Ricarze v. Court of Appeals, G.R. No. 160451, (February 9, 2007), 544 PHIL 237-255) PDF
Ricarze v. Court of Appeals, G.R. No. 160451, (February 9, 2007), 544 PHIL 237-255) PDF
Before the Court is a petition for review on certiorari of the Decision 1 of the Court
of Appeals in CA-G.R. SP No. 68492, and its Resolution 2 which denied the Motion
for Reconsideration and the Supplemental Motion for Reconsideration thereof.
The Antecedents
Petitioner Eduardo G. Ricarze was employed as a collector-messenger by City
Service Corporation, a domestic corporation engaged in messengerial services. He
was assigned to the main oce of Caltex Philippines, Inc. (Caltex) in Makati City.
His primary task was to collect checks payable to Caltex and deliver them to the
cashier. He also delivered invoices to Caltex's customers. 3
On November 6, 1997, Caltex, through its Banking and Insurance Department
Manager Ramon Romano, led a criminal complaint against petitioner before the
Oce of the City Prosecutor of Makati City for estafa through falsication of
commercial documents. Romano alleged that, on October 16, 1997, while his
department was conducting a daily electronic report from Philippine Commercial &
Industrial Bank (PCIB) Dela Rosa, Makati Branch, one of its depositary banks, it was
discovered that unknown to the department, a company check, Check No. 74001
dated October 13, 1997 in the amount of P5,790,570.25 payable to Dante R.
Gutierrez, had been cleared through PCIB on October 15, 1997. An investigation
also revealed that two other checks (Check Nos. 73999 and 74000) were also
missing and that in Check No. 74001, his signature and that of another signatory,
Victor S. Goquinco, were forgeries. Another check, Check No. 72922 dated
September 15, 1997 in the amount of P1,790,757.25 likewise payable to Dante R.
Gutierrez, was also cleared through the same bank on September 24, 1997; this
check was likewise not issued by Caltex, and the signatures appearing thereon had
also been forged. Upon verication, it was uncovered that Check Nos. 74001 and
72922 were deposited at the Banco de Oro's SM Makati Branch under Savings
Account No. S/A 2004-0047245-7, in the name of a regular customer of Caltex,
Dante R. Gutierrez.
Gutierrez, however, disowned the savings account as well as his signatures on the
dorsal portions thereof. He also denied having withdrawn any amount from said
savings account. Further investigation revealed that said savings account had
actually been opened by petitioner; the forged checks were deposited and endorsed
by him under Gutierrez's name. A bank teller from the Banco de Oro, Winnie P.
Donable Dela Cruz, positively identied petitioner as the person who opened the
savings account using Gutierrez's name. 4
In the meantime, the PCIB credited the amount of P581,229.00 to Caltex on March
29, 1998. However, the City Prosecutor of Makati City was not informed of this
development. After the requisite preliminary investigation, the City Prosecutor led
two (2) Informations for estafa through falsication of commercial documents on
June 29, 1998 against petitioner before the Regional Trial Court (RTC) of Makati
City, Branch 63. The Informations are worded as follows:
Criminal Case No. 98-1611
That on or about the 24th day of September 1997 in the City of Makati,
Metro Manila, Philippines, a place within the jurisdiction of this Honorable
Court, the above-named accused, a private individual, with intent to defraud
and intent to gain, without the knowledge and consent of Caltex Philippines,
Inc. through its duly authorized ocers/representatives, and by means of
falsication of commercial document, did then and there willfully, unlawfully
and feloniously defraud Caltex Phils., Inc., in the following manner, to wit:
said accused, having obtained possession of PCIBank check no. 72922
dated September 15, 1997 payable to Dante R. Gutierrez, in the amount of
Php1,790,757.50 with intent to defraud or cause damage to complainant
Caltex Phils., Inc., willfully, unlawfully and feloniously axed or caused to be
axed signatures purporting to be those of Ramon Romano and Victor
Goquingco, Caltex authorized ocers/signatories, and of payee Dante R.
Gutierrez, causing it to appear that Ramon Romano and Victor Goquingco
have participated in the issuance of PCIBank check no. 72922 and that
Dante R. Gutierrez had endorsed it, when in truth and in fact, as said
accused well knew, such was not the case, since said check previously
stolen from Payables Section of CALTEX, was neither duly signed by Ramon
Romano and Victor Goquingco nor endorsed by Dante R. Gutierrez, after
the check, a commercial document, was falsied in the manner above set
forth, the said accused purporting himself to be the payee, Dante R.
