Professional Documents
Culture Documents
SUPREME COURT
Manila
FIRST DIVISION
G.R. No. 166836
September 4, 2013
Properties paid the full price of P39,122,627.00, were not delivered to San
Miguel Properties.
On its part, BF Homes claimed that it withheld the delivery of the 20 TCTs for
parcels of land purchased under the third deed of sale because Atty.
Orendain had ceased to be its rehabilitation receiver at the time of the
transactions after being meanwhile replaced as receiver by FBO Network
Management, Inc. on May 17, 1989 pursuant to an order from the SEC. 4
BF Homes refused to deliver the 20 TCTs despite demands. Thus, on August
15, 2000, San Miguel Properties filed a complaint-affidavit in the Office of the
City Prosecutor of Las Pias City (OCP Las Pias) charging respondent
directors and officers of BF Homes with non-delivery of titles in violation of
Section 25, in relation to Section 39, both of Presidential Decree No. 957
(I.S. No. 00-2256).5
At the same time, San Miguel Properties sued BF Homes for specific
performance in the HLURB (HLURB Case No. REM-082400-11183), 6 praying
to compel BF Homes to release the 20 TCTs in its favor.
In their joint counter-affidavit submitted in I.S. No. 00-2256, 7 respondent
directors and officers of BF Homes refuted San Miguel Properties assertions
by contending that: (a) San Miguel Properties claim was not legally
demandable because Atty. Orendain did not have the authority to sell the 130
lots in 1992 and 1993 due to his having been replaced as BF Homes
rehabilitation receiver by the SEC on May 17, 1989; (b) the deeds of sale
conveying the lots were irregular for being undated and unnotarized; (c) the
claim should have been brought to the SEC because BF Homes was under
receivership; (d) in receivership cases, it was essential to suspend all claims
against a distressed corporation in order to enable the receiver to effectively
exercise its powers free from judicial and extra-judicial interference that could
unduly hinder the rescue of the distressed company; and (e) the lots involved
were under custodia legis in view of the pending receivership proceedings,
necessarily stripping the OCP Las Pias of the jurisdiction to proceed in the
action.
On October 10, 2000, San Miguel Properties filed a motion to suspend
proceedings in the OCP Las Pias, 8 citing the pendency of BF Homes
receivership case in the SEC. In its comment/opposition, BF Homes opposed
the motion to suspend. In the meantime, however, the SEC terminated BF
Homes receivership on September 12, 2000, prompting San Miguel
Properties to file on October 27, 2000 a reply to BF Homes
comment/opposition coupled with a motion to withdraw the sought
The said ruling simply means that unless and until the HLURB rules on the
validity of the transactions involving the lands in question with specific
reference to the capacity of Atty. Orendain to bind BF Homes in the said
transactions, there is as yet no basis to charge criminally respondents for
non-delivery of the subject land titles. In other words, complainant cannot
invoke the penal provision of PD 957 until such time that the HLURB shall
have ruled and decided on the validity of the transactions involving the lots in
question.
WHEREFORE, the appeal is hereby DENIED.
SO ORDERED.12 (Emphasis supplied)
The DOJ eventually
reconsideration.13
denied
San
Miguel
Properties
motion
for
Ruling of the CA
Undaunted, San Miguel Properties elevated the DOJs resolutions to the CA
on certiorari and mandamus (C.A.-G.R. SP No. 73008), contending that
respondent DOJ Secretary had acted with grave abuse in denying their
appeal and in refusing to charge the directors and officers of BF Homes with
the violation of Presidential Decree No. 957. San Miguel Properties
submitted the issue of whether or not HLURB Case No. REM-082400-11183
presented a prejudicial question that called for the suspension of the criminal
action for violation of Presidential Decree No. 957.
In its assailed decision promulgated on February 24, 2004 in C.A.-G.R. SP
No. 73008,14 the CA dismissed San Miguel Properties petition, holding and
ruling as follows:
From the foregoing, the conclusion that may be drawn is that the rule on
prejudicial question generally applies to civil and criminal actions only.
However, an exception to this rule is provided in Quiambao vs. Osorio cited
by the respondents. In this case, an issue in an administrative case was
considered a prejudicial question to the resolution of a civil case which,
consequently, warranted the suspension of the latter until after termination of
the administrative proceedings.
Quiambao vs. Osorio is not the only instance when the Supreme Court
relaxed the application of the rule on prejudicial question.
In Tamin vs. CA involving two (2) civil actions, the Highest Court similarly
applied the rule on prejudicial question when it directed petitioner therein to
put up a bond for just compensation should the demolition of private
respondents building proved to be illegal as a result of a pending cadastral
suit in another tribunal.
City of Pasig vs. COMELEC is yet another exception where a civil action
involving a boundary dispute was considered a prejudicial question which
must be resolved prior to an administrative proceeding for the holding of a
plebiscite on the affected areas.
In fact, in Vidad vs. RTC of Negros Oriental, Br. 42, it was ruled that in the
interest of good order, courts can suspend action in one case pending
determination of another case closely interrelated or interlinked with it.
It thus appears that public respondent did not act with grave abuse of
discretion x x x when he applied the rule on prejudicial question to the instant
proceedings considering that the issue on the validity of the sale transactions
x x x by x x x Orendain in behalf of BF Homes, Inc., is closely intertwined
with the purported criminal culpability of private respondents, as
officers/directors of BF Homes, Inc., arising from their failure to deliver the
titles of the parcels of land included in the questioned conveyance.
All told, to sustain the petitioners theory that the result of the HLURB
proceedings is not determinative of the criminal liability of private
respondents under PD 957 would be to espouse an absurdity. If we were to
assume that the HLURB finds BFHI under no obligation to delve the subject
titles, it would be highly irregular and contrary to the ends of justice to pursue
a criminal case against private respondents for the non-delivery of
certificates of title which they are not under any legal obligation to turn over in
the first place. (Bold emphasis supplied)
On a final note, absent grave abuse of discretion on the part of the
prosecutorial arm of the government as represented by herein public
respondent, courts will not interfere with the discretion of a public prosecutor
in prosecuting or dismissing a complaint filed before him. A public prosecutor,
by the nature of his office, is under no compulsion to file a criminal
information where no clear legal justification has been shown, and no
sufficient evidence of guilt nor prima facie case has been established by the
complaining party.
WHEREFORE, premises considered, the instant Petition for Certiorari and
Mandamus is hereby DENIED. The Resolutions dated 15 October 2001 and
12 July 2002 of the Department of Justice are AFFIRMED.
SO ORDERED. 15
The CA denied San Miguel Properties motion for reconsideration on January
18, 2005.16
Issues
Aggrieved, San Miguel Properties is now on appeal, raising the following for
consideration and resolution, to wit:
THE COURT OF APPEALS COMMITTED GRAVE, SERIOUS AND
REVERSIBLE ERRORS WHEN IT DISMISSED PETITIONERS
CERTIORARI AND MANDAMUS PETITION TO ORDER AND DIRECT
RESPONDENT SECRETARY TO INDICT RESPONDENTS FOR
VIOLATION OF SECTION 25, PD. 957 IN THAT:
THE OBLIGATION OF PRIVATE RESPONDENTS TO DELIVER TO
PETITIONER THE TITLES TO 20 FULLY-PAID LOTS IS MANDATED BY
SECTION 25, PD 957. IN FACT, THE OFFICE OF THE PRESIDENT HAD
DULY CONFIRMED THE SAME PER ITS DECISION DATED 27 JANUARY
2005 IN O.P. CASE NO. 03-E-203, ENTITLED "SMPI V. BF HOMES, INC.".
A FORTIORI, PRIVATE RESPONDENTS FAILURE AND/OR REFUSAL TO
DELIVER TO PETITIONER THE SUBJECT TITLES CONSTITUTES
CRIMINAL OFFENSE PER SECTIONS 25 AND 39, PD 957 FOR WHICH IT
IS THE MINISTERIAL DUTY OF RESPONDENT SECRETARY TO INDICT
PRIVATE RESPONDENTS THEREFOR.
IN ANY EVENT, THE HLURB CASE DOES NOT PRESENT A
"PREJUDICIAL QUESTION" TO THE SUBJECT CRIMINAL CASE SINCE
THE FORMER INVOLVES AN ISSUE SEPARATE AND DISTINCT FROM
THE ISSUE INVOLVED IN THE LATTER. CONSEQUENTLY, THE HLURB
CASE HAS NO CORRELATION, TIE NOR LINKAGE TO THE PRESENT
CRIMINAL CASE WHICH CAN PROCEED INDEPENDENTLY THEREOF.
IN FACT, THE CRIMINAL CULPABILITY OF PRIVATE RESPONDENTS
EMANATE FROM THEIR MALA PROHIBITA NON-DELIVERY OF THE
TITLES TO TWENTY (20) FULLY-PAID PARCELS OF LAND TO
PETITIONER, AND NOT FROM THEIR NON-COMPLIANCE WITH THE
HLURBS RULING IN THE ADMINISTRATIVE CASE.
NONETHELESS, BY DECREEING THAT PETITIONERS CRIMINAL
COMPLAINT IS PREMATURE, BOTH THE COURT OF APPEALS AND
RESPONDENT SECRETARY HAD IMPLIEDLY ADMITTED THE
Mabubha Textile Mills Corporation vs. Ongpin, it does not have to rely on the
finding of others to discharge this adjudicatory functions. 19
It is relevant at this juncture to mention the outcome of the action for specific
performance and damages that San Miguel Properties instituted in the
HLURB simultaneously with its filing of the complaint for violation of
Presidential Decree No. 957. On January 25, 2002, the HLURB Arbiter ruled
that the HLURB was inclined to suspend the proceedings until the SEC
resolved the issue of Atty. Orendains authority to enter into the transactions
in BF Homes behalf, because the final resolution by the SEC was a logical
antecedent to the determination of the issue involved in the complaint before
the HLURB. Upon appeal, the HLURB Board of Commissioners (HLURB
Board), citing the doctrine of primary jurisdiction, affirmed the HLURB
Arbiters decision, holding that although no prejudicial question could arise,
strictly speaking, if one case was civil and the other administrative, it
nonetheless opted to suspend its action on the cases pending the final
outcome of the administrative proceeding in the interest of good order.18
After its motion for reconsideration was denied, BF Homes appealed to the
CA (C.A.-G.R. SP No. 83631), raising as issues: (a) whether or not the
HLURB had the jurisdiction to decide with finality the question of Atty.
Orendains authority to enter into the transaction with San Miguel Properties
in BF Homes behalf, and rule on the rights and obligations of the parties to
the contract; and (b) whether or not the HLURB properly suspended the
proceedings until the SEC resolved with finality the matter regarding such
authority of Atty. Orendain.
Not content with the outcome, San Miguel Properties appealed to the Office
of the President (OP), arguing that the HLURB erred in suspending the
proceedings. On January 27, 2004, the OP reversed the HLURB Boards
ruling, holding thusly:
The basic complaint in this case is one for specific performance under
Section 25 of the Presidential Decree (PD) 957 "The Subdivision and
Condominium Buyers Protective."
As early as August 1987, the Supreme Court already recognized the
authority of the HLURB, as successor agency of the National Housing
Authority (NHA), to regulate, pursuant to PD 957, in relation to PD 1344, the
real estate trade, with exclusive original jurisdiction to hear and decide cases
"involving specific performance of contractual and statutory obligation filed by
buyers of subdivision lots against the owner, developer, dealer, broker or
salesman," the HLURB, in the exercise of its adjudicatory powers and
functions, "must interpret and apply contracts, determine the rights of the
parties under these contracts and award[s] damages whenever appropriate."
Given its clear statutory mandate, the HLURBs decision to await for some
forum to decide if ever one is forthcoming the issue on the authority of
Orendain to dispose of subject lots before it peremptorily resolves the basic
complaint is unwarranted, the issues thereon having been joined and the
respective position papers and the evidence of the parties having been
submitted. To us, it behooved the HLURB to adjudicate, with the usual
dispatch, the right and obligation of the parties in line with its own
appreciation of the obtaining facts and applicable law. To borrow from
criminally liable for withholding the 20 TCTs. The resolution of the former
must obviously precede that of the latter, for should the HLURB hold San
Miguel Properties to be not entitled to the delivery of the 20 TCTs because
Atty. Orendain did not have the authority to represent BF Homes in the sale
due to his receivership having been terminated by the SEC, the basis for the
criminal liability for the violation of Section 25 of Presidential Decree No. 957
would evaporate, thereby negating the need to proceed with the criminal
case.
To accord with the doctrine of primary jurisdiction, the courts cannot and will
not determine a controversy involving a question within the competence of an
administrative tribunal, the controversy having been so placed within the
special competence of the administrative tribunal under a regulatory scheme.
In that instance, the judicial process is suspended pending referral to the
administrative body for its view on the matter in dispute. Consequently, if the
courts cannot resolve a question that is within the legal competence of an
administrative body prior to the resolution of that question by the latter,
especially where the question demands the exercise of sound administrative
discretion requiring the special knowledge, experience, and services of the
administrative agency to ascertain technical and intricate matters of fact, and
a uniformity of ruling is essential to comply with the purposes of the
regulatory statute administered, suspension or dismissal of the action is
proper.33
2.
3.
