impeachment and quo warranto
are materially different
While both impeachment and quo warranto may result in the ouster of the public official, the two proceedings materially differ. At its most basic, impeachment proceedings are political in nature, while an action for quo warranto is judicial or a proceeding traditionally lodged in the courts.
To lend proper context, We briefly recount the origin and nature of impeachment proceedings and a quo warranto petition:
Impeachment
Historians trace the origin of impeachment as far as the 5th century in ancient Greece in a process called eisangelia. 117 The grounds for impeachment include treason, conspiracy against the democracy, betrayal of strategic posts or expeditionary forces and corruption and deception. 118
Its, modern form, however, appears to be inspired by the British parliamentary system of impeachment. Though both public and private officials can be the subject of the process, the British system of impeachment is largely similar to the current procedure in that it is undertaken in both Houses of the Parliament. The House of Commons determines when an impeachment should be instituted. If the grounds, normally for treason and other high crimes and misdemeanor, are deemed sufficient, the House of Commons prosecutes the individual before the House of Lords. 119
While impeachment was availed for "high crimes and misdemeanors", it would appear that the phrase was applied to a variety of acts which can arguably amount to a breach of the public's confidence, such as advising the King to grant liberties and privileges to certain persons to the hindrance of the due execution of the laws, procuring offices for persons who were unfit, and unworthy of them and squandering away the public treasure, browbeating witnesses and commenting on their credibility, cursing and drinking to excess, thereby bringing the highest scandal on the public justice of the kingdom, and failure to conduct himself on the most distinguished principles of good faith, equity, moderation, and mildness. 120
While heavily influenced by the British concept of impeachment, the United States of America made significant modifications from its British counterpart. Fundamentally, the framers of the United States visualized the process as a means to hold accountable its public officials, as can be gleaned from their basic law:
The President, Vice-President, and all civil Officers of the United States, shall be removed from Office on Impeachment for, and Conviction of, treason, Bribery, or other High Crimes and Misdemeanors. 121
Other noted differences from the British process of impeachment include limiting and specifying the grounds to "treason, Bribery, or other High Crimes and Misdemeanors", and punishing the offender with removal and disqualification to hold public office instead of death, forfeiture of property and corruption of blood. 122
In the Philippines, the earliest record of impeachment in our laws is from the 1935 Constitution. 123 Compared to the US Constitution, it would appear that the drafters of the 1935 Constitution further modified the process by making impeachment applicable only to the highest officials of the country; providing "culpable violation of the Constitution" as an additional ground, and requiring a two-thirds vote of the House of Representatives to impeach and three-fourths vote of the Senate to convict.
As currently worded, our 1987 Constitution, in addition to those stated in the 1935 basic law, provided another additional ground to impeach high-ranking public officials: "betrayal of public trust". Commissioner Rustico De los Reyes of the 1986 Constitutional Commission explained this ground as a "catch-all phrase to include all acts which are not punishable by statutes as penal offenses but, nonetheless, render the officer unfit to continue in office. It includes betrayal of public interest, inexcusable negligence of duty, tyrannical abuse of power, breach of official duty by malfeasance or misfeasance, cronyism, favoritism, etc. to the prejudice of public interest and which tend to bring the office into disrepute." 124
From the foregoing, it is apparent that although the concept of impeachment has undergone various modifications to suit different jurisdictions and government forms, the consensus seems to be that it is essentially a political process meant to vindicate the violation of the public's trust. Buckner Melton, in his book The First Impeachment: The Constitution’s Framers and the Case of Senator William Blount, succinctly opined:
Practically all who have written on the subject agree that impeachment involves a protection of a public interest, incorporating a public law element, much like a criminal proceeding .... [I]mpeachment is a process instigated by the government, or some branch thereof, against a person who has somehow harmed the government or the community. The process, moreover, is adversarial in nature and resembles, to that extent, a judicial trial. 125
Quo warranto
The oft-cited origin of quo warranto was the reign of King Edward I of England who questioned the local barons and lords who held lands or title under questionable authority. After his return from his crusade in Palestine, he discovered that England had fallen because of ineffective central administration by his predecessor, King Henry 111. 126 The inevitable result was that the barons, whose relations with the King were governed on paper by Magna Carta, assumed to themselves whatever power the King's officers had neglected. Thus, King Edward I deemed it wise to inquire as to what right the barons exercised any power that deviated in the slightest from a normal type of feudalism that the King had in mind. The theory is that certain rights are regalia and can be exercised only upon showing of actual grants from the King or his predecessor. Verily, King Edward's purpose was to catalogue the rights, properties and possessions of the kingdom in his efforts to restore the same.
