Judicial Ethics Reminders

Recoletos Cebu Law Center
“Home of the best bar reviewers in the country.”
REMINDERS IN JUDICIAL ETHICS
II. JUDICIAL ETHICS
A. SOURCES
1. New Code of Judicial Conduct
2. Code of Judicial Conduct
B. QUALITIES
1. Independence
Judicial independence is a pre-requisite to the rule of law and

a fundamental guarantee of a fair trial. A judge shall therefore
uphold and exemplify judicial independence in both its individual
and institutional aspects.
SECTION 1. Judges shall exercise the judicial function

independently on the basis of their assessment of the facts and in
accordance with a conscientious understanding of the law, free of
any extraneous influence, inducement, pressure, threat or
interference, direct or indirect, from any quarter or for any reason.
SEC. 2. In performing judicial duties, judges shall be

independent from judicial colleagues in respect of decisions which
the judge is obliged to make independently.
SEC. 3. Judges shall refrain from influencing in any manner the

outcome of litigation or dispute pending before another court or
administrative agency.
REMEDIAL LAW Judicial Ethics [1]

SEC. 4. Judges shall not allow 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.
SEC. 5. Judges shall not only be free from inappropriate

connections with, and influence by, the executive and legislative
branches of government, but must also appear to be free therefrom
to a reasonable observer.
SEC. 6. Judges shall be independent in relation to society in

general and in relation to the particular parties to a dispute which he
or she has to adjudicate.
SEC. 7. Judges shall encourage and uphold safeguards for the

discharge of judicial duties in order to maintain and enhance the
institutional and operational independence of the judiciary.
SEC. 8. Judges shall exhibit and promote high standards of

judicial conduct in order to reinforce public confidence in the
judiciary, which is fundamental to the maintenance of judicial
independence.
2. Integrity
Integrity is essential not only to the proper discharge of the

judicial office but also to the personal demeanor of judges.
SECTION 1. Judges shall ensure that not only is their conduct

above reproach, but that it is perceived to be so in the view of a
reasonable observer.
SEC. 2. The behavior and conduct of judges must reaffirm the

people’s faith in the integrity of the judiciary. Justice must not merely

be done but must also be seen to be done.
SEC. 3. Judges should take or initiate appropriate disciplinary

measures against lawyers or court personnel for unprofessional
conduct of which the judge may have become aware.
3. Impartiality
Impartiality is essential to the proper discharge of the judicial

office. It applies not only to the decision itself but also to the process
by which the decision is made.
SECTION 1. Judges shall perform their judicial duties without

favor, bias or prejudice.
SEC. 2. Judges shall ensure that his or her conduct, both in and
out of court, maintains and enhances the confidence of the public,
the legal profession and litigants in the impartiality of the judge and
of the judiciary.
SEC. 3. Judges shall, so far as is reasonable, so conduct

themselves as to minimize the occasions on which it will be
necessary for them to be disqualified from hearing or deciding
cases.
SEC. 4. Judges shall not knowingly, while a proceeding is

before or could come before them, make any comment that might
reasonably be expected to affect the outcome of such proceeding
or impair the manifest fairness of the process. Nor shall judges make
any comment in public or otherwise that might affect the fair trial of
any person or issue.
SEC. 5. Judges shall disqualify themselves from participating in

any proceedings in which they are unable to decide the matter
impartially or in which it may appear to a reasonable observer that
they are unable to decide the matter impartially. Such proceedings
include, but are not limited to, instances where

(a) The judge has actual bias or prejudice concerning a party

or personal knowledge of disputed evidentiary facts concerning the
proceedings;
(b) The judge previously served as a lawyer or was a material
witness in the matter in controversy;
(c) The judge, or a member of his or her family, has an
economic interest in the outcome of the matter in controversy;
(d) The judge served as executor, administrator, guardian,
trustee or lawyer in the case or matter 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;
(e) The judge’s ruling in a lower court is the subject of review;
(f) The judge is related by consanguinity or affinity to a party
litigant within the sixth civil degree or to counsel within the fourth civil
degree; or
(g) The judge knows that his or her 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 proceedings;
SEC. 6. A judge disqualified as stated above 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 reason for the inhibition is immaterial or 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 proceedings.
4. Propriety
Propriety and the appearance of propriety are essential to the

performance of all the activities of a judge.
SECTION 1. Judges shall avoid impropriety and the appearance

of impropriety in all of their activities.

SEC. 2. As a subject of constant public scrutiny, judges must

accept personal restrictions that might be viewed as burdensome
by the ordinary citizen and should do so freely and willingly. In
particular, judges shall conduct themselves in a way that is
consistent with the dignity of the judicial office.
SEC. 3. Judges shall, in their personal relations with individual

members of the legal profession who practice regularly in their court,
avoid situations which might reasonably give rise to the suspicion or
appearance of favoritism or partiality.
SEC. 4. Judges shall not participate in the determination of a

case in which any member of their family represents a litigant or is
associated in any manner with the case.
SEC. 5. Judges shall not allow the use of their residence by a

member of the legal profession to receive clients of the latter or of
other members of the legal profession.
SEC. 6. Judges, like any other citizen, are entitled to freedom of

expression, belief, association and assembly, but in exercising such
rights, they shall always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the impartiality and
independence of the judiciary.
SEC. 7. Judges shall inform themselves about their personal

fiduciary and financial interests and shall make reasonable efforts to
be informed about the financial interests of members of their family.
SEC. 8. Judges shall not use or lend the prestige of the judicial
office to advance their private interests, or those of a member of
their family or of anyone else, nor shall they convey or permit others
to convey the impression that anyone is in a special position
improperly to influence them in the performance of judicial duties.

