ARRAIGNMENT AND PLEA (RULE 116)

Sec. 1. Arraignment and plea; how made.

(a) 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.
(b) The accused must be present at the arraignment and must personally enter his plea. Both arraignment and plea shall be
made of record, but failure to do so shall not affect the validity of the proceedings.
(c) When the accused refuses to plead or makes a conditional plea, a plea of not guilty shall be entered for him. (1a)
(d) When the accused pleads guilty but presents exculpatory evidence, his plea shall be deemed withdrawn and a plea of not
guilty shall be entered for him. (n)
(e) When the accused is under preventive detention, his case shall be raffled and its records transmitted to the judge to whom
the case was raffled within three (3) days from the filing of the information or complaint. The accused shall be arraigned within
ten (10) days from the date of the raffle. The pre-trial conference of his case shall be held within ten (10) days after
arraignment. (n)
(f) The private offended party shall be required to appear at the arraignment for purposes of plea bargaining, determination of
civil liability, and other matters requiring his presence. 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. (cir. 1-89)
(g) Unless a shorter period is provided by special law or Supreme Court circular, the arraignment shall be held within thirty (30)
days from the date the court acquires jurisdiction over the person of the accused. The time of the pendency of a motion to
quash or for a bill of particulars or other causes justifying suspension of the arraignment shall be excluded in computing the period.
(sec. 2, cir. 38-98)
Sec. 2. Plea of guilty to a lesser offense.
At arraignment, the accused, with the consent of the offended party and the prosecutor, may be allowed by the trial court to plead
guilty to a lesser offense which is necessarily included in the offense charged. 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. 4, circ. 38-98)
Section 3. Plea of guilty to capital oense; 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)
Section 4. Plea of guilty to non-capital oense; reception of evidence, discretionary.
When the accused pleads guilty to a non-capital offense, the court may receive evidence from the parties to determine the
penalty to be imposed. (4)
Section 5. Withdrawal of 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 be substituted by a plea of not guilty. (5)
Section 6. Duty of court to inform accused of his right to counsel.
Before arraignment, 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 a counsel of his choice, the court must assign a counsel de oficio to
defend him. (6a)

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Section 7. Appointment of counsel de oficio.

The court, considering the gravity of the offense and the difficulty of the questions that may arise, shall appoint as counsel de oficio only
such members of the bar in good standing who, by reason of their experience and ability, can competently defend the accused.
But in localities where such 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. (7a)
Section 8. Time for counsel de oficio to prepare for arraignment.
Whenever a counsel de oficio is appointed by the court to defend the accused at the arraignment, he shall be given a reasonable time
to consult with the accused as to his plea before proceeding with the arraignment. (8)
Section 9. Bill of particulars.
The accused may, before arraignment, move for a bill of particulars1 to enable him properly to plead and to prepare for trial. The
motion shall specify the alleged defects of the complaint or information and the details desired. (10a)
Section 10. Production or inspection of material evidence in possession of prosecution.
Upon motion of the accused showing good cause and with notice to the parties, the court, in order to prevent surprise,
suppression, or alteration, may order 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, as well as any designated documents, papers, books, accounts, letters, photographs, objects
or tangible things not otherwise privileged, which constitute or contain evidence material to any matter involved in the case and which
are in the possession or under the control of the prosecution, police, or other law investigating agencies. (11a)
Section 11. Suspension of arraignment.
Upon motion by the proper party, the arraignment shall be suspended in the following cases:
(a) The accused appears to be suffering from an unsound mental condition which effective renders him unable to fully understand
the charge against him and to plead intelligently thereto. In such case, the court shall order his mental examination and, if
necessary, his confinement for such purpose;
(b) There exists a prejudicial question; and
(c) A petition for review of the resolution of the prosecutor is pending at either the Department of Justice, or the Office of the
President; provided, that the period of suspension shall not exceed sixty (60) days counted from the filing of the petition with the
reviewing office. (12a)
CASES:
US vs. Santiago
Short facts:
Doctrines:
People vs. Chua
Short facts: Chua was charged with the crime of rape to which he pleaded not guilty during arraignment. At the pre-trial conference, he
manifested his intent to withdraw his plea and change it to guilty, and thus, upon the motion of the appellant, the pre-trial conference
was reset after the trial court inquired upon the voluntariness of his change of plea and his comprehension of its consequences by
asking several questions. After satisfied, he ordered arraignment where the appellant formally changed his plea. Prosecution was then
ordered to present evidence where they presented his daughter. He was later found guilty. Later on, they questioned the acceptance of
the guilty plea, on the ground that ROC procedures were not followed. SC set aside the judgment and remanded the case for
arraignment on the ground of not following procedures. (Check Mikes digest for deets)
Doctrines:
Procedure to be followed whenever the accused pleads guilty to a capital offense
When the accused enters a plea of guilty to a capital offense, the trial court must do the following:

a detailed, formal, written statement of charges or claims by a plaintiff or the prosecutor given upon the defendant's formal request to the court for more
detailed information.
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(1) Conduct a searching inquiry into the voluntariness of the plea and the accuseds full comprehension of the consequences
thereof;
(2) require the prosecution to present evidence to prove the guilt of the accused 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 (Rule 116, Section 3 of
the Rules on Criminal Procedure).
This procedure is mandatory and a judge who fails to observe it commits grave abuse of discretion.
Essence of a plea of guilty
The essence of a plea of guilty is that the accused admits his guilt freely, voluntarily and with full knowledge of the consequences
and meaning of his act and with a clear understanding of the precise nature of the crime charged in the complaint or information.
Inquiry into the voluntariness of the plea
When the accused enters a plea of guilt, the trial court must, first of all, determine the voluntariness of the said plea and accuseds
comprehension of its consequences.
In making such determination, the court must conduct a searching inquiry. To search means to look into or over carefully or
thoroughly in an effort to find something. This looking into carefully and thoroughly, in the matter under consideration, must be
focused on: (1) the voluntariness of the plea; and (2) the full comprehension of the consequences of said plea.
What must be considered/determined:
- the age, personality, educational background, socioeconomic status and other personal circumstances of the accused
- whether the accused had been coerced or placed under a state of duress either by actual threats of physical harm coming
from malevolent or avenging quarters, or by mistaken impressions given, wittingly or unwittingly, by authorities or parties
- whether the accused had the assistance of competent counsel during the custodial and preliminary investigations
- whether he understood the charges against him, the elements of the crime and the corresponding penalty therefor
All questions posed by the judge to the accused should be in a language known and understood by the latter.
The court may also propound questions to accuseds counsel to determine whether or not said counsel had conferred with, and
completely explained to accused the meaning of a plea and its consequences.
In all cases, the bottom line is that the judge must fully convince himself that: (1) the accused, in pleading guilty, is doing so
voluntarily; and (2) he, in so doing, is truly guilty, and that there exists a rational basis for a finding of guilt, based on his
testimony.

People vs. Durango

Short facts: Durango was charged with 2 counts of rape to which he voluntarily pleaded not guilty with the assistance of counsel and
after having been informed, in a language and dialect known to him, of the nature and cause of the indictment. Months later, after
having barely started with the presentation the witness, the defense counsel manifested that accused wanted to withdraw his earlier
plea and substitute it with a plea of guilty. So accused was re-arraigned and this time pleaded guilty. The trial then proceeded to which
he was found guilty and was sentenced to death. On automatic review, the SC set aside the decision for invalidity of the arraignment
and remanded it to the trial court. In this case, the defendant was not accorded with due process when entering his improvident plea as
his counsel did nothing nor at the trial questioned the veracity of the witness statement. (see Aimees Digest)
Doctrines:
When an accused enters such a plea of guilty, the trial court is mandated to see to it that the exacting standards laid down by
the rules therefor are strictly observed. The rationale behind this rule is because statistics and records show that even while
pleading guilty, there is a chance that the accused could in fact be innocent. No accused should be wrongly convicted or erroneously
sentenced.
The right to counsel means that the accused is amply accorded legal assistance extended by a counsel who commits himself to
the cause for the defense and acts accordingly. The right assumes an active involvement by the lawyer in the proceedings,
particularly at the trial of the case, his bearing constantly in mind of the basic rights of the accused, his being well-versed on the
case, and his knowing the fundamental procedures, essential laws and existing jurisprudence. The right of an accused to counsel
finds substance in the performance by the lawyer of his sworn duty of fidelity to his client. Tersely put, it means an efficient and
truly decisive legal assistance and not a simple perfunctory representation.
It is essential that a searching inquiry is conducted after the accused pleads guilty to a capital offense, and it must focus on: (1) the
voluntariness of the plea and (2) a complete comprehension of the legal effects of the plea so that the plea of guilt can be truly said
as being based on a free and informed judgment.
People vs. Magat
Short facts: Magat was charged with 2 counts of rape to which he pleaded guilty but bargained for a lesser penalty. Both the mother of
the complainant and the public prosecutor agreed with the plea bargain so it was accepted and the trial on merits proceeded. He was
convicted of rape and sentenced him to imprisonment for 10 years for each. The case was revived three months later at the instance of
the complainant on the ground that the penalty was too light. Magat was then re-arraigned, he pleaded not guilty. Trial on merits
ensued. He later changed his plea to guilty. The informations were read to him in english and tagalog and was repeatedly asked w/n he
understood his change of plea and its consequences. He was found guilty and was sentenced to death. On automatic review, SC found
his first arraignment void for being not contemplated under law.
Doctrines:
Plea bargaining is only allowed under Rule 116, Sec. 2.
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 Essence of a plea of guilty is that accused admits ABSOLUTELY and UNCONDITIONALLY his guilt and responsibility for the