That the action for specific performance was an administrative case pending
in the HLURB, instead of in a court of law, was of no consequence at all. As
earlier mentioned, the action for specific performance, although civil in
nature, could be brought only in the HLURB. This situation conforms to the
doctrine of primary jurisdiction. There has been of late a proliferation of
administrative agencies, mostly regulatory in function. It is in favor of these
agencies that the doctrine of primary jurisdiction is frequently invoked, not to
defeat the resort to the judicial adjudication of controversies but to rely on the
expertise, specialized skills, and knowledge of such agencies in their
resolution. The Court has observed that one thrust of the proliferation is that
the interpretation of contracts and the determination of private rights under
contracts are no longer a uniquely judicial function exercisable only by the
regular courts.31
It is not tenable for San Miguel Properties to argue that the character of a
violation of Section 25 of Presidential Decree No. 957 as malum prohibitum,
by which criminal liability attached to BF Homes directors and officers by the
mere failure to deliver the TCTs, already rendered the suspension
unsustainable.34 The mere fact that an act or omission was malum prohibitum
did not do away with the initiative inherent in every court to avoid an absurd
result by means of rendering a reasonable interpretation and application of
the procedural law. Indeed, the procedural law must always be given a
reasonable construction to preclude absurdity in its application. 35 Hence, a
literal application of the principle governing prejudicial questions is to be
eschewed if such application would produce unjust and absurd results or
unreasonable consequences.
The doctrine of primary jurisdiction has been increasingly called into play on
matters demanding the special competence of administrative agencies even
if such matters are at the same time within the jurisdiction of the courts. A
case that requires for its determination the expertise, specialized skills, and
knowledge of some administrative board or commission because it involves
technical matters or intricate questions of fact, relief must first be obtained in
San Miguel Properties further submits that respondents could not validly
raise the prejudicial question as a reason to suspend the criminal
proceedings because respondents had not themselves initiated either the
action for specific performance or the criminal action.1wphi1 It contends
that the defense of a prejudicial question arising from the filing of a related
case could only be raised by the party who filed or initiated said related case.
Bangkok, Thailand, per Special Order No. 1529 dated August 29,
2013.
1
Rollo p. 442.
Id. at 137-172.
Id. at 61.
Id. at 123.
Id. at 420-428.
Id. at 178-181.
Id. at 215-217.
Id. at 253.
WE CONCUR:
MARIA LOURDES P. A. SERENO
Chief Justice
MARTIN S. VILLARAMA, JR.
Associate Justice
BIENVENIDO L. REYES
Associate Justice
ESTELA M. PERLAS-BERNABE
Associate Justice
10
Id. at 247-250.
C E R TI F I CATI O N
11
Id. at 272-273.
12
Id. at 95-96.
13
Id. at 98-99.
Pursuant to Section 13, Article VIII of the Constitution, I certify that the
conclusions in the above decision had been reached in consultation before
the case was assigned to the writer of the opinion of the Courts Division.
MARIA
Chief Justice
LOURDES
P.
A.
SERENO
14
Id. at 13-21; penned by Associate Justice Rebecca De GuiaSalvador, with the concurrence of Associate Justice Romeo A.
Brawner (later Presiding Justice/retired/deceased) and Associate
Justice Jose C. Reyes, Jr.
15
Id. at 19-20.
16
Id. at 23-25.
17
Id. at 37-38.
18
Id. at 608.
Footnotes
*
19
Id. at 609-610.
20
Id. at 504-523.
21
Id. at 522.
27
22
People v. Consing, Jr., G.R. No. 148193, January 16, 2003, 395
SCRA 366, 369.
23
Beltran v. People, G.R. No. 137567, June 20, 2000, 334 SCRA
106, 110.
28
24
29
Antipolo Realty Corporation v. National Housing Authority, No. L50444, August 31, 1987, 153 SCRA 399, 407.
32
Provident Tree Farms, Inc. v. Batario, Jr., G.R. No. 92285, March
28, 1994, 231 SCRA 463, 469-470; Saavedra, Jr. v. Department of
Justice, G.R. No. 93173, September 15, 1993, 226 SCRA 438, 442443; Presidential Commission on Good Government v. Pea, No. L77663, April 12, 1988, 159 SCRA 556, 567-568; Pambujan Sur
United Mine Workers v. Samar Mining Co., Inc., 94 Phil 932, 941
(1954).
34
Rollo, p. 49
35
December 4, 2008
together with Michael Edward Chi Ang (Michael), and some other persons for
allegedly conniving to fraudulently wrest control/management of the
corporations.5Eduardo allegedly borrowed substantial amounts of money
from the said corporations without any intention to repay; that he repeatedly
demanded for increases in his monthly allowance and for more cash
advances contrary to existing corporate policies; that he harassed petitioner
Flordeliza to transfer and/or sell certain corporate and personal properties in
order to pay off his personal obligations; that he attempted to forcibly evict
petitioner Jason from his office and claim it as his own; that he interfered with
and disrupted the daily business operations of the corporations; that Michael
was placed on preventive suspension due to prolonged absence without
leave and commission of acts of disloyalty such as carrying out orders of
Eduardo which were detrimental to their business, using privileged
information and confidential documents/data obtained in his capacity as Vice
President of the corporations, and admitting to have sabotaged their
distribution system and operations.
During the pendency of Civil Case No. 4257-MC, particularly in July, 2004,
Eduardo sought permission to inspect the corporate books of VMC and
Genato on account of petitioners alleged failure and/or refusal to update him
on
the
financial
and
business
activities
of
these
family
corporations.6 Petitioners denied the request claiming that Eduardo would
use the information obtained from said inspection for purposes inimical to the
corporations interests, considering that: "a) he is harassing and/or bullying
the Corporation[s] into writing off P165,071,586.55 worth of personal
advances which he had unlawfully obtained in the past; b) he is unjustly
demanding that he be given the office currently occupied by Mr. Francis
Jason Ang, the Vice-President for Finance and Corporate Secretary; c) he is
usurping the rights belonging exclusively to the Corporation; and d) he is
coercing and/or trying to inveigle the Directors and/or Officers of the
Corporation to give in to his baseless demands involving specific corporate
assets."7
Because of petitioners refusal to grant his request to inspect the corporate
books of VMC and Genato, Eduardo filed an Affidavit-Complaint 8 against
petitioners Flordeliza and Jason, charging them with violation (two counts) of
Section 74, in relation to Section 144, of the Corporation Code of the
Philippines.9 Ma. Belinda G. Sandejas (Belinda), Vincent, and Hanna were
subsequently impleaded for likewise denying respondents request to inspect
the corporate books.
Petitioners filed a Joint Counter-Affidavit praying for the dismissal of the
complaint for lack of factual and legal basis, or for the suspension of the
same while Civil Case No. 4257-MC is still pending resolution. 10 They denied
violating Section 74 of the Corporation Code and reiterated the allegations
contained in their complaint in Civil Case No. 4257-MC. Petitioners blamed
42
WE CONCUR:
MINITA V. CHICO-NAZARIO
Associate Justice
RUBEN T. REYES
Associate Justice
ATTESTATION
I attest that the conclusions in the above Decision had been reached in
consultation before the case was assigned to the writer of the opinion of the
Courts Division.
CONSUELO
Associate
Chairperson Third Division
YNARES-SANTIAGO
Justice
CERTIFICATION
Pursuant to Section 13, Article VIII of the Constitution and the Division
Chairpersons Attestation, I certify that the conclusions in the above Decision
had been reached in consultation before the case was assigned to the writer
of the opinion of the Courts Division.
REYNATO S. PUNO
Chief Justice
Footnotes
*
Id. at 65-66.
11
Civil Case No. Q-0453241 filed with the Regional Trial Court of
Quezon City, Branch 100. The case was dismissed in an Order of the
RTC-QC dated January 6, 2006.
13
21
Id. at 395-406.
22
Id. at 253.
23
Id. at 62-63.
24
25
26
28
30
SO ORDERED.
14
31
G.R. Nos. 88809 and 88858, July 10, 1991, 199 SCRA 39.
32
33
16
Id. at 116 and 220: The City Prosecutor of Malabon found that Ma.
Belinda G. Sandejas was not present during the board meeting on
September 4, 2004 and did not vote on the Resolution denying
Eduardos request to inspect the corporate books of VMC and GII;.
34
People v. Caratao, G.R. No. 126281, June 10, 2003, 403 SCRA
482; People v. Dorado, G.R. No. 122248, February 11, 1999, 303
SCRA 61; People v. Ronquillo, G.R. No. 96125, August 31, 1995,
247 SCRA 793; People v. Salazar, G.R. No. 84391, April 7, 1993,
221 SCRA 170; People v. Vicente, G.R. No. L-31725, February 18,
1986, 141 SCRA 347.
35
18
Id. at 423-438.
19
20
Id. at 252.
Perez v. Ombudsman, G.R. No. 131445, May 27, 2004, 429 SCRA
357.
36
37
Okabe v. Judge Gutierrez, G.R. No. 150185, May 27, 2004, 429
SCRA 685, citing People v. Poculan, 167 SCRA 176 (1988).
38
43
After investigation, the NBI filed a complaint with the City Prosecutor of
Makati (city prosecutor) charging the respondents of the crime of forgery and
falsification of public documents. The NBI supported the complaint with the
Questioned Documents Report No. 746-1098 (questioned documents report)
issued by its Questioned Documents Division. The questioned documents
report states that the signatures of the petitioner which appear on the
questioned deeds are not the same as the standard sample signatures he
submitted to the NBI.4
The respondents argued in their counter-affidavits that they were denied their
right to due process during the NBI investigation because the agency never
required them and Metrobank to submit the standard sample signatures of
the petitioner for comparison.5 The findings contained in the questioned
documents report only covered the sample signatures unilaterally submitted
by the petitioner as compared with the signatures appearing on the two
deeds of real estate mortgage. An examination of the signatures of the
petitioner which appear in several documents in Metrobanks possession
revealed that his signatures in the questioned deeds are genuine. 6 The
respondents also argued that the examination of the documents was
conducted without the original copies of the questioned deeds of real estate
mortgage.
The Ruling of the City Prosecutor
In a resolution dated June 25, 1999, the city prosecutor found no probable
cause against the respondents and, consequently, dismissed the complaint
for lack of merit.
The city prosecutor ruled that the questioned documents report is not
conclusive evidence that the respondents committed the crime charged. It
only proves that the sample signatures which were submitted solely by the
petitioner are different from the signatures appearing on the questioned
deeds. The pieces of evidence presented before the city prosecutor, which
were not made available to the NBI and which the petitioner does not dispute
prove that the same person executed the questioned deeds. 7 The city
prosecutor found that the similarities in the sample signatures submitted by
the respondents and the signatures on the two deeds of real estate mortgage
are so striking that even a layman could see that they were written by one
and the same person.
In the proceedings before the NBI, the respondents were not furnished a
copy of the complaint and were not likewise required to file their answer or to
present countervailing evidence. All the evidence at the NBI level were solely
provided by the petitioner.17
The CA also found that the persons who had been directly and personally
involved in the investigation of the case, like the NBI investigating agent and
the city prosecutor, were convinced that the evidence were not sufficient for
purposes of filing charges against the respondents. The recommendation for
the filing of the complaint came from the NBI chiefs and the Secretary of
Justice who did not personally investigate the case. 19
In the proceedings before the Secretary of Justice, the respondents were not
furnished with the petition for review that the petitioner filed. They were not
even required to file their answer nor to comment. 18
The CA affirmed the findings of the city prosecutor as he had the opportunity
to examine the documents submitted by the parties, including the
respondents evidence which the NBI did not consider. The CA denied the
petitioners motion for reconsideration;20 hence, the present petition.
The Petitioners Position
The petitioner assigned the following errors:
First, the CA sweepingly relied on the respondents allegation that they had
been denied due process in the proceedings before the Secretary of Justice
despite their active participation in the proceedings through the filing of a
motion for reconsideration.21
Second, the CA erred in giving credence to the findings of the investigating
NBI agent and the city prosecutor. The Secretary of Justice is the ultimate
authority who decides which of the conflicting theories of the complainant
and the respondents should be given weight.22
Third, an NBI experts examination of certain contested documents at the
request of a private litigant does not necessarily nullify the examination
made. Its purpose is to assist the court exercising jurisdiction over the case
in the performance of its duty to correctly settle the issue related to the
documents.23
The Respondents Position
Magpantay that the passport used in notarizing the questioned deeds was
not yet cancelled.
In arriving at these conclusions, the city prosecutor already delved into the
merits of the respondents defense. This is contrary to the well-settled rule
that the validity and merits of a partys defense and accusation, as well as
admissibility of testimonies and evidence, are better ventilated during trial
proper than at the preliminary investigation level. 34 The allegations adduced
by the prosecution will be put to test in a full-blown trial in which evidence
shall be analyzed, weighed, given credence or disproved. 35 The preliminary
investigation is not the occasion for the full and exhaustive display of the
parties evidence.36 Simply put, in determining probable cause, the average
man weighs facts and circumstances without resorting to the rules of
evidence that, as a rule, is outside his technical knowledge. 37
That the findings of the city prosecutor should be ventilated in a full-blown
trial is highlighted by the reality that the authenticity of a questioned signature
cannot be determined solely upon its general characteristics, or its
similarities or dissimilarities with the genuine signature. 38 The duty to
determine the authenticity of a signature rests on the judge who must
conduct an independent examination of the signature itself in order to arrive
at a reasonable conclusion as to its authenticity. Thus, Section 22 of Rule
132 of the Rules of Court explicitly authorizes the court, by itself, to make a
comparison of the disputed handwriting "with writings admitted or treated as
genuine by the party against whom the evidence is offered, or proved to be
genuine."39
Read in this light, the respondents' defense that there are striking similarities
in the specimen signatures they submitted and those of the questioned
deeds is a matter of evidence whose consideration is proper only in a fullblown trial. In that proper forum, the respondents can present evidence to
prove their defense and controvert the questioned documents report; they
can raise as issue the alleged irregularities in the conduct of the examination.