SEC. 9. Confidential information acquired by judges in their

judicial capacity shall not be used or disclosed for any other
purpose related to their judicial duties.
SEC. 10. Subject to the proper performance of judicial duties,

judges may
(a) Write, lecture, teach and participate in activities

concerning the law, the legal system, the administration of justice or
related matters;
(b) Appear at a public hearing before an official body
concerned with matters relating to the law, the legal system, the
administration of justice or related matters;
(c) Engage in other activities if such activities do not detract
from the dignity of the judicial office or otherwise interfere with the
performance of judicial duties.
SEC. 11. Judges shall not practice law whilst the holder of
judicial office.
SEC. 12. Judges may form or join associations of judges or

participate in other organizations representing the interests of
judges.
SEC. 13. Judges and members of their families shall neither ask
for, nor accept, any gift, bequest, loan or favor in relation to
anything done or to be done or omitted to be done by him or her in
connection with the performance of judicial duties.
SEC. 14. Judges shall not knowingly permit court staff or others
subject to their influence, direction or authority, to ask for, or accept,
any gift, bequest, loan or favor in relation to anything done or to be
done or omitted to be done in connection with their duties or
functions.
SEC. 15. Subject to law and to any legal requirements of public

disclosure, judges may receive a token gift, award or benefit as
appropriate to the occasion on which it is made, provided that such

gift, award or benefit might not reasonably be perceived as

intended to influence the judge in the performance of judicial duties
or otherwise give rise to an appearance of partiality.
5. Equality
Ensuring equality of treatment to all before the courts is

essential to the due performance of the judicial office.
SECTION 1. Judges shall be aware of, and understand, diversity

in society and differences arising from various sources, including but
not limited to race, color, sex, religion, national origin, caste,
disability, age, marital status, sexual orientation, social and
economic status and other like causes.
SEC. 2. Judges shall not, in the performance of judicial duties,

by words or conduct, manifest bias or prejudice towards any person
or group on irrelevant grounds.
SEC. 3. Judges shall carry out judicial duties with appropriate

consideration for all persons, such as the parties, witnesses, lawyers,
court staff and judicial colleagues, without differentiation on any
irrelevant ground, immaterial to the proper performance of such
duties.
SEC. 4. Judges shall not knowingly permit court staff or others

subject to his or her influence, direction or control to differentiate
between persons concerned, in a matter before the judge, on any
irrelevant ground.
SEC. 5. Judges shall require lawyers in proceedings before the

court to refrain from manifesting, by words or conduct, bias or
prejudice based on irrelevant grounds, except such as are legally
relevant to an issue in proceedings and may be the subject of
legitimate advocacy.
6. Competence and diligence

Competence and diligence are prerequisites to the due

performance of judicial office. SECTION 1. The judicial duties
of a judge take precedence over all other activities.
SEC. 2. Judges shall devote their professional activity to judicial
duties, which include not only the performance of judicial functions
and responsibilities in court and the making of decisions, but also
other tasks relevant to the judicial office or the court’s operations.
SEC. 3. Judges shall take reasonable steps to maintain and

enhance their knowledge, skills and personal qualities necessary for
the proper performance of judicial duties, taking advantage for this
purpose of the training and other facilities which should be made
available, under judicial control, to judges.
SEC. 4. Judges shall keep themselves informed about relevant

developments of international law, including international
conventions and other instruments establishing human rights norms.
SEC. 5. Judges shall perform all judicial duties, including the

delivery of reserved decisions, efficiently, fairly and with reasonable
promptness.
SEC. 6. Judges shall maintain order and decorum in all

proceedings before the court and be patient, dignified and
courteous in relation to litigants, witnesses, lawyers and others with
whom the judge deals in an official capacity. Judges shall require
similar conduct of legal representatives, court staff and others
subject to their influence, direction or control.
SEC. 7. Judges shall not engage in conduct incompatible with

the diligent discharge of judicial duties.
C. ADMINISTRATIVE JURISDICTION OVER JUDGES AND JUSTICES
A. SUPREME COURT

Under Sec. 2, Art. XI , 1987 Constitution, Justices of the Supreme

Court may be removed from office, on impeachment, and
conviction of culpable violation of the Constitution, treason, bribery,
graft and corruption, other high crimes, or betrayal of public trust; all
other Justices and judges from the Court of Appeals to the lowest
level may be removed from office as provided by law, but not by
impeachment.
B. ALL OTHER COURTS
Pursuant to Sec. 6, Art. VIII, 1987 Constitution, only the Supreme

Court can oversee compliance with the law and the ROC on the part
of the Presiding Justice of the CA down to the lowest municipal trial
court judge and take the proper administrative action against them
if they commit any violation thereof, requiring supervisory or
administrative sanction [Agpalo, (2004)].
Thus, the Ombudsman has no power to entertain and

investigate administrative complaints against judges and court
personnel. Complaints against judges and court personnel should
accordingly be filed with the Supreme Court [Maceda v. Vasquez,
supra.; Dolalas v. Office of the Ombudsman, G.R. 118808 (1996)].
Administrative jurisdiction over a court employee belongs to

the Supreme Court, regardless of whether the offense was
committed before or after employment in the judiciary. Indeed, the
standard procedure is for the CSC to bring its complaint against a
judicial employee before the Office of the Court Administrator
[Ampong v. CSC, G.R. 167916 (2008)].
In order for the Court to acquire jurisdiction over an

administrative case, the complaint must be filed during the
incumbency of the respondent. Once jurisdiction is acquired, it is not
lost by reason of respondent’s cessation from office [Re: Missing
Exhibits and Court Properties in Regional Trial Court, Branch 4, Panabo
City, Davao Del Norte, AM. 10-2-41- RTC (2013)].

Pursuant to Sec. 11, Art. VIII, 1987 Constitution, the Supreme

Court en banc shall have the power to discipline judges of lower
courts, or order their dismissal by a vote of majority of the Members
who actually took part in the deliberations on the issues in the case
and voted thereon.
D. DISQUALIFICATION OF JUDICIAL OFFICERS
Q: What is compulsory disqualification?

