Module 5

ARRAIGNMENT AND PLEA RULE 116

ARRAIGNMENT AND PLEA,HOW MADE

It is the formal mode of implementing the constitutional right of the accused

to be informed of the nature of the accusation against him (People v.
Pangilinan, G.R. No. 171020, March 14, 2007).

Arraignment is the proceeding in a criminal case, whose object is to fix the

identity of the accused, to inform him of the charge and to give him an
opportunity to plead, or to obtain from the accused his answer, in other
words, his plea to the information.

Arraignment is an indispensable requirement of due process.

Period of arraignment

GR: Arraignment shall be made within 30 days from the date the court
acquires jurisdiction over the person of the accused [Sec. 1 (g), Rule 116].

XPNs:

1. When an accused is under preventive detention, his case should be

raffled within 3 days from filing and accused shall be arraigned within 10
days from receipt by the judge of the records of the case (RA 8493 Speedy
Trial Act)

2. Where the complainant is about to depart from the Philippines with no

definite date of return, the accused should be arraigned without delay;

3. Cases under RA 7610 (Child Abuse Act), the trial shall be commenced
within 3 days from arraignment; 4. Cases under the Dangerous Drugs Act;
and 5. Cases under SC AO 104-96 i.e. heinous crimes, violations of the
Intellectual Property Rights law, these cases must be tried continuously
until terminated within 60 days from commencement of the trial and to be
decided within 30 days from the submission of the case.
Procedure of arraignment

1. It must be in open court where the complaint or information has been

filed or assigned for trial;

2. By the judge or clerk of court;

3. By furnishing the accused with a copy of the complaint or information;

4. Reading it in a language or dialect known to the accused (People v.

AlbertG.R. No. 114001 December 11, 1995);

5. Asking accused whether he pleads guilty or not guilty (Sec.1(a), Rule

116); and

6. Both arraignment and plea shall be made of record but failure to enter of
record shall not affect the validity of the proceedings [Sec. 1(b), Rule 116].

The accused must be arraigned before the court where the complaint or
information was filed or assigned for trial [Sec. 1 (a), Rule 116]. The
accused cannot waive the reading of the information to him and just enter
his plea because it is constitutionally required.

Accused is presumed to have been validly arraigned in the absence of

proof to the contrary.

Options of the accused before arraignment and plea:

1. Bill of particulars;

2. Suspension of arraignment;

3. Motion to Quash; or

4. Challenge the validity of arrest or legality of the warrant issued or assail

the regularity or question the absence of preliminary investigation of the
charge.

The principle that the accused is precluded from questioning the legality of
the arrest after arraignment is true only if he voluntarily enters his plea and
participates during trial, without previously invoking his objections thereto.
The arraignment of the accused constitutes a waiver of the right to
preliminary investigation or reinvestigation.

Absence of arraignment

GR: Judgment is void if accused has not been validly arraigned.

XPN: If accused went into trial without being arraigned, the procedural
defect was cured. The active participation in hearing is a clear indication
that the accused is fully aware of the charges against him (People v.
Pangilina, G.R. No. 171020, March 14, 2007).

If the accused has not been arraigned, he cannot be tried in absentia(Sec.

14(2), Art. III, 1987 Constitution).

Presence of the accused during arraignment The accused must be present

at the arraignment and personally enter his plea [Section 1(b), Rule 116].
Counsel cannot enter plea for the accused.

Both arraignment and plea shall be made in record but failure to do so

shall not affect the validity of the proceedings [Sec. 1 (b), Rule 116].

Presence of the offended party during arraignment The private offended

party shall be required to appear in the arraignment for the following
purposes:

1. Plea bargaining;

2. Determination of civil liability; and

3. Other matters requiring his presence

In case the offended party fails to appear despite due notice, the court may
allow the accused to enter a plea of guilty to a lesser offense which is
necessarily included in the offense charged with the conformity of the trial
prosecutor alone [Section 1(f), Rule 116]. Right to counsel de officio While
the right to be represented by counsel is immutable, the option to secure
the services of counsel de parte, however, is not. The court may restrict the
accused’s option to retain a counsel de parte if the accused insists on an
attorney he cannot afford, or chooses a counsel who is not a member of
the bar, or when the attorney declines to represent the accused for a valid
reason, such as conflict of interests (People v. Servo, G.R. No. 119217,
January 19, 2000).

