Legal Ethics (Agpalo) PDF

Legal
and Judicial Ethics Reviewer Legal and Judicial Ethics (2009 ed.)
Chap 8 to Chap 19 By Ruben E. Agpalo
CHAPTER VIII -‐ Undue influence in the preparation of

the will shown by persuasive
LAWYER’S FIDUCIARY
circumstances such as preferential
OBLIGATIONS treatment and inclusion of a bequest
more than a token or modest amount
A. EFFECTS OF FIDUCIARY RELATION
GENERALLY: REBATES AND COMMISSIONS
-‐ Atty. – client relationship is highly fiduciary “A lawyer shall not without the full
and strictly confidential requiring utmost knowledge and consent of the client, accept
good faith, loyalty, fidelity and any fee, reward, costs commission interest,
disinterestedness on the part of the atty for rebate or forwarding allowance or other
the protection of the client compensation whatsoever related to his
professional employment from anyone other
-‐ principles of justice and expediency require than the client. “
that the atty must not derive any advantage
from such act when done by him as may -‐ to secure the wholehearted fidelity
operate to the prejudice of his client and that to the client’s cause and prevent him
ALL advantages arising there from must inure from full discharge of duty to his
to the client’s benefit client
-‐ Whatever a lawyer receives from the
DEALINGS SUBJECT TO SCRUTINY opposite party in the service of his
-‐ fiduciary relation exists as a matter of client belongs to the client, in the
law which requires all dealings to be absence of the client’s consent made
subject to the closest judicial scrutiny after the full disclosure of the facts
-‐ court’s duty to guard and protect
clients from any undue consequences A LAWYER SHALL NOT BORROW MONEY
-‐ measure of good faith required from FROM THE CLIENT
atty is much higher compared to “…unless the client’s interests are fully
what is required in business dealings protected by the nature of the case or by
-‐ no presumption of innocence or independent advice…”
improbability of wrong doing is (borrowing allowed if under this exception
considered in atty’s favour but should not abuse by delaying payment)
-‐ dealings must be characterized with
utmost honesty and good faith AND LEND MONEY TO HIM
-‐ it is upon the lawyer to prove that “…except, when in the interest of justice he
the transaction was FAIR has to advance necessary expenses in a legal
matter he is handling for the client.”
ABUSE OF CONFIDENCE -‐ intended to assure the lawyer’s
“A lawyer should refrain from any action independent professional judgment
whereby for his personal benefit or gain he for if there is financial interest the
abuses or takes advantage of the confidence free exercise of his judgment may be
reposed in him by his client.” affected
-‐ violation of oath of good fidelity to
-‐ a lawyer may not retain money of client and make lawyering a money
client to force settlement of a making venture
disputed claim
-‐ cannot obtain money thru false B.ACCOUNTING OF CLIENT’S FUNDS
pretense or misrepresentation
CHING, Catherine Anna A. || ESPIRITU, Maria Nikka N. || Guzman, Anne Clarisse A.
San Beda College of Law A.Y. 2013-‐2014
Legal and Judicial Ethics Reviewer Legal and Judicial Ethics (2009 ed.)
Canon 16: “a lawyer shall hold in trust all “A lawyer shall keep the funds of each client
moneys and properties of his client that may separate and apart from his own and those of
come into his possession.” others kept by him.”
Rule 16.01 “a lawyer shall account for all the
money or property collected or received for -‐ not commingle money of client with
or from the client.” that of other clients and with his
private funds, nor use the client’s
-‐ a lawyer may receive money for or money for personal purposed
from the client in the course of his without the client’s consent
employment which he holds in trust -‐ promptly report money of his client
and under the obligation to make an coming to his possession
accounting thereof.
Such money may include: A LAWYER SHALL DELIVER FUNDS TO CLIENT,
SUBJECT TO HIS LIEN
1. money collected in pursuance of a Rule 16.03: “A lawyer shall deliver the funds
judgment in favour of his client and property of his client when due or upon
2. money of client not used for the demand. However he shall have a lien over
purpose for which it was entrusted the funds and may apply so much thereof as
3. any property redeemed with the may be necessary to satisfy his lawful fees
client’s money and registered in the and disbursements, giving notice promptly
lawyer’s name thereafter to his client.”
4. any fund received from a judgment
creditior as consideration to desist -‐ assumes that the client agrees with
from participating in a public sale the lawyer as to the amount of atty’s
fees and the application of the
-‐ if there is failure to accomplish a client’s funds to pay such fees
specific purpose for which money -‐ without the consent, lawyer cannot
given by the client was to paid, the apply the money for his fees, but
atty must return such money should instead return money to the
immediately to the client client without prejudice to filing a
-‐ “..failure to return such money upon case for the recovery of his fees
demand give rise to the presumption
that he misappropriated it for his C. RESTRICTION AGAINST BUYING CLIENT’S
own use and to the prejudice of and PROPERTY
in violation of the trust reposed in PURCHASE OF PROPERTY IN LITIGATION
him by his client. It is a gross violation -‐ prohibits lawyer from purchasing
of general morality, professional even at auctions, either in person or
ethics and impairs public confidence through the mediation of another,
in the legal profession.” (Celaje v. any property or interest involved in
Soriano) any litigation in which he may take
-‐ also applies even without atty-‐client part by virtue of his profession
relationship -‐ rests on public policy and interests
-‐ may retain part of money if -‐ such prohibition is ABSOLUTE AND
authorized by the client PERMANENT
-‐ moral obligation of the atty to refrain
A LAWYER SHALL NOT COMMINGLE CLIENT’S from placing himself in a position
FUNDS which excites conflict between self
interest and integrity
ELEMENTS: -‐ also improper to buy judgment noted

a. atty-‐client relationship exists or other choses for much less their
b. property or interest of client in face value with intent to collect them
litigation at large profit
c. atty takes part as counsel in such Exception:
case -‐ if acquired not in his professional
d. atty by himself or through another capacity but as a LEGITIMATE
purchases such property or interest INVESTMENT
during pendency of litigation
CHAPTER IX
Applies even when:
-‐ purchase or lease in favour of a
LAWYER’S DUTY TO PRESERVE
partnership of which the counsel is a CLIENT’S CONFIDENCE
partner
-‐ purchase by atty’s wife of an interest A. PRESERVATION OF CLIENT’S CONFIDENCE
belonging to estate of the decedent Canon 21: “a lawyer shall preserve the
-‐ acquisition of guardian’s lawyer of confidence and secrets of his client even
the ward’s property after the atty-‐client relationship is
-‐ property in litigation deeded in terminated.”
favour of atty for payment of fees
and the value of such is greatly more -‐ applicable to matters disclosed by
than the worth of the atty’s services prospective clients
-‐ transfer of right over a parcel of land
in a pending litigation as atty’s fees Rule 21.01 -‐ A lawyer shall not reveal the
(malpractice) confidences or secrets of his client except;
(a) When authorized by the client after

acquainting him of the consequences of the
Not applicable in the ff: disclosure;
-‐ property not in litigation (b) When required by law;
-‐ sale took place prior to litigation (c) When necessary to collect his fees or to defend
-‐ purchaser was a corporation even himself, his employees or associates or by judicial
though the atty was an officer action.
thereof Rule 21.02 -‐ A lawyer shall not, to the
-‐ sale after termination of the litigation disadvantage of his client, use information
-‐ atty bidding on behalf of his client at acquired in the course of employment, nor shall
the auction of client’s property he use the same to his own advantage or that of a
third person, unless the client with full knowledge
-‐ contingent fee contract unless
of the circumstances consents thereto.
unreasonable Rule 21.03 -‐ A lawyer shall not, without the
written consent of his client, give information
PURCHASE IN VIOLATION OF THIS RULE IS from his files to an outside agency seeking such
NULL AND VOID AB INITIO information for auditing, statistical, bookkeeping,
-‐ It is definite, permanent and cannot accounting, data processing, or any similar
be ratified. purpose.
Rule 21.04 -‐ A lawyer may disclose the affairs of a
PURCHASE OF CHOSES IN ACTION client of the firm to partners or associates thereof
-‐ prohibition applies unless prohibited by the client.
Rule 21.05 -‐ A lawyer shall adopt such measures
-‐ if allowed, lawyer becomes a
as may be required to prevent those whose
voluntary litigant for profit which is
improper conduct
services are utilized by him, from disclosing or -‐ work product of lawyer such as his
using confidences or secrets of the clients. effort, research and thought and the
Rule 21.06 -‐ A lawyer shall avoid indiscreet records of his client are Privileged
conversation about a client's affairs even with matters
members of his family.
-‐ neither the lawyer, his heir or legal
Rule 21.07 -‐ A lawyer shall not reveal that he has
been consulted about a particular case except to
representatives disclose the contents
avoid possible conflict of interest. of such files without client’s
permission

DURATION OF DUTY
-‐ perpetual, continues even after A LAWYER MAY DISCLOSE AFFAIRS OF
client’s death CLIENT TO PARTNERS
-‐ he may not do anything which will -‐ employment of a law firm is
injuriously affect his former client equivalent to retainer of the
-‐ nor at any time disclose or use members thereof
against him any knowledge or -‐ employment of one member of a law
information acquired by virtue of the firm is considered as employment of
professional relationship the law firm
-‐ some privileged communication may -‐ partners and associates are not
lose privileged nature by some considered third persons because
supervening act done pursuant to they are considered as one person
the purpose of the communication
A LAWYER SHALL ADOPT MEASURES
REASON FOR THE RULE AGAINST DISCLOSURES OF CLIENT’S SECRETS
-‐ encourage full disclosure of facts to “A lawyer shall adopt such measures as may be
atty. and place unrestricted required to prevent those whose services are
utilized by him, from disclosing or using
confidence in him in matters
confidences or secrets of the clients.”
affecting his rights and obligations
-‐ preserve the confidential and trust -‐ employment of secretaries,
relation between atty and client stenographers, messengers, clerks
etc is allowed and client’s secrets
A LAWYER SHALL NOT USE CLIENT’S SECRETS learned by these persons In the
WITHOUT HIS CONSENT performance of their services to the
” A lawyer shall not, to the disadvantage of his lawyer or his client are privileged
client, use information acquired in the course of
communications
employment, nor shall he use the same to his own
advantage or that of a third person, unless the

client with full knowledge of the circumstances A LAWYER SHALL AVOID INDISCREET
consents thereto.” CONVERSATION ABOUT CLIENT’S AFFAIRS
“…even with members of his family.”
A LAWYER SHALL NOT GIVE INFORMATION -‐ may result in prejudice to client and
FROM HIS FILES lessen respect due to the legal
“ A lawyer shall not, without the written consent profession
of his client, give information from his files to an -‐
outside agency seeking such information for A LAWYER SHALL NOT REVEAL HIS HAVING
auditing, statistical, bookkeeping, accounting, CONSULTED
data processing, or any similar purpose.”

“ A lawyer shall not reveal that he has been -‐ mere relation of atty and client does
consulted about a particular case except to avoid not raise presumption of
possible conflict of interest.” confidentiality
-‐ the client must intend the
-‐ applies to matters disclosed by communication to be confidential
prospective client because the and for the purpiose of seeking legal
disclosure creates atty-‐client advice
relationship even though the atty -‐ Confidential information-‐ transmitted
does not eventually accept the by voluntary act of disclosure
employment between atty and client in confidence
-‐ lawyer should ascertain as soon as and by means which so far as the
practicable whether there is conflict client is aware, discloses the
of interest and inform the information to no third person other
prospective client that he cannot than one reasonably necessary to
accept employment on such ground accomplish the purpose for which it
was given.
B. SCOPE OF ATTY-‐ CLIENT PRIVILEGE -‐ a third person who overheard
privilege communication, privilege
REQUISITES rule does not apply
(Mercado v. Vitriolo)
Evidentiary privilege (all must concur): FORM OR MODE OF COMMUNICATION
1. legal advice of any kind is sought -‐oral, written, actions, signs and other means
2. from a professional legal adviser in his of communication intended to be
capacity as such confidential by the client
3. the communications relating to such -‐no particular mode required for the privilege
purpose rule to attach
4. made in confidence
5. by the client PERSONS ENTITLED TO CLAIM PRIVILEGE
6.are at his instance permanently protected -‐ generally extends to the atty, his
7. from disclosure by himself or by the atty client as well as to the atty’s
8. except if the protection is waived secretary, stenographer, or clerk.
-‐ interpreter or messenger
-‐ the person from whom legal advice is transmitting the communication
sought must be an atty. -‐ experts such as accountant, physician
-‐ applies if person poses as a lawyer etc hired either by client or atty for
for some ulterior purpose and client consultation
confides in him -‐ for protection of client
-‐ communication of client for purpose -‐ may be asserted by client’s assignee,
other than on account of the atty-‐ heir or legal representative
client relation is NOT privileged
-‐ communication must be for a lawful APPLICATION OF RULE
purpose or lawful end -‐ lawyer may be compelled to disclose
-‐ client who asserts the existence of unprivileged communication but he
atty-‐client relation has burden of cannot volunteer such information
proving such fact for his own benefit to the prejudice
of his client
CONFIDENTIALITY
A LAWYER SHALL NOT REVEAL CLIENT’S atty’s secretary, stenographer or

CONFIDENCE clerk,
“A lawyer shall not reveal the confidences or the consent of the atty is also
secrets of his client except; necessary
(a) When authorized by the client after -‐ client may waive personally
acquainting him of the consequences of the -‐ or through counsel except:
disclosure; > controversy involves atty-‐client
(b) When required by law;
relation as in cases of breach of
(c) When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
confidence
action.” -‐ client waives privilege by filing a complaint
against his atty or by refusing to pay atty’s
-‐ lawyer may not disclose client’s funds to fees
creditor to enable attachment of such -‐ waives cannot be made partially
funds -‐ partial waiver is equivalent to a waiver in
-‐ lawyer cannot reveal the commission of a whole
matrimonial offence committed by client
contemplating the filing for legal DISCLOSURE TO PROTECT ATTY’S RIGHTS
separation
-‐ privilege cannot be used as shield for
-‐ lawyer who acquires knowledge of past
wrongful acts of a corporate client may
wrongdoing nor can it be employed
disclose them to the directors but not to to deny a lawyer the right to protect
others himself against abuse by the client or
-‐ when lawyer discovers fraud committed false charges by third persons
by client, endeavour to rectify it by -‐ if atty is accused of misconduct by his
advising client and informing person client, he may disclose the truth
injured necessary only to protect his rights
-‐ breach of duty by lawyer (art 209 of RPC) -‐ avoid any disclosure not necessary to
o prision correccional or a fine protect his rights
200-‐1000 pesos

*read People v Sandiganbayan p. 291 (275
C. EXCEPTIONS TO THE RULE ON PRIVILEGE
SCRA 505)
A lawyer shall not reveal the confidences or
secrets of his client except;
(a) When authorized by the client after CHAPTER X
acquainting him of the consequences of the Lawyer’s Duties of Fair Dealings
disclosure;
(b) When required by law;
and Avoiding Conflict of Interests

(c) When necessary to collect his fees or to
A. FAIRNESS IN DEALING WITH CLIENT
defend himself, his employees or associates
Duty to be candid, fair and loyal in all
or by judicial action.
dealings with client, generally
-‐ in addition to these, when it refers to the
• Canon 15 – lawyer shall observe
commission of a contemplated crime or
candor, fairness and loyalty in all
perpetuation of fraud
dealings with client.

CLIENT’S WAIVER OF THE PRIVILEGE • Generally, the relation of attorney
-‐ only client can waive except: and client is strictly personal and
> when the person to be examined highly confidential and fiduciary.
the • Highly Confidential
o Trust
o Confidence
• Fiduciary witness for a client in a case, the

o Absolute Integrity canons of the profession forbid him
o Undivided Allegiance from acting in that double capacity as
A lawyer shall ascertain possible conflict of he will find it difficult to disassociate
interests his relation to the client as a lawyer
• Rule 15.01 – A lawyer, in conferring and his relation to the litigant as a
with a prospective client shall witness.
ascertain as soon as practicable • GR: A lawyer shall not refuse his
whether the matter would involve a services to the needy.
conflict with another client or his own Exceptions:
interest, and if so shall forthwith Ø He is not in a position to carry it
inform the prospective client. out effectively or competently
• The disclosure is more for the Ø He labors under a conflict of
protection of the lawyer than that of interest between him and
the client. prospective client or between a
• Concealment of facts material to the present one and the prospective.
employment may cause his client to A lawyer shall preserve the secrets of a
lose confidence in him and may even prospective client (even if such client does
affect hi fee. not retain the lawyer or latter declines
• A client may presume from an employment)
attorney’s failure to disclose matters Rule 15.02 Lawyer is bound by the rule on
material to his employment that the privileged communication in respect of
attorney has no interest which will matters disclosed to him by a prospective
interfere with his devotion to the client.
cause confided to him. Reason: To make the prospective client free
to discuss whatever he wishes with the
Duty to decline employment lawyer without fear that what he tells the
• A lawyer should decline professional lawyer will not be divulged nor used against
employment even though how him, and for the lawyer to be equally free to
attractive the fee offered may be if obtain information from the prospective
its acceptance will involve violation of client.
any of the rules of legal profession. A lawyer may act as mediator
• Lawyer should not accept Rule 15.04 A lawyer, with written consent of
employment as an advocate in any all concerned, may act as a mediator,
matter in which he had intervened conciliator or arbitrator in settling disputes.
while in the government service. • However, a lawyer shall not act as
• Reason: Necessity that counsel for any of them, otherwise
professional integrity and public the rule prohibiting representation of
confidence in that integrity be conflicting interests will apply.
maintained.
• Lawyer should not accept B. REPRESENTING CONFLICTING INTERESTS
employment the nature of which A lawyer shall not represent conflicting
might easily be used as a means of interest
advertising his professional service or Rule 15.03 A lawyer shall not represent
his skills. conflicting interest except by written consent
• While there is no statutory restriction of all concerned given after full disclosure of
for a lawyer to be an advocate and a the facts.
• The rule covers not only cases in • It is improper for a lawyer to appear
which confidential communications as counsel for one party against the
have been confided but also those in adverse party who is his client in a
which no confidence has been related suit, as a lawyer is prohibited
bestowed or will be used. from representing conflicting
• Test of inconsistency of interest : interest.
Whether the acceptance of a new • Even though the opposing clients,
client will prevent an attorney from after full disclosure of facts, consent
the full discharge of his duty of to the lawyer’s dual representation,
undivided fidelity and loyalty to his the lawyer when his clients cannot
client or invite suspicion of see their way clear to settling their
unfaithfulness and whether the controversy amicably, retire from the
acceptance of the new relation will case.
require the attorney to do anything
which will injuriously affect his first Opposing clients in unrelated suits
client in any matter in which he • A lawyer cannot appear as counsel
represents. for one party against the adverse
Reason for the prohibition: Relationship of a party who is his client in another
lawyer and a client is one of trust and totally unrelated action.
confidence of the highest degree. • The lawyer in that situation will not
be able to pursue with vigor and zeal
Effect of termination of relation the client claims against the other to
• The termination of the relation properly represent the latter in the
provides no justification for a lawyer unrelated action; or if he can do so it
to represent an interest adverse to or would invite suspicion.
in conflict with the former client.
Reason: Clients confidence once reposed New client against former client
cannot be divested by the expiration of the • A lawyer is forbidden from
professional employment. representing a subsequent client
against a former client only when the
Materiality of confidential information subject matter of the preset case is
• The bare attorney-‐client relationship related, directly or indirectly, to the
with a client precludes a lawyer from subject matter of the previous
accepting professional employment litigation in which he appeared for
from the clients adversary in the the former client.
same case or difference case but
related action. Conflicting duties
• A lawyer may not undertake to
Foundation of, & reason for, the rule discharge conflicting duties any more
• The stern rule against representation than may he represent antagonistic
of conflicting interests is founded on interests.
principles of Public Policy & Good
Taste. Attorneys interest versus client’s interest
• A lawyer should not put himself in a
position where self-‐interest tempts
Opposing clients in same or related suits him to do less than his best for his
client.
• For this reason, it is improper for a

