Arraignment and Plea

Question 1

What is an Arraignment?

Answer 1

It is the stage where the issues are joined and without which the proceedings cannot advance further or, if held, will otherwise be void [People v. Albert, G.R. No. 114001 (1995)]

The accused must be arraigned before the court where the complaint or information was filed or assigned for trial. The arraignment shall be made in open court by the judge or clerk by furnishing the accused with a copy of the complaint or information, reading the same in the language or dialect known to him, and asking him whether he pleads guilty or not guilty. The prosecution may call at the trial witnesses other than those named in the complaint or information [Sec. 1(a), Rule 116]

Question 2

What is the rationale behind an arraignment?

Answer 2

The importance of arraignment is based on the constitutional right of the accused to be informed. It is at this stage that the accused, for the first time, is given the opportunity to know the precise charge that confronts him [Kummer v. People, G.R. No. 174461 (2013)]

Question 3

What is a Plea?

Answer 3

Pertains to the matter which the accused, on his arraignment, alleges in answer to the charge against him

Question 4

What are the duty of the court before arraignment?

Answer 4

The court shall

a. Inform the accused of his right to counsel;
b. Ask him if he desires to have one; and
c. Must assign a counsel de oficio to defend him, unless the accused:
1. Is allowed to defend himself in person; or
2. Has employed a counsel of his choice

[Sec. 6, Rule 116]

Question 5

What motions are available to the accused before arraignment and plea?

Answer 5

a. Motion for bil of particulars: to enable him to properly plead and prepare for trial [Sec. 9, Rule 116]
b. Motion to suspend arraignment

c. Motion to quash the complaint or information:
on any of the grounds under Sec. 3, Rule 117 in relation to Sec. 1, Rule 117

d. Challenge the validity of the arrest of the legality of the warrant or assail the regularity or question the absence of PI of the charge [Sec. 26, Rule 114]

If the accused does not question the legality of the arrest or search, this objection is deemed waived [People v. Racho y Raquero, G.R. No. 186529 (2010)]

Question 6

When can the accused avail of a Motion to suspend arraignment?

Answer 6

Motion to suspend arraignment: upon motion by the proper party, the arraignment shall be suspended

1. Accused appears to be suffering from unsound mental condition which effectively renders him unable to fully understand the charge against him and to plead intelligently. In such case, the court shall order his mental examination and, if necessary, his confinement for such purpose.
2. Existence of a prejudicial question;
3. A petition for review of the resolution of the prosecutor is pending at either the DOJ Secretary or the Office of the President for a period of suspension not exceeding 60 days from filing of petition with the reviewing office

[Sec. 11, Rule 116]

Question 7

What are the steps in the Procedure of Arraigment?

Answer 7

1. The court shall issue an order directing the public prosecutor to submit the record of the PI to the branch COC for the latter to attach the same to the record of the case
2. The court shall inform the accused of his right to counsel and ask him if he desires to have one. Unless the accused is allowed to defend himself in person or has employed counsel of his choice, the court must assign a counsel de oficio to defend him [Sec. 6, Rule 114]

3.

a. If the accused pleads not guilty, either:
1. The accused admits the act or omission charged in the complaint or information but interposes a lawful defense, the order of trial may be modified [Sec. 11(e), Rule 119]
2. He raises a negative defense, that is, he denies the charge, in which case regular trial proceeds

b. If the accused pleads guilty:
1. For a non-capital offense, the court may receive evidence to determine the penalty to be imposed [Sec. 4, Rule 116]
2. For a capital offense, the court shall conduct a searching inquiry into the voluntariness and full comprehension of the consequences of his plea and shall require the prosecution to prove his guilt and the precise degree of culpability [Sec. 3, Rule 116]

If the accused does not enter any plea or makes a conditional plea, a plea of not guilty is entered by the court [Sec. 1(c), Rule 116]

Question 8

How is Arraignment made?