No judge or judicial officer shall sit in any case, without the written
consent of all parties in interest and entered upon the record, in
which:
1. He, or his wife or child, is pecuniarily interested as heir, legatee,

creditor or otherwise; or
2. He is related to either party within the 6th degree of consanguinity

or affinity, or to counsel within the 4th degree, computed according
to the rules of civil law;
3. He has been executor, administrator, guardian, trustee or counsel;

or
4. He has presided in any inferior court when his ruling or decision is

the subject of review [par. 1, Sec. 1].
The rule on compulsory disqualification of a judge to hear a

case rests on the salutary principle that no judge should preside in a
case in which he is not wholly free, disinterested, impartial and
independent. A judge has both the duty of rendering a just decision
and the duty of doing it in a manner completely free from suspicion
as to its fairness and as to his integrity.
The law conclusively presumes that a judge cannot objectively

or impartially sit in such a case and, for that reason, prohibits him
and strikes at his authority to hear and decide it, in the absence of
written consent of all parties concerned. The purpose is to preserve
the people's faith and confidence in the courts' justice [Garcia v. De
La Peña, A.M. MTJ-92- 687 (1994)].
The relationship of the judge with one of the parties may color
the facts and distort the law to the prejudice of a just decision. Where
this is probable or even only possible, due process demands that
the judge inhibit himself, if only out of a sense of delicadeza [Javier
v. COMELEC, G.R. L-68379-81 (1996)].
Q: What are the grounds for compulsory inhibition of a judge – asked

in 2004 and 2010 [LEX PARETO (2014)]?
1. Actual bias or prejudice
In Umale v. Villaluz (1973), a judge inhibited himself from trying

a robbery case due to his personal knowledge of the case. The
Supreme Court stated that it is possible that the respondent Judge
might be influenced by his personal knowledge of the case when he
tries and decides the same on the merits, which would certainly
constitute a denial of due process to the party adversely affected
by his judgment or decision. Thus, it is best that, after some reflection,
the judge, on his own initiative disqualified himself from hearing the
robbery case and thereby rendering himself available as witness to
any of the parties subject to cross- examination.
In People v. Gomez (1967), the judge dismissed criminal
informations on the suspicion, arising from a dinner invitation from a
stranger and a subsequent personal investigation, that the court was
being used as a forum for extortion and exploitation of the persons
charged. The Supreme Court found this unstated extraneous matter
makes the dismissal as one affected with partiality and bias. The
prayer of the judge to be disqualified in hearing the case because
he has lost all respect in the manner in which the prosecutor has
been prosecuting the case was granted.

2. Economic interest of judge or his family
In Oktubre v. Velasco (2004), a municipal judge, as private

complainant, caused three criminal complaints to be filed before his
own court. He also issued a warrant of arrest and subpoenas before
finally inhibiting himself from hearing the cases. The Supreme Court
found him guilty of grave misconduct, gross ignorance of the law
and grave abuse of authority, and dismissed him from service. It
stated that the idea that a judge can preside over his own case is
anathema to the notion of impartiality and that his subsequent
inhibition from the three cases does not detract from his culpability
for he should not have taken cognizance of the cases in the first
place.
3. Reviewing own cases
In Sandoval v. CA (1996), the Supreme Court held that an

Associate Justice who only partly presided over a case in the trial
court and who did not render the final decision cannot be said to
have been placed in a position where he had to review his own
decision and, as such, was not legally bound, on this ground, to
inhibit himself as ponente of the case. Nevertheless, it was held that
he should have voluntarily inhibited himself for his earlier
involvement in the case constitutes just or valid reason under Sec. 1,
Rule 137. A judge should not handle a case in which he might be
perceived, rightly or wrongly, to be susceptible to bias and partiality.
4. Previously served as counsel
A judge may validly disqualify himself due to his bias and

prejudice. [However,] bias and prejudice cannot be presumed
[Soriano v. Angeles (2000)]. The mere imputation of bias or partiality
is not sufficient for a judge to inhibit, especially when the charge is
without basis. Itmust be proven with clear and convincing evidence.
[Gochan v. Gochan (2003)] Moreover, it has been held that bias and
prejudice must be shown to have stemmed from an extra-judicial
source and result in an opinion on the merits on some basis other
than the evidence presented [Aleria v. Velez (1998)].

5. Other examples
Disqualification was also allowed when the judge has been

previously associated with a party as counsel, [Austria v. Masaquel
(1978)] notarized the affidavit of a person to be presented as witness
[Mateo v. Villaluz (1973)], if he is a material witness to a case [AmJur;
Lewis v. State (2002)]
Q: What is voluntary disqualification?

A judge may, in the exercise of his sound discretion, disqualify
himself from sitting in a case, for just or valid reasons other than those
mentioned [par. 2, Sec. 1].
Sec. 5, Canon 3, New Code of Judicial Conduct of the Philippine
Judiciary, A.M. 03-05-91- SC (2004):
Judges shall disqualify themselves from participating in any

proceedings in which they are unable to decide the matter
impartially or in which it may appear to a reasonable observer that
they are unable to decide the matter impartially. Such proceedings
include, but are not limited to, instances where:
a.The judge has actual bias or prejudice concerning a party or

personal knowledge of disputed evidentiary facts concerning the
proceedings;
b. The judge previously served as a lawyer or was a material witness

in the matter in controversy;
c. The judge, or a member of his or her family, has an economic

interest in the outcome of the matter in controversy;
d. The judge served as executor, administrator, guardian, trustee, or

lawyer in the case or matter 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;
e. The judge’s ruling in a lower court is the subject of review;
f. The judge is related by consanguinity or affinity to a party litigant

within the 6th civil degree or to counsel within the fourth civil degree;
or
g. The judge knows that his or her 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 proceedings.
A judge must maintain and preserve the trust and faith of the
parties-litigants. He must hold himself above reproach and
suspicion. At the very first sign of lack of faith and trust to his actions,
whether well-grounded or not, the judge has no other alternative but
inhibit himself from the case.
A judge may not be legally prohibited from sitting in a

litigation, but when circumstances appear that will induce doubt to
his honest actuations and probity in favor of either party, or incite
such state of mind, he should conduct a careful self-examination.
He should exercise his discretion in a way that the people's faith in
the courts of justice is not impaired. The better course for the judge
under such circumstances is to disqualify himself. That way, he
avoids being misunderstood, his reputation for probity and
objectivity is preserved [Bautista v. Rebueno, G.R. L-46117 (1978)].
A judge should not be disqualified because he was a

classmate (or a co-member in a fraternity) of one of the counsels if
there is no proof that such relationship results in actual bias or
prejudice. To allow disqualification would unnecessarily burden