lawyer to continue representing a Where client knowingly consent
client in a suit against a party even • Generally, a lawyer may at a certain
with the clients consent after a stage of the controversy and before it
lawyer brings a suit in his own behalf reaches the court represent
against the same defendant if it is conflicting interest with the express
uncertain whether such defendant written consent of all parties
will be able to satisfy both the concerned given after full disclosure
judgments. of the facts.
• This rule is only applicable when one
Rule applicable to Law Firms client is a former client and not when
• Where a lawyer is disqualified or both clients are current/present
forbidden from appearing as counsel clients in the case, where each
in a case because of conflicting of asserts an interest adverse to that of
interests, the law firm of which he is the other.
a member as well as any member, • In this situation the lawyer cannot
associate, or assistant therein is represent both clients at the same
similarly disqualified from so acting. time, even if they give written
• It is corollary to the rule that the consent , for it is not only awkward
employment of one member of a law for him to sustain the claim of one
firm is considered as an employment and oppose the same in favor of the
of the law firm and that the other but it is also highly unethical.
employment of a law firm is • A lawyer may not represent
equivalent to the retainer of the conflicting interest even though
members thereof. parties agree to dual representation
• A lawyer may not, therefore, where conflict is between the
represent a client whose interest are attorney’s interest and that of client,
adverse to those of the employer of a because the lawyer should yield to
member of the firm. client’s interest, or between a private
client’s interest and that of the
Limitation on General Rule government by reason of public
• GR: Lawyer may not represent policy and interest.
conflicting interests.
• Limitations:
o No conflict of interest exists Where no true attorney-‐client relationship
o Client knowingly consents to exists
the dual representation
o No true attorney-‐client • The rule forbidding a lawyer from
relationship is attendant representing an interest adverse to
that of the former client assumes, as
Where no conflicting interest exists a general proposition, that a true
• A lawyer may properly represent a client-‐attorney relationship existed.
subsequent client against a former • Consequently the absence of such
client in a matter which is not, in any relationship either with the lawyer of
way, related to the previous law firm of which he is a member
controversy in which he appeared for makes the prohibition inapplicable.
the former client.
• A public prosecutor may ethically A. IN GENERAL

sustain an information against an
accused who is the complainant in Power to bind the client, generally
another information filed by the • A lawyer must perform his duties to
same prosecutor because the latter his client within the scope of his
represents not the private authority.
complainants but the people of the • Within hi scope of authority, a lawyer
Philippines as the real offended may bind the client for any acts
party. performed by him in pursuant
• The lawyer’s secretary, stenographer, thereto.
or clerk who, in such capacity, has
acquired confidential information Two Types of Lawyer’s Authority
from the attorney’s client may not 1. General and Implied Authority
accept employment or after • Professional employment of an
becoming a member of the bar, attorney confers upon him this
represent an interest adverse to that authority to do on behalf of the
of the lawyer’s client. client such acts as are necessary
• The general prohibition applies to or incidental to the prosecution
such person, notwithstanding the or management of the suit
absence of attorney client entrusted to him.
relationship at the time the • Refers to ordinary procedure.
confidential information was 2. Special Authority
acquired because of the nature of the • Authority granted by the client to
work. bind him on substantial matter.
• GR: Negligence or mistake of the
Effects of representation of Conflicting counsel binds the client, based on the
Interest rule that any act done by the lawyer
1. Subjects the lawyer to disciplinary within the scope of his authority
action. binds the client.
2. The attorney may be disqualified • Employment by itself confers upon
from representing the new client the lawyer no special authority to
upon petition of his former client. bind the client upon substantial
3. Where the representation of matters.
conflicting interest is unknown and • The cause of action or claim which is
works prejudice to the new client, the subject matter of the litigation
the judgment against the new client are substantial matters which the
may on that ground, set aside. lawyer cannot impair, novate,
4. Lawyers right to be paid for his compromise and settle without
services rendered in favor of the clients consent.
former client may be affected only if
the two matters are related and the Attorney as agent of client
former client objected to the • The relationship of attorney and
representation. client is in many respect one of
agency and the general rules of
CHAPTER XI ordinary agency apply to such
Authority of Attorney relation.

• An attorney representing a client in has communicated to his client the
court is, however, more than an service of process upon him.
agent and has powers different from
and superior to those of an ordinary Delegation of Authority
agent, he being an officer of the • The lawyer cannot delegate the
court. confidence and authority reposed to
him by the client to another lawyer
Collection of Claims because of the fiduciary relationship.
• An attorney retained by a creditor to Exception: Consent of the client, express or
enforce a claim has authority to take implied.
all steps necessary to collect it, such • Client may also ratify the
as sending a letter of demand unauthorized delegation.
requiring payment or filing the
corresponding action in court if the Delegation of legal work
debtor refuses to pay. • A lawyer has the implied power to
• A lawyer without special authority delegate to his associate or assistant
discharge his clients claim for less attorney under his supervision and
than the amount thereof or for the responsibility, part or whole of his
full amount in kind. legal work, in the absence of an
express agreement with the client to
Acceptance of Service of Summons the contrary.
• A lawyer has no power to receive or • He may authorize another lawyer on
accept on behalf of his client the his behalf to appear in court and such
service of summon in his bare lawyer is presumed to be
professional capacity. empowered to act as such.
• He is not an agent within the • The fact of the delegation of legal
meaning of the rule authorizing work does not create an attorney-‐
service of summons upon an agent of client relationship between the other
corporation. lawyer and the client.
• Exception: Lawyer may be regarded • A lawyer may not however delegate
as an agent upon whom service of to a layman any work which involves
summons may be made and binding the study of law or its application
to the latter, where there are such as computation &
circumstances showing that he has determination of period to appeal.
been conferred or exercising
additional powers that what is B. AUTHORITY TO APPEAR
implied from the professional
employment. Generally
• Thus, a foreign corporation without • A lawyer without being retained or
an agent or officer in this country authorized by the court may not
other than its counsel who is also the represent another in court.
sole representative for setting claims, • GR: The authority of the attorney
the service made upon such counsel continues until the termination of the
binds the foreign corporation litigation.
because being the sole Exception: Unless sooner revoked or
representative, it is presumed that he withdrawn by the client.
• No written authority from the client • As amended by the 1997 Rules of
is required to enable a lawyer to Procedure, there is no longer a
represent him in court. distinction between general and
special appearance.
Appearance • Now, defendant may file a motion to
• Coming into court as party either as a dismiss not only on the ground of
plaintiff or as a defendant and asking lack of jurisdiction over his person
relief therefrom. but also on some other grounds
• Appearance by counsel is a voluntary without waiving the jurisdiction of
submission to the court’s jurisdiction the court over his person.
by a lawyer professionally engaged to
represent the cause of another such Presumption of Authority
as by actual physical appearance or • An attorney is presumed to be
filing of a pleading. properly authorized to represent any
• The orderly conduct of judicial cause in which he appears in all stage
proceedings requires the counsel for of the litigation and no written
a party to file with the court his authority is required to authorize him
formal written appearance in the to appear.
case. • The fact that a second attorney has
• Without such formal appearance, entered his appearance on behalf of
counsel is not generally entitled to a litigant does not authorize a
notice. presumption that the authority of the
first attorney has been withdrawn, it
General & Special Appearance merely means that the litigant has
• General Appearance employed an additional counsel.
• Any action on the part of the • This presumption only applies to
defendant or his counsel, except ordinary procedures and not with
to object solely on the respect to substantial matters.
jurisdiction of the court over the
person of the defendant, Presumption disputable
constitutes such appearance. • The presumption that an attorney is
• Amounts to voluntary submission duly authorized to manage a
to the court’s jurisdiction. litigation is a disputable one and may
• Special Appearance be overcome by a clear evidence to
• One which seeks to contest solely the contrary.
the jurisdiction of the court over
the person of the defendant and Disclosure of Authority
which seeks no relief other than • Notwithstanding the fact that an
the dismissal of the action attorney is presumed to be duly
exclusively on that ground. authorized to represent a party, the
• Does not operate as voluntary presiding judge may On motion of
submission. either party and on reasonable
• It also refers to the failure of a grounds being shown require him to
counsel to appear, another produce or prove his authority and to
lawyer appears on his behalf for disclose whenever pertinent to the
a particular purpose. issue the name of the person who
employed him.
• Trial & Appellate court, motu proprio • Generally, a client may waive,
and on valid grounds, may also surrender, dismiss or compromise
require him to show authority. any of his rights involved in the
litigation in favor of the other party
Effects of unauthorized appearance even without or against the consent
• A party who has not authorized the of his attorney
lawyer to represent him is not bound • An attorney can bind his client as to
by the lawyer’s appearance in the such substantial matters only with his
case nor the judgment rendered clients express or implied consent.
therein. Reason: Designed to safeguard the client’s
• If the unauthorized appearance is interest against malicious actions of his
willful the lawyer may be cited for lawyer.
contempt and be disciplined for
professional conduct. Determination of Procedural Questions
• A lawyer who has been retained to
Ratification of aunathorized Appearance prosecute or defend an action has an
• Unauthorized appearance of an implied authority to determine what
attorney may be ratified by party procedural steps to take which, in his
expressly or impliedly. judgment will best serve the interest
• Ratification retroacts to the date of of his client,
the attorney’s first appearance and • Such as what pleadings hould be
validates his actions. filed, where & when to file it and
• Express ratification what defenses to raise.
• Categorical assertion by the
client that he has authorized the Making admissions
attorney of that he is confirming • The authority of the lawyer to
the authority to represent him. manage the clients cause includes
• Implied ratification requires the the power to make admission of facts
concurrence of the requirements: for the purpose of litigation.
1. That the party represented by • No need of special authority from
lawyer is of age or competent, client.
otherwise, he must have a duly • It may be express or implied.
appointed guardian or legal • Admissions made by counsel are
representative. imputed to and conclusive against
2. That the party or guardian is the client except if there is a
aware of the representation by showing of palpable mistake.
the lawyer. • GR: Authority to make admissions is
3. The he fails to promptly limited to the action which he is
repudiate the assumed authority. retained; Admissions made by him on
• The absence of any of the requisites behalf of a client in one case are not
renders the ratification inoperative. binding upon the same client in
another suit.
C. CONDUCT OF LITIGATION Exception: If lawyer has been expressly
authorized to make such admission or if the 2
Generally cases are related.
• Admission which operated as a
waiver or surrender of the clients
cause is beyond the scope of the • Lawyer is not authorized to enter into
lawyer’s authority. compromise without special
authority from his client.
Entering into stipulations • The approval by the court of the
• A lawyer has an implied authority to compromise is not essential to the
agree or stipulate upon the facts validity except if it is a class suit or
involved in the litigation even executed on behalf of a minor or
without prior knowledge or consent incompetent or an absentee.
of his client.
• GR: Such Stipulations are binding to Effect of Want of Special Authority
the client. • A compromise by the lawyer without
Exceptions: special authority by the client does
1. If he is allowed to withdraw not bind the latter.
therefrom with the consent of • It amounts to a fraud against the
the adverse party. client.
2. When the court, upon showing of • A compromise entered into without
palpable mistake, permits him to such authority is an unenforceable
withdraw contract.
3. When what the lawyer agreed is • Judgment based on such compromise
that a witness, if presented in may be set aside or reopened.
court, would testify as stated by
the adverse party. Ratification of unauthorized compromise
• Client may ratify the unauthorized
Agreement as to what witness would testify compromise, expressly or impliedy.
• Agreement as to the truth of what a • Implied ratification may take many
witness , if presented, would testify . forms such as silence or acquiescence
• Generally binding to the client by acts showing approval.
• Agreement as to what a witness
would testify as that stated by the Confession of Judgment
adverse party . • A confession of judgment stands on
• Not binding. the same footing as a compromise.
• It deprives the court of the • Hence, a lawyer may not confess
benefit of reflection as to the judgment against his client except
intelligence and veracity of the with the knowledge and at the
witness which can only arise instance of the client.
through the process of
examination in court. Dismissal of action or withdrawal of appeal
• • A lawyer has no authority to dismiss
Compromise of cause of action his client’s case with prejudice or an
• Compromise adjudication upon the merits which
o Contract whereby the constitutes res judicata, even if he
parties, by making reciprocal does not believe that his client is
concessions, avoid litigation entitled to prevail in the action.
or put an end to one already • He has however an implied power to
commenced. dismiss the client’s case without
prejudice, that step not being a legal
obstacle to refilling, whenever he is
convinced that it is to the client’s • An attorney has authority to bind his
interest. client in taking an appeal, it being a
• He has no implied power to waive his procedural measure to relieve the
client’s right to appeal nor withdraw client to adverse effect of judgment.
a pending without a special authority,
but it may be ratified by the client. D. MATTERS IMPUTED TO CLIENT

Client’s right to dismiss or compromise Knowledge acquired by attorney
action • Knowledge acquired by attorney
• The right of a lawyer for during the time that he is acting
compensation for services rendered within the scope of his authority is
cannot have a higher standing than imputed to the client.
the right of the client to dismiss his • Doctrine of Imputed Knowledge is
cause or settle his litigation. based on the assumption that the
• Nor can such right of counsel work as attorney, who has notice of matters
an obstacle to the approval by the affecting his client, communicated
court of the settlement effected by the same to his principal in the
client. course of employment.
• The doctrine applies whether or not
Limitations on client’s right he actually communicated it to his
• The client’s right to settle his actions client, the lawyer and his client being
is not absolute. in legal contemplation, one juridical
• The dismissal or compromise by the person.
client of his cause may not defeat the
attorney’s right to just compensation Notice to counsel as notice to client
for his services. • The law requires that service of any
• The client cannot exercise such right written notice upon a party who has
in a manner that is contrary to law, appeared by attorney/s shall be
public policy, order morals or good made upon his attorney or one of
customs or prejudicial to third person them, unless service upon the party
with a right recognized by law. himself is ordered by the court.
• He cannot compromise civil status. • A notice sent to party who has
Validity of marriage or legal appeared by counsel is not a notice in
separation, future legitime, ground of law.
legal separation, future support and • Purpose: Maintain a uniform
jurisdiction of courts. procedure.
• Lawyer to whom the service of notice
Authority after judgment is to be made refers to the counsel of
• The power of attorney after record or one who in writing has
judgment is more restricted. entered a formal appearance.
• In the absence of a greater authority • Where no notice of withdrawal or
expressly conferred, an attorney has substitution of counsel is shown,
only the power to take such steps as notice to counsel of record is for all
are necessary to make the judgment purposes notice to client.
fully effective or to sustain it, or to • The right to be notified through
relieve his client from its effects if it is counsel may be waived either by
adverse. attorney or his client.
1. Personal Service
Notice to one as notice to other counsels; • Completed upon actual delivery
Exceptions 2. Ordinary Mail
• If a party appears by 2 or more • Completed upon expiration of 10
counsel of record, notice to one of days after mailing, unless court
the, is notice to others as well as to otherwise provides.
the client, even though the one upon 3. Registered Mail
whom the service is made in only a • Completed upon actual receipt
deputy of the other. by the addressee or after 5 days
• The Solicitor General (SG) is the from the date he received the
lawyer of the Republic and its officials first notice of postmaster
sued in their official capacities. whichever is earlier.
• When the SG has deputized
government lawyer, he remains the Personal service preferred; explanation
principal counsel and service of required
notice on him of legal processes and • Sec.11, Rul2 13 or ROC “ Whenever
not on the deputized lawyers is practicable, the service and filing of
decisive. pleadings and other papers shall be
• Notice to such deputized lawyers is done personally. Except with respect
not binding to papers emanating from the court,
• However, if an agency of the a resort to other modes must be
government appears by its own accompanied by a written
internal counsel, not as a deputized explanation why the service or filing
lawyer by the SG, notice to such was not done personally. A violation
counsel is deemed notice to SG. of this may be cause to consider the
• EXCEPTIONS to the rules: paper as not filed.
1. Either by agreement or proper
manifestation one of the lawyers Mistake or negligence of counsel binding
is expressly designated as one to upon client
whom service is to be made. • GR: Client is bound by his counsel’s
2. Instances when it is admittedly conduct, negligence and mistake in
clear that one is the leading handling the case.
counsel and the rest are mere • The mistake of counsel in the
helpers, as when the adverse conduct of the proceedings as a
party and the court consider one result of his ignorance, inexperience
of the lawyers as the principal or incompetence does not constitute
counsel. a ground for a new trial.
• Instances where mistakes are binding
Exceptions to rule that notice to counsel is to client:
notice to client o Failure to file responsive
1. Strict application might foster pleading within reglementary
dangerous collusion to the detriment period
of justice. o Failure to appear at the
2. If service upon the party himself is scheduled hearing due to
ordered by the court. another engagement without
asking for postponement
Mode of Service of Notice
o Failure to present additional CHAPTER XII

evidence and submitting the
TERMINATION OF ATTORNEY’S
case on evidence already
adduced AUTHORITY AND CHANGE OF
o Failure to file appellant’s COUNSEL
brief due to political activities
o Failure to notify his client A. Termination of Counsel’s Authority
regarding an adverse
judgment. GENERALLY:
The relation of atty and client may be
• Exceptions: terminated by:
1. Adherence thereto will result to -‐ the client
outright deprivation of the -‐ the lawyer
client’s liberty or property -‐ the court
2. Interests of justice so require -‐ reason beyond the control of the
3. Gross or palpable mistake or parties
negligence of the counsel A client has an absolute right to discharge his
depriving the client of due atty at any time with or without cause or
process and law. even against consent. The existence of just
cause is only important in determining the
right of the atty to a just compensation. The
• Instances of gross/palpable mistake: right of the client to terminate the retainer is
o Lawyer to attend hearing of an implied term in every professional
criminal case, his failure to employment.
advise his client that he was
going abroad which resulted LIMITATIONS ON CLIENT’S RIGHT
to clients conviction -‐ The discharge or substitution of
o Counsel’s erroneous an atty without just cause does
contrived strategy which not negate his right to full
prevented the accused from payment of compensation as
presenting an important agreed in writing or in the
evidence, which if presented absence of a retainer, to a
would possibly result to his reasonable amount based on
acquittal, even if such quantum meruit
judgment has become final.
o Failure to counsel to file the NECESSITY OF NOTICE OF DISCHARGE
appellants brief without -‐ as between client and his atty: no
cause attributable to client, notice required; any act of the
which resulted to his client indicating purpose to
conviction terminate the relation is
o Failure of counsel to appear sufficient
in the hearing which resulted -‐ however appearance of another
to the accused’s conviction counsel to file a motion to
dismiss or other pleading does
not operate as an implied
revocation of the authority of the
original lawyer
-‐ as between the court and the however if no new counsel has
party: there must be notice of entered appearance court may
discharge or a manifestation require the atty’s withdrawal in
clearly indicating that purpose abeyance until another lawyer
filed with the court and a copy appears for the party
served on adverse party -‐ atty may withdraw without
-‐ atty must file a notice of client’s consent but must be with
withdrawal approval of the court and only for
-‐ without such notice any process a good cause namely:
served on original counsel is o client pursues illegal or
binding upon the party immoral course of
conduct in connection
EFFECT OF DISCHARGE with the case he is
-‐ authority of atty to represent handling
ceases o client insists the lawyer
-‐ however there are some cases pursue conduct violative
when the atty may be required of the canons and ethics
by the court to continue o inability to work with co-‐
representation to prevent failure counsel will not promote
or miscarriage of justice interest of the client
o due to mental or physical
DEATH OR INCAPACITY OF CLIENT incapacity
-‐ terminates the relation between o client deliberately fails to
atty and client, hence atty may pay fee for services or
not represent the client in court comply with the retainer
unless he is retained by the agreement
administrator or heirs of the o lawyer is elected or
client’s estate or the client’s appointed to a public
guardian (if client becomes office
incapacitated or incompetent o other similar causes (i.e.
during the pendency of the case) client stops contact,
-‐ it is the duty of the atty to inform client refuses
the court of the client’s death or cooperation)
incapacity and to give the name
of the administrator, executor or PROCEDURE FOR WITHDRAWAL
the guardian as the case may be
1. If without client’s consent, file petition for
LAWYER MAY WITHDRAW ONLY FOR A withdrawal in court.
GOOD CAUSE 2. Serve copy of the petition upon client and
-‐ atty may withdraw before the the adverse party at least 3 days before the
final judgment with the client’s date set for hearing.
written consent or the court’s 3. Present the petition in advance of the trial
approval of his petition to of the action to allow his client to secure the
withdraw services of another lawyer.
-‐ approval of court not necessary if 4. The court may grant or deny depending on
withdrawal is with conformity of circumstances.
client and is accompanied with 5. The lawyer must still appear on the date of
the appearance of new counsel, hearing until there is a withdraw of record.
counsel before entering his

