PRELIMINARY INVESTIGATION

Rule 112

NHASSER M. PASANDALAN
Reporter

1
What is Preliminary Investigation?

It is an inquiry or proceeding 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.

2
It is a

substantive
right.

3
Cases Requiring A Preliminary Investigation

Sec. 1, Rule 112, Rules of Court

xxx
Except as provided in Section 7 of this Rule, a
preliminary investigation is required to be conducted
before the filing of a compliant or information for an
offense where the penalty prescribed by law is at least
four (4) years, two (2) months and one (1) day without
regard to the fine.
When not required:

- In cases of lawful
warrantless arrests –
Inquest Proceedings

5
What is Due Process in the
context of PI?
- It entails the opportunity to be heard and serves
to accord an opportunity for the presentation of the
respondent’s side with regard to the accusation.

6
 What is the effect of the
absence of PI?

What is your remedy?

7
 Prohibitions under the Revised Guidelines for Continuous
trial of criminal cases (Remand for PI)
 If the motion is filed without prior leave of court;
 When PI is not required; and
 When the regular preliminary investigation is
required and has been actually conducted, and
the grounds relied upon in the motion are not
meritorious.

8
 Preliminary Investigation vs. Preliminary Examination

Preliminary Investigation Preliminary Examination

o Conducted by the Prosecutor
o To ascertain whether the
alleged offender should be
held for trial
o Executive in nature
o Conducted by the Judge
o To determine probable cause
for the issuance of a warrant of
arrest
o Judicial in nature

9
PROBABLE CAUSE

What is Probable Cause for

purposes of filing an
information?

10
VILLANUEVA V. SECRETARY OF JUSTICE
GR No. 162187

Facts: Petitioner Villanueva charged the incumbent Mayor of Hagonoy, Bulacan, Mayor Felix Ople, et.al,
for violation of the RA No. 3019 or the 'Anti-Graft and Corrupt Practices Act. Petitioner prayed that
respondent be held liable for the illegal disbursements done. The Office of the Deputy Ombudsman for
Luzon found no probable cause against respondent.
Issue: WON there is probable cause.
Ruling: No. In any event, the Court finds no grave abuse in the manner in which the deputy ombudsman
exercised his discretion. Evidently, he had sufficient bases for his finding that there was no probable
cause.
Probable cause is defined as the existence of facts and circumstances that engender a well-founded
belief that a crime has been committed, and that the respondent is probably guilty of that crime and
should be held for trial. Probable cause is a reasonable ground of presumption that a matter is, or may
be, well founded, such a state of facts in the mind of the prosecutor as would lead a person of ordinary
caution and prudence to believe, or entertain an honest or strong suspicion, that a thing is so. The term
does not mean actual and positive cause nor does it import absolute certainty. It is merely based on
opinion and reasonable belief. Thus a finding of probable cause does not require an inquiry into whether
there is sufficient evidence to procure a conviction. It is enough that it is believed that the act or omission
complained of constitutes the offense charged. Precisely, there is a trial for the reception of evidence of
the prosecution in support of the charge.

11
INSTANCES WHERE
PROBABLE CAUSE IS
NEEDED TO BE
ESTABLISHED (BASED ON
PROBABILITY OF GUILT)

12
Estrada vs. Ombudsman, G.R. No. 212140-21, January
21, 2015
FACTS:
Sometime in November and December 2013, the Ombudsman served on Sen. Estrada two (2) criminal
complaints for plunder, among others. Eighteen (18) of Sen. Estrada’s co-respondents in the two
complaints filed their counter-affidavits between 9 December 2013 and 14 March 2014.
On 20 March 2014, Sen. Estrada filed his “Request to be Furnished with Copies of Counter-Affidavits of
the Other Respondents, Affidavits of New Witnesses and Other Filings”. Sen. Estrada’s request was
made “[p]ursuant to the right of a respondent ‘to examine the evidence submitted by the complainant
which he may not have been furnished’ (Section 3[b], Rule 112 of the Rules of Court) and to ‘have
access to the evidence on record’ (Section 4[c], Rule II of the Rules of Procedure of the Office of the
Ombudsman).”
The Ombudsman denied Sen. Estrada’s Request, which is not the subject of the present certiorari case.
ISSUE: WON petitioner Estrada was denied due process of law
HELD: NO. The denial did not violate Sen. Estrada’s constitutional right to due process.
There is no law or rule which requires the Ombudsman to furnish a respondent with copies of the
counter-affidavits of his co-respondents.
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.” Thus, the rights of a respondent in a preliminary investigation are
limited to those granted by procedural law.

