RULES OF CRIMINAL PROCEDURE

Lectures of Atty. Catherine M. Guerzo

2 Manresa 2016

SEPTEMBER 8, 2016 – Glorybelle Ressureccion PRE-TRIAL IN CIVIL CASE PRE-TRIAL IN CRIMINAL

CASE

RULE 118
It is set when the plaintiff It is ordered by the court and
PRE-TRIAL moves ex parte to set the no motion to set the case for
case for pre-trial (Sec. 1, Rule pre-trial is required from either
18) the prosecution or the
defense
Section 1. Pre-trial; mandatory in criminal cases. — In all
criminal cases cognizable by the Sandiganbayan, Regional
Trial Court, Metropolitan Trial Court, Municipal Trial Court in
Cities, Municipal Trial Court and Municipal Circuit Trial Court, The motion to set the case for The pre-trial is ordered by the
the court shall after arraignment and within thirty (30) days pre-trial is made after the last court after arraignment and
from the date the court acquires jurisdiction over the person of pleading has been served and within thirty (30) days from the
the accused, unless a shorter period is provided for in special filed (Sec. 1, Rule 18) date the court acquires
laws or circulars of the Supreme Court, order a pre-trial jurisdiction over the person of
conference to consider the following: the accused.

(a) plea bargaining;

It considers the possibility of It does not include the
an amicable settlement as an possibility of amicable
(b) stipulation of facts;
important objective. settlement of criminal liability
as one of its purposes (Sec.
(c) marking for identification of evidence of the parties; 1, Rule 118).

(d) waiver of objections to admissibility of evidence;

Requires the proceeding All agreements or admissions
(e) modification of the order of trial if the accused during the preliminary made or entered during the
admits the charge but interposes a lawful defense; conference to be recorded in pre-trial conference shall be
and the “minutes of preliminary reduced in writing and signed
conference” to be signed by by both the accused and
both parties and/or counsel. counsel, otherwise, they
(f) such other matters as will promote a fair and The rule allows either the cannot be used against the
expeditious trial of the criminal and civil aspects of the party or his counsel to sign accused (Sec. 2, Rule 18)
case. (secs. 2 and 3, cir. 38-98) the minutes (A.M. No. 03-1-
09-SC).

Sanctions for non-appearance The sanctions in a criminal

Q: Is Pre-trial mandatory? in a pre-trial are imposed case are imposed upon the
upon the plaintiff and the counsel for the accused or the
defendant in a civil case (Sec. prosecutor (Sec. 3, Rule 18)
A: Yes. Under “Speedy Trial Act of 1997”, in all criminal cases 4, Rule 18).
cognizable by the MTC, MCTC, MeTC, RTC and
Sandiganbayan, pretrial is mandatory.

Q: If the arrest warrant has already been served or the Specifically required to be Not specifically required in a
accused voluntarily surrendered, should we immediately submitted in a civil case (Sec. criminal case.
proceed to trial? 6, Rule 18)

A: No. There should be arraignment first. Pre-trial comes after

arraignment. The presence of the The accused is merely
defendant is required unless required to sign the written
he is duly represented at the agreement arrived at in the
Q: Distinguish pre-trial in civil cases from pre-trial in criminal pre-trial conference by his pre-trial conference, if he is in
cases. counsel with the requisite conformity therewith. Unless
authority to enter into a otherwise required by the
A: compromise agreement. court, his presence therefore
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

