SAINT LOUIS UNIVERSITY

COLLEGE OF LAW
General Luna Road, Baguio City
 

BAR
OPERATIONS
COMMITTEE  

LEGAL ETHICS REVIEWER

 
 

 
 
 

 
 
 

LEGAL ETHICS COMMITTEE

LEGAL PROFESSION
I. INTRODUCTION
 
Nature of the Legal Profession
1.    The basic ideal of the legal profession is to
render public service and secure justice for those
who seek its aid. From the professional standpoint,
it is expressive of three ideals- organization,
learning and public service.
2.     Characteristics which distinguish the legal
profession from business:
a.  duty of public service, of which
emolument is a by- product, and in which one may
attain the highest eminence without making much
money
b.   a relation as officer of the court to the
administration of justice involving thorough
sincerity, integrity, and reliability
c.   a relation to the client in the highest
degree fiduciary
d.   a relation  to colleagues at the bar
characterized by candor, fairness, and
unwillingness to resort to current business methods
of advertising and encroachment on their practice,
or dealing directly with their clients
 
Definitions:
1. Bar and Bench – Bar refers to the whole body of
attorneys and counselors; collectively; the members
of the legal profession. The term Bench refers to the
whole body of Judges.
2.  Lawyer – is the general term for the person
trained in the law and authorized to advise or
represent others in legal matters. He is a person
licensed to pratice law.
3.  Trial Lawyer – is one who personally handles
cases in court, administrative agencies or boards.
4.  Practicing Lawyer – is one who is engaged in the
practice of law.
5.  Client – is one who engaged the services of a
lawyer for legal advice or for the purpose of
prosecuting or defending a suit in his behalf and
usually for a fee.
6.  Attorney-at-law – means a class of persons who
are by license, officers of the court, empowered to
appear, prosecute, and defend and upon whom law
develoves peculiar duties, responsibilities and
liabilities as a consequence.
7.  Counsel de oficio – is a counsel, appointed or
assigned by court that by reason of experience and
ability may adequately defend the accused. He is
normally appointed to represent one who is
indigent in a case.
8.  Attorney ad hoc – is one named or appointed by
the court to defend an absentee defendant in the
suit in which the appointment is made.
9.  Attorney of records – is one whose name must
appear somewhere in permanent record or files of
the case, or on the pleadings or some instrument
filed in the case or on the appearance docket.
10. Of counsel – is an associate attorney or
employee of law offices.
11. Amicus Curiae – means a friend of the court. He
is a person with strong interest in or views on the
subject matter of an action but not a party to the
action, may petition the court for permission to file
a brief, ostensibly on behalf of a party but actually
to suggest a rationale consistent with his own
views. Such amicus curiae briefs are commonly
filed in appeals concerning matters of a broad
public interest like civil rights. Under the rules,
experienced and impartial attorneys may be invited
by the court to appear as amici curiae to help in the
disposition of issues submitted to it. (Sec. 36, Rule
138 as amended by SC Cir. Dated May 20, 1968).
        A lawyer shall not decline, except for
serious and sufficient cause, an appointment as
amicus curiae. (Rule 14.02, CPR) Amici par excellence
– Bar associations which may appear in court as
friends to expound on matters of law for the
information of the court.
12. Bar Association – is an association of members
of the legal profession like the IBP where
membership is integrated and compulsory.
13. Advocate – is one who pleads the cause of
another before a tribunal or court.
 
II. ADMISSION TO THE PRACTICE OF LAW
 
POWER TO REGULATE THE PRACTICE OF
LAW: 
    The constitution vests the power of control and
regulation in the Supreme Court. However, even in
the absence of such constitutional provision, the
right to define and regulate the practice of law
logically belongs to the judiciary represented by the
high tribunal, since the practice of law is
inseparably connected with the exercise of its
juridical power in the administration of justice.
 
    The legislature, in the exercise of its police
power, may enact laws regulating the practice of
law to protect the public and to promote the public
welfare. Accordingly, it may enact laws prescribing
additional qualifications for candidates for
admission to practice or further examination before
practicing before any tribunal or quasi –judicial
body, or declaring illegal and punishable
unauthorized practice of law.  But it cannot pass
laws that will control the SC in the performance of
its power to decide who may enjoy the privilege of
practicing law. Hence, a law admitting into the
practice examinees that failed in the bar
examinations by relaxing the standard 75% passing
mark is unconstitutional. (In re: Cunanan, 94 Phil 554
[1954])
 
 
PUBLIC VS. PRIVATE AND PERSONAL
DUTIES:
  The duties of an attorney may be classified
into public, private and personal duties. Such
classification results from the three-fold capacity in
which an attorney operates, namely, as a faithful
assistant of the court in search of a just solution to
disputes, as a trusted agent of his client and as a self
– employed businessman. The rules and ethics of
the legal profession demand that an attorney
subordinate his personal and private duties to those
which he owes to the court and to the public.
 
Q:   Is appearance by counsel
always obligatory?
A:   No. In the municipal trial court,
a party may conduct his litigation in
person or with the aid of an agent or
friend appointed by him for that
purpose or with the aid of an
attorney. In the RTC and appellate
courts, a party in a civil suit may
conduct his litigation either by
himself or through counsel, unless
the party is a juridical person, in
which case it may appear only by
attorney. (Rule 138, sec. 34). Also, in  
administrative proceedings, the
right to counsel is not indispensable
to due- process.  any infraction of the attendant
However, in criminal cases
involving grave and less grave
offenses, an accused who is a layman
must always appear by counsel; he
cannot conduct his own defense, as
his right to counsel may not be
waived without violating his right to
due process of law.
 Requirements for admission to the
Bar
1. Basic Requirements
   Must be a citizen of the
Philippines (Re: Application for
Admission to Philippine Bar, Vicente
Ching 316 S 1)
    Must be a resident of the
Philippines ;
    Must be at least 21 years of age;
    Must be of good moral
character;
   He must produce before the
Supreme Court satisfactory evidence
of his good moral character and no
charges against him, involving moral
turpitude, have been filed or are
pending in any court of the
Philippines;
    Must not have been charged of a
crime involving moral turpitude;
 
2. Academic Requirements
   Must have met the required
educational requirements.(S.5&
6,R.138, ROC)
 
3. Must pass the bar examination
(Secs. 7 to 16, Rule 138, Rules of
Court)
4. Procedural Requirements after
passing the bar
  Must take oath of office
  Must sign in the Roll of
Attorneys
  Must pay Integrated Bar of the
Philippines membership dues
  Must obtain Professional Tax
Receipt
  Must comply with the
Mandatory Continuing Legal
Education
  Must continue possessing good
moral character
Q: Will a successful bar candidate’s
discharge from probation without
conditions entitle him to take the
lawyer’s oath?
A: Yes. The practice of law is a
privilege extended only to those who
possess the high standards of
intellectual and moral qualifications
and the Court is duty bound to
prevent the entry of undeserving
aspirants, as well as to exclude those
who have been admitted but have
become a disgrace to the profession.
      His discharge from probation
after having been convicted of
reckless imprudence resulting to
homicide (as a result of participation
in a hazing incident), without any
infraction of the attendant
conditions, as well as the various
certifications attesting to his
 righteousness, peaceful and civic-
oriented character prove that he has
taken decisive steps to purge himself
of his deficiency in moral character
and for the unfortunate death of the
victim. He should be allowed to take
his oath, with the Court giving him
the benefit of the doubt taking
judicial notice of the general
tendency of the youth to be rash,
temerarious and uncalculating. (In
re: Cuevas, 90 SCAD 711)
 
 
Instances of Lack of Good Moral Character
a.       Making a forged certificate of good moral
character;
b.       Using another’s school records;
c.       Living an adulterous life;
d.       Committing bigamy; and
e.       Committing polygamy. (In re: SK, Ladera, Bar
Matters 135,Jan. 29, 1987)
f.        Making false statements in his application;
 
 
III. PRACTICE OF LAW
What constitutes practice of law?
It embraces any activity, in or out of court,
which requires the application of law, legal
principle, practice or procedure and calls for legal
knowledge, training and experience. (Cayetano vs.
Monsod) More importantly, to engage in the practice
of law, there must be the existence of an attorney –
client relationship.
   In general, it is to render any kind of service
that requires the use of any degree of legal
knowledge. It is not limited to the conduct of cases
in court. It includes legal advice and counsel, the
preparation of legal instruments and contracts by
which legal rights may be secured, although such
matters may or may not be pending in court. (Ulep
v. Legal clinic, 42 SCAD 387, 223 SCRA 378)
 
Who may practice law in the Philippines ?
Any person admitted to the bar and of good
and regular standing may practice law. (R.138, S.1)
Exceptions:
   Person representing himself or a friend in the
MTC. (S.34,R.138)
   In the criminal proceedings in a Municipal
Court in a locality where a licensed member of the
Bar is not available.
    Person representing himself in the RTC.
(S.7,R.116)
    Person authorized to represent the government
in a case,(S.33,R.138)
    Union representatives (Labor Code)
    Law students, under rule 138-A, Sec.1 of the
Revised Rules of Court.
    A non-lawyer can represent a claimant under
the cadastral act (Act No. 2259, Sec.9)
 
Public officials prohibited from engaging in the
practice of law:
            Judges and other officials or employees of
Superior courts (R.138, S.35,ROC);
Officials and employees of the office of the
Solicitor General;
Government Prosecutors;
President, V-pres., members of the cabinet,
their deputies and assistants (Art. V11, S.13,’87PC);
Members of the constitutional commission
(ART. !X-A, S.2,’87PC);
 Ombudsman and his deputies
(Art.X1,S.8[21];
Governor, city and municipal mayors (RA
7160 S 90);
Those who by special law are prohibited
from engaging in the practice of the legal
profession.
 
  Members of the Legislature are prohibited to
“appear as counsel before any court of justice or
before any Electoral Tribunal, or Quasi – Judicial
and other Administrative bodies” (Art. VI, sec.14,
1987 Constitution). The prohibition includes the
signing of pleadings or permitting the appearance
of his name therein or as part of a firm name.
 
  Members of Sanggunian concerned may
practice law, except:
1.  In any civil case where a local government unit
or any office, agency or instrumentality of the
government is the adverse party;
2. In a criminal case wherein an officer or employee
of the national or local government is accused of an
offense committed in relation to his office;
3. They shall not collect any fee for their appearance
in administrative proceedings involving the local
government unit of which they are officials;
4.   They shall not use the property and personnel of
the government except when defending the interest
of the government. (Sec. 90 [b], RA 7160)
 
Q:   Explain briefly the “student –
practice rule”.
A:   The rule provides that a law
student who has successfully
completed his 3rd year of the regular
four – year law curriculum and is
 enrolled in a recognized law school’s
clinical legal education program
approved by the Supreme Court,
may appear without compensation
in any civil, criminal or
administrative case before any trial
court, tribunal, board or officer, to
represent indigent clients accepted
by the legal clinic of the law school.
(Rule 138 – A, sec. 1)
 
   He shall be under the direct
supervision and control of a lawyer
accredited by the law school and
who shall sign on behalf of the legal
clinic all pleadings, motions, briefs,
memoranda or other papers to be
filed. (sec. 2, supra)
 
   He shall be governed by the
rules on privileged communication
and shall comply with the standards
of professional conduct governing
lawyers. The supervising lawyer
may be disciplined for his failure to
provide adequate supervision. (secs.
3 and 4, supra)
 
PARALEGAL SERVICES:
a.   A law student who has successfully completed
his 3rd year of the regular 4 th year prescribed law
curriculum and is enrolled in a recognized law
school’s clinical legal aid program approved by the
SC (R. 138-A, ROC)
b.   An official of other person appointed or
designated in accordance with law to appear for the
Government of the Philippines in a case in which
the government has an interest. (S.33, R.138,ROC)
c.    An agent or friend who aids a party litigant in a
municipal court for the purpose of conducting the
litigation. (S.34.R,138,id)
d.    A person, resident of the province and of good
repute for probity and ability, who is appointed
counsel de oficio to defend the accused in localities
where members of the bar not available. (S.4 R.116,
id)
e.   Persons registered or specially recognized to
practice in the Phil.  Patent Office (now known as
the Bureau of Patents, trademark, service mark and
technology transfer) in trademark, service mark and
trade name cases (R. 23, Rules of Practice in
Trademark Cases)
f.    A non-lawyer who may appear before the
NLRC or any Labor Arbiter only if: (1) he represents
himself as a party to the case, (2) he represents an
organization or its members, provided he shall be
made to present proof that he is properly
authorized; or (3) he is a duly-accredited member of
any legal aid office duly recognized by the DOJ or
the IBP in cases referred thereto by the latter (New
Rules of Proc., NLRC)
g.   An agent, not an attorney, representing the lot
owner or claimant in a case falling under the
Cadastral Act (S.9, Act no.2259)
h.   Notaries Public for municipalities where
completion and passing the studies of law is a
reputable university or school of law is deemed
sufficient qualification for appointment.
LEGAL ETHICS
Q:   Define legal ethics.
A:   It refers to that branch of moral
science which treats of the duties
which an attorney owes to the court,
to his client, to his colleagues in the
profession and to the public.
Sources of Legal Ethics:
1.         Canons of professional Ethics;
2.         Supreme Court Decisions;
3.         Constitution;
4.         Statutes;
5.         Treaties and Publications;
6.         Code of Professional Responsibility;
7.         Rules on Notarial Practice; and
8.         The Rules of Court and other related laws.
 
 
A.  CODE OF PROFESSIONAL
RESPONSIBILITY
LAWYER’S DUTIES TO THE SOCIETY:
 
1.   A LAWYER SHALL UPHOLD THE
CONSTITUTION, OBEY THE LAWS OF THE
LAND AND PROMOTE RESPECT FOR LAW
AND LEGAL PROCESSES. (Canon 1)
 
This is the first and foremost duty of a
lawyer for he is the servant of the law and belongs
to a profession to which society has entrusted the
administration of law and the dispensing of justice.
Corollarily, the Rules of Court provides that “it
shall be the duty of an attorney to maintain
allegiance to the Republic of the Philippines and to
support the Constitution and obey the laws of the
Philippines . [Rule 138, sec.20 (a)] 
 
Accordingly:
   He shall not engage in unlawful, dishonest,
immoral or deceitful conduct; Nor counsel or abet
activities aimed at defiance of the law or at
lessening confidence in the legal system. (Rule 1.01;
Rule 1.02)  EFFECTIVENESS OF THE PROFESSION. (Canon
Thus he should not promote an
organization known to be violating the law nor
assist it in a scheme which he knows is dishonest.
Nor should he allow his services to be engaged by
an organization whose members are violating the
law, to defend them when they get caught.
 
   He shall not encourage any suit or proceeding
or delay any man’s cause for any corrupt motive or
interest. (Rule 1.03)   thereof. This is an obligation a lawyer assumes
Corollary to this duty, the Rules of Court
provides that “it shall be the duty of an attorney not
to encourage either the commencement of an action
or proceeding, or delay any man’s cause, from any
corrupt motive or interest.” [Rule 138, sec.20 (g)]     Not to reject, except for valid reasons, the case
The purpose of the prohibition is to prevent
ambulance chasing.
 
Q:  What is “ambulance chasing”?
Explain briefly.
A:  “Ambulance chasing” refers to
the act of soliciting almost any kind
of legal business by laymen
employed by an attorney for the
purpose or by the attorney himself.
    He shall encourage his clients to
avoid, end or settle a controversy if it
will admit of a fair settlement. (Rule
1.04)
 
The useful function of a lawyer is not
only to conduct litigation but also to
avoid it where possible, by advising
settlement or withholding suit.
Moreover, parties to an amicable
settlement enjoy benefits better than
those that can legally be secured to
them by the most elaborate and
exacting judicial procedure.
Litigation involves time, expense
and ill feelings, which may well be
avoided by the settlement of the
action. And in those clearly
unmeritorious cases, a compromise
or even a confession of judgment
will accord respect to the just claim
of the other party, save the client
from additional expenses and help
prevent clogging of the docket.
 
2.   A LAWYER SHALL MAKE HIS LEGAL
SERVICES AVAILABLE IN AN EFFICIENT AND
CONVENIENT MANNER COMPATIBLE WITH
THE INDEPENDENCE , INTEGRITY AND
2)
 
A lawyer who accepts professional
employment should be in a position to render
efficient and effective legal assistance; otherwise he
should help find another lawyer who is qualified
and able to do so. And a lawyer who is qualified to
provide efficient legal services should make
available such services to those who are in need
when he took his oath of office.
 
Therefore, he is required:
 
of the defenseless or the oppressed. In such cases,
even if he does not accept a case, he shall not refuse
to render legal advice to the person concerned if
only to the extent necessary to safeguard the latter’s
rights. (Rule 2.01;  Rule 138 sec.20 [h] RRC;  Rule 2.02)
            These rules stem from one of the obligations
incident to the status and privileges of a lawyer,
which is to represent the poor and the oppressed in
the prosecution of their claims or the defense of
their rights.
    Accordingly, “A court may assign an attorney
to render professional aid free of charge to any
party in a case, if upon investigation it appears that
the party is destitute and unable to employ an
attorney, and that the services of counsel are
necessary to secure the ends of justice and to protect
the rights of the party. It shall be the duty of the
attorney so assigned to render the required service,
unless he is excused therefrom by the court for
sufficient cause shown.” (Rule 138, sec.31) 
The lawyer so assigned has to render
effective legal services; under pain of disciplinary
sanction should he fail or neglect to do so, until he
is excused therefrom by the court.
 
   Not to do or permit to be done any act designed
primarily to solicit legal business. (Rule 2.03) NOTE:
Read this together with Canon 3 (No.3 below) and
its implementing rules. 
The law prohibits lawyers from soliciting
cases for the purpose of gain, either personally or
through paid agents or brokers, and makes the act
malpractice. (Rule 138, sec. 27)
 
Among those that fall under the prohibition
would be that of a lawyer who recommends
employment of himself, his partner, associate, or
member of his legal staff to a non – lawyer who has
not sought his advise regarding employment of a
lawyer; or compensates and gives anything of value
to a person or organization to recommend or secure
his employment of a client or as a reward for
having made a recommendation resulting in his
employment by a client. A lawyer who agrees with
a non – lawyer to divide attorney’s fees paid by
clients supplied or solicited by the non – lawyer is
guilty of malpractice, the same being a form of
solicitation of cases.
 
   Not to charge rates lower than those
customarily prescribed unless the circumstances so
warrant. (Rule 2.04)  Annulment of Marriage, Immigration Problems,
What the rule prohibits is the competition
in the matter of charging professional fees for the
purpose of attracting clients in favor of the lawyer
who offers lower rates. It does not prohibit a lawyer
from charging a reduced fee or none at all to an
indigent or to a person who would have difficulty
paying the fee usually charged for such services.
 
3.   A LAWYER IN MAKING KNOWN HIS LEGAL
SERVICES SHALL USE ONLY TRUE, HONEST,
FAIR, DIGNIFIED AND OBJECTIVE
INFORMATION OR STATEMENT OF FACTS.
(Canon 3)
 
Conformably to this canon, it is a lawyer’s duty:
   Not to use or permit the use of any false,
fraudulent, misleading, deceptive, undignified, self-
laudatory or unfair statement or claim regarding his
qualifications or legal services. Nor shall he pay or
give anything of value to representatives of the
mass media in anticipation of, or in return for,
publicity to attract legal business. (Rule 3.01; Rule
3.04)
 
The following acts constitute improper advertising:
 a.   The use of the card containing the following:
“As a notary public, he can execute for you a deed
of dale for the purchase of land as required by the
cadastral office, can renew lost documents of young
animals, can make your application and final
requisites for your homestead, and execute any
kind of affidavit. As a lawyer, he can help you
collect your loans, altogether long overdue, as well
as any complaints for or against you. Come or write
to him in his town, Echague, Isabela. He offers free
consultation and is willing to help the poor. (In re:
Tagorda, 53 PHIL 37)
 
b.  Causing to be published in a newspaper the
following advertisement: “Marriage license
promptly secured through our assistance and the
annoyance of delay or publicity avoided if desired,
and marriage arranged to wishes of parties.
Consultation on matter free to the poor. Everything
confidential. Legal assistance service.” (Director
Religious Affairs vs. Bayot, 74 PHIL 579)
 
c.   A newspaper ad, which reads: “SECRET
MARRIAGE? P560.00 for a valid married. Info on
DIVORCE, ABSENCE, ANNULMENT, VISA.”
GUAM DIVORCE. DON ARKINSON an attorney
in Guam is giving FREE BOOKS on Guam Divorce
through The Legal Aid Clinic beginning Monday to
Friday during office hours. Guam Divorce.
Visa Ext. Quota/Non-quota Res. & Special
Reference Visa. Declaration of Absence. Remarriage
to Filipina Fiancées. Adoption. Investment in the
Phil. US/Foreign Visa for Filipina Spouse?
Children. Call Marivic.” (Ulep vs. Legal Aid Clinic,
Inc., 223 SCRA 378)
 
d.   The giving of advice on legal matters through
the medium of a newspaper column or radio
television broadcast is improper. It cannot be
undertaken by a layman because that service
constitutes practice of law. Nor can it be undertaken
by a lawyer because that work involves indirect
advertising, violation of the confidential relation of
attorney and client, and a breach of the traditional
standards of the profession.
            
But not all types of advertising or
solicitation are prohibited, that activity not being
inherently malum in se. What makes advertising or
solicitation improper is the employment of such
methods as are incompatible with the traditional
dignity of a lawyer and the maintenance of correct
professional standards, or the use of artificial
means to augment the publicity that normally
results from what a lawyer does. In the last analysis,
where to draw the line in borderline cases, as there
are always honest differences of opinion as to what
is ideal or improper advertising or solicitation of
business, is a question of good faith and good taste.
Common sense and a spirit of fairness must, in the
absence of juridical guidelines, be relied upon for
guidance in determining the question.
           
The following acts do not violate ethical norms of
the profession:
1.   Publication in reputable law lists, in a manner
consistent with the standards of conduct imposed
by the canons, of brief biographical and informative
data, provided such reputable law list is published
primarily for that purpose and not a mere
supplemental feature of a paper, magazine, trade
journal or periodical which is principally published
for other purposes;
 2.  The use of ordinary simple professional card is
also permitted, containing his name, the firm name
where he is connected, its address, telephone
number and special branch of law practised. Listing
his name in a phone directory is allowed provided
it is not under a designation of a special branch of
law;
 3.   The proffer of free legal services to the indigent,
even when broadcast over the radio or tendered
through circulation of printed matter to the general
pubic.
 
   Not to use false, misleading or assumed name
in choosing a firm name. The continued use of the
name of a deceased partner is permissible provided
that the firm indicates in all its communications that
said partner is deceased. And when he accepts
public office, to withdraw from the firm where he is
a partner and his name shall be dropped from the
firm name unless the law allows him to practice law
concurrently. (Rule 3.02; Rule 3.03)  delay in the prosecution because it is also his duty
The reason for allowing the continued use
of the name of a deceased partner is that all of the
partners by their joint efforts over a period of years
contributed to the goodwill attached to the firm
name, and this goodwill is disturbed by a change in
the firm name every time a partner dies. The name
of a law firm may not necessarily identify the
individual members of the firm, and consequently,
the continued use of the firm name after the death
of one or more partners is not a deception.
            The purpose of the rule requiring the
dropping from the firm name the partner’s name
who accepts a public office is to prevent the law
firm or its partners from using the name of the
public official to attract legal business and to avoid
the suspicion of undue influence.
 
  Filipino lawyers cannot practice law under the
name of a foreign law firm, as the latter cannot
practice law in the Philippines and the use of a
foreign law firm in the country is unethical for it
constitutes a representation that being associated
with the firm they could render legal services of the
highest quality to multinational business
enterprises and others engaged in foreign trade and
investment. (Dacanay vs. Baker & McKenzie, GR Adm
Case No. 2131, May 10, 1985)
 
4.  THESE CANONS SHALL APPLY TO LAWYERS
IN GOVERNMENT SERVICE IN THE
DISCHARGE OF THEIR OFFICIAL TASKS.
(Canon 6)
 
A lawyer does not shed his professional
obligations upon his assuming public office. His
professional obligations should make him more
sensitive to his official obligations because a
lawyer’s disreputable conduct is more likely to be
magnified in the public eye. 
The rule is also a reiteration of a
fundamental principle in public law, which is that a
public office is a public trust and a public servant
owes utmost fidelity to the public services.
 
ROLE OF PUBLIC PROSECUTORS:
   The primary duty of a lawyer engaged in public
prosecution is not to convict but to see that justice is
done. The suppression of facts or the concealment
of witnesses capable of establishing the innocence
of the accused is highly reprehensible and is cause
for disciplinary action. (Rule 6.01)
 
    Thus, he shall not offer as proof of the
accused’s guilt, illegally – seized or acquired
evidence, neither should he consent to any undue
to see to it that a person on trial is not deprived of
his statutory or legal rights. (Kalaw vs. Apostol, 64
PHIL 852)
 
   He should not hesitate to recommend the
acquittal of the accused either to the trial court or
upon appeal by the accused, if he finds out that the
evidence against accused is insufficient to warrant
or to sustain conviction. For his finest hour is not
when he wins a case with the conviction of the
accused. His finest hour is still when, overcoming
the advocates’ natural obsession for victory he
stands up before the court and pleads not for the
conviction of the accused but for his acquittal. For
indeed, his noble task is to prosecute only the guilty
and protect the innocent. (Triesta vs. Sandiganbayan,
145 SCRA 508; People vs. Madera , 57 SCRA 349)
 
ROLE OF LAWYERS IN PUBLIC SERVICE: 
  A lawyer in the government service shall not use
his public position to promote or advance his
private interests, nor allow the latter to interfere
with his public duties. And after leaving
government service, shall not accept engagement or
employment in connection with any matter in
which he had intervened while in said service. (Rule
6.02; Rule 6.03) 
The qualifying words or phrases that define
the prohibition are: “(a) any matter” and (b) “he
had intervened” thereon while he was in the
government service. These are very broad terms,
which include any conceivable subject in which he
acted in his official capacity. The restriction covers
“engagement or employment”, which means that he
cannot accept any work or employment from
anyone that will involve or relate to the matter” in
which he intervened as a public official, except on
behalf of the body or authority which he served
during his public employment.
 
