Professional Documents
Culture Documents
Revised Ethics Reviewer
Revised Ethics Reviewer
REVIEWER
ATENEO CENTRAL BAR OPERATIONS 2002
TOLOSA & ASSOCIATES
BAR V. BENCH
Refers to the whole body of attorneys and denotes the whole body of judges
counselors, collectively the members of
the legal profession
Practice of Law – any activity, in or out of court which requires the application of law,
legal procedure, knowledge, training and experience. To engage in the practice
of law is to give notice or render any kind of service, which device or service
requires the use in any degree of legal knowledge or skill (Cayetano v. Monsod,
201 SCRA 210).
Note: In localities where members of the Bar are not available, the court may
appoint any person, resident of the province and good repute for probity and
ability, to defend the accused. Sec. 7, Rule 116, Rules of Court.
Attorney ad hoc – a person named and appointed by the court to defend an absentee
defendant in the suit in which the appointment is made (Bienvenu v. Factor’s of
Traders Insurance Cp., 33 La.Ann.209)
Attorney of Record - one who has filed a notice of appearance and who hence is
formally mentioned in court records as the official attorney of the party. Person
whom the client has named as his agent upon whom service of papers may be
made. (Reynolds v. Reynolds, Cal.2d580).
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Lead Counsel – The counsel on their side of a litigated action who is charged with the
principal management and direction of a party’s case.
House Counsel – Lawyer who acts as attorney for business though carried as an
employee of that business and not as an independent lawyer.
Advocate – The general and popular name for a lawyer who pleads on behalf of
someone else.
The Supreme Court acts through a Bar Examination Committee in the Exercise of his
judicial function to admit candidates to the legal profession.
Practice of Law
The practice of law is a PRIVILEGE granted only to those who possess the
STRICT INTELLECTUAL AND MORAL QUALIFICATIONS required of lawyers who are
instruments in the effective and efficient administration of justice. (In Re: Argosino,
1997).
Practice of law means any activity, in or out of court, which requires the
application of law, legal procedure, knowledge, training, and experience. “To engage in
the practice of law is to perform those acts which are characteristics of the profession.
Generally, to practice law is to give notice or render any kind of service, which device or
service requires the use in any degree of legal knowledge or skill.” (Cayetano vs.
Monsod, 201 SCRA 210 citing 111 ALR 23).
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1. Citizen of the Philippines
2. At least 21 years old
3. Of good moral character
4. Resident of the Philippines
5. Production before the Supreme Court satisfactory evidence of:
a. Good moral character
b. No charges against him, involving moral turpitude, have been filed or are
pending in any court in the Philippines.
Public Officials who cannot engage in the private practice of Law in the
Philippines:
1. Judges and other officials as employees of the Supreme Court (Rule 148,
Sec. 35, RRC).
2. Officials and employees of the OSG (Ibid.)
3. Government prosecutors (People v. Villanueva, 14 SCRA 109).
4. President, Vice-President, members of the cabinet, their deputies and
assistants (Art. VIII Sec. 15, 1987 Constitution).
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5. Members of the Constitutional Commission (Art IX-A, Sec. 2, 1987
Constitution)
6. Ombudsman and his deputies (Art. IX, Sec. 8 (2nd par), 1987 Constitution)
7. All governors, city and municipal mayors (R.A. No. 7160, Sec. 90).
8. Those prohibited by special law
Attorney’s Oath
CHAPTER 1
LAWYER AND SOCIETY
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REVIEWER
ATENEO CENTRAL BAR OPERATIONS 2002
TOLOSA & ASSOCIATES
CANON 1 – A lawyer shall uphold the constitution, obey the laws of the
land and promote respect for law and for legal processes
• Duties of Attorneys:
a. To maintain allegiance to the Republic of the Philippines and to
support the Constitution and obey the laws of the Philippines;
b. To observe and maintain the respect due to the courts of justice and
judicial officers;
c. To counsel or maintain such actions or proceedings only as appear to
him as just, and such defenses only as he believes to be honestly debatable
under the laws;
d. To employ, for the purpose of maintaining the causes confided to him,
such means only as are consistent with truth and honor, and never seek to
mislead the judge or any judicial officer by an artifice or false statement of fact or
law;
e. To maintain inviolate the confidence, and at every peril to himself, to
preserve the secrets of his client, and to accept no compensation in connection
with his client's business except from him or with his knowledge and approval;
f. To abstain from all offensive personality and to advance no fact
prejudicial to the honor or reputation of a party or witness, unless required by the
justice of the cause with which he is charged;
g. Not to encourage either the commencement or the continuance of an
action or proceeding, or delay any man's cause for any corrupt motive or interest;
h. Never to reject, for any consideration personal to himself, the cause of
the defenseless or oppressed;
i. In the defense of a person accused of a crime, by all fair and
honorable means, regardless of his personal opinion as to the guilt of the
accused, to present every defense that the law permits, to the end that no person
may be deprived of life or liberty, but by due process of law.
• Conviction for crimes involving moral turpitude – a number of lawyers have been
suspended or disbarred for conviction of crimes involving moral turpitude such as:
a. Estafa
b. Bribery
c. Murder
d. Seduction
e. Abduction
f. Smuggling
g. Falsification of public documents
• Morality as understood in law - This is a human standard based on natural moral law
which is embodied in man’s conscience and which guides him to do good and avoid
evil.
• Moral Turpitude: any thing that is done contrary to justice, honesty, modesty or good
morals.
• Immoral Conduct: that conduct which is willful, flagrant, or shameless and which
shows a moral indifference to the opinion of the good and respectable members of
the community (Arciga vs. Maniwag, 106 SCRA 591).
• Grossly Immoral Conduct: One that is so corrupt and false as to constitute a criminal
act or so unprincipled or disgraceful as to be reprehensible to a high degree; it is a
WILLFUL, FLAGRANT or SHAMELESS ACT which shows a MORAL
INDIFFERENCE to the opinion of respectable members of the community. (Narag
vs. Narag, 1998)
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• An attorney may be removed not only for malpractice and dishonesty in his
profession but also for gross misconduct not related to his professional duties which
show him to be an unfit and unworthy lawyer.(Co vs. Bernardino, 285 SCRA 102).
• If a lawyer finds that his client’s cause is defenseless, it is his burden/duty to advise
the latter to acquiesce and submit, rather than traverse the incontrovertible.
• Should not be an instigator of controversy but a mediator for concord and conciliator
for compromise.
• The law violated need not be a penal law. “Moral Turpitude” – everything which is
done contrary to justice, honesty, modesty or good morals.
• Give advice tending to impress upon the client and his undertaking exact compliance
with the strictest principles of moral law.
• Until a statute shall have been construed and interpreted by competent adjudication,
he is free and is entitled to advise as to its validity and as to what he conscientiously
believes to be its just meaning and extent.
• A lawyer has the obligation not to encourage suits. This is so as to prevent barratry
and ambulance chasing.
• Barratry – offense of frequently exciting and stirring up quarrels and suits, either at
law or otherwise; Lawyer’s act of fomenting suits among individuals and offering his
legal services to one of them.
• Ambulance Chasing – Act of chasing victims of accidents for the purpose of talking
to the said victims (or relatives) and offering his legal services for the filing of a case
against the person(s) who caused the accident(s).
Rule 2.01 – A lawyer shall not reject, except for valid reasons, the
cause of the defenseless or oppressed.
Rule 2.02 – In such a case, even if a lawyer does not accept a case,
he shall not refuse to render legal advise to the person concerned if
only to the extent necessary to safeguard latter’s rights.
Rule 2.03 – A lawyer shall not do or permit to be done any act
designed primarily to solicit legal business.