offense imputed to him. An accused MAY NOT admit guilt provided that a certain penalty will be given to him as this is a conditional
plea of guilty
SC set aside cases of improvident guilty pleas when it is the sole basis of the conviction

People vs. Madraga

Short facts: Madraga was charged with two counts of rape against his own daughter. On arraignment, he entered 2 separate pleas of
not guilty for each. He, with the assistance of his counsel, moved that they be given until December to talk to the mother of the victim so
Madraga could plead guilty to the first count, and the other be dismissed, but the mother disagreed. The trial was reset. During trial, he
pleaded guilty to one charge on the condition that the other be heard on a different day. He was found guilty for rape and was sentened
to death. On appeal, the SC affirmed the trial court ruling but modified the penalty imposed to reclusion perpetua on the ground that
Madraga only pleaded guilty to a capital offense, but pleaded guilty only to simple rape punishable under the RPC.
Doctrines:
Rule 116, Sec. 3 can only be invoked by those who plead guilty to the capital offense.
People vs. Bali-balita (reiterating Buhat vs. CA): xxx the real nature of the criminal charge is determined not from the caption or
the preamble of the information, nor from the specification of the provision of law alleged to have been violated xxx, but from the
actual recital of the facts as alleged in the body of the information.
A conditional plea of guilty, or one entered subject to the provision that a certain penalty be imposed upon him, is equivalent to a plea
of not guilty and would, therefore, require a full-blown trial before judgment may be rendered.
People vs. Bello
Short facts: Baharan was charged with 4 counts of rape against his own daughter to which he pleaded not guilty. At the trial he changed
his plea to guilty. He was re-arraigned. At the continuation of the trial, he again changed his plea to not guilty, which at this time, was not
allowed. He was later found guilty for the crime and was sentenced to death. In deciding the case, the SC held that Bello was not
properly re-arraigned for the first time as he pleaded guilty to a capital offense but was not inquired upon his voluntariness and his
knowledge of its consequences. The fact that he was adamant in pleading, shows that he was not aware of the consequences of his
plea.
Doctrines:
Searching inquiry means more than informing cursorily the accused that he faces jail term, but so also the exact length of
imprisonment under the law and the certainty that he will serve time in prison. A plea to the capital offense does not mean that he will
be given a lesser penalty than what he really deserves, or that his plea of guilty will be considered a mitigating circumstance.
A plea of guilty must be an unconditional admission of guilt. It must be of such nature as to foreclose the defendant's right to defend
himself from said charge, thus leaving the court no alternative but to impose the penalty fixed by law.
A formal plea of not guilty should properly be entered if an accused admits the truth of some or all the allegations of the information,
but interposes excuses or additional facts which, if duly established would exempt or relieve him in whole or in part of criminal
responsibility
People vs. Baharan
Short facts:
Doctrines:

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