Q:   A lawyer procured personal
loans from the complainant
through insinuations of his power
as an influence peddler at the
Bureau of Customs and issued bad
checks. If an administrative case is
filed against him, can he interpose
the defense that his conduct was
not connected to the practice of his
profession? Explain.
A:         No, Rule 1.01 which requires
that a lawyer shall not engage in
unlawful, dishonest, immoral, or
deceitful conduct does not limit itself
to conduct exhibited in connection
with his professional duties. His
propinquity for employing deceit
and misrepresentations as well as his
cavalier attitude toward incurring
debts without the least intention of
repaying them is reprehensible. This
disturbing behavior cannot be
tolerated especially since the lawyer
is an officer of the court. (Co v. Atty.
Bernardino, Jan. 28, 1998)
 
 
 LAWYER’S DUTIES TO THE LEGAL
PROFESSION:
 
1.   A LAWYER SHALL PARTICIPATE IN THE
DEVELOPMENT OF THE LEGAL SYSTEM BY
INITIATING OR SUPPORTING EFFORTS IN
LAW REFORM AND IN THE IMPROVEMENT OF
THE ADMINISTRATION OF JUSTICE. (Canon 4)
 
While this task is not a matter of strict duty,
it is a duty nonetheless which flows from the
lawyer’s sense of public responsibility.
 
2.   A LAWYER SHALL KEEP ABREAST OF
LEGAL DEVELOPMENTS, PARTICIPATE IN
CONTINUING LEGAL EDUCATION
PROGRAMS, SUPPORT EFFORTS TO ACHIEVE
HIGH STANDARDS IN LAW SCHOOLS AS WELL
AS IN THE PRACTICAL TRAINING OF LAW
STUDENTS AND ASSIST IN DISSEMINATING
INFORMATION REGARDING THE LAW AND
JURISPRUDENCE. (Canon 5)
 
This canon stems from the threefold
obligation which a person assumes upon becoming
a lawyer. He owes it to himself to continue
improving his knowledge of the law; he owes it to
his profession to take an active interest in the
maintenance of high standards of legal education;
and he owes it to the public to make the law a part
of their social consciousness.
 
3.   A LAWYER SHALL AT ALL TIMES UPHOLD
THE INTEGRITY AND DIGNITY OF THE LEGAL
PROFESSION AND SUPPORT THE ACTIVITIES
OF THE INTEGRATED BAR. (Canon 7)
 
  The discharge of this duty should start from the
student and continue during his incumbency as a
lawyer by not knowingly making false statement or
suppressing a material fact, in connection with his
application for admission to the bar; not supporting
the application for admission to the bar of any
person known by him to be unqualified in respect
to character, education, or other relevant attribute;
not engaging in conduct that adversely reflects on
his fitness to practice law, nor shall he, whether in
public or private life, behave in a scandalous
manner to the discredit of the legal profession. (Rule
7.01; Rule 7.02; Rule 7.03) 
A lawyer should aid in guarding the bar
against the admission to the profession of
candidates who are unfit or unqualified because
they are deficient in either moral character or
education. Thus, he should expose without fear or
favor before the Supreme Court corrupt or
dishonest conduct in the profession and should
accept without hesitation employment against a
lawyer who has wronged his client.
 
4.   A LAWYER SHALL CONDUCT HIMSELF
WITH COURTESY, FAIRNESS AND CANDOR
TOWARD HIS PROFESSIONAL COLLEAGUES,
AND SHALL AVOID HARASSING TACTICS
AGAINST OPPOSING COUNSEL. (Canon 8)
 
  Therefore, he shall not use abusive, offensive or
other wise improper language in his professional
dealings. Neither shall he, directly or indirectly,
encroach upon the professional employment of
another lawyer. However, it is the right of any
lawyer, without fear or favor, to give proper advice
and assistance to those seeking relief against
unfaithful or neglectful counsel. (Rule 8.01; Rule
8.02) 
 In the conduct of litigation, he should not
yield to his client’s demand that he be illiberal, nor
should he do anything repugnant to his sense of
honor and propriety.
 
  Thus, he should not take advantage of the
excusable unpreparedness or absence of counsel
during the trial of a case. Nor may he, when he
thinks a case is weak, criticize the lawyer who
accepts, much less should he attribute to him evil
motive for taking up the client’s case. (Yulo vs. Yang
Chiao Seng, 106 PHIL 110; Asia Banking Corp. vs.
Herridge, 45 PHIL 850)
 
5. A LAWYER SHALL NOT, DIRECTLY OR
INDIRECTLY, ASSIST IN THE UNAUTHORIZED
PRACTICE OF LAW. (Canon 9)
 
The purpose of the law is to protect the public, the
court, the client and the bar from the incompetence,
dishonesty of those unlicensed to practice law and
not subject to the disciplinary control of the court.
Therefore:
   He shall not delegate to any unqualified person
the performance of any task which by law may only
be performed by a member of the bar in good
standing. Neither may he divide nor stipulate to
divide a fee for legal services with persons not
licensed to practice law, except:
 
a.  where there is a pre-existing agreement with a
partner or associate that, upon the latter’s death,
money shall be paid over a reasonable period of
time to his estate or to the persons specified in the
agreement; or
b. where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer; or
c.   Where a lawyer or law firm includes non –
lawyer employees in a retirement plan, even if the
plan is based in whole or in part, on a profit –
sharing arrangement. (Rule 9.01; Rule 9.02)
 
   Even members of the bar are not at liberty to
appear in court representing a client if they are not
duly retained by the client or appointed by the
court to do so. “An attorney willfully appearing in
court for a person without being employed, unless
by leave of court, may be punished for contempt as
an officer of the court who has misbehaved in his
official transactions”. (Rule 138, sec. 21)
 
But an unauthorized representation by a
lawyer may be given effect if ratified, expressly or
impliedly, by the client. Ratification retroacts to the
date of the attorney’s first appearance and validates
the action taken by him. It also removes the taint of
impropriety in the attorney’s conduct as an officer
of the court.
 
THE LAWYER’S DUTIES TO THE COURTS:
 
1.   A LAWYER OWES CANDOR, FAIRNESS AND
GOOD FAITH TO THE COURT. (Canon 10)
 
A lawyer is first and foremost, an officer of
the court. His duties to the court are more
significant than those which he owes to his client.
Accordingly, should there be conflict between his
duty to his client and that to the court, he should
resolve the conflict against the former and in favor
of the latter, his primary responsibility being to
uphold the cause of justice. Therefore:
     He shall not do any falsehood, nor consent to
the doing of any in court; nor shall he mislead, or
allow the Court to be misled by any artifice. (Rule
10.01)
 
    To this duty he swore upon his admission to
practice. The oath embodies, in a capsule the
fundamental duties of a lawyer, which he must
honor as there would be a great detriment to, if not
a failure of, the administration of justice if court
could not rely on the submission and representation
of lawyers in the handling of their cases. (Casals vs.
Cusi, 53 SCRA 58)
 
     He shall not knowingly misquote or
misrepresent the contents of a paper, the language
or the argument of opposing counsel, or the text of
a decision or authority, or knowingly cite as law a
provision already rendered inoperative by repeal or
amendment, or assert as a fact that which has not
been proved. (Rule 10.02)
 
   In citing Supreme Court decisions and rulings,
it is the bounden duty of courts, judges and lawyers
to reproduce or copy the same word for word and
punctuation mark by punctuation mark. This is
because only Supreme Court’s decisions and rulings
form part of the law of the land and when
unfaithfully and exactly quoted, the decisions and
rulings may lose their proper and correct meaning,
to the detriment of other courts, lawyers and the
public who may thereby be misled. (Insular Life
Assurance Co., Ltd. Employees Ass’n. vs. Insular Life
Assurance Co., Ltd., 37 SCRA 244)
 
   He shall observe the rules of procedure and
shall not misuse them to defeat the ends of justice.
(Rule 10.03)
 
   Procedural rules are instruments in the speedy relief in one court which another
and efficient administration of justice. They should court has denied or the filing of
be used to achieve such end and not to derail it. repetitious suits or proceedings in
Thus, the filing by a lawyer of multiple petitions different courts concerning
regarding the same subject matter constitute abuse substantially the same subject
of the court’s processes and improper conduct that matter.
tends to obstruct and degrade the administration of             There is also forum –
justice.(Macias vs. Uy Kim, 45 SCRA 251) shopping when an action is
  commenced in court while
2.   A LAWYER SHALL OBSERVE AND administrative proceeding is
MAINTAIN THE RESPECT DUE TO THE pending, in order to defeat
COURTS AND TO JUDICIAL OFFICERS AND administrative processes and in
SHOULD INSIST ON SIMILAR CONDUCT BY anticipation of an unfavorable
OTHERS. (Canon 11) administrative ruling and a
  favorable court ruling. Also, forum –
It is the duty of an attorney to observe and shopping is committed even if
maintain the respect due to the courts of justice and different or additional party litigants
judicial officers. (Rule 138, sec.20 [b]) Hence, a were impleaded in the subsequent
lawyer shall: cases or petitions involving similar
  issue/issues with that of the first
   Appear in court properly attired. (Rule 11.01) case.
   Punctually appear at court hearings. (Rule  
11.02) Q:  Explain briefly why forum –
   Abstain from scandalous, offensive or menacing shopping is prohibited by law?
language or behavior before the Courts. (Rule 11.03) A:   Forum – shopping wrecks havoc
    Not attribute to a Judge motives not supported to the orderly procedure. It obstructs
by the record or have no materiality to the case. the administration of justice, unduly
(Rule 11.04) burdens the courts and embarrasses
    Submit grievances against a Judge to the the adverse party.
proper authorities only. (Rule 11.05)  
  Under the Rules, a plaintiff
3    A LAWYER SHALL EXERT EVERY EFFORT or principal party to a suit is
AND CONSIDER IT HIS DUTY TO ASSIST IN required to attach a Certificate of
THE SPEEDY AND EFFICIENT Non Forum – Shopping in his
ADMINISTRATION OF JUSTICE. (Canon 12) complaint or other initiatory
  pleading. Failure to comply with the
Being an officer of the court, a lawyer is foregoing requirement shall be a
part of the machinery in the administration of cause for dismissal of the case
justice. He should avoid any unethical or improper without prejudice.
practices that impede, obstruct or prevent its But submission of a false certification
realization. Therefore, he is required: or non-compliance with any of the
 (To appear for trial with himself adequately undertakings therein shall constitute
prepared on the law and the facts of his case, the indirect contempt of court, without
evidence he will adduce and the order of prejudice to the corresponding
profference. He should also be ready with the administrative and criminal actions.
original documents for comparison with the copies;  If the acts of the party or his counsel
(Rule 12.01) clearly constitutes willful and
       (Not to file multiple actions arising from the deliberate forum – shopping, the
same cause;  (Rule 12.02) same shall be ground for summary
       This restriction is intended to prevent forum – dismissal with prejudice and shall
shopping. constitute direct contempt without
  prejudice to the corresponding
Q:   What is forum – shopping? administrative sanctions. Cf Rule 7
A:   It is an improper practice of Sec.5, 1997 Rules on Civil
going from one court to another in Procedure. 
the hope of securing a favorable
 Litigation must end and terminate
sometime and somewhere and it is essential to an
effective and efficient administration of justice that
once a judgment has become final, the winning
party be not, through subterfuge and misuse of
legal processes, deprived of that verdict. Therefore:
 
  A lawyer should not file pointless petitions for
the purpose of reviving a decision that has long
been final. (Banogon vs. Zerna, 154 SCRA 593
[1987])
 
  A lawyer must resist the whims and caprices of
his client, and temper his client’s propensity to
litigate. He should not acquiescence to his client’s
intention of prolonging the litigation by filing
petitions for issuance of a writ of preliminary
injunction to restrain execution of a final judgment.
(Cobb-Perez vs. Lantin, 23 SCRA 637 [1968])
 
( not, after obtaining extensions of time to file
pleadings, memoranda or briefs, to let the period
lapse without submitting the same or offering an
explanation for his failure to do so;  (Rule 12.03)
 
( not to unduly delay a case, impede the execution
of a judgment or misuse Court processes;  (Rule
12.04)
The law makes it the lawyer’s duty to delay
no man’s cause for money or malice. As an officer of
the court whose primary function is to assist the
court administer impartial justice, a lawyer should
use procedural rules for that purpose and not for its
frustration.
 
  It is the duty of an attorney not to encourage
either the commencement or the continuance of an
action or proceeding, or delay any man’s cause,
from any corrupt motive or interest. (Rule 138, sec.
20 [g])
 
( to refrain from talking to his witness during a
break or recess in the trial, while the witness is still
under examination;  (Rule 12.05)
 
The purpose of this rule is to avoid any
suspicion that he is coaching the witness what to
say during the resumption of the examination.
But the lawyer may interview witnesses in
advance of trial or attend to their needs if they are
poor and have no adequate means of defraying
their own expenses or are lukewarm to do so.
 
 not to knowingly assist a witness to
misrepresent himself or to impersonate another;
(Rule 12.06)
 
Aside from the fact that the testimony of a
witness who admits having been instructed what to
say may not be relied upon by the court, a lawyer
who presents a witness whom he knows will give a
false testimony may be subjected to disciplinary
action.
 
( not to abuse, browbeat or harass a witness nor
needlessly inconvenience him;  (Rule 12.07)
 
   A lawyer should always treat adverse witnesses
and suitors with fairness and due consideration. He
should advance no fact prejudicial to their honor or
reputation unless required by the justice of the
cause with which he is charged. (Rule 138, sec. 20
[f])
    It ill behooves an attorney to justify his
disrespectful language with the statement that it
was necessary for the defense of his client. His
client’s cause is subordinate to his duty to assist in
the administration of justice. (Surigao Mineral
Reservation Board vs. Cloribel, 31 SCRA 1 [1970])
 
      ( to avoid testifying in behalf of his client.  (Rule
12.08)
Q:   Why is it unethical for a lawyer
to testify in behalf of his client?
A:  The underlying reason for the
impropriety of a lawyer acting in
such dual capacity lies in the
difference between the function of a
witness and that of an advocate. The
function of a witness is to tell the
facts as he recalls them in answer to
questions to him. The function of a
counsel is that of a partisan. It is
difficult to distinguish between the
zeal of an advocate and the fairness
and impartiality of disinterested
witness. The lawyer will find it
difficult to disassociate his relation
to his client as attorney and his
relation to the party as a witness.
A lawyer may testify for his client on
the following matters:
 a.   Formal matters, such as the
mailing, authentication or custody of
an instrument, and the like; or
 b.   Substantial matters, in cases
 where his testimony is essential to
the ends of justice, in which event he
must, during his testimony, entrust
the trial of the case to another
counsel.  (Rule 12.08)
                       
4.   A LAWYER SHALL RELY UPON THE MERITS
OF HIS CAUSE AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO INFLUENCE,
OR GIVES THE APPEARANCE OF
INFLUENCING THE COURT. (Canon 13)
 
Improper acts of a lawyer which give the
appearance of influencing the court to decide a case
in a particular way lessen the confidence of the
public in the impartial administration of justice.
 
Therefore, it is his duty:
   Not to extend extraordinary attention or
hospitality to, nor seek opportunity for, cultivating
familiarity with Judges; (Rule 13.01)
 
The common practice of some lawyers
making judges and prosecutors godfathers of their
children to enhance their influence and their law
practice should be avoided.
            A lawyer should avoid marked attention and
unusual hospitality to a judge, uncalled for by the
personal relations of the parties.
   He should not communicate with him as to the
merits of a pending case. ( Austria vs. Masaquel, 20
SCRA 1247)
 
Q: Is it unethical for a lawyer to
appear as counsel for a party in a
case before a judge who is a
relative, compadre or a former
office mate?
A:  There is no ethical constraint
against a lawyer appearing before a
judge who is a relative, compadre or
former office colleague as long as the
lawyer avoids giving the impression
that he can influence the judge. On
the other hand, the judge is required
by the Code of Judicial Conduct not
to take part in the proceedings
because among the grounds for
mandatory disqualification of the
judge is if any of the lawyers is a
relative by consanguinity or affinity
within the 4th degree. (Bautista vs.
Rebueno, 81 SCRA 535 [1978]).
           Not to make public statements in the media
regarding a pending case tending to arouse public
opinion for or against a party;  (Rule 13.02)
 
RIGHT AND DUTY TO CRITICIZE THE
COURTS.
The guarantees of a free speech and a free
press include the right to criticize the judicial
conduct. The administration of the law is a matter
of vital public concern. Whether the law is wisely or
badly enforced is, therefore, a fit subject for proper
comment. The fact that a person is a lawyer does
not deprive him of the right to criticize and
comment on the actuations of a judge. As a citizen
and officer of the court, a lawyer is expected not
only to exercise the right but also to consider it his
duty to expose the shortcomings and indiscretions
of courts and judges. This right is subject only to the
limitation that the lawyer shall employ honest and
fair languages.
 
Q:   Explain briefly the right of
every person to criticize the
actuations of a judge.
A:   The rule on the right to criticize
the courts differs in a concluded and
a pending action.
                       Once litigation is
concluded, the judge who decided it
is subject to the same criticism as any
other public official because then his
ruling becomes public property and
is thrown open to public
consumption.
                     The rule is different in a
pending case. The court, in a
pending litigation must be shielded
from embarrassment or influence in
its all – important duty of deciding
the case. The restriction does not
prohibit issuance of statements by
public officials charged with the
duty of prosecuting or defending
actions in court. However, such
statements should avoid any
statement of facts likely to create an
adverse attitude in the public mind
respecting the alleged actions of the
defendants to the pending
proceedings.
 
  Not to brook or invite interference by another
branch or agency of the government in the normal
course of judicial proceedings.  (Rule 13.03)
This act of a lawyer endangers the independence of
the judiciary.
 
 
ATTORNEY – CLIENT RELATIONSHIP
 
Nature:
      The attorney – client relationship is strictly
personal. It involves mutual trust and confidence of
the highest degree, irrespective of whether the
client is a private person or a government
functionary. Therefore:
 
   A court or administrative tribunal cannot but
recognize its creation on the faith of the client’s
word. (Piitsburgh Plate vs. director of Patents, 56
SCRA 243);
 
    It cannot be delegated in favor of another
attorney without the client’s consent. But the legal
work may be delegated. (Menzi and Co. vs. Bastida,
63 PHIL 16);
 
It terminates upon the death of either the
client or attorney. Therefore, the representative of
the deceased attorney may not assign the case to a
counsel of his choice for that matter belongs to the
client, except: employment of a law firm. Such
employment is equivalent to the retainer of the
members thereof even though only one of them is
consulted; conversely, the employment of one
member is generally considered as employment of
the law firm. Therefore, in case of death of the
partner handling the case, it should be continued by
the remaining lawyers of the firm unless the firm
withdraws from the case.     The fact that a lawyer signed a pleading for and
It can be terminated by the client with or
without cause, but it cannot be terminated by the
lawyer without his client’s or the court’s consent.
 
Q:   What is a retainer? Explain
briefly.
A:   The term “retainer” may refer to
either of two concepts: It may refer
to the act of a client by which he
engages the services of an attorney
to render legal advice, or to defend
or prosecute his cause in court. On
the other hand, it may also refer to
the fee which a client pays to an
attorney when the latter is retained,
known as the retaining fee.
 
Q:    Is a retainer necessary? Why?
A:   Yes. An attorney has no power
to act as counsel or legal
representative for a person without
being retained nor may he appear in
court for a party without being
employed unless by leave of court.
There must be contract of
employment, express or implied,
between him and the party he
purports to represent or the latter’s
authorized agent.
 
Kinds of retainer contract:
i. General retainer – is one the purpose of which is
to secure before hand the services of an attorney for
any legal problem that may afterward arise.
 
ii. Special retainer – to secure the services of a
lawyer for a particular case or service. 
The essential feature of the relation of
attorney and client is the fact of employment.
While a written agreement is the best evidence to
show the relation, formality is not an essential
element of the employment of an attorney.          
The absence of a written contract will not preclude a
finding that there is professional relationship. The
contract may be express or implied.
 
  An attorney for a buyer of a piece of land who
prepared the Deed of sale in favor of the buyer and
that he charged the seller the fees for such services
do not make the attorney the counsel for the seller
as those matters were wrapped up in the sale and
could have been done as counsel for the buyer in
the furtherance of the latter’s interest. (Gregorio
Araneta, inc. vs. Paterno, 91 PHIL 726 [1952]).
 
on behalf of the counsel of record for a party does
not necessarily make that party a client of the
lawyer. (Garcia vs. Flores, 101 PHIL 781 [1957]).
   A lawyer who helped an appellant perfect an
appeal without entering his appearance or signing a
pleading does not by that circumstance alone
become counsel of appellant in the appealed case.
(Velasquez vs. Barrera, 29 SCRA 312 [1969])
 
    Only those who have the capacity to contract
may employ lawyers. Those who have legal
disability cannot retain a lawyer to appear for him
in court. Only a general guardian or a guardian ad
litem has the authority to employ an attorney to
represent a minor or incompetent. Accordingly, the
appearance of a lawyer as authorized by a relative
of the minor or incompetent is inofficious and will
give no effect except to show the attorney’s good
faith in appearing in court. (Lim Siok Huey vs. Lapiz,
103 PHIL 930 [1958]). 
Generally, a lawyer is not obliged to act as
legal counsel for any person who may wish to
become his client. He has the right to decline
employment. He must on his own responsibility
decide what businesses he will accept as counsel,
what causes he will bring into courts for plaintiffs
or what cases he will contest in court for
defendants.
 
Q:   Is the right of a lawyer to
decline employment  absolute?
A:   No. In the following instances, a
lawyer may not decline
employment:
      a)    He shall not refuse his
services to the needy;  (CANON 14)
 b)  Not to decline to represent a
person solely on account of the
latter’s race, sex, creed or status of
life, or because of his own opinion
regarding the guilt of said person;  province of the Judge. The client is
(Rule 14.01)
 
 It is the duty of an attorney in the defense of a
person accused of crime, by all fair and honorable
means, regardless of his personal opinion as to the
guilt of the accused, to present every defense that
the law permits, to the end that no person may be
deprived of life or liberty, but by due process of
law. (Rule 138, sec. 20 [i])
 
c)  Not to decline, except for serious and sufficient
cause, an appointment as counsel de oficio or as
amicus curiae, or a request from the IBP or any of its
chapters for rendition of free legal aid;  (Rule 14.02)
d)  Not to refuse to accept representation of an
indigent client unless:  (Rule 14.03)
 
i)   he is in no position to carry out the work
effectively or competently;
ii)   he labors under a conflict of interest between
him and the prospective client or between a present
client and the prospective client.
iii)   too many de oficio cases assigned to the lawyer
iv)   lawyer is prohibited from practicing law by
reason of his public office which prohibits
appearances in court; and
v) lawyer is preoccupied with too many cases
which will spell prejudice to the new clients.
   He shall observe the same standard of conduct
governing his relations with paying clients every
time he accepts the cause of a person unable to pay
his professional fees;  (Rule 14.04)
 
Q:   May an attorney refuse to
handle a losing case? Support your
answer.
A:   In civil cases, a lawyer may
refuse to handle a losing case. In all
probability, a losing case is one
which has no basis or cause of
action. Under the Attorney’s Oath,
the Code of Professional
Responsibility and Rules of Court, it
is the duty of a lawyer not to
promote or sue any groundless, false
or unlawful suit, or give aid or
consent to the same.
     The same is true in criminal cases,
except when a lawyer is called upon
to defend a person guilty of an
offense. In such a case, a lawyer may
not refuse to defend a person merely
because he perceives him to be
guilty. That matter is within the
presumed innocent until otherwise
proven. It is the counsel’s duty to see
to it that his client is accorded due
process, that his rights are respected,
and that only the proper penalties
are meted out should he be
convicted.
 
Q:   What are the duties of a defense
counsel when the accused intends
to plead guilty?
A:  The following are the duties of a
defense counsel: (a) fully acquaint
himself with the records and
surrounding circumstances of the
case; (b) confer with the accused and
obtain from him his account of what
happened; (c) advise him of his
constitutional rights; (d) thoroughly
explain to him the import of a guilty
plea and the inevitable conviction
that will follow; (e) see to it that the
prescribed procedure which
experience has shown to be
necessary to the administration of
justice is strictly followed and
disclosed in the court records.
 
THE LAWYER’S DUTIES TO HIS CLIENTS:
1.   A LAWYER SHALL OBSERVE CANDOR,
FAIRNESS AND LOYALTY IN ALL HIS
DEALINGS AND TRANSACTIONS WITH HIS
CLIENTS. (Canon 15.)
Public interest requires that once a lawyer
accepts the cause of his client, he shall exert his best
efforts and ability in the prosecution or defense of
his client’s cause.
            He should present every remedy or defense
authorized by law in support of his client’s cause,
regardless of his personal views. Thus:          [2001])
  He shall, in conferring with a prospective client,
ascertain as soon as practicable whether the matter
would involve a conflict with another client or his
own interest, and if so, shall forthwith inform the
prospective client;  (Rule 15.01)  Law and Conscience, Inc. vs. Paz, 95 SCRA 24 [1980])
It is a lawyer’s duty to disclose and explain
to a prospective client all circumstances of his
relations to the parties and any interest in or
connection with the controversy, which in his
honest judgment might influence the client in the
selection of counsel.
 
  He shall be bound by the rule on privilege
communication in respect of matters disclosed to
him by a prospective client;  (Rule 15.02)  another client requires him to
He shall not reveal the confidence obtained
by him from persons in his professional capacity
even though his employment may not have been
hired to continue with the client’s case.
 
