Pre-trial (RULE 118) | CRIMINAL PROCEDURE

A COMPREHENSIVE DISCUSSION ON PRE-TRIAL IN CRIMINAL CASES (RULE 118, REVISED RULES OF CRIMINAL PROCEDURE)

I. OVERVIEW OF PRE-TRIAL UNDER RULE 118

Pre-trial is a mandatory stage of criminal proceedings in the Philippines. Governed by Rule 118 of the Revised Rules of Criminal Procedure, its primary purpose is to expedite the trial by clarifying and simplifying issues, exploring possible admissions or stipulations, marking and examining the authenticity of documentary evidence, considering the propriety of plea bargaining, and agreeing on other matters that could aid in the prompt disposition of the case.

The pre-trial process, when properly conducted, helps avoid unnecessary delays, ensures clarity in the presentation of evidence, and allows the court, prosecution, and defense to streamline the issues for trial. Ultimately, it serves the broader goal of efficiently dispensing justice.

II. RELEVANT LEGAL PROVISIONS

Below are the relevant sections of Rule 118:

  1. Section 1: Pre-trial; When Conducted

    • After arraignment and within thirty (30) days from the date the court acquires jurisdiction over the accused, the court shall order a pre-trial conference to consider the matters outlined in Rule 118.

  2. Section 2: Pre-trial Conference

    • This outlines what must be discussed at the pre-trial conference, including:
      1. Plea bargaining;
      2. Stipulation of facts;
      3. Marking for identification of evidence of the parties;
      4. Waiver of objections to admissibility of evidence;
      5. Modification of the order of trial if the accused admits the charge but interposes a lawful defense; and
      6. Such other matters as will promote a fair and expeditious trial.

  3. Section 3: Pre-trial Order

    • This mandates the court to issue a pre-trial order summarizing the actions taken, the facts stipulated, the admissions made, the evidence marked, and any agreements reached by the parties.
    • The pre-trial order binds the parties and controls the subsequent course of action in the case, unless modified by the court to prevent manifest injustice.

III. PURPOSES AND IMPORTANCE OF PRE-TRIAL

  1. Expedited Proceedings

    • By clarifying issues early, the court can allocate its limited time to contested matters only.
    • Avoids lengthy debates over preliminary issues during the trial itself.

  2. Identification and Simplification of Issues

    • Parties are encouraged to admit or stipulate facts that are not genuinely disputed, thereby narrowing the scope of the trial.

  3. Marking of Evidence

    • Evidence to be presented by both prosecution and defense is identified, marked, and recorded, reducing confusion or delays during the actual trial.

  4. Exploration of Plea Bargaining

    • The accused may offer to plead guilty to a lesser offense or to the offense charged under certain conditions, potentially reducing the number of issues for trial.

  5. Avoidance of Surprise

    • Through the discovery-like mechanism of pre-trial, “trial by ambush” is minimized. Each party becomes aware of the other party’s evidence and defenses.

  6. Promoting Efficiency

    • The pre-trial order formalizes agreements and stipulations reached, requiring compliance and discouraging future dilatory tactics.

IV. PROCEDURAL STEPS IN PRE-TRIAL

  1. Setting of Pre-trial Conference

    • The court, after arraignment, sets the pre-trial conference within 30 days.
    • Written notice is given to both prosecution and defense.

  2. Mandatory Appearance and Representation

    • Both the prosecution and the accused (with counsel) must appear during the pre-trial.
    • Should the counsel or accused fail to appear, the court can order sanctions, such as:
      • For the defense: The court may proceed ex parte or impose penalties for the delay.
      • For the prosecution: Possible administrative sanctions on the prosecutor, or the court may dismiss the case for lack of prosecution (subject to the requirements of due process and the state’s interest in prosecution).

  3. Filing and Exchange of Pre-trial Briefs

    • Typically, the court issues an order requiring the prosecution and defense to file their respective pre-trial briefs before the scheduled conference.
    • The pre-trial brief must include:
      • Statement of the case;
      • Facts proposed to be admitted;
      • Proposed stipulations;
      • List of documentary exhibits, with copies attached;
      • List of witnesses, with a short statement on the nature or purpose of their testimony; and
      • Other matters that may help expedite trial.