Persons allowed to be appointed as counsel de officio

1. Members of the bar in good standing;

2. Has the ability, experience and competence to defend the accused; and

3. In localities where such members of the bar are not available, the court
may appoint any person who is a resident of such province with good
repute for probity and ability, to defend the accused(Sec. 7, Rule 116)

Whenever a counsel de officio is appointed by the court, he shall be given

reasonable time to consult with the accused as to his plea before
proceeding with arraignment (Sec. 8, Rule 116).

Arraignment and Preliminary Investigation under amended or substituted

information Formal amendment Substantial amendment There is no need
for preliminary investigation and retaking of the plea of the accused. It is
mandatory because the accused has the constitutional right to be informed
of the accusation against him.

WHEN SHOULD PLEA OF NOT GUILTY BE ENTERED

A plea of not guilty shall be entered:

1. When the accused so pleaded;

2. When he refuses to plead [Sec. 1(c), Rule 116];

3. When he enters a conditional plea of guilty [Sec. 1(c), Rule 116];

A plea of guilt subject to a proviso that a certain penalty be imposed upon

the accused, is equivalent to a plea of not guilty and would, therefore
require a fullblown trial (People vs. Magat, G.R. No. 130026, May 31,
2000).
4. Where after a plea of guilty but presents exculpatory circumstances, his
plea shall be deemed withdrawn and a plea of not guilty shall be entered
for him [Sec. 1(d), Rule 116]; or

5. When the plea is indefinite or ambiguous.

A plea of guilty shall be definite, unambiguous, and absolute, otherwise, it

shall be considered as a plea of not guilty. Plea of guilty It is an
unconditional plea of guilt which admits of the material facts and all the
attendant circumstances alleged in the information (People v. Koloh
Pohong, G.R. No. L-32332, August 15, 1973).

It operates to have the penalty imposed at its minimum period. However,

such plea shall not be considered mitigating in culpable felonies and in
crimes punishable by special laws (Reyes, 2012).

Effect of a plea of guilty

1. Submission to the court’s jurisdiction; and

2. It cures the defect in his arrest.

Requisites of a voluntary plea of guilty

1. Spontaneous confession of guilt;

2. It is made in open court;

3. It is made prior to the presentation of evidence for prosecution; and

4. Confession of guilt was to the offense charged in the information.

Reception of evidence in case the accused pleads guilty.

The plea of guilty does not dispense with the presentation of evidence as it
is merely a secondary basis of the guilt of the accused.

1. For non-capital offenses - the reception of evidence is merely

discretionary on the part of the court. (Sec. 4, Rule 116) If the information
or complaint is sufficient for the judge to render judgment on a non-capital
offense, he may do so.
2. For capital offense - the reception of evidence to prove the guilt and
degree of culpability of the accused is mandatory in which case, the
accused may present evidence in his behalf and the court shall conduct a
searching inquiry into the voluntariness and full comprehension of the
consequences of his plea (Sec. 3, Rule 116).

WHEN MAY ACCUSED ENTER A PLEA OF GUILTY TO A LESSER

OFFENSE

The accused, with the consent of the offended party and the prosecutor,
may plead guilty to a lesser offense which is necessarily included in the
offense charged (Sec. 2, Rule 116).

Requisites for a plea of guilty to a lesser offense

1. The lesser offense is necessarily included in the offense charged; and It

is necessarily included when some of the essential elements or ingredients
of the crime charge constitute the lesser offense and vice versa.

2. The plea must be with the consent of both the offended party and the
prosecutor. (Sec. 2, Rule 116 Rules of Court) Consent of the offended
party will not be required if said party, despite due notice, fails to appear
during arraignment (Riano, 2011).