   It is the duty of the an attorney to maintain
inviolate the confidence, and at every peril to
himself, to preserve the secrets of his client, and to
accept no compensation in connection with his
client’s business except from him or with his
knowledge and approval. (Rule 138, sec.20 [e])
 
  He shall not represent conflicting interests
except by written consent of all concerned given
after a full disclosure of the facts;  (Rule 15.03) But
he may, with the written consent of all concerned,
act as mediator, conciliator or arbitrator in settling
disputes;  (Rule 15.04)
                       
   He shall not act as counsel for a person whose
interest conflicts with that of his present or former
client. (Mejia vs. Reyes, 114 PHIL 574 [1962])  vs. Bulalacao, supra).
That the conflict of interests is remote or
merely probable or the representation of conflicting
interests is in good faith and with honest intention
on the part of the lawyer does not make the
prohibition inoperative.  confidential communication from his former client,
The circumstance that the former client is
successful or has not been prejudiced by the
representation of conflicting interests does not
render the lawyer’s conduct less improper.
 
  Where a lawyer was retained by a person to
form a corporation and appeared as counsel in
behalf of said person but said lawyer was
subsequently shown to be in collusion with the
board of directors of the corporation against the
said client, there is a clear case of conflict of
interests. (see De Guzman vs. De Dios, 350 SCRA 320
  Nor does the lawyer’s withdrawal from the case
after his appearance therein was questioned on the
ground of conflict of interest free him from
administrative liability for such misconduct. (Pasay
 
 
Q:   When is there a conflict of
interest?
A:   There is conflict of interests
within the meaning of the
prohibition when, on behalf of one
client, it is the attorney’s duty to
contend for that which his duty to
oppose, or when the possibility of
such situation develops. It includes
cases even where no confidential
communications have been confided
or will be used.
Another test is whether the
acceptance of a new relation will
prevent an attorney from the full
discharge of his duty of undivided
fidelity and loyalty to his client or
invite suspicion of unfaithfulness or
double-dealing in the performance
thereof; or when he will be called
upon in his new relation to use
against his first client any
knowledge acquired in the previous
employment.
 
  It is improper for a lawyer to appear as counsel
for one party against the adverse party who is his
client in another totally unrelated action. (Rosasica
 
A lawyer for a party may not subsequently
appear as counsel for the opposite party in an action
which is somehow related to the former client’s
case, even though the lawyer acquired no
or his services to him were gratuitous, or the former
client illegally terminated his professional
employment. 
Where a lawyer is disqualified or forbidden
from appearing as counsel in a case because of
conflict of interests, the law firm of which he is a
member as well as any member, associate or
assistant therein is similarly disqualified or
prohibited from so acting.
 
The rule against representation of conflicting
interests does not apply:
 a.   where no conflict of interests really exists – i.e.
when the case for a new client against a former
client is unrelated in any way with the previous
controversy in which he appeared for the former
client. (Magno vs. Gellada, 42 SCRA 549);
 b.   where the client knowingly consents after full
disclosure of the facts. The disclosure should
include an explanation of the effects of the dual
representation, such as the possible revelation or
use of confidential information;
 c.    where no attorney – client relationship    exists.
(People vs. Mediavilla)   Therefore, he shall:
The new client however, may not defeat the
attorney’s right to fees in the absence of
concealment and prejudice by reason of the
attorney’s previous professional relationship with
the opposite party.
 
  When advising his client, he shall give a candid
and honest opinion on the merits and probable
results of the client’s case, neither overstating nor
understating the prospects of the case;  (Rule 15.05)
Neither shall he state nor imply that he is able to
influence any public official, tribunal or legislative
body;  (Rule 15.06)  failure to take such step and spend the money for it,
 
If a lawyer finds that his client’s
contemplated civil suit is totally devoid of merit or
that the pending action against him is wholly
defenseless, he should so inform his client and
dissuade him, in the first instance, from filing the
case, in the second instance, to compromise or
submit rather than traverse the incontrovertible.     In the case of Cleto Docena vs. Atty. Limon, the
If on the other hand he finds that his client’s
cause is fairly meritorious and ripe for judicial
adjudication, he should refrain from making bold
and confident assurances of success.
 
  He shall impress upon his client compliance
with the laws and the principles of fairness; (Rule
15.07)
 
While it is the lawyer’s duty to comply with
the client’s lawful request, he should resist and
should never follow any unlawful instructions of
his client. In matters of law, it is the client who
should yield to his lawyer and not the other way
around.    Deliver the funds and property of his client
A lawyer should not approve of his
impropriety. He may not therefore sanction his
client’s act of compromising the action with the
adverse party without the knowledge of the latter’s
attorney.
   When engaged in another profession or
occupation concurrently with the practice of law he
shall make clear to his client whether he is acting as
a lawyer or in another capacity.  (Rule 15.08)
 
3.   A LAWYER SHALL HOLD IN TRUST ALL
MONEYS AND PROPERTIES OF HIS CLIENT
THAT MAY COME INTO HIS POSSESSION.
(Canon 16).     
 
The money collected by a lawyer in
pursuance of a judgment in favor of his client is
held in trust. So is money of a client not used for the
purpose for which it was entrusted to his counsel.
           
  Account for all money or property collected or
received for or from the client (Rule 16.01) and shall
keep the funds of each client separate and apart
from his own and those of others kept by him. (Rule
16.02) 
The highly fiduciary and confidential
relation of attorney and client requires that the
attorney should promptly account for all funds and
property received or held by him for the client’s
benefit. Where a client gives money to his lawyer
for a specific purpose, the lawyer should, upon
immediately return the money to his client.
 
   A lawyer also holds for the benefit of his client
any property redeemed with the client’s money and
registered in the lawyer’s name. (Imbucido vs.
Manganon, 114 PHIL 695 [1962])
 
respondent was disbarred for failing to return the
money of his clients. Disbarment was imposed
notwithstanding the fact that the amount involved
was too small because of the nature of the
transgression. In this case, the lawyer collected
10,000 pesos from his clients purportedly as
supersedeas bond to stay the decision of the lower
court. When the appellate court ruled in their favor,
the amount cannot be withdrawn because no bond
was ever filed by the lawyer.  When confronted, the
lawyer justified his retention of the amount as his
attorney’s fees. (Docena vs. Limon, September 10,
1998)
 
when due or upon demand. However, he shall have
a lien over the funds and may apply so much
thereof as may be necessary to satisfy his lawful
fees and disbursements, giving notice promptly
thereafter to his client. He shall also have a lien to
the same extent on all judgments and executions he
has secured for his client as provided for in the
Rules of Court;  (Rule 16.03)
 
   When an attorney unjustly retains in his hands
money of his client after it has been demanded, he
may be punished for contempt as an officer of the
court who has misbehaved in his official
transactions; but proceedings under this section
shall not be a bar to a criminal prosecution. (Rule
138, sec. 25)
 
    The circumstance that an attorney has a lien for
his attorney’s fees on the money in his hands
collected for his client does not relieve him from the
obligation to make a prompt accounting. (Tambueko
vs. De Dumo, 172 SCRA 760 [1989])  lien.
The failure of an attorney to return the
client’s money upon demand gives rise to the
presumption that he has misappropriated it for his
own use to the prejudice of and in violation of the
trust reposed in him by the client.
ATTORNEY’S LIEN
 
       It is a lien created by law in favor of a lawyer
to insure payment of his professional fees and
reimbursement of his lawful disbursements, not
only upon the funds, documents and papers of his
client which have lawfully come into his possession
but also upon all judgments in favor of the client for
the payment of money and executions issued in
pursuance of such judgments rendered in the case
wherein his services have been retained by the
client. (see Rule 138 secs. 37 and 26, RRC)
 
Kinds of Attorney’s lien:
1.   Retaining lien – the right of an attorney to
retain the funds, documents and papers of his client
which have lawfully come to his possession until
his lawful fees and disbursements have been paid
and to apply such funds to the satisfaction thereof.
(Rule 138, sec. 37, RRC)
 
Requisites for validity:
a.   Existence of attorney – client relationship;
b.   Possession by the lawyer of the client’s funds,
documents and papers must be lawful and in his
professional capacity;
c.    There is an unsatisfied claim for attorney’s fees
or lawful disbursement.
 
Retaining lien does not extend to funds,
documents and papers of the client’s principal, such
as the estate represented by the client as
administrator, except when the attorney is also
retained as counsel for the estate against whom he
has unpaid claim for attorney’s fees. Neither does it
extend to the subject matter of the action, which the
court has adjudged in favor of the client’s adversary
nor to documents introduced as exhibits in court. 
            Retaining lien attaches from the moment the
attorney lawfully obtains and retains possession of
the funds, documents and papers of the client until
his client pay him his fees and disbursements. 
Until the client files a bond to secure and to
guarantee the payment of the lawyer’s fees, the
court may not compel the surrender of the
documents and papers without gravely abusing its
discretion or authority for the court’s duty is to
protect and not to destroy the attorney’s retaining
            It expires when possession of the documents
or papers lawfully ends, as when the lawyer
voluntarily parts with the funds, documents and
papers of his client or when he offers them in
evidence in court.
 2.   Charging lien – the equitable right to have the
fees and lawful disbursements due a lawyer for his
services in a suit, secured to him out of the
judgment for the payment of money and executions
issued in pursuance thereof in the particular suit
upon causing a statement of his claim to be entered
upon the records of the court rendering such
judgment, or issuing such execution, and shall have
caused written notice thereof to be delivered to his
client and to the adverse party. (see Rule 138, sec. 26
and sec. 37)
 
Requisites:
a.   Existence of attorney – client relationship;
b.   The attorney has rendered services;
c.  A money judgment favorable to the client has
been secured in the action;
d.  The attorney has a claim for attorney’s fees or
advances; and
e.   A statement of his claim has been duly recorded
with notice thereof served upon the client and the
adverse party.
 
Charging lien takes effect from and after the
time the attorney has caused a notice of his lien to
be duly entered in the record of the case. But
recording to be valid should be effected while the
court still has the records of the case and before
satisfaction of judgment.
            However, the satisfaction of judgment in
favor of the client in disregard of the attorney’s
duly recorded right and notice thereto has been
properly given does not extinguish his charging
lien, in the absence of a waiver of the right thereto
either by his active conduct or by his passive
omission. The court may vacate such satisfaction by
issuing a writ of execution upon motion of the
lawyer. The court retains jurisdiction over the case
where a charging lien has been duly recorded until
that lien is settled.  client’s
The judgment debtor is a stranger to the
contract for professional fees between the judgment
creditor and his lawyer. Thus, he is entitled to
notice before he may be held liable under the
charging lien. The notice to the adverse party or
judgment debtor also makes the charging lien
binding upon him who, for disregarding it to the
lawyer’s prejudice, may be held liable in favor of
the lawyer for the full amount thereof.  he may take part by virtue of his
The charging lien may be enforced, upon
proper motion, by execution.
            Charging lien also attaches to the proceeds of
a compromise settlement.
 Lien does not attach to the following:
a.   property in litigation;
b.   sum of money which, according
to the same judgment, must be applied to
satisfy a legitimate debt of the client;
c.  property of the client in the
hands of an officer of the court;
d. when the client’s action is
dismissed upon motion of the adverse
party;
e.   when the client loses the action
as the lien may only be enforced against a
judgment awarded in favor of the client, the
proceeds thereof or executions thereon.
A duly recorded lien enjoys preference of
credit over that of a creditor who subsequently
recorded it. Generally, a charging lien may be
assigned without the preference character thereof
being extinguished except when the assignment
carries with it a breach of the attorney’s duty to
preserve his client’s confidence inviolate.  purports to give to the attorney an
It survives the death of the client and need
not be enforced in the proceeding for the settlement
of the client’s estate. It also gives the lawyer
standing in the action to protest its discontinuance
by the client, unless suitable measures for the
protection of his right to professional fees are
provided.
            Where the client contests the right of the
lawyer to compensation or the amount thereof, the
proper procedure is for the court to first resolve that
question in a full dress trial before it should order
the registration of the charging lien. At all events
however, the exact amount of the attorney’s fees
should be determined before the lien can be
enforced. On the other hand, if the client fails to
contest the claim, he will be bound by the amount
specified in the lien even though it may appear to
be unjust.
 
Q:   May a lawyer purchase his
property without
transgressing ethical norms and
conduct required of a lawyer?
A:   The law expressly prohibits a
lawyer from purchasing, even at a
public or judicial auction, either in
person or through the mediation of
another, any property or interest
involved in any litigation in which
profession.
 
The rule forbidding an
attorney from purchasing his client’s
property or interest in litigation
involves four elements: (a) there
must be an attorney – client
relationship; (b) the property or
interest of the client must be in
litigation; (c) the attorney takes part
as counsel on the case; and (d) the
attorney by himself or through
another purchases such property or
interest during the pendency of the
litigation. It is immaterial that the
deed of sale is executed at the
instance of the client or at the behest
of the attorney.
 
Q:   What is a contingency fee
contract?
A:   It is a contract for attorney’s fees
contingent upon the outcome of the
litigation. It neither gives nor
absolute right, personal or real, in
the subject matter during the
pendency of the litigation.
 
   Not to borrow money from his client unless the
client’s interests are fully protected by the nature of
the case or by independent advice. Neither shall a
lawyer lend money to a client except, when in the
interest of justice, he has to advance necessary
expenses in a legal matter he is handling for the
client. (Rule 16.04)
 
 
4.   A LAWYER OWES FIDELITY TO THE CAUSE
OF HIS CLIENT AND HE SHALL BE MINDFUL
OF THE TRUST AND CONFIDENCE REPOSED
IN HIM; (Canon 17).     However, he may render such service if, with the
No lawyer is obliged to act either as adviser
or advocate for every person who may wish to
become his client. But once he agrees to take up the
cause of his client, the lawyer owes fidelity to such
cause and must always be mindful of the trust and
confidence reposed in him. He owes his client entire
devotion to his genuine interest, warm zeal in the
maintenance and defense of his rights and the
exertion of his utmost learning and ability.
  But while a lawyer owes absolute fidelity to the
cause of his client, full devotion to his genuine
interest, and warm zeal in the maintenance and
defense of his rights, he must do so only within the
bounds of law. (Choa vs. Chiongson, 260 SCRA 477
[1996])
 
His pending release by the client from
professional responsibility does not justify relaxing
his guard. Neither does the failure of his client to
pay him his fees warrant his abandoning the case.
 
   A lawyer has no right to presume that his
petition for withdrawal will be granted by the court.
Until his withdrawal shall have been approved, the
lawyer remains counsel of record who is expected
by his client as well as by the court to do what the
interests of his client require. He must still appear
on the date of hearing for the attorney-client
relation does not terminate formally until there is a
withdrawal of record.(Orcino vs. Atty. Gaspar,
September 24, 1997)
 
5.   A LAWYER SHALL SERVE HIS CLIENT WITH
COMPETENCE AND DILIGENCE (Canon
18).        
 
By accepting a retainer, he impliedly
represents that (a) he possesses the requisite degree
of learning, skill and ability which is necessary to
the practice of his profession and which others
similarly situated possess; (b) he will exert his best
judgment in the prosecution or defense of the
litigation entrusted to him; (c) he will exercise
reasonable and ordinary care and diligence in the
use of his skill and in the application of his
knowledge to his client’s cause; and (d) he will take
such steps as will adequately safeguard his client’s
interest.
Therefore, it is a lawyer’s duty:
 
  Not to undertake a legal service which he knows
or should know that he is not qualified to render.
consent of his client, he can obtain as collaborating
counsel a lawyer who is competent on the matter;
(Rule 18.01)
            The full protection of the client’s interests
requires no less than a mastery of the applicable law
and the facts involved in a case, regardless of the
nature of the assignment and keeping constantly
abreast of the latest jurisprudence and
developments in all branches of the law.
 
  Not to handle any legal matter without adequate
preparation; (Rule 18.02)
 
Any attempted representation of a case
without adequate preparation distracts the
administration of justice and discredits the bar. And
when the merits of one side of a case are not
properly presented because of inadequate legal
representation as against the merits of the other
well – presented side, the court may be and often is
misled into looking at the case in an uneven light.
Moreover, to be able to put up a good fight in the
courtroom, hard work and intensive study and
preparation are the only guarantees of coming out
unscathed.
 
 Not to neglect a legal matter entrusted to him,
and his negligence in connection therewith shall
render him liable;  (Rule 18.03)
 A lawyer is required to exercise ordinary diligence
or that reasonable degree of care and skill having
reference to the character of the business he
undertakes to do, as any other member of the bar
similarly situated commonly possesses and
exercises. He is not, however, bound to exercise
extraordinary diligence.
 
What amounts to carelessness or negligence in the
lawyer’s discharge of his duty to client is incapable
of exact formulation. That question depends upon
the circumstances of the case.
 
 To keep the client informed of the status of his
case and shall respond within a reasonable time to
the client’s request for information. (Rule 18.04)
 
Keeping the client fully informed of
important developments of his case will minimize
occasions for misunderstanding or loss of trust and
confidence in the attorney.
6.      A LAWYER SHALL REPRESENT HIS
CLIENT WITH ZEAL WITHIN THE BOUNDS OF
THE LAW. (Canon 19).
     
The lawyer’s duty of entire devotion to his
client’s cause not only requires but entitles him to
employ every honorable means to secure for his
client what is justly due him or to present every
defense provided by law to enable his client to
succeed. In this regard, It is his duty:
   To employ only fair and honest means to attain
the lawful objectives of his client and shall not
present, participate in presenting or threaten to
present unfounded criminal charges to obtain an
improper  advantage in any case or proceeding;  Q:   What is fair and reasonable
(Rule 19.01)
 
   A lawyer should employ such means only as
are consistent with truth and honor, and never seek
to mislead the judge or any judicial officer by an
artifice or false statement of fact or law. (Rule 138,
sec. 20 [d]) Thus, he should not offer in evidence any
document which he knows is false nor present any
witness whom he knows will perjure. He should
make such defense only as he believes to be
honestly debatable under the law. (Rule 138, sec. 20
[c])
            In espousing his client’s cause, a lawyer
should not state his personal belief as to the
soundness or justice of his case. A number of
reasons underlie such ethical injunction: firstly, the
lawyer’s personal belief has no real bearing on the
case; secondly, it would give improper advantage to
the older and better known lawyer whose opinion
would carry more weight; finally, omission to make
such assertion might be taken as an admission of
the lack of belief in the soundness of his client’s
cause.
 
   Who has received information that his client
has, in the course of the representation, perpetrated
a fraud upon a person or tribunal, shall promptly
call upon the client to rectify the same, and failing
which he shall terminate the relationship with such
client in accordance with the Rules of Court;  (Rule
19.02)
 
The code merely requires the lawyer to terminate
his relationship with the client in the event the latter
fails or refuses to rectify the fraud. He may not
however volunteer the information concerning the
client’s commission of fraud to anybody, as it will
violate his obligation to maintain his client’s secrets
undisclosed.
 
      (Not to allow his client to dictate the procedure
in handling the case.  (Rule 19.03)
           
While it is the lawyer’s duty to comply with the
client’s lawful request, he should resist and should
never follow any unlawful instruction of his client.
In matters of law, it is the client who should yield to
the lawyer and not the other way around.
 
 
7.   A LAWYER SHALL CHARGE ONLY FAIR
AND REASONABLE FEES. (Canon 20).           
fees?
A:   The following guidelines shall be
followed in determining the fairness
and reasonableness of fees:
 
a.   time spent and the extent of the
services rendered or required;
b.  novelty and difficulty of the
questions involved;
c.   importance of the subject matter;
d.  skill demanded;
e.  probability of losing other
employment as a result of
acceptance of the proffered case;
f.   customary charges for similar
services and the schedule of fees of
the IBP chapter to which he belongs;
g.  amount involved in the
controversy and the benefits
resulting to the client from the
service;
h.   contingency or certainty of
compensation;
i.    character of the employment,
whether occasional or established;
and
j.    professional standing of the
lawyer. (Rule 20.01)
 
   No court shall be bound by the opinion of
attorneys as expert witnesses as to the proper
compensation, but may disregard such testimony
and base its conclusion on its own professional
knowledge. A written contract for services shall
control the amount to be paid therefor unless found
by the court to be unconscionable or unreasonable.
(Rule 138, sec. 24)
 
In this regard, it is said that an agreement
fixing the lawyer’s fees is personal between the
lawyer and his client, and such agreement shall
prevail even though the lawyer’s services are worth
more than the stipulated fees.
                       
      (Not to accept, without the full knowledge
and consent of the client, any fee, reward, costs,
commission, interest, rebate or forwarding
allowance or other compensation whatsoever
related to his professional employment from
anyone other than the client;  (Rule 20.03)
 
This rule is designed to secure the
attorney’s wholehearted fidelity to the client’s cause
and to prevent that situation in which the receipt by
him of rebate or commission from another in
connection with the client’s business may interfere
with the full discharge of his duty to his client.
       (To avoid controversies with clients concerning
his compensation and shall resort to judicial action
only to prevent imposition, injustice or fraud.  (Rule
20.04)
 
RIGHT OF LAWYER IN CASE OF REFERRAL:
 
      (In cases of referral, with the consent of the
client, the lawyer shall be entitled to a division of
fees in proportion to the work performed and
responsibility assumed;  (Rule 20.02)
 
Q:   What are the requisites for the
right of attorney to compensation
accrue?
A:   The following requisites must
concur to entitle the lawyer to
compensation:
a.  existence of an attorney – client
relationship;
b.  rendition by the lawyer of
services to the client.
 
  Therefore a non – lawyer cannot recover
attorney’s fees even if there is a law authorizing
him to represent a litigant in court. For this reason,
an agreement between a union lawyer and a
layman president of the union to divide equally the
attorney’s fees that may be awarded in a labor case
is illegal and immoral insofar as it grants to the
union president a share in the counsel fees. (Phil.
Ass’n of Free Labor Unions vs. Binalbagan Isabela
Sugar Co., 42 SCRA 302 [1970])
 
 
RIGHT TO COMPENSATION AFTER LOSING
THE CLIENT’S CASE.
 
General Rule:
            Mere loss does not affect lawyer’s right to be
paid.
 
Exception:
            When the loss is due to his
a) misconduct;
b) misrepresentation or abuse of confidence;
c) unfaithfulness in representing his client’s cause;
d) act of defrauding his client or bad faith on his
part in his dealings. But not when it’s due to the
lawyer’s honest mistake.
 
Q:   What are “champertous
contracts”?
A:  Champertous contracts are those
in which the lawyer agrees to
conduct the litigation on his own
account, to pay the expenses thereof
or to save his client therefrom and to
receive as his fee a portion of the
proceeds of a judgment. These types
of contracts are held to be against
public policy.
            The restriction against
champertous contracts is designed to
prevent a lawyer from acquiring an
interest in the litigation and avoid
conflict of interests between him and
his client. To permit such practice of
the lawyer is to enable him to
acquire additional stake in the
outcome of the action which might
lead him to consider his own
recovery rather than that of his
client.
 
The lawyer may, however,
in good faith advance the expenses
as a matter of convenience but
subject to reimbursement.
Example: an agreement, which
provides that the client agrees to
50% contingent fee provided that the
lawyer defrays all expenses for the
suit, including court fees.
 
CLIENT MAY DISMISS THE ACTION.
 
A client may dismiss his action
(compromise agreement) even without or against
the consent of his counsel. But such dismissal will
not deprive the lawyer of his fees for services
rendered unless he waives such right.
            If the dismissal is in good faith i.e. honest
belief on the lack of valid cause of action, the lawyer
may recover only the reasonable worth of his
services unless when the fee is contingent in which
case there will be no recovery.
            On the other hand, if the dismissal is in bad
faith i.e. intended to defraud his lawyer, the counsel
shall be entitled to the full amount stipulated in a
written contract of professional employment. In the
absence thereof, he shall be entitled to recover the
reasonable value of his services based on quantum
meruit.
 
Q:   What do you understand about
the term ”quantum meruit”?
A:   The term literally means “ as
much as a lawyer deserves”. Its
essential requisite is the acceptance
of the benefits by the one sought to
be charged for the services rendered
under the circumstances as
reasonably to notify him that the
lawyer performing the task was
expecting to be paid compensation
there for.
 
Q:   When may the court fix the
lawyer’s compensation based on
quantum meruit?
A:    1. The agreement as to counsel
fees is invalid for some reason other
than the illegality of the object of
performance;
        2. The amount stipulated in the
contract is  unconscionable;
        3. No agreement as to fees
exists;
        4. Client rejects the amount
fixed in the contract as
unconscionable and is found to be
so;
        5. Some act or event has
prevented the lawyer from
concluding the litigation without
fault on his part;
     
Q:   What do you understand about
the term “ unconscionable fees”?
Explain briefly.
A:   An unconscionable fee is that
amount which, under the
circumstances surrounding the case,
constitutes an exaggeration of the
worth of the lawyer’s services. But
this involves a question of fact which
is for the trial court to decide.
 
ATTORNEY’ FEES AS DAMAGES:
  The award that the court may grant to a
successful party by way of attorney’s fees is an
indemnity for damages sustained by him in
prosecuting or defending, through counsel, his
cause in court. It may be decreed in favor of the
party, not his lawyer, in any of the instances
authorized by law.
On the other hand, the attorney’s fee which
a client pays his counsel refers to the compensation
for the latter’s services. The losing party against
whom damages by way of attorney’s fees may be
assessed is not bound by, nor his liability
dependent upon, the fee arrangement of the
prevailing party with his lawyer. The amount
stipulated in such fee arrangement may, however,
be taken into account by the court in fixing the
amount of counsel fees as an element of damages.
 
General rule:
Attorney’s fees in the concept of damages are not
recoverable.
 