other trial judges to whom the case will be assigned. Confusion

would result, because a judge would then be barred from sitting in a
case whenever one of his former classmates (and he could have
many) appeared. [Masadao and Elizaga, cited in Lex Pareto (2014)]
Mere fact that a counsel who is appearing before a judge was

one of those who recommended him to the Bench is not a valid
ground from voluntary inhibition. “Utang na loob” per se should not
be a hindrance to the administration of justice. Nor should
recognition of such value prevent the performance of judicial
duties. However, where the judge admits that he may be suspected
of surrendering to the persuasions of utang na loob, and he may
succumb to it considering that he and members of the family, no
less shall ever remain obliged in eternal gratitude to the
recommending counsel, the judge should inhibit himself. [Query of
Executive Judge Estrella Estrada, etc, A.M. No. 87-9-3918-RTC (1987)
cited in Lex Pareto (2014)]
The mere imputation of bias or partiality is not enough ground

for inhibition, especially when the charge is without basis. Extrinsic
evidence must further be presented to establish bias, bad faith,
malice, or corrupt purpose, in addition to palpable error which may
be inferred from the decision or order itself [Philippine Commercial
International Bank v. Dy Hong Pi, G.R. 171137 (2009)].
E. DISCIPLINE OF MEMBERS OF THE JUDICIARY
The members of the Supreme Court and judges of lower courts

shall hold office during a good behavior until they reach the age of
seventy years or become incapacitated to discharge the duties of
their office [Sec. 11, Art. VIII, 1987 Constitution].
Q: Who are Members of the Supreme Court?

Members of the Supreme Court may be removed from office
on impeachment for, and conviction of, culpable violation of the
Constitution, treason, bribery, graft and corruption, other high
crimes, or betrayal of public trust [Sec. 2, Article XI, 1987

Constitution].
The impeachment of public officials has been established for

removing otherwise constitutionally tenured and independent public
officials for culpable violation of the Constitution, treason, bribery,
graft and corruption, other high crimes, or betrayal of public trust.
The power to initiate impeachment cases rests with the House of the
Representatives while the power to try the same rests with the
Senate.
Q: What is the procedure for impeachment?
PROCEDURE
Based on Sec. 3, Article VI, 1987 Constitution, the steps leading

to impeachment are as follows:
1.A verified complaint for impeachment is filed by a member of the

House or endorsed by him;
2. The complaint is included in the order of business of the House;
3. The House refers the complaint to the proper committee;
4. The committee holds a hearing, approves the resolution calling

for impeachment, and submits the same to the House;
5. The House considers the resolution and votes to approve it by at

least one-third of all its members, which resolution becomes the
article of impeachment to be filed with the Senate when approved;
and
6. The Senate tries the public official under the article [J. Abad,
Separate Concurring Opinion, Gutierrez v. HOR Committee on
Justice, G.R. 193459 (2011)].

3. Lower court judges and

justices Q: How initiated?
Proceedings for the discipline of judges of regular and special
courts and justices of the Court of Appeals and the Sandiganbayan
may be instituted:
1. Motu propio by the Supreme Court;
2. Upon the verified complaint, supported by affidavits of persons

who have personal knowledge of the facts alleged therein or by
documents which may substantiate said allegations; or
3. Upon an anonymous complaint, supported by public records of

indubitable integrity.
The complaint shall be in writing and shall state clearly and

concisely the acts and omissions constituting violations of standards
of conduct prescribed for judges, the RoC, or the Code of Judicial
Conduct [Sec. 1].
The right to institute disbarment proceedings is not confined to

clients nor is it necessary that the person complaining suffered injury
from the alleged wrongdoing. The procedural requirement observed
in ordinary civil proceedings that only the real party-in- interest must
initiate the suit does not apply in disbarment cases. Disbarment
proceedings are matters of public interest and the only basis for the
judgment is the proof or failure of proof of the charges (Figueros v.
Jimenez).
INVESTIGATION
Upon the filing of the comment of the respondent or upon the

expiration of the period for such filing, which is ten days from the
date of service to him of the copy of the complaint [Sec. 2], the SC
shall:

1.Refer the matter to the Office of the Court Administrator for

evaluation, report, and recommendation; or
2. Assign the case for investigation, report, and recommendation to:
a.A retired member of the Supreme Court, if the respondent is a

justice of the Court of Appeals and the Sandiganbayan;
b. A justice of the Court of Appeals, if the respondent is a judge of a

Regional Trial Court or of a special court of equivalent rank; or
c. A judge of the Regional Trial Court, if the respondent is a judge of

an inferior court [Sec. 3, Rule 140].
HEARING AND TERMINATION
The investigating justice or judge shall set a day for the hearing
and send notice to the parties. If the respondent fails to appear, the
investigation shall proceed ex parte.
The investigating justice or judge shall terminate the

proceedings:
1. Within 90 days from the date of its commencement; or
2. Within such extension as the Supreme Court may grant [Sec. 4].
REPORT AND ACTION
Within 30 days from termination, the investigating justice or

judge shall submit to the Supreme Court a report containing his

findings of fact and recommendation, accompanied by the

evidence and pleadings filed by the parties. Such report shall be
confidential and shall be for the exclusive use of the Supreme Court.
A copy of the decision or resolution of the court shall be

attached to the record of the respondent in the OCA [Secs. 5 and 12]
The Supreme Court shall take action on the report as the facts
and the law may warrant [Sec. 6]
AUTOMATIC CONVERSION OF ADMINISTRATIVE CASES TO

DISCIPLINARY PROCEEDINGS
Pursuant to A.M. No. 02-9-02-SC, administrative cases against

justices of the Court of Appeals and the Sandiganbayan, judges of
regular and special courts, and court officials who are lawyers, shall
also be considered a disciplinary action against them, if they are
based on grounds which are likewise grounds for the disciplinary
action of members of the bar for:
1. Violation of the Lawyer's Oath;

2. Violation of the Code of Professional Responsibility;
3. Violation of the Canons of Professional Ethics; or
4. Such other forms of breaches of conduct that have been

traditionally recognized as grounds for the discipline of lawyers.
The respondent is required to comment on the complaint and

show cause why he should not also be suspended, disbarred or
otherwise disciplinarily sanctioned as a member of the bar.
Judgment in both respects may be incorporated in one decision or
resolution.
Q: What is the effect of withdrawal or desistance?

