RULE 116

ARRAIGNMENT
AND
PLEA
SECTION 1. Arraignment
and Plea; how made.
Arraignment
• The stage where the accused is formally informed of the
charges against him, to which he enters a plea of guilty or
not guilty. [Albert vs Sandiganbayan GR No. 164015, 26
February 2009]
• Vital stage in criminal proceedings
• To be valid, arraignment should be made in open court by
the judge or clerk of court where the complaint or
information was filed or assigned for trial.
• It is effected by furnishing the accused with a copy of the
complaint or information, reading the same in the
language or dialect known to him ; asking him whether he
pleads guilty or not guilty
There can be no arraignment in absentia.
The accused must be present at the arraignment
and must personally enter his plea.

The private offended party is required to appear at

the arraignment for purposes of plea bargaining,
determination of civil liability and other matters
requiring his presence.
PLEA

A plea may either be a plea of guilty or

not guilty.

A plea of guilty is an admission of all the

material facts alleged in the complaint or
information. When it is formally entered
in arraignment, it is sufficient to sustain a
conviction for any offense charged in the
information.
 When the accused pleads guilty but subsequently
presents exculpatory evidence, his plea of guilty shall
be deemed withdrawn and a plea of non-guilty shall
be entered for him.
 ARRAIGNMENT SCHEDULE

As a general rule, if the accused is not preventively

detained, the arraignment shall be held within 30 days
from the date the court acquires jurisdiction over the
person of the accused.
 EXCEPTIONS...
When an accused is under preventive detention, his case should be raffled
A within 3 days from filing and accused shall be arraigned within 10 days
from receipt by the judge of the records of the case (R.A. No. 8493,
Speedy Trial Act);
Where the complainant is about to depart from the Philippines with no
B
definite date of return, the accused should be arraigned without delay;

Cases under R.A. No. 7610 (Child Abuse Act), the trial shall
C
be commenced within 3 days from arraignment
 EXCEPTIONS...
D Cases under R.A. No. 9165 (Dangerous Drugs Act); and

Cases under SC AO 104-96 i.e., heinous crimes, violations of the Intellectual

E Property Rightslaw, 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.
SECTION 2. Plea of guilty to
a lesser offense
At arraignment, the accused with the consent of the
offended party and prosecutor, may be allowed by
the court to plead guilty to a lesser offense which is
necessarily included in the offense charged.

After the arraignment but before the trial, the

accused may still be allowed to plead guilty.

No amendment of the complaint or information is

necessary.
 PLEA BARGAINING

It is the process in criminal cases whereby the accused

and the prosecution work out a mutually satisfactory
disposition of the case subject to court approval.

It usually involves the defendant’s 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 in Drug-Related Offenses

Plea bargaining in prosecutions under Republic Act No. 9165, or the

Comprehensive Dangerous Drugs Act of 2000, was formerly prohibited
under Section 23 of the same.

However, in 2017, Supreme Court struck down Section 23.

The Supreme Court held, that the rules on plea bargaining were
promulgated in the exercise of its rule-making authority, as “it operates
as a means to implement an existing right by regulating the judicial
process for enforcing rights and duties recognized by substantive law
and for justly administering remedy and redress for a disregard or
infraction of them. [Salvador Estipona Jr. vs Hon. Frank Lobrigo]
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 shall require the prosecution to prove his
guilt and the precise degree of culpability.

The accused may present evidence in his behalf.

 Plea of Guilt to a Capital Offense

It is when an accused enters a plea of guilty to an

offense which, under the law existing at the time of
its commission and of the application for admission
to bail, may be punished with death.
 Searching Inquiry
Conducted after the accused pleads guilty to a capital offense and must focus on:

1. The voluntariness of the plea

2. Complete comprehension of the legal effects

of the plea so that the plea of guilty can be
truly said as being based on a free and
informed judgment.
 Presentation of Evidence

After conducting searching inquiry and

even if the trial court is satisfied that the
plea of guilty was entered with full
knowledge of its meaning and
consequences, the court must still require
the introduction of evidence for the
purpose of establishing the guilt and the
degree of culpability of the defendant.
SECTION 4. Plea of Guilty to non-capital
offense; 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.
 PLEA OF GUILTY TO A NON-CAPITAL OFFENSE

Hearing to prove the crime is no longer required, but a

hearing to determine the exact penalty to be imposed
may be conducted.