Exceptions:
1.   when there is an agreement;
2.   exemplary damages are awarded;
3.  defendant’s action or omission   compelled 
plaintiff to litigate;
4.   malicious prosecution;
5.   the action is clearly unfounded;
6.   defendant acted in gross and evident bad faith;
7.   actions for support;
8.   recovery of wages;
9.  actions for indemnity under the workmen’s
compensation and employees liability laws;
10.  separate civil action arising from crimes;
11. double costs are awarded – awarded when the
action or appeal is frivolous.
12.  court deems it just and equitable;
13.  special law so authorizes.
 
 
8.   A LAWYER SHALL PRESERVE THE
CONFIDENCES AND SECRETS OF HIS CLIENT
EVEN AFTER THE ATTORNEY – CLIENT
RELATION IS TERMINATED. (Canon 21).
 
  An attorney, cannot without the consent of his
client, be examined as to any communication made
to him by the client, or his advice given thereon in
the course of, or with a view to, professional
employment, nor can an attorney’s secretary,
stenographer or clerk be examined, without the
consent of the client and his employer, concerning
any fact the knowledge of which has been acquired
in such capacity. (Rule 130, sec. 24 [b])
 
 The lawyer’s duty to maintain his client’s
confidence is perpetual. It outlasts his professional
employment and continues even after the death of
his client. He may not do either of two things after
severance of the attorney – client relationship: he
may not do anything which might injuriously affect
his former client nor may he at any time disclose or
use against him any knowledge or information
acquired by virtue of the professional relationship.
The communication to the lawyer loses its
privileged character when such communication
falls into the hands of third persons.
 
In this regard, the Code of Professional
Responsibility provides for the following duties of a
lawyer:
 
DON’TS:
 
A lawyer shall not:  adverse party. (Rule 138, sec. 26)
  Reveal the confidences or secrets of his client
except;
 
a.   when authorized by the client after acquainting
him of the consequences of the disclosure;
 
b.    when required by law;
 
c.    when necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action.  (Rule 21.01)
 
 Use information acquired in the course of
employment to the disadvantage of his client, nor to
his own advantage or that of a third person, unless
the client with full knowledge of the circumstances
consents thereto;  (Rule 21.02)
 
   Give information from his files to an outside
agency seeking such information for auditing,
statistical, bookkeeping, accounting, data
processing, or any similar purpose without the
written consent of his client;  (Rule 21.03)
   Reveal that he has been consulted about a
particular case except to avoid possible conflict of
interest.  (Rule 21.07)
 
   Shall avoid indiscreet conversation about a
client’s affairs even with members of his family; 
(Rule 21.06)
 
DO’S:
 
   Shall adopt such measures as may be required
to prevent those whose services are utilized by him,
from disclosing or using confidences or secrets of
the client;  (Rule 21.05)
 
  May disclose the affairs of a client of the firm to
partners or associates thereof unless prohibited by
the client;  (Rule 21.04)
 
9.       A LAWYER SHALL WITHDRAW HIS
SERVICES ONLY FOR GOOD CAUSE AND
UPON NOTICE APPROPRIATE IN THE
CIRCUMSTANCES. (Canon 22).
     
   An attorney may retire at any time from any
action or special proceeding, by the written consent
of his client filed in court. He may also retire at any
time from an action or special proceeding, without
the consent of his client, should the court, on notice
to the client and attorney, and on hearing,
determine that he ought to be allowed to retire.
Written notice of the change shall be given to the
            The foregoing provision is explained by the
Supreme Court in the case of Angelita Orcino vs.
Atty. Gaspar, September 24, 1997 , in the following
manner: “A client has the right to discharge his
attorney at any time with or without cause or even
against his consent. A lawyer, however lacks the
unqualified right to withdraw once he has taken his
client’s cause. He has impliedly stipulated that he
will prosecute the case to the conclusion. He may
not ask that he should be relieved from his
professional responsibility on mere trivial grounds.
A lawyer may retire at any time from any action or
special proceeding with the written consent of his
client filed in court and copy thereof served upon
the adverse party. Should the client refuse to give
his consent, the lawyer must file an application with
the court. The court, on notice to the client and
adverse party, shall determine whether he ought to
be allowed to retire. The application for withdrawal
must be based on a good cause”.
 
Under the Code of Professional
Responsibility, the following are instances when a
lawyer may withdraw his services:
 
i.    when the client pursues an illegal or immoral
course of conduct in connection with the matter he
is handling;
 
ii.    when the client insists that the lawyer pursue
conduct violative of these canons and rules;
 
iii.   when his inability to work with co – accused
will not promote the best interest of the client;
iv.   when the mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively;
 
v.    when the client deliberately fails to pay the fees
for the services or fails to comply with the retainer
agreement;
vi.   when the lawyer is elected or appointed to
public office; and
 
vii. other similar cases.  (Rule 22.01)
 
   A motion to withdraw appearance on the
ground that "there no longer exist[ed] the . . .
confidence" between the lawyer and his client and
that there had been "serious differences between
them relating to the manner of private prosecution"
is not based upon good cause. The ground relied
upon is neither one of the foregoing instances nor
analogous thereto. (Orcino vs. Atty. Gaspar,
September 24, 1997)
AUTHORITY OF ATTORNEY
 
   An attorney is presumed properly authorized to
represent any cause in which he appears, and no
written power of attorney is required to authorize
him to appear in court for his client, but upon
motion based on reasonable grounds, the judge
may require him to present his authority under
which he appears. (Rule 138, sec. 21)
 
The presumption is a strong one. A mere
denial by a party that he has authorized an attorney
to appear for him, in the absence of a compelling
reason, is insufficient to overcome the presumption.
 
But the presumption of authority extends
only to matters of ordinary judicial procedure such
as, but not limited to, what action or pleadings to
file, where and when to file, theory of the case,
defenses to raise, etc.
 
    The presumption of his authority continues on
appeal, unless he files a formal petition
withdrawing his appearance in the appellate court.
(Sec. 22, supra)
 
 
Consequences of the presumption:
 
1.   The attorney may bind the client in any case by
any written agreement made in relation thereto.
(Rule 138, sec. 23) Hence:
An attorney may make admissions of facts for the
purpose of the litigation and such admission binds
the client unless it was made through palpable
mistake, or that the facts admitted were matters
relating to another action even though involving the
same client. Nor may the attorney make
admissions, which operate as waiver, surrender or
destruction of the client’s cause.
An attorney has the general or implied
authority to agree or stipulate upon the facts
involved in litigation even without the prior
knowledge or consent of his client. The client may
not withdraw from the stipulation properly entered
into by his counsel on his behalf unless it is with
consent of the adverse party or made through
palpable mistake or when what the lawyer agreed is
that a witness, if presented in court, would testify as
stated by the adverse party. But stipulations
affecting the client’s cause of action or the subject
matter of the litigation will not bind the client in the
absence of a special authority to counsel to enter
into such stipulation.
   But a lawyer cannot compromise, without
special authority, his client’s litigation or receive
anything in discharge of a client’s claim but the full
amount in cash. (Rule 138, sec.23)
 
Q:   If the client cannot attend the
pre – trial conference, what is the
proper step that his counsel should
undertake?
A:   If the lawyer is appearing during
the pre – trial conference without the
client, he must be armed with a
special authority. One purpose of a
pre – trial conference is to discuss
the possibility of a settlement, and
without the lawyer securing the
special authority, his client maybe
non – suited or considered in
default.
 
2.   The knowledge acquired by an attorney during
the time that he is acting within the scope of his
authority is imputed to the client. This is the
doctrine of imputed knowledge. Thus a client
cannot raise as a defense in an action the validity of
a note when his counsel has knowledge of the
defect in the instrument.
 
3.   Notice to counsel is notice to client unless, notice
upon the party himself is ordered by the court. But
the court may disregard the rule when its strict
application would foster dangerous collusion
detrimental to the interest of justice.
 
4.   The general rule is that the client is bound by his
counsel’s conduct, negligence and mistake in
handling the case, or in the management of the
litigation and in procedural technique, and he
cannot be heard to complain that the result might
have been different had his lawyer proceeded
differently. But the court may relax the rule when
the mistake or negligence of counsel is so gross that
its strict implementation will result in deprivation
of the client’s liberty or property without due
process of law.
 
CHANGE OR SUBSTITUTION OF COUNSEL:
 
A client may change his counsel in a pending case
in any of three ways:
a. Discharge his attorney at any time with or
without cause. No notice and consent of the lawyer
and approval of the court is required.
b. Motion to withdraw appearance either with the
written consent of his client or with leave of court
on some justifiable ground (see Rule 22.01, CPR)
c. By substitution of counsel in the form of an
application for that purpose.
 
Requirements for substitution:
a.   written application for substitution;
b.   written consent of the client and the attorney to
be substituted
c.   proof of service of notice of the application upon
the attorney to be substituted, in case the written
consent of the lawyer cannot be obtained.
 
DUTY OF A LAWYER WHO WITHDREW FROM
OR IS DISCHARGED BY THE CLIENT IN THE
PROSECUTION OR DEFENSE OF HIS
CAUSE:            Suspension, Concept:
  The lawyer shall, subject to a retainer lien,
immediately turn over all papers and property to
which the client is entitled, and shall cooperate with
his successor in the orderly transfer of the matter,
including all information necessary for the proper
handling of the matter.  (Rule 22.02)
 
RIGHT TO COMPENSATION WHEN
ATTORNEY IS DISCHARGED BY THE CLIENT
BEFORE THE CONCLUSION OF THE
LITIGATION.
When the discharge is without a valid cause and the
there is no express written agreement as to fees, the
lawyer may only be entitled to recover the
reasonable value of his services based on quantum
meruit. On the other hand, if the contract between a
client and his lawyer is in writing and the fee
stipulated is absolute and reasonable, the lawyer is
entitled to the full amount thereof.
When the discharge is for a cause, the attorney may
be deprived of his right to be paid for his services
only if his dismissal constitutes in itself a sufficient
legal obstacle to recovery. A mere honest difference
between the lawyer and his client is insufficient to
deny the lawyer of his right to be paid for his
services.
 
 
DISBARMENT, SUSPENSION AND
DISCIPLINE OF ATTORNEYS. (Rule 139 – B,
RRC)
Warning, Admonition And Reprimand
Distinguished:
   In Tobias vs. Veloso (100 SCRA 177), the SC
distinguished reprimand from warning and
admonition. It held that: “A warning, in ordinary
parlance, has been defined as an act or fact of
putting one on his guard against impending
danger, evil consequences or penalties, while an
admonition, refers to a gentle or friendly reproof,
mild rebuke, warning or reminder, counseling, on a
fault or error or oversight, an expression of
authoritative advice or ‘warning’. They are not
considered as penalties. A reprimand, on the other
hand, is of a mere severe nature, and has been
defined as a public and formal ensure or severe
reproof, administered to a person in fault by his
superior officer or a body to which he belongs. It is
more than just a warning or an admonition.
 
Censure—is an official reprimand [Black’s Law
Dictionary, 6th Ed., p.224]. Censure and reprimand
are synonymous.
 
            This is the temporary withholding of the
lawyer’s privilege to practice his profession for a
certain period, or for an indefinite period of time.
It is the act of the court in prohibiting an attorney
from practicing law for a definite period.
 
Disbarment, Concept:
            It is the act of the Philippine Supreme Court
in withdrawing from an attorney the privilege to
practice law. The name of the lawyer is stricken out
from the Roll of Attorneys. And he does not have
the right to put in his name even the prefix “Atty.”.
Neither can he sign pleadings even if he does not
personally appear in court.
 
  The power to punish for contempt and the
power to disbar are separate and distinct, and that
the exercise of one does not exclude the exercise of
the other (People vs.  Godoy, 243 SCRA 64).
 
Q:  Who has the power to
discipline errant lawyers?
A:  The Supreme Court has the full
authority and power to warn,
admonish, reprimand, suspend and
disbar a lawyer [Section 27, Rule
138, Revised Rules of Court].
   The Court of Appeals and the Regional Trial
Courts are also empowered to warn, admonish,
reprimand and suspend an attorney who appears
before them from the practice of law for any of the
causes mentioned in Section 27, of Rule 138, RRC.
But they cannot disbar a lawyer.
 
    An RTC Judge cannot summarily suspend a
lawyer as punishment for committing an indirect
contempt. That is not allowed under Section 6, Rule
71 of the Rules of Court (Balasbas vs. Aquilisan, 106
SCRA 489).
 
The inferior courts (MTCs) are not empowered even
just to suspend an attorney, although, they may cite
or hold a lawyer in contempt of court for
contemptuous acts.
 
   Justices of the Supreme Court however may not
be disbarred unless and until they shall have been
first impeached in accordance with the Constitution
(Cuenco vs. Fernan, 158 SCRA 29). The same is true
with the other impeachable officers who are
members of the bar.
 
   Power to discipline lawyers is judicial in nature
and can be exercised only by the courts. It cannot be
defeated by the legislative or executive departments
[7 C.J.S. 728].
 
Characteristics of disbarment proceeding:
1.  It is neither a civil nor criminal proceeding;
2.  Double jeopardy cannot be availed of in a
disbarment proceeding
3.   It can proceed regardless of interest or lack of
interest of the complainants, if the facts proven so
warrant;
4.   It can be initiated motu proprio by the Supreme
Court or the IBP. It can be initiated without a
complaint;
5.   It is imprescriptible;
6.   It is conducted confidentially being confidential
in nature until its final determination;
7.   It is itself due process of law;
8.   Whatever has been decided on a disbarment
case cannot be a source of right that may be
enforced in another action for reconveyance and
damages.
 
   The power to disbar attorneys must always be
exercised with great caution and only in clear cases of
misconduct which seriously affects the standing
and character of the lawyer as an officer of the court
and member of the bar. (Siervo vs. Infante, 73 SCRA
35).
In the last analysis, the lawyer’s good name is his
most important possession (Ibanez vs. Vina, 107
SCRA 607). The lawyer’s reputation is likened to a
plant of tender growth, and its bloom, once lost, is
not easily restored.
 
GROUNDS FOR SUSPENSION OR
DISBARMENT OF MEMBERS OF THE BAR
 
deceit;
malpractice, or other gross misconduct in office;
grossly immoral conduct;
conviction of a crime involving moral turpitude;
violation of oath of office;
willful disobedience of any lawful order of a
superior court;
Corrupt or willful appearance as an attorney for a
party to a case without authority to do so [Section
27, Rule 138, RRC].
 
Enumerated grounds are not exclusive.
Any gross misconduct of a lawyer, whether in his
professional or private capacity which puts his
moral character in serious doubt as a member of the
bar, will render him unfit to continue in the practice
of law.
 
  In the case Melendez vs. Decena[176 SCRA 662], it
was held that “gross misconduct on the part of the
lawyer, although not related to the discharge of
professional duties as a member of the Bar, which
puts his moral character in serious doubt, renders
him unfit to continue in the practice of law.
 
  In Re: Atty. Tranquilino Rovero, [92 PHIL 128], a
lawyer was convicted of smuggling. Later, a
disbarment case was filed against him. While he
admits his conviction, he sets up the defense that
the decision of conviction was not sufficient to
disqualify him from practice of law, because he
claims, he committed the act as an individual and not
in pursuance or in the exercise of his legal
profession. The SC disbarred him. Crime of smuggling
involves moral turpitude.
 
1. DECEIT — deceit assumes so many different
hues and forms that it is not possible to lay down a
rule to determine its presence in any given case.
Deceit may consist in a misrepresentation or in the
positive assertion of a falsehood, or in the creation
of a false impression by words or acts, or in any
trick or device.
 
As a general rule, in order to constitute
deceit, there must be a false representation as to a
matter of fact.
 
 
2. MALPRACTICE OR OTHER GROSS
MISCONDUCT IN OFFICE
 
Malpractice — it refers to any malfeasance or
dereliction of duty committed by a lawyer (Tan Tek
Beng vs. David, 126 SCRA 389).
 
 
Instances  of malpractice and gross misconduct:  
  Failure of a lawyer to appeal in allowing the
period of appeal to lapse;
  Failure of a lawyer to submit his client’s brief
within the reglementary period;
  Preparation by a notary public of a false
affidavit;
  Solicitation of cases either directly or indirectly
through paid agents or brokers;
 Abandonment of a client’s case;
  Delay in the filing of a client’s case;
  Notarizing a document without the affiant’s
presence;
  Notary public, who makes it appear in the jurat
of a contract that an affiant exhibited to him his  had an affair with a married woman. A child was
residence certificate when in fact he did not do so;
  Compromising a client’s case without authority;
  Notarizing documents after the lawyer’s
commission as notary public had expired;
  Representing conflicting interests;
  Encroaching upon the business of another
lawyer;
  Advertisement of a lawyer’s skill in a newspaper
or publication;
  Cooperating in illegal practice of law such as
formation of a partnership with a layman;
  Notarizing one’s own affidavit;
  Refusal to pay IBP dues;
  Practicing law despite the lawyer’s suspension
even if he refrained from using the word
“attorney”;
  Unwarranted obstinacy in evading payment of
debt.
 
3. GROSSLY IMMORAL CONDUCT — that
conduct which is willful, flagrant, or shameless, and
which shows a moral indifference to the opinion of
the good and respectable members of the
community [7 CJS 959; Arciga vs Maniwang, 106
SCRA 594].
 
Q:   Is the sexual intimacy of a male
lawyer with a woman not his wife
or without the benefit of marriage
grossly immoral per se?
A:   NO. It has been held that mere
intimacy between a lawyer and a
woman who, with no impediment to
marry each other, voluntarily
cohabited and had two children is
neither so corrupt as to constitute a
criminal act nor so unprincipled as
to warrant disbarment or
disciplinary action against the man
as a member of the bar ( Arciga vs.
Maniwang, 106 SCRA 591).
 
  In Radaza vs. Tejano [106 SCRA 246], the
respondent lawyer was 28 years of age and the
complainant woman was 30 years of age. They had
been having sexual intimacy but the lawyer married
another woman. There was no finding of gross
immorality. The case is a product of indiscretion
between two consenting adults.
 
  But it is not immoral by Muslim standard for a
Muslim judge to have a second wife (Sulu Islamic
Ass., Etc. vs. Malik, 226 SCRA 193).
 
   In Marcayda vs. NAz, [125 SCRA 466], the lawyer
born as a result of the affair. For the reason that the
lawyer admitted the paternity of the child and
agreed to support him, this circumstance has
rendered the immorality not so gross and
scandalous.
 
4. CONVICTION OF A CRIME INVOLVING
MORAL TURPITUDE
 
Moral Turpitude — the term “moral turpitude”
means anything which is done contrary to justice,
honesty, modesty, or good morals, or to any act of
vileness, baseness or depravity in the private and
social duties that a man owes his fellowmen or to
society, contrary to the accepted rule of right and
duty between man and man. In general, all crimes
of which fraud or deceit is an element or those
which are inherently contrary to rules of right
conduct, honesty or morality in a civilized
community, involve moral turpitude.
 
Instances of offenses involving moral turpitude:
 
      estafa or swindling
      falsification of public document
      bribery
      murder
      bigamy
      abduction
      seduction
      concubinage
      violation of BP 22
 
In a disciplinary proceeding against a
lawyer based on his conviction of a crime involving
moral turpitude, the sufficiency or legality of the
conviction is no longer at issue even if the lawyer
asserts that the judgment is a judicial error. The
judgment of conviction is no longer reviewable, that
being after its finality a closed matter. The only
issue before the court is whether or not the crime of
which he was found guilty actually involves moral
turpitude. Suspension from practice or removal
from office may follow as a matter of course upon a
finding that the crime of which the lawyer was
found guilty by final judgment involves moral
turpitude. For by his conviction, the lawyer himself
has shown that he is unfit to protect the
administration of justice or that he is no longer of
good moral character, either of which justifies his
suspension or disbarment.
 
5. VIOLATION OF OATH OF OFFICE:
 
The Attorney’s oath is a condensed Code of
Ethics. It is not just a mere formality recited for a
few minutes in the glare of flashing cameras and
before the presence of select witnesses (In Re:
Arthur Cuevas, Jr., 285 SCRA 63).
 
It is a rather solemn affirmation of the
lawyer’s lifetime commitment to be a loyal citizen, a
law- abiding person, a defender of truth and justice,
and advocate of the rule of law, an exemplar of
loyalty and fidelity to the courts and to clients and a
model to emulate both in his professional and
private life.
 
       The violation of Oath is a ground for
suspension or disbarment [Rule 138, section 27,
RRC].
6. WILFUL DISOBEDIENCE OF ANY LAWFUL
ORDER OF A SUPERIOR COURT:
 
The resistance or defiance to the Court must be
willful.
    Thus, a lawyer who is directed to do something
, such as to surrender records, to appear as counsel
de oficio, to comment on a matter pending in Court,
may be disciplined for willful disobedience of the
order (Marcelo vs. CA, March 15, 1995).
 
7. CORRUPT OR WILLFUL APPEARANCE FOR
A CLIENT WITHOUT BEING EMPLOYED:
 
   It is prohibited for a lawyer to appear for a
person in court without being hired or employed,
unless, there is leave of court first obtained. Thus, a
lawyer was suspended from the practice of law in
appearing for a party defendant without authority
(see Porac Trucking Corporation vs. CA, 202 SCRA
647).
                                               
DISBARMENT OR SUSPENSION OF A
FILIPINO LAWYER IN A FOREIGN COUNTRY;
EFFECT IN THE PHILIPPINES :
 
            A member of the Philippine Bar may also be
admitted to the practice of law in a foreign country
especially in the United States .
            If the Filipino lawyer is disbarred or
suspended from the practice of law by a competent
court or disciplinatory agency in a foreign
jurisdiction where he has been admitted as an
attorney, and the ground therefore includes any of
the acts enumerated in section 27, Rule 138 of the
Revised Rules of Court, such disbarment or
suspension is a ground for his disbarment or
suspension in the Philippines.
            The judgment, resolution or order of the
foreign court or disciplinatory agency shall be
prima facie evidence of the ground for disbarment
or suspension [Supreme Court Resolution dated 21
February 1992 amending section 27, Rule 138 of the
Revised Rules of Court]. 
 
Proceedings for the disbarment, suspension and
discipline of lawyers may be taken motu proprio by
the Supreme Court, or by the Integrated Bar of the
Philippines . (Rule 139 – B, sec. 1)
 
A. Proceedings in the IBP. (Rule 19 – B)
Step 1.
The IBP may, motu proprio, or upon referral
by the Supreme Court or any Chapter Board of
Officers, or at the instance of any person, initiate
and prosecute proper charges against erring
attorneys, including those in the government
service, except Justices of the CA and
Sandiganbayan, judges of the CTA and lower
courts, even if lawyers are jointly charged with
them. In the latter case, the complaint shall be filed
with the Supreme Court including those filed prior
to their appointment. (Sec. 1)
 
Step 2.
The IBP Board of Governors shall appoint
an investigator from among IBP members or, when
special circumstances warrant, a panel of 3
investigators.
 
Step 3.
The investigator or investigators shall
examine the complaint.
 
Step 4.
If the complaint appears to be meritorious
the investigator/s shall send a copy of the
complaint to the respondent which shall be given 15
days from receipt thereof to reply.
If the complaint appears or if the Answer shows to
the satisfaction of the Investigator that the same is
not meritorious, the complaint may be dismissed by
the IBP BG upon his recommendation. The order
may be appealed to the Supreme Court within 15
days from notice.
 
NOTE:
No investigation shall be interrupted or
terminated by reason of the desistance, settlement,
compromise, restitution, withdrawal of the charges,
or failure of the complainant to prosecute the same.
(sec. 5)
Step 5.
Upon joinder of the issues or failure of the
respondent to respond, the investigator shall
proceed to investigate the facts complained of. The
proceedings shall terminate within 3 months from
the date of its commencement.
            He shall have the power to issue subpoenas
and administer oaths. Willful failure or refusal to
obey a subpoena or lawful order issued by the
investigator shall be dealt with as for an indirect
contempt after the IBP BG shall have conducted a
hearing for that matter and filed its
recommendation to the Supreme Court.
 
NOTE:
Upon receipt of respondent’s Answer or
upon his failure to file the same, the Supreme Court
may suspend the respondent during the pendency
of the investigation at the instance of the IBP Board
of Governors upon recommendation of the
investigator for any of the causes mentioned under
Rule 138, sec.27. (sec. 15)
 
Step 6.
Not later than 30 days from the termination
of the investigation, the investigator shall submit
his report to the IBP BG containing his findings of
facts and his recommendation (disbarment,
suspension, etc.).
Step 7.
The report of the investigator shall be
reviewed by the Board of Governors which shall
forthwith decide the case, clearly and distinctly
stating the facts and reasons upon which it is based.
 
Step 8.
If the IBP BG, via a majority vote of its total
membership, determines that the respondent
should be suspended or disbarred, the BG shall
issue a resolution containing its findings and
recommendations which shall be forthwith
transmitted to the Supreme Court for final action.
If the respondent is exonerated, or if the
sanction is lower than suspension or disbarment
(i.e. fine, warning, etc.), the case shall be deemed
terminated unless the complainant or any interested
person, files an appeal to the Supreme Court within
the reglementary period of 15 days.
 
NOTE:
Proceedings against attorneys shall be private and
confidential. However, the final order of the
Supreme Court shall be published like its decisions
in other cases. (Sec.18)
 
B. Proceedings in the Supreme Court. (Rule 19 – B)
Step 1.
Proceedings for disbarment, suspension or
discipline of attorneys may be initiated by the
Supreme Court motu proprio.
Complaints against Justices of the CA and
Sandiganbayan, judges of the CTA and lower courts
shall be filed only with the Supreme Court
including those filed prior to their appointments in
the judiciary. (Section 1)
 
Step 2.
The SC shall refer the case either to the
Solicitor General or any officer of the SC or judge of
the lower court for investigation and
recommendation.
 