  4. Conference Proper

    • During the conference, the judge actively facilitates:
      1. Plea Bargaining – The possibility of the accused offering a plea of guilty to a lesser offense or to the offense charged with mitigating considerations.
      2. Stipulations of Fact – Both sides can agree on undisputed facts.
      3. Marking of Evidence – The prosecution and defense identify, mark, and compare evidence to ensure authenticity and admissibility.
      4. Resolution of Objections – Issues regarding admissibility or relevance of evidence are discussed; the court may receive or reserve rulings on motions to suppress or objections.
      5. Other Matters – The judge may address the order of presentation of evidence and consider procedural concerns like the number of witnesses or trial dates.

  5. Issuance of Pre-trial Order

    • After the conference, the judge is required to issue a pre-trial order, containing:
      • (a) The stipulations or admissions made by the parties;
      • (b) The issues to be tried;
      • (c) The evidence marked;
      • (d) Waivers, if any, of objections to the admissibility of evidence; and
      • (e) Other relevant matters.
    • This order controls the subsequent course of the trial, unless amended to prevent manifest injustice.

  6. Effect of the Pre-trial Order

    • The parties are bound by the stipulations, admissions, and agreements contained in the pre-trial order.
    • A party who fails to comply with the terms of the order may face sanctions.
    • Any deviation from the stipulations or evidence must be properly justified, and typically the court will disallow attempts to introduce evidence or raise issues not included in the pre-trial order unless it meets the standard of preventing a miscarriage of justice.

V. PLEA BARGAINING DURING PRE-TRIAL

  1. Definition and Nature

    • Plea bargaining in criminal cases is a process where the accused, in agreement with the prosecution and subject to court approval, may plead guilty to a lesser offense than that charged or under conditions that reduce the penalty.

  2. Timing

    • The Revised Guidelines on Continuous Trial encourage plea bargaining to be considered during pre-trial. In fact, the possibility must be mandatorily addressed by the court.

  3. Approval by the Court

    • Even if the prosecution and the accused have agreed on a plea bargain, the court must approve it.
    • The court ensures the proposed plea is consistent with law, jurisprudence, and that the rights of the accused and the interests of the state are fairly protected.

  4. Effect of a Successful Plea Bargain

    • If the accused pleads guilty to a lesser offense and the court approves, the trial proceeds only for penalty or other limited issues, or the court may directly impose the corresponding sentence for the lesser offense.

VI. SPECIAL CONSIDERATIONS AND JURISPRUDENTIAL GUIDELINES

  1. Mandatory Character of Pre-trial

    • Courts are required to conduct pre-trial in every criminal case after arraignment. Failure to conduct pre-trial may result in reversal of a judgment if it appears that the accused’s rights to due process or to a speedy trial are prejudiced.

  2. Role of Counsel

    • Defense counsel is expected to provide competent representation. Counsel must be prepared with a pre-trial brief, be knowledgeable about the facts, and prepared to consider admissions, stipulations, or a plea bargain.
    • Prosecutors are likewise expected to be well-prepared and authorized to enter into stipulations and plea deals when appropriate.

  3. Waiver of Objections

    • If a party fails to raise objections to the authenticity or admissibility of exhibits at the pre-trial despite having the opportunity to do so, such objections may be deemed waived.

  4. Continuance and Postponements

    • Under various Supreme Court circulars, trial courts must strictly regulate motions for postponement or continuance to avoid delays. The pre-trial conference is typically not to be postponed except for exceptionally meritorious reasons.

  5. Pre-trial in Relation to the Continuous Trial System

    • The Supreme Court’s Revised Guidelines on Continuous Trial (e.g., A.M. No. 15-06-10-SC and subsequent amendments) reinforce the mandatory nature of pre-trial and encourage strict adherence to the timelines set for marking evidence, filing motions, and listing witnesses.
    • The guidelines also emphasize the issuance of a definitive pre-trial order that precisely states the schedule for presentation of evidence and the remaining issues.

  6. Sanctions

    • Judges have the authority to impose sanctions on parties or counsel who fail to appear or who are unprepared for pre-trial without valid cause.
    • Possible sanctions include contempt, costs, or other disciplinary measures.
    • Dismissal of the case or proceeding ex parte may also be done if the absence or lack of preparation amounts to a failure to prosecute or to defend properly.

