If you have received a subpoena from the prosecutor’s office, it likely means a complaint has been filed against you and the case is now undergoing preliminary investigation.

This stage is critical. It determines whether a criminal case will move forward to court — or be dismissed outright.

Here is what you need to know.

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What Is a Preliminary Investigation?

A preliminary investigation is a proceeding conducted by a public prosecutor to determine whether there is reasonable certainty to file a criminal case in court.

It is not yet a trial. A preliminary investigation is not yet a finding of guilt.

It is a screening process.

No judge is involved at this stage. Think of it as “screening process”.

Instead, the prosecutor evaluates:

• The complaint
• The supporting evidence
• The respondent’s counter-affidavit
• Any additional evidence submitted by both sides

The goal is simple:

Is there enough evidence to believe a crime was committed and that there is reasonable certainty that the respondent is guilty?

If yes, the case is filed in court.

If not, the complaint is dismissed.

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When Is a Preliminary Investigation Required?

Under Philippine criminal procedure, a preliminary investigation is required for offenses where the penalty prescribed by law is at least four (4) years, two (2) months, and one (1) day.

Serious crimes such as:

• Estafa
• Qualified theft
• Certain forms of fraud
• Some types of physical injuries
• Other major offenses

will typically go through this process.

If you are facing an estafa complaint, you may also want to read our guide on what happens after an estafa complaint is filed.

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What Happens During a Preliminary Investigation?

The process usually follows these steps:

1. Filing of the Complaint

The complainant files:

• A complaint-affidavit
• Supporting documents
• Sworn statements of witnesses (if any)

This is submitted to the Office of the City or Provincial Prosecutor.

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2. Issuance of Subpoena

If the prosecutor finds the complaint sufficient in form, a subpoena is issued to the respondent.

The subpoena directs the respondent to submit a counter-affidavit within a specified period (usually 10 days).

This is the most important stage for the respondent.

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3. Submission of Counter-Affidavit

The respondent submits:

• A counter-affidavit
• Supporting documents
• Witness affidavits (if applicable)

This is your opportunity to:

• Deny the allegations
• Present your version of facts
• Show lack of reasonable certainty of conviction
• Raise defenses early

There is usually no oral hearing unless the prosecutor finds it necessary.

Everything is primarily based on written submissions.

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4. Resolution

After evaluating the evidence, the prosecutor issues a resolution:

• If reasonable certainty of conviction exists:
  An Information is filed in court. The case proceeds to arraignment and trial.
• If it does not exist:
  The complaint is dismissed.

If the case proceeds to court, the next issue often becomes bail. You can read more about how bail works in criminal cases in the Philippines in our separate guide.

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Can a Case Be Dismissed at This Stage?

Yes.

Many criminal complaints are dismissed during preliminary investigation due to:

• Insufficient evidence
• Contradictory affidavits
• Lack of supporting documents
• Weak legal basis
• Purely civil disputes disguised as criminal cases

A well-prepared counter-affidavit can significantly increase the chances of dismissal.

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Can the Parties Settle During Preliminary Investigation?

In certain cases, especially those involving private complainants (like estafa or bouncing checks), settlement discussions may happen before the case is filed in court.

However:

• Not all crimes are legally extinguished by settlement.
• Some offenses are crimes against the State and will proceed regardless of private compromise.

Each situation must be evaluated carefully.

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What Happens If the Case Is Filed in Court?

If the prosecutor finds reasonable certainty of conviction, the case is filed in the appropriate trial court.

The court will then:

1. Determine judicial probable cause.
2. Issue a warrant of arrest (if justified).
3. Set the case for arraignment.

At that point, the matter becomes a full criminal case, which may take years depending on complexity and court congestion.

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Why Preliminary Investigation Is Critical

Many people underestimate this stage.

But strategically, it is often the most important phase of a criminal case.

Why?

Because:

• It is your first opportunity to shape the narrative.
• Weak cases can be stopped early.
• It avoids the stress, publicity, and cost of trial.
• It may prevent the issuance of a warrant of arrest.

A poorly prepared counter-affidavit, on the other hand, may lead to unnecessary litigation.

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Should You Get a Lawyer During Preliminary Investigation?

Technically, you may draft and submit a counter-affidavit on your own.

But this stage involves:

• Legal analysis of the elements of the offense
• Strategic framing of facts
• Documentary support
• Procedural compliance

Mistakes here cannot always be undone later.

Early legal advice can make the difference between dismissal and a full criminal trial.