If the respondent is a judge of first instance
and the charges or if the Answer thereto shows to
the satisfaction of the court that it does not merit
any action, the same shall be dismissed. Otherwise,
if the complaint appears to be meritorious, he shall
be required to file his Answer within 10 days. (Rule
140, sec.2)
Upon filing of respondent’s answer or his
failure to file the same, the court shall appoint any
one of its members, or a justice of the CA, or a judge
of first instance, to conduct hearings of the charges.
(Rule 140, sec.3)
 
Step 3.
The SG or other investigator appointed by
the SC shall forthwith conduct the necessary
investigation of the facts complained of.
  The justice or judge so assigned shall
conduct the necessary hearings.
 
Step 4.
The SG or other investigators assigned,
shall submit its report, containing its findings of
facts and recommendation, to the Supreme Court
for final action.
 
The justice or judge so assigned shall
submit his report of his findings of facts and
conclusions of law, accompanied by the evidence of
the parties, for final action of the Supreme Court.
(Rule 140, sec.4)
 
 
JUDICIAL ETHICS
 
JUDICIAL ETHICS
             It is a branch of moral science which treats
of the rights and proper conduct to be observed by
all judges and magistrates in trying and deciding
controversies brought to them for adjudication
which conduct must be demonstrative of
impartiality, integrity, competence, independence
and freedom from improprieties. The freedom from
improprieties must be observed even in the judge’s
private life.
 
Sources of Judicial Ethics
a)   1987 Constitution (Arts. VIII, Art. XI and Art.
III)
b)   Civil Code (Arts. 9, 20, 27, 32, 35, 739, 1491,
2005, 2029 to 2035 & 2046)
c)    Rules of Court (Rules 71, 135, 137, 139-B and
140)
d)   Revised Penal Code (Arts. 204, 205, 206 & 207)
e)   Anti-Graft and Corrupt Practices Act (RA 3019)
f)    Canons of Judicial Ethics, August 1, 1946
g)   Code of Judicial Conduct, September 5, 1989
h)   Code of Judicial Conduct, October 20, 1989
i)    Code of Professional Responsibility
j)    New Code of Judicial Conduct for the
Philippine Judiciary, April 27, 2004
 
Qualifications of Judges
A.  No person shall be appointed Member of the
Supreme Court or any lower collegiate court unless
he is a natural-born citizen of the Philippines . A
Member of the Supreme Court must be at least
forty years of age, and must have been for fifteen
years or more a judge of a lower court or engaged
in the practice of law in the Philippines .
      The Congress shall prescribe the
qualifications of judges of lower courts, but no
person may be appointed judge thereof unless he is
a citizen of the Philippines and a member of the
Philippine Bar.
      A Member of the Judiciary must be a
person of proven competence, integrity, probity,
and independence. (Sec. 7, Art. VIII, 1987
Constitution)
B. No person shall be appointed Shari'a District
judge unless, in addition to the qualifications for
judges of Courts of First Instance fixed in the
Judiciary Law, he is learned in Islamic law and
jurisprudence. (Art. 140, P.D. No. 1083 known as
the Code of Muslim Personal Laws)
 
Definition of Terms:
a) Court – a board or other tribunal which decides a
litigation or contest.
b) Judge – a public officer who by virtue of his
office is clothed with judicial authority. A public 
officer lawfully appointed to decide litigated
questions in accordance with law.
c) De Jure Judge – one who is exercising the office
of judge as a matter of right; an officer of a court
who has been duly and legally elected or appointed.
d) De Facto Judge – a judge who in good faith
continued to act and is recognized by common error
after the abolition of his court by statute is deemed
a judge de facto of the new court which succeeds to
the jurisdiction of that presided over by him.
 
CODE OF JUDICIAL CONDUCT
 
An honorable, competent and independent
judiciary exists to administer justice and thus
promote the unity of the country, the stability of
government, and the well – being of the people.
(Preamble)
Therefore, every judge is duty – bound to observe
the following:
 
1.   TO UPHOLD THE INTEGRITY AND
INDEPENDENCE OF THE JUDICIARY. (Canon 1)
 
As part of this duty, a judge should be:
  The embodiment of competence, integrity, and
independence. (Rule 1.01);
 
   Upon his assumption in office, a judge ceases to
be an ordinary mortal. He becomes the visible
representation of the law, and more importantly, of
justice. (Office of the Court Administrator vs. Gines,
224 SCRA 261)
    No position exacts greater demand on moral
righteousness and uprightness of an individual
than a seat in the judiciary. A magistrate of the law
must comport himself at all times in such manner
that his conduct, official or otherwise, can bear the
most searching scrutiny of the public that looks up
to him as the epitome of integrity and justice.
(Lachica vs. Flordeliza, 254 SCRA 278)
 
     Administer justice impartially and without
delay. (Rule 1.02);
 
   He Is a judge who is a man of learning who
spends tirelessly the weary hours after midnight
acquainting himself with the great body of
traditions and the learning of the law. He bears
himself in the community with friends but without
familiars; almost lonely, evoking himself
exclusively to the most exacting mistress that a man
ever had, the law as a profession in its highest
reaches where he not only interpose the law but
applies it, fearing neither friend nor foe, fearing
only one thing in the world – that in a moment of
abstraction, or due to human weakness, he may in
fact commit some errors and fail to do justice.
(Estoya vs. Abraham – Singson, 237 SCRA 1)
 
    Vigilant against any attempt to subvert the
independence of the judiciary and resist any
pressure from whatever source. (Rule 1.03)
    The behavior of a judge, such as his acceptance
of a bribe, holding office and conducting hearings at
his residence, falsification of his daily time record,
failure to observe proper decorum in conducting
court proceedings, his intemperate language, shows
beyond doubt his unfitness to occupy the position
of a judge. (Villa vs. Amonoy, 194 SCRA 48)
2.   TO AVOID IMPROPRIETY AND THE
APPEARANCE OF THE IMPROPRIETY IN ALL
ACTIVITIES. (Canon 2)
 
   A judge should so behave at all times as to
promote public confidence in the integrity and
impartiality of the judiciary. (Rule 2.01)
   Members of the judiciary should conduct
themselves beyond reproach and suspicion, and be
free from any appearance of impropriety in their
personal behavior not only in the discharge of their
official duties but also their everyday life. (Calo, Jr.
vs. Tapucar, 88 SCRA 78)
 
A judge should also avoid the following:
    Seeking publicity for personal vainglory. (Rule
2.02)
 
He should not be swayed by public clamor or
considerations of personal popularity.
 
     Allowing family, social, or other relationships
to influence judicial conduct or judgment. The
prestige of judicial office shall not be used or lent to
advance the private interests of others, nor convey
or permit others to convey the impression that they
are in a special position to influence the judge. (Rule
2.03)
 
   A judge should not allow himself to be
influenced by outside pressure to decide a case in a
particular way, or to be moved by pride, prejudice,
passion or pettiness in the performance of his
official functions. (Nadijrul Tahil vs. Eisma, 65 SCRA
378, Borja vs. Macandog, 158 SCRA 391)
 
    Influencing in any manner the outcome of
litigation or dispute pending before another court
or administrative agency. (Rule 2.04)
 
    In every litigation, the manner and attitude of a
judge are crucial to everyone concerned. He should,
in the performance of his functions, avoid side
remarks, hasty conclusions, loose statements or
gratuitous utterances that could form the basis for
erroneous impressions in the mind of those who
hear them and who may conclude that he is
prejudicing the case or the issues that come before
him in the exercise of his jurisdiction. (Castillo vs.
Juan, 62 SCRA 124)
 
 
3.   A JUDGE SHOULD PERFORM OFFICIAL
DUTIES HONESTLY, AND WITH IMPARTIALITY
AND DILIGENCE. (Canon 3)
 
As part of this duty, a judge has the following
ADJUDICATIVE RESPONSIBILITIES:
 
    Should be faithful to the law and maintain
professional competence. [Rule 3.01]
    Those who wield the judicial gavel have the
duty to study our laws and their latest wrinkles—
they owe it to the public to be legally
knowledgeable for ignorance of the law is the
mainspring of injustice. [Bio vs. Valera , 257 SCRA
462].
 
    In the case Exequiel Domingo vs. Judge Luis Reyes
[ June 21,1999 ] the Supreme Court held that judges
are expected to keep abreast of developments in law
and jurisprudence. The SC does not countenance
respondent judge’s failure to inform himself of
recent jurisprudential rules. His error, while an
honest one and committed for the purpose of
achieving the ends of justice, must never happen
again. Respondent judge was reprimanded for
IGNORANCE OF THE LAW.
 
    In every case, he shall endeavor diligently to
ascertain the facts and the applicable law unswayed
by partisan interest, public opinion or fear of
criticism. [Rule 3.02]
 
    A judge should be studious of the principles of
the law and diligent in ascertaining the facts of the
case (Parada vs. Veneracion, 269 SCRA 371).
    Judges should draw up their decisions and
resolutions with due care and make certain that
they truly and accurately reflect their conclusions
and their final dispositions (Saballa vs. NLRC, 260
SCRA 697).
.
    Shall maintain order and proper decorum in
the court [Rule 3.03].
 
   On the dress code, it is impropriety for a judge
to hear a case in sleeveless shirts and slippers
(Impao vs. Makilala, 178 SCRA 541) or attired in
“polo jacket”(Ignacio vs. Valenzuela, 111 SCRA 12) or
to hold office in his residence and not in his court
room (Espayo vs. Lee, 89 SCRA 478;Impao vs
Makilala,supra).
 
   The judge should not tolerate unauthorized
taking of pictures of the court proceedings. No
video shots or photographs shall be permitted
during the trial proper. (Res. En Banc, Oct.22, 1991,
Re: Live TV & Radio Coverage, Hearing of Pres.
Corazon Aquino’s Libel case).
 
    A judge should at all times, remain in full
control of the proceedings in his sala and should
adopt a firm policy against improvident
postponements—more importantly, he should
follow the limit set for deciding cases (Hernandez vs.
De Guzman, 252 SCRA 64).
 
    Should be patient, attentive, and courteous to
lawyers, especially the inexperienced, to litigants,
witnesses, and others appearing before the court. A
judge should avoid unconsciously falling into the
attitude of mind that the litigants are made for
courts, instead of the courts to the litigants. [Rule
3.04]
 
    Judges should practice courtesy and civility
(Retuya vs. Equipilag, 91 SCRA 416)
 
    Judges should avoid indiscreet remarks
(Juqueta vs. Boncaros, 60 SCRA 27)
 
    Should dispose of the court’s business
promptly and decide cases within the required
periods. (Rule 3.05)
 
Purpose of the rule:
The rule is intended to implement the provision of
the constitution which makes it the judge’s duty to
decide cases promptly, and to give parties to a suit
the enjoyment of their right to the speedy
disposition of their cases.
A judge should be prompt in disposing of all
matters submitted to him remembering that justice
delayed is often justice denied.
 
   Upon proper application and in meritorious
cases, especially those involving difficult questions
of law or complex issues, the Supreme Court allows
lower court judges additional time to decide
beyond the 90-day period (Celino vs. Abrogar, 245
SCRA 304).
 
   In the case Municipality of Jimenez vs. Baz, Jr, 265
SCRA 182, it was held that the failure of a court to
decide within the period prescribed by law does not
divest it of its jurisdiction to decide the case but
only makes the judge thereof liable for possible
administrative sanction.
 
Judges should not dismiss with precipitate haste,
complaints or petitions filed before them just so
they can comply with the administrative duty to
dispose cases within 90 days at the expense of their
judicial responsibility.
 
    While a judge may, to promote justice, prevent
waste of time or clear up some obscurity, properly
intervene in the presentation of evidence during the
trial, it should always be borne in mind that undue
interference may prevent the proper presentation of
the cause or the ascertainment of the truth. (Rule
3.06)
 
    In People vs. Adora, 275 SCRA 441, it was held
that under our system of legal procedure where he
is judge of both the law and the facts, it is often
expedient or even necessary in the due and faithful
administration of justice for the presiding judge, in
the exercise of sound discretion, to question a
witness in order that his judgment may rest upon a
full and clear understanding of the clarificatory
facts.
  In the case People vs. Gondora, 265 SCRA 408, it
was held that judges are not mere referees like of a
boxing bout, only to watch and decide the result of
the game; they should have as much interest as
counsel in the orderly and expeditious presentation
of evidence, calling of the attention of counsel to
points at issue that are overlooked, directing them
to ask questions that would elicit the facts on the
issues involved, clarifying ambiguous remarks by
witness, etc.
  In People vs. Castillo, April 20, 1998 , it was held
that: It is the prerogative and duty of the judge to
ask clarificatory questions to ferret out the truth.
Questions which merely clear up dubious points
and bring out additional relevant evidence are
within judicial prerogative.
 
    Should abstain from making public comments
on any pending or impending case and should
require similar restraint on the part of court
personnel. (Rule3.0 7)
 
Reason:
There is danger in the fact that the judges are
among the quotable public officials by reason of
their exalted position. And the media, many times,
misquote people, wittingly or unwittingly. What is
worse, in great probability, the judge may express a
prejudgment of the case and that makes it difficult
for him to change his opinion in the decision
without impairing his credibility. An impaired
credibility cannot project any image of impartiality.
And prejudgment is a ground for the inhibition of
the judge in a case. Thus, in exposing himself to an
attack of inhibition, he merely serves to delay the
administration of justice.
The judge is in a no-win situation.
 
 
The following are the ADMINISTRATIVE
RESPONSIBILITIES of a judge:
 
   Maintain professional competence in court
management, and facilitate the performance of the
administrative functions of other judges and court
personnel. (Rule 3.08)
 
The judge is the administrator of his court. He is
responsible for the administrative management
thereof. He supervises the court personnel to ensure
prompt and efficient dispatch of business in his
court. It is an undesirable trait for a judge to be
lenient in the administrative supervision of his
employees.
   Organize and supervise the court personnel to
ensure the prompt and efficient dispatch of
business, and require at all times the observance of
high standards of public service and fidelity. (Rule
3.09)
 
Loss of records is an indication of gross negligence
for which the judge could be dismissed from the
service. The only excuse is loss due to fortuitous
event.
A judge cannot take refuge behind the inefficiency
of court personnel because the latter are not the
guardians of the judge’s responsibilities.
 
   Take or initiate appropriate disciplinary
measures against lawyers or court personnel for
unprofessional conduct of which the judge may
have become aware. (Rule 3.10)
 
A judge may not summarily suspend a
lawyer from indirect contempt.
            Although a judge has the power to
recommend for appointment court personnel,
however, he has no power to dismiss them. The
power to dismiss a court employee is vested in the
Supreme Court.
 
Q:   Judge EJ failed to act on a
motion to dismiss a case. He
contends that the delay was
brought about by the failure of his
staff to present to him the ex-parte
motion to resolve. Is the contention
of Judge EJ valid?
A:   NO. A judge cannot take refuge
behind the inefficiency or
mismanagement by court personnel.
Proper and efficient court
management is as much as his
responsibility. It is also his duty to
organize and supervise the court
personnel to ensure the prompt and
efficient dispatch of business.
 
  The CA or RTC may suspend an attorney who
appears before them from practice for any of the
causes named in Rule 138, sec. 27 RRC, until further
action of the Supreme Court. (Rule 139 – B, sec. 16.)
But they cannot disbar a lawyer.
 
    Appoint commissioners, receivers, guardians,
administrators and others strictly on the basis of
merit and qualifications, avoiding nepotism and
favoritism. Unless otherwise allowed by law, the
same criteria should be observed in recommending
appointment of court personnel. Where the
payment of compensation is allowed, it should be
reasonable and commensurate with the fair value of
services rendered. (Rule 3.11)
 
   Nepotism is a grave offense punishable by
dismissal (Sulu Islamic Association, Etc. vs. Malik, 226
SCRA 193).
 
    Any public officer who shall knowingly
nominate or appoint to any public office any person
lacking the legal qualification thereof shall be guilty
of unlawful appointment punishable with
imprisonment and fine (Art.244, Revised Penal Code).
 
DISQUALIFICATIONS
A judge should take no part in a proceeding where
the judge’s impartiality might reasonably be
questioned.
 
Grounds for disqualification  
(a)  personal knowledge of disputed evidentiary
facts concerning the proceeding;
 
(b) The judge served as executor, administrator,
guardian, trustee or lawyer in the case or matters in
controversy, or a former associate of the judge
served as counsel during their association, or the
judge or lawyer was a material witness therein;
 
(c) The judge’s ruling in a lower court is the subject
of review;
 
(d) The judge is related by consanguinity or affinity
to a party within the sixth degree or to counsel
within the fourth degree;
 
(e) The judge knows that the judge’s spouse or child
has a financial interest, as heir, legatee, creditor,
fiduciary, or otherwise, in the subject matter in
controversy or in a party to the proceeding, or any
other interest that could be substantially affected by
the outcome of the proceeding.
 (f)   Other just and valid reasons, in the exercise of
his sound discretion. (Rule 137, sec. 1 RRC)
 
In every instance the judge shall indicate
the legal reason for inhibition. (Rule 3.12)
 
   But a judge may still hear the case
notwithstanding the presence of the any of the
foregoing grounds as long as it has the written
consent of all parties in interest , signed by them
and entered upon the record. (see Rule 137, sec. 1)
 
Rationale behind the rule on disqualification:
  The underlying principle of the rule for the
disqualification of judges is that no judge should
preside in a case in which he is not wholly free,
disinterested, impartial, and independent.
 
A Judge, Who Testified In The Case Before He
Was Appointed, Is Not Necessarily Disqualified.
  The fact that the judge, when still a clerk of
court, testified for the prosecution in regard to
certain facts directly connected with or arising from
the performance of his official duties as clerk of
court, without any reference to or pronouncement
as to the innocence or guilt of the accused, does not
render him legally disqualified from sitting and
deciding the case (Maliwat vs. CA, 256 SCRA 718).
 
   In Evangelista vs. Baes, the judge was
reprimanded for hearing a case where his nephew-
in-law acted as counsel for one of the parties.
 
    In Ubarra vs. Mapalad (1993), the judge was
DISMISSED in not inhibiting herself from the
criminal case where her BROTHER-IN-LAW was
the accused and whom she acquitted.
 
    Similarly, a judge was dismissed for taking
cognizance of his BROTHER’S case (Garcia vs. Dela
Pena, 229scra766).
 
    The judge who conducted a preliminary
investigation and issued a warrant of arrest against
the accused should have inhibited himself from the
case considering that the complainant is his
nephew. (Perez vs. Suller, 249 SCRA 482).
 
   The judge should have inhibited herself from
the case of her grandson, who seeks to correct the
entry in his birth certificate, his citizenship from
“Filipino” to “American”, even if the judge has no
pecuniary interest in the case (Villaluz vs. MIjares,
April 3, 1998).
 
   Mere friendship between a judge and counsel is
NOT a ground for disqualification (Vda. De
Bonifacio vs. BLT Bus. Co.). However, if there is a
natural inclination to prejudice the case, the judge
should be disqualified in order to guarantee fair
trial (Masadao vs. Elisaga, 155 scra72).
Q:   When should a petition for
disqualification be filed?
A:  A petition to disqualify a judge
must be filed before rendition of
judgment by the judge (Lao vs. CA,
April 18, 1997).
      It must be presented to him for
his determination. It cannot be raised
for the first time on appeal (supra).
 
The rule on disqualification (Sec. 1
Rule 137, Rules of Court) is
MANDATORY—strict compliance
with the rule on disqualification is
required.
 
Q:   What is the remedy of the
prejudiced party if the judge denies
petition for disqualification?
A:   The remedy of the prejudiced
party is to seek for a new trial.
 
  Mere divergence of Opinion as to applicable
Laws and Jurisprudence between a judge and
party’s counsel is NOT a ground for
disqualification. (Parades, Jr. vs. Sandiganbayan, 252
SCRA 541).
 
   Mere filing of Administrative case against a
judge by one of the parties before him is not a
ground for disqualifying him from hearing a case
(Mantaring vs. Roman, Jr., 254 SCRA 158).
 
            If a judge disqualified himself, the order of
self-disqualification CANNOT be reviewed or
annulled by the judge to whom the case was
transferred. However, the appellate court can
review the order if elevated to it.
 
PROHIBITION AGAINST JUDGES
1.  Engaging in private practice of law
2.  Permitting a law firm of which he was a formerly
active member to continue carrying his name in the
firm.
3.   Entering in private business.
4.   Accepting inconsistent duties.
5.  Giving ground for reasonable suspicion that he is
utilizing power or prestige to patronize success of
private business ventures or charitable enterprises.
6. Incurring obligations, pecuniary or otherwise,
which will interfere with his devotion to
expeditious & proper administration of official
functions.
 
GROUNDS FOR ADMINISTRATIVE
SANCTIONS AGAINST JUDGES:[Section 1, Rule
140, Revised Rules of Court]
 
1. Serious misconduct
2. Inefficiency
 
Misconduct -- Implies malice or a wrongful intent,
not a mere error of judgment. For serious conduct
to exist there must be reliable evidence showing
that the judicial acts complained of were corrupt or
inspired by an intention to violate the law or were
in persistent disregard of well- known legal rules.
 
Inefficiency – Implies negligence, incompetence,
ignorance and carelessness. A judge would be
inexcusably negligent if he failed to observe in the
performance of his duties that diligence, prudence
and circumspection which the law requires in the
rendition of any public service.
 
   In Re; Leaves Of Absence Without Approval Of
Judge Eric Calderon [A>M> 98-8-105 MTC, January
26, 1999] – Judge Calderon was found guilty of
gross misconduct, abandonment of office and was
dismissed due to his frequent leave of absence
totaling to 3 years which were not approved and his
explanations were inexcusable. He has caused great
disservice to many litigants and has denied them
speedy justice.
 
    In the case of In Re: Judge Danilo [255 SCRA 184]
– The failure of a judge to decide even a single case
within the 90-day period was considered gross
inefficiency warranting the imposition of fine
equivalent to his one month’s salary.
   To constitute gross ignorance of law, the acts
complained of must not only be contrary to existing
law and jurisprudence, but were motivated by bad
faith, fraud, dishonesty and corruption. But, when
the law is so elementary, not to be aware of it
constitutes gross ignorance of law. (see Espino vs.
Salubre, 352 SCRA 668, [2001])
Q: A judge figured in a vehicular
accident alighted from his car and
boxed EJ. Is the judge guilty of any
misconduct even not in the
performance of his duties?
A:   YES. The judge is guilty of
misconduct. His personal behavior,
not only while in the performance of
official duties but also outside the
court, must be beyond reproach, for
he is, as he is aptly perceived to be,
the visible personification of law &
justice. [Marcelino vs. Judge Singson].
 
Q:   What is the effect of the
resignation or retirement of a judge
when there is an administrative
case against him?
A:   The retirement or resignation of
a judge may or may not render the
administrative complaint moot &
academic. Each case will be
determined according to its
surrounding circumstances.
 
  According to Pesolo vs. Rodriguez [81 SCRA 208],
the acceptance by the President of the resignation
does not necessarily render the case moot or
deprive the SC of the authority to investigate the
charges.  The court retains its jurisdiction either to
pronounce the respondent official innocent of the
charges or declare him guilty thereof. A contrary
rule will be fraught with injustice and pregnant
with dreadful and dangerous implications.
 
Q: Will an administrative case
against a judge be dismissed by the
withdrawal by or desistance of the
complaint?
A:  NO. In the case of Anguluan vs.
Taguba [93 SCRA 179], the
withdrawal of the case by the
complainant or the filing of an
affidavit of desistance or the
complainant’s loss of interest does
not necessarily cause the dismissal
thereof.
Reason:  to condition administrative
sanctions upon the will of every
complainant who for one reason or
another condones a detestable act is
to strip the SC of its supervisory
power to discipline erring members
of the judiciary.
Q:  What is the nature of
administrative proceedings against
judges?
A:   Just like disbarment proceedings
against lawyers, proceedings against
judges are private and confidential
until the final determination thereof
[Sec. 6, Rule 140 of the Rules of Court].
This is to protect their reputation, for
it is possible that the cause or
charges may be unfounded and
malicious. Once the reputation of a
judge is impaired or stained, the
people will lose their trust and
confidence on his integrity and
impartiality. Ultimately, it is the
administration of justice that suffers.
 
“REMITTAL OF DISQUALIFICATION” 
RULE:
A judge disqualified by the terms of Rule
3.12 may, instead of withdrawing from the
proceeding, disclose on the record the basis of
disqualification. If, based on such disclosure, the
parties and lawyers independently of the judge’s
participation all agree in writing that the reason for
the inhibition is immaterial or insubstantial, the
judge may then participate in the proceeding. The
agreement, signed by all the parties and lawyers,
shall be incorporated in the record of the
proceeding. [Rule 3.13]
 
  In the case Gutang vs. CA, July 8, 1988 , It was
held that: “At the very first sign of lack of faith and
trust in his actions, whether well grounded or not,
the judge has no other alternative but to inhibit
himself from the case.
 
Q:  What is the effect of the judge’s
inhibition?
A: After the judge inhibits himself
from a case, he loses jurisdiction
over said case [Alcantara vs. Tamin,
RTJ-95-1305, April 21, 1995 ].
 