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b. A relation as an ‘officer of court’ to the administration of justice involving
thorough sincerity, integrity and reliability;
c. A relation to clients in the highest degree of fiduciary;
d. A relation to colleagues at the bar characterized by candor, fairness and
unwillingness to resort to current business methods of advertising and
encroachment on their practice or dealing with their clients.
Rule on Advertisements
• General Rule: No advertisements allowed. The most worthy and effective
advertisement possible is the establishment of a well-merited reputation for
professional capacity and fidelity to trust.
Lawyers may not advertise their services or expertise nor should not
resort to indirect advertisements for professional employment, such as
furnishing or inspiring newspaper comments, or procuring his photograph
to be published in connection with causes in which the lawyer has been
engaged or concerning the manner of their conduct, the magnitude of the
interest involved, the importance of the lawyer's position, and all other
self-laudation.
Rule 2.04 – A lawyer shall not charge rates lower than those
customarily or prescribed, unless circumstances so warrant.
• Rule: A lawyer cannot compromise the case without client’s consent (special
authority).
Exception: Lawyer has exclusive management of the procedural aspect of the
litigation (e.g. Submission for decision on the evidence so far presented. But in case
where lawyer is confronted with an emergency and prompt/urgent action is
necessary to protect clients interest and there’s no opportunity for consultation, the
lawyer may compromise.
• Rule: Refrain from charging rates lower than the customary rates.
Valid Justification: relatives, co-lawyers, too poor
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CANON 3 – A lawyer in making known is legal services shall use only true,
honest, fair dignified and objective information or statement of facts.
Rule 3.01 – A lawyer shall not use or permit the use of any false,
fraudulent, misleading, deceptive, undignified, self-auditory or unfair
statement or claim regarding his qualifications or legal services.
• Death of a partner does not extinguish attorney-client relationship with the law firm.
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Purpose: Required of members of the IBP to ensure that throughout their career, they keep abreast
with law and jurisprudence, maintain the ethics of the profession and enhance the standards of the practice
of law.
Commencement of MCLE: Within two (2) months from the approval of these Rules by the SC, the
IBP shall commence the implementation of the MCLE.
Requirements of completion of MCLE: Members of the IBP, unless exempted under Rule 7, shall
complete every 3 years at least 36 hours of continuing legal education activities. The 36 hours shall be
divided as follows:
a. 6 hours – legal ethics
b. 4 hours – trial and pretrial skills
c. 5 hours – alternative dispute resolution
d. 9 hours – updates on substantive and procedural laws and jurisprudence
e. 4 hours – legal writing and oral advocacy
f. 2 hours – international law and international conventions
g. remaining 6 hours – such other subjects as may be prescribed by the Committee on
MCLE.
Compliance Period: The initial compliance period shall begin not later than 3 months from the
adoption of the IBP of the Rules. 3 Compliance Groups shall be designated:
1. Compliance Group 1 – Members in the NCR (Metro Manila)
2. Compliance Group 2 – Members in Luzon
3. Compliance Group 3 – Members in Visayas and Mindanao
Credit Units: For every class of credit, a corresponding number of credit units shall be assigned.
Classes of Credits:
1. Participatory Credit – attending approved education activities like seminars, conventions, symposia, and
the like; speaking or lecturing, or assigned as panelist, reactor, or commentator, etc. in approved
education activities; teaching in law school or lecturing in bar review classes.
2. Non-participatory – preparing, as author or co-author, written materials (e.g. article, book or book
review) which contribute to the legal education of the author member, which were not prepared in the
ordinary course of his practice or employment; editing a law book, law journal or legal newsletter.
Parties exempted from the MCLE:
1. The President, Vice-President and the Secretaries and Undersecretaries of Executive Departments;
2. Senators and Members of the House of Representatives;
3. The Chief Justice and Associate Justices of the Supreme Court, incumbent and retired Justices of the
judiciary, incumbent members of the Judicial and Bar Council and incumbent court lawyers covered by
the Philippine Judicial Academy program of continuing judicial education;
4. The Chief State Counsel, Chief State Prosecutor and Assistant Secretaries of the Dept. of Justice;
5. The Solicitor General and the Assistant Solicitor General;
6. The Government Corporate Counsel, Deputy and Assistant Government Corporate Counsel;
7. The Chairman and Members of the Constitutional Commissions;
8. The Ombudsman, the Overall Deputy Ombudsman, the Deputy Ombudsmen and the Special
Prosecutor of the Office of the Ombudsman;
9. Heads of government agencies exercising quasi-judicial functions;
10. Incumbent deans, bar reviewers and professors of law who have teaching experience for at least 10
years in accredited law schools;
11. The Chancellor, Vice-Chancellor and members of the Corps of Professional and Professorial Lecturers
of the Philippine Judicial Academy; and
12. Governors and Mayors.
Other parties exempted:
1. Those who are not in law practice, private or public;
2. Those who have retired from law practice with the approval of the IBP Board of Governors.
Good Cause for exemption from or modification of requirement: A member may file a verified
request setting forth good cause for exemption (such as physical disability, illness, post-graduate study
abroad, proven expertise in law, etc.) from compliance with or modification of any of the requirements,
including an extension of time for compliance, in accordance with procedure to be established by the
Committee on MCLE.
Proof of exemption: Applications for exemption from or modification of the MCLE requirement shall be
under oath and supported by documents.
Non-compliance Procedures:
1. What constitutes non-compliance
a. Failure to complete education requirement within the compliance period
b. Failure to provide attestation of compliance or exemption
c. Failure to provide satisfactory evidence of compliance (including evidence of exempt status) within
the prescribed period
d. Failure to satisfy the education requirement and furnish evidence of such compliance within 60
days from receipt of non-compliance notice
e. Failure to pay non-compliance fee within the prescribed period
f. Any other act or omission analogous to any of the foregoing or intended to circumvent or evade
compliance with the MCLE requirements.
2. Members failing to comply will receive a Non-Compliance Notice stating the specific deficiency and will
be given 60 days from date of notification to file a RESPONSE.
Consequences of Non-Compliance
1. A member who fails to comply with the requirements after the 60-day period shall be LISTED AS
DELINQUENT MEMBER by the IBP Board of Governors upon recommendation of the Committee on
MCLE.
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2. The listing as a delinquent member is administrative in nature but shall be made with notice and hearing
by the Committee on MCLE.
Committee on Mandatory Continuing Legal Education
Composition: Standing Committee of Five (5) Members
1. Retired Justice of the SC – Chairman, nominated by the SC
2. IBP National President – Vice-Chair
3. 3 other members – nominated by the Philippine Judicial Academy, UP Law Center and Association of
Law Professors, respectively.
• Members of the Committee shall be of proven probity and integrity and shall receive compensation as
may be determined by the SC. The initial terms of each of the 3 members shall be 5,4 and 3 years
respectively.
Effectivity: 15 September 2000, following its publication in 2 newspapers of general circulation.
• Public Officials – include elective and appointive officials and employees, permanent
or temporary, whether in the career or non-career service, including military and
police personnel, whether or not they receive compensation, regardless of amount.
(Sec. 3 (b), RA 6713).
• The law requires the observance of the following norms of conduct by every public
official in the discharge and execution of their official duties:
a. Commitment to public interest
b. Professionalism
c. Justness and sincerity
d. Political neutrality
e. Responsiveness to the public
f. Nationalism and patriotism
g. Commitment to democracy
h. Simple living (Sec. 4, RA 6713)
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above, but the professional concerned cannot practice his profession in connection with
any matter before the office he used to be with, in which case the one year prohibition
shall likewise apply.
• Lawyers in the government service are prohibited to engage in the private practice of
their profession unless authorized by the constitution or law, provided that such
practice will not conflict or tend to conflict with their official functions.
• Misconduct in office as a public official may be a ground for disciplinary action (if it is
of such character as to affect his qualification as lawyer or to show moral
delinquency).