Gutierrez, deposited the check with Banco De Oro under Account No. 20040047245-7, thereby appropriating the proceeds of the falsied but cleared
check, to the damage and prejudice of complainant herein represented by
Ramon Romano, in the amount of Php1,790,757.50.
Criminal Case No. 98-1612
That on or about the 15th day of October 1997 in the City of Makati, Metro
Manila, Philippines, a place within the jurisdiction of this Honorable Court, the
above-named accused, a private individual, with intent to defraud and intent
to gain, without the knowledge and consent of Caltex Philippines, Inc.
through its duly authorized ocers/representatives, and by means of
falsication of commercial document, did then and there willfully, unlawfully
and feloniously defraud Caltex Phils., Inc., in the following manner, to wit:
said accused, having obtained possession of PCIBank check no. 74001
dated October 13, 1997 payable to Dante R. Gutierrez, in the amount of
Php5,790,570.25 with intent to defraud or cause damage to complainant
Caltex Phils., Inc., willfully, unlawfully and feloniously axed or caused to be
axed signatures purporting to be those of Ramon Romano and Victor
Goquingco, Caltex authorized ocers/signatories, and of payee Dante R.
Gutierrez, causing it to appear that Ramon Romano and Victor Goquingco
have participated in the issuance of PCIBank check no. 74001 and that
Dante R. Gutierrez had endorsed it, when in truth and in fact, as said
accused well knew, such was not the case, since said check previously
stolen from Payables Section of CALTEX, was neither duly signed by Ramon
Romano and Victor Goquingco nor endorsed by Dante R. Gutierrez, after
the check, a commercial document, was falsied in the manner above set
forth, the said accused purporting himself to be the payee, Dante R.
Gutierrez, deposited the check with Banco De Oro under Account No. 20040047245-7, thereby appropriating the proceeds of the falsied but cleared
check, to the damage and prejudice of complainant herein represented by
Ramon Romano, in the amount of Php5,790,570.25. 5
Petitioner was arraigned on August 18, 1998, and pleaded not guilty to both
charges. 6 Pre-trial ensued and the cases were jointly tried. The prosecution
presented its witnesses, after which the Siguion Reyna, Montecillio and Ongsiako
Law Oces (SRMO) as private prosecutor led a Formal Oer of Evidence. 7
Petitioner opposed the pleading, contending that the private complainant was
represented by the ACCRA Law Oces and the Balgos and Perez Law Oce during
trial, and it was only after the prosecution had rested its case that SRMO entered its
appearance as private prosecutor representing the PCIB. Since the ACCRA and
Balgos and Perez Law Oces had not withdrawn their appearance, SRMO had no
personality to appear as private prosecutor. Under the Informations, the private
complainant is Caltex and not PCIB; hence, the Formal Oer of Evidence led by
SRMO should be stricken from the records.
cAHITS
Petitioner further averred that unless the Informations were amended to change
the private complainant to PCIB, his right as accused would be prejudiced. He
pointed out, however, that the Informations can no longer be amended because he
had already been arraigned under the original Informations. 8 He insisted that the
amendments of the Informations to substitute PCIB as the oended party for Caltex
would place him in double jeopardy.
PCIB, through SRMO, opposed the motion. It contended that the PCIB had recredited the amount to Caltex to the extent of the indemnity; hence, the PCIB had
been subrogated to the rights and interests of Caltex as private complainant.
Consequently, the PCIB is entitled to receive any civil indemnity which the trial
court would adjudge against the accused. Moreover, the re-credited amount was
brought out on cross-examination by Ramon Romano who testied for the
Prosecution. PCIB pointed out that petitioner had marked in evidence the letter of
the ACCRA Law Oce to PCIBank dated October 10, 1997 and the credit memo sent
by PCIB to Caltex. 9
Petitioner led a Petition for Certiorari under Rule 65 of the Rules of Court with
Urgent Application for Temporary Restraining Order with the Court of Appeals (CA,)
praying for the annulment of the RTC's Orders of July 18, 2001 and November 14,
2001. The petitioner averred that:
I
RESPONDENT JUDGE GRIEVEOUSLY (SIC) ERRED IN RENDERING ITS ORDER
ISSUED WITH GRAVE ABUSE OF DISCRETION TANTAMOUNT TO LACK OF
OR IN EXCESS OF JURISDICTION BY ALLOWING THE SUBSTITUTION OF
PRIVATE COMPLAINANT, AFTER THE ACCUSED WAS ALREADY ARRAIGNED
AND PROSECUTION HAS ALREADY TERMINATED PRESENTING ITS
EVIDENCE THEREBY PATENTLY VIOLATING THE STRICT CONDITION
IMPOSED UPON BY RULE 110 SEC. 14 RULES ON CRIMINAL PROCEDURE.