13
In the Philippines, there are four instances in the Revised Rules of Criminal Procedure where probable
cause is needed to be established:

(1) In Sections 1 and 3 of Rule 112: By the investigating officer, 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. A preliminary investigation is required before the
filing of a complaint or information for an offense where the penalty prescribed by law is at least four
years, two months and one day without regard to the fine;

(2) In Sections 6 and 9 of Rule 112: By the judge, to determine whether a warrant of arrest or a
commitment order, if the accused has already been arrested, shall be issued and that there is a necessity
of placing the respondent under immediate custody in order not to frustrate the ends of justice;

(3) In Section 5(b) of Rule 113: By a peace officer or a private person making a warrantless arrest when
an offense has just been committed, and he has probable cause to believe based on personal knowledge
of facts or circumstances that the person to be arrested has committed it; and
(4) In Section 4 of Rule 126: By the judge, to determine whether a search warrant shall be issued, and
only upon probable cause in connection with one specific offense 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 things to be seized which may be anywhere
in the Philippines.

14
 Probable Cause
with HEARSAY?

15
Thus, probable cause can be established with hearsay evidence, as long as there is
substantial basis for crediting the hearsay. Hearsay evidence is admissible in
determining probable cause in a preliminary investigation because such
investigation is merely preliminary, and does not finally adjudicate rights and
obligations of parties. However, in administrative cases, where rights and
obligations are finally adjudicated, what is required is “substantial evidence”
which cannot rest entirely or even partially on hearsay evidence. Substantial basis
is not the same as substantial evidence because substantial evidence excludes
hearsay evidence while substantial basis can include hearsay evidence. To require
the application of Ang Tibay, as amplified in GSIS, in preliminary investigations
will change the quantum of evidence required in determining probable cause from
evidence of likelihood or probability of guilt to substantial evidence of guilt.

16
 1. Provincial or
City Prosecutors
Who shall and their
conduct assistants;
2. National and
Preliminary Regional State
Investigation?. Prosecutors; and
3. Other officers as
may be
authorized by
law.

17
  Lodged with the DOJ
 Pros. Staff may conduct PI on
1. National cases involving nat’l security
Prosecution
 Provincial/city Pros. – RPC
Service Officers
and ordinances
2. Other Officers
authorized by
law
 Comelec for election offenses
and BP 81.
 PCGG on ill-gotten wealth

Note: Judges are not allowed to

conduct PI

Effect of PI conducted without Authority

- Information is considered infirm;
18 to quash
- Subject of a motion
19
You can insert graphs from
Google Sheets

20
 Let’s review some concepts
Yellow
Is the color of gold, butter
and ripe lemons. In the
spectrum of visible light,
yellow is found between
green and orange.
Yellow
Is the color of gold, butter
and ripe lemons. In the
spectrum of visible light,
yellow is found between
green and orange.
Blue
Is the colour of the clear sky
and the deep sea. It is located
between violet and green on
the optical spectrum.
Blue
Is the colour of the clear sky
and the deep sea. It is located
between violet and green on
the optical spectrum.
21
Red
Is the color of blood, and
because of this it has
historically been associated
with sacrifice, danger and
courage.
Red
Is the color of blood, and
because of this it has
historically been associated
with sacrifice, danger and
courage.
 Thanks!
Any questions?
Find me at @username & user@mail.me

22
 Credits
Special thanks to all the people who made and
released these awesome resources for free:
> Presentation template by SlidesCarnival
> Photographs by Unsplash

23
 Presentation design
This presentation uses the following typographies:
> Titles: Patrick Hand SC
> Body copy: Patrick Hand
Download for free at:
https://www.1001fonts.com/patrick-hand-font.html

You don’t need to keep this slide in your presentation. It’s only here to serve you as a design
guide if you need to create new slides or download the fonts to edit the presentation in
PowerPoint®

24
SlidesCarnival icons are
editable shapes.

This means that you can:

> Resize them without
losing quality.
> Change fill color and
opacity.
> Change line color,
width and style.
Isn’t that nice? :)

Examples:
Diagrams and infographics

26
 You can also use any emoji as an icon!
And of course it resizes without losing quality. 👉

How? Follow Google instructions

https://twitter.com/googledocs/status/730087240156643328

✋👆👉👍👤👦👧👨👩👪💃🏃💑❤😂😉😋
😒😭😸💣
👶😸 🐟🍒🍔💣 📌📖🔨🎃🎈🎨🏈🏰🌏🔌🔑
and
many more...

27
 Free templates for all your presentation needs

For PowerPoint and 100% free for personal or Ready to use, professional Blow your audience away
Google Slides commercial use and customizable with attractive visuals