• The OSG is not authorized to represent a public official at any state of a criminal
case.
CHAPTER II
THE LAWYER AND THE LEGAL PROFESSION
CANON 7 – A lawyer shall at all times uphold the integrity and dignity of the
legal profession, and support the activities of the integrated bar.
• A lawyer must at all times conduct himself properly as not to put into question his
fitness to practice law.
• Avoid scandalous conduct; not only required to refrain from adulterous relationships
or the keeping of mistress but must also behave himself as to avoid scandalizing the
public by creating the belief that he is flouting those moral standards.
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• It is the duty of a lawyer to inform the SC or the IBP of such malpractice to the end
that the malpractitioner be properly disciplined.
• Not to use in pleadings and in practice the following: disrespectful, abusive and
abrasive language, offensive personalities, unfounded accusations or intemperate
words tending to obstruct, embarrass or influence the court in administering justice.
• Want of intention: not an excuse for the disrespectful language used. It merely
extenuates liability.
• A lawyer, both as an officer of the court and as a citizen, may criticize in properly
respectful terms and through legitimate channels the act of courts and judges. But it
is the cardinal condition of all such criticism that it shall be bona fide, and shall not
spill over the walls of decency and propriety. (In Re: Almacen, 31 SCRA 562)
Rule 9.01 – A lawyer shall not delegate to any unqualified person the
performance of any task which by law may only be performed by a
member of the bar in good standing.
Rule 9.02 – A lawyer shall not divide or stipulate to divide a fee for
legal services with persons not licensed to practice law, except:
a. Where there is a pre-existing agreement, with a partner or
associate that, upon the latter’s death, money shall be paid over a
reasonable period of time to his estate or to the persons specified in the
agreement; or
b. Where a lawyer undertakes to complete unfinished legal
business of a deceased lawyer; or
c. Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan is based in whole or in part
of a profit sharing arrangements.
• Lawyer shall not negotiate with the opposite party who is represented by a counsel.
Neither should the lawyer attempt to interview the opposite party and question him
as to the facts of the case even if the adverse party is willing to do so.
• Lawyer should deal only with counsel, even if there’s a fair agreement.
• Lawyer may, however, interview any witness or prospective witness for the opposing
side.
Limitation: avoid influencing witness in recital and conduct.
• A lawyer cannot delegate his authority without client’s consent even to a qualified
person.
CHAPTER III
THE LAWYER AND THE COURTS
CANON 10 – A Lawyer owes candor, fairness and good faith to the court.
Rule 10.01 – A lawyer shall not do any falsehood, nor consent to the
doing of any in court; nor shall he mislead or allow the court to be
mislead by any artifice.
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Rule 10.02 – A lawyer shall not knowingly misquote or misrepresent
the contents of the paper, the language or the argument of opposing
counsel, or the text of a decision of authority, or knowingly cite as
law a provision already rendered inoperative by repeal or
amendment, or assert as a fact that which has not been approved.
Rule 10.03 – A lawyer shall observe the rules of procedure and shall
not misuse them to defeat the ends of justice.
• Cases of falsehood:
a. Stating in the Deed of Sale that property is free from all liens and encumbrances
when not so
b. Encashing check payable to a deceased cousin by signing the latter’s name on
the check
c. Falsifying a power of attorney and using it in collecting the money due to the
principal
d. Alleging in one pleading that the clients were mere lessees and in another
pleading that the same clients were owners
e. Presenting falsified documents in court which he knows to be false
f. Filing false charges on groundless suits
g. Using in pleadings the IBP number of another lawyer
h. Unsolicited appearances
i. Use of fictitious residence certificate
j. Misquotation/misrepresentation
k. Citing a repealed or amended provision
l. Asserting a fact not proved
m. Verbatim reproductions down to the last word and punctuation mark
n. Slight typo mistake: not sufficient to place him in contempt
CANON 11 – A lawyer shall observe and maintain the respect due to the
courts and to judicial officers and should insist on similar conduct by
others.
• As an officer of the court and in order to maintain the dignity and respectability of the
legal profession, a lawyer who appears in court must be properly attired.
Consequently, the court can hold a lawyer IN CONTEMPT of court if he does not
appear in proper attire. Any deviation from the commonly accepted norm of dressing
in court (barong or tie, not both) is enough to warrant a citing for contempt.
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• The public duties of the attorney take precedence over his private duties. His first
duty is to the courts. Where duties to the courts conflict with his duties to his clients,
the latter must yield to the former.
• Lawyers must be respectful not only in actions but also in the use of language
whether in oral arguments or in pleadings.
• Must exert efforts that others (including clients, witnesses) shall deal with the courts
and judicial officers with respect.
• Criticisms of courts must not spill the walls of decency. There is a wide difference
between fair criticism and abuse and slander of courts and judges. Intemperate and
unfair criticism is a gross violation of the duty to respect the courts. It amounts to
misconduct which subjects the lawyer to disciplinary action.
• A lawyer may submit grievances against judges in the Supreme Court, Ombudsman,
or Congress (for impeachment of SC judges only).
CANON 12 – A lawyer shall exert every effort and consider it his duty to
assist in the speedy and efficient administration of justice.
Rule 12.01 – A lawyer shall not appear for trial unless he has
adequately prepared himself with the law and the facts of his case,
the evidence he will adduce and the order of its preference. He
should also be ready with the original documents for comparison
with the copies.
• Newly hired counsel: must acquaint himself with all the antecedent proceedings and
processes that have transpired in the record prior to his takeover.
• If presenting documentary exhibits, he must be ready with the originals for the
purpose of comparison with copies thereof.
Rule 12.02 – A lawyer shall not file multiple actions arising from the
same cause.
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a.
A party seeks favorable opinion (other than by appeal or certiorari) in another; or
b.
When he institutes two or more actions or proceedings grounded on the same
cause, on the gamble that one or the other would make a favorable disposition
(Benguet Electric Corp. vs. Flores, 287 SCRA 449, March 12, 1998).
• Forum shopping constitutes DIRECT CONTEMPT of court and may subject the
offending lawyer to disciplinary action.
Rule 12.04 – A lawyer shall not unduly delay a case, impede the
execution of a judgment or misuse court processes.
Rule 12.05 – A lawyer shall refrain from talking to his witness during
a break or recess in the trial, while the witness is still under
examination.
Rule 12.06 – A lawyer shall not knowingly assist a witness to
misrepresent himself or to impersonate another.
Rule 12.07 – A lawyer shall not abuse, browbeat or harass a witness
nor needlessly inconvenience him.
• Rights and obligations of a witness - a witness must answer questions, although his
answer may tend to establish a claim against him. However, it is the right of a
witness:
1. To be protected from irrelevant, improper, or insulting questions and
from harsh or insulting demeanor;
2. Not to be detained longer than the interest of justice requires;
3. Not to be examined except only as to matters pertinent to the issue;
4. Not to give any answer which will tend to subject him to a penalty for
an offense unless otherwise provided by law, or
5. Nor to give answer which will tend to degrade his reputation, unless it
be to the very fact at issue or to a fact from which the fact in issue would be
presumed. But a witness must answer to the fact of his previous final
conviction for an offense. (Rule 132, Sec. 3, RRC)
CANON 13 – A lawyer shall rely upon the merits of his cause and refrain
from any impropriety which tends to influence, or gives the appearance of
influencing the court.
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Rule 13.02 – A lawyer shall not make public statements in the media
regarding a pending case tending to arouse public opinion for or
against a party.
Rule 13.03 – A lawyer shall not brook or invite interference by
another branch or agency of the government in the normal course of
judicial proceedings.
• The judge has the corresponding duty not to convey or permit others to convey the
impression that they are in a special position to influence the judge.