In the Philippines, the remedies against usurpers of public office appeared in the 1900s, through Act No. 190. 127 Section 197 of the Act provides for a provision comparable to Section 1, Rule 66 of the Rules of Court:
Sec. 197. Usurpation of an Office or Franchise- A civil action may be brought in the name of the Government of the Philippine Islands:
1. Against a person who usurps, intrudes into, or unlawfully holds or exercises a public civil office or a franchise within the Philippine Islands, or an office in a corporation created by the authority of the Government of the Philippine Islands;
2. Against a public civil officer who does or suffers an act which, by the provisions of law, works a forfeiture of his office;
3. Against an association of persons who act as a corporation within the Philippine Islands, without being legally incorporated or without lawful authority so to act.
Based from the foregoing, it appears that impeachment is a proceeding exercised by the legislative, as representatives of the sovereign, to vindicate the breach of the trust reposed by the people in the hands of the public officer by determining the public officer's fitness to stay in the office. Meanwhile, an action for quo warranto, involves a judicial determination of the eligibility or validity of the election or appointment of a public official based on predetermined rules.
Quo warranto and impeachment can
proceed independently and
simultaneously
Aside from the difference in their origin and nature, quo warranto and impeachment may proceed independently of each other as these remedies are distinct as to (1) jurisdiction (2) grounds, (3) applicable rules pertaining to initiation, filing and dismissal, and (4) limitations.
The term "quo warranto" is Latin for "by what authority." 128 Therefore, as the name suggests, quo warranto is a writ of inquiry. 129 It determines whether an individual has the legal right to hold the public office he or she occupies. 130
In review, Section 1, Rule 66 of the Rules of Court provides:
Action by Government against individuals. - An action for the usurpation of a public office, position or franchise may be commenced by a verified petition brought in the name of the Republic of the Philippines against:
(a) A person who usurps, intrudes into, or unlawfully holds or exercises a public office, position or franchise;
(b) A public officer who does or suffers an act which, by the provision of law, constitutes a ground for the forfeiture of his office; or
(c) An association which acts as a corporation within the Philippines without being legally incorporated or without lawful authority so to act.
Thus, a quo warranto proceeding is the proper legal remedy to determine the right or title to the contested public office or to oust the holder from its enjoyment. In quo warranto proceedings referring to offices filled by election, what is to be determined is the eligibility of the candidates elected, while in quo warranto proceedings referring to offices filled by appointment, what is determined is the legality of the appointment.
The title to a public office may not be contested collaterally but only directly, by quo warranto proceedings. In the past, the Court held that title to public office cannot be assailed even through mandamus or a motion to annul or set aside order. 131 That quo warranto is the proper legal vehicle to directly attack title to public office likewise precludes the filing of a petition for prohibition for purposes of inquiring into the validity of the appointment of a public officer. Thus, in Nacionalista Party v. De Vera, 132 the Court held:
"[T]he writ of prohibition, even when directed against persons acting as judges or other judicial officers, cannot be treated as a substitute for quo warranto or be rightfully called upon to perform any of the functions of the writ. If there is a court, judge or officer de facto, the title to the office and the right to act cannot be questioned by prohibition. If an intruder takes possession of a judicial office, the person dispossessed cannot obtain relief through a writ of prohibition commanding the alleged intruder to cease from performing judicial acts, since in its very nature prohibition is an improper remedy by which to determine the title to an office." 133
As earlier discussed, an action for quo warranto may be commenced by the Solicitor General or a public prosecutor, or by any person claiming to be entitled to the public office or position usurped or unlawfully held or exercised by another. 134
That usurpation of a public office is treated as a public wrong and carries with it public interest in our jurisdiction is clear when Section 1, Rule 66 provides that where the action is for the usurpation of a public office, position or franchise, it shall be commenced by a verified petition brought in the name of the Republic of the Philippines through the Solicitor General or a public prosecutor. 135
Nonetheless, the Solicitor General, in the exercise of sound discretion, may suspend or turn down the institution of an action for quo warranto where there are just and valid reasons. Upon receipt of a case certified to him, the Solicitor General may start the prosecution of the case by filing the appropriate action in court or he may choose not to file the case at all. The Solicitor General is given permissible latitude within his legal authority in actions for quo warranto, circumscribed only by the national interest and the government policy on the matter at hand. 136
The instance when an individual is allowed to commence an, action for quo warranto in his own name is when such person is claiming to be entitled to a public office or position usurped or unlawfully held or exercised by another. 137 Feliciano v. Villasin 138 reiterates the basic principle enunciated in Acosta v. Flor 139 that for a quo warranto petition to be successful, the private person suing must show no less than a clear right to the contested office.
