c. Noncapital Offense

Noncapital Offense

Concept

When the accused pleads guilty to a noncapital offense, the court may receive evidence from the parties to determine the penalty to be imposed. Reception of evidence for this purpose is discretionary, not mandatory under Rule 116, Section 4. (Rule 116, Sec. 4, Rules of Court)¹

Governing provisions

Rule 116, Section 1 governs how the accused is arraigned and enters a plea. Rule 116, Section 4 governs the court’s reception of evidence after a guilty plea to a noncapital offense. Before arraignment, the court must also inform the accused of the right to counsel and ask whether the accused desires counsel. (Rule 116, Sec. 1, Rules of Court)² (Rule 116, Sec. 4, Rules of Court)¹ (Rule 116, Sec. 6, Rules of Court)³

Requisites / Rules

• The accused must be arraigned before the court where the complaint or information was filed or assigned for trial. Arraignment takes place in open court: the accused is furnished a copy, the charge is read in a language or dialect known to the accused, and the accused is asked to plead guilty or not guilty. (Rule 116, Sec. 1, Rules of Court)²
• The accused must be present and must personally enter the plea. Arraignment and plea must be made of record, although failure to record them does not affect the validity of the proceedings. (Rule 116, Sec. 1, Rules of Court)²
• Unless the accused is allowed to defend himself in person or has engaged counsel of choice, the court must assign counsel de oficio. (Rule 116, Sec. 6, Rules of Court)³
• After a guilty plea to a noncapital offense, the court may receive evidence from either party for the purpose stated in Section 4: determining the penalty to be imposed. The provision leaves reception of that evidence to the court’s discretion. (Rule 116, Sec. 4, Rules of Court)¹

Distinctions

A guilty plea to the noncapital offense charged falls under Rule 116, Section 4. A proposed guilty plea to a lesser offense is a different matter under Section 2: the lesser offense must be necessarily included in the offense charged, and the provision addresses the consent of the offended party and prosecutor and the trial court’s allowance of the plea. These requirements should not be treated as requirements for every guilty plea to the offense charged. (Rule 116, Sec. 4, Rules of Court)¹ (Rule 116, Sec. 2, Rules of Court)⁴

Key doctrines

The court’s discretion under Section 4 concerns whether to receive evidence to determine the penalty after a guilty plea to a noncapital offense. The rule does not say that evidence must be received in every such case. Its stated purpose also keeps the inquiry distinct from the accused’s personal act of entering a plea at arraignment. (Rule 116, Sec. 4, Rules of Court)¹ (Rule 116, Sec. 1, Rules of Court)²

Exceptions

A refusal to plead, or a conditional plea, results in the entry of a plea of not guilty. If the accused pleads guilty but presents exculpatory evidence, the guilty plea is deemed withdrawn and a plea of not guilty is entered. In either situation, do not proceed on the premise that a guilty plea remains in place. (Rule 116, Sec. 1, Rules of Court)²

Bar tip

For a guilty plea to a noncapital offense, state the precise Section 4 rule: the court may receive evidence from the parties to determine the penalty. Do not describe reception of evidence as compulsory. (Rule 116, Sec. 4, Rules of Court)¹