-‐ lawyer has no right to presume appearance
that his petition will be granted.
he remains counsel of record
CHAPTER XIII
until his petition is approved
COMPENSATION OF ATTORNEY
DEATH OF ATTY
-‐ terminates atty-‐client A. RIGHT TO ATTORNEY’S FEES
relationship
-‐ death of a partner in a law firm Generally
does not severe the professional • Two concepts of Attorney’s Fees
employment between law firm o Ordinary Concept
and the client, the remaining • Reasonable compensation paid
partners continue to assume to a lawyer by his client for the
professional responsibility legal services he has rendered
the latter.
ACCEPTANCE OF INCOMPATIBLE OFFICE o Second Concept
-‐ terminates atty-‐client • Amount of damages which the
relationship court may award to be paid by
-‐ notice must be given to the court the losing party to the prevailing
because it will not take judicial party
notice of the same, without such -‐ The award of
notice, process served upon such damages belong to
counsel is still binding on client the client, unless the
lawyer & the client
B. CHANGE OR SUBSTITUTION OF COUNSEL have agreed that
REQUIREMENTS: whatever attorneys
a. written application for substation fee awarded by the
b. written consent of client court when the client
c. written consent of atty to be substituted prevails in the action
d. proof of service of notice of the application shall belong to the
upon atty to be substituted lawyer as part of his
compensation.
-‐ verbal substitution not allowed • The rule that the practice of law is a
-‐ defective substitution or one profession and not a money-‐making
which does not comply with the trade does not operate as to deny
requirement will not terminate the lawyer the right to attorney’s
the original counsel’s authority fees for his professional service.
but will still recognize the • He has a right to have and recover
appearance of the new counsel from his client a fair and reasonable
(both will be considered counsel compensation for his services, except
of record) 1. where he has agreed to render his services
-‐ client may employ as many gratuitously or
counsel as he pleases but 2. he has been appointed as counsel de
professional courtesy requires officio.
that new counsel should • The compensation of a lawyer should
communicate with the original be a mere incident of the practice of
law, the primary purpose of which is 2. Although there is a formal
to render public service. contract for attorney’s fees, the
fees stipulated are found
Right to protection of counsel’s fees unreasonable or unconscionable
• A lawyer is much entitled to judicial by the court
protection against injustice, 3. Contract for attorney’s fees is
imposition or fraud on the part of his void due to purely formal defects
client as his client on the part of his of execution
counsel. 4. When the lawyer, for justifiable
• The duty of the court is not alone to cause, was not able to finish the
see that a lawyer acts in proper and case to its conclusion
lawful manner, it is also its duty to 5. When the lawyer and the client
see that lawyer is paid for his disregard the contract for
services. attorney’s fees.
Requisites for right to accrue: 6. Client dismissed his counsel
1. Existence of Attorney-‐client before the termination of the
relationship case or the latter withdrew
2. Rendition of a lawyer of legal services therefrom for valid reasons.
• QM is a device to prevent undue
• A lawyer who rendered professional enrichment based on equitable
services in favor but over the postulate that it is unjust for a person
objection of the party is not entitled to retain benefit without paying for
to fees even though the services it.
redounded to the benefit of the
party. Who is liable for attorney’s fees
• GR: Only the client who engaged the
Written Agreement services of counsel either personally
• A written agreement is not necessary or through an authorized is liable for
to establish a client’s obligation to attorney’ fees.
pay attorney’s fees. • A party who is not a privy to the
• The client’s obligation to pay employment contract or who did not
attorney’s fees arises from the authorize the lawyer’s retainer is
inanimate contrat of facius ut des (I generally speaking not liable for such
do and you give) which is based on fees.
the principle that no one shall • The exceptions on this rule rest on
unjustly enrich himself at the the equitable principle that a person
expense of another. who accepts the benefits of the legal
representation impliedly agrees to
Quantum meruit (QM) pay the attorney’s fees for he may
• It means as much as the lawyer not unjustly enrich himself at the
deserves or such amount which his expense of the lawyer.
services merit.
• Recovery of attorney’s fees on the Liability of persons benefited by counsel’s
basis of QM is authorized: service
1. No express contract for payment • GR: A person who had no knowledge
of attorney’s fees of or objected to, the lawyer’s
representation may not be held liable
for attorney’s fees even though it has employees be paid just fees by all
redounded to his benefit. those who received benefits.
• The objection to the lawyer’s • Attorney’s fees in labor cases may
appearance should be raised before not be more than what the law
and not after beneficial services shall provides and they may not be
have been rendered by the lawyer, checked off from any amount due the
otherwise such party who benefited employees without their written
from the representation may be consent.
required to pay counsel fees.
• The liability is based on equity. Liability in derivative suits
• If the legal representation redounded • Where in derivative suit, the services
to the benefit of the party concerned, of counsel who instituted the action
the retention /acceptance of the upon the request of stockholder are
benefit cure the defect of lack of beneficial to the corporation, the
authority on the part of the agent to counsel fees may be properly
retain the lawyer. charged against corporate funds.
Exception: Employment of private lawyer to • Any stockholder may intervene and
represent the government entity by an oppose the grant of such fees as
official who has no authority in law to do so, charge against funds of the
since the benefits secured by the legal corporation.
representation cannot take the place of the
law and will not create an obligation on the Liability in receivership proceedings
part of the government entity to pay fees. • The assets under receivership may be
liable for the fees of a lawyer
employed by a receiver to help him in
Liability of Assignee the discharge of his duties.
• Since an assignee of all interests pent • However, attorney’s fees of the
elite usually steps into shoes of the counsel for a defendant in a
assignor and acquires all of the receivership proceeding are personal
latters rights and obligations in the obligations of the defendant and may
action, the assignee may be held not be paid out of the assets in the
liable for atty’s fees from out of the hands of receiver, unless it
proceeds of favorable judgment. redounded to the benefit of the
receivership or of the plaintiff who
Liability in Labor Cases asked for the appointment of
• A lawyer who represents a union and receiver.
its members and with whom he has a
retainer for payment for a fixed Liability in trusteeship or guardianship
percentage amounts recovered from proceeding
the company is entitled to be paid his • Trustee may be indemnified out of
fees not only by the union members the trust estate for his expenses in
but also by the non-‐union members rendering and proving his accounts
as well those who derive benefits and for the counsel fees in
from his services. connection therewith.
• It is just and fair that the lawyer who • The court may determine whether or
represented the struggling members not a trustee may be allowed
of the union to secure benefits for all expenses for attorney’s fees and
permitted to charge the same against are special partners for special
the trust estate. purpose/
• The property of the ward may • Partners in law firm share in the
lawfully answer for the lawyer’s fees profits according with their
of the lawyer employed by the partnership agreement even though
guardian, provided there is prior only one of them actually rendered
approval of the guardianship court. the service.
• Lawyer shall in cases of referral, with
Liability in estate proceedings the consent of the client, or those
• Fees of lawyer appointed by executor lawyers who rendered services at one
or administrator to assist him in the time or another in the action, be
execution of his trust are not entitled to a division of fees in
chargeable against estate of the proportion to the work actually
deceased since the services are performed and responsibility
rendered to the executor. assumed.
• Liability for payment rests on the
executor or administrator who may, Non-‐Lawyer not entitled to lawyer’s fees
if the services are beneficial to the • The statutory rule that an attorney
estate, either seek reimbursement shall be entitle to have and recover
from the estate if he has already paid from his client reasonable
them or include them in his account compensation requires an attorney-‐
with due notice to all parties client relationship as a condition for
interested. the recovery of attorney’s fees.
• Ultimately, the estate will answer for • A non-‐lawyer cannot therefore
the fees of the lawyer whose services recover attorney’s fees even if there
are beneficial to the estate. is a law authorizing him to represent
• If the assets have been distributed, a litigant in court.
the distributees or heirs will have to
contribute their share for the Restrictions on some lawyers to charge fees
payment of the fees as the obligation • A lawyer who is absolutely
of the estate follows the assets, disqualified from engaging in the
except in the hands of purchaser in private practice of law by reason of
good faith. his government position may neither
practice law nor should he do so
Who are entitled to or the share in illegally, charge attorney’s fees for
attorney’s fees such services.
• The lawyer who has been engaged by • The prohibition does not apply to the
a client is the one entitled to recover collection of fees for services
the fees. rendered before the lawyer qualified
• However, if more than one lawyer for the public office even though
have been employed by a client, the payment thereof is made thereafter.
question of fess may arise. • A lawyer, as a government official
• GR: Lawyers who jointly represent a charge with the duty of extending
common client for a given fee, in the legal services to indigent litigants
absence of an agreement as to may not collect attorney’s fees.
division of fees, share equally as they • An executor or administrator is
prohibited from charging the estate
under his administration of o Abuse of clients confidence

professional fees for services o Unfaithfulness in
rendered by him as a lawyer. representing his client’s
Reason: Legal maxim that the one acting in cause
fiduciary capacity must not place himself in • The adverse result of the litigation
such a position as to make his interests does not deprive a lawyer of his right
antagonistic with his principal. to attorney’s fees.
• A mere honest mistake in the
discharge of his duties does not also
Right of counsel de oficio to fees defeat his right to fees.
• In the absence of a law allowing
compensation, a counsel de officio Withdrawal of counsel from the case
cannot charge the government nor • Lawyer’s unceremonious withdrawal
the indigent litigant for his services. or abandonment of the action which
• It is not a violation of the prejudices the client negates his right
constitutional restriction against to attorney’s fees/
taking of property w/o remuneration • This constitutes as a breach of his
or due process implied undertaking to prosecute or
Reason: It is one of the obligations which an defend the client’s cause until
attorney willingly assumed when he took his termination of the litigation.
oath as a lawyer is to render free legal • If the withdrawal is with the client’s
services whenever required by the court to written conformity, it is presumed in
do. the absence of evidence to contrary,
• The ROC provides a token that he and his client have mutually
compensation for counsel de oficio, agreed to terminate the services and
subject to the availability of the funds to compensate him for such services
as may provided by law the court up to the termination of their
may order that a counsel de oficio be relation.
compensated in such sum as court • The lawyer must refund to the client
may reasonably fix which shall NOT: such part of the retainer as has not
a. Be less than P30 nor more than been clearly earned.
P50 in light felony
b. P100 in less grave felonies Representation of Adverse Interests
c. P200 grave felonies other than • Representation of conflicting
capital felonies interests without written consent of
d. P500 for capital offenses the client as to the dual
• Compensation for counsel de oficio representation made after full
is not intended as a source of regular disclosure of facts negates the
income. lawyers right to receive
Attorney’s conduct affecting his right to fees compensation from both of them.
• Right of a lawyer to recover
attorney’s fees may be affected or Lawyer’s right unaffected by clients conduct
negated by misconduct on his part • A client cannot, in the absence of
such as: lawyer’s fault, consent or by a waiver,
o Carelessness deprive the lawyer of his just fees
o Negligence in the discharge already earned.
of duties
o Misrepresentation
• While a client has the right to • The discharge of a lawyer for valid
discharge his lawyer at any time, cause does not deprive the lawyer of
dismiss or settles his action he cannot his right to just fees.
by taking such step deprive the • He may only be deprived of such
lawyer of what is justly due to him right IF the cause for his dismissal
unless the lawyer by his actions, constitutes in itself an obstacle for
waives or forfeits his right. recovery.

Attorney’s discharge by client Clients dismissal of action
• The discharge of a lawyer by his • Client may dismiss his cause or action
client without a valid cause before with or without his lawyers counsel.
the conclusion of the litigation does • But this should not deprive the
not negate the lawyer’s right to just lawyer of his right to attorney’s fees
fees. in the absence of waiver by the
• However, the discharge may or may lawyer.
not affect the amount of fees • If dismissal of action was made in
depending upon the existence or good faith, the lawyer is entitled to
absence of a valid written contract such reasonable fees for the services
for professional service and nature of rendered.
that contract. • If the dismissal was made with the
1. No express written agreement as intention to defraud the lawyer with
to fees respect to his fees, he shall be
-‐ Lawyer may only be entitled entitled to the full amount agreed or
to recover the reasonable in absence of agreement, a
value of his services up to the reasonable value of his services
date of his dismissal. based on QR.
-‐ this rule applies if there is an express • A lawyer’s consent to the dismissal
understanding of payment of fees but it is not does not negate his right unless
reduced to writing except if the dismissal was under the circumstances it
made after the termination of the case, in constitutes as a waiver.
which case the lawyer is entitled to full
amount agreed. Clients compromise of action
2. If there is a written agreement and fee • A lawyer’s right to just compensation
stipulated is reasonable and absolute does not give him a superior right as
-‐ a lawyer discharged without valid cause to preclude the client from settling
shall be entitled to the full amount agreed. his case.
-‐ If the fee stipulated is contingent, and • Compromise does not also deprive
dismissal was made before termination of the lawyer of such right.
case, he shall be entitled to fees for services ** Same rule sa dismissal of action with
thus rendered. BUT if the contingency occurs respect of the intention of the client.
or the client prevents its occurrence by
dismissing or settling his cause, lawyer is B. CONTRACT FOR ATTORNEY’s FEES
entitled to the full amount agreed.
-‐ The lawyer should question his discharge to Generally
entitle him to the amount agreed upon • A contract of professional services
otherwise the quantum meruit applies as the may either be Oral or Written.
basis of payment.
• Fee stipulated may be Absolute or

Contingent. It may be a : Validity of Contract
o Fixed percentage of the • General rules governing the validity
amount recovered in the of an ordinary contract apply to an
action. agreement for professional services.
o May provide a fee per • It must not be contrary to law, good
appearance, per piece of morals, public policy, public order
work or an hourly basis. and good customs.
o Combination of these
arrangements. Effect of Nullity of Contract
• A written retainer has distinct • Nullity of a professional contract
advantages over an oral contract. which results from the illegality of
o In case of controversy as to the object sought to be achieved
question of fees, a written precludes a lawyer from recovering
contract generally controls his fees for such services.
the amount thereof. • However, if nullity is due to want of
o Event of lawyer’s dismissal by authority on the part of one of
the client before conclusion contracting parties or irregularity in
of the litigation without its formal execution or to
justifiable cause, attorney unreasonable amount of fees fixed
may be entitled to the full therein – lawyer is entitled to recover
amount agreed. what is justly due to him on the basis
o Without written agreement, of QR.
he may only recover the • In this case the object is legitimate
reasonable worth of his and contract will not be enforced
services rendered up to the because of its formal defects.
date of his dismissal.
Effect of Unconscionability of amount
Kinds of Retainer: General & Special • Written contract of service shall
• General Retainer or retaining fee control the amount to be paid unless
-‐ Fee paid to a lawyer to found by the court to be
secure his future services as a unconscionable or unreasonable.
general counsel for any • Unconscionability of the amount
ordinary legal problem that renders the contract invalid.
may arise in the routinary • However it will not preclude
business of the client and recovery, it will only justify the court
referred to him for legal to fix the reasonable worth of his
action. services based on QR.
-‐ Fees are paid whether or not
there cases referred to the Contingent Fee Contract
lawyer. • It is an agreement in writing in which
Reason: Compensation for a lost opportunity the fee, usually a fixed percentage of
of a lawyer to render service to other parties. what may be recovered in the action,
• Special Retainer is made to depend upon the success
-‐ A fee for specific case in the effort to enforce or defend a
handled or special service supposed right.
rendered by a lawyer for a
client.
• The lawyer gets paid only if he wins SUPPRESSION OF FACTS OR
the case UNLESS the client prevents EXCESSIVE FEES. L
the successful prosecution or defense
of the action, in which case lawyer is Effect of Agreement to pay litigation
entitled to fees based on QR; or to expenses
the full amount agreed if client acted • The rule of the profession forbid a
in bad faith. lawyer from agreeing to pay or bear
• Absolute fee on the other hand, the expenses of litigation.
entitles a lawyer to get paid for his • He may HOWEVER, in good faith,
efforts regardless of the outcome of advance the expenses as matter of
the litigation. convenience but subject to
• Contingent fee contract is subject to reimbursement.
supervision and scrutiny of court to REASON: To prevent lawyer from acquiring
protect client from unjust charges. any interest in the litigation & avoid conflict
• The court may reduce the amount of of interests between them.
unconscionable contingent fee to a • This agreement is known as
reasonable sum, even if client CHAMPERTRY. L
consented thereto.
• Unconscionable fee – amount which Construction of Professional Contract
according to the circumstances of the • GR: To adopt such construction as
case, constitutes an over would be more favorable to the client
exaggeration of the worth of the even if it is prejudicial to the lawyer
services of a lawyer. L
• It depends upon an express contract Reason: Inequality of situation between the
without which, lawyer may only lawyer, who knows the technicalities of the
recover only on the basis of QR. law and the client who is ignorant of such and
• It applies even if initial fees are paid also because of the lawyer’s status as officers
before or during the progress of of court.
litigation as long as the bulk of the
fees depends on the success of the C. MEASURE OF COMPENSATION
lawyer.
• It is applicable to Civil and Criminal Amount fixed in valid contract
actions. • The amount attorney’s fees due is
• It is the only way by which a poor stipulated in the written retainer
litigant may have his rights enforced agreement which is conclusive as to
or protected by a lawyer J amount of lawyer’s compensation
• This rule applies whether the fee
Validity of Contingent Fee contracted for is absolute or
• In this jurisdiction, it is not prohibited contingent.
by law & is impliedly sanctioned.
• Its validity DEPENDS upon the Factors taken into account
reasonableness of the amount fixed • In determining the amount of fess
as contingent fee under the which a lawyer may charge his client
circumstances of the case. the following factors are considered
• Generally, Valid and Binding UNLESS as provided in Rule 20.01 of the Code
obtained by FRAUD, IMPOSITION, namely:
1. The time spent and extent of
services rendered or required.
2. The novelty and difficulty of • Ability, skill & competence of a
questions involved. lawyer are not measured by his
3. Importance of subject matter income.
4. Probability of losing other • Neither is the length of time a lawyer
employment as a result of has practiced a safe criterion of his
acceptance of the case character and quality of his work.
5. Skill demanded
6. Customary charges for similar
services and the schedule of fess Value of interest involved
of the IBP charter to which he • Generally, the bigger the size or value
belongs of the interest or property involved in
7. Amount involved in the a litigation the higher the attorney’s
controversy and the benefits fees.
resulting to the client from the Reason: The higher the stakes the more the
service case is hotly litigated and the greater efforts
8. Contingency or certainty of the lawyer exerts.
compensation • But in a million peso litigation, the
9. Character of employment , percentage fee contingent upon
whether occasional or recovery becomes smaller as the
established amount of recovery gets bigger.
10. Professional standing of the (INVERSE PROPORTION RULE)
lawyer. Reason: based on the assumption that the
• These factors, not one of which is amount of work required remains the same
controlling are mere guides in even though the interest in the action
ascertaining the real value of a exceeds several million pesos.
lawyer.
• Determination of attorney’s fees Loss of opportunity for other employment
based on these factors are question • Two ways which a lawyer may loss
of facts , it requires evidence to opportunity for employment:
prove the amount of fees. 1. The acceptance will preclude a
lawyer from appearing for others
Nature of Services in cases likely to arise out of the
• The value of the lawyer’s service is in transaction in view of prohibition
large measure determined by the against representation of adverse
nature, quality & quantity of such interests.
services. 2. There is a reasonable expectation
that the lawyer not accepted
Skill & Standing of a lawyer employed by other clients.
• A lawyer acquires a reputation for
professional capacity & fidelity to Difficulty of issues involved
trust through years of hard labor and • It includes the preparation, study and
devotion to duty evidenced by the research put into the case by the
quality of his works. lawyer, to convince the court as to
• Such lawyer with high reputation also the soundness of the clients’ cause.
acquires persuasive ability in the
pleadings he makes.