In case of usurpation of a public office, when the respondent is found guilty of usurping, intruding into, or unlawfully holding or exercising a public office, position or franchise, the judgment shall include the following:
(a) the respondent shall be ousted and excluded from the office;
(b) the petitioner or relator, as the case may be, shall recover his costs; and
(c) such further judgment determining the respective rights in and to the public office, position or franchise of all the parties to the action as justice requires. 140
The remedies available in a quo warranto judgment do not include correction or reversal of acts taken under the ostensible authority of an office or franchise. Judgment is limited to ouster or forfeiture and may not be imposed retroactively upon prior exercise of official or corporate duties. 141
Quo warranto and impeachment are, thus, not mutually exclusive remedies and may even proceed simultaneously. The existence of other remedies against the usurper does not prevent the State from commencing a quo warranto proceeding. 142
Respondent's Reply/Supplement to the Memorandum Ad Cautelam specifically tackled the objection to the petition on the ground of forum shopping,. Essentially, respondent points out that the inclusion of the matter on tax fraud, which will further be discussed below, is already covered by Article I of the Articles of Impeachment. Hence, respondent argues, among others, that the petition should be dismissed on the ground of forum shopping.
Forum shopping is the act of a litigant who repetitively availed of several judicial remedies in different courts, simultaneously or successively, all substantially founded on the same transactions and the same essential facts and circumstances, and all raising substantially the same issues, either pending in or already resolved adversely by some other court, to increase his chances of obtaining a favorable decision if not in one court, then in another. 143 Forum shopping originated as a concept in private international law, where non-resident litigants are given the option to choose the forum or place wherein to bring their suit for various reasons or excuses, including to secure procedural advantages, to annoy and harass the defendant, to avoid overcrowded dockets, or to select a more friendly venue. 144 At present, our jurisdiction has recognized several ways to commit forum shopping, to wit: ( 1) filing multiple cases based on the same cause of action and with the same prayer, the previous case not having been resolved yet (where the ground for dismissal is litis pendentia); (2) filing multiple cases based on the same cause of action and the same prayer, the previous case having been finally resolved (where the ground for dismissal is res judicata); and (3) filing multiple cases based on the same cause of action but with different prayers (splitting of causes of action, where the ground for dismissal is also either litis pendentia or res judicata). 145
We have already settled that the test for determining existence of forum shopping is as follows:
To determine whether a party violated the rule against forum shopping, the most important factor to ask is whether the elements of litis peridentia are present, or whether a final judgment in one case will amount to res judicata in another; otherwise stated, the test for determining forum shopping is whether in the two (or more) cases pending, there is identity of parties, rights or causes of action, and reliefs sought. 146 (Emphasis ours)
Litis pendentia is a Latin term, which literally means "a pending suit" and is variously referred to in some decisions as lis pendens and auter action pendant. As a ground for the dismissal of a civil action, it refers to the situation where two actions are pending between the same parties for the same cause of action, so that one of them becomes unnecessary and vexatious. It is based on the policy against multiplicity of suits. Litis pendentia requires the concurrence of the following requisites: ( 1) identity of parties, or at least such parties as those representing the same interests in both actions; (2) identity of rights asserted and reliefs prayed for, the reliefs being founded on the same facts; and (3) identity with respect to the two preceding particulars in the two cases, such that any judgment that may be rendered in the pending case, regardless of which party is successful, would amount to res judicata in the other case. 147
On the other hand, res judicata or prior judgment bars a subsequent case when the following requisites are satisfied: (1) the former judgment is final; (2) it is rendered by a court having jurisdiction over the subject matter and the parties; (3) it is a judgment or an order on the merits; ( 4) there is - between the first and the second actions - identity of parties, of subject matter, and of causes of action. 148
Ultimately, what is critical is the vexation brought upon the courts and the litigants by a party who asks different courts to rule on the same or related causes and grant the same or substantially the same reliefs and in the process creates the possibility of conflicting decisions being rendered by the different fora upon the same issues. 149
Guided by the foregoing, there can be no forum shopping in this case despite the pendency of the impeachment proceedings before the House of Representatives, contrary to respondent's position.