The actuations of a judge seriously affect the public interest

inasmuch as they involve the administration of justice. It is for this

reason that a motion to withdraw a complaint will not justify the
dismissal of the administrative case against the judge.
To condition administrative actions upon the will of every

complainant, who may, for one reason or another, condone a
detestable act, is to strip the Supreme Court of its supervisory power
to discipline erring members of the judiciary [Anguluan v. Taguba
(1979)].
Complainant's desistance is not an obstacle to the taking of

disciplinary action against a judge if the record reveals that he had
not performed his duties properly [Espayos v. Lee (1979)].
Q: What are the Grounds and Sanctions against judges?

General rule: A judge cannot be subjected to liability – civil,
criminal, or administrative – for any of his official acts, not matter how
erroneous, as long as he acts in good faith (i.e. in the absence of
fraud, malice, dishonesty, or corruption) [Agpalo (2004)].
Ratio: A judicial officer, in exercising the authority vested in him,

shall be free to act upon his own convictions, without apprehension
of personal consequences to himself.
This concept of judicial immunity rests upon consideration of

public policy, its purpose being to preserve the integrity and
independence of the judiciary [Pabalan v. Guevarra (1976)].
Exception: A judge may be held criminally, civilly or

administratively liable for malfeasance or misfeasance in office
[Valdez v. Valera, A.M. 1628-CAR (1978)]. Administrative charges are
classified as serious, less serious, or light [Sec. 7]
Serious Less Serious Light Charges

Charges Charges
Grounds 1. Bribery, 1. Undue 1. Vulgar
direct or delay in and
indirect; rendering a unbec
2. Dishonest decision or oming
y and order, or in condu
violations transmitting ct;
of the the records 2. Gambling in
Anti-Graft of a case; public;
and 2. Frequently 3. Fraternizing
Corrupt and with
Practices unjustified lawyers
Law (RA absences and
3019); without litigants
3. Gross leave or with
miscondu habitual pending
ct tardiness; case/
constituti 3. Unauth cases in his
ng orized court; and
violations practic 4. Undue
of the e of law; delay in
Code of 4. Violation of the
Judicial Supreme submission
Conduct; Court rule, of monthly
4. Knowingly directives, reports.
rendering and
an unjust circulars;
judgment 5. Receiving
or order as additional
determined or double
by a compensat
competent ion unless
court in an specifically
appropriat authorized
e by law;
proceeding 6. Untruthful
; statemen
5. Convicti ts in the
on of a certificat
crime e of
involving service;

moral and
turpitud 7. Simple
e; misconduct
6. Willful
failure to
pay a just
debt;
7. Borrowing
money or
property
from
lawyers
and
litigants in a
case
pending
before the
court;
8. Immorality;
9. Gross
ignorance
of the law
or
procedure
;
10.Partisan
political
activities;
and
11.Alcoholis
m and/or
vicious
habits.

Serious Less Serious Light Charges

Charges Charges
Sanctions 1. Dismissal 1. Suspension 1. A fine of
from the from office not less
service, without than
forfeiture of salary and P1,000.00
all or part of other but not
the benefits benefits for exceeding
as the not less P10,000.00;
Court may than one and/or;
determine, nor more 2. Censure;
and than three 3. Reprimand;
disqualifica months; or 4. Admoniti
tion from 2. A fine of on with
reinstatem more than warning.
ent or P10,000.00
appointme but not
nt to any exceeding
public P20,000.00
office,
including
governmen
t-owned or
controlled
corporatio

ns.
Forfeiture of
benefits
does not
include
accrued
leave
credits;
2. Suspension
from office
without
salary and
other
benefits for
more than
three but
not
exceeding
six months;
or
3. A fine of
more than
P20,000.00
but not
exceeding
P40,000.00
The word “misconduct” implies a wrongful intention and not a

mere error or judgment. For serious [or gross] misconduct 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 [In re:
Impeachment of Horrilleno (1922)].
The commission of two or administrative offenses alleged in the

same administrative complaint may aggravate the offense and
render the same serious, which will warrant dismissal of the judge
from the service [Agpalo (2004)].

The enumerated acts are not exclusive. Other acts analogous

thereto and conviction in a criminal prosecution may also be
grounds for discipline, as the word “include” in enumerating the
charges implies and as rulings of the Supreme Court on disciplinary
cases show [Agpalo (2004)].
Like misconduct, inefficiency as a ground for disciplinary

action must be serious or one which is weighty or momentous and
not trifling. Negligence in the performance of duty, if reckless in
character, could amount to serious or inexcusable inefficiency
[Agpalo (2004)]
ILLUSTRATIVE CASES [as cited in Agpalo (2004)]

1.Failure to deposit funds with the municipal treasurer or produce
them despite promise to do so [Montemayor v. Collado (1981)];
2. Misappropriation of fiduciary funds (i.e., proceeds of cash bail
bond) by depositing the check in a personal account, thus
converting the trust fund to personal use [Barja v. Beracio (1976)];
3. Extorting money from a party-litigant who has a pending case [Haw
Tay v. Singayao (1988)]:
4. Solicitation of donation for office equipment [Lecaroz v. Garcia
(1981)];
5. Frequent unauthorized absences in office [Municipal Council of
Casiguruhan, Quezon v.Morales (1974)];
6. Delay in the disposition of cases in violation of the canon that a
judge must promptly dispose of all matters submitted to him
[Balagot v. Opinion (1991)];
7. Unduly granting repeated motions for postponement [Araza v.
Reyes (1975)];
8. Unawareness of or unfamiliarity with the application of the
Indeterminate Sentence Law and duration and graduation of
penalties [In re: Paulin (1980)];
9. Reducing to a ridiculous amount (P6,000.00) the bail bond of the
accused murderer, enabling him to escape the toils of the law
[Soriano v. Mabbayad (1975)].