Failing in either of which, the is not indispensable. defendant is absent, the plaintiff is allowed to present evidence
case shall proceed as if the ex parte. However, this is NOT allowed in criminal cases
defendant has been declared because of the due process requirement.
in default.
Q: What is then the remedy of the prosecution if the accused is
Note: This is aside from the
not present during pre-trial?
consideration that the
accused may waive his
presence at all stages of the A:
criminal action, except at the
arraignment, promulgation of Atty. Guerzo: Regarding the necessity of personal
judgment or when required to appearance of parties during conduct of pre-trial, the rule is
appear for identification. that unless especially ordered by the court, there is no
requirement for the personal appearance of the accused or the
offended party at pre-trial.
The presence of the plaintiff is The presence of the private
required unless excused offended party is not required. Note: Even if absent, the accused cannot be arrested, nor can
therefrom for valid cause or if Instead, he is priorly required his bail be forfeited.
he is represented therein by a to appear at the arraignment
person fully authorized in of the accused for purpose of
writing to perform the acts plea bargaining, Q: What are those instances where the presence of the
specified in Sec. 4, Rule 18. determination of civil liability accused is mandatory?
and other matters requiring
his presence. A:
Absent such justification, the
case may be dismissed with
or without prejudice. 1. During arraignment
2. During promulgation of judgment
Should he fail to appear 3. During trial for the purpose of identification
therein and the accused
offers to plead guilty to a Q: During pre-trial, we can conduct plea bargaining and
lesser offense necessarily stipulation of facts. Why is that allowed?
included in the offense
charged, the accused may be
A: Plea bargaining is encouraged because it leads to prompt
allowed to do so with the
and final disposition of most criminal cases. It shortens the
conformity of the trial
time between charge and disposition and enhances
prosecutor alone.
whatever may be the rehabilitative prospects of the guilty
when they are ultimately
imprisoned.(http://www.batasnatin.com/law-library/remedial-
A pre-trial brief is required The filing of a pre-trial brief is law/criminal-procedure/621-plea-bargaining.html)
with the particulars and the not required. It only requires
sanctions provided by Sec. 6, attendance at a pre-trial Stipulation of facts should be allowed during pre-trial in further
Rule 18. conference to consider the pursuit of the objective of expediting trial by dispensing with the
matters stated in Sec. 1, Rule presentation of evidence on matters that the accused is willing
118. (1997 Bar Question) to admit (People vs. Hernandez, 1996).

Q: What will be signed by the parties and their counsel?

Source: UST Golden Notes, 2011
A: See Sec. 2, Rule 118
Q: Is the presence of the accused on pre-trial mandatory?

A: No, it is NOT mandatory. To include him among the Section 2. Pre-trial agreement. — All agreements or
mandatory parties to appear [in pre-trial] might violate his admissions made or entered during the pre-trial conference
constitutional right to remain silent (Ibid.) shall be reduced in writing and signed by the accused and
counsel, otherwise, they cannot be used against the accused.
Q: If accused is absent during pre-trial, can the prosecution The agreements covering the matters referred to in section 1 of
present evidence ex parte? this Rule shall be approved by the court. (sec. 4, cir. 38-98)

A: No, because the right of the accused to due process will be

violated. The rule on pre-trial in civil cases is that when the
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

Section 4. Pre-trial order. — After the pre-trial conference, the

court shall issue an order reciting the actions taken, the facts Q: Admissions of the parties, are these allowed? What is the
stipulated, and evidence marked. Such order shall bind the basis of saying that the accused can make admission during
parties, limit the trial to matters not disposed of, and control the pre-trial?
course of the action during the trial, unless modified by the
court to prevent manifest injustice. (3) A: Admissions made by parties during pretrial are allowed
(through stipulation of facts). Once the stipulations are reduced
into writing and signed by the parties and their counsels, they
become binding on the parties who made them. They become
judicial admissions of the fact or facts stipulated. If the accused
are allowed to plead guilty under appropriate circumstances, by
Q: What is the importance pre-trial order? parity of reasoning, they should likewise be allowed to enter
into a fair and true pretrial agreement under appropriate
A: To limit the trial to matters not disposed of, and CONTROL circumstances. (Bayas vs. Sandiganbayan, 2002)
the course of the action during the trial, unless modified by the
court to prevent manifest injustice. Further, stipulation of facts is expressly allowed under Sec. 1,
Rule 118.
Q: The parties can agree as to facts. Assume that there is a
fact that was inadvertently not taken up during pre-trial. During Q: If the counsel of the accused makes a waiver in behalf of
trial proper can either of the parties present evidence to prove the accused during the pre-trial, is that allowed?
this fact?
A: It will not bind the accused.
A: No.

Q: Is preliminary conference the same with pre-trial

Atty. Guerzo: Before a pre-trial order is issued by the court, conference?
there is a pre-trial agreement. This pre-trial agreement, before
the parties will sign the same, it is read by the accused and
complainant and their respective counsels in case there are A: No. Pre-trial is governed by Rule 118. Preliminary
some omissions or there are things to be included/added in the conference also cmes first before pre-trial.
said pre-trial agreement. The basis of the pre-trial order (PTO)
is the pre-trial agreement. Hence, anything not included in During the preliminary conference, the branch clerk of court
PTO is already deemed WAIVED. Take note of that. shall assist the parties in reaching a settlement of the civil
aspect of the case, mark the documents to be presented as
For emphasis, it will control the proceedings in the said case. exhibits and copies thereof attached to the records after
That’s why pre-trial order is very important. comparison, ascertain from the parties the undisputed facts
and admissions on the genuineness and due execution of
documents marked as exhibits and consider such other
Q: What “other matters” should be included in the pre-trial matters as may aid in the prompt disposition of the case. The
agreement [referring to Sec. 1 (f)]? proceedings during the preliminary conference shall be
recorded in the minutes of preliminary conference to be signed
A: by both parties and counsel. (A.M.NO.03-1-09-SC)