Answer 8

a. Before the court where the complaint or information has been filed or assigned for trial;
b. In open court
c. by the judge or clerk of court;
d. by furnishing the accused with a copy of the complaint or information;
e. Reading it in a language or dialect known to the accused;
f. Asking the accused whether he pleads guilty or not guilty.
g. The accused must be present and must personally enter his plea.
h. Both arraignment and plea shall be made on record but failure to enter of record shall not affect the validity of the proceedings

[Sec. 1(a) and (b), Rule 116]

Question 9

Can there be an arraignment of plea in absentia?

Answer 9

NO.

There can be no arraignment or plea in absentia. Under both the 1964 and 1985 Rules, a defendant must be present at the arraignment and must personally enter his plea [Nolasco v. Enrile, G.R. No. L68347 (1985)] The 2000 Rules contains the same requirement (See Part (7) of the enumeration above)

Question 10

What is the general rule re. when the accused should be arraigned?

Answer 10

General rule: The accused should be arraigned within 30 days from the date the court acquires jurisdiction over his person [Sec. 1(g), Rule 116]

Question 11

What are the exceptions to the general rule that ‘the accused should be arraigned within 30 days from the date the court acquires jurisdiction over his person’?

Answer 11

Exceptions: Unless a shorter period is provided by special law or Supreme Court circular [Sec. 1(g), Rule 116]

a. 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)];
b. Where the complainant is about to depart from the Philippines with no definite date of return, the accused should be arraigned without delay [R.A. 4908]

Question 12

For what purposes is the private offended party required to appear in the arraignment?

Answer 12

The private offended party shall be required to appear in the arraignment for the purpose of

a. Plea bargaining
b. Determination of civil liability, and
c. Other matters requiring his presence

[Sec. 1(f), Rule 116; Part B(2), A.M. No. 03-1-09-SC]

Question 13

What is the effect in case of the failure of the offended party to appear despite due notice in the arraignment?

Answer 13

In case of failure of the offended party 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 [Sec. 1(f), Rule 116; Part B(2), A.M. No. 03-1-09-SC]

Question 14

Is the presence of the accused in the arraignment merely a personal right?

Answer 14

NO. It is also a public duty.

The presence of the accused is not only a personal right but also a public duty, irrespective of the gravity of the offense and the rank of the court.

Question 15

Can there be a trial in absentia without first arraigning the accused?

Answer 15

NO.

There can be no trial in absentia without first arraigning the accused; otherwise, the judgment is null and void [Riano 394, 2016 Ed., citing Taglay v. Daray, G.R. No. 164258 (2012)]

Question 16

What are the effects of a trial in absentia conducted without first arraigning the accused?

Answer 16

Judgement is null and void.

There can be no trial in absentia without first arraigning the accused; otherwise, the judgment is null and void [Riano 394, 2016 Ed., citing Taglay v. Daray, G.R. No. 164258 (2012)]

Question 17

Can the counsel enter plea for the accused?

Answer 17

NO.

Accused must personally appear during arraignment and enter his plea; counsel cannot enter plea for the accused [Sec. 1[b], Rule 116]

Question 18

Can Trial in absentia be conducted without valid arraignment?

Answer 18

NO.

Trial in absentia may be conducted only after valid arraignment [Sec. 14(2), Art. III, Constitution]

Question 19

What is the presumtion on the validity of the arraignment of the accused?

Answer 19

Accused is presumed to have been validly arraigned in the absence of proof to the contrary [see Sec. 3(m), Rule 131]

Question 20

What is the effect to the judgement if the accused has not been validly arraigned?

Answer 20

Generally, judgment is void if accused has not been validly arraigned [Riano 394, 2016 Ed., citing Taglay v. Daray, G.R. No. 164258, (2012)]

Question 21

Can subsequent arraignment cure the error of the accused going into tiral without being arraigned?

Answer 21

YES.