VII. LEGAL ETHICS IN PRE-TRIAL

  1. Candor and Good Faith

    • Prosecutors and defense counsels are ethically bound to conduct pre-trial negotiations and conferences in good faith.
    • Frivolous objections or unwarranted attempts to delay the proceedings violate Canon 10 and Canon 12 of the Code of Professional Responsibility, requiring lawyers to deal honestly and expedite litigation.

  2. Authority to Stipulate

    • Lawyers must ensure they have client authority to enter into stipulations, plea bargains, and other agreements. Entering stipulations without authority can lead to disciplinary action and may prejudice the client’s rights.

  3. Client Counseling

    • An attorney must fully explain to the accused the consequences of any stipulation, admission, or plea bargain. The decision to admit or stipulate ultimately belongs to the client, guided by counsel’s professional advice.

  4. Avoidance of Conflict of Interest

    • If a defense lawyer represents multiple accused or stands in a situation where representing one might prejudice another, the lawyer should disclose and secure appropriate waivers or withdraw representation if a conflict cannot be resolved.

VIII. LEGAL FORMS RELATED TO PRE-TRIAL

  1. Notice of Pre-trial

    • Standard court-issued notice informing the parties of the date, time, and place of the pre-trial conference.

  2. Pre-trial Brief (Prosecution and Defense)

    • A formal pleading containing:
      • Summary of facts;
      • Proposed stipulations and admissions;
      • List of witnesses and summary of their testimonies;
      • List of documentary and object evidence;
      • Proposed schedule for trial dates (if required);
      • Any other matters beneficial to expedite the trial.

  3. Pre-trial Order

    • A court order summarizing the agreements, admissions, stipulations, and other matters taken during the pre-trial. This is drafted under the supervision of the judge or prepared by the clerk of court under the judge’s direction.

  4. Motion to Reset or Postpone Pre-trial (if meritorious)

    • A written motion detailing the urgent reasons why the pre-trial must be moved, subject to the strict scrutiny of the court.

  5. Proposed Plea Bargaining Agreement

    • If the prosecution and defense agree to a plea bargain, they may file a joint motion or manifestation detailing the terms of the agreement, which must then be approved by the court.

IX. BEST PRACTICES FOR COUNSEL DURING PRE-TRIAL

  1. Early Preparation

    • Gather and review all evidence well before the pre-trial date.
    • Coordinate with your client regarding possible admissions, feasible defenses, and any readiness for plea bargaining.

  2. Clear Client Communication

    • Explain to the accused the significance of pre-trial, the consequences of entering stipulations, and the potential benefits of plea bargaining (if applicable).

  3. Coordination with Opposing Counsel

    • Prior to the conference, discuss potential areas for stipulation or admissions, to narrow down the issues.
    • Where ethically appropriate, share documentary evidence for earlier inspection to minimize objections later.

  4. Draft a Comprehensive Pre-trial Brief

    • Provide a thorough summary of facts, clearly list your documentary evidence (preferably pre-marked), identify your witnesses, and articulate each point that needs to be proven or disproven at trial.

  5. Maintain Professional Decorum

    • Conduct in pre-trial should be forthright and respectful of the court and the adverse party, consistent with the Code of Professional Responsibility.

  6. Securing the Pre-trial Order

    • Ensure the correctness of the pre-trial order. Check that all stipulations, admissions, and agreements have been accurately reflected.
    • Request clarifications or corrections in court if there are omissions or errors, as the pre-trial order will govern trial proceedings.

X. CONCLUSION

Pre-trial under Rule 118 of the Revised Rules of Criminal Procedure is a vital and mandatory mechanism designed to expedite criminal proceedings, limit issues for trial, and encourage a fair resolution of cases. Adhering to the rules on pre-trial not only streamlines litigation but also upholds the rights of the accused to a speedy trial and efficient justice. Counsel must approach pre-trial with diligence, preparedness, and ethical responsibility, understanding that the agreements reached and orders issued at this stage define the roadmap for the remainder of the criminal proceeding.

Disclaimer: This content is not legal advice and may involve AI assistance. Information may be inaccurate.

Privacy Policy

Terms of Use

Lawyer Login

 
 
Privacy Policy         Terms of Use         Lawyer Login