The Secretary of Justice has the power to review the findings of the city
prosecutor
We also find that the CA erred in ruling that the city prosecutor's findings
should be given more weight than the findings of the Secretary of Justice.
The determination of probable cause is essentially an executive function,
lodged in the first place on the prosecutor who conducted the preliminary
investigation. The prosecutor's ruling is reviewable by the Secretary who, as
the final determinative authority on the matter, has the power to reverse,
modify or affirm the prosecutor's determination.40
It is well-settled that the findings of the Secretary of Justice are not subject to
interference by the courts, save only when he acts with grave abuse of
discretion amounting to lack or excess of jurisdiction; when he grossly
misapprehends facts; when he acts in a manner so patent and gross as to
amount to an evasion of positive duty or a virtual refusal to perform the duty
enjoined by law; or when he acts outside the contemplation of law.41
Pursuant to Section 13, Article VIII of the Constitution, and the Division
Chairperson's Attestation, I certify that the conclusions in the above Decision
had been reached in consultation before the case was assigned to the writer
of the opinion of the Court's Division.
MARIA LOURDES P. A. SERENO
Chief Justice
Contrary to the findings of the CA, we find that the Secretary of Justice did
not gravely abuse the exercise of her discretion in reversing the findings of
the city prosecutor.
WHEREFORE, we GRANT the petition and REVERSE and SET ASIDE the
decision of the Court of Appeals dated June 19, 2007 and its resolution dated
April 4, 2008.
SO ORDERED.
ARTURO D. BRION
Associate Justice
Footnotes
1
Id. at p. 37
Id. at p. 37.
Id.. at p. 38
Id. at p. 38.
WE CONCUR:
ANTONIO T. CARPIO
Associate Justice
Chairperson
MARIANO C. DEL CASTILLO
Associate Justice
ESTELA M. PERLAS-BERNABE
Associate Justice
ATTE S TATI O N
I attest that the conclusions in the above Decision had been reached in
consultation before the case was assigned to the writer of the opinion of the
Court's Division.
ANTONIO T. CARPIO
Associate Justice
Chairperson, Second Division
C E R TI F I CATI O N
10
Id at. p. 39
11
Id. at p. 71
12
13
Id at p. 72
14
Id. at p. 39
34
15
Id. at p. 40
16
Id. at p. 42
35
17
Id
36
Lee et al. v. KBC Bank N.V., G.R. No. 164673, January 15, 2010.
18
Id.
37
19
Id. at p. 44
20
Id at. p. 48.
21
39
40
22
23
Id at 19
24
25
Id at p. 371
26
Id. at 377.
27
28
30
Rollo, p. 320
31
32
Id.
33
Id.
Ombudsman dated 27 March 2014 and the proceedings in OMB-C-C-1303013 and OMB-C-C-13-0397 subsequent to and affected by the issuance of
the challenged 27 March 2014 Order are void.
xxx
xxx
(c) Within ten (10) days from receipt of the subpoena with the
complaint and supporting affidavits and documents, the respondent
shall submit his counter affidavit and that of his witnesses and other
supporting documents relied upon for his defense. The counter
affidavits shall be subscribed and sworn to and certified as provided
in paragraph (a) of this section, with copies thereof furnished by him
to the complainant.
Further to quote the rule in furnishing copies of affidavits to parties under the
Rules of Procedure of the Office of the Ombudsman [Section 4 of Rule II of
Administrative Order No. 07 issued on April 10, 1990]:
a) If the complaint is not under oath or is based only on official
reports, the investigating officer shall require the complainant or
It can be gleaned from these aforecited provisions that this Office is required
to furnish [Sen. Estrada] a copy of the Complaint and its supporting affidavits
and documents; and this Office complied with this requirement when it
furnished [Sen. Estrada] with the foregoing documents attached to the
Orders to File Counter-Affidavit dated 19 November 2013 and 25 November
2013.
It is to be noted that there is noprovision under this Offices Rules of
Procedure which entitles respondent to be furnished all the filings by the
other parties, e.g. the respondents. Ruby Tuason, Dennis Cunanan,
Gondelina G. Amata and Mario L. Relampagos themselves are all
respondents in these cases. Under the Rules of Court as well as the Rules of
Procedure of the Office of the Ombudsman, the respondents are only
required to furnish their counter-affidavits and controverting evidence to the
complainant, and not to the other respondents.
To reiterate, the rights of respondent [Sen.] Estrada in the conduct of the
preliminary investigation depend on the rights granted to him by law and
these cannot be based on whatever rights he believes [that] he is entitled to
or those that may be derived from the phrase "due process of law." Thus, this
Office cannot grant his motion to be furnished with copies of all the filings by
the other parties. Nevertheless, he should be furnished a copy of the Reply
of complainant NBI as he is entitled thereto under the rules; however, as of
this date, no Reply has been filed by complainant NBI.
WHEREFORE, respondent [Sen.] Estradas Request to be Furnished with
Copies of Counter-Affidavits of the Other Respondents, Affidavits of New
Witnesses and Other Filingsis DENIED. He is nevertheless entitled to be
furnished a copy of the Reply if complainant opts to file such
pleading.8 (Emphases in the original)
On 28 March 2014, the Ombudsman issued in OMB-C-C-13-0313 and OMBC-C-13-0397 a Joint Resolution9which found probable cause to indict Sen.
Estrada and his co-respondents with one count of plunder and 11 counts of
violation of Section 3(e) of RA No. 3019. Sen. Estrada filed a Motion for
Reconsideration (of the Joint Resolution dated 28 March 2014) dated 7 April
2014. Sen. Estrada prayed for the issuance of a new resolution dismissing
the charges against him. Without filing a Motion for Reconsideration of the
Ombudsmans 27 March 2014 Order denying his Request, Sen. Estrada filed
the present Petition for Certiorari under Rule 65 and sought to annul and set
aside the 27 March 2014 Order.
THE ARGUMENTS
This Office, in fact, held in abeyance the disposition of the motions for
reconsideration in this proceeding in light of its grant to Senator Estrada a
period of five days from receipt of the 7 May 2014 Order to formally respond
to the above-named co-respondents claims.
In view of the foregoing, this Office fails to see how Senator Estrada was
deprived of his right to procedural due process.13 (Emphasis supplied)
On 2 June 2014, the Ombudsman, the FIO, and the NBI (collectively, public
respondents), through the Officeof the Solicitor General, filed their Comment
to the present Petition. The public respondents argued that:
I. PETITIONER [SEN.
PROCESS OF LAW.
ESTRADA]
WAS
NOTDENIED
DUE
(a) The complaint shall state the address of the respondent and shall
be accompanied by the affidavits of the complainant and his
witnesses, as well as other supporting documents to establish
probable cause. They shall be in such number of copies as there are
respondents, plus two (2) copies for the official file. The affidavits
shall be subscribed and sworn to before any prosecutor or
government official authorized to administer oath, or, in their absence
or unavailability, before a notary public, each of who must certify
thathe personally examined the affiants and that he is satisfied that
they voluntarily executed and understood their affidavits.
(b) Within ten (10) days after the filing of the complaint, the
investigating officer shall either dismiss it if he finds no ground to
continue with the investigation, or issue a subpoena to the
respondent attaching to it a copy of the complaint and its supporting
affidavits and documents. The respondent shall have the right to
f) If, after the filing of the requisite affidavits and their supporting
evidences, there are facts material to the case which the
investigating officer may need to be clarified on, he may conduct a
clarificatory hearing during which the parties shall be afforded the
opportunity to be present but without the right to examine or crossexamine the witness being questioned. Where the appearance of the
parties or witnesses is impracticable, the clarificatory questioning
may be conducted in writing, whereby the questions desired to be
asked by the investigating officer or a party shall be reduced into
writing and served on the witness concerned who shall be required
to answer the same in writing and under oath.
Second, Section 4(b) states that "the investigating officer shall issue an order
attaching thereto a copy of the affidavits and all other supporting documents,
directing the respondent" tosubmit his counter-affidavit. The affidavits
referred to in Section 4(b) are the affidavits mentioned in Section
4(a). Clearly, the affidavits to be furnished to the respondent are the affidavits
of the complainant and his supporting witnesses. The provision in the
immediately succeeding Section 4(c) of the same Rule II that a respondent
shall have "access to the evidence on record" does not stand alone, but
should be read in relation to the provisions of Section 4(a and b) of the same
Rule II requiring the investigating officer to furnish the respondent with the
"affidavits and other supporting documents" submitted by "the complainant or
supporting witnesses." Thus, a respondents "access to evidence on record"
in Section 4(c), Rule II of the Ombudsmans Rules of Procedure refers to the
affidavits and supporting documents of "the complainant or supporting
witnesses" in Section 4(a) of the same Rule II.
Third, Section 3(b), Rule 112 of the Revised Rules of Criminal Procedure
provides that "[t]he respondent shall have the right to examine the evidence
submitted by the complainant which he may not have been furnished and to
copy them at his expense." A respondents right to examine refers only to
"the evidence submitted by the complainant."
Thus, whether under Rule 112 of the Revised Rules of Criminal Procedure or
under Rule II of the Ombudsmans Rules of Procedure, there is no
requirement whatsoever that the affidavits executed by the corespondents
should be furnished to a respondent. Justice Velascos dissent relies on the
ruling in Office of the Ombudsman v. Reyes (Reyes case), 15 an administrative
case, in which a different set of rules of procedure and standards apply. Sen.
Estradas Petition, in contrast, involves the preliminary investigation stage in
a criminal case. Rule III on the Procedure in Administrative Cases of the
Rules of Procedure of the Office of the Ombudsman applies in the Reyes
case, while Rule II on the Procedure in Criminal Cases of the Rules of
Procedure of the Office of the Ombudsman applies in Sen. Estradas Petition.
In both cases, the Rules of Court apply in a suppletory character or by
analogy.16
In the Reyescase, the complainant Acero executed an affidavit against
Reyes and Pealoza, who were both employees of the Land Transportation
Office. Pealoza submitted his counter-affidavit, as well as those of his two
witnesses. Reyes adopted his counter-affidavit in another case before the
Ombudsman as it involved the same parties and the same incident. None of
the parties appeared during the preliminary conference. Pealoza waived his
right to a formal investigation and was willing to submit the case for
resolution based on the evidence on record. Pealoza also submitted a
counter-affidavit of his third witness. The Ombudsman found Reyes guilty of
grave misconduct and dismissed him from the service. On the other hand,
Pealoza was found guilty of simple misconduct and penalized with
suspension from office without pay for six months. This Court agreed with the
Court of Appeals finding that Reyes right to due process was indeed
violated. This Court remanded the records of the case to the Ombudsman,
for two reasons: (1) Reyes should not have been meted the penalty of
dismissal from the service when the evidence was not substantial, and (2)
there was disregard of Reyes right to due process because he was not
furnished a copy of the counter-affidavits of Pealoza and of Pealozas
three witnesses. In the Reyes case, failure to furnish a copy of the counteraffidavits happened in the administrative proceedings on the merits, which
resulted in Reyes dismissal from the service. In Sen. Estradas Petition, the
denial of his Request happened during the preliminary investigation where
the only issue is the existence of probable cause for the purpose of
determining whether an information should be filed, and does not prevent
Sen. Estrada from requesting a copy of the counter-affidavits of his corespondents during the pre-trial or even during the trial.
We should remember to consider the differences in adjudicating cases,
particularly an administrative case and a criminal case:
Any lawyer worth his salt knows that quanta of proof and adjective rules vary
depending on whether the cases to which they are meant to apply are
criminal, civil or administrative in character. In criminal actions, proof beyond
reasonable doubt is required for conviction;in civil actions and proceedings,
preponderance of evidence, as support for a judgment; and in administrative
cases, substantial evidence, as basis for adjudication. In criminal and civil
actions, application of the Rules of Court is called for, with more or less
strictness. In administrative proceedings, however, the technical rules of
pleadingand procedure, and of evidence, are not strictly adhered to; they
generally apply only suppletorily; indeed, in agrarian disputes application of
the Rules of Court is actually prohibited.17
It should be underscored that the conduct of a preliminary investigation is
only for the determination of probable cause, and "probable cause merely
implies probability of guilt and should be determined in a summary manner. A
preliminary investigation is not a part of the trial and it is only in a trial where
an accused can demand the full exercise of his rights, such as the right to
confront and cross-examine his accusers to establish his innocence." 18Thus,
the rights of a respondent in a preliminary investigation are limited to those
granted by procedural law.