 
4.   A JUDGE MAY, WITH DUE REGARD TO
OFFICIAL DUTIES ENGAGE IN ACTIVITIES TO
IMPROVE THE LAW, THE LEGAL SYSTEM AND
ADMINISTRATION OF JUSTICE. (Canon 4)
 
  A judge may, to the extent that the following
activities do not impair the performance of judicial
duties or cast doubt on the judge’s impartiality:
 
a.   Speak, write lecture, teach or participate in
activities concerning the law, the legal system and
the administration of justice;
b.   Appear at a public hearing before a legislative or
executive body on matters concerning the law, the
legal system or the administration of justice and
otherwise consult with them on matters concerning
the administration of justice;
c.   Serve on any organization devoted to the
improvement of law, the legal system or the
administration of justice. [Rule 4.01]
If the foregoing activities will impair the efficiency
of the judge in the performance of his judicial duties
or will affect his image of impartiality as a judge,
then the judge must not engage in such activities.
Ultimately, the decision to engage in the
aforementioned activities will depend upon the
sound judgment of the judge as he is in the best
position to know his ability, competence and
weaknesses.
5.   A JUDGE SHOULD REGULATE
EXTRAJUDICIAL ACTIVITIES TO MINIMIZE
THE RISK OF CONFLICT WITH JUDICIAL
DUTIES. (Canon 5)
  A judge may engage in the following activities
provided that they do not interfere with the
performance of judicial duties or detract from the
dignity of the court:
a)      Write, lecture, teach and speak on non-legal
subjects;
b)      Engage in the arts, sports, and other special
recreational activities;
c)       Participate in civic and charitable activities;
d)      Serve as an officer, director, trustee, or non-
legal advisor of a non-profit or non-political,
educational, religious, charitable, fraternal, or civic
organization. [Rule 5.01]
 
  In Office Of the Court Administrator vs. Judge
De Guia, March 1,1993, it was held that: “ Judge De
Guia would be present in her sala and conduct
hearings only 3 and a half days in a week, from
Monday to Thursday.
       We can empathize with Judge de Guia’s urge to
be with her family in their home in Paranaque
which is quite some distance from her detail in
Balanga, Bataan . Yet, we must remind her and all
judges in the same situation that when one accepts
his or her appointment as a member of the
judiciary, he or she embraces all the responsibilities
attached to that office. One of these responsibilities
is to render 8 hours of service every working day, 5
hours of which are devoted to trial. As a judge and
as a public officer duty-bound to render public
service, nothing less is expected of Judge de Guia.
Indeed, Canon 5 of the Code of Judicial Conduct
explicitly states that “a judge should regulate
extrajudicial activities to minimize the risk of
conflict with judicial duties”.
 
Judges cannot serve as officers and advisers of
political aggrupations and organizations
established for profit.
While judges may participate in civic and charitable
activities, they are not allowed to solicit donations
for such activities.
 
  A judge cannot even solicit donations for office
equipment and furniture from entities and private
citizens. This is misconduct violative of the proper
norm of judicial behavior (Lecaroz vs. Garcia, 107
SCRA 557).
   A judge shall refrain from financial and
business dealings:
 
a)   That tend to reflect adversely on the court’s
impartiality;
b)    That interfere with the proper performance
with judicial activities;

c)     That increase involvement with lawyers or
persons likely to come before the court.
 
  A judge should so manage investments and
other financial interests as to minimize the number
of cases giving grounds for disqualification. [Rule
5.02]
 
   Subject to the provisions of the proceeding rule,
a judge may hold and manage investments but
should not serve as an officer, director, advisor, or
employee of any business except as director of a
family business of the judge. [Rule 5.03]
 
   In Re: Inhibition of Judge Estrada, July 29,1998, A
judge was found guilty of misconduct for not
resigning as Director of a rural bank when
appointed as judge, which is a violation of circular
no. 6, dated June 10,1987.
PROHIBITION AGAINST ACCEPTING GIFTS,
DONATIONS OR LOANS
   A judge or any immediate member of the family
shall not accept a gift, bequest, favor or loan from
anyone except as may be allowed by law. [Rule 5.04]
 
Bribery; Direct or Indirect:
Acceptance of gifts given by reason of the
office of the judge is indirect bribery [Art.211,
Revised Penal Code] and when he agrees to perform
an act constituting a crime in connection with the
performance of his official duties in consideration of
any offer, promise, gift or present received by such
officer, he is guilty of direct bribery.[Art. 210,Revised
Penal Code].
 
Anti- graft and Corrupt Practices Act:
Under RA 3019, the judge is liable
criminally for directly, or indirectly receiving gifts,
present or other pecuniary or material benefit for
himself or for another under conditions provided in
Section 2, b and c of the law.
Exception: Excepted are unsolicited gifts or presents
of small value offered or given as a mere ordinary
token of gratitude or friendship according to local
custom or usage [Section 14, RA 3019].
Void Donations under the Civil Code:
Donations given to a judge or to his wife,
descendants or ascendants by reason of his office
are void [Art. 739, Civil Code]. Ownership does not
pass to the donee. Money or property donated is
recoverable by the donor, his heirs or creditors.
Loans Prohibited under the Constitution:
Under section 16 Article XI “No loan,
guarantee or other form of financial
accommodation for any business purpose may be
granted directly or indirectly by any government-
owned or controlled bank or financial institution to
XXX  members of the Supreme Court  XXX  during
their tenure.”
 
Taking or Receiving Loans from Litigants:
It is a serious misconduct for a judge to
receive money from a litigant in the form of loans
which he never intended to pay—it is an act of
impropriety to take a loan from a party-litigant. The
judge could not be wholly free from bias in
deciding a case where his lender is a party. A judge
should always strive to be free from suspicion and
all forms of improprieties.
 
PROHIBITION TO DISCLOSE INFORMATION
   No information acquired in a judicial capacity
shall be used or disclosed by a judge in any
financial dealing or for any other purpose not
related to judicial activities. [Rule 5.05]
 
The prohibition will discourage if not stop judges
from making business speculations in some
business ventures, the secrets of which he learned
by reason of his position as a judge.
 
The judge may be liable for violation of section 3(k)
of RA 3019—“divulging valuable information of a
confidential character, acquired by his office or by
him on account of his official position to
unauthorized persons or releasing such information
in advance of its authorized release due”.
 
Violation of the rule may also lead to “revelation of
secrets by an officer” or to “revelation of the secrets
of a private individual” punishable by article 229 &
230 of the Revised Penal Code respectively.
 
PROHIBITION TO SERVE AS EXECUTOR,
ADMINISTRATOR, ETC...
 
General Rule: The judge shall not serve as:
a)      Executor;
b)      Administrator;
c)       Trustee;
d)      Guardian;
e)      Fiduciary.
 
Exception: the spirit of “Christian charity” is not a valid excuse
when the estate, trust, ward or person for for him acting as a private counsel and notary
whom he will act as executor, trustee, guardian, or public.
fiduciary is a member of the immediate family—  
which is limited to the spouse and relatives within   In Naval vs. Panday [275 SCRA 654], it was held
that a municipal judge may not engage in notarial
the 2nd degree of consanguinity; provided, that the
work except as notary public ex-officio.
judge’s services as fiduciary shall not interfere with
 
the performance of his judicial functions [Rule 5.06].
FINANCIAL DISCLOSURE
 
    A judge shall make full disclosure as required
A judge SHALL NOT:
by law. [Rule 5.08]
a)   Serve in proceeding that might come before the
 
court of said judge;
PROHIBITION TO BE APPOINTED IN QUASI-
b)   Act as such contrary to Rules 5.02 to 5.05.
JUDICIAL AND ADMINISTRATIVE AGENCIES
 
   A judge shall not accept appointment or
NOTE: the relationship mentioned is by
designation to any agency performing quasi-judicial
consanguinity and not by affinity.
or administrative functions. [Rule 5.09]
 
   
PROHIBITION TO PRACTICE LAW The prohibition is based on Section 12, Art. VIII of
   A judge shall not engage in the private practice the Constitution which provides: “The members of
of law. Unless prohibited by the constitution or law, the Supreme Court and of other courts established
a judge may engage in the practice of any other by the law shall not be designated to any agency
profession provided that such practice will not performing quasi-judicial or administrative
conflict or tend to conflict with judicial functions. functions.”
[Rule 5.07].  
The appointment to such position will likely
 
   Section 35 of Rule 138 of the Rules of Court interfere with the performance of the judicial
prohibits judges, officials or employees of superior functions of a judge hence, the prohibition.
courts from engaging in private practice as  
 
members of the bar and in giving professional
PROHIBITION TO ENGAGE IN POLITICAL
advice to clients.
ACTIVITIES 
 
  A judge is entitled to entertain personal views
   The reason for the prohibition has been
on political questions. But to avoid suspicion of
explained in Dia-Anonuevo vs. Bercacio [68 SCRA 81].
political partisanship, a judge shall not make
The SC held that the rule disqualifying a municipal
political speeches, contribute to party funds,
judge from engaging in the practice of law seeks to
publicly endorse candidates for political office or
avoid the evil of possible use of the power and
participate in other partisan political activities.
influence of his office to affect the outcome of
[Rule 5.10]
litigation where he is retained as counsel.
 
Compelling reasons of public policy lie behind this
 
prohibition, and judges are expected to conduct
 “The principle that the administration of justice is
themselves in such manner as to preclude any
a shared responsibility of the judge and the
suspicion that they are representing the interest of
lawyer” – it means that it is the duty of both
party litigant.
counsel and judge to maintain and not to destroy
 
the high esteem and regard for the courts.
  In De Castro vs. Capulong[ 118 SCRA 52] a judge
 
who merely acted as a witness to a document and
            The office of a judge exists for one solemn
who explained to the party waiving his right of
end - to promote justice by administering it fairly
redemption over the mortgaged properties and the
and impartially.
consequences thereof does not engage himself I the
           A judge may not invite the press during the
practice of law.
hearing of a sensational case.
  In Tabao vs. Asis, January 30, 1996 , it was held
 
that “no judge or other official or employee of the
When may a judge intervene
superior courts shall engage in private practice as a
during the presentation of
member of the bar or give professional advice to
evidence?
clients. Furthermore, it as held that a judge acted in
              He may intervene to
profound clarificatory questions.  must be established that the judge
He should, however, limit himself
only to clarificatory questions and
not to ask searching questions after
the witness had given direct
testimony.  His act should be done
sparingly and not throughout the
proceedings.               The decision on Whether or not to inhibit is
            There is undue influence or
interference if the judge will
extensively profound questions to
the witnesses which will have the
effect of or will tend build or bolster
the case of one of the parties.  A
judge’s interference may likewise
prevent the proper presentation of
the case and the ascertainment of the
truth in respect thereto.
            A judge need not utter any
word for his sheer presence, as a
member of the Judiciary, would be
sufficient suggestion of persuasion
and influence.
 
If a judge renders a judgment on
the day after a case is submitted for
the decision, is the act proper?
Why?
            Yes, there is nothing
anomalous in the act of the judge, as
it is even an evidence of this
intention to dispose of cases with
dispatch.  However, a judge should
decide a case within the
reglementary period because failure
to do so constitutes gross dereliction
of duty.  A judge should decide a
case promptly and expeditiously for
it is accepted that justice delayed is
justice denied. A reason for
oversight on the part of the judge is
not excusable. A judge is the one
directly responsible for the proper
discharge of his official functions.
            The reglementary period
within which to render or submit a
decision is 90 days.
 
When may a judge be subjected to
disciplinary action for his error?
Explain.
            For liability to attach for gross
negligence of the law, the assailed
order, decision or actuation of a
judge must not only be found
erroneous but most importantly, it
was moved by bad faith, revenge,
dishonesty, hatred or some other like
motive.
 
Discuss the import of the rule on Voluntary
Inhibition of Judges:
left to sound discretion and conscience of the trial
judge based on his rational and logical assessment
of the circumstances prevailing in the case brought
before him. It makes clear to the occupants of the
Bench that outside of pecuniary  interest, 
relationship   or   previous participation   in   the
matter  that calls for adjudication, there might be
other causes that could conceivably erode the trait
of objectivity,  thus calling for inhibition. This is to
betray a sense of realism, for factors that lead to
preference or predilections are many and varied.
 
What are examples of defenses a
judge may avail of when charged
with ignorance of the law?    
Good faith and absence of
malice, corrupt motives or
improper considerations are
sufficient defenses in which a
judges charged with ignorance of
the law can find refuge.  (De
Austria v. Judge Beltran, September
1, 1999)
 
Are the acts of a judge in his
judicial capacity subject to
disciplinary action? Is the rule
absolute? Explain.
            No, because as a matter of
public policy, in the absence of
fraud , dishonesty or corruption,
the acts of a judge in his judicial
capacity are generally not subject to
disciplinary action, even though
such acts are erroneous.  Given the
nature of the judicial function and
the power vested in the SC and the
lower courts established by law,
administrative or criminal
complaints are neither alternative
nor cumulative to judicial remedies
where such are available, and must
wait on the result thereof. Existing
doctrine is that judges are not liable
for what they do in the exercise of
their judicial functions when acting
within their legal powers and
 jurisdiction. Certain it is that a
judge may not be held
administratively accountable for
every erroneous order or decision
he renders. The error must be gross,
patent, deliberate and malicious or
incurred with deliberate bad faith.
            A judge who exercises his
judicial functions cannot be made
liable for damages. The test of
liability is not jurisdiction, but the
nature of what is being determined
when the error complained of is
committed to the court. He is not
liable even though there is in reality
absolute failure of jurisdiction over
the subject matter. Judges are
excluded from liability under
Art.32, NCC, provided their acts do
not constitute a violation of the
Revised Penal Code.
Will the retirement of a judge
preclude the finding of any
administrative liability on his
part? Why?
            No. The retirement of a
judge or any judicial officer from
the service does not preclude the
finding of any administrative
liability to which he shall still be
answerable.
 
*** A judge should act beyond
reproach and suspicion and this
mandate must include his personal
behavior.
 
Describe the duty of a judge whenever an accused
pleads guilty to a capital offense.
            Judges are duty-bound to be extra solicitous
in seeing to it that when an accused pleads guilty,
the latter fully understands the meaning of his plea
and the import of the inevitable conviction. Courts
must proceed with more care where the possible
punishment is in its severest form, like death, for
the reason that the execution of such sentence is
irrevocable. Experience shows that innocent
persons have at times pleaded guilty. Only a clear,
definite and unconditional plea of guilty by the
accused must be accepted by the trial courts. There
is no such rule which provides that simply because
the accused pleaded guilty to the charge that his
conviction should automatically follow.
 
Rule 137, Sec.1 of the ROC: A judge who is related
within the sixth degree of consanguinity or affinity
to a party in a case is disqualified without the
written consent of all parties in interest, signed by
them, and entered upon the record.
This prohibition is not limited to cases in
which he acts by resolving motions and issuing
orders as respondent judge has done in the subject
criminal case. A judge should take no part in a
proceeding where his impartiality might be
reasonably questioned.
 
May a judge grant bail in a capital offense without
conducting a hearing? Why?
            No, because before a judge may grant bail in
a capital offense, there must be a hearing to
determine whether the evidence of guilt is strong or
not. The conduct of such hearing is mandatory. To
do away with the requisite bail hearing is to
dispense with the time-tested safeguard against
arbitrariness.
 
What are some grounds for the
dismissal of a judge? Explain.
Accepting bribe;
Holding office and conducting
hearings at his residence;
Using of physical violence against
the personnel of his court who failed
to deliver the entire volume of nipa
ordered by him for the roof of his
house;
Receiving money from litigants and
borrowing from them without
paying back;
Ordering a litigant to install an air-
conditioning unit for the car of his
wife.
 
Reasons: Members of the judiciary should display
not only the highest integrity but at all times
conduct themselves in a manner as to be beyond
reproach and suspicion. The respect and confidence
of the public may justifiably be eroded if the
conduct of an erring judge is not condemned
(Paredes v. Buhuda, December 7, 1989). The judge’s
official life cannot be simply detached from his
personal existence.
 
Does the filing of an
Administrative case constitute a
ground to disqualify a judge from
trying a case?
            No. In Aparicio v. Andal, July
 5, 1989 , the SC held that the mere
filing of an administrative case does
not preclude a judge from trying a
case. There must be enough
showing of arbitrariness or
prejudice before the judge can be
considered biased or partial. Hence,
if a judge denies the motion to
inhibit him, his continued
cognizance of the case pending
before him is proper if no TRO or
injunction is issued against him.
Moreover, mere suspicion of
partiality is not enough to inhibit a
judge from hearing a case.
 
Explain the res ipsa loquitur
doctrine in the investigation of
errant judges.
            This doctrine does not accept
or dispense with the necessity of
proving the facts on which the
inference of evil intent is had. It
merely expresses the clearly sound
and reasonable conclusion that when
such facts are admitted or are
already shown by the record, and no
credible explanation that would
negative the strong inference of evil
intent is forthcoming, no further
hearing to establish them to support
the judgment as to the culpability of
the respondent is necessary.
 
If a judge reconsiders his decision or
order, can he be charged
administratively? Why?
             No. It is the prerogative of a
judge to correct his own decision
before it becomes final and
executory, so as to make it conform
to the evidence presented and the
applicable laws. The rule is true for
as long as the judge is in good faith
which is always possessed.
 
Knowingly Rendering Unjust Judgment – is both a
criminal and an administrative charge. It is
punished under Article 204 of the RPC, the
elements of which are: (a) the offender is a judge;
(b) he renders a judgment in a case submitted to
him for decision; (c) the judgment is unjust. The gist
of the offense therefore is that an unjust judgment
be rendered maliciously or in bad faith, that is,
knowing it to be unjust. An unjust judgment is one
which is contrary to law or is not supported by
evidence, or both. The source of such judgment is
ill-will or error. There is no liability at all when
required to exercise his judgment or discretion. A
judge is not liable criminally for any error which he
commits, provided he acts in good faith. Bad faith is
therefore the ground for liability. Mere error does
not constitute the crime.
 
Should a judge report to his office
even if he has no hearings? Why?
            Yes. A judge must report to
his office even if he has no hearings
on regular days. The law regulating
court session does not permit any
“day off” from regular office hours
to enable the judge to engage
exclusively in research or decision-
making, no matter how important.
(Circular No. 13 [ July 1, 1987 ],
Admin. Circ. No. 1 [ January 28, 1988
], and the Interim Rules
Implementing BP Blg. 129)
 
May a judge use his chambers as
his family’s residence, even with
the Governor’s permission?
            Absolutely not. Government
Property is for official use only and
not for the personal use of the
official.
 
If the order of a judge is questioned
in a higher court, should he appear
personally to seek a reversal of the
order that is unfavorable to his
action? Why?
            No. The judge whose order is
under attack is merely a nominal
party. A decent regard for the
judicial hierarchy bars a judge from
suing against the adverse opinion of
a higher court.
 
Describe the power of the courts to
cite persons in contempt.
            This power is inherent in the
courts of justice to be used as a
means to preserve and protect the
dignity of the court, the solemnity of
the proceedings therein and the
administrative of justice from callous
misbehavior, offensive personalities
and contumacious refusal to comply
with court orders. However, as in all
court powers, contempt power,
plenary as it seems, must be
 exercised judiciously and sparingly.
The judge is expected to avail of this
power only as a last resort when all
other alternative courses of action
are exhausted.
 
Who has the power to investigate a
judge who falsified his certificate
of service?
             The Supreme Court through
the Court Administrator has the
power to investigate a complaint for
alleged falsification of the judge’s
certification of service. The
Ombudsman is powerless to do so
under the principle of separation of
powers. The Ombudsman may
investigate if it is a criminal case.
 
Explain the basic reason for the
disqualification of judges.
            The underlying reason for the
Rule on Disqualification of Judges
under Sec.1, Rule 137, ROC, is to
ensure that a judge, sitting in a case,
will at all times be free from
inclinations or prejudices and be
well capable to render a just and
independent judgment. Verily, a
judge may, in the exercise of his
sound discretion, inhibit himself
voluntarily from sitting on a case,
but it should be based on good,
sound or ethical grounds, of for just
and valid reasons. No less than
imperative is that it is the judge’s
sacred duty to administer justice
without fear or favor.
 
Can proof of prior immoral conduct
be considered as a basis for
administrative discipline of a
judge?
            No, for the acts were done
before he became a judge. No man is
beyond reformation and
redemption.
SAINT LOUIS UNIVERSITY
COLLEGE OF LAW
General Luna Road , Baguio City
 

BAR
OPERATIONS
COMMITTEE 2009
 
FREQUENTLY ASKED BAR QUESTIONS
 (1997-2007)
 
 
Prepared by:
Chair: Sajonia, Louie O.
Vice-Chair: Salvador, Lea Dianna
 
Members:
Pagandiyan, Leo
Garnace Jr., Baldo
Balmores, John Paul
Villarubia, Mark Deus
Arafag, Karen
Gamonnac, Abygail
Bumagat, Frenor Jane
Aguilan, Maria Theresa
 
 
LEGAL ETHICS COMMITTEE
 2009
Subject Matter: Conflict of Interest
Concept:        person.
A lawyer is prohibited from
representing conflicting interests. There is
conflict of interest within the context of the
rule when, on behalf of one client, it is the
lawyer’s duty to contend for that which his
duty to another client requires him to
oppose. Another test is whether the
acceptance of a new lawyer-client relation
will prevent a lawyer from discharging
fully his duty of undivided fidelity and
loyalty to another client or invite suspicion
of unfaithfulness or double-dealing in the
performance thereof.
            A lawyer shall not represent
conflicting interests except by written
consent of all concerned given after a full
disclosure of the facts. Generally, there is
inconsistency of interests within the
meaning of the prohibition when, on behalf
of one client, it is the attorney’s duty to
contend for that which his duty to another
client requires him to oppose, or when the
possibility of such situation develops. This
rule covers not only cases in which
confidential communications have been
confided but also those in which no
confidence has been bestowed or will be
used.
Year Asked:
1997, 1999, 2000, 2001, 2002, 2003,
2004, 2005, 2006
Applicable Law:
Rule 15.03, Code of Professional
Responsibility
Rule 21.07, Code of Professional
Responsibility
 
Subject Matter: Rule on Lawyer’s Duty to Accept
Losing Criminal and Civil cases
Concept:  from the Case, When Allowed
a.  A lawyer may accept a losing criminal
case. A lawyer shall not decline to represent
a person solely on account of the latter’s
race, sex, creed or status of life, or because
of his opinion regarding the guilt of said
b.  A lawyer may not accept a losing civil
case. It is the lawyer’s duty to counsel and
maintain such actions or proceeding only as
appear to him to be just and such defenses
only as he believes to be honestly debatable
under the law. And it is his duty to decline
to conduct a civil cause or to make a
defense when convinced that it is intended
merely to harass or injure the opposite
party or to work oppression or wrong.
It is the right of the lawyer to
undertake the defense of the person
accused of a crime regardless of his
personal opinion as to the guilt of the
accused.  Otherwise, victims only of
suspicious circumstances might be denied
proper defense.
           Regardless of his personal feelings a
lawyer should not decline representation
because a client or a cause is unpopular or
community reaction is adverse. A lawyer
should not decline to represent a person
solely on account of his opinion regarding
the guilt of said person.
  Year Asked:             
1997, 2000, 2002, 2005
  Law Applicable:
Rule 138, Sec. 20(h), Rules of Court
Rule 14.01, Code of Professional
Responsibility
Sec. 5, Rule 7, Rules of Court
Sec. 20(a), Rule 138, Rules of Court
Sec. 20(g), Rule 138, Rules of Court
No. 5, Section 20(i), Rule 138,
Canon 130, Canons of Professional
Ethics
Lawyer’s Oath
 Subject Matter:  Lawyer’s Right to Terminate
Attorney-client Relationship   and to Withdraw
Concept:       
A lawyer may withdraw his services in the
 following cases:
a.      when the client pursues an illegal or
immoral course of conduct in connection
with the matter he is handling;
b.      when the client insists that the lawyer
pursue conduct violative of the canons and
rules;
c.       when his inability to work with co-
counsel will not promote the best interest of
the client;
d.     when the mental or physical condition
of the lawyer renders it difficult for him to
carry out the employment effectively;
e.      when the lawyer is elected or
appointed to a public office; and
f.        Other similar cases.
Year Asked:
1997, 1998, 2000, 2001, 2002, 2004,
2005
  Applicable Law:      document, money or other property which
Rule 22.01, Code of Professional
Responsibility in rel. to Rule 15.07
and Canon 19, Code of Professional
Responsibility
Canon 22, Code of Professional
Responsibility
 
 
Subject Matter: Privileged Communication
Concept:        causing embarrassment or anxiety to the
      A lawyer shall be bound by the rule
on privileged communication in respect to
matters disclosed to him by a prospective
client. The rule on privileged
communication provides that an attorney
cannot without the consent of his client, be
examined as to any communication made
by the client to him. A lawyer shall preserve
the secrets of prospective client. When a
person consults a lawyer about a case, the
latter permits the consultation and gives
professional advice, the relationship of
attorney and client implicitly arises and
does not require for its existence that
consideration for professional services was
paid, promised or discharged.
      The obligation to represent the
client with undivided fidelity and not to
divulge his secrets or confidences forbids
also the subsequent acceptance of retainers
or employment from others in matters
adversely affecting any interest of the client
with respect to which confidence has been
reposed.
Year Asked:  General rule is that a lawyer cannot
                        1998, 1999, 2006
Law Applicable:
                        Canon 37 of the Canons of
Professional Ethics
                        Rule 15.02, Code of Professional
Responsibility
                        Sec. 21(b), Rule 130, Rules of Court
 
 
 Subject Matter: Retaining Lien
Concept:
A retaining lien is the right of an
attorney to retain the funds, documents,
and papers of his client which have
lawfully come to his possession until his
lawful fees and disbursements have been
paid, and to apply such funds in
satisfaction thereof.
      Retaining lien is the right of the
attorney to retain possession of a client’s
comes into the hands of the attorney
professionally, until the general balance
due him for professional services is paid.
      A lawyer is authorized to retain the
funds, documents and other papers of his
client that have come into his possession in
the course of professional employment
until his fees have been paid. The rationale
of the retaining lien is to compel payment
client.
Year Asked:
1998, 2000
  Applicable Law:
Rule 138, Section 37, Rules of Court
Rule 16.03, Code of Professional
Responsibility
 
 
Subject Matter: Reasonable Fee
Concept:       
      A lawyer shall not charge rates lower
than those customarily prescribed unless
the circumstances so warrant.
Year Asked:
1997, 2005
 Law Applicable:
                        Rule 2.04, Code of Professional
Responsibility
 