Test Case collective bargaining negotiations

• Where several actions or possible shall be imposed on any individual
disputes, such as in insurance, tax or member of a contracting union:
labor, involve an identical question Provided however, the attorney’s fee
and one case is litigated as a test may be charged against the union
case, the value in controversy in all fund in an amount agreed upon by
the actions should bear its the parties. Any contract to the
appropriate proportion to the contract is void
amount due as fees to the lawyer • Art. 203 of the same Code “ No
who prosecuted the test case. agent, Attorney xxx pursuing or in
• A test case is usually litigated with charge of the preparation or filing of
energy and diligence even if the any claim under Employee
actual amount is insignificant Compensation& State Insurance Fund
because the resolution of the other shall demand or charge his services
actions which involve large sums of any fee, stipulations to the contrary
money is made to depend on the are void.
favorable outcome of the test case.
Fees in case of Referral
Results secured • It is improper for a lawyer to receive
• The fact that a lawyer failed to compensation for merely
secure for his clients what he desires recommending another lawyer to his
does not deprive him of the right to client for if such practice is
recover compensation for his services permitted, it would tend to develop
except when the fee agreed upon is the evils of commercialism.
contingent. • It is only when, in addition to referral
• A different rule would mean that , he performs legal service or
every professional fee is contingent assumes responsibility in the case
fee and for every litigated case, it is that he will be entitled to a fee.
only the lawyer in the winning side
will get paid for his services. A lawyer shall not receive from another
• If that were the rule, the practice of without clients consent
law will cease to be a dignified and • Rule 20.03 of the Code “ A lawyer
honorable profession. shall not, without full knowledge &
consent of the client, accept fee,
Statutory limitation as to fees reward, commission, interest or other
• Legislature, in the exercise of police compensation related to his
power may by law prescribe the limit employment from another person
of the amount of attorney’s fees. other than his client”
• Art. 111 of Labor Code provides “ it • This rule is designed to secure the
shall be unlawful for any person to fidelity to the client’s cause and to
demand or accept in any judicial or prevent room of suspicion on the
administrative proceedings for the part of the client.
recovery of wages, attorney’s fees • Corollary to this rule is the principle
which exceed 10% of the amount of that whatever a lawyer receives from
wage recovered” the opposite party in the service of
• Art. 222 of the same Code “ No his client belongs to the client.
attorney’s fees xxx arising from any
A lawyer shall avoid controversies with • The remedy cannot be availed of if
client concerning his fees the client recovers nothing in the
• Rule 20.4 of this Code “ a lawyer main action.
should avoid controversies with Reason: Question of fees cannot be
clients concerning his compensation determined until after the main action has
and to resort to judicial action only to been decided & subject of recovery is at the
prevent imposition, injustice or fraud. disposition of the court.
• He may take judicial action to protect • The petition may be filed with the
his fees either in the main action he court:
rendered his services or an -‐ before the judgment in favor
independent civil suit against his of the client is satisfied or
client. proceeds thereof delivered
to client
D. PROCEDURE TO RECOVER FEES -‐ before judgment is rendered
BUT the determination as to
Lawyer’s application to pay his fees the propriety of fees will
• Canon 16, Rule 16.03, a lawyer may have to await the outcome of
apply so much of the clients funds the litigation, at which time
that come into his possession as may the issue as to fee may be
be necessary to satisfy his fees and tried with notice given to
disbursements, giving notice interested parties.
promptly to his clients. • Court may not order client to pay
• This provision assumes that the fees before judgment is rendered,
client agrees with the lawyer as to there being nothing from which they
the amount of the fees. be paid except if it is certain that
• In case of disagreement or when there is something due the client
client disputes the amount claimed such as in estate proceedings; or
for being unconscionable, the lawyer when client dismissed the services of
may not arbitrarily apply the funds in the lawyer before termination of the
his possession for payment of his fees action, and funds therefor are
for it is violative of their trust available.
relationship.
• The lawyer should file the necessary Independent civil action
action in court to fix and recover the • Lawyer may enforce his right to
amount of his fees. reasonable compensation in an
independent civil action in ff cases:
Petition as incident of main action 1. If the court trying the main action
• A lawyer may enforce his right to fees dismissed the cllient’s action or
by filing the necessary petition as an nothing is awarded to him L
incident of the main action in which 2. The court deciding the main
his services were rendered only when action has no jurisdiction over
something is due the client in the the action or has already lost it.
action from which the fee is to be 3. The person liable for attorney’s
paid;Or when the client settles or fee is not party to main action
waives his cause in favor of the 4. The court reserved to the lawyer
adverse party in fraud of the lawyers the right to file a separate action
claim for compensation.
5. The services for which the lawyer • The court having jurisdiction to try
seeks payment refers to matters the main action in which the lawyer
not related to the main action. rendered services has also
6. Court rendered judgment in the jurisdiction to pass upon the question
main action without ordering of fees even though the total sum
payment of attorney’s fees and thereof is less than the jurisdictional
such become final. amount cognizable by the court.

Remedies in Estate Proceedings Necessity of Hearing
• The procedure for collection of fees • A petition for recovery of attorney’s
in an estate proceeding is for the fees has to be prosecuted and the
lawyer to ask the administrator or allegations therein established as any
executor to pay him his fees. other money claim.
• If the administrator or executor • The persons entitle to or must pay
refuses or fails to do so, lawyer has the fees have the right to be heard
two remedies: upon the question of the propriety of
1. File an independent civil action the amount.
against administrator or executor • Burden of proof is upon the lawyer to
in his personal capacity & should establish his allegations.
judgment be secured and latter
pays, the latter may include the Defenses
amount in his account file with • Action for recovery of attorney’s fees
the probate court. is subject to usual defenses in
2. File a petition with the probate ordinary action such as res judicata,
court praying, after due notice to prescription, nullity of contract or
all persons interested, allow his lack of attorney-‐client relationship.
claim & direct the
administrator/executor to pay his Execution
fees as expenses of • The final award of attorney’s fees
administration. may be enforced by execution.
• If administrator/executor dies before • It may be enforced against any
payment of fees, he may file a claim property of the client including the
against the estate of the deceased proceeds of the judgment secured for
administrator/executor or a petition the client in main action/
for allowance of fees with probate
court. E. ATTORNEY’S FEES AS DAMAGES
• A lawyer may enforce his right with
the probate court at any time before Two concepts of attorney’s fees compared
the estate proceeding is definitely Attorney’s fees as Attorney’s fees as
closed. Damages compensation
Afterwards, his remedy is to pursue Awarded by the Amount to be paid
an independent action against the court to the by the client to the
administrator in his personal capacity successful party as lawyer for the
or the distributees of the assets of an indemnity for services rendered by
the estate. damages sustained the latter.
by him prosecuting
Court Jurisdiction or defending,
through counsel, his 11. When at least double cost is
cause. awarded in cases of frivolous
Belong to the client Payable to the action or appeal.
unless there is an lawyer. 12. Court deem it just & equitable
agreement between 13. Special law so authorizes.
the lawyer & client
that whatever
attorney’s fees that
the court may award
shall belong to the Right to private counsel a precondition
lawyer as • To entitle a party to recover
compensation or in attorney’s fees as an item of
addition thereto. damages, he must not only show that
the case falls under any of the
Fee as damages not recoverable – General exceptions that may warrant the
Rule award thereof; he, including public
• GR: Attorney’s fees as damages are litigant, MUST show his right to
not recoverable. employ a private counsel.
• An adverse decision does not ipso • A successful litigant who prosecuted
facto justify their award in favor of his action without the assistance of a
the winning party. private counsel is not entitled to
• Public policy requires that no penalty awards of attorney’s fees.
be placed on the right to litigate.
Award of attorney’s fee Discretionary
Fee as damages recoverable-‐ Exception to • Award of attorney’s fees is
the rule. discretionary on the part of the court.
1. When there is agreement of • But the exercise of such discretion,
payment of such fees in the must be based on facts appearing on
event of suit to enforce a the text of the decision.
contract • The decision must state the reason
2. When exemplary damages are for the award of such fees, unless the
awarded text thereof plainly shoes the case
3. Defendant’s action or omission comes within the exceptions.
compelled plaintiff to litigate. • The appellate court may award
4. Criminal cases of malicious attorney’s fees or increase or reduce
prosecution the amount thereof whenever the
5. Action is clearly unfounded law or circumstances require.
6. Defendant acted in gross &
evident bad faith Pleading and Practice
7. Actions for support • The claim for attorney’s fees as
8. Cases of recovery of wage damages and the ground relied upon
9. Actions for indemnity under must be pleaded.
workmen’s compensation and • In the absence of such allegation, it
employer’s liability laws will not be granted.
10. Separate civil action arising from • It must be proved and specifically
a crime prayed for.

account due to the presupposes that a

attorney from his favorable judgment
CHAPTER XIV client for services has been secured for
rendered in all the client in the case.
ATTORNEY’S LIEN
matters which he

may have handled for
A. IN GENERAL
the client, regardless
Generally
of outcome.
• Rule 22.02 “ A lawyer who withdraws
It does not require A written notice
or is discharged shall, subject to a
notice thereof upon thereof to his client
retaining lien, immediately turn over
the client and the and to adverse party
the paper and property to which the
adverse party to be is necessary to be
client is entitled and shall cooperate
effective. effective.
with his successor in the orderly
It is dependent upon It covers only
transfer of the matter, including all
and takes effect from services rendered by
information necessary for the proper
the time of lawful an attorney in the
handling of the matter.”
possession. action in which the
• Rule 16.03 of the Code “ A lawyer
judgment was
shall a lien over the funds of his client
obtained and takes
and may apply so much thereof as
effect only after he
may be necessary to satisfy his lawful
shall have caused a
fees and disbursements and giving
statement of his
notice promptly thereafter to his
claim entered upon
client. He shall also have a lien to
the record of the
same extent on all judgments and
particular case.
executions he has secured for his

client as provided in ROC”
B. RETAINING LIEN
• The rules are designed to insure the

payment of the lawyer’s fees and
Nature and essence of retaining lien
reimbursement of his lawful
• Retaining lien is a passive right and
disbursements in keeping with his
cannot be actively enforced.
dignity as an officer of the court.
• It amounts to a mere right to retain

the funds, documents & paper as
Retaining and Charging Liens Distinguished
against the client until the lawyer is
Retaining Lien Charging Lien
fully paid for his fees.
Right of an attorney Right which the
• The inconvenience that may cause
to retain the funds, attorney has upon all
the client as a result of the retaining
documents & papers judgments for the
lien is the reason and essence of the
of his client which payment of money &
lien.
have lawfully come executions issued in
Requisites for Validity
into his possession pursuance thereof,
a. Attorney-‐client Relationship
until his lawful fees & secured in favor of
b. Lawful Possession by the lawyer of
disbursement have the client.
the client’s funds, documents and
been paid & to apply
papers in his professional capacity
such funds to the
c. Unsatisfied claim for attorney’s fees
satisfaction thereof.
or disbursements.
General lien for the Special lien in a

balance of the particular case &
Property to which Lien Attaches • However, the court may require the
• Retaining Lien attaches to all surrender thereof upon the client’s
property, papers, books, documents posting of an adequate bond or
or securities of the client that may security to guarantee the payment of
have lawfully come to the lawyer fees.
professionally or in the course of his
professional employment, not Extinguishment of Retaining Lien
necessarily in connection with a • The lien is dependent upon
particular case handled for the client. possession and does not attach to
• It also attaches to money which anything not in possession of lawyer.
comes into his possession by way of • It expires when the possession
writ of execution ordered by the lawfully ends, as when the lawyer
court. voluntarily parts with the funds etc of
• It does not include funds or the client OR offers them in evidence
properties which come into in court.
possession of the lawyer in another • If the properties were illegally taken
capacity other than his professional from the custody of the lawyer the
capacity, such as an agent or trustee. lien is not lost UNLESS by his act or
• The lien does not extend to omission he waives his right thereto.
properties of the clients principal, or • Mandamus will lie to restore
those adjudge by the court in favor of possession of the documents
the client’s adversary. unlawfully taken from him
Reason: Lien may only be enforced against
the properties belonging to the client and not Satisfaction of Lien
to those of his adversary or belonging to third • Unless the client voluntarily pays him
persons. his fees the lawyer still has to file the
• It also does not attach to documents necessary action to recover what is
introduced as exhibits in court, they due to him from his client.
being subject to court’s control. • The lawyer need not file an action in
court to enforce his retaining lien and
When Lien Attaches recover his fees if the client does not
• The retaining lien attached from the dispute his claim for attorney’s fees.
moment the attorney lawfully • In such case, lawyer may apply the
obtains and retains possession of the clients’ funds in satisfaction of his
properties of client. claim and send an accounting to his
• The fact that the client transfers the client and remit the balance, if any,
property evidenced by a document or to the client.
title in the lawful possession of the • But if the client questions his claim or
attorney does not defeat the lien. the amount of fees, the lawyer
cannot apply the funds. His remedy is
Bond for return of Documents to file the necessary action.
• The retaining line, once it has lawfully
attached to funds etc. of the client, is C. CHARGING LIEN
uncontestable, and the court may not
compel him to surrender them Nature and essence of Charging Lien
without prior proof that his fees are • Abstract and potential right until it is
already paid. made active and operative by:
a. recording a statement of claim in • The notice is to give the client an
the case and; opportunity to object to the lien or
b. serving notice thereof upon the amount claimed by the lawyer.
client and adverse party. • If the client dispute it the court
• It gives the lawyer the same right and should hear the parties and
power as the client over such determine from evidence submitted
judgment & execution to enforce his by them the lawyer’s right to the lien
right and secure payment. J as well as to the amount of fees.
• Based on natural equity that a client • If the client fails to contest the claim
should not be allowed to appropriate he shall be liable for the claim even if
the whole judgment in his favor it is unjust.
without paying the services of his • The notice to the adverse party is to
lawyer in obtaining the judgment. bind him as to the charging lien, once
• It is a personal claim enforceable by recorded, being a stranger to the
writ of execution. It does not attach contract between the lawyer and his
to the property in litigation. client.
• It is LIMITED ONLY to money • Otherwise, the adverse party may
judgments and not to any other kinds not be held liable under the charging
of judgments such as judgment for lien.
annulment of contract or delivery of • The adverse party cannot contest the
real property. validity of the lien that being the
concern of the client.
Requisites for Validity of Charging Lien
a. Attorney-‐client Relationship To what charging lien attaches
b. Attorney has rendered services • The lien, once recorded, attaches to
c. A money Judgment favorable to the judgment for the payment of
the Client has been secured in money and the execution issued in
the action pursuance of such judgment.
d. Attorney has claim for attorney’s • It also attaches to the proceeds of
fees or advances the judgment in favor of client and
e. Statement of his claim has been proceeds of compromise settlement.
duly recorded in the case with • It does not attach to property or land
notice thereof served upon to the in litigation.
parties. • It is restricted to the amount
• The lawyer asserting the lien need awarded to the client by final
not be the one who successfully judgment.
concluded the action for the client. • Since a charging lien presupposes a
• It is sufficient that he has rendered favorable judgment has been
some service at any stage of the obtained for the client, the lawyer for
proceeding. the losing party in a suit does not
acquire a charging lien in the action.
Recordal and Notice of lien • A lawyer as a private prosecutor
• The recordal to be valid, should be cannot claim a charging lien upon the
effected while the court has judgment of dismissal entered in a
jurisdiction over the case before the criminal case; his remedy being a
full satisfaction of the judgment. separate civil action.

Effects of Charging Lien • The satisfaction of Judgment in favor
• It partakes of a nature of collateral of the client does not by itself
security or a lien on real or personal extinguish the charging lien.
property. • The satisfaction may only extinguish
• It follows the proceeds of the the lien when there has been a
judgment wherever they may be and waiver of the right thereto either by
whoever received them. J the attorney’s active conduct or by
• The lien survives the death of the his passive omission.
client and need not be enforced in
the proceeding for the settlement of
the client’s estate. Enforcement
• The lien may be enforced, upon
proper motion, by execution.
Extinguishment of Charging Lien • It may be enforced against the client
• A charging lien which has been who, for receiving the proceeds of
recorded before the case has been the judgment without paying the
decided is extinguished when the services of his lawyer, holds so much
client loses the action as it can only thereof in trust of the lawyer.
be enforced against the judgment or • It may also be enforced against the
execution thereof. judgment debtor who, for
• The remedy of lawyer is to file a disregarding the charging lien
separate civil action for recovery of properly served on him, becomes
fees. liable to the extent of the lawyers
• A client cannot defeat the lien by an claim.
adverse action on his part such as
terminating the service of lawyer, CHAPTER XV
dismissing the case or waiving the
LIABILITIES OF ATTORNEY
cause in favor of the adverse party,

unless by the actions of lawyer he is
A. LIABILITY FOR DAMAGES
deemed to have waived it.