The rule uses the word may in Sec. 2 Rule 116, denoting an exercise of
discretion upon the trial court on whether to alow the accused to make such
plea (Daan vs Sandiganybayan, G.R. Nos. 163972-77, March 28, 2008).

Effect of plea of guilty without consent of offended party and prosecutor If

accused was convicted, the accused’s subsequent conviction of the crime
charged would not place him in double jeopardy [Sec. 7 (c), Rule 117].

The accused enter a plea of guilty to a lower offense on the following.

1. During arraignment

a. If the offended party is present, the latter must consent with the
prosecutor to the plea; and
 b. That the lesser offense is necessarily included in the offense
charged.

2. After arraignment but before trial, provided the following requisites are
present:

a. The plea of guilty is withdrawn;

b. The plea of not guilty and the withdrawal of the previous guilty plea
shall be made before trial;

c. The lesser offense is necessarily included in the offense charged; and

d. The plea must have the consent of the prosecutor and the offended
party(Sec. 2, Rule 116).

No amendment of complaint or information is necessary(Sec. 2, Rule 116).

A conviction under this plea shall be equivalent to a conviction of the
offense charged for purposes of double jeopardy (People v. Magat, G.R.
No. 130026, May 31, 2000).

3. During Pre-trial- Under Sec. 1(a), Rule 118, Plea-bargaining is one of

the matters to be considered.

4. After prosecution rests – Allowed only when the prosecution does not
have sufficient evidence to establish guilt for the crime charged. Period to
enter plea of guilty to a lesser offense

GR: Plea-bargaining is made during pre-trial stage of criminal proceedings.

XPN: The law still allows accused to change his plea thereafter provided
that the prosecution does not have sufficient evidence to establish guilt of
the crime charged (People vs. Valderama, G.R. No. 99287, June 23, 1992).

NOTE: It is to be noted that the decision to accept or reject a plea

bargaining agreement is within the sound discretion of the court subject to
certain requirements of statutes or rules [Amante-Descallar v. Judge
Ramas, A.M No. RTJ08-2142 (OCA-IPI No. 08-2779-RTJ), March 20,
2009].
 ACCUSED PLEADS GUILTY TO A CAPITAL OFFENSE, WHAT THE
COURT SHOULD DO

Duty of the court after the accused pleads guilty to a capital offense When
the accused pleads guilty to a capital offense, the court shall:

1. Conduct a searching inquiry into the: a. Voluntariness of the plea, and b.

Full comprehension of the consequences of the plea;

2. Require the prosecution to prove guilt and the precise degree of his
culpability; and

3. Ask the accused if he desires to present evidence in his behalf and

allow him to do so if he desires.

The defendant after pleading guilty may not present evidence as would
exonerate him completely from criminal liability such as proof of
selfdefense.

This procedure is mandatory, and a judge who fails to observe it commits

grave abuse of discretion. The reason for this strictness is to assure that
the State makes no mistake in taking life except the life of the guilty
(People v. Diaz, G.R. No. 119073, March 13, 1996).

Purpose of the presentation of evidence after the plea of guilty

To preclude any room for reasonable doubt in the mind of either the trial
court or of the Supreme Court, on review, as to the possibility that there
might have been misunderstanding on the part of the accused as to the
nature of the charges to which he pleaded guilty; and to ascertain the
circumstances attendant to the commission of the crime which justify or
require the exercise of greater or lesser degree of severity in the imposition
of prescribed penalties (People v. Busa, G.R. No. L-32047, June 25, 1973).
No collateral attack on plea of guilty

A plea of guilty entered by one who is fully aware of the direct

consequences, including the actual value of any commitments made to him
by court, the prosecutor or his own counsel, must stand.
 It is only when the consensual character of the plea is called into question
that the validity of a guilty plea may be impaired.