II
AND AS A COROLLARY GROUND RESPONDENT JUDGE COMMITTED GRAVE
ABUSE OF DISCRETION IN EXCESS OF JURISDICTION IN RENDERING AN
ORDER RECOGNIZING THE APPEARANCE OF A NEW PROSECUTOR
WITHOUT WRITTEN OR EVEN ORAL WITHDRAWAL OF THE COUNSEL ON
RECORD. 14
15
The appellate court declared that when PCIB restored the amount of the checks to
Caltex, it was subrogated to the latter's right against petitioner. It further declared
that in oenses against property, the designation of the name of the oended party
is not absolutely indispensable for as long as the criminal act charged in the
complaint or information can be properly identied. The appellate court cited the
rulings of this Court in People v. Ho 16 and People v. Reyes. 17
On October 17, 2003, the CA issued a Resolution denying petitioner's Motion for
Reconsideration and Supplemental Motion for Reconsideration. 18
Hence, petitioner led the instant petition which is anchored on the following
grounds:
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
Under Section 5, Rule 110 20 of the Revised Rules of Rules, all criminal actions
covered by a complaint or information shall be prosecuted under the direct
supervision and control of the public prosecutor. Thus, even if the felonies or
delictual acts of the accused result in damage or injury to another, the civil action
for the recovery of civil liability based on the said criminal acts is impliedly
instituted, and the oended party has not waived the civil action, reserved the right
to institute it separately or instituted the civil action prior to the criminal action, the
prosecution of the action (including the civil) remains under the control and
supervision of the public prosecutor. The prosecution of oenses is a public function.
Under Section 16, Rule 110 of the Rules of Criminal Procedure, the oended party
may intervene in the criminal action personally or by counsel, who will act as
private prosecutor for the protection of his interests and in the interest of the
speedy and inexpensive administration of justice. A separate action for the purpose
would only prove to be costly, burdensome and time-consuming for both parties and
further delay the nal disposition of the case. The multiplicity of suits must be
avoided. With the implied institution of the civil action in the criminal action, the
two actions are merged into one composite proceeding, with the criminal action
predominating the civil. The prime purpose of the criminal action is to punish the
oender in order to deter him and others from committing the same or similar
oense, to isolate him from society, reform and rehabilitate him or, in general, to
maintain social order. 21
On the other hand, the sole purpose of the civil action is for the resolution,
reparation or indemnication of the private oended party for the damage or injury
he sustained by reason of the delictual or felonious act of the accused. 22 Under
Article 104 of the Revised Penal Code, the following are the civil liabilities of the
accused:
ART. 104.
What is included in civil liability. The civil liability established in
Articles 100, 101, 102 and 103 of this Code includes:
1.
Restitution;
2.
3.
On the other hand, Section 14, Rule 110 of the Revised Rules of Criminal Procedure
states:
Section 14.
Amendment or substitution. A complaint or
information may be amended, in form or in substance, without leave of
court, at any time before the accused enters his plea. After the plea and
during the trial, a formal amendment may only be made with leave of court
and when it can be done without causing prejudice to the rights of the
accused.
However, any amendment before plea, which downgrades the nature of the
oense charged in or excludes any accused from the complaint or
information, can be made only upon motion by the prosecutor, with notice
to the oended 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.