10. Imposing the penalty of subsidiary imprisonment on a party for

failure to pay civil indemnity in violation of RA 5465 [Monsanto v.
Palarca (1983)].
RECENT CASES
Directing a subordinate to alter the TSN by incorporating
statements pertaining to substantial matters not actually made
during the hearing [Balanay v. White, A.M. No. RTJ-16-2443, (2016)]
III. PRACTICAL EXERCISES (Very Important. 40%).
A. Demand and authorization letters
DEMAND LETTER
Date

GWAPA BB
Cebu City
Dear Gwapa BB:
I write in behalf of my client, ABC, the matter of your non-payment of

your obligation.
Records disclose that you have an outstanding obligation with my

client in the amount
of Php inclusive of interest and surcharges. Despite
repeated
demands, you failed and continuously fail to pay the aforesaid
amount.
Accordingly, FINAL DEMAND is hereby made upon you to settle

the amount of Php within FIFTEEN (15) days from receipt of this
letter. Otherwise, we will be constrained to file the necessary legal
action against you to protect the interest of my client.
I trust that you will give this matter your prompt and preferential
attention to avoid the expense and inconvenience of litigation.
Truly yours,
AUTHORIZATION LETTER
Date
ABC
Cebu City
Dear ABC:

I, the undersigned, BB GWAPA, hereby authorize DEF, to act on my

behalf in all manners relating to all dealings with the sale.
Truly yours,
BB GWAPA
B. Contract of sale
DEED OF ABSOLUTE SALE
KNOW ALL MEN BY THESE PRESENTS:
This DEED OF ABSOLUTE SALE is made, executed and entered into by:
(NAME OF SELLER), of legal age, single/married to (name of

spouse), Filipino, and with residence and postal address at (Address
of seller), hereinafter referred to as the SELLER
-AND-
(NAME OF BUYER), Filipino and with residence and postal

address at (Address of Buyer), hereinafter referred to as the BUYER.
WITNESSETH:
WHEREAS, the SELLER is the registered owner of a parcel of land

with improvements located at (Address of property to be sold) and
covered by Transfer Certificate of Title No. (TCT Number) containing
a total area of (Land Area of Property in Words) (000) SQUARE
METERS, more or less, and more particularly described as follows:

TRANSFER CERTIFICATE OF TITLE NO. 000
(Insert the technical description of the property on the title)
WHEREAS, the BUYER has offered to buy and the SELLER has
agreed to sell the above mentioned property for the amount of
(Amount in words) (P 000,000.00) Philippine currency.
C. Contract of lease
CONTRACT OF LEASE KNOW ALL MEN BY THESE PRESENTS:

This Contract of Lease made and entered into by and between:
_________, of legal age, Filipino, (single/married/widow), and a

resident of
, Philippines (hereinafter referred to as the “LESSOR”);
-and-

_________, of legal age, Filipino, (single/married/widow), and a

resident of
, Philippines (hereinafter referred to as the “LESSEE”);
WITNESSETH That:
WHEREAS, the LESSOR is the owner of a certain parcel of land

situated at _______, Philippines, more particularly described as
follows:
(Technical Description of Property)
WHEREAS, the Lessor desires to lease the afore-described property in

favor of the LESSEE and the LESSEE accepts the lease subject to the
terms and conditions herein set forth.
NOW, THEREFORE, for and in consideration of the terms and

conditions mutually agreed upon by the parties, the LESSOR hereby
lease unto the LESSEE, his heirs, successors and assigns, the above-
described parcel of land subject to the following terms and
conditions, to wit:
IN WITNESS WHEREOF, the parties have hereunto affixed their

signatures this
at , Philippines
SIGNED IN THE PRESENCE OF:

________________________
(ACKNOWLEDGEMENT)
If the question asks the details for the acknowledgement, provide
the details; otherwise, just write “(acknowledgement).”

D. Special power of attorney
SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS
I, (name of the Principal), single/married (insert name of spouse if
married), of legal age, with residence and postal address at
(Address) do hereby Appoint (Insert name of Agent/Attorney-in-
fact) single/married (insert name of spouse if married), likewise of
legal age, with postal address at (Address) as my true and legal
representative to act for and in my name and stead and to perform
the following acts:
(State the acts provided by the questionnaire).
HEREBY GRANTING unto my representative full power and authority

to execute and perform every act necessary to render effective the
power to sell the foregoing properties, as though we ourselves, have
so performed it, and HEREBY APPROVING ALL. That he may do by
virtue hereof with full right of substitution of his person and revocation
of this instrument.
IN WITNESS WHEREOF, WE HAVE HEREUNTO SET OUR HANDS

THIS____________________DAY OF 20 , AT (Insert place of execution of
this instrument).
_________________________ _______________________
(Name of Principal) (Name of Agent)
E. Verification and certificate of non-forum shopping
VERIFICATION AND CERTIFICATION OF NON-FORUM SHOPPING

I, , of legal age, (citizenship), (civil status), and

a resident of ___________after having duly sworn to in
accordance with law, do hereby depose and state:
1. That I am the (Petitioner/Complaint) in the above-entitled case;

2. That I have caused the preparation and filing of the foregoing
(Petition/etc) and I have read all the allegations therein which are
true and correct based on my personal knowledge and
authentic documents;
3. The petition is not filed to harass, cause unnecessary delay, or
needlessly increase the cost if litigation;
4. The factual allegations therein have evidentiary support or, if
specifically so identified, will likewise have evidentiary support
after reasonable opportunity for discovery;
5. Furthermore, (a) that I have not theretofore commenced any
action or filed any claim involving the same issues in any court,
tribunal or quasi-judicial agency and, to the best of my
knowledge, no such other action or claim is pending therein; (b)
if there is such other pending action or claim, a complete
statement of the present status thereof; and (c) if I should
thereafter learn that the same or similar action or claim has been
filed or is pending, I shall report that fact within five (5) calendar
days.
IN WITNESS WHEREOF, I have hereunto affixed my signature this

day
of
_____in .
______________
Affiant
(Do not include below if it is not being asked)

