ARRAIGNMENT AND PLEA
It is his duty
RULE 116
Definition
Formal mode and manner of implementing the
constitutional right of an accused to be informed
of the nature and cause of the accusation against
him.
Purpose
To apprise the accused why he is being
prosecuted by the state.
Importance of arraignment
Indispensable requirement of due process so
that he may be informed of the reason for his
indictment, the specific charges he is bound to
face, and the corresponding penalty that could
be possible meted against him.
Effect of the absence of arraignment
Proceedings before the trial court will be null and
void
Duty of the court before arraignment
The court shall:
1. Inform the accused of his right to
counsel
2. Ask him if he desires to have one
3. Must assign a counsel de oficio to defend
him (if the accused can’t afford a lawyer)
Unless the accused:
a. Is allowed to defend himself in person
b. Has employed a counsel of his choice
Gamas v. Oco
The only instance where the court can arraign
the accused without the benefit of counsel is if
the accused waives such right and the court,
finding the accused capable, allows him to
represent himself.
The insistence of the accused to be arraigned
without representation is no reason for the
judge to accede readily to his wishes.
to protect the rights of the accused, even against
their wishes, when it is clear that he is not in a
position to validly exercise or waive those rights.
Counsel de oficio
Members of the bar in good standing who, by
reason of their experience and ability, can
competently defend the accused.
Sec 7
Where members of the bar are not available, the
court may appoint any person, resident of the
province and of good repute for probity and
ability, to defend the accused.
Sec 8
The counsel de oficio shall be given a reasonable
time to consult with the accused as to his plea
before proceeding with arraignment.
Options of the accused before arraignment and
plea
1. Bill of Particulars
a. To specify the alleged defects of the
complaint of information
b. Specify the details desired
i. (failure to file this motion before
entering his plea amounts to a waiver)
2. Suspension of arraignment
a. 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.
i. The court shall order his mental
examination and, if necessary, his
confinement.
b. There exists a prejudicial question
c. There is a petition for review of the
prosecutor’s resolution pending in DOJ or
OPP.
i. Suspension shall not exceed 60 days
from the filing of the petition
 d. Motion to quash – on the grounds
provided for in Rule 117
e. Challenge the validity of the arrest or
legality of the warrant issued or assail the
regularity or question the absence of a PI.
i. Otherwise, deemed waived
Ramiscal v. Sandiganbayan
Filing of a motion for reconsideration of the
finding of probable cause cannot bar the filing of
the information, and neither can it bar the
arraignment of the accused.
Arraignment under an amended information
1. Substantial amendment – MANDATORY
 Conviction on the second information
without rearraignment constitutes
reversible error.
2. Formal amendment – not needed
 Does not change the nature of the crime.
Does not affect the essence of the
offense nor deprive the accused of the
opportunity to meet the new averment
3. Substitution – MANDATORY
HOW ARRAIGNMENT AND PLEA ARE MADE
Where arraignment is to be made
Before the court where the complaint or
information was filed or assigned for trial.
How arraignment is made
1. in open court by the judge or clerk
2. by furnishing the accused with a copy of the
complaint or information
3. in the language or dialect known to him
4. asking him whether he pleads guilty or not
When arraignment is to be made
Within 30 days from the date the court acquires
jurisdiction over the person of the accused.
 Unless a shorter period is provided by a
special law or SC circular.
Under existing law:
Within 30 days from the filing of the complaint
or information, or from the date the accused has
appeared before the justice, judge or court in
which the charge is pending.
Excluded in counting the period:
1. Pendency of the motion to quash
2. Pendency of a bill of particulars
3. Other causes justifying suspension
When accused is under preventive detention:
1. Case shall be raffled and its records
transmitted to the judge within 3 days from
the filing of the information
2. Arraignment shall be within 10 days from the
date of the raffle
3. Pre-trial conference shall be within 10 days
after arraignment
If accused pleads not guilty and interposes a
defense: (Sec 7, Speedy Trial Act 1998)
 NEGATIVE DEFENSE – requires the
prosecution to prove the guilt of the
accused beyond reasonable doubt
 AFFIRMATIVE DEFENSE – defense may
modify the order of trial and require the
accused to prove such defense by clear
and convincing evidence
Arraignment after submission of the case for
decision
People v. Pangilinan
Accused assailed his conviction because he was
only arraigned after the case was submitted for