Thus, before the accused enters his plea, a formal or substantial amendment of the
complaint or information may be made without leave of court. After the entry of a
plea, only a formal amendment may be made but with leave of court and if it does
not prejudice the rights of the accused. After arraignment, a substantial amendment
is proscribed except if the same is beneficial to the accused. 23
A substantial amendment consists of the recital of facts constituting the oense
charged and determinative of the jurisdiction of the court. All other matters are
merely of form. 24 The following have been held to be mere formal amendments:
(1) new allegations which relate only to the range of the penalty that the court
might impose in the event of conviction; (2) an amendment which does not charge
another oense dierent or distinct from that charged in the original one; (3)
additional allegations which do not alter the prosecution's theory of the case so as
to cause surprise to the accused and aect the form of defense he has or will
assume; (4) an amendment which does not adversely aect any substantial right of
the accused; and (5) an amendment that merely adds specications to eliminate
vagueness in the information and not to introduce new and material facts, and
merely states with additional precision something which is already contained in the
original information and which adds nothing essential for conviction for the crime
charged. 25
The test as to whether a defendant is prejudiced by the amendment is whether a
defense under the information as it originally stood would be available after the
amendment is made, and whether any evidence defendant might have would be
equally applicable to the information in the one form as in the other. An
amendment to an information which does not change the nature of the crime
alleged therein does not aect the essence of the oense or cause surprise or
deprive the accused of an opportunity to meet the new averment had each been
held to be one of form and not of substance. 26
In the case at bar, the substitution of Caltex by PCIB as private complaint is not a
substantial amendment. The substitution did not alter the basis of the charge in
both Informations, nor did it result in any prejudice to petitioner. The documentary
evidence in the form of the forged checks remained the same, and all such evidence
was available to petitioner well before the trial. Thus, he cannot claim any surprise
the creditor to a third person, who substitutes him in all his rights. 28 It may either
be legal or conventional. Legal subrogation is that which takes place without
agreement but by operation of law because of certain acts. 29 Instances of legal
subrogation are those provided in Article 1302 30 of the Civil Code. Conventional
subrogation, on the other hand, is that which takes place by agreement of the
parties. 31 Thus, petitioner's acquiescence is not necessary for subrogation to take
place because the instant case is one of legal subrogation that occurs by operation of
law, and without need of the debtor's knowledge.
Contrary to petitioner's asseverations, the case of People v. Yu Chai Ho
upon by the appellate court is in point. The Court declared
32
relied
We do not however, think that the scal erred in alleging that the
commission of the crime resulted to the prejudice of Wm. H. Anderson &
Co. It is true that originally the International Banking Corporation was the
prejudiced party, but Wm. H. Anderson & Co. compensated it for its loss
and thus became subrogated to all its rights against the defendant (article
1839, Civil Code). Wm. H. Anderson & Co., therefore, stood exactly in the
shoes of the International Banking Corporation in relation to the defendant's
acts, and the commission of the crime resulted to the prejudice of the rm
previously to the ling of the information in the case. The loss suered by
the rm was the ultimate result of the defendant's unlawful acts, and we see
no valid reason why this fact should not be stated in the information; it
stands to reason that, in the crime of estafa, the damage resulting
therefrom need not necessarily occur simultaneously with the acts
constituting the other essential elements of the crime.
CIcTAE
Thus, being subrogated to the right of Caltex, PCIB, through counsel, has the right
to intervene in the proceedings, and under substantive laws is entitled to restitution
of its properties or funds, reparation, or indemnification.
Petitioner's gripe that the charges against him should be dismissed because the
allegations in both Informations failed to name PCIB as true oended party does not
hold water.
Section 6, Rule 110 of the Rules on Criminal Procedure states:
Sec. 6.
Suciency of complaint or information. A complaint or
information is sucient if it states the name of the accused; the designation
of the oense by the statute; the acts or omissions complained of as
constituting the oense; the name of the oended party; the approximate
time of the commission of the oense; and the place wherein the oense
was committed.
When the oense is committed by more than one person, all of them shall
be included in the complaint or information.
information must state the name and surname of the person against whom
or against whose property the oense was committed, or any appellation or
nickname by which such person has been or is known. If there is no better
way of identifying him, he must be described under a fictitious name.
(a)
In oenses against property, if the name of the oended party
is unknown, the property must be described with such particularity as
to properly identify the offense charged.
(b)
If the true name of the person against whom or against whose
property the oense was committed is thereafter disclosed or
ascertained, the court must cause such true name to be inserted in
the complaint or information and the record.