A preliminary investigation is defined as an inquiry or proceeding for the
purpose of determining whether there is sufficient ground to engender a well
founded belief that a crime cognizable by the Regional Trial Court has been
committed and that the respondent is probably guilty thereof, and should be
(2) Not only must the party be given an opportunity to present his
case and adduce evidence tending to establish the rights which he
asserts but the tribunal must consider the evidence presented. x x x.
We likewise take exception to Justice Brions assertion that "the due process
standards that at the very least should be considered in the conduct of a
preliminary investigation are those that this Court first articulated in Ang Tibay
v. Court of Industrial Relations [Ang Tibay]." 21 Simply put, the Ang Tibay
guidelines for administrative cases do not apply to preliminary investigations
in criminal cases. An application of the Ang Tibay guidelines to preliminary
investigations will have absurd and disastrous consequences.
Ang Tibay enumerated the constitutional requirements of due process, which
Ang Tibay described as the "fundamental and essential requirements of due
process in trials and investigations of an administrative character." 22 These
requirements are "fundamental and essential" because without these, there
isno due process as mandated by the Constitution. These "fundamental and
essential requirements" cannot be taken away by legislation because theyare
part of constitutional due process. These "fundamental and essential
requirements" are:
(1) The first of these rights is the right to a hearing, which includes
the right of the party interested or affected to present his own case
and submit evidence in support thereof. x x x.
had been adduced to establish probable cause and clarificatory hearing was
unnecessary.27
The purpose in determining probable cause is to make sure that the courts
are not clogged with weak cases that will only be dismissed, as well as to
spare a person from the travails of a needless prosecution. 26 The
Ombudsman and the prosecution service under the control and supervision
of the Secretary of the Department of Justice are inherently the fact-finder,
investigator, hearing officer, judge and jury of the respondent in preliminary
investigations. Obviously, this procedure cannot comply with Ang Tibay, as
amplified in GSIS. However, there is nothing unconstitutional with this
procedure because this is merely an Executive function, a part of the law
enforcement process leading to trial in court where the requirements
mandated in Ang Tibay, as amplified in GSIS, will apply. This has been the
procedure under the 1935, 1973 and 1987 Constitutions. To now rule that
Ang Tibay, as amplified in GSIS, should apply to preliminary investigations
will mean that all past and present preliminary investigations are in gross
violation of constitutional due process.
Justice J.B.L. Reyes, writing for the Court, emphatically declared in Lozada v.
Hernandez,28 that the "rights conferred upon accused persons to participate
in preliminary investigations concerning themselves depend upon the
provisions of law by which such rights are specifically secured, rather than
upon the phrase due process of law." This reiterates Justice Jose P. Laurels
oft-quoted pronouncement in Hashim v. Boncan29 that "the right to a
preliminary investigation is statutory, not constitutional." In short, the rights of
a respondent ina preliminary investigation are merely statutory rights, not
constitutional due process rights. An investigation to determine probable
cause for the filing of an information does not initiate a criminal action so as
to trigger into operation Section 14(2), Article III of the Constitution. 30 It is the
filing of a complaint or information in court that initiates a criminal action. 31
All pending criminal cases in all courts throughout the country will have to be
remanded to the preliminary investigation level because none of these will
satisfy Ang Tibay, as amplified in GSIS. Preliminary investigations are
conducted by prosecutors, who are the same officials who will determine
probable cause and prosecute the cases in court. The prosecutor is hardly
the impartial tribunal contemplated in Ang Tibay, as amplified in GSIS. A
reinvestigation by an investigating officer outside of the prosecution service
will be necessary if Ang Tibay, as amplified in GSIS, were to be applied. This
will require a new legislation. In the meantime, all pending criminal cases in
all courts will have to be remanded for reinvestigation, to proceed only when
a new law is in place. To require Ang Tibay, as amplified in GSIS, to apply to
preliminary investigation will necessarily change the concept of preliminary
investigation as we know it now. Applying the constitutional due process in
Ang Tibay, as amplified in GSIS, to preliminary investigation will necessarily
require the application of the rights of an accused in Section 14(2), Article III
of the 1987 Constitution. This means that the respondent can demand an
actual hearing and the right to cross-examine the witnesses against him,
rights which are not afforded at present toa respondent in a preliminary
investigation.
The application of Ang Tibay, as amplified in GSIS, is not limited to those with
pending preliminary investigations but even to those convicted by final
judgment and already serving their sentences. The rule is well-settled that a
judicial decision applies retroactively if it has a beneficial effect on a person
convicted by final judgment even if he is already serving his sentence,
provided that he is not a habitual criminal. 39 This Court retains its control over
a case "until the full satisfaction of the final judgment conformably with
established legal processes."40 Applying Ang Tibay, as amplified in GSIS, to
preliminary investigations will result in thousands of prisoners, convicted by
final judgment, being set free from prison.
Second. Sen. Estradas present Petition for Certiorari is premature.
Justice Velascos dissent prefers thatSen. Estrada not "be subjected to the
rigors of a criminal prosecution incourt" because there is "a pending question
regarding the Ombudsmans grave abuse of its discretion preceding the
finding of a probable cause to indict him." Restated bluntly, Justice Velascos
dissent would like this Court to conclude that the mere filing of the present
Petition for Certiorari questioning the Ombudsmans denial of Sen. Estradas
Request should have, by itself, voided all proceedings related to the present
case.
Although it is true that, in its 27 March 2014 Order, the Ombudsman denied
Sen. Estradas Request, the Ombudsman subsequently reconsidered its
Order. On 7 May 2014, the same date that Sen. Estrada filed the present
Petition, the Ombudsman issued a Joint Order in OMB-C-C-13-0313 and
The Ruivivar case, like the Reyes44 case, was also an administrative case
before the Ombudsman. The Ombudsman found petitioner Rachel Beatriz
Ruivivar administratively liable for discourtesy in the course of her official
functions and imposed on her the penalty of reprimand. Petitioner filed a
motion for reconsideration of the decision on the ground that she was not
furnished copies of the affidavits of the private respondents witnesses. The
Ombudsman subsequently ordered that petitioner be furnished with copies of
the counter-affidavits of private respondents witnesses, and that petitioner
should "file, within ten (10) days from receipt of this Order, such pleading
which she may deem fit under the circumstances." Petitioner received copies
of the affidavits, and simply filed a manifestation where she maintained that
her receipt of the affidavits did not alter the deprivation of her right to due
process or cure the irregularity in the Ombudsmans decision to penalize her.
In Ruivivar, petitioner received the affidavits of the private respondents
witnesses afterthe Ombudsman rendered a decision against her. We
disposed of petitioners deprivation of due process claim in this manner:
The CA Decision dismissed the petition for certiorari on the ground that the
petitioner failed to exhaust all the administrative remedies available to her
before the Ombudsman. This ruling is legallycorrect as exhaustion of
administrative remedies is a requisite for the filing of a petition for certiorari.
Other than this legal significance, however, the ruling necessarily carries the
direct and immediate implication that the petitioner has been granted the
opportunity to be heard and has refused to avail of this opportunity; hence,
she cannot claim denial of due process. In the words of the CA ruling itself:
"Petitioner was given the opportunity by public respondent to rebut the
affidavits submitted by private respondent. . . and had a speedy and
adequate administrative remedy but she failed to avail thereof for reasons
only known to her."
For a fuller appreciation of our above conclusion, we clarify that although
they are separate and distinct concepts, exhaustion of administrative
remedies and due process embody linked and related principles. The
"exhaustion" principle applies when the ruling court or tribunal is not given
the opportunity tore-examine its findings and conclusions because of an
available opportunity that a party seeking recourse against the court or the
tribunals ruling omitted to take. Under the concept of "due process," on the
other hand, a violation occurs when a court or tribunal rules against a party
without giving him orher the opportunity to be heard. Thus, the exhaustion
principle is based on the perspective of the ruling court or tribunal, while due
process is considered from the point of view of the litigating party against
whom a ruling was made. The commonality they share is in the
same"opportunity" that underlies both. In the context of the present case, the
available opportunity to consider and appreciate the petitioners counterstatement offacts was denied the Ombudsman; hence, the petitioner is
barred from seeking recourse at the CA because the ground she would
invoke was not considered at all at the Ombudsman level. At the same time,
the petitioner who had the same opportunity to rebut the belatedlyfurnished affidavits of the private respondents witnesses was not denied
and cannot now claim denial of due process because she did not take
advantage of the opportunity opened to her at the Ombudsman level.
The records show that the petitioner duly filed a motion for reconsideration
on due process grounds (i.e., for the private respondents failure to furnish
her copies of the affidavits of witnesses) and on questions relating to the
appreciation of the evidence on record. The Ombudsman acted on this
motion by issuing its Order of January 17, 2003 belatedly furnishing her with
copies of the private respondents witnesses, together with the "directive to
file, within ten (10) days from receipt of this Order, such pleading which she
may deem fit under the circumstances."
Given this opportunity to act on the belatedly-furnished affidavits, the
petitioner simply chose to file a "Manifestation" where she took the position
that "The order of the Ombudsman dated 17 January 2003 supplying her with
the affidavits of the complainant does not cure the 04 November 2002 order,"
and on this basis prayed that the Ombudsmans decision "be reconsidered
and the complaint dismissed for lack of merit."
For her part, the private respondent filed a Comment/Opposition to Motion for
Reconsideration dated 27 January 2003 and prayed for the denial of the
petitioners motion.
In the February 12, 2003 Order, the Ombudsman denied the petitioners
motion for reconsideration after finding no basis to alter or modify its ruling.
Significantly, the Ombudsman fully discussed in this Order the due process
significance of the petitioners failure to adequately respond to the belatedlyfurnished affidavits. The Ombudsman said:
"Undoubtedly, the respondent herein has been furnished by this Office with
copies of the affidavits, which she claims she has not received. Furthermore,
the respondent has been given the opportunity to present her side relative
thereto, however, she chose not to submit countervailing evidence
orargument. The respondent, therefore (sic), cannot claim denial of due
process for purposes of assailing the Decision issued in the present case. On
this score, the Supreme Court held in the case of People v. Acot, 232 SCRA
406, that "a party cannot feign denial of due process where he had the
opportunity to present his side". This becomes all the more important since,
as correctly pointed out by the complainant, the decision issued in the
present case is deemed final and unappealable pursuant to Section 27 of
Republic Act 6770, and Section 7, Rule III of Administrative Order No. 07.
Despite the clear provisions of the law and the rules, the respondent herein
was given the opportunity not normally accorded, to present her side, but she
opted not to do so which is evidently fatal to her cause." [emphasis supplied].
Under these circumstances, we cannot help but recognize that the
petitioners cause is a lost one, not only for her failure to exhaust her
available administrative remedy, but also on due process grounds. The law
can no longer help one who had been given ample opportunity to be heard
but who did not take full advantage of the proffered chance. 45
Ruivivar applies with even greater force to the present Petition because here
the affidavits of Sen. Estradas co-respondents were furnished to him
beforethe Ombudsman rendered her 4 June 2014 Joint Order. In Ruivivar,
the affidavits were furnished after the Ombudsman issued a decision.
Justice Velascos dissent cites the cases of Tatad v. Sandiganbayan 46 (Tatad)
and Duterte v. Sandiganbayan47(Duterte) in an attempt to prop up its stand. A
careful reading of these cases, however, would show that they do not stand
on all fours with the present case. In Tatad, this Court ruled that "the
inordinate delay in terminating the preliminary investigation and filing the
information [by the Tanodbayan] in the present case is violative of the
constitutionally guaranteed right of the petitioner to due process and to a
speedy disposition of the cases against him." 48 The Tanod bayan took almost
three years to terminate the preliminary investigation, despite Presidential
Decree No. 911s prescription of a ten-day period for the prosecutor to
resolve a case under preliminary investigation. We ruled similarly in Duterte,
where the petitioners were merely asked to comment and were not asked to
file counter-affidavits as isthe proper procedure in a preliminary investigation.
Moreover, in Duterte, the Ombudsman took four years to terminate its
preliminary investigation.
As we follow the reasoning in Justice Velascos dissent, it becomes more
apparent that Sen. Estradas present Petition for Certiorari is premature for
lack of filing of a motion for reconsideration before the Ombudsman. When
the Ombudsman gave Sen. Estrada copies of the counter-affidavits and even
waited for the lapse of the given period for the filing of his comment, Sen.
Estrada failed to avail of the opportunity to be heard due to his own fault.
Thus, Sen. Estradas failure cannot in any way be construed as violation of
due process by the Ombudsman, much less of grave abuse of discretion.
Sen. Estrada has not filed any comment, and still chooses not to.
Third. Sen. Estradas present Petition for Certiorari constitutes forum
shopping and should be summarily dismissed.
As such, Senator Estrada was not properly apprised of the evidence offered
against him, which were eventually made the bases of the Ombudsmans
finding of probable cause.50
The Ombudsman denied Sen. Estradas Motion for Reconsideration in its 4
June 2014 Joint Order. Clearly, Sen. Estrada expressly raised in his Motion
for Reconsideration with the Ombudsman the violation of his right to due
process, the same issue he is raising in this petition. In the verification and
certification of non-forum shopping attached to his petition docketed as G.R.
Nos. 212761-62 filed on 23 June 2014, Sen. Estrada disclosed the pendency
of the present petition, as well as those before the Sandiganbayan for the
determination of the existence of probable cause. In his petition in G.R. Nos.