If accused went into trial without being arraigned, subsequent arraignment will cure the error provided that the accused was able to present evidence and cross examine the witnesses of the prosecution during trial

Question 22

When is arraignment necessary upon an ammendment of information?

Answer 22

If an information is amended in substance which changes the nature of the offense (not merely as to form), arraignment on the amended information is mandatory [Teehankee v. Madayag, G.R. No. 103102 (1992)]

The need for arraignment is imperative in an amended information or complaint. This, however, pertains only to substantial and not to formal amendments [Kummer v. People, G.R. No. 174461 (2013)]

Whatever procedural infirmity in the arraignment of the accused was rectified when he was re-arraigned and entered a new plea. Accused did not question the procedural errors in the first arraignment and having failed to do so, he is deemed to have abandoned his right to question the same and waived the errors in procedure [People v. Magat, G.R. No. 130026 (2000)]

Question 23

What are the instances when a plea of Not Guilty should be entered?

Answer 23

a. When the accused so pleaded
b. When he refuses to plead or makes a conditional plea [Sec. 1(c), Rule 116]
c. When he pleads guilty but presents exculpatory evidence [Sec. 1(d), Rule 116]
d. Where the plea of guilty was compelled by violence or intimidation [Riano 402, 2016 Ed., citing People v. Baetiong, 2 Phil. 126]
e. When the plea is indefinite or ambiguous [Riano 403, 2016 Ed., citing People v. Strong, G.R. No. L38626 (1975)]

a. When the accused did not fully understand the meaning and consequences of his plea
b. Where the information is insufficient to sustain conviction of the offense charged
c. Where the information does not charge an offense, any conviction thereunder being void
d. Where the court has no jurisdiction

Question 24

When is a plea of guilty mitigating?

Answer 24

Plea of guilty is mitigating if it is made before prosecution starts to present evidence [Art. 13(7), RPC]

Question 25

When is a Retaking of plea necessary?

Answer 25

When the accused did not fully comprehend

Accused did not fully comprehend the consequences of a plea of guilty, or even what crimes he was pleading guilty to. Hence, the necessity of a rearraignment and retaking of his plea [People v. Nuelan, G.R. No. 123075 (2001)]

Question 26

What are the requisites for an accused to enter a plea of guilty to a lesser offense during arraignment?

Answer 26

Requisites

a. The lesser offense is necessarily included in the offense charged

b. The plea must be with the consent of both the offended party and the prosecutor
[Sec. 2, Rule 116]

In case of failure of the offended party 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 {Sec. 1(f), Rule 116]

Question 27

What are the requisites for an accused to enter a plea of guilty to a lesser offense after arraignment but before trial?

Answer 27

After arraignment but before trial, the accused may still be allowed to plead guilty to said lesser offense after withdrawing his plea of not guilty. No amendment of the complaint or information is necessary [Sec. 2, Rule 116]

Question 28

What are the requisites for an accused to enter a plea of guilty to a lesser offense after trial has begun?

Answer 28

After the prosecution has rested its case, a change of plea to a lesser offense may be granted by the judge, with the approval of the prosecutor and the offended party if the prosecution does not have sufficient evidence to establish the guilt of the accused for the crime charged. The judge cannot on its own grant the change of plea [People v. Villarama,G.R. No. 99287 (1992)]

Question 29

What should the trial court do when the accused pleads guilty to a Capital offense in order to obviate an improvident plea of guilty?

Answer 29

a. Conduct a searching inquiry into the voluntariness and full comprehension of the consequences of the pleas; and
b. Require prosecution to present evidence to prove the guilt and precise degree of culpability of the accused;
c. Accused may present evidence in his behalf [Sec. 3, Rule 116]

Question 30

Does a plea of guilty to a capital offense result to an immediate rendering of judgment?

Answer 30

NO.

A plea of guilty to a capital offense does not result to an immediate rendering of judgment [Riano, 407, 2016 Ed.]