Degree of care required
Assignment of Charging Lien
-‐ degree of vigilance and care
• Attorney’s Charging lien may be
expected of a good father of a
assigned or transferred without the
family or such degree of care and
preference thereof being
ordinary diligence as any
extinguished except when the
member of the bar similarly
assignment carries with it breach of
situated is expected to exercise
attorney’s duty to preserve his

client’s confidence inviolate.
Civil liability
• The assignee steps into the shoes of
-‐ may recover damages from atty if
the lawyer and enjoys all the rights
client is prejudiced by the atty’s
which the latter has in the charging
negligence or misconduct
lien.
-‐ atty not liable for mere error of

judgment unless such error or
Satisfaction of Judgment
misconduct is gross or patent
-‐ may become civilly, criminally
and administratively liable if he
fails to return client’s money or a. causing prejudice to client through
property upon demand, such malicious breach of professional duty or
failure gives rise to the inexcusable negligence or ignorance
presumption that he b. revealing client’s secrets learned in the
misappropriated the same lawyer’s professional capacity
-‐ third party cannot file
counterclaim against the atty -‐ “malicious” implies deliberate
because the atty is not a party intent or sinister design on the
litigant in a case except if there is part of the lawyer
fraudulent conspiracy between -‐ “inexcusable” signifies manifest
him and his client, the judge or injustice which cannot be
some other person which explained by a reasonable
frustrate the administration of interpretation
justice -‐ lawyer’s guilt must be
established beyond reasonable
Libellous words in pleadings; privileged doubt to hold him criminally
communication liable
-‐ generally lawyers are exempted
from liability for libel or slander Other acts which may result in criminal
for defamatory words used in the liability:
course of judicial proceedings -‐ representing adverse interests
provided such statements are -‐ using or introducing false
relevant or material to the cause evidence
at hand -‐ misappropriating client’s funds
-‐ the doctrine of privileged (estafa)
communication allows lawyers to
speak their minds freely and C. CONTEMPT OF COURT
exercise their functions without
incurring the risk of criminal Nature and purpose
prosecution -‐ power to punish for contempt is
-‐ matter alleged must be inherent in all courts and is
legitimately related or so essential in the observance of
pertinent to the subject of the order in judicial proceedings and
controversy to the enforcement of
-‐ privilege does not cover judgments, orders and writs
irrelevant matter that is libellous -‐ should be exercised on the
preservative and not on the
Liability for costs of suit vindictive principle, and on the
-‐ may be held liable for costs if atty corrective rather than retaliatory
insists on the client’s patently idea of punishment
unmeritorious case or interposed
appeal merely to delay litigation Kinds of contempt:
-‐ direct or indirect
B. CRIMINAL LIABILITY -‐ criminal or civil
o Direct-‐ punished
Two acts penalized: summarily and consists
of misbehaviour in the
presence or so near the
court or judge as to proceedings before the same, including disrespect
interrupt proceedings; no toward the court, offensive personalities toward
formal charge required others, or refusal to be sworn or to answer as a
o Indirect or constructive-‐ witness, or to subscribe an affidavit or deposition
when lawfully required to do so, may be
committed away from
summarily adjudged in contempt by such court
the court involving and punished by a fine not exceeding two
disobedience of or thousand pesos or imprisonment not exceeding
resistance to a lawful ten (10) days, or both, if it be a Regional Trial
writ, process, order or Court or a court of equivalent or higher rank, or
command or tending to by a fine not exceeding two hundred pesos or
belittle, degrade, imprisonment not exceeding one (1) day, or both,
obstruct or embarrass if it be a lower court.
the court; requires filing Sec. 2. Remedy therefrom.
of a formal charge in The person adjudged in direct contempt by any
court may not appeal therefrom, but may avail
writing and an
himself of the remedies of certiorari or
opportunity for person to prohibition. The execution of the judgment shall
be heard be suspended pending resolution of such petition,
o Civil – failure to do provided such person files a bond fixed by the
something ordered by court which rendered the judgment and
the court which is for the conditioned that he will abide by and perform the
benefit of one party judgment should the petition be decided against
o Criminal – consists of any him.
conduct directed against Sec. 3. Indirect contempt to be punished after
the authority or dignity f charge and hearing.
After a charge in writing has been filed, and an
the court
opportunity given to the respondent to comment
thereon within such period as may be fixed by the
Acts constituting contempt court and to be heard by himself or counsel, a
-‐ misbehaviour in the performance person guilty of any of the following acts may be
of duties punished for indirect contempt:
-‐ advising client to commit (a) Misbehavior of an officer of a court in the
contempt performance of his official duties or in his official
-‐ disobedience to an order of the transactions;
court (b) Disobedience of or resistance to a lawful writ,
-‐ publication tending to impede or process, order, or judgment of a court, including
the act of a person who, after being dispossessed
embarrass the court constitutes
or ejected from any real property by the judgment
criminal contempt or process of any court of competent jurisdiction,
-‐ misleading the court by making enters or attempts or induces another to enter
false allegation or introducing into or upon such real property, for the purpose
false evidence of executing acts of ownership or possession, or in
-‐ unauthorized practice of law any manner disturbs the possession given to the
-‐ unlawful retention of client’s person adjudged to be entitled thereto;
funds (c) Any abuse of or any unlawful interference with
the processes or proceedings of a court not
RULE 71 constituting direct contempt under section 1 of
CONTEMPT this Rule;
Section 1. Direct contempt punished summarily. (d) Any improper conduct tending, directly or
A person guilty of misbehavior in the presence of indirectly, to impede, obstruct, or degrade the
or so near a court as to obstruct or interrupt the administration of justice;
(e) Assuming to be an attorney or an officer of a Sec. 7. Punishment for indirect contempt.
court, and acting as such without authority; If the respondent is adjudged guilty of indirect
(f) Failure to obey a subpoena duly served; contempt committed against a Regional Trial
(g) The rescue, or attempted rescue, of a person Court or a court of equivalent or higher rank, he
or property in the custody of an officer by virtue may be punished by a fine not exceeding thirty
of an order or process of a court held by him. thousand pesos or imprisonment not exceeding
But nothing in this section shall be so construed as six (6) months, or both. If he is adjudged guilty of
to prevent the court from issuing process to bring contempt committed against a lower court, he
the respondent into court, or from holding him in may be punished by a fine not exceeding five
custody pending such proceedings. thousand pesos or imprisonment not exceeding
Sec. 4. How proceedings commenced. one (1) month, or both. If the contempt consists
Proceedings for indirect contempt may be in the violation of a writ of injunction, temporary
initiated motu proprio by the court against which restraining order or status quo order, he may also
the contempt was committed by an order or any be ordered to make complete restitution to the
other formal charge requiring the respondent to party injured by such violation of the property
show cause why he should not be punished for involved or such amount as may be alleged and
contempt. proved.
In all other cases, charges for indirect contempt The writ of execution, as in ordinary civil actions,
shall be commenced by a verified petition with shall issue for the enforcement of a judgment
supporting particulars and certified true copies of imposing a fine unless the court otherwise
documents or papers involved therein, and upon provides.
full compliance with the requirements for filing Sec. 8. Imprisonment until order obeyed.
initiatory pleadings for civil actions in the court When the contempt consists in the refusal or
concerned. If the contempt charges arose out of omission to do an act which is yet in the power of
or are related to a principal action pending in the the respondent to perform, he may be imprisoned
court, the petition for contempt shall allege that by order of the court concerned until he performs
fact but said petition shall be docketed, heard and it.
decided separately, unless the court in its Sec. 9. Proceeding when party released on bail
discretion orders the consolidation of the fails to answer.
contempt charge and the principal action for joint When a respondent released on bail fails to
hearing and decision. appear on the day fixed for the hearing, the court
Sec. 5. Where charge to be filed. may issue another order of arrest or may order
Where the charge for indirect contempt has been the bond for his appearance to be forfeited and
committed against a Regional Trial Court or a confiscated, or both; and, if the bond be
court of equivalent or higher rank, or against an proceeded against, the measure of damages shall
officer appointed by it, the charge may be filed be the extent of the loss or injury sustained by the
with such court. Where such contempt has been aggrieved party by reason of the misconduct for
committed against a lower court, the charge may which the contempt charge was prosecuted, with
be filed with the Regional Trial Court of the place the costs of the proceedings, and such recovery
in which the lower court is sitting; but the shall be for the benefit of the party injured. If
proceedings may also be instituted in such lower there is no aggrieved party, the bond shall be
court subject to appeal to the Regional Trial Court liable and disposed of as in criminal cases.
of such place in the same manner as provided in Sec. 10. Court may release respondent.
section 2 of this Rule. The court which issued the order imprisoning a
Sec. 6. Hearing; release on bail. person for contempt may discharge him from
If the hearing is not ordered to be had forthwith, imprisonment when it appears that public interest
the respondent may be released from custody will not be prejudiced by his release.
upon filing a bond, in an amount fixed by the Sec. 11. Review of judgment or final order; bond
court, for his appearance at the hearing of the for stay.
charge. On the day set therefor, the court shall The judgment or final order of a court in a case of
proceed to investigate the charge and consider indirect contempt may be appealed to the proper
such comment, testimony or defense as the court as in criminal cases. But execution of the
respondent may make or offer. judgment or final order shall not be suspended
until a bond is filed by the person adjudged in essential to an orderly discharge
contempt, in an amount fixed by the court from of its judicial functions
which the appeal is taken, conditioned that if the -‐ power to discipline must not be
appeal be decided against him he will abide by exercised in an arbitrary or
and perform the judgment or final order.
despotic manner; must exercise
Sec.12. Contempt against quasi-‐judicial entities.

sound and just judicial discretion
Unless otherwise provided by law, this Rule shall -‐ it is not only the courts duty to
apply to contempt committed against persons, discipline those guilty but also to
entities, bodies or agencies exercising quasi-‐ protect the reputation of those
judicial functions, or shall have suppletory effect maliciously or frivolously charged
to such rules as they may have adopted pursuant by summarily dismissing an
to authority granted to them by law to punish for unfounded complaint
contempt. The Regional Trial Court of the place -‐ CA and RTC may also exercise
wherein the contempt has been committed shall disciplinary power over attys
have jurisdiction over such charges as may be
appearing before them but can
filed therefor.
impose suspension or a lesser

sanction after giving the atty the
CHAPTER XVI opportunity to be heard on
SUSPENSION AND DISBARMENT reasonable notice; they cannot
disbar a lawyer but may
Generally recommend such to the SC
Practice of law is a privilege burdened with
conditions: Purpose of disciplinary proceedings
-‐ adherence to rigid standards of -‐ to make sure that lawyers are
mental fitness competent, honourable and
-‐ maintenance of highest degree of reliable
morality -‐ deter other lawyers from similar
-‐ faithful compliance with rules of misconduct
the legal profession -‐ safeguard the administration of
-‐ regular payment of IBP fees justice
Ø any breach of this makes him -‐ preserve purity of legal
unworthy of the trust and confidence profession by removing those
the courts and clients repose in him who are unworthy
Ø misconduct justifies disciplinary -‐ protect the court and the public
action against him or withdrawal of from misbehaviour of its officers
the privilege to practice law
Administrative cases against lawyers a class
Authority to discipline of their own
-‐ Supreme Court has the ultimate -‐ such cases are distinct from and
disciplinary power over attys may proceed independently of
-‐ authority stems from its civil and criminal cases
constitutional prerogative to -‐ a finding of liability in a criminal
regulate the practice of law and case will not necessarily result in
the admission of persons to liability in an administrative case
engage therein -‐ neither will a favourable
-‐ incidental to the proper disposition in a civil case absolve
administration of justice and the lawyer from administrative
liability
-‐ burden of proof in these cases power of the SC to suspend or
are different; in criminal – proof disbar lawyers
beyond reasonable doubt, in -‐ Rule 138 of the Rules of Court
administrative – clearly Sec. 27. Attorneys removed or
preponderant evidence suspended by Supreme Court on
-‐ no prejudicial question in these what grounds. -‐ A member of the
cases bar may be removed or
-‐ “Disbarment proceedings are suspended from his office as
undertaken solely for public attorney by the Supreme Court
welfare and the sole question for for any deceit, malpractice, or
determination is whether a other gross misconduct in such
member of a bar is fit to be office, grossly immoral conduct,
allowed the privilege or not. The or by reason of his conviction of a
complainant or the person who crime involving moral turpitude,
called the attention of the court or for any violation of the oath
is in no sense a party, and which he is required to take
generally has no interest in the before admission to practice, or
outcome except as all good for a wilfull disobedience of any
citizens may have in the proper lawful order of a superior court,
administration of justice.” or for corruptly or wilfully
appearing as an attorney for a
B. GROUNDS FOR DISCIPLINE party to a case without authority
-‐ grounds for disbarment or so to do. The practice of soliciting
suspension consist of acts of cases at law for the purpose of
misconduct committed BEFORE and gain, either personally or through
AFTER admission to the bar paid agents or brokers,
o Requisites that must concur constitutes malpractice.
before lawyer may be suspended
of disbarred for acts commited Misconduct committed outside Philippine
BEFORE admission to practice: jurisdiction
1. act imputed must be so -‐ may be suspended or disbarred
corrupt and false as to in this country if the act
constitute a criminal act or so committed is also a ground for
unprincipled as to be disciplinary action under
reprehensible to a high Philippine law
degree -‐ judgment of foreign court merely
2. act must established by a constitutes prima facie evidence
clearly preponderant of unethical acts of a lawyer
evidence *Read Velez vs. De Vera p. 492
o Examples: cheating in the bar
exams, securing an unauthorized C. BREACH OF DUTIES TO COURT
reevaluation of his bar exam Acts constituting such breach:
answers -‐ obstruction of justice and abuse
of the legal process
-‐ grounds enumerated are not o advising client to escape
exclusive because they do not from prison
constitute a limitation on the
o asking client to plead -‐ introducing false evidence

guilty to crime he did not o testifying falsely
commit o introducing false
o instructing witness not to document
appear in court Requisites:
o prosecuting clearly § evidence must be
frivolous cases on appeal spurious and
-‐ misleading the court lawyer knows
o knowingly making false such infirmity
allegations § despite such
o misquoting texts in a knowledge atty
document presents it to
o suppressing material and court
vital facts o presenting a coached
o failing to inform courts of witness to give false
any subsequent testimony
developments in the case o any such act require
which may render case discipline irrespective of
moot and academic the materiality or
o attributing to a judge a immateriality of the
statement which he did untruthful statement
not make o Lawyer owes entire
o altering factual findings devotion to his client but
o asserting facts which he not at the expense of
merely expects or hopes truth because his first
to accomplish duty is not to the client
-‐ forum shopping but to the administration
o constitutes direct of justice.
contempt and makes atty o lack of intent to deceive
administratively liable in the presentation of the
-‐ filing false charges false evidence will still
o violation of lawyer’s oath subject atty to liability for
o filing a groundless charge failure to exercise care
against a judge despite and prevent confusion
admonition by the SC and delay in the
violates Canons 10-‐12 disposition of the case
o to warrant disciplinary -‐ Blackmail – extortion of money
action it must be shown from a person by threats of
that: accusation or exposure or
§ charges were opposition in the public prints
false and the atty o Violation of Canon 19
knows them to and rule 19.01 of the
be so Code of Professional
§ atty still filed the Responsibility
case despite CANON 19 -‐ A LAWYER SHALL
REPRESENT HIS CLIENT WITH ZEAL
knowing such WITHIN THE BOUNDS OF THE
§ there is malice or LAW.Rule 19.01 -‐ A lawyer shall
employ only fair and honest means to
bad faith attain the lawful objectives of his
client and shall not present, for the client, there is
participate in presenting or threaten
to present unfounded criminal pending litigation and the
charges to obtain an improper client’s property or
advantage in any case or proceeding.
interest is involved
-‐ wilfully disobeying court orders
therein
and disrespect to courts
o good faith is not a
o “wilfull” conveys the idea
defense but may mitigate
of a flagrant misconduct
liability
such as would indicate a
disposition on the part of -‐ failing to account or
a lawyer so refractory in misappropriating client’s
property
its character as to affect
-‐ collecting unreasonable fees
his qualification and
o applying client’s money
standing for the further
to pay his unreasonable
exercise of his office as
claim for work done
an atty
without consent
-‐ using vicious and disrespectful
o refusing to return what
language
he collected as payment
-‐ continuing practice even after
for services which he did
suspension
not render

-‐ acting without authority
D. BREACH OF DUTIES TO CLIENT
o may be disciplined for
Acts constituting breach of duties to client:
compromising, settling,
-‐ negligence in the performance of
dismissing, waiving or
duties so gross in character and
disposing of a client’s
causes prejudice to client
cause, property or
o violates canon 18 which
interest without prior or
requires lawyer to serve
subsequent authority
with competence and
diligence from the client
o ignorance of the law is a -‐ wilfully appearing without being
retained
ground for discipline but

not for an honest mistake
E. BREACH OF DUTIES TO THE BAR
or error
Generally
o pressure and large
-‐ unethical conduct is that which
volume of work in not an
violates the rules or ethical code
excuse
of the legal profession or which is
*Read Jardin vs. Villar, Jr.
unbecoming of a member of the
p. 524
bar
-‐ employment of unlawful means
Acts that may be disciplined:
-‐ defrauding client
-‐ defaming fellow lawyers
-‐ representing adverse interests and
-‐ communicating with adverse
revealing client’s secrets (takte paulit ulit na to
alam nyo na yan!) party (violates Canon 9)
-‐ purchasing client’s property in -‐ encroaching upon business of
litigation another
o constitutes malpractice -‐ soliciting business
o requisites: at the time he -‐ advertising
acquires, he is counsel
-‐ cooperating in the illegal practice 4. for contracting second marriage
of law while first marriage was still
o forms law partnership subsisting
with a layman 5. carrying an illicit affair with a married
o notarizes oath of office woman
as a lawyer of a person 6. for raping neighbor’s wife
who failed in the bar
exams Conviction of a crime involving moral
o permits non-‐lawyer to turpitude
sign pleading on his Moral turpitude means anything which is
behalf done contrary to justice, honesty, modesty or
-‐ non-‐payment of IBP dues good morals or any act of vileness or
depravity in the private and social duties that
F. OTHER GROUNDS FOR DISCIPLINE a man owes his fellowmen or to society,
Non-‐professional misconduct, generally contrary to the accepted rule of right and
-‐ lawyer may not be suspended or duty between man and man.
disbarred and the court may not -‐ in general, all crimes which fraud
ordinarily assume jurisdiction for or deceit is an element or those
misconduct in his non-‐ inherently contrary to the riles of
professional or private capacity right conduct involve moral
unless the misconduct is so gross turpitude
a character as to show him to be o estafa, swindling,
morally unfit for the office and falsification of public
unworthy of the privilege which document, smuggling,
his license and the law confer on bribery, murder, bigamy,
him abduction, seduction,
-‐ lawyer must always be a person concubinage and
of good moral character violation of BP 22
o conviction for homicide
Gross immorality may or may not involve
Immoral conduct is that conduct which is so moral turpitude
wilful, flagrant or shameless as to show depending on the facts of
indifference to the opinion of good and the case (read Soriano vs.
responsible members of the community. Dizon p.550)
Grossly immoral conduct was found in the Other acts:
following cases: -‐ promoting to violate or violating
1. Living adulterously with another penal laws
woman after abandoning legal wife -‐ misconduct as public officer
2. having carnal knowledge of a woman -‐ misconduct as notary public
under promise of marriage and o notarizing document
urging her to have an abortion and permitting husband to
thereafter marrying another woman take a concubine
3. misrepresenting that he was single o authorizing each spouse
when in fact he was married and to remarry
succeeding in having intercourse with o notarizing in the absence
her and thereafter faking a marriage of the affiant
between the woman and his son
o for not disclosing that the o deter the press from

person who signed is an publishing charges or
authorized agent proceedings
o notarizing a fictitious -‐ confidentiality may be WAIVED
document by the lawyer
-‐ not paying a just debt and issuing
bouncing checks Who and how instituted
-‐ by the SC motu proprio
CHAPTER XVII -‐ by the IBP
-‐ upon a verified complaint of any
PROCEDURE FOR DISCIPLINE AND person
REINSTATEMENT -‐ All charges against justices of CA
and Sandiganbayan and judges of
-‐ Suspension or disbarment is CTA and lower courts shall be
sometimes described as a filed with the SC, IBP has no
punishment, as a necessary jurisdiction
consequence of its primary -‐ must allege SPECIFIC facts which
object, which is not so much to constitute the particular breach
punish the individual atty himself or violation of law or the Code of
as to safeguard the professional responsibility
administration of justice by -‐ After filing of complaint:
protecting the court and the o IBP grievance
public from the misconduct of investigator or if required
officers and to remove those a panel of 3 investigators
persons who are unfit to will ascertain if complaint
continue discharging the trust is meritorious
reposed in them as members of o if meritorious, copy to be
the law. served upon respondent
-‐ an investigation by the court into requiring him to answer
the misconduct of its officer or an within 15 days from date
examination of his character of service
-‐ desistance or withdrawal of o answer shall be verified
complainant does not exonerate o original and 5 copies filed
respondent with the investigator with
-‐ a complaint for disbarment or proof of service on
suspension is imprescriptible complainant or his
counsel
Proceedings are confidential until its final o upon joinder of issues or
determination. failure of respondent to
-‐ Three fold purpose: answer, investigator shall
o to enable the court to proceed with the
make its investigation investigation of the case;
free from any extraneous investigation shall
influence or interference terminate within 3
o to protect the personal months unless extended
and professional for good cause by the
reputation of attys from Board upon prior
baseless charges application
o ex parte investigation is within 15 days from