 
Subject Matter:  Advertisements made by lawyers
(Direct or Indirect)
Concept:       
advertise his talent as a shopkeeper
 advertises his wares. But not all types of
advertising or solicitation are prohibited,
that activity not being inherently malum in
se. What makes advertising or solicitation
improper is the employment of such
methods as are incompatible with the
traditional dignity of a lawyer and the
maintenance of correct professional
standards, or the use of artificial means to
augment the publicity that normally results
from what a lawyer does.  1999, 2000
      By the act of advertising oneself as
specializing in criminal law, the lawyer
engages in self-laudation which is offensive
to the dignity of the law profession and to
further announce that his fees in criminal
cases are nominal and his notarial services
are free displays a brand of solicitation
which is highly unprofessional. It also has
the effect of destroying the honor of the
noble profession and lowering its
standards.
      A lawyer in making known his legal
services should not use any false,
fraudulent, misleading, deceptive,
undignified or self-laudatory statements
regarding his qualification or legal services.
Year Asked:              paid for his legal services only if the
1998, 2001, 2002, 2003
  Law Applicable:      champertous contract is one whereby the
Canon 3, Code of Professional
Responsibility
Rule 3.04, Code of Professional
Responsibility
Canon 27, Canons of Professional
Ethics
Rule 3.01, Code of Professional
Responsibility
 
 
 Subject Matter: Disqualifications of Judges
Concept:
A judge should take no part in a
proceeding where the judge’s impartiality
might reasonably be questioned.
Year Asked:
1997, 1998, 1999, 2001, 2005
Applicable Law:
Rule 3.12, Code of Judicial Conduct
Rule 3.13, Code of Judicial Conduct
 
 
 Subject Matter: Champertous Contract
 Concept:            Law Applicable:
         A champertous contract is one where
the lawyer agrees to conduct the litigation
in his own account and to pay the expenses
thereof, and to receive as his fee a portion of
the proceeds of the judgment. It is contrary
to public policy and invalid because it
violates the fiduciary relationship between
the lawyer and his client. But if the lawyer,
by agreement with his client, advances the
expenses of litigation subject to
reimbursement, the agreement is valid.
 Year Asked:
 Applicable Law:     
Canon 42 of the Canons of
Professional Ethics
 
 
Subject Matter: Contingent Fee Contract;
Distinguished from Champertous Contract
Concept:       
A contingent fee contract is an
agreement in which the lawyer’s fee,
usually a fixed percentage of what may be
recovered in the action, is made to depend
upon the success in the effort to enforce or
defend the client’s right.
      A contingent fee contract is one
which stipulates that the lawyer will be
litigation ends favorably to the client.  A
attorney agrees to prosecute suits at his
own expense for the recovery of things or
property belonging to or claimed by the
client, the latter agreeing to pay the former
a portion of the thing or property recovered
as compensation.
      The contract for contingent fee
wherein the lawyer gets ½ of the property
subject matter of the litigation case if he
wins the case is valid and proper. A
contingent fee contract is one which
stipulates that the lawyer will be paid for
his legal services only if the litigation ends
favorably to the client. A champertous
contract is one whereby the attorney agrees
to prosecute suits at his own expense for
the recovery of things or property
belonging to or claimed by the client, the
latter agreeing to pay the former a portion
of the thing or property recovered as
compensation.
Year Asked:             
2000, 2002
     
Canon 13 of the Canons of
Professional Ethics
 
 
Subject Matter: Disbarment as a Sui Generis
Concept:        performance of judicial duties.  “Member of
    A disbarment proceeding is sui
generis, neither a civil nor criminal action.
As such, the desistance by the complainant
is unimportant. The case may proceed
regardless of interest or lack of interest of
the complainant. (Note: See also the reasons
why disbarment proceeding is sui generis)
      Proceedings for the disbarment,
suspension, or discipline of attorneys may
be taken by the Supreme Court motu
proprio, or by the Integrated Bar of the
Philippines upon a verified complaint of
any person.
Year Asked:  failure to pay his indebtedness. The remedy
                        2000, 2002
Applicable Law:
Rule 139-B of the Rules of Court
 
 
Subject Matter: Who may Practice Law?
Concept:                                         2001, 2002, 2005
Any person who has been duly
licensed as a member of the bar in
accordance with the statutory requirements
and who is in good and regular standing is
entitled to practice law.
 Year Asked:                        
2002,  2005, 2006
 Law Applicable:      Subject Matter: Law Profession, Not a Business
Rule 138, Rules of Court
 
 
Subject Matter: Forum-shopping
Concept:        action only to prevent imposition, injustice
Forum-shopping is the improper
practice of filing several actions or petitions
in the same or different tribunals arising
from the same cause and seeking
substantially identical relief in the hope of
winning in one of them.
Year Asked:
1997, 1998, 2002
 Applicable Law:
Sec. 5, Rule 7, 1997 Rules of Civil
Procedure
 
 
Subject Matter: Fiduciary Activities of Judges
Concept:
A judge shall not serve as the
executor, administrator, trustee, guardian
or other fiduciary EXCEPT for the estate,
trust, or person of a member of the
immediate family, and then only if such
service will not interfere with the proper
immediate family” shall be limited to the
spouse and relatives within the second
degree of consanguinity.
Year Asked: 
1999, 2000, 2005
Applicable Law:
Rule 5.06, Code of Judicial Conduct
 
 
Subject Matter: Non-payment of Debt/Obligation,
Not a Valid Ground for Disciplinary Action
Concept:       
      A lawyer may not be disciplined for
is to file a collection case before a regular
court of justice against the lawyer.
HOWEVER, unwarranted obstinacy in
evading the payment of a debt has been
considered as gross misconduct.
Year Asked:
Illustrative Cases:
Toledo v. Abalos, 315 SCRA
419
Costantino v. Saludares, 228
SCRA 233
 
 
Concept:       
      A lawyer shall avoid controversies
with his clients concerning his
compensation and shall resort to judicial
or fraud. The legal profession is not a
moneymaking trade but a form of public
service.
      The practice of law is a noble
profession and not a business because it
treats of the most important interests of
man, namely: life, liberty and property. 
The lawyer’s first duty is to maintain good
administration of justice.  In maintaining
the causes confided to him, he should delay
no man for money or malice.  He should
not reject for any personal reason the causes
of the defenseless and the oppressed.
Pecuniary rewards are but of secondary
importance.  The profession of law is more
a mission than a business profession and
therefore its object is not material reward
but to promote the administration of justice;
 hence, where a lawyer in the pursuit of his interests, and rebate of forwarding
calling, finds conformity with professional allowance or other compensation
ethics difficult, he could seek other whatsoever related to his professional
vocation. employment from anyone other than the
Year Asked: client.
                        1998, 2005 Year Asked: 
Law Applicable:                         1997, 2003
                        Rule 20.04, Code of Professional Law Applicable:
Responsibility                         Rule 20.03, Code of Professional
Illustrative Case: Responsibility
Perez v. Scottish Union and  
National Insurance Co., 76 Phil. 325  
  Subject Matter: Mandatory Continuing Legal
  Education (MCLE)
Subject Matter: Alienation of Property in Concept:
Litigation Continuing legal education is
  Concept:        required of members of the IBP to ensure
Judges, Justices, prosecuting that throughout their career, they keep
attorneys, clerks of superior and inferior abreast with law and jurisprudence,
courts and other employees connected with maintain the ethics of the profession and
the administration of justice cannot acquire enhance the standards of the practice of
by purchase, even at a public or judicial law.
auction, either in person or through the   Year Asked:            
mediation of another the property subject of 2003, 2005
litigation.   Law Applicable:     
      The restriction against buying RULES ON MANDATORY
client’s property forbids lawyers who take CONTINUING LEGAL EDUCATION
part in litigation professionally, from (MCLE) FOR MEMBERS OF THE IBP
acquiring the property and rights, which  
are the object of the litigation to prevent the  
possibility of unscrupulous lawyers taking Subject Matter: Negligence of a Lawyer binds the
advantage of their clients. Client, Exceptions
Year Asked: Concept:       
1983, 1984, 1985       It is well-settled that the negligence
  Law Applicable:  of counsel binds the client. The
Article 1491 of the Civil Code EXCEPTION is where the reckless or gross
  negligence of counsel deprives the client of
  due process of law or where its application
Subject Matter: Practice of Law results in the outright deprivation of one’s
Concept:        property through a technicality, or when
      Practice of Law is defined as any the application of the general rule will
activity, in or out of court, which requires result in serious injustice.
the application of law, legal procedure, Year Asked:
knowledge, training and experience.                         2000, 2002
Year Asked: Illustrative Case:
                        1997, 2005                         Salonga v. CA, 269 SCRA 534
Illustrative Case:                          SMC v. Laguesma, 236 SCRA 595
Cayetano v. Monsod, 201 SCRA 210                         Cabales v. Nere, 94 SCRA 374
                          Valerio v. Sec. of Agriculture. 7 SCRA
  719
Subject Matter: Lawyer, Not to Accept Fee Not                         PHCC v. Tiongco, 12 SCRA 595
from Client  
Concept:         
A lawyer shall not, without the full Subject Matter: Steps to be Done When a Client
knowledge and consent of the client, accept Wants to Plead Guilty
any fee, reward, costs, commission, Concept:       
       It is the duty of defense counsel to gives the appearance of influencing the
(a) study thoroughly the records and court.
surrounding circumstances of the case and Year Asked:
determine if there are valid defenses he can 2000, 2001
use, (b) confer with the accused and obtain Law Applicable:
from him his account of what had Canon 13, Code of
happened, (c) advise him of his Professional Responsibility
constitutional and statutory rights, Rule 13.01, Code of
including advisability of entering into plea Professional Responsibility
bargaining, (d) thoroughly explain to him  
the impact of a guilty plea and the  
inevitable conviction that will follow, and Subject Matter: Judges, Not Allowed in Private
(e) if the client still insists on pleading Practice
guilty, see to it that the prescribed Concept:       
procedure necessary to the administration A judge is prohibited from
of justice is strictly followed and disclosed engaging in the private practice of law as a
in the court records.  member of the bar or giving professional
  advice to clients.
Year Asked:  Year Asked: 
2000, 2001 2002, 2004
  Law Applicable:
  Sec. 35, Rule 138, Rules of
Subject Matter: Lawyer’s Duty to Refrain from Court
Influencing a Judge Rule 5.07, Code of Judicial
Concept:        Conduct
      A lawyer shall rely upon the merits  
of the cause and refrain from any  
impropriety which tends to influence, or ***END***

Republic of the Philippines Manila

SUPREME COURT  
 B.M. No. 850     August 22, 2000
MANDATORY CONTINUING LEGAL EDUCATION
(MCLE)
ADOPTING THE RULES ON MANDATORY
CONTINUING LEGAL EDUCATION FOR MEMBERS
OF THE INTEGRATED BAR OF THE PHILIPPINES
 
EN BANC
RESOLUTION
 
Considering the Rules on Mandatory Continuing Legal
Education (MCLE) for members of the Integrated Bar of
the Philippines (IBP), recommended by the IBP, endorsed
by the Philippine Judicial Academy, and reviewed and
passed upon by the Supreme Court Committee on Legal
Education, the Court hereby resolves to adopt, as it
hereby adopts, the following rules for proper
implementation:
 
RULE 1
PURPOSE
 
Section 1. Purpose of the MCLE
Continuing legal education is required of
members of the Integrated Bar of the Philippines (IBP) to
ensure that throughout their career, they keep abreast
with law and jurisprudence, maintain the ethics of the
profession and enhance the standards of the practice of
law.
 
RULE 2
MANDATORY CONTINUING LEGAL EDUCATION
 
Section 1. Constitution of the MCLE Committee
Within two (2) months from the approval of
these Rules by the Supreme Court En Banc, the MCLE
Committee shall be constituted in accordance with these
Rules.
Section 2. Requirements of completion of MCLE
Members of the IBP not exempt under Rule 7 shall
complete, every three (3) years, at least thirty-six (36)
hours of continuing legal education activities approved
by the MCLE Committee. Of the 36 hours:
(a) At least six (6) hours shall be devoted to legal
ethics.
(b) At least (4) hours shall be devoted to trial and
pretrial skills.
(c) At least five (5) hours shall be devoted to
alternative dispute resolution.
(d) At least nine (9) hours shall be devoted to
updates on substantive and procedural laws,
and jurisprudence.
(e) At least four (4) hours shall be devoted to
legal writing and oral advocacy.
(f) At least two (2) hours shall be devoted to
international law and international conventions.
(g) The remaining six (6) hours shall be devoted
to such subjects as may be prescribed by the
MCLE Committee.
 
RULE 3
COMPLIANCE PERIOD
Section 1. Initial compliance period
The initial compliance period shall begin not
later than three (3) months from the constitution of the
MCLE Committee. Except for the initial compliance
period for members admitted or readmitted after the
establishment of the program, all compliance periods
shall be for thirty-six (36) months and shall begin the day
after the end of the previous compliance period.
Section 2. Compliance Group 1.
Members in the National Capital Region (NCR)
or Metro Manila shall be permanently assigned to
Compliance Group 1.
Section 3. Compliance Group 2.
Members in Luzon outside NCR shall be
permanently assigned to Compliance Group 2.
Section 4. Compliance Group 3.
Members in Visayas and Mindanao shall be
permanently assigned to Compliance Group 3.
Section 5. Compliance period for members admitted or
readmitted after establishment of the program.
Members admitted or readmitted to the Bar after
the establishment of the program shall be permanently
assigned to the appropriate Compliance Group based on
their Chapter membership on the date of admission or
readmission.
The initial compliance period after admission or
readmission shall begin on the first day of the month of
admission or readmission and shall end on the same day
as that of all other members in the same Compliance
Group.
(a) Where four (4) months or less remain of the
initial compliance period after admission or
readmission, the member is not required to
comply with the program requirement for the
initial compliance.
(b) Where more than four (4) months remain of
the initial compliance period after admission or
readmission, the member shall be required to
complete a number of hours of approved
continuing legal education activities equal to the
number of months remaining in the compliance
period in which the member is admitted or
readmitted. Such member shall be required to
complete a number of hours of education in
legal ethics in proportion to the number of
months remaining in the compliance period.
Fractions of hours shall be rounded up to the
next whole number.
 
RULE 4
COMPUTATION OF CREDIT UNITS
 
Section 1. Guidelines
The following are the guidelines for
computation of credit units (CU):

PROGRAMS CREDIT UNITS SUPPORTING
DOCUMENTS
1. SEMINARS, CONVENTIONS,
CONFERENCES, SYMPOSIA, IN-HOUSE
EDUCATION PROGRAMS, WORKSHOPS,
DIALOGUES, ROUND TABLE DISCUSSIONS
BY APPROVED PROVIDERS UNDER RULE 7
AND OTHER RELATED RULES
1.1  PARTICIPANT 1 CU PER HOUR
CERTIFICATE OF ATTENDANCE
WITH NUMBER OF HOURS
1.2  LECTURER 5 CU PER HOUR
PHOTOCOPY OF PLAQUE OR
SPONSOR'S CERTIFICATION
1.3  RESOURCE 3 CU PER HOUR
PHOTOCOPY OF PLAQUE OR
SPONSOR'S SPEAKER
CERTIFICATION
1.4  ASSIGNED 2 CU PER HOUR
CERTIFICATION FROM
SPONSORING PENALIST/
ORGANIZATION
REACTOR/COMMENTATOR
1.5  MODERATOR/ 2 CU PER HOUR
CERTIFICATION FROM
SPONSORING COORDINATOR/
ORGANIZATION FACILITATOR
2. AUTHORSHIP, EDITING AND REVIEW
2.1  RESEARCH/ 5-10 CREDIT UNITS
DULY CERTIFIED/PUBLISHED
INNOVATIVE TECHNICAL
REPORT/PAPER
PROGRAM/CREATIVE PROJECT
2.2  BOOK 50-100 PP 101+ PUBLISHED
BOOK SINGLE AUTHOR 12-16 CU 17-
20 CU
2 AUTHORS 10-12 CU 13-16 CU
3 OR MORE 5-6 CU 7-11 CU
2.3  BOOK EDITOR 1/2 OF THE CU
OF PUBLISHED BOOK WITH PROOF
AUTHORSHIP AS EDITOR
CATEGORY
2.4 LEGAL ARTICLE 5-10 PP 11+
PUBLISHED ARTICLE SINGLE
AUTHOR 6 CU 8 CU
2 AUTHORS 4 CU 6 CU
3 OR MORE 2 CU 4 CU
2.5 LEGAL 3-6 CU PER ISSUE
PUBLISHED
NEWSLETTER/JOURNAL
NEWSLETTER/LAW JOURNAL
EDITOR
3. PROFESSIONAL 6 CU PER CHAIR
CERTIFICATION OF LAW DEAN CHAIR/BAR
1 CU PER LECTURE OR BAR REVIEW
DIRECTOR REVIEW/ HOUR LECTURE/LAW
TEACHING
Section 2. Limitation on certain credit units
In numbers 2 and 3 of the guidelines in the
preceding Section, the total maximum credit units shall
not exceed twenty (20) hours per three (3) years.
RULE 5
CATEGORIES OF CREDIT
 
Section 1. Classes of credits
The credits are either participatory or non-
participatory.
Section 2. Claim for participatory credit
Participatory credit may be claimed for:
(a) Attending approved education
activities like seminars, conferences, symposia,
in-house education programs, workshops,
dialogues or round table discussions.
(b) Speaking or lecturing, or acting as
assigned panelist, reactor, commentator,
resource speaker, moderator, coordinator or
facilitator in approved education activities.
(c) Teaching in a law school or lecturing
in a bar review class.
Section 3. Claim for non-participatory credit
Non-participatory credit may be claimed per
compliance period for:
(a) Preparing, as an author or co-
author, written materials published or accepted
for publication, e.g., in the form of an article,
chapter, book, or book review which contribute
to the legal education of the author member,
which were not prepared in the ordinary course
of the member's practice or employment.
(b) Editing a law book, law journal or
legal newsletter.
 
RULE 6
COMPUTATION OF CREDIT HOURS
 
Section 1. Computation of credit hours
Credit hours are computed based on actual time
spent in an activity (actual instruction or speaking time),
in hours to the nearest one-quarter hour.
 
 
 
RULE 7
EXEMPTIONS
 
Section 1. Parties exempted from the MCLE
The following members of the Bar are exempt
from the MCLE requirement:
(a) The President and the Vice
President of the Philippines , and the Secretaries
and Undersecretaries of Executives
Departments;
(b) Senators and Members of the House
of Representatives;
(c) The Chief Justice and Associate
Justices of the Supreme Court, incumbent and
retired members of the judiciary, incumbent
members of the Judicial and Bar Council and
incumbent court lawyers covered by the
Philippine Judicial Academy program of
continuing judicial education;
(d) The Chief State Counsel, Chief State
 Prosecutor and Assistant Secretaries of the
Department of Justice;
(e) The Solicitor General and the
Assistant Solicitor General;
(f) The Government Corporate Counsel,
Deputy and Assistant Government Corporate
Counsel;
(g) The Chairmen and Members of the
Constitutional Commissions;
(h) The Ombudsman, the Overall
Deputy Ombudsman, the Deputy Ombudsmen
and the Special Prosecutor of the Office of the
Ombudsman;
(i) Heads of government agencies
exercising quasi-judicial functions;
(j) Incumbent deans, bar reviews and
professors of law who have teaching experience
for at least 10 years accredited law schools;
(k) The Chancellor, Vice-Chancellor
and members of the Corps of Professors and
Professorial Lectures of the Philippine Judicial
Academy; and
(l) Governors and Mayors.
Section 2. Other parties exempted from the MCLE
The following Members of the Bar are likewise
exempt:
(a) Those who are not in law practice,
private or public.
(b) Those who have retired from law
practice with the approval of the IBP Board of
Governors.
Section 3. Good cause for exemption from or
modification of requirement
A member may file a verified request setting
forth good cause for exemption (such as physical
disability, illness, post graduate study abroad, proven
expertise in law, etc.) from compliance with or
modification of any of the requirements, including an
extension of time for compliance, in accordance with a
procedure to be established by the MCLE Committee.
Section 4. Change of status
The compliance period shall begin on the first
day of the month in which a member ceases to be exempt
under Sections 1, 2, or 3 of this Rule and shall end on the
same day as that of all other members in the same
Compliance Group.
Section 5. Proof of exemption
Applications for exemption from or modification
of the MCLE requirement shall be under oath and
supported by documents.
 
RULE 8
STANDARDS FOR APPROVAL OF EDUCATION
ACTIVITIES
 
Section 1. Approval of MCLE program
Subject to the rules as may be adopted by the
MCLE Committee, continuing legal education program
may be granted approval in either of two (2) ways: (1) the
provider of the activity is an approved provider and
certifies that the activity meets the criteria of Section 3 of
this Rules; and (2) the provider is specially mandated by
law to provide continuing legal education.
Section 2. Standards for all education activities
All continuing legal education activities must
meet the following standards:
(a) The activity shall have significant
current intellectual or practical content.
(b) The activity shall constitute an
organized program of learning related to legal
subjects and the legal profession, including cross
profession activities (e.g., accounting-tax or
medical-legal) that enhance legal skills or the
ability to practice law, as well as subjects in legal
writing and oral advocacy.
(c) The activity shall be conducted by a
provider with adequate professional experience.
(d) Where the activity is more than one
(1) hour in length, substantive written materials
must be distributed to all participants. Such
materials must be distributed at or before the
time the activity is offered.
(e) In-house education activities must
be scheduled at a time and location so as to be
free from interruption like telephone calls and
other distractions.
 
RULE 9
APPROVAL OF PROVIDERS
 
Section 1. Approval of providers
Approval of providers shall be done by the
MCLE Committee.
Section 2. Requirements for approval of providers
Any persons or group may be approved as a
provider for a term of two (2) years, which may be
renewed, upon written application. All providers of
continuing legal education activities, including in-house
providers, are eligible to be approved providers.
Application for approval shall:
(a) Be submitted on a form provided by the IBP;
(b) Contain all information requested on the
form;
(c) Be accompanied by the approval fee;
Section 3. Requirements of all providers
All approved providers shall agree to the
following:
(a) An official record verifying the
attendance at the activity shall be maintained by
the provider for at least four (4) years after the
completion date. The provider shall include the
member on the official record of attendance only
if the member's signature was obtained at the
time of attendance at the activity. The official
record of attendance shall contain the member's
name and number in the Roll of Attorneys and
shall identify the time, date, location, subject
matter, and length of the education activity. A
copy of such record shall be furnished the IBP.
(b) The provider shall certify that:
(1) This activity has been
approved for MCLE by the IBP in the
amount of ________ hours of which
hours will apply in (legal ethics, etc.), as
 appropriate to the content of the
activity;
(2) The activity conforms to
the standards for approved education
activities prescribed by these Rules and
such regulations as may be prescribed
by the IBP pertaining to MCLE.
(c) The provider shall issue a record or
certificate to all participants identifying the time,
date, location, subject matter and length of the
activity.
(d) The provider shall allow in-person
observation of all approved continuing legal
education activities by members of the IBP
Board of Governors, the MCLE Committee, or
designees of the Committee and IBP staff for
purposes of monitoring compliance with these
Rules.
(e) The provider shall indicate in
promotional materials, the nature of the activity,
the time devoted to each devoted to each topic
and identify of the instructors. The provider
shall make available to each participant a copy
of IBP-approved Education Activity Evaluation
Form.
(f) The provider shall maintain the
completed Education Activity Evaluation Forms
for a period of not less than one (1) year after the
activity, copy furnished the IBP.
(g) Any person or group who conducts
an unauthorized activity under this program or
issues a spurious certificate in violation of these
Rules shall be subject to appropriate sanctions.
Section 4. Renewal of provider approval
The approval of a provider may be renewed
every two (2) years. It may be denied if the provider fails
to comply with any of the requirements of these Rules or
fails to provide satisfactory education activities for the
preceding period.
Section 5. Revocation of provider approval
The approval of any provider referred to in Rule
9 may be revoked by a majority vote of the IBP Board of
Governors, upon recommendation of the MCLE
Committee, after notice and hearing and for good cause.
 
RULE 10
ACTIVITY AND PROVIDER APPROVAL FEE
 
Section 1. Payment of fees
Application for approval of an education activity
or as a provider requires payment of an appropriate fee.
 
RULE 11
GENERAL COMPLIANCE PROCEDURES
 
Section 1. Compliance card
Each member shall secure from the MCLE
Committee a Compliance Card before the end of his
compliance period. He shall complete the card by
attesting under oath that he has complied with the
education requirement or that he is exempt, specifying
the nature of the exemption. Such Compliance Card must
be returned to the address indicated therein not later than
the day after the end of the member's compliance period.
Section 2. Member record keeping requirement
Each member shall maintain sufficient record of
compliance or exemption, copy furnished the MCLE
Committee. The record required to be provided to the
members by the provider pursuant to Section 3(c) of Rule
9 should be sufficient record of attendance at a
participatory activity. A record of non-participatory
activity shall also be maintained by the member, as
referred to in Section 3 of Rule 5.
 
RULE 12
NON-COMPLIANCE PROCEDURES
 
Section 1. What constitutes non-compliance
The following shall constitute non-compliance
(a) Failure to complete the education
requirement within the compliance period;
(b) Failure to provide attestation of
compliance or exemption;
(c) Failure to provide satisfactory
evidence of compliance (including evidence of
exempt status) within the prescribed period;
(d) Failure to satisfy the education
requirement and furnish evidence of such
compliance within sixty (60) days from receipt of
a non-compliance notice;
(e) Any other act or omission analogous
to any of the foregoing or intended to
circumvent or evade compliance with the MCLE
requirements.
Section 2. Non-compliance notice and 60-day period to
attain compliance
A member failing to comply will receive a Non-
Compliance Notice stating the specific deficiency and will
be given sixty (60) days from the date of notification to
explain the deficiency or otherwise show compliance with
the requirements. Such notice shall contain, among other
things, the following language in capital letters:
YOUR FAILURE TO PROVIDE ADEQUATE
JUSTIFICATION FOR NON-COMPLIANCE OR
PROOF OF COMPLIANCE WITH THE MCLE
REQUIREMENT BY (INSERT DATE 60 DAYS
FROM THE DATE OF NOTICE), SHALL BE A
CAUSE FOR LISTING AS A DELINQUENT
MEMBER.
The Member may use this period to attain the
adequate number of credit hours for compliance. Credit
hours earned during this period may only be counted
toward compliance with the prior compliance period
requirement unless hours in excess of the requirement are
earned, in which case, the excess hours may be counted
toward meeting the current compliance period
requirement.
 