1. Number of witnesses to be presented by each party Atty. Guerzo: During preliminary conference, we don’t
(the complainant and the accused) facilitate the settlement. Ordinarily, we just mark the evidence
2. Names and addresses of the witnesses to be that the party presented to us. We compare the original
presented documents from the photocopy, etc.
3. Specific trial dates needed to complete evidence
presentation by all parties which must be within a People vs.Hermanez (379 SCRA) – Error 404 not found
period of 3 months from first trial
People vs. Maceda (73 SCRA) – Error 404 not found

Q: How about reservation? For example, fiscal would say “five

PEOPLE vs. BALISORO
days (of trial) for me and can I reserve additional one day to
present a surprise witness?”
“An admission made in the pleadings cannot be controverted
by the party making such admission and is conclusive as to
A: The answer depends. If the other party will agree, then yes.
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

him.” principal purpose of the pre-trial cannot be achieved.

Issue: WON the presence of the witnesses during pre-trial is

mandatory

Ruling: No. Under R.A. 8493, the absence during pre-trial of

CHUA-BURCE vs. CA any witness for the prosecution listed in the Information,
whether or not said witness is the offended party or the
complaining witness, is not a valid ground for the dismissal of a
Facts: While the trial of the criminal case for estafa against criminal case.Although under the law, pre-trial is mandatory in
Chua-Burce was suspended, the trial of the civil case criminal cases, the presence of the private complainant or the
continued. At the time of arraignment, the civil case was complaining witness is however not required. Even the
already submitted for decision. Hence, during the pre-trial presence of the accused is not required unless directed by the
conference of the criminal case, the parties agreed to adopt trial court. It is enough that the accused is represented by his
their respective evidence in the civil case as their respective counsel.
evidence in the criminal case. The trial court ordered the
parties to submit their written agreement pursuant to Section 4
of Rule 118 of the Rules of Court. Indeed, even if none of the witnesses listed in the information
for the State appeared for the pre-trial, the same can and
should proceed. After all, the public prosecutor appeared for
But Chua-Burce now assails the validity of the proceedings in the State. The public prosecutor is vested with authority to
the trial court on the ground that the public prosecutor did not consider those matters catalogued in Section 2 of R.A. 8493.
present any evidence during the trial of the criminal case.
The trial court thus acted without jurisdiction when it dismissed
Issue: WON prosecutor should present evidence in the the case merely because none of the witnesses notified by the
criminal case trial court appeared for the pre-trial. The State, like the accused
is also entitled to due process in criminal cases. The order of
Ruling: No. The records clearly show that the pre-trial the trial court dismissing the criminal case deprived the State of
agreement was prepared by petitioner with the conforme of the its right to prosecute and prove its case. Said order is,
public prosecutor. It was during pre-trial conference when the therefore, void for lack of jurisdiction, and is of no effect.
parties agreed to adopt their respective evidence in the civil
case to the criminal case. This is allowed under Section 2 (e) of
Rule 118 of the Rules of Court which provides that during pre-
trial conference, the parties shall consider "such other matters
as will promote a fair and expeditious trial." The parties, in
compliance with Section 4 of Rule 118,reduced to writing such Q: Is it necessary for the court stenographer to write down
agreement. Petitioner, her counsel, and the public prosecutor whatever is taken during pre-trial? How about prelim. con?
signed the agreement. Petitioner is bound by the pre-trial
agreement, and she cannot now belatedly disavow its A: Yes. On prelim. con., the proceedings during the preliminary
contents. conference shall be recorded in the minutes of preliminary
conference to be signed by both parties and counsel (A.M. No.
03-1-09-SC).

The clerk of court is mandated to make a report on the matter

and the same is part of the records of the case.
PEOPLE vs. JUDGE TAC-AN
Note: Preliminary conference is mandatory and the same
happens before the pre-trial stage.
Facts: When the case was called for pre-trial, the trial court
discovered that none of the three witnesses for the prosecution
who were allegedly earlier notified by the court was in
attendance. On motion of the accused and over the objection
of the public prosecutor, the trial court issued an order
dismissing the case for failure of said witnesses to appear
BAYAS vs. SANDIGANBAYAN
before it.