• Test when public statement is contemptuous: The character of the act done and its
direct tendency to prevent and obstruct the discharge of official duty.
• Lawyer is equally guilty as the client if he induces the latter to cause the publicity.
CHAPTER IV
THE LAWYER AND THE CLIENT
CANON 14 – A Lawyer shall not refuse his services to the needy.
Rule 14.02 – A lawyer shall not decline, except for serious and
sufficient cause, an appointment as counsel de oficio or as amicus
curae or a request from the Integrated Bar of the Philippines or any
of its chapters for rendition of free legal aid.
Rule 14.03 – A lawyer may refuse to accept representation of a client
if:
a. He is not in position to carry out the work effectively
and competently.
b. He labors under conflict of interest between him and
the prospective client or between a present client and the
prospective client.
Rule 14.04 – A lawyer who accepts the cause of a person unable to
pay his professional fees shall observe the same standard of
conduct governing his relations with paying clients.
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• Duties to Client:
a. Owe utmost learning and ability
b. Maintain inviolate the confidence of the client
c. Disclose all circumstances/interest regarding the controversy
d. Undivided loyalty
e. Not reject cause of defenseless and oppressed
f. Candor, fairness and loyalty
g. Hold in trust money or property
h. Respond with zeal to the cause of the client
CANON 15 – A lawyer shall observe candor, fairness and loyalty in all his
dealings and transactions with his client.
• Even if the communication is unprivileged, the rule of ethics prohibits him from
voluntarily revealing or using to his benefit or to that of a third person, to the
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disadvantage of the client, the said communication unless the client consents
thereto.
• The TEST in determining Conflicting Interest: The test is whether or not the
acceptance of a new relation will prevent an attorney from the full discharge of
his duty of undivided fidelity and loyalty to his client or invite suspicion of
unfaithfulness in double-dealing in the performance thereof. (Tiana vs. Ocampo)
Rule 15.04 – A lawyer may, with the written consent of all concerned,
act as mediator, conciliator or arbitrator in settling disputes.
• At a certain stage of the controversy before it reaches the court, a lawyer may
represent conflicting interests with the consent of the parties. A common
representation may work to their advantage since a mutual lawyer, with honest
motivations and impartially cognizant of the parties’ disparate positions may well
be better situated to work out an acceptable settlement. (Donald Dee vs. CA,
176 SCRA 651)
Rule 15.05 – A lawyer, when advising his client, shall give a candid
and honest opinion on the merits and probable results of the client’s
case, neither overstating nor understating the prospects of the case.
Rule 15.06 - A lawyer shall not state nor imply that he is able to
influence any public official, tribunal or legislative body.
Rule 15.07 – A lawyer shall impress upon his client compliance with
the laws and the principles of fairness.
Rule 15.08 – A lawyer who is engaged in another profession or
occupation concurrently with the practice of law shall make clear to
his client whether he is acting as a lawyer or in another capacity.
• Lawyers should refrain from giving any advice unless they have obtained sufficient
understanding of their client’s cause. A careful investigation and examination of the
facts must first be had before any legal opinion be given by the lawyer to the client.
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• To avoid breach of legal ethics, a lawyer should keep any business, in which is
engaged in concurrently with the practice of law, entirely separate and apart from the
latter.
CANON 16 – A lawyer shall hold in trust all moneys and properties of his
client that may come into his possession.
• Attorneys’ Liens - an attorney shall have a lien upon the funds, documents and
papers of his client which have lawfully come into his possession and may retain the
same until his lawful fees and disbursements have been paid, and may apply such
finds to the satisfaction thereof. He shall also have a lien to the same extent upon all
judgments for the payment of money, and executions issued in pursuance of such
judgments which he has secured in a litigation of his client, from and after the time
when he shall have caused a statement of his claim of such lien to be entered upon
the records of the court rendering such judgment, or issuing such execution, and
shall have caused written notice thereof to be delivered to his client and to the
adverse party; and he shall have the same right and power over such judgments and
executions as his client would have to enforce his lien and secure the payment of his
fees and disbursements. (Sec. 37, Rule 138, Revised Rules of Court)
Rule 16.04 – A lawyer shall not borrow money from his client unless
the client’s interests are fully protected by the nature of the case or
by independent advice. Neither shall a lawyer lend money to a client
except, when in the interest of justice, he has to advance necessary
expenses in the legal matter he is handling for the client.
• Failure to deliver upon demand gives rise to the presumption that he has
misappropriated the funds for his own use to the prejudice of the client and in
violation of the trust reposed in him.
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• When a lawyer enforces a charging lien against his client, the client-lawyer
relationship is terminated.
• The principle behind Rule 16.04 is to prevent the lawyer from taking advantage of his
influence over the client or to avoid acquiring a financial interest in the outcome of
the case.
CANON 17 – A lawyer owes fidelity to the cause of his client and he shall
be mindful of the trust and confidence reposed in him.
• No fear of judicial disfavor or public popularity should restrain him from full discharge
of his duty.
• It is the duty of the lawyer at the time of retainer to disclose to the client all the
circumstances of his relations to the parties and any interest in, or connection with,
the controversy which might influence the client in the selection of counsel.
• The lawyer owes loyalty to his client even after the relation of attorney and client has
terminated. (Lorenzana Food Corp. vs. Daria, 197 SCRA 428) It is not good practice
to permit him afterwards to defend in another case other persons against his former
client under the pretext that the case is distinct from and independent of the former
case.
CANON 18 – A lawyer shall serve his client with competence and diligence.
• A lawyer must keep himself constantly abreast with the trend of authoritative
pronouncements and developments in all branches of law.
• If a lawyer errs like any other human being, he is not answerable for every error or
mistake, and will be protected as long as he acts honestly and in good faith to the
best of his skill and knowledge.
• Attorneys have authority to bind their clients in any case by any agreement in relation
thereto made in writing, and in taking appeals, and in all matters or ordinary judicial
procedure. But they cannot, without special authority, compromise their client’s
litigation, or receive anything in discharge of a client’s claim, but the full amount in
cash. (FAR Corp. vs. IAC, 157 SCRA 698)
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CANON 19 – A lawyer shall represent his client with zeal within the bounds
of the law.
Rule 19.01 – A lawyer shall employ only fair and honest means to
attain the lawful objectives of his client and shall not present,
participate in presenting or threaten to present unfounded criminal
charges to obtain an improper advantage in any case or proceeding.
Rule 19.02 – A lawyer who has received information that his client
has, in the course of the representation, perpetuated a fraud upon a
person or tribunal, shall promptly call upon the client to rectify the
same, and failing which he has to terminate the relationship with
such client in accordance with the Rules of Court.
Rule 19.03 – A lawyer shall not allow his client to dictate the
procedure in handling the case.
• Must not present in evidence any document known to be false; nor present a false
witness.
• Lawyer should do his best efforts to restrain and to prevent his clients from
perpetrating acts which he himself ought not to do. Or else, withdraw. But lawyer
shall not volunteer the information about the client’s commission of fraud to anyone –
counter to duty to maintain client’s confidence and secrets.
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• Attorney's Fees
a. Ordinary attorney's fee - the reasonable compensation paid to a lawyer by his
client for the legal services he has rendered to the latter. The basis for this
compensation is the fact of his employment by and his agreement with the
client.
b. Extraordinary attorney's fee - an indemnity for damages ordered by the court
to be paid by the losing party in litigation. The basis for this is any of the
cases provided for by law where such award can be made, such as those
authorized in Article 2208 of the Civil Code, and is payable NOT to the lawyer
but to the client, unless they have agreed that the award shall pertain to the
lawyer as additional compensation or as part thereof.