212761-62, Sen. Estrada again mentioned the Ombudsmans 27 March 2014
Joint Order denying his Request.
17. Sen. Estrada was shocked not only at the Office of the Ombudsmans
finding of probable cause, which he maintains is without legal or factual
basis, but also thatsuch finding of probable cause was premised on evidence
not disclosed tohim, including those subject of his Request to be Furnished
with Copiesof Counter-Affidavits of the Other Respondents, Affidavits of New
Witnesses and Other Filings dated 20 March 2014.
In particular, the Office of the Ombudsman used as basis for the Joint
Resolution the following documents
i. Alexis G. Sevidals Counter-Affidavits dated 15 January and 24
February 2014;
ii. Dennis L. Cunanans Counter-Affidavits both dated 20 February
2014;
iii. Francisco B. Figuras Counter-Affidavit dated 08 January 2014;
iv. Ruby Tuasons Counter-Affidavits both dated 21 February 2014;
v. Gregoria G. Buenaventuras Counter-Affidavit dated 06 March
2014; and
vi. Philippine Daily Inquirer Online Edition news article entitled
"Benhur Luy upstages Napoles in Senate Hearing" by Norman
Bordadora and TJ Borgonio, published on 06 March 2014, none of
which were ever furnished Sen. Estrada prior to the issuance of the
challenged Joint Resolution, despite written request.
xxxx
II
THE OFFICE OF THE OMBUDSMAN, IN ISSUING THE CHALLENGED
JOINT RESOLUTION DATED 28 MARCH 2014 AND CHALLENGED JOINT
ORDER DATED 04 JUNE 2014, NOT ONLY ACTED WITHOUT OR IN
EXCESS OF ITS JURISDICTION OR WITH GRAVE ABUSE OF
DISCRETION AMOUNTING TO LACK OR EXCESS OF JURISDICTION,
BUT ALSO VIOLATED SEN. ESTRADAS CONSTITUTIONAL RIGHT TO
DUE PROCESS OF LAW AND TO EQUAL PROTECTION OF THE LAWS.
xxxx
2.17 x x x x
Notably, in its Joint Order dated 07 May 2014, the Office of the Ombudsman
even arbitrarily limited the filing of Sen. Estradas comment to the voluminous
documents comprisingthe documents it furnished Sen. Estrada to a "nonextendible" period offive (5) days, making it virtually impossible for Sen.
Estrada to adequately study the charges leveled against him and intelligently
respond to them. The Joint Order also failed to disclose the existence of
other counter-affidavits and failed to furnish Sen. Estrada copies of such
counter-affidavits.51
Sen. Estrada has not been candid with this Court. His claim that the finding
of probable cause was the "sole issue" he raised before the Ombudsman in
his Motion for Reconsideration dated 7 April 2014 is obviously false.
Moreover, even though Sen. Estrada acknowledged his receipt of the
Ombudsmans 4 June 2014 Joint Order which denied his motion for
reconsideration of the 28 March 2014 Joint Resolution, Sen. Estrada did not
mention that the 4 June 2014 Joint Order stated that the Ombudsman "held
in abeyance the disposition of the motions for reconsideration in this
proceeding in light of its grant to [Sen. Estrada] a period of five days from
receipt of the 7 May 2014 [Joint] Order to formally respond to the
abovenamed co-respondents claims."
Sen. Estrada claims that his rights were violated but he flouts the rules
himself.
The rule against forum shopping is not limited tothe fulfillment of the
requisites of litis pendentia.52 To determine whether a party violated the rule
against forum shopping, the most important factor to ask is whether the
elements of litis pendentia are present, or whether a final judgment in one
The Ombudsman, in furnishing Sen. Estrada a copy of the complaint and its
supporting affidavits and documents, fully complied with Sections 3 and 4 of
Rule 112 of the Revised Rules of Criminal Procedure, and Section 4, Rule II
of the Rules of Procedure of the Office of the Ombudsman, Administrative
Order No. 7. Both the Revised Rules of Criminal Procedure and the Rules of
Procedure of the Office of the Ombudsman require the investigating officer to
furnish the respondent with copies of the affidavits of the complainant and
affidavits of his supporting witnesses. Neither of these Rules require the
investigating officer to furnish the respondent with copies of the affidavits of
his co-respondents. The right of the respondent is only "to examine the
evidence submitted by the complainant," as expressly stated in Section 3(b),
Rule 112 of the Revised Rules of Criminal Procedure. This Court has
unequivocally ruled in Paderanga that "Section 3, Rule 112 of the Revised
Rules of Criminal Procedure expressly provides that the respondent shall
only have the right to submit a counter-affidavit, to examine all other
evidence submitted by the complainant and, where the fiscal sets a hearing
to propound clarificatory questions to the parties or their witnesses, to be
afforded an opportunity to be present but without the right to examine or
cross-examine." Moreover, Section 4 (a, b and c) of Rule II of the
Ombudsmans Rule of Procedure, read together, only require the
investigating officer to furnish the respondent with copies of the affidavits of
the complainant and his supporting witnesses.1wphi1 There is no law or
rule requiring the investigating officer to furnish the respondent with copies of
the affidavits of his co-respondents.
In the 7 May 2014 Joint Order, the Ombudsman went beyond legal duty and
even furnished Sen. Estrada with copies of the counter-affidavits of his corespondents whom he specifically named, as well as the counteraffidavits of
some of other co-respondents. In the 4 June 2014 Joint Order, the
Ombudsman even held in abeyancethe disposition of the motions for
reconsideration because the Ombudsman granted Sen. Estrada five days
from receipt of the 7 May 2014 Joint Order to formally respond to the claims
made by his co-respondents. The Ombudsman faithfully complied with the
existing Rules on preliminary investigation and even accommodated Sen.
Estrada beyond what the Rules required. Thus, the Ombudsman could not
be faulted with grave abuse of discretion. Since this is a Petition for Certiorari
under Rule 65, the Petition fails in the absence of grave abuse of discretion
on the part of the Ombudsman.
The constitutional due process requirements mandated in Ang Tibay, as
amplified in GSIS, are not applicable to preliminary investigations which are
creations of statutory law giving rise to mere statutory rights. A law can
abolish preliminary investigations without running afoul with the constitutional
requirements of dueprocess as prescribed in Ang Tibay, as amplified in
GSIS. The present procedures for preliminary investigations do not comply,
and were never intended to comply, with Ang Tibay, as amplified in GSIS.
for the resolution of the Ombudsman and instead proceeded to file the
present Petition for Certiorari. The Ombudsman issued a Joint Order on 4
June 2014 and specifically addressed the issue that Sen. Estrada is raising
in this Petition. Thus, Sen. Estrada's present Petition for Certiorari is not only
premature, it also constitutes forum shopping. WHEREFORE, we DISMISS
the Petition for Certiorari in G.R. Nos. 212140-41.
Pursuant to Section 13, Article VIII of the Constitution, I certify that the
conclusions in the above Decision had been reached in consultation before
the case was assigned to the writer of the opinion of the Court.
MARIA LOURDES P.A. SERENO
Chief Justice
SO ORDERED.
ANTONIO T. CARPIO
Associate Justice
WE CONCUR:
MARIA LOURDES P.A. SERENO
Chief Justice
PRESBITERO J. VELASCO,
JR.
Associate Justice
TERESITA J. LEONARDO-DE
CASTRO
Associate Justice
ARTURO D. BRION*
Associate Justice
DIOSDADO M. PERALTA
Associate Justice
Footnotes
* On official leave.
1
LUCAS P. BERSAMIN
Associate Justice
BIENVENIDO L. REYES
Associate Justice
ESTELA M. PERLASBERNABE
Associate Justice
FRANCIS H. JARDELEZA
Associate Justice
C E R TI F I CATI O N
Specialist,
11. Marivic V. Jover, Accountant III, TRC;
Rollo, p. 745.
17
Id.
18
19
11
12
13
Id. at 9.
Id. at 3.
Id. at 27-28.
Joint Order, OMB-C-C-13-0313 and OMB-C-C-13-0397, p. 20.
14
16
20
http://www.ombudsman.gov.ph/docs/pressreleases/Senator
%20Estrada.pdf (last accessed 7 September 2014).
21
22
Id. at 641-642.
23
24
25
Id. at 533.
26
See Ledesma v. Court of Appeals, 344 Phil. 207 (1997). See also
United States v. Grant and Kennedy,18 Phil. 122 (1910).
27
28
29
30
32
33
34
motion
for
35
(g) where the proceedings in the lower court are a nullity for
lack of due process;
37
G.R. No. 179367, 29 January 2014, 715 SCRA 36, 49-50. Citations
omitted.
38
39
See People v. Delos Santos, 386 Phil. 121 (2000). See also
People v. Garcia, 346 Phil. 475 (1997).
42
40
44
45
47
48
49
Rollo, p. 30.
50
Id. at 789-791.
51
Petition for Certiorari, G.R. Nos. 212761-62, 20 June 2014, pp. 910, 13, 53.
52
53
54
55
After petitioner posted a P40,000 cash bond which the trial court
approved,6 he was released from detention, and his arraignment was set on
January 24, 2007.
The private complainants-heirs of De las Alas filed, with the conformity of the
public prosecutor, an Urgent Omnibus Motion 7 praying, inter alia, for the
deferment of the proceedings to allow the public prosecutor to re-examine
the evidence on record or to conduct a reinvestigation to determine the
proper offense.
The RTC thereafter issued the (1) Order of January 24, 2007 8 deferring
petitioners arraignment and allowing the prosecution to conduct a
reinvestigation to determine the proper offense and submit a
recommendation within 30 days from its inception, inter alia; and (2) Order of
January 31, 20079 denying reconsideration of the first order. Petitioner
assailed these orders via certiorari and prohibition before the Court of
Appeals.
THIRD DIVISION
G.R. No. 182677
August 3, 2010
since he cannot waive what he does not have. The benefit of the provisions
of Article 125, which requires the filing of a complaint or information with the
proper judicial authorities within the applicable period, 32 belongs to the
arrested person.
The accelerated process of inquest, owing to its summary nature and the
attendant risk of running against Article 125, ends with either the prompt filing
of an information in court or the immediate release of the arrested
person.33Notably, the rules on inquest do not provide for a motion for
reconsideration.34
Contrary to petitioners position that private complainant should have
appealed to the DOJ Secretary, such remedy is not immediately available in
cases subject of inquest.
Noteworthy is the proviso that the appeal to the DOJ Secretary is by "petition
by a proper party under such rulesas the Department of Justice may
prescribe."35 The rule referred to is the 2000 National Prosecution Service
Rule on Appeal,36 Section 1 of which provides that the Rule shall "apply to
appeals from resolutions x x x in cases subject of preliminary investigation/
reinvestigation." In cases subject of inquest, therefore, the private party
should first avail of a preliminary investigation or reinvestigation, if any,
before elevating the matter to the DOJ Secretary.
In case the inquest proceedings yield no probable cause, the private
complainant may pursue the case through the regular course of a preliminary
investigation.
ONCE A COMPLAINT OR INFORMATION IS FILED IN COURT, the rules yet
provide the accused with another opportunity to ask for a preliminary
investigation within five days from the time he learns of its filing. The Rules of
Court and the New Rules on Inquest are silent, however, on whether the
private complainant could invoke, as respondent heirs of the victim did in the
present case, a similar right to ask for a reinvestigation.
The Court holds that the private complainant can move for reinvestigation,
subject to and in light of the ensuing disquisition.
All criminal actions commenced by a complaint or information shall be
prosecuted under the direction and control of the public prosecutor.37 The
private complainant in a criminal case is merely a witness and not a party to
the case and cannot, by himself, ask for the reinvestigation of the case after
the information had been filed in court, the proper party for that being the
public prosecutor who has the control of the prosecution of the case. 38 Thus,
in cases where the private complainant is allowed to intervene by counsel in
the criminal action,39 and is granted the authority to prosecute, 40 the private
complainant, by counsel and with the conformity of the public prosecutor, can
file a motion for reinvestigation.