RULE 13
CONSEQUENCES OF NON-COMPLIANCE
 
Section 1. Non-compliance fee annual budget for a subsidy to establish, operate and
A member who, for whatever reason, is in non- maintain the MCLE Program.
compliance at the end of the compliance period shall pay This resolution shall take effect in October 2000,
a non-compliance fee. following its publication in two (2) newspaper of general
Section 2. Listing as delinquent member circulation in the Philippines .
Any member who fails to satisfactorily comply Adopted this 22nd day of August, 2000.
with Section 2 of Rule 12 shall be listed as a delinquent  
member by the IBP Board of Governors upon the  
recommendation of the MCLE Committee, in which case,  
Rule 139-A of the Rules of Court shall apply.  
   
RULE 14  
REINSTATEMENT  
   
Section 1. Process  
The involuntary listing as a delinquent member  
shall be terminated when the member provides proof of  
compliance with the MCLE requirement, including  
 
payment of non-compliance fee. A member may attain
 
the necessary credit hours to meet the requirement for the
 
period of non-compliance during the period the member  
is on inactive status. These credit hours may not be  
counted toward meeting the current compliance period  
requirement. Credit hours attained during the period of  
non-compliance in excess of the number needed to satisfy  
the prior compliance period requirement may be counted  
toward meeting the current compliance period  
requirement.lawphil.net  
Section 2. Termination of delinquent listing  
administrative process  
The termination of listing as a delinquent
member is administrative in nature but it shall be made
with notice and hearing by the MCLE Committee.
 
RULE 15
MANDATORY CONTINUING LEGAL EDUCATION
COMMITTEE
 
Section 1. Composition
The MCLE Committee shall be composed of five
(5) members, namely: a retired Justice of the Supreme
Court, as Chair, and four (4) members, respectively,
nominated by the IBP, the Philippine Judicial Academy, a
law center designated by the Supreme Court and
associations of law schools and/or law professors.
The members of the Committee shall be of proven probity
and integrity. They shall be appointed by the Supreme MANDATORY CONTINUING LEGAL EDUCATION
Court for a term of three (3) years and shall receive such IMPLEMENTING REGULATIONS
compensation as may be determined by the Court. BAR MATTER NO. 850
Section 2. Duty of the Committee [October 02, 2001]
The MCLE Committee shall administer and
adopt such implementing rules as may be necessary
subject to the approval by the Supreme Court. It shall, in REPUBLIC OF THE PHILIPPINES
consultation with the IBP Board of Governors, prescribe a SUPREME COURT
schedule of MCLE fees with the approval of the Supreme MANILA
Court.  
Section 3. Staff of the IBP RE: MANDATORY CONTINUING LEGAL
The IBP shall employ such staff as may be EDUCATION
necessary to perform the record-keeping, auditing, BAR MATTER 850
reporting, approval and other necessary functions. October 2, 2001
Section 4. Submission of annual budget MANDATORY CONTINUING LEGAL EDUCATION
The IBP shall submit to the Supreme Court an IMPLEMENTING REGULATIONS
  
Section 1: Definitions
.a. Rules - Provisions of Supreme Court Bar Matter 850 on
Mandatory Continuing Legal Education (MCLE).
b. Committee - The Mandatory Continuing Legal
Education Committee constituted in Rule 15 of Bar Matter
850.
c. Implementing Regulations - These regulations adopted
by the Committee.
d. Provider - Any person or group accredited by the
Committee to provide continuing legal education
activities in accordance with the standards set in Rules 8
and 9.
e. Education Activity - A continuing legal education
activity offered by an accredited provider and approved
by the Committee for the relevant compliance period
f. In-house Education Activity - An education activity
offered by a law firm or legal department of a corporation
or government agency comprised of at least 10 lawyers
approved by the Committee to provide MCLE for the
lawyers of said law firm or legal department of a
corporation or government agency.
g. Special Education Activity - An education activity or
program which, because of its significant value to the
practice of members who have sought its approval, has
been approved by the Committee for such members
under Section 2(g), Rule 2.
h. Credit Units - The measure of compliance with the
MCLE requirement under the Rules based ~n. the
category of the lawyer's participation in the MCLE
activity.
i. Credit Hours - Actual time spent in an education
activity (actual instruction, speaking time or
participation) computed in hours to the nearest one-
quarter hour (15 minutes) reported in decimals.
 
Section 2: Minimum Education Requirement Subject to
the Exemptions Listed in Sections 1 and 2, Rule 7 of the
Rules.
Every member of the IBP must complete at least
thirty-six (36) credit units of mandatory continuing legal
education (MCLE) every three (3) years during the
compliance period as provided in Rule 2 and these
Implementing Regulations.
 
Section 3: Compliance Period
The initial compliance period shall be from April
15, 2001 up to April 14, 2004. All succeeding compliance
periods shall begin the day after the end of the preceding
compliance period. The initial compliance period for
members newly admitted or readmitted to the IBP shall
begin on the first day of the month of admission or
readmission and shall end on the same day as that of all
other members.
 
Section 4: Computation of Credit Units
Credit units will be given for time spent in an
approved education activity based on the category of the
lawyer's participation therein, as provided in Section 1,
Rule 4 of the Rules.
a. General Standard of Computation
1. Credit units will be given only for time spent in
legal education activities which have been previously
approved by the Committee and conducted by an
accredited provider.
2. Credit units will be given in accordance with
Section 1 of Rule 4.
3. Every approved education activity shall be
conducted for at least one hour. However, if it
should exceed one hour, one-half credit unit shall be
given for
every half hour beyond the initial hour.
b. In-house Education Activity
An in-house education activity must be
approved by the Committee before a lawyer may earn
any credit unit for participation therein.
 
Section 5: Exemptions
The following are exempted from the MCLE
requirement:
a. The Executive
1. The President, Vice-President of the
Philippines , and the Secretaries and Undersecretaries of
the Executive Departments of the Philippine Government;
2. The Chief State Counsel, Chief State
Prosecutor, and Assistant Secretaries of the Department
of Justice;
3. The Solicitor General and the Assistant
Solicitors General;
4. The Government Corporate Counsel, Deputy
and Assistant Government Corporate Counsel;
5. Heads of government agencies exercising
quasi-judicial functions;
b. The Legislative
Senators and Members of the House of
Representatives;
c. The Judiciary
The Chief Justice and Associate Justices of the
Supreme Court, incumbent and retired members of the
Judiciary, incumbent members of the Judicial and Bar
Council, and incumbent court lawyers covered by the
Philippine Judicial Academy program of continuing
judicial education;
d. The Constitutional Bodies
1.The Chairmen and Members of the
Constitutional Commissions.
2. The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsmen and the Special
Prosecutor of the Office of the Ombudsman.
e. Law Schools/Academe
1. Incumbent deans, bar reviewers and
professors of law who have had teaching experience for
at least ten (10) years in accredited law schools;
2. The Chancellor, Vice-Chancellor and members
of the Corps of Professors and Professorial Lecturers of
the Philippine Judicial Academy;
f. Local Government
Governors and mayors;
g. Non-Practicing Lawyers
1. Lawyers who are not in practice, whether
private or public; and
2. Those who have retired from law practice
with the approval of the IBP Board of Governors.
 
Section 6: Other Exemptions or Modifications
For good cause (such as physical disability,
illness, post-graduate study abroad, proven expertise in
law and similar ground) and subject to approval by the
Committee, a member may file a verified request for
exemption from compliance, or modification of any of the
MCLE requirements, including extension of time for
compliance.
 
Section 7: Approval of Continuing Legal Education,
Activity, Program, or Course
A continuing legal education activity approved
for credit shall meet the following standards:
a) The activity shall have significant current
intellectual or practical content, the primary objective of
which is to improve the participant's professional
competence and ethical behavior .
b) The activity shall constitute an organized
program of learning related to legal subjects and the legal
profession, including cross profession activities (e.g.,
accounting-tax or medical-legal) that enhance legal skills
or the ability to practice law, as well as subjects in legal
writing and oral advocacy.
c) The activity shall be conducted by a provider
with adequate professional experience.
d) Where the activity is more than one (1) hour
in length, substantive written materials must be
distributed to all participants. Such materials must be
distributed at or before the time the activity is offered.
e) In-house education activities must be
scheduled at a time and location so as to be free from
interruption like telephone calls and other distractions.
f) Information concerning the activity, including
the brochure describing it, the qualifications of the
speakers, the method or manner of presentation of the
materials, and, if necessary, a set of the materials shall be
submitted to the Committee at least forty-five (45) days
prior to the presentation of the activity.
g) The participants shall be provided with the
prescribed Education Activity Evaluation Forms to be
completed and submitted by them to the provider who,
in turn, shall transmit a copy thereof to the Committee at
the end of the legal education activity. The provider shall
keep a set of the said forms for a period of not less than
one (1) year after the termination of the continuing legal
education activity.
h) The provider shall submit to the Committee a
report on the conduct of its continuing legal education
activity together with the accomplished MCLE
attendance cards of the attendees within thirty (30) days
after the end of the legal education activity.
 
Section 8: Approval of Special Education Activity
a) An accredited provider shall apply for
approval of a special education activity on a form to be
provided by the MCLE Committee. It shall contain a
detailed description of the provider, the course, the
course materials, the lectures and the activity and shall be
submitted at least forty-five (45) days prior to the
presentation of the activity.
b) The provider may not publish that a special
education activity has been approved except with prior
written approval of the Committee.
c) The special education activity must meet the
standards set forth in Section 2, Rule 8 and these
Implementing Regulations.
 
Section 9: Accreditation of Continuing Legal Education
Providers
a. Application may be made for accreditation as
a continuing legal education provider by submitting the
appropriate form to the Committee and paying the
required fee.
b. The grant of accreditation shall be effective for
a period of two (2) years from the date of the grant.
Accreditation may be renewed upon compliance with the
requirements of the Committee.
c. Accreditation of a continuing legal education
provider may be revoked by the Committee, upon notice
and hearing, for any of the following grounds:
1.  Failure to comply with any
of the reporting requirements
under the Rules and these
Regulations;
2. Sub-standard content of the
course material or the quality
of the continuing legal
education activities as
determined by the Committee
under the Rules and these
Regulations:
3. Any misrepresentation in the
application for accreditation as
provider, or, in the application
for approval of a continuing
legal education activity.
4. Failure to comply with any
other requirements of the
Committee.
d. An applicant for accreditation as provider
shall present a program of continuing legal education
activity which meets the standards set forth in Section 2
of Rule 8.
e. For the renewal of its accreditation, a provider
must demonstrate to the Committee that its continuing
legal education activities have consistently met the
standards of quality set forth in the Rules and in these
Regulations.
f. Where a continuing legal education activity
has been approved and the activity is offered by an
accredited provider, the latter may announce, in its
brochures and/or registration materials that: "This
program has been approved by the MCLE Committee for
hours of continuing legal education credit. "
 
Section 10: Reporting Duties of Providers
a) An accredited provider of a continuing legal
education activity, program, or course is required to
maintain an official record verifying the attendance of a
member at the activity, program, or course for at least
four (4) years after the completion date. The provider
shall include the member in the official record of
attendance only if the member's signature was obtained
at the time of attendance. at the activity, program, or
course. The official record of attendance shall contain the
member's name and number in the Roll of Attorneys and
shall identify the time, date, location, subject matter, and
length of the education activity. A copy of such record
shall be furnished the Committee through the IBP.
b) The provider shall certify that:
1. The activity has been approved by the
Committee for - hours as appropriate to the content of the
activity;
2. The activity conforms to the standards
prescribed by the Rules and these Implementing
Regulations.
c) Upon the termination of the continuing legal
education activity, program or course, the provider shall
issue a certificate of attendance to each participant
identifying the time, date, location, subject matter and
length of the activity and the number of credit units
earned.
d) The provider shall allow in-person
observation of all approved continuing legal education
activities by members of the IBP Board of Governors, the
MCLE Committee, or designees of the Committee and
IBP Board for purposes of monitoring compliance with
the Rules and these Implementing Regulations.
e) Any person or group who conducts an
unauthorized legal education activity, program, or course
and/or issues a spurious certificate in violation of the
Rules and these Regulations, shall be subject to
appropriate sanctions.
 
Section 11: Determination of Lawyer's Compliance
a) The Committee shall maintain current records
of continuing legal education for every lawyer to whom
the Rules and these Implementing Regulations apply.
Pursuant to Committee policy, these records shall be
made available to the lawyers concerned at a time and
place convenient to the Committee.
b) The continuing legal education requirement
must be completed by the end of the compliance
period. Every lawyer not exempt under the Rules and
these Regulations shall report to the Committee the credit
units earned by him during the compliance period duly
certified by the providers.
c) A lawyer whose report shows full compliance
with the continuing legal education requirement shall be
issued a compliance card by the Committee.
 
Section 12: Compliance Procedures
a. Each member not otherwise exempt under the
Rules or whose exempt status the Committee may take
judicial notice of, shall secure from the MCLE Committee
a Compliance Card before the end of his compliance
period. He shall complete the card by attesting under
oath that he has complied with the education requirement
or that he is exempt, specifying the nature of the
exemption. Such Compliance Card must be returned to
the Committee not later than the day after the end of the
member's compliance period
b. Each member shall maintain a sufficient
record of compliance or exemption, copy furnished
the MCLE Committee. The record or certificate issued by
the provider to all participants identifying the time, date,
location, subject matter and length of the activity shall be
a sufficient record of attendance at such participatory
activity. A record of non-participatory activity shall also
be maintained by the member .
c. If a lawyer fails to comply with any
requirement under the Rules, the Committee will send
him/her a notice of noncompliance on any of the
following deficiencies:
1) Failure to complete the education requirement
within the compliance period;
2) Failure to provide attestation of compliance or
exemption;
3) Failure to provide satisfactory evidence of
compliance (including evidence of exempt status) within
the prescribed period;
4) Failure to satisfy the education requirement
and furnish evidence of such compliance within sixty (60)
days from receipt of a non-compliance notice.
5) Any other act or omission analogous to any of
the foregoing or intended to circumvent or evade
compliance with the MCLE requirements.
d. A member failing to comply with the
continuing legal education requirement will receive a
Non-Compliance Notice stating his specific deficiency
and will be given sixty (60) days from the receipt of the
notification to explain the deficiency or otherwise show
compliance with the requirements. Such notice shall be
written in capital letters as follows:
 
YOUR FAILURE TO
PROVIDE ADEQUATE JUSTIFICATION FOR
NON-COMPLIANCE OR PROOF OF
COMPLIANCE WITH THE MCLE
REQUIREMENT WITHIN 60 DAYS FROM
RECEIPT OF THIS NOTICE, SHALL BE A
CAUSE FOR LISTING YOU AS A
DELINQUENT MEMBER AND SHALL NOT
BE PERMITTED TO PRACTICE LAW UNTIL
SUCH TIME AS ADEQUATE PROOF OF
COMPLIANCE IS RECEIVED BY THE MCLE
COMMITTEE.
 
The Member may use the 60-day period to
complete his compliance with the MCLE requirement.
Credit units earned during this period may only be
counted toward compliance with the prior compliance
period requirement unless units in excess of the
requirement are earned, in which case the excess may be
counted toward meeting the current compliance period
requirement.
e. A member who is in non-compliance at the
end of the compliance period shall pay a non-compliance
fee of P1,000.00 and shall be listed as a delinquent
member of the IBP by the IBP Board of Governors upon
the recommendation of the MCLE Committee, in which
case Rule 139-A of the Rules of Court shall apply.
 
Section 13: Reinstatement
a) Involuntary listing as a delinquent member
shall be terminated when the member submits proof of
full compliance to the IBP Board of Governors. While he
is on inactive status, he may earn the necessary credit
units to complete the requirement for the period of non-
compliance. These credit units may. not be counted
toward meeting the requirement of the current
compliance period. Any excess credit units earned by him
to satisfy the prior compliance period requirements, shall
be counted towards meeting the requirements of the
current compliance period.
b) The MCLE Committee shall be notified by the
IBP Board of Governors of the reinstatement of a
delinquent member .
c) Upon reinstatement, the member shall pay the
IBP a reinstatement fee in the amount of P1,000.00.
 
Section 14: Reporting Period After Reinstatement
The compliance period for a member who is
reinstated to active status following his/her suspension,
disbarment or resignation shall start on the date of
reinstatement and shall end at the conclusion of the next
compliance period.
Section 15: Schedule of Fees
The following is the schedule of fees to be paid
by providers and lawyers:
a. Fee to accompany application for accreditation
as CLE provider .….P2,000.00 (P 1,000.00 only for a
government educational institution or office or an IBP
Chapter)
b. Fee to accompany application for approval of
CLE activity... P100.00 per expected participant/attendee
subject to verification of official attendance record
submitted by the Provider.  (A government educational
institution or office, or IBP Chapter accredited as MCLE
Provider, shall pay a nominal fee of P500.00 per
application for approval of MCLE activity/program).
c. Fee to accompany application for exemption
from CLE requirement under Rule 7, Section 3
………….P1,000.00.
d. Fee for non-compliance with CLE
requirement………P1,000.00
e. Reinstatement
fee……………………………………...P1,000.00
This resolution shall take effect on the first of
December 2001, following its publication in two (2)
newspapers of general circulation in the Philippines .
 
 
 
  CODE OF JUDICIAL CONDUCT
 
  PREAMBLE
  An honorable competent and independent judiciary
  exists to administer justice and thus promote the unity of
  the country, the stability of government, and the well-
  being of the people.
   
  CANON 1: A judge should uphold the integrity and
 
independence of the Judiciary
 
 
 
Rule 1.01. A judge should be the embodiment of
 
  competence, integrity, probity, and independence.
Rule 1.02. A judge should administer justice impartially
and without delay.
Rule 1.03. A judge should be vigilant against any attempt
to subvert the independence of the judiciary and should
forthwith resist any pressure from whatever source
intended to influence the performance of official
functions.
 
CANON 2: A judge should avoid impropriety and the
appearance of impropriety in all activities
 
 Rule 2.01. A judge should at all times promote public
confidence in the integrity and impartiality of the
judiciary. It is not necessary for the proper performance
of judicial duty that a judge lives in seclusion. Insofar as
workload will permit, it is desirable that a judge mingle
socially and maintain interest in the activities of the bar.
Rule 2.02. A judge should not seek publicity for personal
vain-glory.
Rule 2.03. A judge should not allow family, social, or
other relationships to influence judicial conduct or
judgement. The prestige of judicial office should not be
used or lent to advance the private interests of others, nor
convey or permit others to convey the impression that
they are in a special position to influence the judge.
Rule 2.04. A judge should refrain from influencing in any
manner the outcome of litigation pending before another
court or judge.
 
CANON 3: A judge should perform official duties
honestly, and with impartiality and diligence
ADJUDICATIVE RESPONSIBILITIES
Rule 3.01. A judge in accordance with sworn duties
should be faithful to the law and maintain professional
competence in it.
Rule 3.02. In every case, a judge should endeavor
diligently to ascertain the facts and the applicable laws,
unswayed by partisan interests, public opinion or fear of
criticism.
Rule 3.03. A judge should maintain order and proper
decorum in the court.
Rule 3.04. A judge should be patient, attentive, and
courteous to lawyers, especially the inexperienced; to
litigants, witnesses and others appearing before the court.
A judge should avoid unconsciously falling into the
attitude of mind that the litigants are made for the courts,
instead of the courts for the litigants.
Rule 3.05. A judge should dispose of the court's business
promptly and decide cases within the required periods.
Rule 3.06. While a judge may properly intervene in the
trial of a case to promote justice, prevent waste of time or
clear up some obscurity, it should always be borne in
mind that undue interference may prevent the proper
presentation of the cause or the ascertainment of truth.
Rule 3.07. A judge should abstain from making public
comments on any pending or impending case and should
require similar restraint on the part of court personnel.
 
ADMINISTRATIVE RESPONSIBILITIES
Rule 3.08. A judge should diligently discharge
administrative responsibilities, maintain professional
competence in court management, and facilitate the
performance of the administrative functions of other
judges and court personnel.
Rule 3.09. A judge should organize and supervise the
court personnel to ensure the prompt and efficient
dispatch of business, and require at all times the
observance of high standards of public service and
fidelity.
Rule 3.10. A judge should take or initiate appropriate
disciplinary measures against a lawyer or court personnel
for unprofessional conduct of which the judge may have
become aware.
Rule 3.11. A judge should appoint commissioners,
referees, receivers, trustees, guardians, administrators
and others strictly on the basis of merit and qualifications,
avoiding nepotism and favoritism. Except as may be
allowed by law, the same criteria should be observed in
recommending appointment of court personnel. Where
the payment of compensation is allowed, it should be
reasonable and commensurate to the fair value of services
rendered.
 
DISQUALIFICATIONS
Rule 3.12. A judge should take no part in a proceeding
where the judge's impartiality might reasonably be
questioned. These cases include proceedings where:
a) The judge has personal bias or prejudice
concerning a part, or personal knowledge of disputed
evidentiary facts concerning the proceeding;
b) The judge served as executor, administrator,
guardian, trustee or lawyer in the case or matters in
controversy, or a former associate of the judge served as
counsel during their association, or the judge or lawyer
was a material witness therein;
c) The judge's ruling in a lower court is the
subject of review;
d) The judge is related by consanguinity or
affinity to a party litigant within the sixth degree or to
counsel within the fourth degree;
e) The judge knows that the judge's spouse or
child has a financial interest, as heir, legatee, creditor,
fiduciary, or otherwise, in the subject matter in
controversy or in a party to the proceeding, or any other
interest that could be substantially affected by the
outcome of the proceeding.
 
REMITTAL OF DISQUALIFICATION
Rule 3.13. A judge disqualified by the terms of Rule 3.12
may, instead of withdrawing from the proceeding,
disclose on the records the basis of disqualification. If,
based on such disclosure, the parties and lawyers
independently of the judge's participation, all agree in
writing that the judge's relationship is immaterial or that
the financial interest is unsubstantial, the judge may then
participate in the proceeding. The agreement, signed by
all parties and lawyers, shall be incorporated in the
record of the proceeding.
CANON 4: A judge may, with due regard to official
duties, engage in activities to improve the law, the legal
system and the administration of justice
 spouse and relatives within the second degree of
Rule 4.01. A judge may, to the extent that the following consanguinity. As a family fiduciary, a judge shall not:
activities do not impair the performance of judicial duties 1) Serve in proceedings that might come before
or cast doubt on the judge's impartiality: the court of said judge; or
a) Speak, write, lecture, teach or participate in 2) Act as such contrary to Rules 5.02 to 5.05.
activities concerning the law, the legal system and the  
administration of justice;  
b) Appear at a public hearing before a legislative PRACTICE OF LAW AND OTHER PROFESSION
or executive body on matters concerning the law, the
legal system or the administration of justice and Rule 5.07. A judge should not engage in the private
otherwise consult with them on matters concerning the practice of law. Unless prohibited by the Constitution or
administration of justice; law, a judge may engage in the practice of any other
c) Serve on any organization or governmental profession provided that such practice will not conflict or
agency devoted to the improvement of the law, the legal tend to conflict with judicial functions.
system or the administration of justice.  
  FINANCIAL DISCLOSURE
CANON 5: A Judge should regulate extra-judicial
activities to minimize the risk of conflict with judicial Rule 5.08. A judge shall make full disclosure as required
duties by law.
Rule 5.09. A judge should not act as an arbitrator or
AVOCATIONAL CIVIL AND CHARITABLE mediator.
ACTIVITIES  
EXTRA-JUDICIAL APPOINTMENTS
Rule 5.01. A judge may engage in the following activities
provided they do not interfere with the performance of Rule 5.10. A judge should not accept appointment or
judicial duties or detract from the dignity of the court: designation to any agency performing quasi-judicial or
a) Write, lecture, teach and speak on non-legal administrative functions.
subjects;  
b) Engage in the arts, sports, and other special POLITICAL ACTIVITIES
recreational activities;
c) Participate in civic and charitable activities; Rule 5.11. A judge is entitled to entertain personal views
d) Serve as an officer, director, trustee, or non- on political questions. But to avoid suspicion of political,
legal adviser of a non-profit or non-political educational, a judge should not make political speeches, contribute to
religious, charitable, fraternal, or civic organization. party funds, publicly endorse candidates for political
  office or participate in other partisan political activities.
FINANCE ACTIVITIES  
COMPLIANCE WITH THE CODE OF JUDICIAL
Rule 5.02. A judge should refrain from financial and CONDUCT
business dealings that tend to reflect adversely on the All judges should strictly comply with this Code.
court's impartiality, interfere with the proper  
performance of judicial activities, or increase involvement ***END***
with lawyers or persons likely to come before the court. A
judge should so manage investments and other financial
interests to minimize the number of cases giving grounds
for disqualification, and if necessary, divest such
investments and interests. Divestment shall be made
within one year from the effectivity of this Code or from
appointment, as the case may be.
Rule 5.03. Subject to the provisions of the preceding rule,
a judge may hold and manage investments but should
not serve as an officer, director, manager, advisor, or
employee of any business except as director, or non-legal
consultant of a family business.
Rule 5.04. A judge or any immediate member of the
family shall not accept a gift, bequest, favor or loan from
anyone except as may be allowed by law.
Rule 5.05. A judge should not serve as the executor,
administrator, trustee, guardian, or other fiduciary,
except for the estate, trust, or person of a member of the
immediate family, and then only if such service will not
interfere with the proper performance of judicial duties.
"Member of immediate family" shall be limited to the