• Contracts for employment may either be oral or express. It is oral when the counsel
is employed without a written agreement – but the conditions and amount of
attorney’s fees are agreed upon. A written agreement is not necessary to prove a
client’s obligation to pay attorney’s fees. (Peyer vs. Peyer, 77 Phil 366)
• Quantum Meruit - it means "as much as he deserves", and is used as the basis for
determining the lawyer's professional fees in the absence of a contract, but
recoverable by him from his client.
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• Exception. A lawyer may receive compensation from a person other than his
client when the latter has full knowledge and approval thereof. (Rule 138, sec.
20[e], Revised Rules of Court)
• When counsel cannot recover full amount despite written contract for attorneys’ fees:
a. When he withdraws before the case is finished
b. Justified dismissal of attorney (payment: in quantum meruit only)
• The reason for the award of attorney’s fees must be stated in the text of the decision;
otherwise, if it is stated only in the dispositive portion of the decision, the same must
be disallowed on appeal.
• Even though the interest or property involved is of considerable value, if the legal
services rendered do not call for much efforts there is no justification for the award of
high fees.
• Champertous Contracts (void) – Lawyer stipulates with his client that in the
prosecution of the case, he will bear all the expenses for the recovery of things or
property being claimed by the client and the latter agrees to pay the former a portion
of the thing/property recovered as compensation.
• A lawyer should try to settle amicably any differences on the subject. A lawyer has 2
options. Judicial action to recover attorney’s fees:
a. In same case: Enforce attorney’s fees by filing an appropriate motion or
petition as an incident to the main action where he rendered legal services.
b. In a separate civil action.
• Secret – refers to other information gained in the professional relationship that the
client has regulated to be held inviolate or the disclosure of which would be
embarrassing or would likely be detrimental to the client.
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• The mere establishment of a client-lawyer relationship does not raise a presumption
of confidentiality. There must be an intent or that the communication relayed by the
client to the lawyer be treated as confidential.
• When properly authorized after having been fully informed of the consequences to
reveal his confidences/secrets, then there is a valid waiver.
• Prohibition applies, even if the prospective client did not thereafter actually engage
the lawyer.
CANON 22 – A lawyer shall withdraw his services only for good cause and
upon notice appropriate in the circumstances.
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• Kinds of Appearance:
(a) General appearance is when the party comes to court either as plaintiff
or defendant and seeks general reliefs from the court for satisfaction of his
claims or counterclaims respectively.
(b) Special appearance is when a defendant appears in court solely for the
purpose of objecting to the jurisdiction of the court over his person. The aim
is simply the dismissal of the case. If the defendant seeks other reliefs, the
appearance, even if qualified by the word special, is equivalent to a general
appearance.
• If a person, in respect to his business affairs or troubles of any kind, consults with his
atty. in his professional capacity with the view of obtaining professional advice or
assistance, and the atty. voluntarily permits or acquiesces in such consultation, then
the professional employment must be regarded as established. (Hilado vs. David, 84
Phil. 569)
• The withdrawal as counsel of a client or the dismissal by the client of his counsel
must be in a formal partition filed in the case. Atty.-client relationship does not
terminate formally until there is withdrawal made of record. Unless properly relieved,
counsel is responsible for the conduct of the case. (Tumbangahan vs. CA, 165
SCRA 485)
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documents or property records of the case
5. NOTICE Client need not be notified to Client and adverse party must be
make it effective notified to make it effective
6. May be exercised before Generally, it is exercisable only
APPLICABILITY judgment or execution or when the attorney had already
regardless thereof. secured a favorable judgment for his
client
• In withdrawal as counsel for a client, an attorney may only retire from a case either
by written consent of his client or by permission of the court after due notice and
hearing, in which event the attorney should see to it that the name of the new
attorney is recorded in the case.
• An attorney who could not get the written consent of his client must make an
application to the court, for the relation does not terminate formally until there is a
withdrawal of record. Counsel has no right to presume that the court would grant his
withdrawal and therefore must still appear on the date of hearing.
• A lawyer cannot recover compensation from one who did not employ or authorize his
employment, however valuable the results of his services may have been to such
person. In similar cases, no compensation when:
a. Client conducts himself in a manner which tends to degrade his attorney;
b. Client refuses to extend cooperation;
c. Client stops having contact with him.
• The right of a client to terminate a lawyer is absolute. Such termination may be with
or without cause.
LIABILITIES OF LAWYERS
• Civil Liability
a. Client is prejudiced by lawyer's negligence or misconduct
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b. Breach of fiduciary obligation
c. Civil liability to third persons
d. Libelous words in pleadings; violation of communication privilege
e. Liability for costs of suit (treble costs) - when lawyer is made liable for
insisting on client's patently unmeritorious case or interposing appeal merely
to delay litigation
• Criminal Liability
a. Prejudicing client through malicious breach of professional duty
b. Revealing client's secrets
c. Representing adverse interests
d. Introducing false evidence
e. Misappropriating client's funds (estafa)
• Contempt of Court
a. Kinds of Contempt:
1. Direct - consists of misbehavior in the presence of or so near a court
or judge as to interrupt or obstruct the proceedings before the court or
the administration of justice; punished summarily.
2. Indirect - one committed away from the court involving disobedience
of or resistance to a lawful writ, process, order, judgment or command
of the court, or tending to belittle, degrade, obstruct, interrupt or
embarrass the court.
3. Civil- failure to do something ordered by the court which is for the
benefit of a party.
4. Criminal - any conduct directed against the authority or dignity of the
court.
• The exercise of the power to punish contempt has a twofold
aspect, namely (1) the proper punishment of the guilty party for his
disrespect to the court or its order; and (2) to compel his performance
of some act or duty required of him by the court which he refuses to
perform. A civil contempt is the failure to do something ordered to be
done by a court or a judge for the benefit of the opposing party
therein; and a criminal contempt is conduct directed against the
authority and dignity of a court or of a judge, as in unlawfully assailing
or discrediting the authority or dignity of a court or of a judge, or in
doing a duly forbidden act. Where the punishment imposed, whether
against a party to a suit or a stranger, is wholly or primarily to protect
or vindicate the dignity and power, either by fine payable to the
government or by imprisonment, or both, it is deemed a judgment in
criminal case. Where the punishment is by fine directed to be paid to
a party in the nature of damages for the wrong inflicted, or by
imprisonment as coercive measure to enforce the performance of
some act for the benefit of the party or in aid of the final judgment or
decree rendered in his behalf, the contempt judgment will, if made
before final decree, be treated as in the nature of an interlocutory
order, or, if made after final decree, as a remedial in nature, and may
be reviewed only on appeal from the final decree, or in such other
mode as is appropriate to the review of judgments in civil cases. The
question of whether the contempt committed is civil or criminal, does
not affect the jurisdiction or the power of a court to punish the same.
(Halili vs. CIR, 136 SCRA 112)
b. Acts Constituting Contempt:
1. Misbehavior
2. Disobedience
3. Publication concerning pending litigation
4. Publication tending to degrade the court; disrespectful language in
pleadings
5. Misleading the court or obstructing justice
6. Unauthorized practice of law
7. Belligerent attitude
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8. Unlawful retention of client's funds
• The power to punish for contempt and the power to disbar are separate and distinct,
and that the exercise of one does not exclude the exercise of the other. (People vs.
Godoy, 243 SCRA 64)
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REINSTATEMENT
Reinstatement – the restoration in disbarment proceedings to a disbarred lawyer the
privilege to practice law.
• Criterion. The applicant must, like a candidate for admission to the Bar, satisfy the
Court that he is a person of good moral character – a fit and proper person to
practice law. The Court will take into consideration the applicant’s character and
standing prior to the disbarment, the nature and character of the charge for which he
was disbarred, his conduct subsequent to the disbarment, and the time that has
elapsed between the disbarment and the application for reinstatement. Whether or
not the applicant shall be reinstated rests on the discretion of the court. (Prudential
Bank vs. Benjamin Grecia, 192 SCRA 381).