The trial judge is not bound to hold the accused bound to

his admission of guilt and to sentence him accordingly
when the totality of evidence point to his acquittal.
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.
 Improvident Plea
To be effective, the plea of guilty must be knowingly made by an
accused; he must understand fully the meaning of his plea and the
import of an inevitable conviction.
A
An improvident plea may be withdrawn and be substituted by a plea of
not guilty at any time before a judgment of conviction becomes final.
B
Once a judgment is final, the trial court judge is no longer vested with
any discretion to allow the alleged improvident plea of guilty to be
withdrawn and be substituted by a plea of not guilty.
C
REMEDIES TO CHALLENGE GUILTY PLEA
This applies for an accused who entered a plea of guilty but who
wishes to change his plea:
• File a motion to withdraw the plea before rendition of
judgment

• He may file a motion for new trial after rendition of judgment

[People vs Domingo GR Nos. L-30464-5, 13 November 1975]
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
counsel of his choice, the court must
assign a counsel de officio to defend him.
 Article 3 Section 14 (2) 1987 Constitution

The Constitution mandates that in all criminal

prosecutions, the accused shall enjoy the right to be
heard by himself and counsel.

Section 6 of Rule 116 of the Rules of Court implements

this right at the arraignment stage.
 Court’s duties when a defendant appears at arraignment without an
attorney:
1. It must inform the defendant that it is his right to have That the accused insist on their arraignment
an attorney before being arraigned. It is the duty of the without representation is no reason for a
judge to ascertain that the accused understood the
judge to accede in their rights, even against
import of the proceedings.
2. After giving him such information, the court must ask their wishes, when it is clear that they are not
him if he desires the aid of an attorney. in a position to validly exercise or waive
3. If he desires and is unable to employ an attorney, the those rights.
court must assign a counsel de oficio to defend him. 4. If the accused desires to procure an
The judge has the duty to insure that there is no attorney of his own, the court must grant him
violation of the constitutional right of the accused to a reasonable time therefor.
counsel. Once the accused informs the judge that he
cannot afford a lawyer and the court has not allowed
the accused to represent himself, or the accused is
incapable of representing himself, the judge has the
duty to appoint a counsel de oficio to give meaning
and substance to the constitutional right of the accused
to counsel.
SECTION 7. Appointment of
counsel de officio.
The court, considering the gravity of the offense
and the difficulty of the questions that may arise,
shall appoint as counsel de officio 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.
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.
SECTION 9. Bill of Particulars.

The accused may, before arraignment,

move for a bill of particulars 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.
 The general function of a bill of particulars whether in civil or
criminal proceedings, is to guard against surprises during trial.

In civil proceedings, a bill of particulars has been defined as a

complementary procedural document consisting of an amplification or more
particularized outline of a pleading and is in the nature of a more specific
allegation of the facts recited in the pleading.

In criminal cases, an accused may move for a bill of particulars before his
arraignment. The motion shall specify the defects of the complaint or the
information and the details desired by the accused. It details items or specific
conduct not recited in the information but which pertain to or are included
in the crime charged.
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.
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.
PRESENT INSANITY

It is commonly referred to as competency to stand

trial and relates to the appropriateness of conducting
the criminal proceeding in light of the defendant’s
present inability to participate meaningfully and
effectively.

Incompetency is not a defense, it merely postpones

the trial.
PRESENT INSANITY

The arraignment of the accused shall be suspended

if, at the time thereof, he appears to be suffering
from an unsound mental condition of such nature as
to render him unable to fully understand the charge
against him and to plead intelligently thereto.
PREJUDICIAL QUESTION

Defined as that which arises in a case, the resolution

of which is a logical antecedent of the issue involved
therein and the cognizance of which pertains to
another tribunal.

It is a question based on a fact distinct and separate

from the crime but so connected with it that
determines the guilt or innocence of the accused.
PETITION FOR REVIEW

It is an appeal from the resolution of the Chief State

Prosecutor, Regional State Prosecutor and/or
Provincial/City Prosecutor in cases subject of
preliminary investigation/reinvestigation.

After filing of the information, the court is in

complete control of the case and any disposition
therein is subject to its sound discretion.