SUBSCRIBED AND SWORN TO before me this day of
, 20___in

_________with Driver’s License No. _______valid until_______and I

hereby
certify that I personally examined the affiant herein and that I am fully
satisfied that she voluntarily executed the foregoing petition and she
understood all the allegations herein.
Notary Public
Page No:
Doc No:
Book No:
Series of 2011.
F. Notice of hearing and explanation in motions
NOTICE OF HEARING
Atty. ________
Counsel for the
(Counsel’s Address of Record)
Greetings: Please take notice that the foregoing motion for shall
be submitted for the consideration and approval of the Honorable
Court on Friday, ______date______, at (a.m./p.m.) or as soon as
counsel and matter may be heard.
COUNSEL
EXPLANATION

This Certifies that personal services was not resorted to for the
reason that due to time, distance and manpower constraints, the
same is not applicable.
COUNSEL
G. Judicial affidavit
H. Notarial certificates: jurat and acknowledgement
SUBSCRIBED AND SWORN to before me, this day of , in the

City of__________, by _________ with Passport No. issued on
_______ at _____
Notary Public
Doc No.
Page No.
Book No.
Series of
REPUBLIC OF THE PHILIPPINES
CITY/MUNICIPALITY
OF__)SS.
ACKNOWLEDGMENT
BEFORE ME, a Notary Public for and in the

Province/City/Municipality of , personally appeared with
Community Tax Certificate No. issued on at , known
to me and to me known to be the same person who executed the

foregoing instrument and which (he/she) acknowledge to me

as (his/her) free and voluntary act and deed, consisting of only
( ) page/s, including this page in which this
Acknowledgement is written, duly signed by (him/her) and (his/her)
instrumental witnesses on each and every page hereof.
WITNESS MY HAND AND SEAL this at_______, Philippines.
NOTARY PUBLIC
Doc No.
Page No.
Book No.
Series of
I. Motions for extension fo time, to dismiss, and to declare in

default
MOTION FOR EXTENSION OF TIME
DEFENDANT, by the undersigned counsel, and unto this Honorable

Court, most respectfully states that:
1. Defendant engaged the services of undersigned counsel only on

;
2. Defendant was served with Summons and copy of the
Complaint on and thus has until ____ within which to submit an
Answer or Responsive Pleading;
3. However, due to the pressures of equally urgent professional work
and prior commitments, the undersigned counsel will not be able
to meet the said deadline;
4. As such, undersigned counsel is constrained to request for an
additional period of _____ from today within which to submit
Defendant’s Answer or Responsive Pleading. Moreover, this
additional time will also allow the undersigned to interview the
available witness and study this case further;
5. This Motion is not intended for delay but solely due to the foregoing
reasons.

PRAYER
WHEREFORE, Defendant most respectfully prays of this Honorable
Court that he be given an additional period of from today
within which to submit an Answer or other Responsive Pleading.
Other relief just and equitable are likewise prayed for.
_______, Philippines, Date .

(COUNSEL)
(NOTICE OF HEARING)
(EXPLANATION)
COPY FURNISHED:
OPPOSING COUNSEL
(CAPTION)
MOTION TO DISMISS
COMES NOW the Respondent, Inc., through the undersigned
counsel, appearing especially and solely for this purpose, and to this
Honorable Court, most respectfully moves for the dismissal of the
Complaint on the following ground that the HONORABLE COURT HAS
NOT ACQUIRED JURISDICTION OVER THE PERSON OF THE DEFENDING
PARTY.
DISCUSSION
PRAYER
WHEREFORE, it is respectfully prayed that the Complaint with respect
to the Movant Corporation be dismissed for lack of jurisdiction over
the person of the defendant.
Other reliefs just and equitable are likewise prayed for.

_________, Philippines, Date .

(COUNSEL)
(NOTICE OF HEARING)
(EXPLANATION)
COPY FURNISHED:
OPPOSING PARTY
(CAPTION)
MOTION
(TO DECLARE DEFENDANT IN DEFAULT)
Plaintiff, by counsel and unto this Honorable Court, respectfully states

that:
1. The records of the Honorable Court show that Defendant was

served with copy of the summons and of the complaint, together
with annexes thereto on ;
2. Upon verification, however, the records show that Defendant
has failed to file his Answer within the reglementary period
specified by the Rules of Court despite the service of the summons
and the complaint;
3. As such, it is respectfully prayed that Defendant be
declared in default
pursuant to the Rules of Court and that the Honorable Court
proceed to render judgment as the complaint may warrant.
PRAYER
WHEREFORE, it is respectfully prayed that Defendant be

declared in default
pursuant to the Rules of Court and that the Honorable Court
proceed to render judgment as the complaint may warrant.
Other relief just and equitable are likewise prayed for.

_________, Philippines, Date .

(COUNSEL)
(NOTICE OF HEARING)
(EXPLANATION)
COPY FURNISHED:
OPPOSING PARTY
J. Quitclaims in labor cases
Republic of the
Philippines) City of
) S.S. x—
—————x
WAIVER, RELEASE AND QUITCLAIM
I, , Filipino, of legal age, (single/married//widow), and a

resident of
, Philippines, after being sworn to in accordance with law,
depose and state:
1. That by these presents, I hereby state that I have voluntarily

resigned as
Position Held of Employer;
2. That I hereby acknowledge to have received from my employer
the sum of (P which is in full and final satisfaction of my salary
and other benefits that may be due me for the service which I
have rendered for the latter employer;
3. That I hereby declare that I have no further claims whatsoever
against my employer, its President, members of the Board, officers
or any of its staff and that I hereby release and forever discharge
all of them from any and all claims, demands, cause of action of
whatever nature arising out of my employment with the latter;
4. I further agree that this WAIVER, RELEASE AND QUITCLAIM may be
pleaded in bar to any suit or proceeding to which either, I, or my

heirs and assigns, may have against my employer in connection

with my employment with the latter and that the payment which
I have received as provided herein should not in any way be
construed as an admission of liability on the part of my employer
and is voluntarily accepted by me and will, if need be, serve as
full and final settlement of any amount(s) due me or any claims
or cause of action, either past, present, future, which I may have
in connection with my employment with my employer;
5. As such, I finally make manifest that I have no further claim(s) or
cause of action against my employer nor against any person(s)
connected with the administration and operation of the latter
and forever release the latter from any and all liability.
IN WITNESS WHEREOF, I have hereunto set my hand this at ______