• Reinstatement to the roll of attorneys wipes out the restrictions and disabilities
resulting from a previous disbarment. (Cui vs. Cui, 11 SCRA 755)
• The Supreme Court, in addition to the required rehabilitation of the applicant for
reinstatement may require special conditions to be fulfilled by the applicant.
PARDON
• Q: Is a disbarred lawyer due to conviction for a crime automatically reinstated to the
practice of law upon being pardoned by the President?
A: To be reinstated, there is still a need for the filing of an appropriate petition with
the Supreme Court. (In re: Rovero, 101 SCRA 803)
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• Elements of Article 1491 (Civil Code; Laig vs. CA, 82 SCRA 294)
a. There must be an attorney-client relationship
b. The property or interest of the client must be in litigation
c. The attorney takes part as counsel in the case
d. The attorney by himself or through another purchases such property or
interest during the pendency of the litigation.
• General Rule: A lawyer may not purchase, even at a public or judicial auction, in
person or through the mediation of another, any property or interest involved in any
litigation in which he may take part by virtue of his profession. This prohibition is
entirely independent of fraud and such need not be alleged or proven.
Effects:
a. Malpractice on the part of the lawyer and may be disciplined for misconduct
b. Transaction is null and void
• Exceptions:
a. Property is acquired by lawyer through a contingent fee arrangement
b. Any of the 4 elements of Art. 1491 is missing
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JUDICIAL ETHICS
JUDICIAL ETHICS – is the branch of moral science which treats of the right and
proper conduct to be observed by all judges in trying and deciding controversies brought
before them for adjudication which conduct must be demonstrative of impartiality,
integrity, competence, independence and freedom from improprieties. This freedom
from improprieties must be observed in both the public and private life of a judge – being
the visible representation of the law.
• Judge – a public officer who, by virtue of his office, is clothed with judicial
authority. A public officer lawfully appointed to decide litigated questions in
accordance with law (People vs. Manantan, 5 SCRA 687). This refers to persons
only. There may be a judge without a court.
• De jure judge – one who is exercising the office of judge as a matter of right, an
officer of a court who has been duly and legally elected or appointed and whose term
has not expired. An officer of the law fully vested with all of the powers and functions
conceded under the law to a judge, which relate to the administration of justice within
the jurisdiction over which he presides (Luna vs. Rodriguez, 37 Phil. 191).
De facto judge – a judge who in good faith continues to act and is recognized by common
error after the abolition of his court by statute is deemed judge de facto of the new
court which succeeds to the jurisdiction of that presided over by him (U.S. vs.
Abalos, 1 Phil 76). An officer who is not fully vested with all the powers and duties
conceded to judges, but is exercising the office of a judge under some color of right.
• Qualifications to be judges:
1. Citizen of the Philippines
2. Member of the Bar (Sec. 7(2), Art. VIII, 1987 Constitution)
3. Must be a person of proven competence, integrity, probity and independence
(Sec. 7(3), Art. VIII, 1987 Constitution)
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• Should not relax in his study of the law and court decisions.
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Rule 2.04 – A judge shall refrain from influencing in any manner the
outcome of litigation or dispute pending before another court of
administrative agency.
• A judge must be beyond suspicion. He has the duty not only to render a just and
impartial decision but also to render it in such a manner as to be free from any
suspicion as to its fairness and impartiality, and also as to his integrity.
• A judge must be temperate in his language and must not lose his cool.
• Judges must not use or permit the use of any undignified/self-laudatory statement
regarding their qualifications or legal services.
• A judge must not allow anyone to ride on his prestige. He should not create the
impression that someone or some people are so close to him to enjoy his favor.
ADJUDICATIVE RESPONSIBILITIES
Rule 3.01 – A judge shall be faithful to the law and maintain
professional competence.
• Finding of facts must be based not on the personal knowledge of the judge but upon
the evidence presented.
• If the personal view of the judge contradicts the applicable doctrine promulgated by
the Supreme Court, nonetheless, he should decide the case in accordance with that
doctrine and not in accordance with his personal views. He is however not
prohibited from stating his own opinion on the matter if he wants to invite constructive
attention thereto.
Rule 3.03 – A judge shall maintain order and proper decorum in the
courts.
Rule 3.04 – A judge should be patient, attentive, and courteous to
lawyers, especially the inexperienced, to litigants, witnesses, and
others appearing before the court. A judge should avoid
unconsciously falling into the attitude of mind that the litigants are
made for the courts, instead of the courts for the litigants.
• Conduct of trial must not be attended with fanfare and publicity; not permit pictures or
broadcasting.
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Rule 3.06 – While a judge may, to promote justice, prevent waste of
time or clear up some obscurity, properly intervene in the
presentation of evidence during the trial, it should always be borne
in mind that undue interference may prevent the proper
presentation of the cause of the ascertainment of the truth.
Rule 3.07 – A judge should abstain from making public comments
on any pending or impending case and should require similar
restraint on the part of court personnel.
ADMINISTRATIVE RESPONSIBILITIES
Rule 3.08 – A judge should diligently discharge administrative
responsibilities, maintain professional competence in court
managements, and facilitate the performance of the administrative
functions of other judges and court personnel.
Rule 3.09 – A judge should organize and supervise the court
personnel to ensure the prompt and efficient dispatch of business,
and require at all times the observance of high standards of public
service and fidelity.
Rule 3.10 – A judge should take or initiate appropriate disciplinary
measures against lawyers or court personnel for unprofessional
conduct of which the judge may have become aware.
Rule 3.11 – A judge should appoint commissioners, receivers,
trustees, guardians, administrators and others strictly on the basis
of merit and qualifications, avoiding nepotism, and favoritism.
Unless otherwise allowed by law, the same criteria should be
observed in recommending appointment of court personnel. Where
the payment of compensation is allowed, it should be reasonable
and commensurate with the fair value of services rendered.
• Ascertain that the records of all cases are properly kept and managed.
• Maintain a checklist on the cases submitted for decision with a view to knowing
exactly the specific deadlines for the resolution/decision of the said cases.
• May summarily punish any person including lawyers and court personnel for direct
contempt for misbehavior committed in the presence of or so near a court or a judge
as to obstruct or interrupt the proceedings before the same (Rule 71, Revised Rules
of Court)
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• Every court has the inherent power among others, to preserve and enforce orders in
its immediate presence, to compel obedience to its judgments, orders and processes
and to control, in furtherance of justice, the conduct of its ministerial officers (Sec. 5,
Rule 135, Revised Rules of Court)
• Judge has the power to appoint, but the power to dismiss court employees is vested
in the Supreme Court.
• If knowingly nominate or appoint to any public office any person lacking the legal
qualification therefor, shall be guilty of unlawful appointment punishable with
imprisonment and fine (Art. 244, Revised Penal Code).
DISQUALIFICATIONS
Rule 3.12 – A judge should take no part in proceeding where the
judge’s impartiality might reasonably be questioned. These cases
include, among others, proceedings where;
a. the judge has personal knowledge of disputed evidentiary facts
concerning the proceeding;
b. the judge served as executor, administrator, guardian, trustee or
lawyer in the case or matters in controversy, or a former associate of the
judge served as counsel during their association, or the judge or lawyer
was a material witness therein;
c. the judge’s ruling in a lower court is subject of review
d. the judge is related by consanguinity or affinity to a party litigant
within the 6th degree or to counsel within the 4th degree;
e. the judge knows that the judge’s spouse or child has a financial
interest, as heir, legatee, creditor, fiduciary, or otherwise, in the subject
matter in controversy or in a party to the proceeding, or any other interest
that could be substantially affected by the outcome of the proceeding.
In every instance the judge shall indicate the legal reason for
inhibition.
