The Supreme Court has ruled that a criminal complaint for falsification should not be dismissed solely because the complainant, residing abroad, fails to attend a clarificatory hearing. The Court emphasized that if sufficient evidence already exists to establish probable cause, the complainant’s personal appearance is not mandatory. This decision reinforces the principle that preliminary investigations should focus on the evidence at hand, ensuring that cases proceed when there’s a reasonable belief a crime has been committed, regardless of the complainant’s physical presence.

Signature Denied: When Must a Falsification Complainant Appear?

This case, Aurora A. Sales v. Benjamin D. Adapon, Ofelia C. Adapon, and Teofilo D. Adapon, arose from a land dispute among siblings. Aurora Sales, residing in the US, filed a complaint for falsification against her siblings, alleging that they used a falsified Deed of Extra-judicial Settlement to claim her share of their parents’ estate. The central legal question was whether the Department of Justice (DOJ) erred in directing the filing of information for falsification despite Sales’ absence from the clarificatory hearing.

The Court of Appeals (CA) had sided with the respondents, stating that the DOJ gravely abused its discretion by ordering the filing of the information without the investigating prosecutor personally examining the complainant. The CA relied on Section 4, Rule 112 of the Rules of Court, which speaks of the prosecutor’s duty to examine the complainant and witnesses personally. However, the Supreme Court reversed the CA’s decision, emphasizing the nature and purpose of a preliminary investigation. This investigation is designed to determine whether there is sufficient ground to engender a well-founded belief that a crime has been committed and that the respondent is probably guilty thereof, warranting a trial.

The Supreme Court referenced Ang-Abaya v. Ang, stressing the crucial role of preliminary investigation:

A preliminary investigation is in effect a realistic judicial appraisal of the merits of the case; sufficient proof of the guilt of the criminal respondent must be adduced so that when the case is tried, the trial court may not be bound, as a matter of law, to order an acquittal.

The Court highlighted that the most important purpose of the preliminary investigation is to determine whether a crime has been committed and if the respondent is likely guilty. **Probable cause** is defined as the existence of such facts and circumstances as would excite the belief in a reasonable mind, acting on the facts within the knowledge of the prosecutor, that the person charged was guilty of the crime for which he was prosecuted.

The Court found that the investigating prosecutor erred in dismissing the complaint solely due to Sales’ absence. Her absence was justifiable due to her age and residence in the US. More importantly, the existing records contained sufficient evidence to establish probable cause. Sales’ son-in-law, Jerico B. Sales, was authorized to represent her and could address any clarificatory questions. The Court also noted that the investigating prosecutor could have opted to take Sales’ deposition, further emphasizing the flexibility available in gathering necessary information.

The Supreme Court emphasized that, while the investigating prosecutor has discretion to call for a clarificatory hearing, it is only appropriate if there are specific facts and issues that need clarification. This discretion is not unbounded. In this case, the investigating prosecutor did not specify the matters that required clarification, suggesting that the existing documents were adequate to determine probable cause.

The decision underscores the limited role of courts in preliminary investigations. It is a sound judicial policy for the courts to refrain from interfering in the conduct of the preliminary investigation and to give the DOJ the latitude of discretion in determining what constitutes sufficient evidence. Only in cases of grave abuse of discretion will the courts review the Secretary of Justice’s findings. Grave abuse of discretion implies an arbitrary, capricious, whimsical, or despotic exercise of power.

The Court then dissected the CA’s reliance on Section 4, Rule 112 of the Rules of Court, clarifying the meaning of the term “complainant”. The Court clarified that the **real party in interest** in criminal proceedings is the State, with the complaint brought in the name of the People of the Philippines. The complainant, in this context, acts as a witness for the prosecution, with a right to intervene due to potential civil liability. Sales’ role was akin to a relator, one who provides the facts upon which the action is based.