The trial court posits that under R.A. No. 8493 pre-trial is
mandatory and the presence of the complaining witnesses is
likewise required during the trial for the parties to participate in Facts: Bayas and Matuday (petitioners herein) were charged
the plea bargaining and stipulation of facts during said with violation of Section 3(e) of RA No. 3019. The pretrial
proceedings. If the complaining witnesses are absent, the conference had several cancellations due to unavailability of
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

the accused’s counsel, Atty. Molintas. The court urged the fraud, misrepresentation as to facts, and undue influence; or
accused to discuss with their counsel the stipulation of facts upon a showing of sufficient cause on such terms as will serve
drafted by Ombudsman Prosecutor II Evelyn T. Lucero. They justice in a particular case. Moreover, the power to relieve a
were asked to do so, so that at the resumption of the pretrial, party from a stipulation validly made lies in the courts sound
they could expeditiously pass upon all other matters that still discretion which, unless exercised with grave abuse, will not be
remained to be resolved. The pretrial conference had to be re- disturbed on appeal.
scheduled six times, just to ensure the attendance of the
parties and their counsels and to prepare them for the
Validity of the Joint Stipulations
conference.

While petitioners wish to be relieved from the stipulations, they,

The parties then submitted a Joint Stipulation of Facts and
however, do not allege that these were false or misleading or
Documents, which had been duly signed by the two accused,
were obtained through force or fraud. On the contrary, they do
Atty. Molintas and Prosecutor Lucero.
not dispute the finding of the anti-graft court that no fraud or
serious mistake vitiated their and their counsel’s consent to the
Subsequently, the Atty. Molintas moved to withdraw as counsel signing of these stipulations. They even admitted, in answer to
for the accused. His motion was granted by the anti-graft court. its query, that they had freely given their consent.

On April 26, 2000, the accused, represented by their new

counsel, Atty. Cecilia M. Cinco, moved to withdraw the Joint
Stipulation of Facts and Documents. Specifically, they sought
Nonetheless, in a desperate bid to strengthen their position,
to withdraw some stipulations admitted by the accused in the
petitioners lay the blame on the alleged incompetence of their
same document. They invoked their constitutional right to be
former counsel. They claim that, in agreeing to the Joint
presumed innocent until proven guilty.
Stipulation, he failed to consider their legal interests.

To be a ground for relief against a stipulation, a mistake must

be one of fact -- not, as in this case, a mere lack of full
Petitioners contend that pretrial stipulations may be unilaterally knowledge of fact because of failure to exercise due diligence
withdrawn by the accused because allegedly, they are not in ascertaining it.
binding until after the trial court has issued a pretrial order
approving them.
Moreover, it is hornbook doctrine that parties are bound by the
action or the inaction of their counsel. To all intents and
Issue: WON the Joint Stipulation of Facts and Documents may purposes, the acts of a lawyer in the defense or the
be withdrawn by the accused prosecution of a case are the acts of the client. The rule
extends even to the mistakes and the simple negligence
Ruling: No. committed by the counsel.

Necessity of a Pretrial Order

Withdrawal from the Joint Stipulation

Petitioners further contend that the law on pretrial requires the

Petitioners contend that pretrial stipulations may be unilaterally
issuance of a pretrial order to make pretrial stipulations
withdrawn by the accused because allegedly, they are not
binding. We do not agree.
binding until after the trial court has issued a pretrial order
approving them. We are not persuaded.
Section 2 of Rule 118 of the Rules of Court states:
Petitioners fail to appreciate the indispensable role of
stipulations in the speedy disposition of cases. The new Rules Sec. 2. Pre-trial agreement. -- All agreements or
on Criminal Procedure mandate parties to agree on matters of admissions made or entered [into] during the pre-trial
facts, issues and evidence. Such stipulations are greatly conference shall be reduced in writing and signed by the
favored because they simplify, shorten or settle litigations in a accused and counsel, otherwise, they cannot be used
faster and more convenient manner. They save costs, time and against the accused. The agreements covering the
resources of the parties and, at the same time, help unclog matters referred to in section 1 of this Rule shall be
court dockets. approved by the court.