allowed only if receipt of ruling
respondent fails appear o if IBP ruling is for
despite notice suspension or
o if not meritorious, may disbarment, it shall be
be dismissed by the transmitted to the SC for
Board of Governors and a final action. The SC will
copy of the resolution of decide the case either by
dismissal furnished the Division or En Banc in
complainant and the SC accordance with the
o SC may review the case following:
motu proprio or upon § Suspension for 1
timely appeal of 15 days year or less –
from notice Division
-‐ Report of investigator and § more than 1 year
decision of the Board – En banc
o not later than 30 days § Fine of 10,000 or
from the termination of less – Division
the investigation, a § More than
report containing the 10,000 – en banc
findings of facts and § In case both
recommendations shall suspension and
be submitted to the IBP fine are involved,
Board together with En banc if
stenographic notes, suspension is
transcript and all the more than 1 year
evidence presented and fine exceeds
§ he may 10,000
recommend § In case of 2 or
exoneration, more
admonition, suspensions of
reprimand, fined, the lawyer,
suspension or service of the
disbarment as same is
the evidence may successive and
warrant not
o the decision of the IBP simultaneous.
Board shall be in writing o Maronilla vs. Jorda
and clearly and distinctly The decision of the IBP only
state facts and reasons takes effect upon its
on which it is based affirmation or modification
o complainant may file by the SC because the
motion for inherent power to discipline
reconsideration with the members of the Bar belongs
IBP board to the SC and not the IBP. It is
o Petition for review may a matter of routine that
be filed with the SC decisions of the IBP are
automatically elevated to the
SC for review and there is no prosper against the atty because
need for a petition to be filed the pardon relieves him of penal
within 15 days for the SC to consequences but does not
acquire jurisdiction over the restore his character
matter. -‐ if absolute pardon granted
-‐ there must be clear, convincing subsequent to disbarment,
and satisfactory proof and he reinstatement not automatic and
who asserts must prove depends upon the circumstances
of the case and discretion of the
Proceedings in the SC and other courts court
-‐ may refer investigation to the SC -‐ conditional pardon does not
or to any officer of the court or operate as bar to disbarment
judge of lower court proceedings
-‐ pending final resolution, SC may
suspend the respondent from the Modifying circumstances
practice of law -‐ Mitigating:
-‐ CA or RTC may suspend an atty o good faith
after due notice and opportunity o lack of material damage
to be heard, until further action o desistance of
by the SC complainant
-‐ failure of atty to submit the o youth and inexperience
required explanation constitutes o error in judgment
waiver of the right to be heard o honest and efficient
-‐ res ipsa loquitur applies; trial service in various govt
type hearing is not necessary if positions
facts of record sufficiently o being first offense
provide basis for determination o admitting mistake and
of the liability expressing apologies
o explanation and plea of
Defenses forgiveness
-‐ should not resort to technicalities o clean record in the past
when the facts are clear and -‐ Aggravating:
undisputed o abuse of authority
-‐ deny complainant’s claim only if o having sex with the
in good faith lawyer’s relative
-‐ should accept misdeeds and ask o making marriage a
for leniency to mitigate liability mockery
o was previously
Executive pardon disciplined
-‐ absolute pardon is a bar to a o defrauding the govt
proceeding for disbarment based
solely on the commission of the Dismissal of the case
offense because lawyer is -‐ in the absence of clearly
considered as innocent and preponderant evidence, it should
guiltless, but if disbarment is not be dismissed
based upon the commission of -‐ any doubt should be resolved in
the pardoned offense, then atty’s favour
disciplinary action will still
-‐ death of the atty during the

pendency of the case renders the Reinstatement
action moot and academic, but -‐ SC has exclusive authority to
the court may still resolve to reinstate disbarred or indefinitely
clear the atty’s name suspended lawyer
-‐ such reinstatement does not
Disciplinary sanctions; basic considerations become final as it may be
-‐ discretionary upon the court reopened or reconsidered by the
-‐ exercised on the preservative and SC upon proper petition and
not on the vindictive principle satisfactory evidence
-‐ Censure or reprimand is usually -‐ rests on sound discretion of the
meted out for an isolated act of court
misconduct of lesser nature. -‐ in a petition for reinstatement,
-‐ Disbarment is a juridical act of the petitioner must allege and
withdrawing the privilege to prove that he is of such good
practice law, is the most severe moral character acquired through
sanction. positive efforts and moral
-‐ Suspension is correctional in reformation as to be fit and
nature and may be for a definite proper person to practice law,
or indefinite period. Suspension and that he possesses such
for an indefinite period is actually mental qualifications as to enable
a qualified disbarment, meted him to discharge his duties
out for a specific purpose properly
desired. -‐ quantum necessary for
-‐ Fine is a sort of warning that a reinstatement is same as that for
lawyer should be more careful in admission
the discharge of his duties. -‐ the court in reinstating the
-‐ Admonition is a gentle and lawyer may impose certain
friendly reproof, a mild rebuke, a conditions on his re-‐admission
warning.

Effects of suspension or disbarment CHAPTER XVIII
-‐ self-‐executory but lawyer may
still appear to defend himself
NEW CODE OF JUDICIAL CONDUCT

because this is not considered as
Preliminary
practice of law but an exercise of
Administrative Order No. 162
a right
-‐ issued by the DOJ on Aug. 1, 1946
-‐ may result in dismissal from govt
-‐ promulgated the canons of
office which requires
judicial ethics
membership in the bar as an

indispensable qualification
1987 Constitution
-‐ judgment always subject to
-‐ vested in the Supreme Court the
change or modification of the
administrative supervision over
court regardless of period that
all judges.
has lapsed
-‐ The Supreme Court adopted the
-‐ legislative and executive branch
Code of Judicial Conduct
cannot modify the sanction
(Effective: Oct. 20, 1989)
meted out by the court
-‐ Later replaced by the New Code -‐ Admnistration of justice us a joint
of Judicial Conduct for the responsibility of the judge and
Philippine Judiciary which took the lawyer.
effect on June 1, 2004. -‐ Their relations should be based
on mutual respect and on deep
New Code of Judicial Conduct appreciation by one of the duties
-‐ See Agpalo book for the codal of the other.
provisions of the Canons -‐ Upon his assumption to office, a
judge becomes a visible
DEFINITIONS representation of the law and
more importantly, of justice.
Court Staff -‐ includes the personal staff of
the judge including the law clerks. Who is a judge
-‐ employed to designate a public
Judge -‐ any person exercising judicial power, officer selected to preside and to
however designated. administer law in a court of
justice.
Judge’s family -‐ includes judge’s spouse, son, -‐ He bears himself in the
daughter, son-‐in-‐law, daughter-‐in-‐law, and community with friends but
any other relative by consanguinity or affinity without famiiars.
within the sixth civil degree, or person who is -‐ He is a symbol of rectitude and
a companion or employee of the judge and propriety, comporting himself in
who lives in the judge’s household. a manner that will receive no
doubt whatsoever about his
• In case of deficiency or absence of honesty.
specific provisions in this New Code, -‐ He is a public officer who, by
the Canons of Judicial Ethics and the virtue of his office, is clothed
Code of Judicial conduct shall be with judicial authority to decide
applicable in a suppletory character. litigated questions according to
law.
A. UPHOLDING THE INTEGRITY AND
INDEPENDENCE OF THE JUDICIARY What a judge should be, generally
-‐ a judge should be conscientious,
Generally studious, thorough, courteous,
-‐ The preamble of the Code of patient, punctual, just, impartial,
Judicial Conduct capsulizes what fearless of public clamor, and
the judiciary should be. regardless of private influence,
-‐ The 5 canons and implementing should administer justice
rules of the Code require what according to law
judges ought and ought not to do -‐ He should not allow outside
in their official and private matter or his private interests
conduct, so as to have an interfere with the prompt and
honorable, competent and proper performance of his office.
independent judiciary and enable -‐ Judges are expected to keep
them to achieve its ultimate aim abreast of all laws and prevailing
– to promote justice by jurisprudence.
administering it fairly, -‐ They should exhibit more than
impartially, and promptly. just cursory acquaintance with
the statutes and procedural for a suspected drug queen and

rules. interfered with her prosecution.
-‐ They must know the laws and -‐ A judge should not only be
apply them properly and in good impartial, independent and
faith. honest but should also be
-‐ He must be conservant with basic perceived as such.
legal principles and well-‐settled -‐ Fraternizing with litigants
and authoritative doctrines. tarnishes his appearance.
-‐ With regard to his fellow judges,
they owe each other utmost A judge should exhibit the cold neutrality of
respect impartial judge
-‐ He is the head of the office (his -‐ While a judge should possess
sala) tasked with supervising the proficiency in law in order that he
employees who by their can competently construe and
functions are to assist him in the enforce the law, it is more
performance of his judicial important that he should act and
duties. behave in such a manner that the
-‐ He should organize his court with parties before him should have
a view to prompt and convenient confidence in his impartiality.
dispatch of its business and -‐ He should, in the performane of
should not tolerate abuses and his functions, avoid side remarks,
neglect of clerks, sheriffs, or hasty conclusions, loose
other assistants. statements or gratuitous
-‐ The conduct and behavior of utterances that could form the
everyone connected with the basis for erroneous impressions
dispensation of justice should be in the mind of those who hear
circumscribed with the heavy them and who may conclude that
burden of responsibility. he is prejudging the case or the
-‐ Implicit limits include accepted issues that come before him in
legal values and the explicit limits the exercise of his jurisdiction.
are substantive and procedural -‐ He should refrain from doing
rules of law. essentially police work that may
involve prosecution of crimes
B. AVOIDING IMPROPRIETY OR which he may have to hear and
APPEARANCE THEREOF decide.
-‐ In a special proceeding, the judge
A judge should be free from impropriety and whose order is under attack in
appearane thereof (Canon 2) the CA is merely a nominal party.
-‐ Judges may conduct themselves
in such manner that they give no Judge’s demeanor in social functions
ground for reproach. They should -‐ A judge should still continue to
maintain high ethical principles mingle in social intercourse, and
and a sense of propriety. that he should not discontinue
-‐ A Justice of the CA did not live up his interest in or appearance at
to these expectations when, meetings of members of the bar.
through indiscretions, he had He should, however, in pending
been mentioned in the or prospective litigation before
newspapers of having lawyered him, be scrupulously careful to
avoid such action as may -‐

A judge must be the first to abide
reasonably tend to waken the the law and weave an example
suspicion that his social or for the others to follow. He
business relations or friendships should, therefore, be studiously
constitute an element in careful himself and avoid even
determining his judicial action. the slightest infraction of the law,
-‐ A judge who yields to the lest it be a demoralizing example
strength of the “spirits” and acts to others.
like an uninhibited drunkard in a -‐ A judge who solemnizes marriage
public place demeans his judicial without a marriage license
office. deserves administrative sanction.
-‐ A judge who is gulty of sexual
C. PERFORMANCE OF DUTIES harassment or unjust vexation is
unbecoming of a judge.
Generally
-‐ A judge should be attentive, Fitting dignity and decorum
impartial and, since he is to -‐ This norm of conduct demands
administer the law and apply it to that a judge should show no
the facts, he should be studious shortness of temper which
of the principles of law, merely detracts from the
knowledgeable in procedural equanimity and judiciousness
rules and diligent in endeavoring that should be the constant
to ascertain the fatcs. marks of a dispenser of justice.
-‐ He mut also decide cases in a -‐ A judge should not permit the
manner free from any suspicion taking of pictures in the court
as to fairness and impartiality room, during sessions of the
and as to his integrity. court or recesses in between
-‐ His language, both written and sessions, and the broadcasting or
spoken, must be guarded and televising of court proceedings
measured, lest the best of for the detracts from the
intentions be misconstrued. essential dignity of the
proceedings, distract the witness,
A judge should be a man of learning degrade the court, and create
-‐ A judge owes it to the public and misconceptions with respect
to the legal profession to know thereto in the mind of the public.
the very law he is supposed to
apply to a given controversy. Attitude toward lawyers, litigants or
-‐ He should be studious of the witnesses
principles of law and diligent -‐ A judge should be courteous to
endeavoring to ascertain the counsel, especially to those who
facts. are young and inexperienced and
-‐ The learning process in law does also to all those others appearing
not stop upon graduation from or concerned in the
college and admission to the Bar. administration of justice in the
It is a continuing process. court.
-‐ He should be considerate of
A judge should be a visible representation of witnesses and others in
law and justice attendance upon his court.
-‐ He should not interrupt counsel -‐ While ex parte hearing of

in their arguments except to applications for provisional
clarify his mind as to their remedies should be discouraged,
positions. a judge may act upon such
-‐ He may utilize his opportunities application only where the
to criticize and correct necessity or quick action is clearly
unprofessional conduct of shwon and only when the judge
attorneys, brought to his has endeavored to counteract
attention, but he may not do so the effect the ansence of a
in an insulting manner. counsel.

Judge should not resort to intemperate Undue interference in questioning witnesses
language -‐ What is proscribed is undue
-‐ High-‐strung and belligerent interference by proppunding
behavior has no place in questions to the witnesses which
government service where will have the effect of or will tend
government personnel must act to build or bolster the case for
with self-‐restraint and civility at one of the parties.
all times.
-‐ He should refrain from conduct Compulsory disqualification of a judge
that demeans his office and -‐ Sec 1, Rule 137 of the Rules of
remember that courtesy begets Court: “No judge or judicial
courtesy. officer shall sit in every case in
-‐ In cases where a judge is which he, or his wife or child, is
required to file his comment by pecuniarily interested as heir,
the Supreme Court, he should legatee, creditor, or otherwise, or
not employ derogatory or in which he is related to either
disrespect language to emphasize party within the sixth degree of
a point. consanguinity or affinity, or to
counsel within the fourth degree,
Questioning witnesses computed according to the rules
-‐ A judge may properly intervene of the civil law, or in which he has
in the presentation of evidence been executor, administrator,
to expedite and prevent guardian, trustee, or counsel, or
unnecessary waste of time and in which he has presided in any
clarify obscure and incomplete inferior court when his ruling or
details after the witness has decision is the subject of review,
given direct testimony or in the without the written consent of all
course thereof. the parties in interest, signed by
-‐ But the judge should limit himself them and entered upon the
to asking clarificatory questions record.”
and the right should be sparingly -‐ “A judge may, in the exercise of
and judiciously used, for the rule his sound discretion, disqualify
is that the court should stay out himself from sitting in a case, for
of it as much as possible. just or valid reasons other than
-‐ A judge may examine or cross-‐ those mentioned above.”
examine a witness. -‐ His continuing with the case,
without the written consent of all
the parties, has the following -‐ Bias and lack of objectivity as a
effects: ground for disqualification of a
o The judge is deprived of judge has to be proved.
his authority to continue -‐ The mere filing of an
to hear and decide the administrative case against a
case. It does not, judge is not a ground for
however, divest the court disqualifying him from hearing
of jurisdiction. the case.
o A judge who continues to -‐ The fact alone that the judge is a
hear a case in which he is next-‐door neighbor of the
disqualified under any of complainant in a case is not a
those enumerated ground for his mandatory or
grounds may be held voluntary disqualification to sit
administratively liable on the case.
therefor, except where
all the parties concerned Procedure for disqualification
have given their consent -‐ Sec 2 of Rule 137 of the Rules of
thereto. Court: “If it be claimed that an
official is disqualified from sitting
Voluntary disqualification as above provided, the party
-‐ In 1962, the Supreme Court objecting to his competency may,
allowed judges to voluntarily in writing, file with the official his
inhibit themselves to sit in a case objection, stating the grounds
because of being related to the therefor, and the official shall
lawyer of one of the litigants, and thereupon proceed with the trial,
stated that the law on or withdraw therefrom in
compulsory disqualification does accordance with his
not preclude cases of voluntary determination of the question of
inhibition based on good, sound his disqualification. His decision
or ethical grounds. shall be forthwith made in
-‐ A judge may not be legally writing and filed with the other
prohibited from itting in a papers in the case, but no appeal
litigation. But when suggestion is or stay shall be allowed from, or
made of record that he might be by means of, his decision in favor
induced to act in favor of one of his own competency, until final
party or with bias or prejudice judgment in tha case.”
against a litigant arising of -‐ The provision applies to both civil
circumstances reasonably and criminal cases.
capable of inciting such state of
mind, he should conduct a Prompt disposition of cases
careful self-‐examination. -‐ A judge should organize his court
-‐ However, his decision to with a view to prompt and
disqualify himself is not convenient dispatch of business,
conclusive, and his competency be punctual in the performance
may be determined on of his duties, exhibit an industry
application for mandamus to and application commensurate
compel him to act. with the duties imposed upon
him and be prompt in disposing
all matters submitted to him, -‐ If he feels that a law or doctrine

especially those cases which the enunciated by the Supreme Court
law requires to be expeditiously is against his way of reasoning or
heard and decided. his conscience, he may state his
-‐ Read Art. VIII, Sec. 15 of the personal opinion on the matter
1987 Constitution but should decide the case in
-‐ If for some valid reason a judge accordance with the law or
cannot decide a case within the doctrine and not with his
period, he must request the personal views. Once the
Supreme Court for an extension Supreme Court has spoken, all
of time to resolve it. other courts must be guided by
-‐ The requirement that judges its decision.
should execute certificates of -‐ A judge who disregards a
service stating that they have no temporary restraining order of
pending cases which have not the Supreme Court is not only
been resolved after 90 days is a ignorant of the rule but, in a
pre-‐requisite to paying them larger sense, commits abuse of
their salary. authority, misconduct and
-‐ A judge who fails to decide cases conduct prejudicial to the proper
within the required period and administration of justice.
continues to collect his salaries -‐ A judge should adopt the usual
upon his certification that he has and traditional method of doing
no pending matter to resolve justice which requires that he
beyond the required period, should hear both sides with
transgresses the constitutional patience and understanding
right of the people to a speedy before he renders a decision.
disposition of cases. It also -‐ If a judge’s order is challenged in
warrants the imposition of an appellate court, he does not
administrative sanction against have to file any answer or take
him. active part in the proceeding
-‐ What the Constitution prohibits unless pexpressly directed by the
are unreasonable delays, appellate court. He is merely a
arbitrary and oppressive delays nominal party to the case.
which render rights nugatory.
-‐ The duty to dispose of the court Dispensation of criminal justice
business promptly and to decide -‐ The judge’s action must not
cases withing the prescribed impair the substantial rights of
periods should be consistent with the State and the offended party
a faithful compliance with the set to due process of law, to enable
of procedures laid down therefor. the guilty to escape unpunished,
just as he should not close his
Adjudication of cases eyes to weak evidence to bring
-‐ A judge should endeavor about the conviction of the
diligently to ascertain the facts innocent.
and the applicable law unswayed -‐ “It ia better that ten guilty
by partisan or personal interests, persons escape than one
public opinion or fear of criticism. innocent suffer.”