In fact, the DOJ instructs that before the arraignment of the accused, trial
prosecutors must "examine the Information vis--vis the resolution of the
investigating prosecutor in order to make the necessary corrections or
revisions and to ensure that the information is sufficient in form and
substance."41
x x x Since no evidence has been presented at that stage, the error would
appear or be discoverable from a review of the records of the preliminary
investigation. Of course, that fact may be perceived by the trial judge himself
but, again, realistically it will be the prosecutor who can initially
determine the same. That is why such error need not be manifest or
evident, nor is it required that such nuances as offenses includible in the
offense charged be taken into account. It necessarily follows, therefore,
that the
prosecutor
can
and
should
institute
remedial
measures[.]42 (emphasis and underscoring supplied)
The prosecution of crimes appertains to the executive department of the
government whose principal power and responsibility is to see that our laws
are faithfully executed. A necessary component of this power to execute our
laws is the right to prosecute their violators. The right to prosecute vests the
prosecutor with a wide range of discretion the discretion of what and whom
to charge, the exercise of which depends on a smorgasbord of factors which
are best appreciated by prosecutors.43
The prosecutions discretion is not boundless or infinite, however.44 The
standing principle is that once an information is filed in court, any remedial
measure such as a reinvestigation must be addressed to the sound
discretion of the court. Interestingly, petitioner supports this view.45 Indeed,
the Court ruled in one case that:
The rule is now well settled that once a complaint or information is filed in
court, any disposition of the case, whether as to its dismissal or the
conviction or the acquittal of the accused, rests in the sound discretion of the
court. Although the prosecutor retains the direction and control of the
prosecution of criminal cases even when the case is already in court, he
cannot impose his opinion upon the tribunal. For while it is true that the
prosecutor has the quasi-judicial discretion to determine whether or not a
criminal case should be filed in court, once the case had already been
brought therein any disposition the prosecutor may deem proper thereafter
should be addressed to the court for its consideration and approval. The only
qualification is that the action of the court must not impair the substantial
rights of the accused or the right of the People to due process of law.
information upon the filing of a new one charging the proper offense in
accordance with section 11, Rule 119, provided the accused would not be
placed in double jeopardy. The court may require the witnesses to give bail
for their appearance at the trial. (emphasis supplied)
xxxx
In such an instance, before a re-investigation of the case may be conducted
by the public prosecutor, the permission or consent of the court must be
secured. If after such re-investigation the prosecution finds a cogent basis to
withdraw the information or otherwise cause the dismissal of the case, such
proposed course of action may be taken but shall likewise be addressed to
the sound discretion of the court.46 (underscoring supplied)
While Abugotal v. Judge Tiro47 held that to ferret out the truth, a trial is to be
preferred to a reinvestigation, the Court therein recognized that a trial court
may, where the interest of justice so requires, grant a motion for
reinvestigation of a criminal case pending before it.
Once the trial court grants the prosecutions motion for reinvestigation, the
former is deemed to have deferred to the authority of the prosecutorial arm of
the Government. Having brought the case back to the drawing board, the
prosecution is thus equipped with discretion wide and far reaching
regarding the disposition thereof, 48 subject to the trial courts approval of the
resulting proposed course of action.
It is not.
However, any amendment before plea, which downgrades the nature of the
offense charged in or excludes any accused from the complaint or
information, can be made only upon motion by the prosecutor, with notice to
the offended party and with leave of court. The court shall state its reasons in
resolving the motion and copies of its order shall be furnished all parties,
especially the offended party.
If it appears at any time before judgment that a mistake has been made in
charging the proper offense, the court shall dismiss the original complaint or
would make it not just a right but a duty of the prosecution to ask for a
preliminary investigation.
The Court distinguishes the factual milieus in Buhat v. CA58 and Pacoy v.
Cajigal,59 wherein the amendment of the caption of the Information from
homicide to murder was not considered substantial because there was no
real change in the recital of facts constituting the offense charged as alleged
in the body of the Information, as the allegations of qualifying circumstances
were already clearly embedded in the original Information. Buhat pointed out
that the original Information for homicide already alleged the use of superior
strength, while Pacoy states that the averments in the amended Information
for murder are exactly the same as those already alleged in the original
Information for homicide. None of these peculiar circumstances obtains in the
present case.
Considering that another or a new preliminary investigation is required, the
fact that what was conducted in the present case was a reinvestigation does
not invalidate the substantial amendment of the Information. There is no
substantial distinction between a preliminary investigation and a
reinvestigation since both are conducted in the same manner and for the
same objective of determining whether there exists sufficient ground to
engender a well-founded belief that a crime has been committed and the
respondent is probably guilty thereof and should be held for trial. 60 What is
essential is that petitioner was placed on guard to defend himself from the
charge of murder61after the claimed circumstances were made known to him
as early as the first motion.
Petitioner did not, however, make much of the opportunity to present
countervailing evidence on the proposed amended charge. Despite notice of
hearing, petitioner opted to merely observe the proceedings and declined to
actively
participate,
even
with
extreme
caution,
in
the
reinvestigation. Mercado v. Court of Appeals states that the rules do not even
require, as a condition sine qua non to the validity of a preliminary
investigation, the presence of the respondent as long as efforts to reach him
were made and an opportunity to controvert the complainants evidence was
accorded him.62
In his second assignment of error, petitioner basically assails the hurried
issuance of the last two assailed RTC Orders despite the pendency before
the appellate court of the petition for certiorari challenging the first two trial
court Orders allowing a reinvestigation.
The Rules categorically state that the petition shall not interrupt the course of
the principal case unless a temporary retraining order or a writ of preliminary
maim and not to kill the victim, one bullet would have sufficed the DOJ
Secretary reportedly uttered that "the filing of the case of homicide against
ano against Leviste lintek naman eh I told you to watch over that case
there should be a report about the ballistics, about the paraffin, etc., then
thats not a complete investigation, thats why you should use that as a
ground" no abuse of discretion, much less a grave one, can be imputed to
it.
The statements of the DOJ Secretary do not evince a "determination to file
the Information even in the absence of probable cause." 73 On the contrary,
the remarks merely underscored the importance of securing basic
investigative reports to support a finding of probable cause. The original
Resolution even recognized that probable cause for the crime of murder
cannot be determined based on the evidence obtained "[u]nless and until a
more thorough investigation is conducted and eyewitness/es [is/]are
presented in evidence[.]"74
The trial court concluded that "the wound sustained by the victim at the back
of his head, the absence of paraffin test and ballistic examination, and the
handling of physical evidence," 75 as rationalized by the prosecution in its
motion, are sufficient circumstances that require further inquiry.
That the evidence of guilt was not strong as subsequently assessed in the
bail hearings does not affect the prior determination of probable cause
because, as the appellate court correctly stated, the standard of strong
evidence of guilt which is sufficient to deny bail to an accused is markedly
higher than the standard of judicial probable cause which is sufficient to
initiate a criminal case.76
In his third assignment of error, petitioner faults the trial court for not
conducting, at the very least, a hearing for judicial determination of probable
cause, considering the lack of substantial or material new evidence adduced
during the reinvestigation.
Petitioners argument is specious.
not adversarial. The Judge should not be stymied and distracted from
his determination of probable cause by needless motions for
determination of probable cause filed by the accused.84 (emphasis and
underscoring supplied)
Petitioner proceeds to discuss at length evidentiary matters, arguing that no
circumstances exist that would qualify the crime from homicide to murder.
The allegation of lack of substantial or material new evidence deserves no
credence, because new pieces of evidence are not prerequisites for a valid
conduct of reinvestigation. It is not material that no new matter or evidence
was presented during the reinvestigation of the case. It should be stressed
that reinvestigation, as the word itself implies, is merely a repeat investigation
of the case. New matters or evidence are not prerequisites for a
reinvestigation, which is simply a chance for the prosecutor to review and reevaluate its findings and the evidence already submitted. 85
Moreover, under Rule 45 of the Rules of Court, only questions of law may be
raised in, and be subject of, a petition for review on certiorari since this Court
is not a trier of facts. The Court cannot thus review the evidence adduced by
the parties on the issue of the absence or presence of probable cause, as
there exists no exceptional circumstances to warrant a factual review.86
In a petition for certiorari, like that filed by petitioner before the appellate
court, the jurisdiction of the court is narrow in scope. It is limited to resolving
only errors of jurisdiction.1avvphi1 It is not to stray at will and resolve
questions and issues beyond its competence, such as an error of
judgment.87 The courts duty in the pertinent case is confined to determining
whether the executive and judicial determination of probable cause was done
without or in excess of jurisdiction or with grave abuse of discretion. Although
it is possible that error may be committed in the discharge of lawful functions,
this does not render the act amenable to correction and annulment by the
extraordinary remedy of certiorari, absent any showing of grave abuse of
discretion amounting to excess of jurisdiction.88
WHEREFORE, the petition is DENIED. The assailed Decision and
Resolution of the Court of Appeals in CA-G.R. SP No. 97761 are AFFIRMED.
SO ORDERED.
CONCHITA CARPIO MORALES
Associate Justice
Chairperson
WE CONCUR:
ROBERTO A. ABAD**
Associate Justice
Id.at 97.
ATTE S TATI O N
Id.at 88.
I attest that the conclusions in the above Decision had been reached in
consultation before the case was assigned to the writer of the opinion of the
Courts Division.
CA rollo, p. 58.
Id.at 109-111.
Id.at 122-129.
C E R TI F I CATI O N
Pursuant to Section 13, Article VIII of the Constitution, and the Division
Chairpersons Attestation, I certify that the conclusions in the above decision
had been reached in consultation before the case was assigned to the writer
of the opinion of the Courts Division.
RENATO C. CORONA
Chief Justice
Footnotes
*
10
Id.at 145-147.
11
Id.at 162-168.
12
Id.at 171-177.
13
Id.at 180.
15
Id.at 20-21.
16
Id.at 255-260.
17
Id.at 317-350.
18
Id.at 391-392.
**
19
Borlongan, Jr. v. Pea, G.R. No. 143591, November 23, 2007, 538
SCRA 221, 229.
20
21
22
Asutilla v. PNB, 225 Phil. 40, 43 (1986), which explains that public
interest requires that criminal acts be immediately investigated and
prosecuted for the protection of society.
33
24
38
25
39
40
26
41
27
42
28
43
29
Id. at 140.
45
46
30
Id., Rule 112, Secs. 1 & 6, which also provides that in the absence
or unavailability of an inquest prosecutor, the complaint may be filed
by the offended party or a peace officer directly with the proper court
47
56
48
57
Id. at 545.
58
59
60
49
People v. Romualdez, G.R. No. 166510, April 29, 2009, 587 SCRA
123, 134, stated in response to the argument that the amendment of
an Information filed under an invalid or unauthorized preliminary
investigation could retroact to the time of its filing to thus defeat the
claim of prescription.
61
Mercado v. CA, 315 Phil. 657, 662 (1995), which aims to forestall
attempts at thwarting criminal investigations by failing to appear or
employing dilatory tactics.
63
52
Baltazar v. Chua, G.R. No. 177583, February 27, 2009, 580 SCRA
369, 377, where the Court stated:
Considering that the trial court has the power and duty to look into
the propriety of the prosecutions motion to dismiss, with much more
reason is it for the trial court to evaluate and to make its own
appreciation and conclusion, whether the modification of the charges
and the dropping of one of the accused in the information, as
recommended by the Justice Secretary, is substantiated by
evidence. This should be the state of affairs, since the disposition of
the case such as its continuation or dismissal or exclusion of an
accused is reposed in the sound discretion of the trial court.
(underscoring supplied).
54
65
67
68
Id. at 89.
69
Rollo, p. 100.
55
70
83
Vide Mayor Abdula v. Hon. Guiani, 382 Phil. 757, 776 (2000).
84
Id. at 399.
Id. at 131.
85
72
75
76
Id.at 87.
Id. at 106.
79
Baltazar v. People, G.R. No. 174016, July 28, 2008, 560 SCRA
278, 293.
82
87
Id. at 53.
88
Id.at 126.
People v. Castillo, G.R. No. 171188, June 19, 2009, 590 SCRA 95,
105-106.
81
86
Rollo, p. 95.
77
78
August 7, 2013
DECISION
PERLAS-BERNABE, J.:
This is a direct recourse to the Court from the Regional Trial Court of
Muntinlupa City, Branch 276 (RTC), through a petition for review on
certiorari,1 raising a pure question of law. In particular, petitioner The Law
Firm of Chavez Miranda and Aseoche (The Law Firm) assails the
Resolution2 dated January 8, 2008 and Order 3 dated May 16, 2008 of the
RTC in S.C.A. Case No. 07-096, upholding the dismissal of Criminal Case
No. 46400 for lack of probable cause.
The Facts
On July 31, 2006, an Information 4 was filed against respondent Atty. Josejina
C. Fria (Atty. Fria), Branch Clerk of Court of the Regional Trial Court of
Muntinlupa City, Branch 203 (Branch 203), charging her for the crime of
Open Disobedience under Article 2315 of the Revised Penal Code (RPC).
The accusatory portion of the said information reads:
The Law Firm was engaged as counsel by the plaintiff in Civil Case No. 03110 instituted before Branch 203. 7 On July 29, 2005, judgment was rendered
in favor of the plaintiff (July 29, 2005 judgment), prompting the defendant in
the same case to appeal. However, Branch 203 disallowed the appeal and
consequently ordered that a writ of execution be issued to enforce the
foregoing judgment.8 Due to the denial of the defendants motion for
reconsideration, the July 29, 2005 judgment became final and executory. 9
In its Complaint-Affidavit10 dated February 12, 2006, The Law Firm alleged
that as early as April 4, 2006, it had been following up on the issuance of a
writ of execution to implement the July 29, 2005 judgment. However, Atty.
Fria vehemently refused to perform her ministerial duty of issuing said writ.
In her Counter-Affidavit11 dated June 13, 2006, Atty. Fria posited that the draft
writ of execution (draft writ) was not addressed to her but to Branch Sheriff
Jaime Felicen (Felicen), who was then on leave. Neither did she know who
the presiding judge would appoint as special sheriff on Felicens
behalf.12 Nevertheless, she maintained that she need not sign the draft writ
since on April 18, 2006, the presiding judge issued an Order stating that he
himself shall sign and issue the same.13
Criminal Case No. 46400 for lack of probable cause was "in full accord with
the law, facts, and jurisprudence."28
Aggrieved, The Law Firm filed a Motion for Reconsideration 29 which was
equally denied by the RTC in an Order 30dated May 16, 2008. Hence, the
instant petition.