Once validly entered into, stipulations will not be set aside Based on the foregoing provision, for a pretrial agreement to
unless for good cause. They should be enforced especially be binding on the accused, it must satisfy the following
when they are not false, unreasonable or against good morals conditions:
and sound public policy. When made before the court, they are
conclusive. And the party who validly made them can be
(1) the agreement or admission must be in writing, and
relieved therefrom only upon a showing of collusion, duress,
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

(2) it must be signed by both the accused and their into during the course of pretrial proceedings, there would be
counsel. no end to litigations. Lawyers can wiggle in and out of
agreements the moment they are disadvantaged. Lawyers
should remember, however, that they are not merely
representatives of the parties but, first and foremost, officers of
the court. As such, one of their duties -- assisting in the speedy
The courts approval, mentioned in the last sentence of the and efficient administration of justice -- is more significant than
above-quoted Section, is not needed to make the that of acquitting their client, rightly or wrongly.
stipulations binding on the parties. Such approval is
necessary merely to emphasize the supervision by the court
over the case and to enable it to control the flow of the
proceedings.
We stress that candor in all dealings is the very essence of
membership in the legal profession. Lawyers are obliged to
Once the stipulations are reduced into writing and signed by observe rules of procedure in good faith, not to misuse them to
the parties and their counsels, they become binding on the defeat the ends of justice. They should realize that the earlier
parties who made them. They become judicial admissions of they dispose of their cases, especially at the pretrial stage, the
the fact or facts stipulated. Even if placed at a disadvantageous better for them. In doing so, they can now concentrate and
position, a party may not be allowed to rescind them work more efficiently on their other cases.
unilaterally; it must assume the consequences of the
disadvantage.

If the accused are allowed to plead guilty under appropriate

circumstances, by parity of reasoning, they should likewise be
allowed to enter into a fair and true pretrial agreement under
appropriate circumstances. Section 3. Non-appearance at pre-trial conference. — If the
counsel for the accused or the prosecutor does not appear at
Role of Lawyers in Pretrials the pre-trial conference and does not offer an acceptable
excuse for his lack of cooperation, the court may impose
proper sanctions or penalties. (sec. 5, cir. 38-98)
Pretrial is meant to simplify, if not fully dispose of, the case at
its early stage. It is therefore important that the parties take
active roles in the proceedings. The Rules on Criminal
Procedure provide that if the counsel for the accused and/or
the prosecutor do not appear at the pretrial and do not offer an
acceptable excuse for their lack of cooperation, the court may Q: What can be imposed by court in case of non-appearance
impose proper sanctions or penalties. of parties’ counsel during conduct of pre-trial conference
(PTC)?
Verily, during pretrial, attorneys must make a full disclosure of
their positions as to what the real issues of the trial would A: (This is the best I could find)
be. They should not be allowed to embarrass or inconvenience
the court or injure the opposing litigant by their careless
preparation for a case; or by their failure to raise relevant Sec. 3, Rule 71, ROC. Indirect contempt to be punished after
issues at the outset of a trial; or, as in this case, by their charge and hearing.- x x x a person guilty of any of the
unilateral withdrawal of valid stipulations that they signed and following acts may be punished for indirect contempt:
that their clients fully assented to.
(a) Misbehavior of an officer of a court in the
The records reveal that the parties were the ones who performance of his official duties or in his official
volunteered to make the Joint Stipulation of the facts of the transactions;
case. Thus, the anti-graft court can rightfully expect that both
parties arrived upon it with fairness and honesty. Therefore, xxx
petitioners may not assail it on the mere ground that it would
allegedly put the accused at a disadvantage. Furthermore, a
new counsel cannot justify such withdrawal by the simple (d) Any improper conduct tending, directly or
expedient of passing the blame on the previous counsel, who indirectly, to impede, obstruct, or degrade the
had supposedly not sufficiently discharged his duty to the administration of justice;
client.

Sec. 4. . How proceedings commenced.-Proceedings for

If we allow parties to renege on stipulations they validly entered indirect contempt may be initiated motu proprio by the court
against which the contempt was committed by an order or any
 RULES OF CRIMINAL PROCEDURE
Lectures of Atty. Catherine M. Guerzo
2 Manresa 2016

other formal charge requiring the respondent to show cause

why he should not be punished for contempt.

NOTE: The most important matters on Rule 118 are the pre-
trial agreement and the pre-trial order, and the difference
between pre-trial in civil cases and criminal cases.

Q: Assume today is the scheduled date for PTC, can that be

postponed on motion of the party?

A: The decision rests in the discretion of the judge.

Q: Can the counsel present before the branch clerk of court

photocopies of the documents?

A: No. Always bring the original copies:

Best Evidence Rule

Section 3, Rule 130, ROC. When the subject of inquiry is the

contents of a document, no evidence shall be admissible other
than the original document itself x x x