• Rule 3.12 of the Code of Judicial Conduct, except letter (a) is based on Sec. 1, Rule
137 of the RRC.
• Petition to disqualify judge must be filed before rendition of judgment by the judge;
can’t be raised first time on appeal.
• If a judge denies petition for disqualification, the ultimate test: is whether or not the
complaint was deprived of a fair and impartial trial.
Remedy: seek new trial.
REMITTAL OF DISQUALIFICATION
Rule 3.13 – A judge disqualified by the terms of Rule 3.12 may,
instead of withdrawing from the proceeding, disclose on the record
the basis of disqualification. If, based on such disclosure, the
parties and lawyers independently of the judge’s participation, all
agree in writing that the reason for the inhibition is immaterial or
insubstantial, the judge may then participate in the proceeding.
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The agreement, signed by all parties and lawyers, shall be
incorporated in the record of the proceeding.
Rule 4.01 – A judge may, to the extent that the following activities
do not impair the performance of judicial duties or case doubt on
the judge’s impartiality:
a. speak, write, lecture, teach or participate in activities concerning
the law, the legal system and the administration of justice;
b. appear at a public hearing before a legislative or executive body on
matters concerning the law, the legal system or the administration of
justice and otherwise consult with them on matters concerning the
administration of justice;
c. serve on any organization devoted to the improvement of the law,
the legal system or the administration of justice.
• Decision to engage in these activities depends upon the sound judgment of the
judge.
• If has not enough time to spare (such as when caseload is too heavy) prudence
dictates, he must concentrate on his judicial duties.
• If a judge has time to spare, the best attitude to take is to participate in activities
which are closely related to the performance of his duties and which do not consume
much of his time and energy.
• If they opt to engage in such activities, they must learn how to manage their time in
such manner that their judicial responsibilities do not falter and suffer.
FINANCIAL ACTIVITIES
Rule 5.02 – A judge shall refrain from financial and business
dealings that tends to reflect adversely on the court’s impartiality,
interfere with the proper performance of judicial activities, or
increase involvements with lawyers or persons likely to come
before the court. A judge should so manage investments and other
financial interests as to minimize the number of cases giving
grounds for disqualification.
Rule 5.03 – Subject to the provisions of the proceeding rule, a judge
may hold and manage investments but should not serve as an
officer, director, manager, advisor, or employee of any business
except as director of a family business of the judge.
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Rule 5.04 – A judge or any, immediate member of the family, shall
not accept a gift, bequest, favor or loan from anyone except as may
be allowed by law.
Rule 5.05 – No information acquired in a judicial capacity shall be
used or disclosed by a judge in any financial dealing or for any
other purpose not related to judicial activities.
Art 215. Prohibited Transaction. The penalty of prision correccional in its minimum period or a fine
ranging from P200 to P1000 or both, shall be imposed upon any appointive public officer who, during
his incumbency, shall directly or indirectly become interested in any transaction of exchange or
speculation within the territory subject to his jurisdiction.
Art 216. Possession of prohibited interest by a public officer. The penalty of arresto mayor in its medium
period to prision correccional in its minimum period, or a fine ranging from P200 to P1000, or both, shall
be imposed upon a public officer who directly and indirectly, shall become interested in any contract or
business which it is his official duty to intervene.
• Acceptance of gifts given by reason of the office of a public officer is indirect bribery
(Art. 211, RPC)
• General Rule: Avoid taking or receiving loans from litigants (Sec. 2 [b] and [c] of
R.A. 3019, and Sec. 16, art. VIII of the Constitution)
Exception (AGCPA): Unsolicited gifts or presents of small value offered or given as
a mere ordinary token of gratitude or friendship according to local custom or usage
(Sec. 14 of R.A. 3019)
FIDUCIARY ACTIVITIES
Rule 5.06 – A judge should not serve as the execution
administrator, trustee, guardian, or other fiduciary, except for the
estate, trust, or person of a member of the immediate family and
then only if such service will not interfere with the proper
performance of judicial duties. “Member of immediate family” shall
be limited to the spouse and relatives within the second degree of
consanguinity. As a family fiduciary, a judge shall not:
a. serve in proceedings that might come before the court of said
judge; or
b. act as such contrary to Rule 5.02 to 5.05
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• Includes preparation of pleadings or papers in anticipation of litigation, and giving of
legal advice to clients or persons needing the same.
FINANCIAL DISCLOSURE
Rule 5.08 – A judge shall make full financial disclosure as required
by law.
EXTRA-JUDICIAL APPOINTMENTS
Rule 5.09 – A judge shall not accept appointment or designation to
any agency performing quasi-judicial or administrative functions.
POLITICAL ACTIVITIES
Rule 5.10 – A judge is entitled to entertain personal views on
political questions. But to avoid suspicion of political partisanship,
a judge shall not make political speeches, contribute to party funds,
publicly endorse candidates for political office or participate in
other partisan political activities.
DATE OF EFFECTIVITY
This code, promulgated on 5 September 1989, shall take
effect on 20 October 1989.
Liabilities of Judges
Administrative Liabilities:
• Grounds for administrative sanctions against judges (Sec. 67 of the Judiciary Act
of 1948):
1. Serious misconduct – implies malice or wrongful intent, not mere error of
judgment, judicial acts complained of must be corrupt or inspired by an
intention to violate the law, or were in persistent disregard for well-known
legal rules
2. Inefficiency – implies negligence, incompetence, ignorance, and
carelessness, when the judge fails to observe in the performance of his
duties that diligence, prudence and circumspection which the law requires
in the rendition of any public service
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2. Failure to deposit funds with the municipal treasurer or to produce them despite
his promise to do so
3. Misappropriation of fiduciary funds
4. Extorting money from a party-litigant who has a case before his court
5. Solicitation of donation for office equipment
6. Unlawful solicitation in violation of R.A. No. 6713
7. Frequent unauthorized absences in office
8. Falsification of certificate of service to collect salary
9. Declaring Wednesdays as non-session days which the judge declared as his
“mid-week pause”
10. Indefinite postponement for several years of a criminal case pending in his sala
11. Judges poking his gun to another in a restaurant while in a sate of intoxication
12. Pistol-whipping the complainant on the latter’s left face without any justification
13. Acting as counsel and/or attorney-in-fact for all the parties with opposing
interests on a parcel of land in pursuance of his personal self-interest
14. Using intemperate language unbecoming of a judge
15. Failure to reply to a show cause resolution of the Supreme Court
16. Loss of records
17. Inaction by judge which is the tantamount to partiality in favor of one party
…among others.
• Procedure for filing an administrative complaint (Rule 140 of the Revised Rules of
Court):
1. Complaint in writing, setting forth clearly the facts and circumstances relied upon and
sworn to and supported by affidavits and documents
2. Service or dismissal which must followed by an answer within 10 days from date of
service
3. Answer and hearing
4. Report filed with the Supreme Court of findings accompanied by evidence and
documents
Civil Liabilities:
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• Taking advantage of his position to boost his candidacy amounts to gross
misconduct.
Criminal Liabilities
Notaries Public
I. Qualifications (Sec 232 and 234, Revised Administrative Code (RAC))
A. Filipino citizen
B. Over 21 years of age
C. Should not have been convicted of any crime involving moral turpitude
D. Training
1. Those admitted to the practice of law
2. Those who have passed the studies of law in a reputable
university
3. A clerk or deputy clerk of court or one who has at some time
held the position of clerk or deputy clerk of court for a period of
not less than two (2) years
4. Those qualified for the office of Notary Public de officio under
Spanish sovereignty
5. Municipal judges as notaries public de officio in municipalities or
municipal districts
i. where there are no persons with the necessary qualifications
ii. where there are qualified persons but they refuse
appointment
• non-lawyers as notaries:
General Rule: SC Circular No. 16 of 1985 directed
appointing judges to refrain and desist from appointing
and/or renewing the appointment of non-lawyers as
notaries public because of the unethical practices of
notaries public who are non-lawyers;
Exception: In places where there are no lawyers, or there
are not enough lawyers, the appointment of non-lawyers
as notaries public may be allowed, but a non-lawyer who
wishes to be commissioned as a notary public must apply
directly with the Supreme Court, and such petitions will be
decided on a case to case basis.