The causes of action in the two proceedings are unequivocally different. In quo warranto, the cause of action lies on the usurping, intruding, or unlawfully holding or exercising of a public office, while in impeachment, it is the commission of an impeachable offense. Stated in a different manner, the crux of the controversy in this quo warranto proceedings is the determination of whether or not respondent legally holds the Chief Justice position to be considered as an impeachable officer in the first place. On the other hand, impeachment is for respondent's prosecution for certain impeachable offenses. To be sure, respondent is not being prosecuted herein for such impeachable offenses enumerated in the Articles of Impeachment. Instead, the resolution of this case shall be based on established facts and related laws. Simply put, while respondent's title to hold a public office is the issue in quo warranto proceedings, impeachment necessarily presupposes that respondent legally holds the public office and thus, is an impeachable officer, the only issue being whether or not she committed impeachable offenses to warrant her removal from office.
Likewise, the reliefs sought in the two proceedings are different. Under the Rules on quo warranto, "when the respondent is found guilty of usurping, intruding into, or unlawfully holding or exercising a public office, x x x, judgment shall be rendered that such respondent be ousted and altogether excluded therefrom, x x x. "150 In short, respondent in a quo warranto proceeding shall be adjudged to cease from holding a public office, which he/she is ineligible to hold. On the other hand, in impeachment, a conviction for the charges of impeachable offenses shall result to the removal of the respondent from the public office that he/she is legally holding. 151 It is not legally possible to impeach or remove a person from an office that he/she, in the first place, does not and cannot legally hold or occupy.
In the said Reply/Supplement to the Memorandum Ad Cautelam, respondent advanced the argument that the "impeachment proceeding" is different from the "impeachment case", the former refers to the filing of the complaint before the Committee on Justice while the latter refers to the proceedings before the Senate. Citing Francisco v. House of Representatives, respondent posits that the "impeachment proceeding" against her is already pending upon the filing of the verified complaint before the House Committee on Justice albeit the "impeachment case" has not yet started as the Articles of Impeachment has not yet been filed with the Senate. Hence, in view of such proceeding before the Committee on Justice, the filing of the instant petition constitutes forum shopping.
The difference between the "impeachment proceeding" and the "impeachment case" correctly cited by the respondent, bolsters the conclusion that there can be no forum shopping. Indeed, the "impeachment proceeding" before the House Committee on Justice is not the "impeachment case" proper. The impeachment case is yet to be initiated by the filing of the Articles of Impeachment before the Senate. Thus, at the moment, there is no pending impeachment case against the respondent.
The House Committee on Justice's determination of probable cause on whether the impeachment against the respondent should go on trial before the Senate is akin to the prosecutor's determination of probable cause during the preliminary investigation in a criminal case. In a preliminary investigation, the prosecutor does not determine the guilt or innocence of the accused; he does not exercise adjudication nor rule-making functions. The process is merely inquisitorial and is merely a means of discovering if a person may be reasonably charged with a crime. It is not a trial of the case on the merits and has no purpose except that of determining whether a crime has been committed and whether there is probable cause to believe that the accused is guilty thereof. 152 As such, during the preliminary investigation before the prosecutor, there is no pending case to speak of yet. In fact, jurisprudence states that the preliminary investigation stage is not part of the trial. 153
Thus, at the time of the filing of this petition, there is no pending impeachment case that would bar the quo warrranto petition on the ground of forum shopping.
In fine, forum shopping and litis pendentia are not present and a final decision in one will not strictly constitute as res judicata to the other. A judgment in a quo warranto case determines the respondent's constitutional or legal authority to perform any act in, or exercise any function of the office to which he lays claim; 154 meanwhile a judgment in an impeachment proceeding pertain to a respondent's "fitness for public office." 155
Considering the legal basis and nature of an action for quo waranto, this Court cannot shirk from resolving the instant controversy in view of the fact that· respondent is an impeachable officer and/or in view of the possibility of an impeachment trial against respondent."
G.R. No. 237428
REPUBLIC of the PHILIPPINES, represented by SOLICITOR GENERAL JOSE C. CALIDA, Petitioner
vs
MARIA LOURDES P.A. SERENO, Respondent
https://lawphil.net/judjuris/juri2018/may2018/gr_237428_2018.html