The essential issue in this case is whether or not the RTC erred in sustaining
the MTCs dismissal of the case for Open Disobedience against Atty. Fria,
i.e., Criminal Case No. 46400, for lack of probable cause.
The Courts Ruling
The petition is bereft of merit.
Under Section 5(a) of the Revised Rules of Criminal Procedure, a trial court
judge may immediately dismiss a criminal case if the evidence on record
clearly fails to establish probable cause, viz:
Sec. 5. When warrant of arrest may issue. (a) By the Regional Trial Court.
Within ten (10) days from the filing of the complaint or information, the
judge shall personally evaluate the resolution of the prosecutor and its
supporting evidence. He may immediately dismiss the case if the evidence
on record clearly fails to establish probable cause. If he finds probable cause,
he shall issue a warrant of arrest, or a commitment order if the accused has
already been arrested pursuant to a warrant issued by the judge who
conducted preliminary investigation or when the complaint or information was
filed pursuant to section 6 of this Rule. In case of doubt on the existence of
probable cause, the judge may order the prosecutor to present additional
evidence within five (5) days from notice and the issue must be resolved by
the court within thirty (30) days from the filing of the complaint of information.
(Emphasis and underscoring supplied)
It must, however, be observed that the judges power to immediately dismiss
a criminal case would only be warranted when the lack of probable cause is
clear. In De Los Santos-Dio v. CA,31 the Court illumined that a clear-cut case
of lack of probable cause exists when the records readily show
uncontroverted, and thus, established facts which unmistakably negate the
existence of the elements of the crime charged, viz:
While a judges determination of probable cause is generally confined to the
limited purpose of issuing arrest warrants, Section 5(a), Rule 112 of the
Revised Rules of Criminal Procedure explicitly states that a judge may
203 is further DIRECTED to dismiss Civil Case No. 03-110 for lack of
jurisdiction.33 (Emphasis and underscoring supplied)
Hence, since it is explicitly required that the subject issuance be made within
the scope of a superior authoritys jurisdiction, it cannot therefore be doubted
that the second element of the crime of Open Disobedience does not exist.
Lest it be misunderstood, a court or any of its officers for that matter
which has no jurisdiction over a particular case has no authority to act at all
therein. In this light, it cannot be argued that Atty. Fria had already committed
the crime based on the premise that the Courts pronouncement as to Branch
203s lack of jurisdiction came only after the fact. Verily, Branch 203s lack of
jurisdiction was not merely a product of the Courts pronouncement in Reyes.
The said fact is traced to the very inception of the proceedings and as such,
cannot be accorded temporal legal existence in order to indict Atty. Fria for
the crime she stands to be prosecuted.
In other words, once the information is filed with the court and the judge
proceeds with his primordial task of evaluating the evidence on record, he
may either: (a) issue a warrant of arrest, if he finds probable cause; (b)
immediately dismiss the case, if the evidence on record clearly fails to
establish probable cause; and (c) order the prosecutor to submit additional
evidence, in case he doubts the existence of probable cause. 32 (Emphasis
and underscoring supplied; citations omitted)
Applying these principles to the case at bar would lead to the conclusion that
the MTC did not gravely abuse its discretion in dismissing Criminal Case No.
46400 for lack of probable cause. The dismissal ought to be sustained since
the records clearly disclose the unmistakable absence of the integral
elements of the crime of Open Disobedience. While the first element, i.e.,
that the offender is a judicial or executive officer, concurs in view of Atty.
Frias position as Branch Clerk of Court, the second and third elements of the
crime evidently remain wanting.
To elucidate, the second element of the crime of Open Disobedience is that
there is a judgment, decision, or order of a superior authority made within the
scope of its jurisdiction and issued with all legal formalities. In this case, it is
undisputed that all the proceedings in Civil Case No. 03-110 have been
regarded as null and void due to Branch 203s lack of jurisdiction over the
said case. This fact has been finally settled in Reyes where the Court
decreed as follows:
WHEREFORE, in view of the foregoing, the instant petition is DENIED. x x x
The Presiding Judge of the Regional Trial Court of Muntinlupa City, Branch
203 is PERMANENTLY ENJOINED from proceeding with Civil Case No. 03110 and all the proceedings therein are DECLARED NULL AND VOID. x x x
The Presiding Judge of the Regional trial Court of Muntinlupa City, Branch
Proceeding from this discussion, the third element of the crime, i.e., that the
offender, without any legal justification, openly refuses to execute the said
judgment, decision, or order, which he is duty bound to obey, cannot equally
exist. Indubitably, without any jurisdiction, there would be no legal order for
Atty. Fria to implement or, conversely, disobey. Besides, as the MTC correctly
observed, there lies ample legal justifications that prevented Atty. Fria from
immediately issuing a writ of execution.34
In fine, based on the above-stated reasons, the Court holds that no grave
abuse of discretion can be attributed to the MTC as correctly found by the
RTC. It is well-settled that an act of a court or tribunal can only be considered
as with grave abuse of discretion when such act is done in a "capricious or
whimsical exercise of judgment as is equivalent to lack of jurisdiction." The
abuse of discretion must be so patent and gross as to amount to an "evasion
of a positive duty or to a virtual refusal to perform a duty enjoined by law, or
to act at all in contemplation of law, as where the power is exercised in an
arbitrary and despotic manner by reason of passion and
hostility."35Consequently, the dismissal of Criminal Case No. 46400 for lack of
probable cause is hereby sustained.
WHEREFORE, the petition is DENIED. The Resolution dated January 8,
2008 and Order dated May 16, 2008 of the Regional Trial Court of
Muntinlupa City, Branch 276 in S.C.A. Case No. 07-096 are hereby
AFFIRMED.
SO ORDERED.
ESTELA M. PERLAS-BERNABE
Associate Justice
WE CONCUR:
Id. at 243.
ANTONIO T. CARPIO
Associate Justice
Chairperson
ARTURO D. BRION
Associate Justice
Rollo, p. 243.
Id. at 34.
Id. at 36.
Id. at 36-37.
10
Id. at 192-200.
11
Id. at 202-208.
12
Id. at 204-205.
13
Id. at 206.
C E R TI F I CATI O N
Pursuant to Section 13, Article VIII of the Constitution, and the Division
Chairperson's Attestation, I certify that the conclusions in the above Decision
had been reached in consultation before the case was assigned to the writer
of the opinion of the Court's Division.
MARIA
Chief Justice
LOURDES
P.
A.
SERENO
14
Id. at 246-250.
16
17
Id. at 282-286.
18
19
Id. at 196-197.
20
Footnotes
1
Id. at 27-28.
21
22
Id. at 302.
23
Id. at 303.
24
26
Id. at 335-366.
27
Id. at 9-10.
28
29
Id. at 11-26
30
Id. at 27-28.
31
32
Id.
33
34
35
Given the RTCs dismissal of the foregoing criminal cases, the City
Prosecutors Office filed motion for reconsideration which was, however,
denied. As such, it filed a petition for certiorari and mandamus 42 before the
CA on the ground of grave abuse of discretion. Relatedly, Dio also filed a
petition-in-intervention43 before the CA, praying for the reinstatement of the
subject criminal complaints.
The CA Ruling
In its November 8, 2006 Decision, 44 the CA upheld the RTCs authority to
dismiss a criminal case if in the process of determining probable cause for
issuing a warrant of arrest, it also finds the evidence on record insufficient to
establish probable cause. It explained that such dismissal is an exercise of
judicial discretion sanctioned under Section 6(a), Rule 112 of the Revised
Rules of Criminal Procedure. On this score, the CA evaluated the evidence
presented and agreed with the RTCs conclusions that there was no sufficient
basis showing that Desmond committed estafa by means of false pretenses.
Neither was it established that the money sourced from petitioner Dio was
converted by respondent Desmond for some other purpose other than that
for which it was intended. Pertinent portions of the CA Decision restated the
RTCs observations in this wise:
In the instant case, the alleged false representations by Desmond which
allegedly induced private complainants H.S. Equities, Ltd. ("H.S. Equities")
and Dio, to part with their money are not supported by the facts on record.
First, the alleged false representation employed by Desmond with respect to
his expertise and qualifications in the form of influence, credit and business
transactions with the Subic Bay Metropolitan Authority (SBMA) and financial
institutions and such resources to enable private complainants to double its
investment with SBMEI has not been shown to be false.
Indeed, nowhere in the documentary evidence presented by private
complainants that allegedly contained the above false representations does it
show that it was private respondent himself who made such representation.
Notably, the SBMEIs Business Plan dated January 12, 2001 to which private
complainants anchor such allegation does not indicate that the
representations made therein came personally from Desmond. In addition,
neither does it appear from such document that the statements therein were
used as a form of a personal assurance coming from Desmond that private
complainants would indeed double the amount they had invested with
SBMEI. If at all, we agree with the trial court that statements made in the said
business plan were merely a form of enticement to encourage would-be
investors from [sic] investing in such kind of business undertaking.
Moreover, we likewise agree with the trial court that no factual allegations
were made by private complainants as to how such false pretense of power
and influence was made upon them by Desmond and which convinced
private complainants to part with their money. It bears stressing that the
allegations of false pretense of power and influence in a case of estafa are
mere conclusions of law which must be substantiated at the very least by
circumstances which would show that the person accused of committing
estafa did indeed commit acts of false representations. As the records show,
there was no misrepresentation on the part of Desmond that he is the
Chairman and Chief Executive Officer of SBMEI which is a corporation
engaged in the business of developing marine parks. Significantly, the
records likewise show that SBMEI did indeed build and develop a marine
park in Subic Bay (Ocean Adventure) for the purposes stated in its business
plan and had entered into a long-term lease agreement with SBMA.
Documentary evidence in the form of the Report of Independent Auditors to
SBMEI shows the amount of investment the corporation had invested in the
said business undertaking. For instance, the corporation had invested the
amount of P106,788,219.00 in buildings and equipment alone. It has also
assets consisting of marine mammals which are necessary for the operation
of the marine park. In this respect, we cannot subscribe to private
complainants contention that there was misrepresentation on the part of
private respondent that he had overvalued the worth of the marine mammals
it had purchased from Beijing Landa Aquarium Co., Ltd. of the Republic of
China. This claim of private complainants of the deceitful acts employed by
Desmond in overpricing the value of the marine animals for US$3.724 Million
when in fact the sea animals were only valued for one U.S. dollar was not
corroborated by the evidence on hand.
xxxx
In the same manner, the facts in the case at bar that would allegedly
constitute a criminal charge of estafa under par. 1(b) are wanting. Be it noted
that under the said paragraph, estafa with unfaithfulness or abuse of
confidence through misappropriation or conversion of the money, goods or
any other personal property must be received in trust, on commission, for
administration, or under any other obligation which involves the duty to make
delivery thereof or to return the same. It is not amiss to note that a perusal of
private complainants Complaint-Affidavit shows that subject money in the
amount of US$1,000,000.00 to be used for the Miracle Beach Project was
placed in a special account with Equitable-PCI Bank. As the records show,
the said funds were placed by Dio under the control of Fatima Paglicawan,
an employee of Westdale, such that, no money can be withdrawn from the
special account without the signature of the said employee, Desmond and a
certain John Corcoran. Therefore, at such time, it cannot be said that the
funds were received for administration or already under the juridical
possession of Desmond. Meanwhile, we would like to emphasize that to
ARTURO D. BRION
Associate Justice
Footnotes
1
Rollo (G.R. No. 178947), pp. 54-87; rollo (G.R. No. 179079), pp. 933.
2
SO ORDERED.
ESTELA M. PERLAS-BERNABE
Associate Justice
WE CONCUR:
ANTONIO T. CARPIO
Associate Justice
Chairperson
Rollo (G.R. No. 178947), pp. 96-110; rollo (G.R. No. 179079), pp.
36-50. Penned by Associate Justice Rodrigo V. Cosico, with
Associate Justices Edgardo F. Sundiam and Celia C. LibreaLeagogo, concurring.
3
Rollo (G.R. No. 178947), pp. 112-117; rollo (G.R. No. 179079), pp.
51-56.
4
25
Id. at 91-93.
xxxx
Rollo (G.R. No. 178947), p. 141; rollo (G.R. No. 179079), p. 86.
10
11
Id. at 148-167.
12
Id. at 156.
xxxx
13
26
27
14
Id. at 176-177.
15
Id. at 178-179.
16
Rollo (G.R. No. 178947), p. 180; rollo (G.R. No. 179079), p. 114.
17
Rollo (G.R. No. 178947), p. 220; rollo (G.R. No. 179079), p. 111.
18
19
20
21
22
23
Rollo (G.R. No. 178947), p. 216; rollo (G.R. No. 179079), p. 83.
24
Rollo (G.R. No. 178947), pp. 212-217 & 218-222; rollo (G.R. No.
179079), pp. 79-84 & 109-113.
29
30
Rollo (G.R. No. 178947), pp. 251-254; rollo (G.R. No. 179079), pp.
135-138. Penned by City Prosecutor Prudencio B. Jalandoni.
45
31
46
Id. at 253-254.
Rollo (G.R. No. 178947), pp. 105-109; rollo (G.R. No. 179079), pp.
45-49.
Rollo (G.R. No. 178947), pp. 112-117; rollo (G.R. No. 179079), pp.
51-56.
32
Rollo (G.R. No. 178947), pp. 255-256 & 257-258; rollo (G.R. No.