, Philippines.
Affiant
(JURAT)
K. Promissory note
PROMISSORY NOTE
P__________
FOR VALUE RECEIVED, I promise to pay without need of demand to

the order of Payee , at his office at , the principal amount
of PESOS: (P____), on or before

. In addition to the foregoing, I promise to pay

monthly interest at the rate of ( %) percent, without need
of demand, starting from the month of ______ until this note is fully
paid.
_____Date, , Philippines.
L. Information in criminal cases
INFORMATION
The undersigned, , accuses of the crime

UNINTENTIONAL ABORTION, committed as follows, to wit:
That on or about , in the City/Municipality of ,

Province of and within the jurisdiction of this Honorable Court, the
accused who did then and there willfully,
unlawfully, feloniously, while having a quarrel with one, , beat,
assault, strike and use personal violence upon latter, thereby causing
an abortion by violence, but unintentionally.
Contrary to law.
______, Philippines, Date.

ASSISTANT PROSECUTOR
CERTIFICATION
M. Retainer agreement
RETAINER CONTRACT
ASSISTANT PROSECUTOR
KNOW ALL MEN BY THESE PRESENTS:
This Contract made and executed by and between:
(Client), a domestic corporation duly organized and existing under

and by virtue of the laws of the Republic of the Philippines, with
principal office at , Philippines and represented in this act by its
(Position), (Name of Officer), (hereinafter referred to as the
“CLIENT”);
-and-
(Law Firm), a law firm organized under and by virtue of the laws of
the Republic of the Philippines as a general professional partnership,
with principal office at , Philippines, and represented in this act by
its Managing Partner, (Name of Managing Partner), (hereinafter
referred to as the “LAW FIRM”)
WITNESSETH: That -
WHEREAS, the LAW FIRM has offered its professional legal services to
the CLIENT and CLIENT agrees to retain the professional legal
services of the LAW FIRM under a retainership basis, subject to the
terms and conditions hereinafter stipulated:

NOW THEREFORE, for and in consideration of the mutual covenants

and agreements herein agreed upon, the CLIENT and the LAW FIRM,
by these presents, have entered, as they hereby enter, into a
contract of services whereby the LAW FIRM shall render legal
services to the CLIENT, under the following terms and conditions:
IN WITNESS WHEREOF, the parties have signed this instrument this at

, Philippines.
CLIENT LAW FIRM
By: By: Managing

Partner SIGNED IN THE
PRESENCE OF
_____________________________________
~o0o~

Judicial Ethics Reminders

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Judicial Ethics Reminders

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REMINDERS IN JUDICIAL ETHICS

II. JUDICIAL ETHICS

1. New Code of Judicial Conduct

2. Code of Judicial Conduct

Judicial independence is a pre-requisite to the rule of law and

SECTION 1. Judges shall exercise the judicial function

SEC. 2. In performing judicial duties, judges shall be

SEC. 3. Judges shall refrain from influencing in any manner the

REMEDIAL LAW Judicial Ethics [1]

SEC. 4. Judges shall not allow family, social, or other

SEC. 5. Judges shall not only be free from inappropriate

SEC. 6. Judges shall be independent in relation to society in

SEC. 7. Judges shall encourage and uphold safeguards for the

SEC. 8. Judges shall exhibit and promote high standards of

Integrity is essential not only to the proper discharge of the

SECTION 1. Judges shall ensure that not only is their conduct

SEC. 2. The behavior and conduct of judges must reaﬃrm the

REMEDIAL LAW Judicial Ethics [2]

be done but must also be seen to be done.

SEC. 3. Judges should take or initiate appropriate disciplinary

Impartiality is essential to the proper discharge of the judicial

SECTION 1. Judges shall perform their judicial duties without

SEC. 3. Judges shall, so far as is reasonable, so conduct

SEC. 4. Judges shall not knowingly, while a proceeding is

SEC. 5. Judges shall disqualify themselves from participating in

REMEDIAL LAW Judicial Ethics [3]

(a) The judge has actual bias or prejudice concerning a party

SEC. 6. A judge disqualified as stated above may, instead of

Propriety and the appearance of propriety are essential to the

SECTION 1. Judges shall avoid impropriety and the appearance

REMEDIAL LAW Judicial Ethics [4]

SEC. 2. As a subject of constant public scrutiny, judges must

SEC. 3. Judges shall, in their personal relations with individual

SEC. 4. Judges shall not participate in the determination of a

SEC. 5. Judges shall not allow the use of their residence by a

SEC. 6. Judges, like any other citizen, are entitled to freedom of

SEC. 7. Judges shall inform themselves about their personal

REMEDIAL LAW Judicial Ethics [5]

SEC. 9. Confidential information acquired by judges in their

SEC. 10. Subject to the proper performance of judicial duties,

(a) Write, lecture, teach and participate in activities

SEC. 12. Judges may form or join associations of judges or

SEC. 15. Subject to law and to any legal requirements of public

REMEDIAL LAW Judicial Ethics [6]

gift, award or benefit might not reasonably be perceived as

Ensuring equality of treatment to all before the courts is

SECTION 1. Judges shall be aware of, and understand, diversity

SEC. 2. Judges shall not, in the performance of judicial duties,

SEC. 3. Judges shall carry out judicial duties with appropriate

SEC. 4. Judges shall not knowingly permit court staﬀ or others

SEC. 5. Judges shall require lawyers in proceedings before the

6. Competence and diligence

REMEDIAL LAW Judicial Ethics [7]

Competence and diligence are prerequisites to the due

SEC. 3. Judges shall take reasonable steps to maintain and

SEC. 4. Judges shall keep themselves informed about relevant

SEC. 5. Judges shall perform all judicial duties, including the

SEC. 6. Judges shall maintain order and decorum in all

SEC. 7. Judges shall not engage in conduct incompatible with

C. ADMINISTRATIVE JURISDICTION OVER JUDGES AND JUSTICES

REMEDIAL LAW Judicial Ethics [8]