Question 31

Does the court need to conduct a searching inquiry when the accused pleads guilty to a capital offense?

Answer 31

YES.

The procedure in Sec. 3, Rule 116, when the accused pleads guilty to a capital offense, is mandatory. [Riano 407, 2016 Ed., citing People v. Oden, G.R. No. 15551122 (2004)]

Section 3. Plea of guilty to capital offense; reception of evidence. — 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 and require the prosecution to prove his guilt and the precise degree of culpability. The accused may present evidence in his behalf. (3a)

Question 32

What is required in the procedure of a searching inquiry when the accused pleads guilty to a capital offense?

Answer 32

The judge must ask whether the accused was assisted by counsel during custodial investigation and PI; ask questions on age, educational attainment and socioeconomic status; and ask the defense counsel whether or not he conferred with the accused [People v. Nadera, G.R. Nos. 181384-87 (2000)]

Question 33

What is the effect when the trial court inadequately discharge the duty of conducting the prescribed “searching inquiry”?

Answer 33

Plea of guilt to capital offense can be held null and void.

A plea of guilt to a capital offense can be held null and void where the trial court has inadequately discharged the duty of conducting the prescribed “searching inquiry” [People v. Durango, G.R. Nos. 135438-39 (2000)]

Question 34

What is the rationale behind the duty of courts to conduct a Searching Inquiry when an accused pleads guilty to a capital offense?

Answer 34

This is to enjoin courts to proceed with more care where the possible punishment is in its severest form and to avoid improvident pleas of guilt [People v. Samontanez, G.R. No. 134530 (2000)]

Question 35

What are the guidelines for conducting a search inquiry when the accused pleads guilty to a capital offense?

Answer 35

a. Ascertain from the accused himself
1. How he was brought into the custody of the law
2. Whether he had the assistance of a competent counsel during the custodial and preliminary investigations, and
3. Under what conditions he was detained and interrogated during the investigations. This is intended to rule out the possibility that the accused has been coerced or placed under a state of duress either by actual threats of physical harm coming from malevolent quarters or simply because of the judge’s intimidating robes.

b. 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.
c. Elicit information about the personality profile of the accused, such as his age, socio-economic status, and educational background, which may serve as a trustworthy index of his capacity to give a free and informed plea of guilty.
d. Inform the accused the exact length of imprisonment or nature of the penalty under the law and the certainty that he will serve such sentence. For not infrequently, an accused pleads guilty in the hope of a lenient treatment or upon bad advice or because of promises of the authorities or parties of a lighter penalty should he admit guilt or express remorse. It is the duty of the judge to ensure that the accused does not labor under these mistaken impressions because a plea of guilty carries with it not only the admission of authorship of the crime proper but also of the aggravating circumstances attending it, that increase punishment.
e. Inquire if the accused knows the crime with which he is charged and fully explain to him the elements of the crime which is the basis of his indictment. Failure of the court to do so would constitute a violation of his fundamental right to be informed of the precise nature of the accusation against him and a denial of his right to due process.
f. All questions posed to the accused should be in a language known and understood by the latter.
g. The trial judge must satisfy himself that the accused, in pleading guilty, is truly guilty. The accused must be required to narrate the tragedy or reenact the crime or furnish its missing details

[People v. Pastor, G.R. No. 140208 (2002)]

Question 36

What is an Improvident plea?

Answer 36

An improvident plea is one without proper information as to all the circumstances affecting it; based upon a mistaken assumption or misleading information/advice [Black’s Law Dictionary]

Question 37

What is the general rule on an improvident plea? What is the exception?