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judge as an ex officio notary public to the notarization of
documents in connection with the performance of his
official functions:
1) A municipal judge has miscellaneous powers, such
as the power to solemnize marriages, administer
oaths, take depositions, the exercise of which could
be facilitated by allowing the judge to act as a
notary EVEN if the documents are not connected
with the performance of his ordinary official duties.
(Opus v. Barnia, 114 SCRA 552 (1982))
2) Includes any act performed by a regular notary
public: The demands of public service also justify
that the authority of the municipal judge as notary
public ex officio should not be limited to notarizing
documents connected only with the exercise of
their official duties. They should be allowed to act
and perform any service within the competency of a
notary public. In our rural areas and communities,
there are few regular notaries, and they do not
keep regular office hours. It would be more
convenient and less expensive for the public,
especially the common people to have ready
access to the municipal judge at his official station
instead of traveling to the provincial capital or to the
big towns where most lawyers practice as regular
notaries. (Lapena v. Marcos, 114 SCRA 572
(1982)).
III. Jurisdiction
A. Under the Notarial Law, the jurisdiction of a notary public in general, used
to be CO-EXTENSIVE with the province for which he was commissioned;
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and for the notary public in the City of Manila, the jurisdiction is CO-
EXTENSIVE with said city.
B. Circular 8 of 1985 however, clarified further that the notary public may be
commissioned for the same term only by one court within the Metro
Manila region.
C. Hence, the notary’s jurisdiction is now co-extensive, not with the
jurisdiction of the entire judicial district, but with the jurisdiction of the
appointing court. Notarial acts performed beyond jurisdictional limits have
no effect. In Tecson v. Tecson (61 Phil 781 (1935)), the SC ruled that
acknowledgements made without jurisdiction are void and the document
remains private.
IV. Powers
Section 241 of the Revised Administrative Act enumerates the General
Powers of a Notary Public:
1. To administer all oaths and affirmations provided for by law:
a. in all matters incident to his notarial office;
b. in the execution of:
1. Affidavits
2. Depositions
3. Other documents requiring an oath
2. To receive proof or acknowledgment of all writings relating to
commerce, such as
a. Ships, vessels or boats:
1. Bills of Exchange
2. Bottomries
3. Mortgages
4. Hypothecations
b. Charter parties or affreightments
c. Letters of attorney
d. Land/buildings or interest therein:
1. Deeds
2. Mortgages
3. Transfers and assignments
e. Other writings as are commonly provided or acknowledged before
notaries.
3 3. To act as magistrate in the writing of affidavits or depositions
4. To make declarations and certify the truth thereof under his seal of office,
concerning all matters done by him in virtue of his office.
Five Functions:
1. Attests: he witnesses, or sees, as an officer, that a person named in the
document swears before God or affirms that certain facts set forth in the
document are true.
2. Certifies: he writes on the same instrument that the person named therein
did appear before him on a certain day and at a certain place and did
there swear before God or affirm that the facts stated therein are true.
3. Takes an Acknowledgement: the man named in a deed or other
conveyance comes to him with the deed and tells him that he is the man
named as grantor in the deed, and that he signed the deed and means to
convey the property to the person named therein.
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4. Certifies the same: he writes on the deed theses facts, that he knows the
man named in the deed and that the said man did sign it and means to
convey it.
5. Protest: he writes down how and when he performed certain acts which
he is called upon to perform as a public official.
V. Duties
The law imposes on the notary public two kinds of duties:
A. Formal: execution of formalities required by law
* Rational: Since the notarial document is entitled to full faith and credit upon
its face, notaries public must observe the utmost care to comply with the
elementary formalities in the performance of their duties so that the
confidence of the public in the integrity of this form of conveyancing will not
be undermined.
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• Whether notices were given and to whom, when,
and in what manner, or whether they were made,
and to whom, when, and where directed.
3. Taxes
i. Residence Certificate (now Community Tax Certificate)
(Sec. 251 RAC)
• The notary must certify that parties to the notarized
document either presented their proper residence
certificates or are exempt from presenting such
certificates.
• He must enter, as part of the certification, the number,
place of issue, and date of the residence certificate.
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Memorandum Circular No. 001-87, September 2, 1987
published a table of fees that may be charged by notaries
public.
B. Foreign
1. Acts performed by notaries public are respected not only within
their particular jurisdictions but also in other countries, because their
office exists and is recognized throughout the commercial world and
has been said to be known to the law of nations.
2. The practice of courts of taking judicial notice of the seals of
notaries public seems to exist as a matter of comity among nations, in
the absence of a treaty.
VII. Liabilities
A. Criminal
1. Liable for violation of Art, 171 of RPC on falsification who, by
taking advantage of his official position, commits the following:
i. Counterfeiting or imitating any handwriting, signature, or
rubric
ii. Causing it to appear that persons have participated in any
act or proceeding when they did not in fact so participate
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iii. Attributing to persons who have participated in an act or
proceedings statements other than those in fact made by
them
iv. Making untruthful statements
v. Altering true dates
vi. Making any alteration or intercalation in a genuine
document which changes its meaning
vii. Issuing in an authenticated form a document purporting to
be a copy of an original document when no such original
exists, or including in such copy a statement contrary to, or
different from, that of the genuine original
viii. Intercalating any instrument or note relative to the issuance
thereof in a protocol, registry, or official book.
B. Civil
• There is no doctrine, decision or law imposing direct civil liability upon
a notary public, whether on tort or on contract, for damages caused to
people as a result of his default in the performance of his notarial
duties.
• No decision by the SC has made the general principles of tort or
contract applicable to notaries, although the SC in Soto v. Lucre
(supra) held that it is necessary to adduce and to prove negligence,
malice, or corruption on the part of the notary to hold him liable.
• However, what the SC has done in cases where it discovered that the
misconduct of the notary public was due to negligence, malice, or
corruption and directly resulted in fraud or damage was NOT to order
him to pay damages but to discipline him administratively instead.
(see In re: Rusiana, 105 Phil 1328 (1959), Sabayle v. Tandayag, 158
SCRA 497 (1988), and Ramirez v. Ner, 21 SCRA 207 (1967).
C. Administrative
1. Under the RAC
• Failure to comply with the duties under the notarial register
(Sec. 249 (a, b, c, e)) RAC); may be subject to dismissal or
fine under Sec 2633 of RAC.
• Failure to affix date of expiration: risks having his
commission revoked. (Sec. 249 (d) RAC) Certification after
expiration: subject to fine (Sec. 2632)
• Failure to note CTC: ground for revocation and fine. (Sec.
249 (g) and 2633 RAC)
• Failure to affix/cancel doc stamps: fine (Sec. 201 NIRC)
• Failure to make a report to the RTC judge concerning his
duties when required by such judge (Sec. 249 (f) RAC)
• Any other dereliction or act which shall appear to the judge
to constitute good cause for removal (Sec. 249 (h) RAC)
• Overcharging fees: fine (Ibabao v. Villa, 104 SCRA 325
(1981))
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VIII. Defenses
A. Criminal cases
• Avail of the usual defenses in criminal cases
B. Administrative Cases
Lawyer-notary has two lines of defense:
1. The presumption of regularity in the performance of his duties
• If the presumption is overturned, the notary may
still prove good faith and diligence.
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