Rendition of judgment the finding of facts or the rulings
-‐ In disposing of controverted on points of law with which he
cases, a judge should indicate the disagrees. More than that, the
reasons for his action in opinions requirement is an assurance to
showing that he has not the parties that, in reaching
disregarded or overlooked judgment, the judge did so
serious arguments of counsel. through the processes of legal
-‐ He should state clearly the facts reasoning.
and the law on which the
judgment is based. Promulgation -‐ signifies that on the date
-‐ In formulating the dispositive the decision was made, judge/s who signed
portion of the decision, he should the decision continued to support it.
spell out clearly, distinctly and -‐ If at the time of the
unequivocally the adjudication of promulgation, a judge or a
the rights and obligations of the member of the collegiate court
parties and the disposition made has already vacated his office, his
as well as the directives and vote is automatically withdrawn.
instructions given, leaving -‐ If this rule is not followed, the
absolutely no room for dispute, decision is not valid.
debate, or interpretation
thereof, because it is this portion D. ACTIVITIES OTHER THAN DISCHARGE
that is to be executed once the OF JUDICIAL FUNCTIONS
decision becomes final.
Personal or private relations, generally
Judgment -‐ the decision or sentence of the -‐ A judge should not accept
law given by a court or othre tribunal as the inconsistent duties, nor incur
result of proceedings instituted therein and obligations, pecuniary or
based on evidence presented. otherwise, which will in any way
-‐ It is a judicial act which settles interfere with his devotion to the
the issues, fixes the rights and expeditious and proper
liabilities of the parties, and administration of his official
determines the proceedinf, and is functions.
regarded as the sentence of the -‐ He should avoid giving ground for
law pronounced by the court on any reasonable suspicion that he
the action or question before it. is utilizing the power or prestige
-‐ A judgment or decision that does of his office to enhance his
not comply with the personal self-‐interest or to
Constitutional requirements of persuade to coerce others to
stating the facts and law on patronize or contribute, either to
which it is based may violate the the success of private business
right of the affected party to due ventures, or to charitable
process and to be informed of enterprises.
how the case was decided. -‐ He should not, in any event,
-‐ The purpose of the requirement engage in provate business
is to inform the party of the without the written permission of
reason/s for the decision so that the Supreme Court.
if any of them appeals, he can -‐ He should not willfully refuse to
point out to the appellate court pay his debt.
Judge should not practice law enable him to dispose of them

-‐ Sec. 35, Rule 138 of the Rules of without serious loss.
Court prohibits a judge from -‐ A judge violates the rules by
engaging in provate practice as a posting advertisements for the
member of the bar or giving restaurant personnel on the
professional advice to clients. court bulletin board, using his
-‐ The prohibitopn is based on court address to receive
sound reasons of public policy. applications for employment in
-‐ The rights, duties, privileges and the family business, and
functions of the office of an screening applications in his
attorney-‐at-‐law are so inherently court, as they constitute
incompatible with the high involvement of private business.
judicial functions, duties, powers, This violation merits dismissal of
discretions and privileges of a the judge from the service.
judge. -‐ He violates the canon where he
-‐ A judge should not permit a law lends money at unconscionable
firm, of which he was formerly an interests and files suit for
active member, to continue to collection at the place where he
carry his name in the firm name is a judge, to enable him to take
because that might create an advantage of his position. Such
impression that the firm action merits a reprimand.
possesses an improper influence
with the judge and in Prohibited acts and transactions
consequence, tend to impel -‐ Sec 7 of RA 6713 prohibits public
those in need of legal services in officers from undertaking certain
connection with matters before business transactions or doing
him to employ the law firm. certain acts which may
-‐ As a general rule, the compromise his position as a
appointment or election of an public official. This provision also
attorney to a government office applies to judges.
disqualifies him from engaging in o Financial and material
the private practice of law. The interest – Public officials
disqualification is intended to and employees shall not,
preserve the public trust in a directly or indirectlym
public office, avoid conflict of have any financial or
interests and assure the people material interest in any
of impartiality. transaction requiring the
approval of their office.
Personal investments o Outside employment and
-‐ A judge should abstain from other activities related
making personal investments in thereto – Public officials
enterprises which are apt to and employees during
beinvolved in litigation in his their incumbency shall
court, and after accession to the not:
bench, he should not retain such § Own, control,
investments previously made, manage or
longer than a period sufficient to accept
employment as
officer, Restriction against accepting certain

employee, employment
consultant, -‐ A lawyer shall not, after leaving
counsel, broker, the government service, accept
agent, trustee or engagement or employment in
nominee in any connection with any matter in
private which he had intervened while in
enterprise said service.
related, -‐ Read PCGG v. Sandiganbayan
supervised or and Mendoza G.R. Nos. 151800-‐
licensed by their 12, April 12, 2005.
office unless
expressly allowed Prohibition against soliciting gifts
by law. -‐ A judge should not accept any
§ Engage in the presents or favors from litigants
private practice or from lawyers practicing before
of their him.
profession unless -‐ Sec. 7(d) of RA 6713: “Public
authorized by the officials and employuees shall not
Constitution or solicit or accept, directly or
by law, provided indirectly, any gift, gratuity,
that such favor, entertainment, loan or
practice will not anything of money value fron any
conflict or tend person in the course of their
to conflict with official duties or in connection
their official with any operation being
functions or; regulated by, or any transaction
§ Recommend any which may be affected by the
person to any functions of their office.
position in a -‐ The Congress consents to:
private o The acceptance and
enterprise which retention by a public
has a regular or official or employee of a
pending official gift of nominal calue
transaction with tendered and received as
their office. a souvenir or mark of
-‐ These prohibitions shall continue courtesy
to apply for 1 year after o The acceptance by a
resignation, retirement, or public official or
separation from public office, employee of a gift in the
except in the case of nature of a scholarship or
subparagraph (b)(2) above, but fellowship grant or
the professional concerned medical treatment
cannot practice his profession in o The acceptance by a
connection with any matter public official or
before the office he used to be in employee of travel grants
which case the 1 year prohibition or expenses for travel
shall likewise apply. taking place entirely
outside the Philippines interfere with the discharge of

(such as allowances, his official functions.
transportations, food and
lodging) of more than Financial disclosure and divestment
nominal value if such -‐ Read Secs. 8 & 9 of RA 6713.
acceptance is o Public officials have an
appropriate or consistent obligation to accomplish
with the interest of the and submit declarations
Philippines, and under oath their assets,
permitted by the head of liabilities, net worth and
office, branch or agency financial business
to which he belongs. interests including those
-‐ The rules does not intend to of their spouses and of
restrict or prohibit any unmarried children under
educational, scientific or cultural 18 years of age living in
exchange programs subject to their households.
national security requirements. -‐ The documents shall contain
-‐ A judge violates the above information on the following:
provision when he accepts the o Real property; its
free use, for a year, of a car, and improvements,
his availment for free of battery acquisition costs,
recharging services of the shop of assessed value and
a litigant who has a pending case current fair market value
before him. o Personal property and
acquisition cost
Restriction against using public office to o All other assets such as
promote private interest investments, cash on
-‐ This restriction particularly hand or in banks, stocks,
applies to lawyers in government bonds and the like
service, who are allowed by law o Liabilities
to engage in private law o All business interests and
practiceand to those who, financial connections
though prohibited from engaging -‐ The documents must be filed:
in the practice of law, like judges, o Within 30 days after
have friends, former associates assumption of office
and relatives, who are in the o On or before April 30 of
active practice of law. every year thereafter
-‐ Since the law does not allow a o Within 30 days after
judge to practice his profession, separation from service.
he should not do so indirectly by o They shall also execute,
being a silent partner in a law within 30 days from the
firm or by securing a legal date of their assumption
business for a friend or former of office, the necessary
associate in the active practice of authority in favor of the
law and receiving a share in the Ombudsman to obtain
attorney’s fees for his efforts. from all the appropriate
-‐ A public official shall see to it that government agencies,
his private activity does not including the BIR, such
documents as may show o All other public officials

theirs assets, liabilities, and employees, defined
net worth, and also their in RA 3019, with the Civil
business interests and Service Commission.
financial connections in -‐ It shall be unlawful for any
previous years, including, person to obtain or use any
if possible, the year when statement for:
they first assumed any o Any purpose contrary to
office in the Government. morals or public policy
-‐ Husband and wife who are both o Any commercial purpose
public officials or employees may other than by news and
file the required statements communication media
jointly or separately. for dissemination to the
-‐ SALN and Disclosure of Business general public.
Interests and Financial -‐ A public official or employee shall
Connections shall be filed by: avoid conflict of interest at all
o Constitutional and times. When a conflict of interest
national elective officials arises, he shall resign from his
with the national office position in any private business
of the Ombudsman enterprise within 30 days from
o Senators and his assumption of office and/or
Congressmen, with the divest himself of his
Secretaries of the Senate shareholdings or interest within
and the House of 60 days from such assumption.
Representatives, -‐ The same rule shall apply where
respectively; Justices, the public official or employee is
with the Clerk of Court of a partner in a partnership.
the Supreme Court; -‐ The requirement of divestment
Judges with the Court shall not apply to those who
Administrator; and all serve the Government in an
national executive honorary capacity nor to laborers
officials with the Office of and casual temporary workers.
the President
o Regional and local Extra-‐judicial appointments
officials and employees, -‐ A judge shall not accept
with the Deputy appointment or designation to an
Ombudsman in their agency performing quasi-‐judicial
respective regions or administrative functions. (Art
o Officers of the armed VIII, Sec 12 of the Constitution)
forces from the rank of -‐ Quasi-‐judicial – term applied to
colonel or naval captain, the actions or discretions of
with the Office of the public administrative officers or
President, and those bodies required to investigate
below said ranks, with facts, or ascertain the existence
the Deputy Ombudsman of facts, hold hearings, and draw
in their respective conclusions from them, as a basis
regions for their official action, and to
exercise discretion of a judicial liable for commission of an

nature. election offense.
-‐ Quasi-‐judicial body -‐ organ of -‐ The 1987 Administrative Code
government other than a court exempts from the prohibition a
and other than a legislature public officer or employee “from
which exercises adjudicative expressing his views on current
power affecting the rights of political problems or issues or
private persons. from mentioning the names of
-‐ A judge’s acceptance of the candidates for public office
position will operate to vacate his whom he supports.” However,
position as a judge. solicitation of votes, such as
-‐ Administrative functions-‐ those distributing handbills for a
which involve the regulation and particular candidate, is
control over the conduct and electioneering proscribed by the
affairs of individuals for their own Omnibus Election Code.
welfare and the promulgation of -‐ Election campaign or partisan
rules and regulations to better political activity – an act
carry out the policy of the designed to promote the election
legislature or such as are or defeat of a particular
developed upon the candidate or candidates to a
administrative agency by the public office.
organic law of its creation. -‐ Candidate – any person aspiring
for or seeking an elective public
Prohibition against partisan political office, who has filed a certificate
activities of candidacy by himself or
-‐ The 1987 Constitution provides through an accredited political
that “no officer or employee in party, aggroupment, or coalition
the civil service shall engage, of parties.
directly or indirectly, in any -‐ Political offices – those offices
electioneering or partisan which are not connected
political activity.” immediately with the
-‐ “Any officer or employee in the administration of justice, or the
civil service, except those holding execution of mandates of a
political officers, any officer, superior officer – as the
employee, or member of the President or secretaties or heads
Armed Forces of the Philippines, of departments in the executive
or any police officer, special department. They also include
forces, home defense forces, national, provincial, city and
barangay self-‐defense units and municipal elective positions.
all other para-‐military units that
now exist or which may hereafter Municipal Judge acting as notary public
be organized who, directly or -‐ Municipal judges may not engage
indirectly, intervenes, in any in notarial work except as
election campaign or engages in notaries public ex-‐officio.
any political activity, except to -‐ While the Judiciary Act as
vote or to preserve public order, amended by RA 6031 permitted
if he is a peace officer” shall be them to pursue any other
occupation or calling after office
hours, such authorization -‐ This judicial immunity rests upon

excluded engaging in the work of considerations of public policy, its
a regular notary public. purpose being to free the judge
-‐ As notaries public ex-‐officio, they from apprehension of personal
may engage only in the consequences to himself and to
notarization of documents preserve the integrity and
connected with the exercise of independence of the judiciary.
their official functions. -‐ The remedy of the aggrieved
-‐ In far-‐flung municipalities which party is to elevate the error to
have neither lawyers or notaries the higher court for review and
public, municipal judges assigned correction.
to those municipalities or cicuits -‐ A judge may be held criminally,
may, in their capacity as notaries civilly or administratively liable
public ex-‐officio, perform any act for malfeasance or misfeasance
within the competence of a in office.
regular notary public provided
that: B. CIVIL LIABILITY
o All notarial fees charged
be for the account of the When civilly liable, generally
Government and turned -‐ A judge is not personally liable to
over to the municipal one injured in consequence of an
treasurer act performed withtin the scope
o A certification be made in of his official authority, and in
the notarized documents line of his official duty.
attesting to the lack of -‐ He is not liable for damages for
any lawyer or notary wht he does in th exercise of his
public in such judicial functions.
municipality or circuit -‐ His acts are protected by the
presumption of good faith.
CHAPTER XIX -‐ He is presumed to have regularly
performed his duties.
LIABILITIES OF JUDGES -‐ It is upon him who alleges the

contrary that the burden of proof
A. IN GENERAL
lies

Judges are not liable, generally
Statutory basis of civil liability
-‐ The general rule is that a judge is
-‐ The statutory bases of civil
not liable administratively, civilly
liability are the following:
or criminally when he acts within
o Administrative Code od
his legal powers and jurisdiction.
1987: He may be held
-‐ He may not be held liable for
liable only where it is
every erroneous order or
shown that he acted
decision he renders.
willfully and maliciously
-‐ He may only be held accountable
and with the express
where his error is gross or patent,
purpose of inflictin injury
deliberate and malicious, or is
upon the plaintiff.
incurred with evident bad faith.
o Art 27, Civil Code: Any
person suffering material
or moral loss because a Immunity of state from suit, as defense of

public servant or public official
employee refuses or -‐ The state cannot be sued without
neglects, without just its consent.
cause to perform his -‐ The principle is based on the very
official duty may file an essence of sovereignty, and on
action for damages and the practical ground that there
other relief against the can be no legal right as against
latter, without prejudice the authority that makes the law
to any disciplinary on which the right depends.
administrative action -‐ A public officer who is sued in
that may be taken. connection with the performance
o Art 32, Civil Code: A of his duties may properly invike
public officer is civilly the doctrine, when the suit is on
liable for damages for its face against a government
directly or indirectly officer but the case is such that
obstructing, defeating, ultimate liability will belong not
violating or in any to the officer but to the
manner impeding or government.
impairing civil liberties -‐ The doctrine of state immunity
guaranteed by the does not apply where the officer
Constitution. has exceeded his authority.

Liability arising from bad faith Liability for unexplained wealth
-‐ Acts done in bad faith are outside -‐ Under RA 1379, whenever any
the judge’s scope of authority. public officer or employee has
-‐ If he exceeds the power acquired during his incumbency
conferred on him by law, he an amount of property which is
cannot shelter himself by the manifestly out of proportion to
plea that he is a public agent his salary and to his other lawful
acting under color of his office, income, said property shall be
and not personally. presumed prima facie to have
-‐ Bad faith – imputes a dishonest been unlawfully acquired, and
purpose or some moral obliquity the Solicitor General shall file the
and conscious doing of a wrong, petition and prosecute the case
a breach of sworn duty through (civil action in rem).
some motive or intent or ill-‐will; -‐ RA 3019 takes into account in
partakes the nature of fraud. determining whether there is
Evident bad faith connotes a unxplained wealth the properties
manifest deliberate intent to do in the name of the spouse and
wrong or cause damage. dependents, including bank
-‐ There must be an allegation in deposits, the acquisition of which
the complaint and proof that cannot be explained
such official has maliciously and satisfactorily; as well as excessive
in bad faith acted outside the expenditures or ostentatious
scope of his official authority. display of wealth, including
frequent travels abroad.
-‐ Where a public officer is sued for o The judge rendered it
unexplianed wealth, his bank with conscious and
deposits as well as those bank deliberate intent to do an
deposits held by other persons injustice.
for him may be inquired into and -‐ Good faith is a deense.
subpoenaed from the banks, a -‐ There must first be a final and
exception to the bank secrecy authoritative judicial declaration
rule. that the decision or order is
indeed unjust.
C. CRIMINAL LIABILITIES UNDER THE
REVISED PENAL CODE Judgment rendered through negligence
-‐ Any judge who, by reason of
Criminal liability, generally inexcusable negligence or
-‐ For the purpose of applying the ignorance, shall render a
provisions of the Revised Penal manifestly unjust judgment in
Code, the term public officer is any case submitted to him for
any person who, by direct decision shall be punished by
provisions of the law, popular arresto mayor and temporary
election or appointment by special disqualification.
competent authority, shall take -‐ To hold a judge liable, it must be
part in the performance of public shown that although he has
functions in the Government or acted without malice, he failed to
shall perform in said Government observe in the performance of his
or in any of its branches public duty, that diligence, prudence
duties as an employee, agent or and care which the law is entitled
subordinate official, of any rank to exact in the rendering of any
or class. public service.