(c)
If the oended party is a juridical person, it is sucient to state
its name, or any name or designation by which it is known or by which
it may be identied, without need of averring that it is a juridical person
or that it is organized in accordance with law. (12a)
I n Sayson v. People , 33 the Court held that in case of oenses against property, the
designation of the name of the oended party is not absolutely indispensable for as
long as the criminal act charged in the complaint or information can be properly
identified:
The rules on criminal procedure require the complaint or information to state
the name and surname of the person against whom or against whose
property the oense was committed or any appellation or nickname by
which such person has been or is known and if there is no better way of
Identifying him, he must be described under a ctitious name (Rule 110,
Section 11, Revised Rules of Court; now Rule 110, Section 12 of the 1985
Rules on Criminal Procedure.] In case of oenses against property, the
designation of the name of the oended party is not absolutely
indispensable for as long as the criminal act charged in the complaint or
information can be properly identied. Thus, Rule 110, Section 11 of the
Rules of Court provides that:
Section 11.
(a)
In cases of oenses against property, if the name of the
oended party is unknown, the property, subject matter of the
oense, must be described with such particularity as to properly
Identify the particular offense charged.
(b)
If in the course of the trial, the true name of the person
against whom or against whose property the oense was committed
is disclosed or ascertained, the court must cause the true name to be
inserted in the complaint or information or record.
xxx xxx xxx
In U.S. v. Kepner [1 Phil. 519 (1902)], this Court laid down the rule that when
an oense shall have been described in the complaint with sucient
certainty as to Identify the act, an erroneous allegation as to the person
injured shall be deemed immaterial as the same is a mere formal defect
which did not tend to prejudice any substantial right of the defendant.
Accordingly, in the aforementioned case, which had a factual backdrop
similar to the instant case, where the defendant was charged with estafa for
the misappropriation of the proceeds of a warrant which he had cashed
without authority, the erroneous allegation in the complaint to the eect that
the unlawful act was to the prejudice of the owner of the cheque, when in
reality the bank which cashed it was the one which suered a loss, was held
to be immaterial on the ground that the subject matter of the estafa, the
warrant, was described in the complaint with such particularity as to
properly Identify the particular oense charged. In the instant suit for estafa
which is a crime against property under the Revised Penal Code, since the
check, which was the subject-matter of the oense, was described with
such particularity as to properly identify the oense charged, it becomes
immaterial, for purposes of convicting the accused, that it was established
during the trial that the oended party was actually Mever Films and not
Ernesto Rufino, Sr. nor Bank of America as alleged in the information.
2.
3.
Id. at 222.
4.
Id. at 209-221.
5.
Id. at 72.
6.
Id. at 228-229.
7.
Id. at 230-238.
8.
Id. at 242.
9.
Id. at 244-251.
10.
Id. at 253-254.
11.
12.
Rollo, p. 241.
13.
Id. at 412.
14.
Id. at 425.
15.
Id. at 68.
16.
17.
18.
19.
Id. at 29-30.
20.
See SECTION 1. Institution of criminal and civil actions . (a) When a criminal
action is instituted, the civil action for the recovery of civil liability arising from the
oense charged shall be deemed instituted with the criminal action unless the
oended party waives the civil action, reserves the right to institute it separately or
institute the civil action prior to the criminal action.
The reservation of the right to institute separately the civil action shall be made
before the prosecution starts presenting its evidence and under circumstances
affording the offended party a reasonable opportunity to make such reservation.
21.
22.
Id.
23.
Matalam v. Sandiganbayan, G.R. No. 165751, April 12, 2005, 455 SCRA 736, 746.
24.
Id. at 747.
25.
Id.
26.
Id. at 747-748.
27.
28.
Philippine National Bank v. Court of Appeals , G.R. No. 128661, August 8, 2000,
Chemphil Import & Export Corp. v. Court of Appeals , G.R. Nos. 112438-39,
December 12, 1995, 251 SCRA 257, 279.
Art. 1302. It is presumed that there is legal subrogation:
1.
When a creditor pays another creditor who is preferred, even without the
debtor's knowledge;
2.
When a third person, not interested in the obligation, pays with the
express or tacit approval of the debtor;
3.
When, even without the knowledge of the debtor, a person interested in
the fulllment of the obligation pays, without prejudice to the eects of confusion
as to the latter's share.
EACHaI
31.
32.
33.
34.
The Siguion Reyna Montecillo and Ongsiako Law Oce led its formal entry of
appearance in behalf of PCIBank on October 5, 1999, and the trial court duly
noted such appearance in its Order dated October 8, 1999. (see Rollo, pp. 406
and 408).
35.
Rollo, p. 66.
36.
Id. at 67.