In the case of falsification, which is a public offense, charges can be initiated by anyone, contrasting with private crimes that require specific individuals to initiate proceedings. This distinction highlights that the personal presence of the complainant is not always indispensable to determining probable cause. The court emphasized that Sales had submitted sworn declarations and Jerico’s affidavit, which sufficiently established probable cause based on familiarity with her signature and denial of the signature on the contested deed.

The Supreme Court agreed with the DOJ’s assessment of the evidence, which established the elements of falsification under Article 172, paragraph 3 of the Revised Penal Code. These elements are (1) the document is false, (2) the offender knew the document was false, and (3) the offender introduced the false document in evidence in a judicial proceeding. The Court reiterated that denying one’s signature on a document establishes a prima facie case for falsification, which the defendant must overcome.

From the evidence thus presented, we find sufficient basis to hold respondents criminally liable for introducing in evidence a falsified document. The elements if the crime penalized under Article 172, paragraph 3, of the Revised Penal Code are all present in this case.

The Court noted that the respondents’ claim of relying on Victoria Adapon Sales-Santiago’s authority to represent Sales did not overcome the prima facie case. Moreover, the respondents failed to present Victoria to corroborate their claim. The Court added that the intent to cause damage is not required when the falsified document is used in judicial proceedings. Finally, the Court emphasized that a finding of probable cause requires only evidence showing that a crime has been committed and was committed by the suspects, a standard met in this case.

FAQs

What was the key issue in this case?	The key issue was whether a criminal complaint for falsification could be dismissed solely because the complainant, residing abroad, did not attend the clarificatory hearing. The Court determined that the absence of the complainant is not a sufficient ground for dismissal if there is already enough evidence to establish probable cause.
What is a preliminary investigation?	A preliminary investigation is an inquiry or proceeding to determine whether there is sufficient ground to believe that a crime has been committed and that the respondent is probably guilty and should be held for trial. Its purpose is to protect the innocent from hasty, malicious, and oppressive prosecutions.
What is probable cause?	Probable cause refers to the existence of such facts and circumstances as would excite the belief in a reasonable mind, acting on the prosecutor’s knowledge, that the person charged is guilty of the crime. It’s a reasonable presumption based on the prosecutor’s honest and strong suspicion.
What are the elements of falsification under Article 172, paragraph 3, of the Revised Penal Code?	The elements are: (1) the document is false, (2) the offender knew the document was false, and (3) the offender introduced the false document in evidence in a judicial proceeding. Intent to cause damage is not required when the falsified document is used in judicial proceedings.
Is the complainant’s personal presence always required in a preliminary investigation?	No, the complainant’s personal presence is not always required, especially if they reside abroad and sufficient evidence already exists to establish probable cause. The investigating prosecutor has the discretion to determine if a clarificatory hearing is necessary.
What is the role of the complainant in a criminal case?	The complainant is a witness for the prosecution and has the right to intervene in the criminal action due to potential civil liability. The real party in interest is the State, and the case is brought in the name of the People of the Philippines.
What is the court’s role in preliminary investigations?	The court generally refrains from interfering in preliminary investigations, giving the DOJ ample discretion. The court will only intervene if there is a clear case of grave abuse of discretion, such as an arbitrary or capricious exercise of power.
What happens if a person denies their signature on a document?	When a person denies their signature on a document, a prima facie case for falsification is established, which the defendant must overcome. The burden of proof shifts to the defendant to prove the authenticity of the signature.

This ruling clarifies that the absence of a complainant from a clarificatory hearing is not automatically grounds for dismissing a criminal complaint, especially when other evidence sufficiently establishes probable cause. It underscores the importance of evaluating the totality of evidence and prioritizes the efficient pursuit of justice.

For inquiries regarding the application of this ruling to specific circumstances, please contact ASG Law through contact or via email at frontdesk@asglawpartners.com.

Disclaimer: This analysis is provided for informational purposes only and does not constitute legal advice. For specific legal guidance tailored to your situation, please consult with a qualified attorney.
Source: AURORA A. SALES, VS. BENJAMIN D. ADAPON, OFELIA C. ADAPON AND TEOFILO D. ADAPON, G.R. No. 171420, October 05, 2016