decision.
The court ruled that his belated arraignment did
not prejudice him. The procedural defect was
cured when his counsel participated in the trial
without raising any objection that his client had
yet to be arraigned. His counsel’s active
participation in the hearings is a clear indication
that he was fully aware of the charges against
him.
Record of arraignment
Arraignment and plea shall be made of record,
but failure to do so shall not affect the validity of
the proceedings. (Sec 1b)
Presence of the accused
Accused must be present at the arraignment and
must personally enter his plea (Sec 1b)
Presence of the offended party
When required: (Sec 1f)
1. Plea bargaining
2. Determination of civil liability
3. Other matters requiring his presence
If he fails to appear despite due notice, the court
may allow the accused to enter a plea of guilty to
a lesser offense charged with the conformity of
the trial prosecutor alone.
When a plea of ‘not guilty’ shall be entered
1. If he refuses to plead
2. Makes a conditional plea
3. Pleads guilty but presents exculpatory
evidence
4. Admits the facts in the information but
alleges that he performed the acts because
he feared for his life (People v. Baetiong)
Entering a plea of not guilty
Accused submits himself to the jurisdiction of the
trial court and cures any defect in his arrest. But
is not a waiver of the right to question the
admissibility of the evidence gathered through
the illegal arrest.
People v. Comendador
Accused pleaded guilty but asked the court to
impose a lesser penalty other than death. The
Court held that this does not make his plea of
guilty conditional. It remains to be an admission
of the facts alleged. He had an opportunity to
adduce evidence in his favor but did not do so.
He merely submitted the case for decision.
People v. Magat
A guilty plea on the condition that he is given a
lesser penalty is not a plea to a lesser offense. It
is a plea that made conditions on the penalty
imposed. Equivalent to a plea of not guilty. Full-
blown trial is required.
The essence of a plea of guilty is that the accused
admits absolutely and unconditionally his guilt
and responsibility for the offense.
People v. Albert; People v. Bello
If the accused admits some of all the allegations
in the information but interposes excuses or
additional facts which, if duly established, would
exempt or relieve him in whole or in part of
criminal liability, a formal plea of not guilty
should be entered.
People v. Strong
Accused pleaded guilty but always denied the
acts every time he was asked.
When a plea of guilty is not definite or
ambiguous, or not absolute, the same amounts
to a plea of not guilty.
People v. Balisacan
Accused pleaded guilty but testified that he
acted in complete self-defense. The testimony
had the effect of vacating his plea of guilty and
the trial court is required to have him plea anew
on the charge, or at least direct that a new plea
of not guilty be entered for him. Otherwise,
there can be no standing plea; double jeopardy
will not attach.
Plea of guilty as a judicial confession; effect on
aggravating circumstance
It is deemed to be an admission of all the
material facts alleged in the information,
including the aggravating circumstance alleged.
Except when the aggravating circumstance are
disproved by evidence. Does not dispense with
the presentation of evidence.
Plea of guilty to a lesser offense
Defendant pleading guilty to a lesser offense or
to only one or some of the counts of a multi-
count indictment in return for a lighter sentence
than that for the graver charge.
Plea bargaining
A process whereby the accused and the
prosecution work a mutually satisfactory
disposition of the case subject to court approval.
Requisites for a plea of guilty to a lesser offense
1. The lesser offense is necessarily included in
the offense charged
2. Plea must be with the consent of both the
offended party and the prosecutor. Consent
of the offended party will not be required if
he fails to appear during the arraignment
despite due notice
Plea of guilty to a lesser offense, NOT a matter
of right - A matter addressed entirely to the
sound discretion of the court
An offense may be said to necessarily include
another when some of the essential elements or
ingredients of the former constitute the latter.
And vice versa.
When plea of guilty to a lesser offense may be
made
1. Before trial
a. At arraignment
b. After arraignment and after his prior plea
of not guilty is withdrawn
2. During trial
a. Even after prosecution has finished
presenting its evidence and rested its
case. It is immaterial that plea bargaining
was not made during the pre-trial stage or
that t was made only after the prosecution
already presented several witnesses
(Daan v. Sandiganbayan)
Sec 2
When there is a plea of guilty to a lesser offense
and the same was allowed by the court, there is
no need to amend the information or complaint.
Plea of guilty to a capital offense