179079), pp. 139-140 & 141-142.
47
People v. Castillo, G.R. No. 171188, June 19, 2009, 590 SCRA 95,
105-106.
33
Rollo (G.R. No. 178947), pp. 255-256; rollo (G.R. No. 179079), pp.
139-140.
48
34
Rollo (G.R. No. 178947), pp. 257-258; rollo (G.R. No. 179079), pp.
141-142.
49
35
50
Rollo (G.R. No. 178947), pp. 259-271; rollo (G.R. No. 179079), pp.
143-155.
Id. at 106.
51
36
Rollo (G.R. No. 178947), pp. 274-276; rollo (G.R. No. 179079), pp.
156-158.
Id. at 157, citing People v. Inting, G.R. No. 88919, July 25, 1990,
187 SCRA 788, 794. See also AAA v. Carbonell, G.R. No. 171465, 8
June 2007, 524 SCRA 496.
37
52
Rollo (G.R. No. 178947), pp. 277-284; rollo (G.R. No. 179079), pp.
159-167.
53
38
Rollo (G.R. No. 178947), pp. 286-291; rollo (G.R. No. 179079), pp.
168-173.
39
Rollo (G.R. No. 178947), pp. 307-309; rollo (G.R. No. 179079), pp.
190-192. Penned by Executive Judge Ramon S. Caguioa.
40
Rollo (G.R. No. 178947), pp. 307-308; rollo (G.R. No. 179079), pp.
190-191.
See also Ong v. Genio, G.R. No. 182336, December 23, 2009, 609
SCRA 188, 196-197.
55
41
Rollo (G.R. No. 178947), p. 309; rollo (G.R. No. 179079), p. 192.
Rollo (G.R. No. 178947), pp. 320-343; rollo (G.R. No. 179079), pp.
194-217.
56
43
57
42
44
Rollo (G.R. No. 178947), pp. 96-110; rollo (G.R. No. 179079), pp.
36-50.
The partial audit showed that the buyers of the five cars made payments, but
Alfredo failed to remit the payments totalling P886,000.00. It was further
alleged that while there were 20 cars under Alfredos custody, only 18 were
accounted for. Further investigation revealed that Alfredo failed to turn over
the files of a 2001 Hyundai Starex and a Honda City 1.5 LXI. Juno Cars
alleged that taking into account the unremitted amounts and the acquisition
cost of the Honda City, Alfredo pilfered a total amount of P1,046,000.00 to its
prejudice and damage.5
In his counter-affidavit, Alfredo raised, among others, Juno Cars supposed
failure to prove ownership over the five (5) cars or its right to possess them
with the purported unremitted payments. Hence, it could not have suffered
damage.6
On March 4, 2008, Provincial Prosecutor Rey F. Delgado issued a
Resolution7 finding probable cause and recommending the filing of an
information against Alfredo for qualified theft and estafa.
Alfredo moved for reconsideration, but the motion was denied. 8 He then filed
a petition for review with the Department of Justice on May 16, 2008. 9
While Alfredos motion for reconsideration was still pending before the Office
of the City Prosecutor of Mandaluyong, two informations for qualified
theft10 and estafa11 were filed before the Regional Trial Court, Branch 212,
Mandaluyong City. On March 31, 2008, Alfredo filed a motion for
determination of probable cause 12 before the trial court. On April 28, 2008, he
also filed a motion to defer arraignment.
Several clarificatory hearings were scheduled but were not conducted. 13 On
February 4, 2009, the parties agreed to submit all pending incidents,
including the clarificatory hearing, for resolution.14
On March 3, 2009, the trial court, through Presiding Judge Rizalina CapcoUmali, issued an order15 dismissing the complaint, stating that:
After conducting an independent assessment of the evidence on record
which includes the assailed Resolution dated 04 March 2008, the court holds
that the evidence adduced does not support a finding of probable cause for
the offenses of qualified theft and estafa. x x x.16
Juno Cars filed a motion for reconsideration, which the trial court denied on
July 3, 2009.17
Juno Cars then filed a petition for certiorari with the Court of Appeals, arguing
that the trial court acted without or in excess of its jurisdiction and with grave
Juno Cars filed a complaint against Alfredo for qualified theft 27 and estafa
under Article 315, fourth paragraph, no. 3(c) 28 of the Revised Penal Code.
Since qualified theft is punishable by reclusion perpetua, a preliminary
investigation must first be conducted "to determine whether there is sufficient
ground to engender a well-founded belief that a crime has been committed
and the respondent is probably guilty thereof, and should be held for trial," in
accordance with Rule 112, Section 1 of the Rules on Criminal Procedure.
At this stage, the conduct of the preliminary investigation and the subsequent
determination of the existence of probable cause lie solely within the
discretion of the public prosecutor.29 If upon evaluation of the evidence, the
prosecutor finds sufficient basis to find probable cause, he or she shall then
cause the filing of the information with the court.
Once the information has been filed, the judge shall then "personally
evaluate the resolution of the prosecutor and its supporting evidence" 30 to
determine whether there is probable cause to issue a warrant of arrest. At
this stage, a judicial determination of probable cause exists.
In People v. Castillo and Mejia,31 this court has stated:
There are two kinds of determination of probable cause: executive and
judicial. The executive determination of probable cause is one made during
preliminary investigation. It is a function that properly pertains to the public
prosecutor who is given a broad discretion to determine whether probable
cause exists and to charge those whom he believes to have committed the
crime as defined by law and thus should be held for trial. Otherwise stated,
such official has the quasi-judicial authority to determine whether or not a
criminal case must be filed in court. Whether or not that function has been
correctly discharged by the public prosecutor, i.e., whether or not he has
made a correct ascertainment of the existence of probable cause in a case,
is a matter that the trial court itself does not and may not be compelled to
pass upon.
The judicial determination of probable cause, on the other hand, is one made
by the judge to ascertain whether a warrant of arrest should be issued
against the accused. The judge must satisfy himself that based on the
evidence submitted, there is necessity for placing the accused under custody
in order not to frustrate the ends of justice. If the judge finds no probable
cause, the judge cannot be forced to issue the arrest warrant. 32
The difference is clear: The executive determination of probable cause
concerns itself with whether there is enough evidence to support an
Information being filed. The judicial determination of probable cause, on the
In any case, if there was palpable error or grave abuse of discretion in the
public prosecutors finding of probable cause, the accused can appeal such
finding to the justice secretary and move for the deferment or suspension of
the proceedings until such appeal is resolved.36 (Emphasis supplied)
In this case, the resolution dated March 4, 2008 of Prosecutor Rey F.
Delgado found that the facts and evidence were "sufficient to warrant the
indictment of [petitioner] x x x." 37 There was nothing in his resolution which
showed that he issued it beyond the discretion granted to him by law and
jurisprudence.
While the information filed by Prosecutor Delgado was valid, Judge CapcoUmali still had the discretion to make her own finding of whether probable
cause existed to order the arrest of the accused and proceed with trial.
Jurisdiction over an accused is acquired when the warrant of arrest is served.
Absent this, the court cannot hold the accused for arraignment and trial.
Article III, Section 2 of the Constitution states:
The right of the people to be secure in their persons, houses, papers, and
effects against unreasonable searches and seizures of whatever nature and
for any purpose shall be inviolable, and no search warrant or warrant of
arrest shall issue except upon probable cause to be determined personally
by the judge after examination under oath or affirmation of the complainant
and the witnesses he may produce, and particularly describing the place to
be searched and the persons or things to be seized.
The Constitution prohibits the issuance of search warrants or warrants of
arrest where the judge has not personally determined the existence of
probable cause. The phrase "upon probable cause to be determined
personally by the judge after examination under oath or affirmation of the
complainant and the witnesses he may produce" allows a determination of
probable cause by the judge ex parte.
For this reason, Section 6, paragraph (a) of Rule 112 of the Rules on
Criminal Procedure mandates the judge to "immediately dismiss the case if
the evidence on record fails to establish probable cause." Section 6,
paragraph (a) of Rule 112 reads:
Section 6. When warrant of arrest may issue. (a) By the Regional Trial
Court. Within ten (10) days from the filing of the complaint or information,
the judge shall personally evaluate the resolution of the prosecutor and its
supporting evidence. He may immediately dismiss the case if the evidence
on record clearly fails to establish probable cause. If he finds probable cause,
he shall issue a warrant of arrest, or a commitment order if the accused has
already been arrested pursuant to a warrant issued by the judge who
conducted the preliminary investigation or when the complaint or information
was filed pursuant to section 7 of this Rule. In case of doubt on the existence
of probable cause, the judge may order the prosecutor to present additional
evidence within five (5) days from notice and the issue must be resolved by
the court within thirty (30) days from the filing of the complaint of information.
In People v. Hon. Yadao:38
Section 6, Rule 112 of the Rules of Court gives the trial court three options
upon the filing of the criminal information: (1) dismiss the case if the evidence
on record clearly failed to establish probable cause; (2) issue a warrant of
arrest if it finds probable cause; and (3) order the prosecutor to present
additional evidence within five days from notice in case of doubt as to the
existence of probable cause.
But the option to order the prosecutor to present additional evidence is not
mandatory.1wphi1 The courts first option under the above is for it to
"immediately dismiss the case if the evidence on record clearly fails to
establish probable cause." That is the situation here: the evidence on record
clearly
fails
to
establish
probable
cause
against
the
respondents.39 (Emphasis supplied)
It is also settled that "once a complaint or information is filed in court, any
disposition of the case, whether as to its dismissal or the conviction or the
acquittal of the accused, rests in the sound discretion of the court." 40
In this case, Judge Capco-Umali made an independent assessment of the
evidence on record and concluded that "the evidence adduced does not
support a finding of probable cause for the offenses of qualified theft and
estafa."41 Specifically, she found that Juno Cars "failed to prove by competent
evidence"42 that the vehicles alleged to have been pilfered by Alfredo were
lawfully possessed or owned by them, or that these vehicles were received
by Alfredo, to be able to substantiate the charge of qualified theft. She also
found that the complaint "[did] not state with particularity the exact value of
the alleged office files or their valuation purportedly have been removed,
concealed or destroyed by the accused," 43 which she found crucial to the
prosecution of the crime of estafa under Article 315, fourth paragraph, no.
3(c) of the Revised Penal Code. She also noted that:
x x x As a matter of fact, this court had even ordered that this case be set for
clarificatory hearing to clear out essential matters pertinent to the offense
charged and even directed the private complainant to bring documents
relative to the same/payment as well as affidavit of witnesses/buyers with the
end view of satisfying itself that indeed probable cause exists to commit the
present case which private complainant failed to do. 44
Accordingly, with the present laws and jurisprudence on the matter, Judge
Capco-Umali correctly dismissed the case against Alfredo.
Although jurisprudence and procedural rules allow it, a judge must always
proceed with caution in dismissing cases due to lack of probable cause,
considering the preliminary nature of the evidence before it. It is only when
he or she finds that the evidence on hand absolutely fails to support a finding
of probable cause that he or she can dismiss the case. On the other hand, if
a judge finds probable cause, he or she must not hesitate to proceed with
arraignment and trial in order that justice may be served.
WHEREFORE, the petition is GRANTED. The decision dated January 14,
2011 of the Court of Appeals in CA-G.R. SP. No. 110774 is REVERSED and
SET ASIDE. Criminal Case Nos. MC08-11604-05 against Alfredo C.
Mendoza are DISMISSED.
SO ORDERED.
MARVIC MARIO VICTOR F. LEONEN
Associate Justice
WE CONCUR:
PRESBITERO J. VELASCO, JR.
Associate Justice
Chairperson
DIOSDADO M. PERALTA
Associate Justice
ROBERTO A. ABAD
Associate Justice
Id.
10
Id. at 65-67.
11
Id. at 68-69.
12
Id. at 70-79.
13
Id. at 35.
14
Id. at 35-36.
15
Id. at 80-85.
ATTE S TATI O N
I attest that the conclusions in the above Decision had been reached in
consultation before the case was assigned to the writer of the opinion of the
Court's Division.
PRESBITERO J. VELASCO, JR.
Associate Justice
Chairperson, Third Division
C E R TI F I CATI O N
16
Pursuant to Section 13, Article VIII of the Constitution and the Division
Chairperson's Attestation, I certify that the conclusions in the above Decision
had been reached in consultation before the case was assigned to the writer
of the opinion of the Court's Division.
Id. at 84.
17
Id. at 87.
18
Id. at 36.
19
Footnotes
1
Id. at 33-44.
Id. at 80.
Id.
Id. at 81-82.
Id. at 82.
Id. at 60-64.
Id. at 35.
Id. at 44.
21
Id. at 15.
22
Id.
23
Id. at 130-136.
24
Id. at 146-161.
25
Id. at 163-166.
26
Id. at 163.
27
36
Id. at 420-421.
37
Rollo, p. 62.
28
38
G.R. Nos. 162144-54, November 13, 2012, 685 SCRA 264 [Per J.
Abad, En Banc].
xxxx
39
40
xxxx
41
Rollo, p. 84.
42
Id.
xxxx
43
Id.
44
Id. at 84-85.
29
31
32
G.R. No. 88919, July 25, 1990, 187 SCRA 788 [Per J. Gutierrez,
Jr., En Banc].
34
Id. at 792-793.
35
Id. at 287-288.