target population or those to be involved in the study. (Only those
who met the qualification needed).
❖ Snowball Sampling - Researchers use this sampling method if the sample for the study is very rare or is limited
to a very small subgroup of the population. This type of sampling technique works like chain referral. After observing
the initial subject, the researcher asks for assistance from the subject to help identify people with a similar trait of
interest.

THESIS FORMAT
Preliminary Pages
a. Title Page
b. Approval Sheet
c. Acknowledgment
d. Dedication
e. Table of Contents
f. List of Tables
g. List of Figures
h. Abstract

CHAPTER 1
THE PROBLEM AND ITS SETTNG
Introduction
✓ Presents the problem. What the problem is all about.
✓ Rationale or reasons for conducting the study.
Setting of the Study
✓ Locality of the study. Place where the study is to be conducted.
Theoretical / Conceptual Framework

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 ✓ Theoretical / conceptual foundation of the study.
Statement of the Problem
✓ General and specific statement of the problem determined in the study.
Assumption or Hypothesis
✓ Self-evident truth based upon known fact or phenomenon (Assumption).
✓ Tentative conclusion or answer to specific questions (Hypothesis).
Significance of the Study
✓ Contribution of the result of the study to individuals, institutions, administrators, society, etc…
Scope and Limitation of the Study
✓ Boundaries in terms of time, sample, location (Scope).
✓ Weakness of the study beyond the control of the researcher (Limitation).
Definition of Terms
✓ It can be lexical or operational definition or a combination thereof of different terms used in the study which are
arranged alphabetically.

CHAPTER 2
REVIEW OF RELATED LITERATURE AND STUDIES
Foreign Literature
✓ Published articles from foreign countries

Local Literature
✓ Locally published articles
Foreign Studies
✓ Foreign unpublished articles
Local Studies
✓ Locally unpublished articles
Synthesis
✓ Relevance of literature and studies to the present research

CHAPTER 3
RESEARCH METHODS AND PROCEDURES
Research Method
✓ Brief description and justification of the research method used in the study.
Population and Sampling Scheme
✓ Brief presentation of the entire population of the study and the type of sampling techniques used in selecting sample
respondents.
Description of the Respondents
✓ Contains detailed description of the respondents as to age, sex, marital status, nature of employment, etc.
Research Instrument
✓ Explanation on how the instrument used in gathering data was developed as well as its detailed description.
Validation of Instrument
✓ It states brief discussion on how the instrument was validated.
✓ Instrument is tested on individuals who are knowledgeable of the subject matter but are not part of the respondents
of the study.
Procedures in Gathering Data
✓ It contains the step-by-step procedures used by the researcher in reaching the respondents in order to gather data.
Statistical Treatment
✓ It contains discussion on the statistics used in consonance with the specific problem and hypothesis to be tested.

CHAPTER 4
PRESENTATION, ANALYSIS AND INTERPRETATION OF DATA
✓ Contain the answers to all the sub-problems of the study.
✓ Answers to the problems are stated one by one according to the arrangement of sub-problems for clarity and
understanding.
✓ Answers are presented in textual and tabular forms. Textual explanations come after the tables.

CHAPTER 5
SUMMARY OF FINDINGS, CONCLUSIONS AND RECOMMENDATIONS
The introductory paragraph should contain the summary of statement of the problem, hypothesis as well as research
design.

Summary of Findings
✓ Contains the specific findings/results of the study
✓ Presented as they were organized and categorized in the sub-problems of the study
✓ Written in past tense
Conclusions
✓ Written in present tense
✓ Should be based on the findings of the study
✓ Logical and valid outgrowth of the findings
✓ Should not contain any numerals from the findings
✓ Organized and categorized according to the sub-problems

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 Recommendations
✓ An appeal to people or institutions concerned to solve the problems discovered in the study
✓ No recommendations that will be made for problems that were not discovered in the study
✓ Practical and attainable.
✓

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