Answer 37

General rule: If the accused does not clearly and fully understand the nature of the offense charged, if he is not advised as to the meaning and effect of the technical language so often used in formal complaints and information in qualifying the acts constituting the offense, or if he does not clearly understand the consequences by way of a heavy and even a capital penalty flowing from his admission of his guilt of the crime in the precise technical manner and form in which it is charged, his plea of guilty should not be accepted and if accepted it should not be held to be sufficient to sustain a conviction [People v. De Ocampo Gonzaga, G.R. No. L-48373 (1984)]

Exception: If the accused appears guilty beyond reasonable doubt from the evidence adduced by the prosecution and defense

Question 38

When can an improvident plea be withdrawn?

Answer 38

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

Question 39

Is the withdrawal of a plea of guilty a matter of right of the accused?

Answer 39

NO.

The withdrawal of a plea of guilty is not a matter of right of the accused but of sound discretion of the trial court [People v. Lambino, G.R. No. L-10875 (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.

Question 40

What are the grounds for suspension of arraignment? (enum)

Answer 40

a. unsound mental condition of the accused at the time of the arraignment
b. existence of prejudicial question
c. pendency of petition for review
d. other pending incidents

Question 41

When can ‘unsound mental condition of the accused at the time of the arraignment’ be grounds for suspension of arraignment?

Answer 41

When the accused can neither comprehend the full import of the charge nor can he give an intelligent plea, the court shall order his mental examination and, if necessary, his confinement [People v. Estrada [G.R. No. 130487 (2000)]

The need for suspension may be determined from physical and outward manifestations at the time of arraignment indicative of a mental disorder which the court had observed and defense counsel had called attention to [People v. Alcalde, G.R. Nos. 139225-28 (2002)]

Question 42

What are the three major criteria to determine insanity in People v Dungo?

Answer 42

In People v. Dungo [G.R. No. 89420 (1991)], there are three major criteria to determine insanity

1. Delusion test, where insanity is manifested by a false belief for which there is no reasonable basis and which would be incredible under the given circumstances;
2. Irresistible impulse test, where the accused has lost the power to choose between right and wrong, to avoid the act in question, his free agency being at that time destroyed.
3. Right and wrong test, where a perverted condition of mental and mortal faculties afflicts the accused as to render him incapable of distinguishing between right and wrong.

Question 43

What are the two test in determining insanity in People v Pascual?

Answer 43

In People v. Pascual [G.R. No. 95029 (1993)], there are two tests to determine insanity

1. Test of cognition, which requires complete deprivation of intelligence in committing the criminal act. It is the test adopted in this jurisdiction.
2. Test of volition, which requires a total deprivation of free will.

Question 44

What is the rationale for considering the existence of a prejudicial question as a grounds for the suspension of arraignment?

Answer 44

A prejudicial question would be determinative of guilt or innocence. [Ty-de Zuzuarregui v. Villarosa, G.R. No. 183788 (2010)]

Question 45

When can the existence of a prejudicial question be raised?

Answer 45

It may be raised during PI. If the information is filed in court, it may be raised as ground to suspend the arraignment [Sec. 6, Rule 111]

Question 46

When can ‘pendency of petition for review’ be grounds for suspension of arraignment?

Answer 46

Upon motion by the proper party, the arraignment shall be suspended in case a petition for review of the resolution of the prosecutor is pending at either the DOJ, or the OP; provided, that the period of suspension shall not exceed 60 days counted from the filing of the petition with the reviewing office [Sec. 11, Rule 116]

If petition for review is not resolved within 60 days, court may insist on the arraignment

With the arraignment of the accused, the DOJ Secretary can no longer entertain the appeal or petition for review because petitioner had already waived or abandoned the same [Gandarosa v. Flores, G.R. No. 167910 (2007)]

Question 47

What is the rationale for considering ‘pendency of petition for review’ as grounds for suspension of arraignment?

Answer 47

This is to observe judicial courtesy and avoid legal complications in case the resolution would be different from the offense for which the accused was arraigned, especially if it would upgrade the offense.

Question 48

What are the other pending incidents that may be grounds for the suspension of arraignment?

Answer 48

1. Motion to quash
2. Motion for inhibition, and
3. Motion for bill of particulars