Knowingly rendering unjust judgment Unjust interlocutory order
-‐ Any judge who shall knowingly -‐ A judge who shall knowingly
render an unjust judgment in any render an unjust interlocutory
case submitted to him for order or decree shall suffer a
decision, shall be punished by penalty of arresto mayor in its
prision mayor and perpetual and minimum period and suspension;
absolute disqualification. but if he shall have acted by
-‐ Judge – term employed to reason of inexcusable negligence
designate a public officer or ignorance and the
selected to preside and to interlocutory order or decree be
administer the law in a court of manifestly unjust, the penalty
justice. shal be suspension.
-‐ To hold a judge criminally liable -‐ Art. 206 of the Revised Penal
for rendering an unjust Code
judgment, it must be shown -‐ Interlocutory order – order that
beyond a reasonable doubt that: is provisional and leaves
o The judgment is unjust or substantial proceeding to be had
one which is contrary to in connection with its subject.
law or is not supported
by the evidence.
Malicious delay in the administration of make the officer refrain from

justice doing something which it was his
-‐ The penalty of prision official duty to do, he shall suffer
correccional in its minimum the penalties of prision
period shall be imposed upon any correccional in its maximum
judge guilty of malicious delay in period to prision mayor in its
the administration of justice. minimum period and a fine of not
-‐ The elements are: less that three times the value of
o There is unreasonable such gift.
delay in the disposition of -‐ The culprit shall also suffer the
the case far beyond the penalty of special temporary
period mandated by law disqualification.
o The judge was actuated -‐ The elements of direct bribery
with malice or with are:
deliberate intent to o Accused is a public officer
prejudice a party in the o He received directly or
case. through another some
gift or promise
Direct bribery o That such gift or promise
-‐ Any public officer who shall agree has been given in
to perform an act constituting a consideration of his
crime, in connection with the commission of some
performance of his official duties, crime, or any act not
in consideration of any offer, constituting a crime, or
promise, gift or present received to refrain from doing
by such officer, personally or something which it is his
through the mediation of official duty to do
another, shall suffer the penaltyu o That the crime or act
of prision mayor in its medium relates to the exercise of
and minimum periods and a fine his functions as a public
of not less that three times the officer
value of the gift, in addition to -‐ The promise of a public officer to
the penalty corresponding to the perform an act or refrain from
crime. doing it may be express or
-‐ If the gift was accepted by the implied.
officer in consideration of the -‐ A mere affidavit that bribed
execution of an act which does money was demanded by a judge
not constitute a crime, and the in exchange for dismissal of a
officer executed the said act, he criminal charge is not sufficient.
shall sufer the same penalty and
if said act shall not have been Indirect bribery
accomplished, the officer shall -‐ penalized by prision correccional
suffer the penalties of prision in its medium and maximum
correccional in its medium period periods, suspension and public
and a fine of not less than twice censure.
the value of the gift. -‐ The elements if the crime are:
-‐ If the object for which the gift o That the accused is a
was received or promised was to public officer
o He accepts a gift -‐ 3 ways of committing the crime:

o The gift is given to him, removal, destruction and
or he accepts it, by concealment.
reason of his office
-‐ Acceptance of a gift given him in Open disobedience
appreciation of his services a -‐ A judicial officer who shall openly
public officer or as a reward for refuse to execute the judgment
his work may constitute indirect or decision or order of any
bribery. superior authority made within
the scope of jurisdiction of the
Infidelity in the custody of documents latter and issued with all the legal
-‐ Art 226 of the Revised Penal formalities, shall suffer the
Code penalties of arresto mayor in its
-‐ Prision mayor and a fine not medium period to prision
exceeding P1,000 whenever correccional in its minimum
serious damage shall have been period, temporary special
caused to a third party or to the disqualification in its maximum
public interest period and a fine not exceeding
-‐ Prision correccional in its P1,000.
minimum and medium periods
and a fine not exceeding P1,000 Prolonging performance of duties and
whenever the damage caused to powers
a third party or the public -‐ Any public officer who shall
interest shall not have been continue to exercise the duties
serious and powers of his office,
-‐ In either case, the additional employment or commission,
penalty of temporary special beyond the period provided by
disqualification in its maximum law, regulations or special
period to perpetual special provisions applicable to the case,
disqualification shall be imposed. shall suffer the penalties of
-‐ The elements are: prision correccional in its
o The offender be a public minimum period, special
officer temporary disqualification in its
o That there be a minimum period and a fine not
document abstracted, exceeding P500.
destroyed, or concealed
o That the document Abandonment of office or position
destroyed or abstracted -‐ Any public officer who, before
be entrusted to such the acceptance of his resignation,
public officer by reason shall abandon his office to the
of his office detriment of public service shall
o That damage or prejudice suffer the penalty of arresto
to the public interest or mayor
to that of a third person -‐ If such office have been
be caused by the abandoned in order to evade the
removal, destruction or discharge of the duties of
concealment of the preventing, prosecuting, or
document. punishing any of the crimes
falling within Title One, and -‐ The penalties of prision

Chapter One of Title III of Book 2 correccional in its medium and
of the RPC, the offender shall be maximum periods and temporary
punished in its minimum and special disqualification shall be
medium periods, and by arresto imposed against any public
mayor if the purpose of such officer who shall solicit or make
abandonment is to evade the immoral or indecent advances to
duty of preventing, prosecuting, a woman interested in matters
or punishing any other crime. pending before such officer for
decision, or with respect to which
Usurpation og legislative powers he is required to submit a report
-‐ The penalties of prision to or consult with a superior
correccional in its minimum officer.
period, temporary special
disqualification and a fine not Falsification by public officer, employee, or
exceeding P1,000 shall be notary or ecclesiastical minister
imposed upon any public officer -‐ Penalty or prision mayor and a
who shall encroach upon the fine not to exceed P5,000 shall be
powers of the legislative branch imposed upon any public officer
of the Government, either by who, taking advantage of his
making general rules and official position, shall falsify a
regulations beyond the scope of document by committing any of
his authority or by attempting to the following acts:
repeal a law or suspending the o Counterfeiting or
execution thereof. imitating any
handwriting, signature or
Usurpation of executive fucntions rubric
-‐ Abt judge who shall assume any o Causing it to appear that
power pertaining to the persons have
executive authorities or shall participated in any act or
obstruct the latter in the lawful proceeding when they
exercise of their powers, shall did not in fact so
suffer the penalty of arresto participate
mayor in its medium period to o Attributing to persons
prision correccional in its who have participated in
minimum period. any act or proceeding
statement other than
Disobeying request for disqualification thise in fact made by
-‐ Any public officer who, before them
the questuin of jurisdiction is o Making untruthful
decided, shall continue any statements in narration
proceeding after having been of facts
lawfully required to refrain from o Altering true dates
so doing, shall be punished by o Making any alteration or
arresto mayor and a fine not intercalation in a genuine
exceeding P500. document which changes
its meaning
Abuses against chastity
o Issuing in an -‐ Any public officer who, by

authenticated form a himself or in connivance with
document purporting to members of his family, relatives
be a copy of an original by affinity or consangunity,
document when no such business associates, subordinates
original exists, or or other person, amasses,
including in such copy a accumulates or acquires ill-‐
statement contrary to, or gotten wealth through a
different from, that of combination or series of overt or
the genuine original criminal acts in the aggregate
o Intercalating any amount or total value of at least
instrument or note P75M shall be guilty and
relative to the issuance punished with life imprisonment
thereof in a protocol, with perpetual absolute
registry or official book. disqualification from holding any
-‐ The principal thing punished is public office.
the violation of public faith and -‐ The amassed properties shall be
the destruction of truth as forfeited in favor of the State
therein solemnly proclaimed. -‐ Ill-‐gotten wealth – any asset,
-‐ The elements of falsification by a property, business enterprise or
public officer are: material possession of any
o The act was committed person acquired by himself
by the public officer with directly or indirectly through
grave abuse of his office, dummies, nominees, agents,
that is, in deeds subordinates and/or business
instruments, indentures, associates through various
certificates, etc. in the schemes
execution of which he
participates by reason of Violation of the Code of Conduct for Public
his office Officials
o Malicious intent to injure -‐ punishes any public official or
a third person and in the employee, regardless of type of
case of untruthful employment, who violates the
statements in a narration provisions of the Code with a fine
of facts, there is legal not exceeding the equivalent of 6
obligation to disclose the months salary or a suspension
truth. not exceeding 1 year, or removal
depending on the gravity of the
D. CRIMINAL LIABILITY UNDER THE offense
ANTI-‐GRAFT ACT -‐ If the violation is punishable by a
heavier penalty under the law, he
-‐ See RA 3019 shall be prosecuted under the
latter state.
E. OTHER CRIMES OF PUBLIC OFFICERS -‐ Violations of the provisions on
prohibited acts and transactions,
Crime of plunder on statements and disclosures, or
-‐ RA 7080 divestment shall be punishable
with imprisonment not
exceeding 5 years or a fine not the person arrested or by

exceeding P5,000 or both. another acting in his behalf, or by
a national or international non-‐
Violation of PD 46 governmental organization duly
-‐ punishes any public official or accredited by the Office of the
employee, whether of the President, shall be punished by
national of local governments, prision correccional.
who receives, directly or
indirectly, and for private persons Election offenses
who gives, or offers to give, any -‐ The following public officers and
gift, present, or other valuable employees shall be guilty of the
thing on any occasion, including following election offense:
Christmas, when such gift, o Coercion of subordinates
present, or other valuable thing is o Appointmrnt of new
given by reason of his official employees – 45 days
position. beofre a regular election
-‐ PD 749 grants immunity from and 30 days before a
prosecution to givers of brides special election; includes
and other gifts and to their increase in salary or
accomplices in bribery and other remuneration or privilege
graft cases against public officers, o Transfer of officers and
under the conditions therein employees in the civil
provided. service
o Intervention of public
Transfer of unlawfully acquired property officers and employees –
-‐ Any public officer who shall except those holding
transfer or convey any unlawfully political offices
acquired property shall be
repressed with imprisonment for F. ADMINISTRATIVE LIABILITY
a term not exceeding 5 years or a
fine not exceeding P10,000 or Generally
both. The same repression shall -‐ Sec 2, Art XI of the 1987
be imposed upon any person Constitution provides that
who shall knowingly accept such Justices of the SC may be
transfer or conveyance. removed from office, on
impeachment.
Violation of right to counsel -‐ All other Justices and judges from
-‐ Any public officer or employee or the CA to the lowest level may be
anyone acting under his orders or removed from office as provided
in his place, who shall obstruct, by law, but not by impeachment.
prohibit, or otherwise prevent an
attorney entitled to practice in Authority to discipline
the courts of the Philippines from -‐ SC has administrative supervision
visiting and conferring privately over all courts and personnel
with a person arrested, or at any thereof.
hour of the day, or in urgent -‐ SC can oversee compliance with
cases, of the night, said visit and the law and the Rules of Court
conference being requested by and take proper administrative
action against Justices and judges o Bribery, direct of indirect

if they commit any violation o Dishonesty and violations
thereof. of Anti-‐Graft and Corrupt
-‐ The Ombudsman has no power Practices Law (RA 3019)
to entertain and investigate o Gross misconduct
administrative complaints against constituting violations of
judges and court personnel. the Code of Judicial
Conduct
Administrative charges, generally o Knowingly rendering an
-‐ Malfeasance – performance of unjust judgment or order
some act which ought not to be as determined by a
done competent court in an
-‐ Misfeasance – improper appropriate proceeding
performance of some act which o Conviction of a crime
might lawfully be done. involving moral turpitude
-‐ Nonfeasance – omission of an act o Willful failure to pay a
which ought to be performed just debt
-‐ There are two general categories o Borrowing money or
of the grounds for suspension or property from lawyers
dismissal: and litigants in a case
o Those related to the pending before the court
discharge of functions of o Immorality
the office concerned – o Gross ignorance of the
may be the object of law or procedure
administrative action o Partisan political activies
even if it does not o Alcoholism and/or
amount to a crime. If it vicious habits
amounts to a crime, -‐ Less serious charges – fine not
conviction by final exceeding P20K to suspension
judgment is not from service of not more than 3
necessary months
o Not related to, or o Undue delay in rendering
connected with, the a decision or order, or in
functions of the office – transmitting the records
act or omission should of a case
amount to a crime and o Frequent and unjustified
conviction by final absences without leave
judgment of the crime of habitual tardiness
involving moral turpitude o Unauthorized practice of
or disqualification to hold law
office, to be subject to o Violation of the Supreme
disciplinary action. Court rules, directive,
and circulars
Classifications of charges in serious, less o Receiving additional or
serious and light charges double compensation
-‐ Serious charges – from a fine not unless specifically
exceeding P40K to dismissal from authorized by law
service
o Untruthful statements in the Sandiganbayan may be

the certificate of service instituted motu proprio by the SC
o Simple misconduct or or upon a verified complaint
inefficiency supported by affidavits of
-‐ Light charges – from admonition persons who have personal
with a warning to a fine not knowledge of the facts alleged
exceeding P10K therein or by documents which
-‐ Repeated violation may render a may substantiate said allegations,
judge liable for less serious or or upon anonymous complaint,
even serious charges supported by public records of
o Vulgar and unbecoming indubitable integrity.
conduct -‐ The complaint shall be in writing
o Gambling in public and shall state clearly and
o Fraternizing with lawyers concisely the acts and omissions
and litigants with constituting violations of
pending cases in his court standards of conduct precribed
o Undue delay in the for judges by law, the Rules of
submission of month Court, or the Code of Judicial
reports Conduct.
-‐ The list is not exclusive. Other -‐ The SC does not, as a rule,
analogous acts may be grounds entertain anonymous complaints
for discipline. against judges except in cases in
which the charges could be fully
Resort to judicial remedies required, in some borne by public records of
administrative cases indubitable integrity.
-‐ It is only after the available -‐ Administrative complaints for
judicial remedies against the disbarment and discipline must
rulings or acts performed in the be filed with the SC, and if filed
exercise of their judicial power with the IBP, the latter has no
have been exhausted and the jurisdiction to act on such
appellate tribunals have spoken complaint, except to forward the
with finality, that the door to an same to the SC for appropriate
inquiry into their criminal, civil or action.
adminstrative liability may be
said to have opened or closed. Action on the complaint
-‐ An administrative complaint is -‐ If the complaint is sufficient in
not the appropriate remedy for form and substance, a copy
every act of a judge deemed thereof shall be served upon the
aberrant or irregular where a respondent, and he shall be
judicial remedy exists and is required to comment within 10
available. days from the date of service.
Otherwise, the same shall be
G. ADMINISTRATIVE PROCEDURE dismissed.
-‐ If the charges do not merit action
How proceedings are instituted or of the answer shows to the
-‐ Proceedings for the discipline of satisfaction of the SC that the
judges of regular and special charges are not meritorious, the
courts and justices of the CA and same shall be dismissed.
-‐The administrative case shall also -‐ The abolition of a respondent

be considered a disciplinary judge’s judicial position does not
action against the respondent as necessarily render the
a member of the Bar. administrative case for acts
-‐ Judgment in both respects may committed moot and academic,
be incorporated in one decision not preclude his being liable in
or resolution. his present judicial position,
where the charges are so serious
By whom complaint investigated that affect his competency and
-‐ Upon the filing of the integrity as a judge.
respondent’s comment, or upon -‐ The resignation or retirement of
the expiration of the time of filing a judge who is a respondent in an
the same and unless other administrative case does not
pleadings or documents are necessarily render the case moot
required, the Court shall refer the nor deprive the SC of the
matter to the Office of the Court authority to pronounce his
Administrator for evaluation, guilt/innocence.
report and recommendation or -‐ The death of a respondent may
assign the case for investigation, render the administrative
report and recommendation to a complaint moot and academic.
retired member of the SC, if the However, if he dies pending
respondent is a Justice of the CA resolution of the administrative
and the Sandiganbayan, or to a charges against him, and was
Justice of the CA, if the found guilty and the court
respondent is a judge of a administrator recommended his
Regular Trial Court or a special dismissal, the Court, inspite of his
court of equivalent rank, or to a death, may decide to resolve the
judge of the RTC if the case on the merits and, if such
respondent is a judge of an recommendation is affirmed,
inferior court. impose forfeiture of death and
retirement benefits of the
Hearing respondent.
-‐ The investigation justice or judge -‐ The investigating Justice or judge
shall set a day for the hearing and shall terminate the investigation
send notice thereof to both within 90 days from the date of
parties. its commencement or within
-‐ At such hearing, parties may such extension as the SC may
present oral and documentary grant.
evidence.
-‐ If after due notice the Report and Recommendation
respondent fails to appear, the -‐ Within 30 days from the
investigation shall proceed ex termination of the investigation,
parte the investigating Justice/Judge
-‐ The withdrawal of the complaint shall submit to the SC a report
does not divest the SC of the containing his findings of fact and
authority to order the recommendation.
investigation of the charges, nor -‐ The report shall be accompanied
result in its dismissal. by the record containing the
evidence and the pleadings filed -‐ Sanctions which may imposed for
by the parties. serious charge:
-‐ The report shall be confidential o Dismissal from servic,
and for exclusive use of the Court forfeiture of all or part of
the benefits as may be
Quantum of evidence required determined by the Court
-‐ The quantum of evidence may and disqualification from
depend on the nature of the reinstatement or
charge in light of the appointment to any
classifications of the charges public office, including
(serious, less serious, and light) GOCCs. Provided,
-‐ If the administrative offense however, that the
involves a violation of a criminal forfeiture of benefits
law, which if proved will require shall in no case include
dismissal of a judge from service, accrued leave benefits
the quantum of evidence o Suspension from office
required to hold him liable is without salary and other
proof beyond reasonable doubt. benefits for more than 3
-‐ Where the charge is less serious but not exceeding 6
or acts that does not require months
dismissal from service, o A fine of more than P20K
preponderance of evidence is but not exceeding P40K.
necessary. -‐ Less serious charge:
-‐ Where the charge is light, mere o Suspension from office
substantial evidence may be without salary and other
required. benefits for not less that
1 nor more than 3
Res ipsa loquitur months
-‐ The Court may impose its o A fine of more than P10K
authority upon erring judges but not exceeding P20K
whose actuations, on their face, -‐ Light charges:
would show gross incompetence, o A fine of not less that P1K
gross ignorance of the law, or but not exceeding P10K
grave misconduct. and/or
-‐ The res ipsa loquitur doctrine o Censure
does not dispense with the o Reprimand
necessity of proving the facts o Admonition with a
from which the inference of evil warning
intent is based. -‐ While double jeopardy dies not lie
in administrative cases, it would
Decision; sanction be contrary to equity and
-‐ The Court shall take such action substantial justice to penalize a
on the report as the facts and the judge a second time for an act,
law may warrant, which may be the penalty of which had already
dismissing the complaint or been served by him.
holding the judge liable and -‐
imposing the corresponding
penalty against him. Confidentiality of proceedings
-‐ The confidential character of the -‐ The SC has reinstated dismissed
proceedings during their judges to their former position. In
pendency has a three-‐fold this sense, the decision of the SC
purpose. dismissing a judge from service
o To enable the SC to make does not become final, as the
its investigation free Court may still reinstate him to
from any extraneous his former position or reduce the
influence or interference pecuniary penalties.
o To protect the personal -‐ A judge who has been previously
and professional dismissed from the service for
reputation of the Justices manifestly erroneous decision in
and Judges from baseless a criminal case through gross
charges of disgruntled, incompetence and gross
vindictive and ignorance of the law may be
irresponsible persons or reinstated where there is no
litigants by prohibiting clear indication that he was
the publication of such inspired by corrupt motives or a
charges pending their reprehensible purpose to set the
final resolution plainly guilty free.
o To deter the press from
publishing the charges or
proceedings based
thereon for even a
verbatim reproduction of
the complaint against a
Judge in a newspaper
may be actionable
-‐ The confidentiality of the
proceedings is a privilege or right
which may be waived by the
judge.
-‐ After the SC shall have rendered
its decision, a copy thereof is
attached to the record of the
respondent in the Office of the
Court Administrator. The
proceeding then ceases to be
confidential, and the decision
become a public document, just
like any other decisions of the
Court.

Reinstatement of a judge previously
dismissed
-‐ Reinstatement is essentially an
act of appointment of a judgem
which may only be extended by
the President of the Philippines.

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CHAPTER VIII -­‐ Undue influence in the preparation of

ELEMENTS: -­‐ also improper to buy judgment noted

A LAWYER SHALL NOT REVEAL CLIENT’S atty’s secretary, stenographer or

• Fiduciary witness for a client in a case, the

• For this reason, it is improper for a

• A public prosecutor may ethically A. IN GENERAL

o Failure to present additional CHAPTER XII

counsel before entering his

under his administration of o Abuse of clients confidence

• Fee stipulated may be Absolute or

Test Case collective bargaining negotiations

account due to the presupposes that a

o asking client to plead -­‐ introducing false evidence

o for not disclosing that the o deter the press from

o ex parte investigation is within 15 days from

-­‐ death of the atty during the

the statutes and procedural for a suspected drug queen and

avoid such action as may -­‐

-­‐ He should not interrupt counsel -­‐ While ex parte hearing of

all matters submitted to him, -­‐ If he feels that a law or doctrine

Judge should not practice law enable him to dispose of them

officer, Restriction against accepting certain

outside the Philippines interfere with the discharge of

documents as may show o All other public officials

exercise discretion of a judicial liable for commission of an

hours, such authorization -­‐ This judicial immunity rests upon

or moral loss because a Immunity of state from suit, as defense of

Malicious delay in the administration of make the officer refrain from

o He accepts a gift -­‐ 3 ways of committing the crime:

falling within Title One, and -­‐ The penalties of prision

o Issuing in an -­‐ Any public officer who, by

exceeding 5 years or a fine not the person arrested or by

action against Justices and judges o Bribery, direct of indirect

o Untruthful statements in the Sandiganbayan may be

-­‐The administrative case shall also -­‐ The abolition of a respondent

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CHAPTER VIII -‐ Undue influence in the preparation of

ELEMENTS: -‐ also improper to buy judgment noted

o asking client to plead -‐ introducing false evidence

-‐ death of the atty during the

avoid such action as may -‐

-‐ He should not interrupt counsel -‐ While ex parte hearing of

all matters submitted to him, -‐ If he feels that a law or doctrine

hours, such authorization -‐ This judicial immunity rests upon

o He accepts a gift -‐ 3 ways of committing the crime:

falling within Title One, and -‐ The penalties of prision

o Issuing in an -‐ Any public officer who, by

-‐The administrative case shall also -‐ The abolition of a respondent