SEARCHING INQUIRY

Purpose of searching inquiry

To determine whether the plea of guilty was made voluntarily and whether
the accused understood fully the consequence of his plea. Duty of the
judge in conducting searching inquiry

The judge must convince himself that:

1. The accused is entering the plea voluntarily and intelligently;

2. There exists a rational basis for finding of guilt based on accused’s

testimony; and

3. Inform the accused of the exact length of imprisonment and the certainty
that he will serve it in a national penitentiary provided the following
guidelines on how judges must conduct a “searching inquiry:”

1. Ascertain from the accused himself

(a) how he was brought into custody of the law;

(b) whether he had the assistance of a competent counsel during the

custodial and preliminary investigations; and

(c) under what conditions he was detained and interrogated during the
investigations;

2. Ask the defense counsel a series of questions as to whether he had

conferred with, and completely explained to the accused the meaning and
consequences of a plea of guilty;

3. Elicit information about the personality profile of the accused;

4. Inform the accused of the exact length of imprisonment or nature of the

penalty under the law and the certainty that he will serve such sentence;
5. Inquire if the accused knows the crime with which he is charged and fully
explain to him the elements of the crime;

6. All questions posed to the accused should be in a language known and

understood by the latter; and

7. The trial judge must satisfy himself that the accused is truly guilty.

Conduct of a searching inquiry remains the duty of judges, as they are

mandated by the rules to satisfy themselves that the accused had not been
under coercion or duress; mistaken impressions; or a misunderstanding of
the significance, effects, and consequences of their guilty plea (People v.
Jandalani, et al., G.R. No. 188314, January 10, 2011).

When the accused pleads guilty to a capital offense, the court shall
conduct a searching inquiry into the voluntariness and full comprehension
of the consequences of his plea (Sec. 3, Rule 116).

IMPROVIDENT PLEA

It is a plea without information as to all the circumstances affecting it.

It is based upon a mistaken assumption or misleading information or

advice. (Black’s Law Dictionary)

Instances of improvident plea

1. Plea of guilty was compelled by violence or intimidation;

2. The accused did not fully understand the meaning and consequences of
his plea;

3. Insufficient information to sustain conviction of the offense charged;

4. Information does not charge an offense; or

5. Court has no jurisdiction.

Period to withdraw an improvident plea

The court may permit an improvident plea of guilty to be withdrawn, at any
time before the judgment of conviction becomes final, and be substituted by
a plea of not guilty. (Sec. 5, Rule 116)

The withdrawal of a plea of guilty at any time before judgment is not a

matter of strict right to the accused but of sound discretion to the trial court
(Sec. 5, Rule 116; People v. Lambino, G.R. No. L-10875, April 28, 1958).

The reason for this is that trial has already begun and the withdrawal of the
plea will change the theory of the case and put all past proceedings to
waste. Moreover, at this point, there is a presumption that the plea was
made voluntarily.

Effect of withdrawal of improvident plea

The court shall set aside the judgment of conviction and re-open the case
for new trial.

Convictions based on an improvident plea of guilt are set aside only if such
plea is the sole basis of the judgment

GROUNDS FOR SUSPENSION OF ARRAIGNMENT

Upon motion by the proper party, the arraignment shall be suspended in

the following cases:

1. The accused appears to be suffering from an unsound mental condition

which effectively renders him unable to fully understand the charge against
him and to plead intelligently thereto;

2. There exists a valid prejudicial question;

3. A petition for review of the resolution of the prosecutor is pending at the

Department of Justice or the Office of the President (Sec. 11, Rule 116);
and

4. There are pending incidents such as:

a. Motion to Quash;

b. Motion for Inhibition; or

c. Motion for Bill of Particulars.

The period of suspension shall not exceed sixty (60) days counted from
the filing of the petition with the reviewing office (Sec. 11, Rule 116).
Procedurally speaking, after the filing of the information, the court is in
complete control of the case and any disposition therein is subject to its
sound discretion. The decision to suspend arraignment to await the
resolution of an appeal with the Secretary of Justice is an exercise of such
discretion