Capital offense – one which may be punished by
death (Sec 6, Rule 114)
It is not proper for the court to immediately
render judgment based on the guilty plea.
The court is mandated to perform the ff:
1. Conduct a searching inquiry
a. To ascertain the voluntariness of the plea
b. Ascertain WON the accused has full
comprehension of the consequence of his
plea
2. To require the prosecution to prove the ff:
a. Guilt of the accused
b. Precise degree of his culpability
3. To ask the accused if he wishes to present
evidence in his behalf and be allowed to do
so, if he desires (Sec 3)
Rationale:
 The courts must proceed with more care
where the possible punishment is in its
severest form, namely death, for the reason
that the execution of such sentence is
irreversible.
 To avoid improvident pleas of guilt on the
part of an accused. He might be admitting
his guilt and forfeiting his life and liberty
without having fully understood the
 meaning, significance and consequences of
his plea.
Searching inquiry
There is no definite and concrete rule as to how
the trial judge must conduct a searching inquiry.
Guidelines:
1. Ascertain from the accused:
a. How he was brought into custody of the
law
b. Whether he had the assistance of
competent counsel during custodial and
preliminary investigation
c. Under what conditions he was detained
and interrogated during the investigations
2. Ask the defense counsel whether he had
conferred with, and completely explained to
the accused the meaning and consequences
of a plea of guilty
3. Personality profile of the accused
a. Age
b. Socio-economic status
c. Educational background
4. 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
i. It is the duty of the judge to ensure that
the accused does not labor under the
mistaken impression that they will be
given a lighter penalty if the plead
guilty.
ii. 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.
5. Inquire if the accused knows the crime and
fully explain to him the elements of the crime
which is the basis of his indictment.
i. Failure of the court to do so would
constitute a violation of his right to be
informed of the precise nature of the
accusation against him and a denial of
his right to due process.
6. All questions posed to the accused should be
in a language known and understood by the
latter
7. 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 the
missing details.
Plea of guilty to a non-capital offense
The court may receive evidence from the parties
to determine the penalty to be imposed. (Sec 4)
The duty imposed upon the court is not as
stringent as the duty imposed upon it when the
accused pleads guilty to a capital offense.
People v. Madraga
When an accused did not pea guilty to a capital
offense, he cannot invoke Sec 3 of Rule 116
requiring the court to conduct a searching
inquiry into the voluntariness and full
comprehension of the consequences of his plea.
People v. Mendoza
There is no rule which provides that simply
because the accused pleaded guilty to the charge
that his conviction automatically follows.
Additional evidence independent of the plea
may be considered to convince the judge that it
was intelligently made. This rule is at most
directory.
Improvident plea of guilty
At any time before the judgment of conviction
becomes final, the court may permit an
improvident plea of guilty to be withdrawn and
substituted by a plea of not guilty
People v. Gumimba
Failing to conduct a searching inquiry into the
voluntariness and full comprehension of the
accused’s plea of guilty, it is deemed made To prevent surprise, suppression, or alteration of
improvidently and rendered inefficacious. evidence.

People v. Solamillo
Convictions based on an improvident plea of
guilty are set aside only if such plea is the sole
basis of the judgment

People v. Talusan
Where the trial court receives evidence to
determine precisely whether the accused erred
in admitting his guilt, the manner in which the
plea is made loses legal significance if the
conviction is, independently of the plea, based
on evidence proving the commission of the
offense.

People v. Ceredon
A conviction based on a plea of guilty to a capital
offense had been set only when such plea was
the only basis of the judgment. When the court
relied on sufficient and credible evidence to
convict the accused, the same must be
sustained.

Production or inspection of material evidence

Sec 10 authorizes the court to issue an order to
the prosecution to produce and permit the
inspection and copying or photographing of any
written statement given by the complainant and
other witnesses in any investigation of the
offense conducted by the prosecution or other
investigating officers.
 Also includes any designated
documents, papers, books, accounts,
letters, photographs, objects, or tangible
things not otherwise privileged.

Production or inspection of material evidence in

possession of the prosecution shall be allowed
upon motion of the accused with notice to the
parties.

Purpose: