ETHICS LAW

Faculty Adviser Judge Maria Filomena Singh

Academics Head Clariesse Jami Mari Chan
Subject Heads Angela Abala
Celine Dee

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 ACADEMICS COMMITTEE

Academics Head: Clariesse Jami Mari A. Chan

Understudy: Ana Marie Quijano-Benedicto

REVIEW COMMITTEE
Head: Ken Koga
Understudy: Mandy Therese Anderson
Members: Iris Lucido, Lauren Toledo
Pearl Charisse Bautista, Nathan Oducado

REMEDIAL LAW COMMITTEE

Heads: Angela Abala, Celine Dee

Understudies: Junsi Agas, Carlo Sanchez
Volunteer: Laurice Penamante

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 DEFINITION OF TERMS
What is Legal Ethics?
It is a branch of moral science, which treats of the
duties, which an attorney owes to the court, to the
client, to his colleagues in the profession and to the
public as embodied in the Constitution, Rules of Court,
the Code of Professional Responsibility, Canons of
Professional Ethics, jurisprudence, moral laws and
special laws.
What are the different titles or names of a lawyer?
1. Advocate
2. Attorney ad hoc
3. Attorney-at-law/Counsel-at law/Attorney/
Counsel/Abogado/Boceros
4. Attorney In Fact
5. Attorney of Counsel
6. Attorney of Record
7. Barrister
8. Counsel de Oficio
9. House Counsel
10. Lead Counsel
11. Notary Public
12. Practicing Lawyer
13. Proctor
14. Trial lawyer
What is an Advocate?
It is a general and popular name for a lawyer who
pleads on behalf of someone else.
What is an Attorney ad hoc?
He is a person named and appointed by the court to
defend an absentee defendant in the suit in which the
appointment is made. (Bienvenu vs. Factor’s of Traders
Insurance Cp., 33 La.Ann.209)
What are Attorneys-at-law/ Counsels-at-law/
Attorneys/ Counsels/ Abogados/ Boceros?
He is a person who belongs to a class of persons who
are licensed officers of the courts, empowered to
appear prosecute and defend and upon whom
peculiar duties, responsibilities, and liabilities are
developed by law as a consequence. (Cui vs. Cui, 120
Phil. 729)
What is an Attorney in fact?
He is an agent whose authority is strictly limited by the
instrument appointing him, though he may do things
not mentioned in his appointment necessary to the
performance of the duties specifically required of him
by the power of attorney appointing him, such
authority being necessarily implied. He is not
necessarily a lawyer.
What is an “of Counsel” on/of recrod?
To distinguish them from attorneys of record,
associate attorneys are referred to as “of counsel”. (5
Am. Jur. 261)
Who is a counsel of record?
He is one who has filed a notice of appearance and
hence is formally mentioned in court records as the
official attorney of the party. He is a person whom the
client has named as his agent upon whom service of
papers may be made. (Reynolds vs. Reynolds,
Cal.2d580)
What is a Barrister?
In England, a person entitled to practice law as an
advocate or counsel in superior court is called a
“barrister.”
What is a Counsel de Oficio?
He is a counsel, appointed or assigned by the court,
from among members of the Bar in good standing
who, by reason of their experience and ability
(availability and willingness), may adequately defend
the accused.
Are all counsel de oficio lawyers?
No. In localities where members of the Bar are not
available, the court may appoint any person, resident
of the province and good repute for probity and
ability, to defend the accused. (Sec. 7, Rule 116, Rules
of Court)
What is a House Counsel?
He is a lawyer who acts as attorney for the business,
corporation or other judicial entity, though carried as
an employee of that business and not as an
independent lawyer.
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What is a Lead Counsel?
He is the counsel on the side of a litigated action who
is charged with the principal management and
direction of a party’s case.
What is a Notary Public?
He is a public officer whose duty is to attest to the
genuineness of any deed or writing in order to render
them available as evidence of the facts stated therein,
and who is authorized by statute to administer various
oaths.
What is a Practicing Lawyer?
He is a person engaged in the practice of law, which is
not limited to the conduct of cases in court, but
includes legal advice and counseling, and the
preparation of instruments and contracts by which
rights are secured. (Ulep vs. Legal Clinic, 223 SCRA 378
(1993)) (Cayetano v. Monsod)
What is a Proctor?
In England, an attorney in the admiralty and
ecclesiastical courts whose duties and business
correspond to those of an attorney at law or solicitor
in Chancery was formerly called a “proctor.”
What is a Trial Lawyer?
A “trial lawyer” is one who devotes his practice to
handling litigations in court (Cayetano vs. Monsod, 201
SRCA 210 (1991)).
What is Ambulance Chasing?
It is an act of chasing victims of accidents for the
purpose of talking to the said victims (or relatives) and
offering his legal services for the filing of a case
against the person(s) who caused the accident(s). This
term however has evolved to include all acts of
barratry and not only limited to scenarios where there
is an accident.
What is Barratry?
It is an offense of frequently exciting and stirring up
quarrels and suits, either at law or otherwise. It is a
lawyer’s act of fomenting suits among individuals and
offering his legal services to one of them.
What are Champertous Contracts?
When a lawyer stipulates with his client that in the
prosecution of the case, he will bear all the expenses
for the recovery of things or property being claimed by
the client and the latter agrees to pay the former a
portion of the thing/property recovered as
compensation. It is a void stipulation
Distinguish between a champertous contract and a
contingent fee contract.
Champertous Contract Contingent Fee Contract
Stipulation wherein the Stipulation wherein the
lawyer undertakes to bear lawyer agrees to be paid
all expenses for the depending on the
recovery of the things success of his efforts
claimed by the client, with (not necessarily for the
the client agrees to pay a same money or payment
portion of the thing/s subject of the case)
recovered as
compensation.
What is an Assumpsit?
It is an action in common law for the recovery of
damages for the non-performance of a parol or simple
contract, (Bouvier’s Law Dictionary, Vol. 1, pp. 269-
270). The term has been used in relation to the
collection of attorney’s fees on a quantum meruit
basis.
Can there be an implied assumpsit?
Yes. Where the lawyer has been employed without a
contract for compensation, he is entitled to recover an
amount his services merit, on the basis of an implied
promise by the clients to pay for such services. This
has been referred to as an implied assumpsit on
quantum meruit (Quilban vs. Robinol, 171 SCRA 768
(1989)).
What is Deontology?
It is considered the ethics of duty. This focuses upon
adherence to independent moral rules or duties. To
make the correct moral choices, we have to
understand what our moral duties are and what
correct rules exist to regulate those duties. When we
follow our duty, we are behaving morally. When we
fail to follow our duty, we are behaving immorally.
What is a Titulo de Abogado?
It means not mere possession of the academic degree
of Bachelor of Laws but membership in the Bar after
due admission thereto, qualifying one for the practice
of law.
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 ADMISSION TO THE PRACTICE OF LAW
Who has the power to control and regulate the
practice of law?
Under Article VIII, Sec. 5 (5) of the Constitution, the
Supreme Court has the power to promulgate rules
concerning the admission to the practice of law, the
Integrated Bar, and legal assistance to the
underprivileged.
What is the role of the Bar Confidant?
The Bar Confidant acts like liaison officer between the
Supreme Court and the Bar Chairman on the one
hand, and the individual members of the Bar
Examination Committee on the other hand. He is at
the same time a deputy clerk of court.
What does the term “Practice of Law” mean?
It is any activity in or out of court which requires the
application of law, legal procedure, knowledge,
training and experience. To engage in the practice of
law is to give notice or render any kind of service,
which or devise or service requires the use in any
degree of legal knowledge or skill (Cayetano vs.
Monsod, 201 SCRA 210).
Is the practice of law a right or a privilege?
It is a privilege granted only to those who possess the
STRICT INTELLECTUAL AND MORAL QUALIFICATIONS
required of lawyers who are instruments in the
effective and efficient administration of justice. (In Re:
Argosino, 1997, GR. 712) In effect, the privilege may
be made subject to conditions and may be revoked for
good cause.
What are the factors determinative of engaging in
the practice of law?
(HACA)
1. Habituality
- Habituality implies customarily or habitually
holding oneself out to the public as a lawyer.
2. Attorney-client relationship
3. Compensation
- Compensation implies that one must have
presented himself to be in the active practice and that
his professional services are available to the public for
compensation, as a source of his livelihood or in
consideration of his said services.
4. Application of law, legal principle, practice, or
procedure
- It calls for legal knowledge, training and
experience.
Who may practice law?
Any person heretofore duly admitted as a member of
the bar, or hereafter admitted as such in accordance
with the provisions of this rule, and who is in good and
regular standing (Sec.1, Rule 138).
What are the requirements for admission to the Bar
under Sections 2, 5 and 6 of Rule 138?
(CAR GAS)
1. Citizen of the Philippines
2. At least 21 years old
3. Philippine Resident
4. Of Good moral character
5. Must have complied with the Academic
requirements:
a) Must have already earned a Bachelor’s
Degree in Arts or Sciences (Pre-law);
b) Law course – completed courses in Civil Law,
Commercial Law, Remedial Law, Criminal Law,
Public International Law, Political Law, Labor
and Social Legislation, Medical Jurisprudence,
Taxation, Legal Ethics
6. Production before the Supreme Court Satisfactory
evidence of:
a) Good moral character
b) No charges against him, involving moral
turpitude, have been filed or are pending in
any court in the Philippines
When does good moral character need to exist?
Good moral character is a continuing requirement. It is
not only a condition precedent for admission to the
legal profession, but it must also remain intact in
order to maintain one's good standing in that
exclusive and honored fraternity. (Tapucar vs.
Tapucar, 1998, AM 4148)
What constitutes moral turpitude?
Moral turpitude imports an act of baseness, vileness
or depravity in the duties which one person owes to
another or to society in general which is contrary to
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the usual accepted and customary rule of right and
duty which a person should follow.
Q: What is law student practice?
A: A senior law student, who is enrolled in a
recognized law school’s clinical education program
approved by the Supreme Court may appear before
any court without compensation, to represent
indigent clients, accepted by the Legal Clinic of the law
school. The student shall be under the direct
supervision and control of an IBP member duly
accredited by the law school;
What are the instances when non-lawyers may be
authorized to appear in court?
(MON LLC)
1. Cases before the MTC: Party to the litigation, in
person OR through an agent or friend or
appointed by him for that purpose (Sec. 34, Rule
138, RRC)
2. Before any Other court: Party to the litigation, in
person (Ibid.)
3. Criminal case before the MTC in a locality where a
duly licensed member of the Bar is Not available:
the judge may appoint a non-lawyer who is:
a) Resident of the province
b) Of good repute for probity and ability to aid
the accused in his defense (Rule 116, Sec. 7,
RRC).
4. Legal Aid Program – A senior law student, who is
enrolled in a recognized law school’s clinical
education program approved by the Supreme
Court may appear before any court without
compensation, to represent indigent clients,
accepted by the Legal Clinic of the law school. The
student shall be under the direct supervision and
control of an IBP member duly accredited by the
law school.
5. Under the Labor code, non-lawyers may appear
before NLRC or any Labor Arbiter, if:
a) They represent themselves, or if
b) They represent their organization or members
thereof (Art 222, PO 442, as amended).
6. Under the Cadastral Act, a non-lawyer can
represent a claimant before the Cadastral Court
(Act no. 2259, Sec. 9)
Does a person have the right to represent himself in
civil cases?
Yes. An individual litigant has the right to conduct his
litigation personally in civil cases.
Does a person have the right to represent himself in
criminal cases?
Yes, except 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.
May a lawyer who appeared as punong barangay
between two parties in a conciliation proceeding
later represent one of the parties in a subsequent
case involving the same property?
Yes. Under RA 7160 members of the sangguniang
pambarangay are not expressly prohibited from
practicing their profession. However, they must first
seek permission from the Secretary of the Interior and
Local Government before appearing for a party. The
lawyer in question failed to obtain the required
permission and was sanctioned with suspension
(Wilfredo M. Catu v. Atty. Vicente G. Rellosa, A.C. No.
5738, 19 February 2008).
May a lawyer, who fails to file his client’s petition
and to respond to his client’s messages for a period
of 6 months, be held liable for violating the Code of
Professional Responsibility?
Yes. A lawyer so engaged to represent a client bears
the responsibility of protecting the latter’s interest
with utmost diligence. The circumstance that the
client was also at fault does not exonerate a lawyer
from liability for his negligence in handling a case. All
court rulings drive home the fiduciary nature of a
lawyer’s duty to his client once an engagement for
legal services is accepted. (Atty. Elmer C. Solidon vs.
Atty. Ramil E. Macalalad, A.C. No. 8158, 24 February
2010).
Can lawyers who were members of a Law Faculty
which published a statement on the allegations of
plagiarism and misrepresentation relative to an SC
decision and which called for the resignation of a
Justice on account of allegations of plagiarism in his
work, be disciplined for such actions?
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Yes. Any publication, pending a suit, reflecting upon
the court, the jury, the parties, the officers of the
court, the counsel with reference to the suit, or
tending to influence the decision of the controversy, is
contempt of court and is punishable. (Note: the
motion for reconsideration of the decision alleged to
contain plagiarized materials is still pending before the
Court.) (Re: Letter of the UP Law Faculty entitled
“Restoring Integrity: A Statement by the Faculty of the
University of the Philippines College of Law on the
Allegations of Plagiarism and Misrepresentation in the
Supreme Court.” A.M. No. 10-10-4 SC, 19 October
2010).
May lawyers be liable for filing a complaint before
the Ombudsman?
A: Yes. They were ordered to explain in writing why
they should not be penalized as members of the Bar
and as officers of this Court, for their open disregard
of the terms of the Constitution. Their plain disregard,
misuse and misrepresentation of constitutional
provisions constitute serious misconduct that reflects
on their fitness for continued membership in the
Philippine Bar. At the very least, their transgressions
are blatant violations of Rule 10.02 of the Code of
Professional Responsibility, which provides that “A
lawyer 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 a law a provision
already rendered inoperative by repeal or
amendment, or assert as a fact that which has not
been proved.”
Also in Canon 22 of the Canons of Professional
Ethics, lawyers are sworn to “do no falsehood, nor
consent to the doing of any in court…” before they are
even admitted to the Bar. All these the complainants
appear to have seriously violated. (Re: Subpoena
Duces Tecum dated January 11, 2010 of Acting
Director Aleu A. Amante, PIAB-C Office of the
Ombudsman, A.M. No. 10-1-13-SC, 2 March 2010).
Is a summary judgment granting a petitioner
attorney’s fees valid?
No. The terms of the compromise subscribed to by
the client should not be such that will amount to an
entire deprivation of his lawyer’s fees, especially when
the contract is on a contingent fee basis. In this sense,
the compromise settlement cannot bind the lawyer as
a third party. (Atty. Mangontawar M. Gubat vs.
National Power Corporation, G.R. No. 167415, 26
February 2010).
What are the Remedies against unauthorized
practice of law?
(ID CDC)
1. Petition for Injunction
2. Declaratory relief
3. Contempt of court
4. Disqualification and complaints for disbarment
5. Criminal complaint for estafa against a person
who falsely represented to be an attorney to the
injury of a party
State the Attorney’s Oath.
“I, __________________, do solemnly swear that I
will maintain allegiance to the Republic of the
Philippines; I will support its constitution and obey the
laws as well as the legal orders of the duly constituted
authorities therein; I will do no falsehood, nor consent
to the doing of any in court; I will not willingly nor
wittingly promote or sue any groundless, false or
unlawful suit, or give aid nor consent to the same; I
will delay no man for money or malice, and will
conduct myself as a lawyer according to the best of my
knowledge and discretion, with all good fidelity as well
to the court as to my clients; and I impose upon myself
this voluntary obligations without any mental
reservation or purpose of evasion. So help me God.”
(Form 28, RRC)
PRIVILEGES AND DUTIES OF A LAWYER
What are the privileges of a lawyer?
(PSP AS IF)
1. To Practice law during good behavior before any
judicial, quasi-judicial, or administrative tribunal;
2. The first one to sit in judgment on every case, to
Set the judicial machinery in motion;
3. Enjoys the Presumption of regularity in the
discharge of his duty;
4. Immune in the performance of his obligation to
his client, from liability to a 3rd person insofar as
he does not materially depart from his character
as a quasi-judicial officer;
5. His statements, if relevant, pertinent or material
to the subject of judicial inquiry are Absolutely
privileged regardless of their defamatory tenor
and of the presence of malice.
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6. First grade civil service eligibility for any position
in the classified service in the government the
duties of which require the knowledge of law;
7. Second grade civil service eligibility for any other
government position which does not prescribe
proficiency in law as a qualification.
What are the four-fold duties of a lawyer?
(CBCP)
1. Court
- He is an officer of the court. He has the duty to
respect or defend against criticisms, uphold authority
and dignity, obey orders and processes, and assist in
the administration of justice.
2. Bar
- He must observe candor, fairness, courtesy and
truthfulness. He must also avoid encroachment on the
business of other lawyers, and uphold the honor of
the profession.
3. Client
- He must afford his entire devotion to his client’s
interest within legal and ethical bounds.
4. Public
- He should not violate his responsibility to society.
He must be an exemplar for uprighteousness, ready to
render legal aid, foster social reforms, guardian of due
process, aware of special role in the solution of special
problems, and be always ready to lend assistance in
the study and solution of social problems.
What are the specific duties of a lawyer under
Section 20 of Rule 138?
(A PRANCE JR)
1. To maintain Allegiance to the Republic of the
Philippines and to support the Constitution
and to obey the laws of the Philippines;
2. To observe and maintain the Respect due to
the courts of justice and judicial officers;
3. To counsel or maintain such actions or
proceedings only as appear to him as Just,
and such defenses only as he believes to be
honestly debatable under the laws;
4. To employ, for the purpose of maintaining the
causes confided to him, such means only as
are consistent with truth and honor, and
Never seek to mislead the judge or any
judicial officer by an artifice or false
statement of fact or law;
5. To maintain inviolate the Confidence and at
every peril to himself, to preserve the secrets
in connection with his client and to accept no
compensation in connection with his client’s
business except from him or with his
knowledge and approval;
6. To Abstain from all offensive personality and
to advance no fact prejudicial to the honor
and reputation of a party or witness, unless
required by the justice of the cause with
which he is charged;
7. 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;
8. Never to Reject for any consideration
personal to himself, the cause of the
defenseless or oppressed;
9. In the defense of a person accused of a crime,
by all fair and honorable means, regardless of
his personal opinion as to the guilt of the
accused, to Present every defense that the
law permits to the end that no person may be
deprived of life or liberty, but by due process
of law.
What is the role of a Counsel de Oficio?
A counsel de officio is expected to render effective
service and to exert his best efforts on behalf of an
indigent accused. He has as high a duty to a poor
litigant as to a paying client. He should have a bigger
dose of social conscience and a little less of self-
interest.
What is the role of a Private Prosecutor?
A private prosecutor may intervene in the prosecution
of a criminal action when the offended party is
entitled to indemnity and has not waived expressly,
reserved or instituted the civil action for damages.
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 CODE OF PROFESSIONAL RESPONSIBILITY
Chapter 1
Lawyer and Society
CANON 1
A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY THE LAWS OF
THE LAND AND PROMOTE RESPECT FOR LAW AND FOR LEGAL
PROCESSES.
A lawyer prepares and notarizes an Occupancy
Agreement to evade the law against foreign
ownership of lands. Is he guilty of malpractice?
Yes. A lawyer who uses his knowledge of the law to
achieve an unlawful end violates his Oath and the
Code. (Donton vs. Tansingco, A.C. 6057, June 27, 2006)
Complainant gave lawyer a sum of money to be used
for the renewal of the lawyer’s business license.
Lawyer however, used the money to pay for his
shares in the same company; lawyer alleges that
there was a miscommunication between the parties
as to the purpose for which the money was to be
used for. Can the lawyer be held liable under Rule
1.01?
Yes. Rule 1.01 emphasizes the high standard of
honesty and fairness expected of a lawyer not only in
the practice of the legal profession but in his personal
dealings as well. A lawyer must conduct himself with
great propriety, and his behavior should be beyond
reproach anywhere and at all times. For as officers of
the courts and keepers of the public’s faith, they are
burdened with the highest degree of social
responsibility and are thus mandated at behave at all
times in a manner consistent with truth and honor.
(Agno vs. Cagatan, AC No. 4515, July 16, 2008)
May a lawyer be suspended or disbarred for a
misconduct committed in his private affairs?
Yes. A lawyer may be suspended or disbarred for any
misconduct, even if it pertains to his private activities,
as long as it shows him to be wanting in moral
character, honesty, probity or good demeanor.
(Manaois vs. Deciembre, AC No. 5364, August 20,
2008) Note that the burden of proof is stricter
constituting gross misconduct.
A notary public, who has personal knowledge of a
false statement or information contained in the
instrument to be notarized, proceeds to affix her
notarial seal on it. Is she guilty of malpractice?
Yes. In this case, respondent’s conduct amounted to a
breach of CANON 1 of the Code of Professional
Responsibility which requires lawyers to obey the law
and legal processes. Respondent also violated Rule
1.91 of the Code which proscribes lawyers from
engaging in unlawful, dishonest, immoral or deceitful
conduct. (Heirs of Villanueva vs. Beradio, AC No. 6270,
January 22, 2007)
It is not necessary for the notary public to know the
signatories provided he or she or they signed in the
presence of the notary, alleging that they are the
persons who signed the names. Is this contention
correct?
No. A notary public is duty bound to require the
person executing a document to be personally present
and to swear before him that he is the person named
in the document and is voluntarily and freely
executing the act mentioned in the document. The
notary public faithfully discharges this duty by at least
verifying the identity of the person appearing before
him based on the identification papers presented.
(Gonzales vs. Padiernos, AC No. 6713, December 8,
2008)
Is the act of kissing or “beso-beso” on the cheeks
considered a grossly immoral act?
No. The acts of kissing or “beso-beso” on the cheeks
are mere gestures of friendship and camaraderie,
forms of greetings, casual and customary. The acts of
respondent, though, in turning the head of the
complainant towards him and kissing her on the lips
are distasteful. However, such act, even if considered
offensive and undesirable, cannot be considered
grossly immoral. (Advincula vs. Macabata, AC No.
7204, March 7, 2007)
Is the act of issuing checks which were later
dishonored for having been drawn against a closed
account indicative of the lack of good moral
character of a lawyer?
Yes. It shows a lack of personal honesty and good
moral character as to render her unworthy of public
confidence. The issuance of a series of worthless
checks also shows the remorseless attitude of
respondent, unmindful to the deleterious effects of
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such act to the public interest and public order. It also
manifests a lawyer’s low regard to her commitment to
the oath she has taken when she joined her peers,
seriously and irreparably tarnishing the image of the
profession she should hold on high esteem. (Wilkie vs.
Limos, AC No. 7505, November 24, 2008)
What is grossly immoral conduct?
It is conduct which is willful, flagrant, or shameless
and which shows a moral indifference to the opinion
of the good and respectable members of the
community (Arciga vs. Maniwag, 106 SCRA 591).
It is conduct that is so corrupt and false as to
constitute a criminal act or so unprincipled or
disgraceful as to be reprehensible to a high degree. It
is a WILLFUL, FLAGRANT or SHAMELESS ACT which
shows a MORAL INDIFFERENCE to the opinion of
respectable members of the community. (Narag v.
Narag, 1998, AC no. 3405)
May a lawyer be disbarred for misconduct
committed in activities not related to his professional
duties?
Yes. An attorney may be removed not only for
malpractice and dishonesty in his profession but also
for gross misconduct not related to his professional
duties which show him to be an unfit and unworthy to
be a lawyer. (Co vs. Bernardino, 285 SCRA 102).
What is the duty of the lawyer if his client’s cause is
considered defenseless?
If a lawyer finds that his client’s cause is defenseless, it
is his burden/duty to advise the latter to acquiesce
and submit, rather than traverse the incontrovertible.
Can a lawyer volunteer advice to bring a lawsuit?
No. A lawyer shall encourage his clients to avoid, end
or settle the controversy if it will admit of a fair
settlement. It is unprofessional for a lawyer to
volunteer advice to bring a lawsuit, except in rare
cases where the blood, relationship or trust makes it
his duty to do so.
CANON 2
A LAWYER SHALL MAKE HIS LEGAL SERVICES AVAILABLE IN AN
EFFICIENT AND CONVENIENT MANNER COMPATIBLE WITH THE
INDEPENDENCE, INTEGRITY AND EFFECTIVENESS OF THE
PROFESSION.
Can a lawyer reject a client because he is poor?
No. A lawyer shall not reject, except for valid reasons,
the cause of the defenseless or oppressed. (Rule 2.01)
Even if a lawyer does not accept because of a valid
reason, he shall not refuse to render legal advise to
the person concerned if only to the extent necessary
to safeguard latter’s rights.(Rule 2.02)
What are the primary characteristics which
distinguish the legal profession from a business?
(DOHR)
1. Duty of service, of which the emolument is a by
product, and in which one may attain the highest
eminence without making such money;
2. A relation as an ‘Officer of court’ to the
administration of justice involving thorough
sincerity, integrity and reliability;
3. A relation to clients in the Highest degree of
fiduciary;
4. A Relation to colleagues at the bar characterized
by candor, fairness and unwillingness to resort to
current business methods of advertising and
encroachment on their practice or dealing with
their clients.
What is the rule on advertisements?
Advertisements are not allowed. The most worthy and
effective advertisement possible is the establishment
of a well-merited reputation for professional capacity
and fidelity to trust.
What acts are considered indirect advertisements?
Indirect advertisements for professional employment,
such as furnishing or inspiring newspaper comments,
or procuring his photograph to be published in
connection with causes in which the lawyer has been
engaged or concerning the manner of their conduct,
the magnitude of the interest involved, the
importance of the lawyer's position, and all other self-
laudation.
Is the rule on advertisements absolute?
No. The following are considered permissible
advertisements:
(ROOEL)
1. Reputable law lists, in a manner consistent with
the standards of conduct imposed by the canons,
of brief biographical and informative data, are
allowed. (Ulep vs. Legal Clinic, Inc., 223 SCRA 378)
Page 8 of 56
2. Ordinary simple professional card. It may contain
only a statement of his name, the name of the law
firm which he is connected with, address,
telephone number and the special branch of law
practiced. (Ulep vs. Legal Clinic, Inc., 223 SCRA
378)
3. A simple announcement of the Opening of a law
firm or of changes in the partnership, associates,
firm name or office address, being for the
convenience of the profession, is not
objectionable. (Ulep vs. Legal Clinic, Inc., 223 SCRA
378)
4. Advertisements or simple announcement of the
Existence of a lawyer or his law firm posted
anywhere it is proper such as his place of business
or residence except courtrooms and government
buildings.
5. Advertisements or announcement in any Legal
publication, including books, journals, and legal
magazines.
6. Yellow pages/telephone directories containing the
firm name, addresses and contact numbers
The door to Atty. B’s office contains the following
sign: “Atty. B. Notary Public, Consultations for Free”.
Is the sign ethical or not?
It is unethical. Such sign gives an idea of competition
among notary public lawyers.
Can a lawyer compromise the case without the
client’s consent?
As a general rule, no. He needs special authority from
the client.
Is this an absolute rule?
No. A lawyer has exclusive management of the
procedural aspect of the litigation (e.g. Submission for
decision on the evidence so far presented). But in case
where a lawyer is confronted with an emergency and
prompt/urgent action is necessary to protect client’s
interest and there’s no opportunity for consultation,
the lawyer may compromise (but he must have a
special power of attorney to be able to do this).
CANON 3
A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES SHALL USE
ONLY TRUE, HONEST, FAIR DIGNIFIED AND OBJECTIVE
INFORMATION OR STATEMENT OF FACTS.
Can a lawyer solicit cases for gain?
No. 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. (Sec.
27, Rule 138)
Can a law firm still use the name of a deceased
partner?
Yes. The continued use of the name of a deceased
partner is permissible provided that the firm indicates
in all its communication that said partner is deceased.
(Rule 3.02)
Can a law firm still use the name of a partner who
accepts public office?
As a general rule, when a partner accepts public office,
he shall withdraw from the firm and his name shall be
dropped from the firm name UNLESS the law allows
him to practice law concurrently. (Rule 3.03)
To whom does the absolute prohibition apply?
(JPCCG)
1. Judges and other officials or employees of the
courts, or office of the Solicitor General or other
government prosecution offices,
2. President, Vice-President, and members of the
cabinet and their deputies and assistants
3. Members of the Constitutional Commissions
4. Civil service employees or officers whose duties
and responsibilities require that their time be at
the disposal of the government
5. Governors, city and municipal mayors
To whom does qualified prohibition apply?
1. Members of the Legislature
2. Sanggunian Members
When does qualified prohibition apply to Members
of the legislature?
It applies when Members of the Legislature appear as
counsel before any court of justice, or before Electoral
tribunals, or quasi-judicial and other administrative
bodies. This includes filing of pleadings on behalf of a
client or his name to appear in such pleadings by itself
or part of the firm name.
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Senator E is a name partner in a law firm, can the law
firm still use his name?
Yes, but he cannot appear in court or government
offices.
What are the instances when the qualified
prohibition applies to Sanggunian Members?
(CCC U)
1. They appear as counsel before any court in any
Civil case wherein a local government unit or any
office, agency or instrumentality of the
government is the adverse party;
2. They appear as counsel in any 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 Collect any fee for their appearance in
administrative proceedings involving the local
government unit of which he is an official; and
4. They Use property and personnel of the
Government except when the sanggunian
member concerned is defending the interest of
the government
CANON 4
A LAWYER SHALL PARTICIPATE IN THE IMPROVEMENT OF THE
LEGAL SYSTEM BY INITIATING OR SUPPORTING EFFORTS IN LAW
REFORM AND IN THE ADMINISTRATION OF JUSTICE.
A judge insults witnesses, lawyers and fiscals through
his side comments. He also personally conducted the
direct examination and cross-examination of
witnesses. Did he violate the Code?
Yes. A judge should be considerate, courteous and
civil to all persons who come to his court. A judge who
is inconsiderate, discourteous or uncivil to lawyers,
litigants or witnesses who appear in his sala commits
an impropriety and fails in his duty to reaffirm the
people’s faith in the judiciary. (Juan De La Cruz vs.
Carretas, AM No. RTJ-07-2043, September 5, 2007)
Note that the judge also violated the Code of Judicial
Conduct (Canons on Impartiality and Propriety)
During a telephone call, a justice discussed with his
brother the merits of one party’s position in a
pending case. Did he violate the Code?
Yes. As a magistrate, a justice has the duty to prevent
any circumstance that would cast doubt on his ability
to decide a case without interference or pressure from
litigants, counsels or their surrogates. (RE: LETTER OF
PRESIDING JUSTICE CONRADO M. VASQUEZ, JR. ON
CA-G.R. SP NO. 103692, AM No. 08-8-11-CA, October
11, 2008)
CANON 5
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 STUDENTS
AND ASSIST IN DISSEMINATING INFORMATION REGARDING THE
LAW AND JURISPRUDENCE.
What does CANON 5 mean?
Implicit in a lawyer’s mandate to protect a client’s
interest to the best of his/her ability and with utmost
diligence is the duty to keep abreast of the law and
legal developments, and participate in continuing legal
education programs. Thus, in championing the
interest of clients and defending cases, a lawyer must
not only be guided by the strict standards imposed by
the lawyer’s oath, but should likewise espouse legally
sound arguments for clients, lest the latter’s cause be
dismissed on a technical ground. Ignorance
encompasses both substantive and procedural laws.
(Williams v. Enriquez, AC No. 6352, February 27, 2006)
What are the three-fold obligations of a lawyer?
First, he owes it to himself to continue improving his
knowledge of the laws;
Second, he owes it to his profession to take an active
interest in the maintenance of high standards of legal
education;
Third, he owes it to the lay public to make the law a
part of their social consciousness.
Bar Matter 850 – MANDATORY CONTINUING LEGAL
EDUCATION
(Adopting the Rules on the Continuing Legal
Education for Members of the Integrated Bar of the
Philippines) August 22, 2000
What is the purpose of MCLE?
It is required of members of the IBP to ensure that
throughout their career, they keep abreast with law
and jurisprudence, maintain the ethics of the
Page 10 of 56
profession, and enhance the standards of the practice
of law.
What are the requirements of completion of MCLE?
Members of the IBP shall complete every 3 years at
least 36 hours of continuing legal education activities.
How shall the 36 hours be divided?
The 36 hours shall be divided as follows:
a) 2 hours – International Law and International
Conventions
b) 4 hours – Trial and Pretrial Skills
c) 4 hours – Legal Writing and Oral Advocacy
d) 5 hours – Alternative Dispute Resolution
e) 6 hours – Legal Ethics
f) 9 hours – Updates on substantive and
procedural laws and jurisprudence
g) Remaining 6 hours – Such other subjects as
may be prescribed by the Committee on
MCLE.
Are all members obligated to fulfill the requirements
of completion?
Yes. But a member may file a verified request setting
forth good cause for exemption (such as physical
disability, illness, post-graduate study abroad, proven
expertise in law, etc.) from compliance with or
modification of any of the requirements, including an
extension of time for compliance, in accordance with
procedure to be established by the Committee on
MCLE.
What must the member submit as proof of
exemption?
Applications for exemption from or modification of
the MCLE requirement shall be under oath and
supported by documents.
What constitutes non-compliance?
(CASE PO)
1. Failure to Complete 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 60
days from receipt of non-compliance notice
5. Failure to Pay non-compliance fee within the
prescribed period
6. Any Other act or omission analogous to any of the
foregoing or intended to circumvent or evade
compliance with the MCLE requirements.
What is a Non-Compliance Notice?
Members failing to comply will receive a Non-
Compliance Notice stating the specific deficiency and
will be given 60 days from date of notification to file a
RESPONSE.
What are the consequences of non-compliance?
1. A member who fails to comply with the
requirements after the 60-day period shall be
LISTED AS DELINQUENT MEMBER by the IBP Board
of Governors upon recommendation of the
Committee on MCLE.
2. The listing as a delinquent member is
administrative in nature but shall be made with
notice and hearing by the Committee on MCLE.
CANON 6
THESE CANONS SHALL APPLY TO LAWYERS IN GOVERNMENT
SERVICE IN THE DISCHARGE OF THEIR OFFICIAL TASKS.
Who are public officials?
Public officials include elective and appointive officials
and employees, permanent or temporary, whether in
the career or non-career service, including military
and police personnel, whether or not they receive
compensation, regardless of amount. (Sec. 3 (b), RA
6713)
What are the restrictions against using public office
to promote private interest?
Public officials and employees during their
incumbency shall NOT:
(MACO ERU)
1. Own, Control, Manage or Accept employment as
officer, employee, consultant, counsel, broker,
agent, trustee or nominee in any private
enterprise regulated, supervised or licensed by
their office unless expressly allowed by law.
2. Engage in the private practice of their profession,
unless authorized by the constitution or law,
provided that such practice will not conflict or
tend to conflict with their official functions.
Page 11 of 56
3. Recommend any person to any position in a
private enterprise which has a regular or pending
official transaction with their office.
4. Use or divulge confidential or classified
information officially known to them by reason of
their office and not available to the public.
What is the primary duty of a lawyer engaged in
public prosecution?
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 of
disciplinary action. (Rule 6.01)
e.g. A lawyer should recommend the acquittal
of the accused whose conviction is on appeal,
if he finds no legal basis to sustain the
conviction.
Can the OSG represent a public official at any stage of
a criminal case?
No.
How should a lawyer in the government service
conduct themselves?
A lawyer in the government service shall not use his
public position to promote or advance his private
interest, nor allow the latter to interfere with his
public duties. (Rule 6.02)
What acts constitute promotion of private interest?
Promotion of private interest includes soliciting gifts
or anything of monetary value in any transaction
requiring the approval of his office or which may be
affected by the functions of his office. (Huyssen vs.
Gutierrez, AC No. 6707, March 24, 2006)
A lawyer asked money from his client in
consideration of the latter’s pending application for
visas. Did the lawyer violate Rule 6.02?
Yes. Respondent’s conduct in office betrays the
integrity and good moral character required from all
lawyers, especially from one occupying a high public
office. A lawyer in public office is expected not only to
refrain from any act or omission which might tend
to lessen the trust and confidence of the citizenry in
government; he must also uphold the dignity of the
legal profession at all times and observe a high
standard of honesty and fair dealing. Otherwise said,
a lawyer in government service is a keeper of the
public faith and is burdened with high degree of social
responsibility, perhaps higher than his brethren in
private practice. (Huyssen vs. Gutierrez, AC No. 6707,
March 24, 2006)
What is the prohibition on lawyers after leaving the
government service?
A lawyer shall not, after leaving government service,
accept engagements or employment in connection
with any matter in which he had intervened while in
said service. (Rule 6.03)
Section 7 (b) of RA 6713 prohibits any former public
official or employee for a period of one (1) year after
retirement or separation from office to practice his
profession in connection with any other matter before
the office he used to be with.
What does Rule 6.03 entail?
Lawyers in the government service are prohibited to
engage in the private practice of their profession
unless authorized by the constitution or law, provided
that such practice will not conflict or tend to conflict
with their official functions.
Chapter II
The Lawyer and the Legal Profession
CANON 7
A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY AND
DIGNITY OF THE LEGAL PROFESSION, AND SUPPORT THE ACTIVITIES
OF THE INTEGRATED BAR.
A lawyer declared in his application for Admission to
the Bar Examinations that he was "single" when in
fact he was secretly married to a woman. Did he
violate the Code?
Yes. It was a gross misrepresentation of a material fact
made in utter bad faith. That false statement, if it had
been known, would have disqualified him
outright from taking the Bar Examinations as it
indubitably exhibits lack of good moral character.
(Leda vs. Tabang, AC No. 2505, February 21, 1992)
A lawyer did not disclose in his Petition to take the
Bar Examinations that he has 3 pending criminal
cases in the MTC. Did he violate the Code?
Page 12 of 56
Yes. The act of concealment constitutes dishonesty. It
has been held that good moral character is what a
person really is, as distinguished from good reputation
or from the opinion generally entertained of him, the
estimate in which he is held by the public in the place
where he is known. Good moral character includes at
least common honesty. (IN THE MATTER OF THE
DISQUALIFICATION OF BAR EXAMINEE HARON S.
MELING IN THE 2002 BAR EXAMINATIONS AND FOR
DISCIPLINARY ACTION AS MEMBER OF THE PHILIPPINE
SHARI’A BAR, ATTY. FROILAN R. MELENDREZ, BM No.
1154, June 8, 2004)
Atty. A filed multiple complaints against Spouses B
and C, who were complainants in an administrative
case filed against Atty. A. Did he violate the Code?
Yes. His act evinces vindictiveness, a decidedly
undesirable trait whether in a lawyer or another
individual. (Saburnido vs. Madrono, AC No. 4497,
September 26, 2001)
A lawyer abandoned his family and lived with
another woman. Did he violate the Code?
Yes. He breached the high and exacting moral
standards set for members of the law profession. A
lawyer may be disbarred for any misconduct, whether
in his professional or private capacity, which shows
him to be wanting in moral character, in honesty,
probity and good demeanor or unworthy to continue
as an officer of the court. (Narag vs. Narag, AC No.
3405, June 29, 1998)
A lawyer sleeps with a woman not his wife. Is he
guilty of “grossly immoral conduct”?
Whether a lawyer’s sexual congress with a woman not
his wife or without the benefit of marriage should be
characterized as “grossly immoral conduct” depends
on the surrounding circumstances. The case involves
a relationship between a married lawyer and a
married woman who is not his wife. It is immaterial
whether the affair was carried out discreetly.
(Guevarra vs. Eala, AC No. 7136, August 1, 2007)
A lawyer leaves his wife and cohabits with another
woman. Is he guilty of “grossly immoral conduct”?
Yes. For a lawyer may be suspended or disbarred for
any misconduct which, albeit unrelated to actual
practice of his profession, would show him to be unfit
for the office and unworthy of the privileges which his
license and the law invest in him. (Arnobit vs. Arnobit,
AC No. 1481,October 17, 2008)
What is the Integrated Bar of the Philippines?
The IBP is the national organization of lawyers created
on January 16, 1973 under Rule 139-A, Rules of Court,
and constituted on May 4, 1973 into a body corporate
by PD No. 181.
What are the three fundamental purposes of the
Integrated Bar?
1. Elevate standards of legal profession
2. Improve administration of justice
3. Enable the Bar to discharge its public
responsibilities fully and efficiently
What is the “integration” of the bar?
Integration of the Bar means the official unification of
the entire lawyer population.
What are the duties of the member of the bar?
Every member of the Integrated Bar shall pay such
annual dues as the Board of Governors shall
determine with the approval of the Supreme Court, on
or before the last day (June 30) of the immediately
preceding fiscal year. A fixed sum equivalent to ten
percent (10%) of the collection from each Chapter
shall be set aside as a Welfare Fund for disabled
members of the Chapter and the compulsory heirs of
deceased members thereof.
What is the effect of non-payment of IBP dues?
Without paying IBP dues, a lawyer cannot engage in
practice of law, no matter how limited is his practice.
They are not entitled to the senior citizen discount and
the student discount as regards dues.
CANON 8
A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY, FAIRNESS
AND CANDOR TOWARDS HIS PROFESSIONAL COLLEAGUES, AND
SHALL AVOID HARASSING TACTICS AGAINST OPPOSING COUNSEL.
Atty. A called opposing counsel “bobo”. Decide.
A lawyer shall not, in his professional dealings, use
language which is abusive, offensive or otherwise
improper.
What does Rule 8.01 entail?
Lawyers should treat their opposing counsel and other
lawyers with courtesy, dignity and civility. A great part
Page 13 of 56
of their comfort as well as of their success at the bar
depends upon their relations with their professional
brethren. Since they deal constantly with each other,
they must treat each other with trust and respect.
Any undue feelings between clients should not
influence counsels in their conduct and demeanor
towards each other (Reyes vs. Chiong, 405 SCRA 212)
What are prohibited acts under this rule?
A lawyer can not use in pleadings and in practice
disrespectful, abusive and abrasive language,
offensive personalities, unfounded accusations or
intemperate words tending to obstruct, embarrass or
influence the court in administering justice.
Is want of intention excusable?
No. Want of intention is not an excuse for the
disrespectful language used. It merely extenuates
liability.
Is a lawyer prohibited from criticizing court actions?
No. A lawyer, both as an officer of the court and as a
citizen, may criticize in properly respectful terms and
through legitimate channels the act of courts and
judges. But it is the cardinal condition of all such
criticism that it shall be bona fide, and shall not spill
over the walls of decency and propriety. (In Re:
Almacen, 31 SCRA 562)
CANON 9
A LAWYER SHALL NOT DIRECTLY OR INDIRECTLY ASSIST IN THE
UNAUTHORIZED PRACTICE OF LAW.
A lawyer allows a non-member of the Bar to
misrepresent himself as a lawyer and to practice. Did
he violate the Code?
Yes. (Cambaliza vs. Cristobal-Tenorio, 434 SCRA 288)
Can a lawyer divide his legal fees with a non-lawyer?
A lawyer shall not divide or stipulate to divide a fee for
legal services with persons not licensed to practice
law, except:
a) Where there is a pre-existing agreement, with
a partner or associate that , upon the latter’s
death, money shall be paid over a reasonable
period of time to his estate or to the persons
specified in the agreement; or
b) Where a lawyer undertakes to complete
unfinished legal business of a deceased
lawyer; or
c) Where a lawyer or law firm includes non-
lawyer employees in a retirement plan, even
if the plan is based in whole or in part of a
profit sharing arrangements.
Who are not allowed to be a partner or associate of a
law firm?
A lawyer must not take as partner or associate one
who:
1. Is not a lawyer
2. Is disbarred
3. Has been suspended from the practice of law
4. Foreign lawyer, unless licensed by the SC.
Can a lawyer delegate his authority?
No. A lawyer cannot delegate his authority without
client’s consent even to a qualified person.
Chapter III
The Lawyer and the Courts
CANON 10
A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH TO THE
COURT.
A lawyer untruthfully stated in open court that
complainant had agreed to withdraw his lawsuit. Did
he violate the Code?
Yes. A lawyer shall not do any falsehood, nor consent
to the doing of any in court; nor shall he mislead or
allow the court to be misled by any artifice (Rule10.01).
His act infringed on every lawyer’s duty to “never seek
to mislead the judge or any judicial officer by an artifice
or false statement of fact or law.” (Maligaya vs.
Doronila, AC No. 6198, September 15, 2006)
What is the extent of a lawyer’s duty under Rule
10.01?
A lawyer, as an officer of the court, has a duty to be
truthful in all his dealing. However, this duty does not
require that the lawyer advance matters of defense on
behalf of his or her client’s opponent. A lawyer is his or
her client’s advocate; while duty-bound to utter no
falsehood, a lawyer is not obliged to build the case for
his or her client’s opponent. (Fernandez vs. De-Ramos-
Villalon, AC No. 7084, February 27, 2009)
Page 14 of 56
A lawyer filed an unfounded complaint for
reformation of instrument to obtain financial gain.
Did he violate the Code?
Yes. A lawyer shall observe the rules of procedure and
shall not misuse them to defeat the ends of
justice. (Rule 10.03) (Donato vs. Asuncion Sr., AC No.
4914, March 3, 2004)
A lawyer allowed other persons to use the cars
secured by a writ of attachment. The car was
subsequently destroyed. Can the lawyer be held
liable?
Yes. A lawyer is first and foremost an officer of the
court. As such, he is expected to respect the court’s
order and processes. (Salomon Jr. vs. Frial, AC No.
7820, September 12, 2008)
CANON 11
A LAWYER SHALL OBSERVE AND MAINTAIN THE RESPECT DUE TO
THE COURTS AND TO JUDICIAL OFFICERS AND SHOULD INSIST ON
SIMILAR CONDUCT BY OTHERS.
A lawyer included in his pleadings unsupported
claims against a judge. Did he violate the Code?
Yes. A lawyer shall not attribute to a judge motives
which are not supported by the records or by
evidence. A lawyer should submit grievances against a
Judge to the proper authorities only. Allowing such
statements to be made is against a lawyer's oath of
office and goes against the Code of Professional
Responsibility. (Go vs. Abrogar, GR No. 145213, March
28, 2006)
A lawyer acquired reliable information that
anomalies are perpetrated by judicial officers. Is he
required to report them?
Yes. As part of the machinery for the administration of
justice, a lawyer is expected to bring to the fore
irregular and questionable practices of those sitting in
court which tend to corrode the judicial machinery.
An omission or even a delay in reporting may tend to
erode the dignity of and the public’s trust in, the
judicial system. (Fudot vs. Cattleya Land, GR No.
171008, October 24, 2008)
A lawyer submitted a pleading containing
derogatory, offensive and malicious statements in
the same court or judge in which the proceedings are
pending. Can he be held in contempt?
Yes. If a pleading which contains derogatory, offensive
and malicious statements is submitted in the same
court or judge in which the proceedings are pending, it
is direct contempt, equivalent as it is to misbehavior
committed in the presence or so near a court or judge
as to interrupt the administration of justice. (Re: Letter
Dated 21 February 2003 of Atty. Noel S. Sorreda, 464
SCRA 43) A lawyer shall submit grievances against a
judge to the proper authorities already (Rule 11.05).
To what extent is the prohibition on criticisms of
courts allowed?
The court, in a pending litigation must be shielded
from embarrassment or influence in deciding the case.
But 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.
What kind of criticism of courts is disallowed?
Criticisms of courts must not spill beyond the walls of
decency. There is a wide difference between fair
criticism and abuse and slander of courts and judges.
Intemperate and unfair criticism is a gross violation of
the duty to respect the courts. It amounts to
misconduct that subjects the lawyer to disciplinary
action.
CANON 12
A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER IT HIS DUTY
TO ASSIST IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF
JUSTICE.
Is the duty imposed by CANON 12 all-encompassing?
No. In the appraisal, however, of such attempts to
evade liability to which a party should respond, it must
ever be kept in mind that procedural rules are
intended as an aid to justice, not as means for its
frustration. Technicalities should give way to the
realities of the situation. (Economic Insurance Co., Inc.
vs. Uy Realty Co., 34 SCRA 744)
What level of preparation is required of a lawyer
who appears in trial?
A lawyer must be adequately prepared with the law
and fact of his case, the evidence he will adduce and
the order of preference. He must also be ready with
the original documents for comparison with the
copies. (Rule 12.01)
Page 15 of 56
Can a lawyer file multiple actions arising from the
same cause?
No. This is in direct violation of Rule 12.02 which
prohibits a lawyer from filing multiple actions arising
from the same cause.
What is Forum Shopping?
Forum shopping exists when as a result of an adverse
opinion in one forum:
a) A party seeks favorable opinion (other than by
appeal or certiorari) in another; or
b) When he institutes two or more actions or
proceedings grounded on the same cause, on
the gamble that one or the other would make
a favorable disposition (Benguet Electric Corp.
vs. Flores, 287 SCRA 449, March 12, 1998).
It is also the omission to disclose pendency of an
appeal or the prior dismissal of his case by a court of
concurrent jurisdiction. It constitutes DIRECT
CONTEMPT.
The most important factor in determining the
existence of forum-shopping is the VEXATION caused
the courts and party-litigants by a party who asks
different courts to rule on the same related causes,
asking the same relief.
Why is Forum Shopping Punishable?
Because to permit lawyers to resort to unscrupulous
practices for the protection of the supposed rights of
their client is to defeat one of the purposes of the
state - the administration of justice. (Sebastian vs.
Bajar, A.C. No. 3731, September 7, 2007)
What should a lawyer do after the court grants him
an extension of time to file pleadings, memoranda or
briefs?
He shall not let period lapse without submitting the
required document or without offering an explanation
for his failure to do so. (Rule 12.03)
Well-settled is the rule that motions for extension of
time to file pleadings are not granted as a matter of
course but lie in the sound discretion of the court. It is
thus incumbent on any movant for extension to
exercise due diligence to inform himself as soon as
possible of the Court’s action on his motion by timely
inquiry from the Clerk of Court. (Fil-Garcia, Inc. vs.
Hernandez, A.C. No. 7129, July 16, 2008)
What are the things that a lawyer must refrain from
doing in order to aid in the speedy disposition of
cases?
He should not unduly delay a case, nor impede the
execution of a judgment or misuse court processes.
(Rule 12.04)
How should a lawyer behave as regards to his
witness during trial?
The lawyer should avoid talking to his witness while
the same is under examination and even during a
break or recess in the trial. (Rule 12.05)
How should a lawyer behave as regards to all
witnesses?
He shall not knowingly assist a witness in
misrepresenting himself or impersonating another
(Rule 12.06); nor shall the lawyer abuse, browbeat or
harass a witness or needlessly inconvenience him.
(Rule 12. 07)
Should a lawyer avoid testifying in behalf of his
client?
As a general rule, he shall avoid testifying in his client’s
behalf. The exceptions are:
a) When it involves formal matters, such as
mailing, authentication or custody of an
instrument and the like
b) When it involves substantial matters: in cases
where his testimonial is essential to the ends
of justice. In this case, he must entrust the
trial of the case to another counsel.
CANON 13
A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE AND
REFRAIN FROM ANY IMPROPRIETY WHICH TENDS TO INFLUENCE,
OR GIVES THE APPEARANCE OF INFLUENCING THE COURT.
How should a lawyer behave towards judges?
A lawyer shall not extend extraordinary attention or
hospitality to judges. He shall also avoid seeking
opportunities for cultivating familiarity with the same.
(Rule 13.01)
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What should a lawyer do when he is approached by
the media to comment on a pending case?
The lawyer shall not make public statements in the
media regarding a pending case tending to arouse
public opinion for or against a party. (Rule 13.02)
What should a lawyer avoid in the normal course of
judicial proceedings as regards other branches of
government?
A lawyer shall not brook or invite interference by
another branch or agency of the government in the
normal course of judicial proceedings. (Rule 13.03)
What is the test when public statement is
contemptuous?
It is the character of the act done and its direct
tendency to prevent and obstruct the discharge of
official duty.
To warrant a finding of “prejudicial publicity”, there
must be an allegation and proof that the judges have
been unduly influenced, not simply that they might
be, by the “barrage” of publicity.
Chapter IV
The Lawyer and the Client
Attorney-Client Relationship
What is the nature of the relationship between
lawyers and their clients?
(PCF)
Strictly Personal, highly Confidential and Fiduciary.
What are some acts that should be done?
(PAC PR)
1. Best efforts must be exerted by the attorney to
Protect his client’s interest;
2. The attorney must promptly Account for any fund
or property entrusted by or received for his client;
3. An attorney Cannot purchase his client’s property
or interest in litigation;
4. The Privacy of communications shall at all times
be upheld;
5. An attorney cannot Represent a party whose
interest is adverse to that of his client even after
the termination of the relation.
How is Attorney-Client relationship created? (IEO)
1. ORAL – counsel is employed without a written
agreement, but the conditions and amount of
attorney’s fees are agreed upon verbally
2. EXPRESS – when the terms and conditions
including the amount of fees, are explicitly
stipulated in a written document which may be a
private or public document. Written contract of
attorney’s fees is the law between the lawyer and
the client.
3. IMPLIED – when there is no agreement, whether
oral or written, but the client allowed the lawyer
to render legal services not intended to be
gratuitous without objection, and the client is
benefited by reason thereof.
When does an attorney-client relationship exist?
An attorney-client relationship is said to exist when a
lawyer acquiesces or voluntarily permits the
consultation of a person, who in respect to a business
or trouble of any kind, consults a lawyer with a view of
obtaining professional advice or assistance. There
are instances, however, when the Court finds that no
attorney-client relationship exists between the
parties, such as when such relationship stemmed from
a personal transaction between them rather than the
practice of law (Virgo vs. Amorin, A,C, No. 7861,
January 30, 2009)
CANON 14
A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.
When is a lawyer prohibited from refusing to
represent a person?
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 own opinion regarding the guilt
of said person. (Rule 14.01)
When is this rule applicable?
Rule 14.01 is applicable only in criminal cases. In
criminal cases, a lawyer cannot decline to represent an
accused or respondent because of his opinion that the
said person is guilty of the charge or charges filed
against him. In representing the accused or
respondent, the lawyer must only use means which
are fair and honorable. (Rule 138, sec. 20[I], Revised
Rules of Court.) It is not applicable in civil cases
because “(c) To counsel or maintain such actions or
Page 17 of 56
proceedings only as appear to him to be just, and such
defenses only as he believes to be honestly debatable
under the law.” (Rule 138, sec. 20[c], Revised Rules of
Court)
Why is a lawyer inclined to accept a case even
though that in his opinion, it is a losing case?
A lawyer may accept a losing criminal case because
every accused is presumed innocent and is entitled to
counsel.
Can a lawyer decline an appointment as counsel de
officio?
No. A lawyer shall not decline, except for serious and
sufficient cause, an appointment as counsel de oficio
or as amicus curae or a request from the Integrated
Bar of the Philippines or any of its chapters for
rendition of free legal aid. (Rule 14.02)
When can a lawyer refuse to accept the
representation of a client?
A lawyer may refuse to accept representation of a
client if:
a) He is not in position to carry out the work
effectively and competently.
b) He labors under conflict of interest between
him and the prospective client or between a
present client and the prospective client.
(Rule 14.03)
What standards should a lawyer observe when
dealing with clients who are unable to pay his fees?
A lawyer who accepts the cause of a person unable to
pay his professional fees shall observe the same
standard of conduct governing his relations with
paying clients. (Rule 14.04)
How is an Amicus Curiae appointed?
1. By application to the judge; or
2. The judge on his own initiative may invite the
lawyer.
What are the conditions that the Amicus Curiae must
adhere to?
1. The Amicus Curiae has no right to interfere with
or control the condition of the record, no control
over the suit.
2. He cannot refuse on the ground of insufficient of
compensation or lack of it.
CANON 15
A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND LOYALTY IN
ALL HIS DEALINGS AND TRANSACTIONS WITH HIS CLIENT.
What should a lawyer do immediately after
conferring with a prospective client as regards a
possible conflict of interests?
A lawyer in conferring with a prospective client shall
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)
What should a lawyer do with the information
disclosed to him by a client?
He shall not reveal information to anyone in any way
that may prejudice his client. The lawyer shall be
bound by the rule on privileged communication in
respect of matters disclosed to him by a prospective
client. (Rule 15.02)
What is the rule on revealing the client’s identity?
A lawyer may not invoke privilege communication to
refuse revealing a client’s identity. (Regala vs.
Sandiganbayan, 262 SCRA 122, September 20, 1996)
What are the exceptions to the general rule on
revealing client’s identity?
(ICOD)
1. When by divulging such identity, it would
Implicate the client to that same controversy for
which the lawyer's services were required.
2. It would open client to Civil liability
3. The disclosure of such identity will provide for the
Only link in order to convict the accused,
otherwise, the government has no case.
4. Even if the communication is unprivileged, the
rule of ethics prohibits him from voluntarily
revealing or using to his benefit or to that of a
third person, to the Disadvantage of the client,
the said communication unless the client consents
thereto.
Can a lawyer represent parties with conflicting
interests?
Yes upon written consent of all concerned given after
a full disclosure of the facts. (Rule 15.03)
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What is the rule regarding conflict of interests? said case. Since the employment of the firm is
It is generally the rule based on sound public policy considered a retainer of all its members.
that an attorney cannot represent adverse interests. It
is highly improper to represent both sides of an issue. What are the effects of violating attorney-client
(Nakpil vs. Valdez, 286 SCRA 758). privilege?
The possible effects of representation of conflicting of
Can a lawyer represent interest adverse to his client? interest, in the absence of written consent of all
Generally, No. parties concerned given after a full disclosure of facts
are;
What is an exception to this rule? a. disciplinary action
Where the parties consent to the representation after b. disqualification from representing the new
full disclosure of facts. client upon petition of former client
c. when the representation of conflicting interests
is unknown and works to the prejudice of the
What are the three separate tests in determining
new client, setting aside of adverse judgment
whether there is conflict of interest when lawyers
against the new client, provided the both are
represent two or more clients?
present;
(ARP)
i. that the attorney discharge or had the
1. When in Representation of one client, a lawyer is
opportunity to discharge conflicting duties
required to fight for an issue or claim, but is also
ii. and that new client was prejudiced
duty bound to oppose it for another client
d. right to be paid for his services to the former
2. When the Acceptance of the new retainer will
client may be affected, only when;
require an attorney to perform an act that may
i. the two matters are related; and
injuriously affect the first client or when called
ii. the former client objected to such
upon in a new relation to use against the first one
representation.
any knowledge acquired through their
professional connection, or
Can a lawyer accept engagements or employment in
3. When the Acceptance of the new relation would
connection with any matter after he leaves
Prevent the full discharge of n attorney’s duty to
government service?
give undivided fidelity and loyalty to the client or
A lawyer shall not, after leaving government service,
would invite suspicion of unfaithfulness or double
accept engagements or employment in connection
dealing in the performance of that duty.
with any matter in which he had intervened while in
(Northwestern University vs. Arquillo, August 2,
said service. (Rule 6.03)
2005)
What are the exceptions to the rule on “Conflict of
Does attorney-client privilege solely apply to
Interests”?
lawyers?
(BAFN)
No. The prohibition on conflict of interest still applies
1. Before the controversy reaches the court and
to an attorney's secretary, stenographer or clerk, who
where all the parties concerned express their written
in such capacity has acquired confidential information
consent to the representation after full disclosure of
from, the attorney's client, who latter becomes an
facts. (Nakpil vs. Valdes, 286 SCRA 758)
attorney, even though there is no true-attorney client
2. With the written consent of All concerned, a lawyer
relationship.
may act as a mediator, conciliator, or arbitrator in
setting disputes. (Rule 15.04)
How does attorney-client privilege affect the affairs
3. With the written consent of a Former client, a
of a law firm?
lawyer, with full disclosure to a prospective client,
When a lawyer is disqualified from appearing as
accept employment from the latter against the
counsel in a case because of conflict of interests, his
former. (Bautista vs. Gonzales, 182 SCRA 151 (1990))
law firm and all its members are also disqualified from
4. Where No true attorney-client relationship is
attendant.
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What roles may a lawyer play in settling a dispute?
A lawyer may, with the written consent of all
concerned, act as mediator, conciliator or arbitrator in
settling disputes. (Rule 15.04)
What should a lawyer do when he advises his client
regarding the merits and probable results of his case?
A lawyer, when advising his client, shall give a candid
and honest opinion on the merits and probable results
of the client’s case, neither overstating nor
understating the prospects of the case. (Rule 15.05)
What is the duty of a counsel when he advises his
client?
It is the duty of a counsel to advise his client,
ordinarily a layman to the intricacies and vagaries of
the law, on the merit or lack of merit of his case. If he
finds that his client’s cause is defenseless, then it is his
bounded duty to advise the latter to acquiesce and
submit, rather than traverse the incontrovertible. A
lawyer must resist the whims and caprices of his
client, and temper his client’s propensity to litigate.
Is a law firm prohibited to take a case if one of its
lawyers is disqualified due to conflict of interest?
When a lawyer is disqualified from appearing as
counsel in a case because of conflict of interests, his
law firm and all its members are also disqualified from
said case. Since the employment of the firm is
considered a retainer of all its members.
What should a lawyer avoid as regards his ability to
influence other government officials?
A lawyer shall not state nor imply that he is able to
influence any public official, tribunal or legislative
body. (Rule 15.06)
What should a lawyer impress upon his client
regarding compliance with the law? A lawyer shall
impress upon his client compliance with the laws and
the principles of fairness. (Rule 15.07)
When a lawyer is engaged in a profession other than
the practice of law, what should he tell his client?
A lawyer who is engaged in another profession or
occupation concurrently with the practice of law shall
make clear to his client whether he is acting as a
lawyer or in another capacity. (Rule 15.08)
CANON 16
A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND PROPERTIES
OF HIS CLIENT THAT MAY COME INTO HIS POSSESSION.
What is the effect if the lawyer fails to return the
money that he held for his client?
Failure to deliver upon demand gives rise to the
presumption that he has misappropriated the funds
for his own use to the prejudice of the client and in
violation of the trust reposed in him.
What is the duty of a lawyer who holds his client’s
money in the latter’s behalf?
A lawyer shall account for all money or property
collected or received for or from the client. (Rule
16.01)
What should the lawyer do if the purpose intended
for the money cannot be pursued?
Where client gives money to his lawyer for a specific
purpose, such as to file an action, appeal an adverse
judgment, consummate a settlement, or pay the
purchase price of a parcel of land, the lawyer should,
upon failure to take such step and spend the money
for it, immediately return the money to his client.
(Arroyo-Posidio vs. Vitan, A.C. No. 6051, April 2,
2007)
Under, Rule 20.03, Code of Professional
Responsibility, "A lawyer shall not, without the full
knowledge and consent of the client, accept 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."
"Whatever the client receives from the opposite party
in the service of his client belongs to the client, in the
absence of his clients consent, after a full disclosure of
facts."
Generally "a lawyer may not claim the attorney's fees
in the concept of damages awarded by the court in
favor of his client, except when he and his client have
agreed that whatever amount the court may award as
attorney's fees would form part of his compensation."
What should a lawyer do with the funds of his client
which are entrusted to him?
Page 20 of 56
A lawyer shall keep the funds of each client separate
and apart from his own and those of others kept by
him. (Rule 16.02)
What is the duty of a lawyer when the client
demands the turn-over of the funds entrusted to
him? What is an attorney’s lien?
A lawyer shall deliver the funds and property of his
client 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 the Rules of Court. (Rule
16.03)
May a lawyer lend or borrow money from his client?
A lawyer shall not borrow money from his client
unless the client’s interests are fully protected by the
nature of the case or by independent advice. Neither
shall a lawyer lend money to a client except, when in
the interest of justice, he has to advance necessary
expenses in the legal matter he is handling for the
client. (Rule 16.04)
What is the purpose of Rule 16.04?
It is to prevent the lawyer from taking advantage of
his influence over the client or to avoid acquiring a
financial interest in the outcome of the case.
CANON 17
A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT AND HE
SHALL BE MINDFUL OF THE TRUST AND CONFIDENCE REPOSED IN
HIM.
What is the duty of a lawyer when a client
approaches him and retains him?
It is the duty of the lawyer at the time of retainer to
disclose to the client all the circumstances of his
relations to the parties and any interest in, or
connection with, the controversy that might influence
the client in the selection of counsel.
CANON 18
A LAWYER SHALL SERVE HIS CLIENT WITH COMPETENCE AND
DILIGENCE.
What should a lawyer do if he feels that he cannot
render competent assistance to a client?
A lawyer shall not undertake a legal service which he
knows or should know that he is not qualified to
render. However, he may render such service if, with
the consent of his client, he can obtain as
collaborating counsel a lawyer who is competent on
the matter. (Rule 18.01)
What degree of preparation is required of a lawyer in
handling legal matters?
A lawyer shall not handle any legal matter without
adequate preparation. (Rule 18.02)
What is the duty of a lawyer to whom any legal
matter has been entrusted?
A lawyer shall not neglect a legal matter entrusted to
him and his negligence in connection therewith shall
render him liable. (Rule 18.03)
What are the duties of a lawyer to his client while
handling the latter’s legal affairs?
A lawyer shall 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)
What is the DOCTRINE OF IMPUTED KNOWLEDGE?
Knowledge acquired by an attorney during the time
that he is acting within the scope of his authority is
imputed to the client.
What are the exceptions?
(SAND)
1. If strict application might foster Dangerous collusion
to the detriment of justice;
2. Service of notice upon party instead of upon his
attorney is ordered by court;
3. Notice of pre-trial is required to be served upon
parties and their respective lawyers;
4. In Appeal from the lower court to the RTC, upon
docketing of appeal.
CANON 19
A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL WITHIN THE
BOUNDS OF THE LAW.
What kind of means should a lawyer utilize in
obtaining the objectives of his client?
Page 21 of 56
A lawyer shall employ only fair and honest means to
attain the lawful objectives of his client and shall not
present, participate in presenting or threaten to
present unfounded criminal charges to obtain an
improper advantage in any case or proceeding. (Rule
19.01)
What should a lawyer do when he finds out that his
client has perpetrated a fraud upon a person or on
the tribunal?
A lawyer who has received information that his client
has, in the course of the representation, perpetuated
a fraud upon a person or tribunal, shall promptly call
upon the client to rectify the same, and failing which
he has to terminate the relationship with such client in
accordance with the Rules of Court. (Rule 19.02) Note
that privileged communication survives the
termination of the lawyer-client relationship.
Should a lawyer let his client dictate the procedure in
handling his case?
No. A lawyer shall not allow his client to dictate the
procedure in handling the case. (Rule 19.03)
What is the rule regarding the negligence of
lawyers?
Negligence binds client, except gross negligence.
Atty. A issued a check for the purpose of returning
the professional fees paid by his client. The check
bounced. Is Atty. A liable?
Yes. A lawyer is deemed to know the law, especially
Batas Pambansa Blg. 22 (B.P. Blg. 22). By issuing a
check in violation of the provisions of the law,
respondent is guilty of serious misconduct. (Santos-
Tan vs. Robino, A.C. NO. 6383, March 31, 2009)
What are the Exceptions to the doctrine of imputed
knowledge?
1. Reckless imprudence (deprives client of due
process)
2. Results in outright deprivation of one’s property
through technicality.
What should a lawyer do when he has knowledge of
an act, which is against the law, and the client is
about to do such an act?
Lawyer should do his best efforts to restrain and to
prevent his clients from perpetrating acts which he
himself ought not to do. Or else, withdraw. But lawyer
shall not volunteer the information about the client’s
commission of fraud to anyone – counter to duty to
maintain client’s confidence and secrets.
CANON 20
A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE FEES.
How should Attorney’s fees computed?
(CATS IN PCCS)
1. The Customary charges for similar services and
the schedule of fees of the IBP chapter to which
he belongs;
2. The Amount involved in the controversy and the
benefits resulting to the client from the services;
3. The Time spent and the extent of the services
rendered or required;
4. The Skill demanded;
5. The Importance of the subject matter;
6. The Novelty and difficulty of the questions
involved;
7. The Probability of losing other employment as a
result of acceptance of the proffered case;
8. The Contingency or certainty of compensation;
9. The Character of the employment, whether
occasional or established; and
10. The professional Standing of the lawyer.
Can the court fix reasonable compensation which
lawyers should receive for their professional
services?
Yes. Nothing precludes the appellate courts from reducing
the award when it is deemed unconscionable (Law Firm Of
Tungol & Tibayan vs. CA, G.R. No. 169298, July 9, 2008)
Who has the right to collect Attorney’s Fees?
Only lawyers are entitled to attorney’s fees
What are the exceptions?
(PCN)
1. Pre-existing agreement with a partner or
associate that money shall be paid to his estate
upon the latter’s death;
2. When a lawyer undertakes to Complete
unfinished business of a deceased lawyer;
3. A lawyer or firm includes Non-lawyer employees
in their retirement plan, whether or not based in
whole or in part on a profit sharing agreement.
Page 22 of 56
What are the kinds of Payment which may be (ALU)
stipulated upon? 1. Attorney-client relationship;
1. A fixed or absolute fee which is payable 2. Lawful possession by the lawyer of the client’s
regardless of the result of the case. funds, documents and papers in his professional
2. A contingent fee that is conditioned on securing a capacity;
favorable judgment and recovery of money or 3. Unsatisfied claim for attorney’s fees.
property and the amount of which may be on a
percentage basis. Compare the two liens.
3. A fixed fee payable per appearance.
4. A fixed fee computed by the number of hours Characteristics Retaining Lien Charging Lien
spent.
Nature Passive Lien; Active Lien; may
5. A fixed fee based on a piece of work.
cannot be be enforced by
6. An acceptance fee and progress billings.
actively execution.
enforced. Special lien.
What are the kinds of Retainer Agreements on
General lien.
Attorney’s fees?
1. General Retainer or Retaining Fee – the fee paid Basis Lawful Securing a
to a lawyer to secure his future services as general possession of favorable
counsel for any ordinary legal problem that may papers, money
arise in the ordinary business of the client and documents, judgment for
referred to him for legal action property the client.
2. Special Retainer – a fee for a specific case or belonging to
service rendered by the lawyer for a client client.
Coverage Covers papers, Covers all
What are the kinds of Attorney’s Lien? documents and judgment for
1. Charging Lien - an equitable right to have fees and properties in the payment of
lawful disbursements due a lawyer for his services the lawful money and
in a suit secured to him out of the judgment for possession of execution
the payment of money and executions issued in the attorney by issued in
pursuance thereof in the particular suit reason of his pursuance of
2. Retaining lien – a right merely to retain the funds, professional such judgments.
documents and papers as against the client until employment.
the attorney is fully paid. Time it takes As soon as the As soon as the
effect attorney is in claim for
What are the requisites of a charging lien? possession of attorney’s fees
(FERN C) papers, has been
1. Existence of a lawyer-client relationship; documents or entered into the
2. Attorney Rendered services; property. records of the
3. Attorney has a Claim for attorney’s fees or case.
advances; Notice It is not Notice must be
4. Favorable judgment secured by the counsel for his necessary to served upon
client which judgment is a money judgment; and notify client client and
5. Nothing in the records of the case through the adverse party
filing of an appropriate motion of the statement Applicability May be Generally
of the lawyer’s claim for attorney’s fee with copies exercised exercisable only
furnished to the client and adverse party. before when the
judgment or attorney
execution or already secured
What are the requisites of a retaining lien? regardless a favorable
Page 23 of 56
 thereof. judgment for 4. Justified dismissal of attorney (payment: in
his client. quantum meruit only)
Extinguishment When When client 5. Serving Adverse interest unless proved that it was
possession loses action as consented by both parties
lawfully ends lien may only be 6. When he Withdraws before the case is finished
when as lawyer enforced
voluntarily parts against What is Quantum Meruit?
with funds, judgment It means as much as the lawyer deserves or such
documents and awarded in amount as his services merit.
papers of client favor of client,
or offers them proceeds How would you determine the Attorney’s Fees based
as evidence. thereof on Quantum Meruit?
executed (TINS)
thereon. 1. Time spent and extent of the services rendered or
required
2. Importance of the subject matter
Is a lawyer entitled to fees in case of referral?
3. Novelty and difficulty of questions involved
Yes, but he must obtain the consent of the client first.
4. Skill demanded of a lawyer
According to Rule 20.02, A lawyer shall, in cases of
referral, with the consent of the client, be entitled to a CANON 21
division of fees in proportion to the work performed
and responsibility assumed.
A LAWYER SHALL PRESERVE THE CONFIDENCES AND SECRETS OF
HIS CLIENT EVEN AFTER THE ATTORNEY-CLIENT RELATION IS
What is the Exception to this Canon? TERMINATED.
A lawyer may receive compensation from a person
other than his client when the latter has full
What is Confidence in relation to this Canon?
knowledge and approval thereof. (Rule 138, Sec. 20[e],
It refers to information protected by the attorney-
Revised Rules of Court)
client privilege.
What should a lawyer do in dealing with
What is a Secret?
controversies regarding his compensation?
It refers to other information gained in the
A lawyer shall avoid controversies with clients professional relationship that the client has regulated
concerning his compensation and shall resort to
to be held inviolate or the disclosure of which would
judicial action only to prevent imposition, injustice or
be embarrassing or would likely be detrimental to the
fraud. (Rule 20.04) client.
Are Stipulations regarding payments illegal?
Are all types of Communication confidential?
Stipulation regarding payments of attorney’s fees is No, the mere establishment of a client-lawyer
not illegal/immoral and is enforceable as the law
relationship does not raise a presumption of
between the parties provided such stipulation does
confidentiality. There must be intent or that the
not contravene law, good morals, etc.
communication relayed by the client to the lawyer be
treated as confidential.
When is counsel not allowed to recover the full
amount despite written contract for attorneys’ fees?
What is the burden of the confidential relationship
(FUN JAW)
between the lawyer and his client?
1. When the lawyer is guilty of Fraud or bad faith Among the burdens of the relationship is that which enjoins
toward his client the lawyer to keep inviolate confidential information
2. When the stipulated fees are Unconscionable acquired or revealed during legal consultations. The fact
3. When the counsel’s services are worthless
that one is, at the end of the day not inclined to handle the
because of his Negligence
client’s case is hardly of consequence. The fact that no
Page 24 of 56
formal professional engagement follows the consultation.
Nor will it make any difference that no contract whatsoever
was executed by the parties to memorialize the relationship
(Hadjula vs. Madianda, A.C. NO. 6711, July 3, 2007)
Can a lawyer reveal the confidences or secrets of his
client?
No. He cannot reveal the confidences or secrets of his
client. (Rule 21.01)
What are the exceptions for the non-disclosure of
Communications?
(CLPC)
1. Consent or waiver by the client;
2. When disclosure is required by Law
3. When disclosure is made to Protect the lawyer’s
rights (i.e. to collect his fees or defend himself)
4. When such communications are made in
contemplation of a Crime or the perpetuation of a
fraud.
Are all types of secrets confidential?
No. The obligation to keep secrets covers only lawful
purposes.
What are the exceptions to the above rule?
(AJAF)
1. Announcements of intention of a client to
commit a crime
2. Client Jumped bail and lawyer knows his
whereabouts
3. Client is living somewhere under an Assumed
name
4. Communication involves the commission of
Future fraud or crime but crimes/frauds “already
committed” falls within the privilege.
Can lawyers use information about his client
acquired in the course of his employment?
No. A lawyer is prohibited from using information
acquired in the course of his employment to the
disadvantage of his client. He cannot use it to his own
advantage or that of another person. (Rule 21.02)
Is this an absolute rule?
No. If the client, with full knowledge of the
circumstances, consents then he may use the
information. (Rule 21.02)
May a lawyer give information of his client to an
outside agency for auditing, statistical, bookkeeping,
accounting, data processing or any other similar
purposes?
No, unless there is a written consent of his client
authorizing him to do so. (Rule 21.03)
May a lawyer disclose the affairs of his firm’s client
to his partners or associates?
Yes. A lawyer may do so unless he is prohibited by his
client from doing so. (Rule 21.04)
What are the things that a lawyer should do to keep
the confidences of his client secret?
(MAN)
1. He shall adopt Measures to prevent those whose
services are utilized by him from disclosing or
using confidences or secrets of his client. (Rule
21.05)
2. He shall Avoid indiscreet conversation about a
client’s affairs even with members of his family.
(Rule 21.06)
3. He shall Not reveal that he has been consulted
about a particular case except when necessary to
avoid a possible conflict of interest. (Rule 21.07)
CANON 22
A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR GOOD
CAUSE AND UPON NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
When may a lawyer withdraw his services?
(MIDI VEO)
1. When the Mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively
2. When the client pursues an Illegal or immoral
course of conduct in connection with the matter
he is handling
3. When the client Deliberately fails to pay the fees
for the services or fails to comply with the retainer
agreement
4. When his Inability to work with co-counsel will
promote the best interest of the client
5. When the client insists that the lawyer pursue
conduct Violative of the canons and rules
6. When the lawyer is Elected or appointed to a
public office; and
7. Other similar cases (Rule 22.01)
Page 25 of 56
What are the Kinds of Appearance?
1. General appearance is that kind where the party
comes to court either as plaintiff or defendant and
seeks general relief from the court for satisfaction
of his claims or counterclaims respectively.
2. Special appearance is that kind where a
defendant appears in court solely for the purpose
of objecting to the jurisdiction of the court over
his person. The aim is simply the dismissal of the
case. If the defendant seeks other relief, the
appearance, even if qualified by the word special,
is equivalent to a general appearance.
After a lawyer withdraws his service, what should he
do?
The lawyer shall, subject to a lien, turn over all papers
and property to which his client is entitled to. He shall
also 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)
If a person, in respect to his business affairs or
troubles of any kind, consults with his attorney in his
professional capacity with the view of obtaining
professional advice or assistance, and the attorney
voluntarily permits or acquiesces in such
consultation, is a professional relationship
established between them?
Yes. (Hilado vs. David, 84 Phil. 569)
How is a lawyer withdrawn or dismissed from a case?
The withdrawal as counsel of a client or the dismissal
by the client of his counsel, must be in a formal
petition filed in the case. Attorney-client relationship
does not terminate formally until there is withdrawal
made of record. Unless properly relieved, counsel is
responsible for the conduct of the case.
(Tumbangahan vs. CA, 165 SCRA 485)
How does a counsel withdraw his services from his
client?
In withdrawal as counsel for a client, an attorney may
only retire from a case either by written consent of his
client or by permission of the court after due notice
and hearing, in which event the attorney should see to
it that the name of the new attorney is recorded in the
case.
What are the Requirements for the substitution of
Attorneys?
(PACC)
1. Written Application
2. Written Consent of client
3. Written Consent of attorney to be substituted
4. If the consent of the attorney to be substituted
cannot be obtained, there must be at least a Proof
of notice that the motion for substitution has
been served upon him, in the manner prescribed
by the rules.
Is the right to terminate by a client absolute?
Yes. Such termination may be with or without cause.
When is the attorney-client relationship terminated?
(IF CAW 5D)
1. Intervening incapacity or incompetence of the
client during the pendency of the case, for then
the client loses his capacity to contract, or to
control the subject matter of the action. The
guardian may authorize the lawyer to continue his
employment;
2. Full termination of the case or case;
3. Conviction for a crime and imprisonment of the
lawyer for quite sometime;
4. Death of the lawyer, unless it is a Law Firm, in
which case, the other partners may continue with
the case;
5. Death of the client as the relationship is personal,
and one of agency
6. Appointment or election of a lawyer to the
government position which prohibits private
practice of law;
7. Withdrawal of the lawyer under Rule 22.01;
8. Discharge or dismissal of the lawyer by the client,
for the right to dismiss a counsel is the
prerogative of the client, subject to certain
limitations;
9. Disbarment or suspension of the lawyer from the
practice of law;
10. Declaration of the presumptive death of the
lawyer (Art. 390, New Civil Code; Art. 41, Family
Code)
How does a lawyer terminate the attorney-client
relationship?
By procuring the written consent of his client or by
permission of the court after due notice and hearing,
which the attorney ensures that the name of the new
Page 26 of 56
attorney is recorded. If he cannot get the written
consent, he must make an application to the court, as
the relation does not terminate until there is a
withdrawal of the record. He must serve a copy of his
petition upon his client and the adverse party at least
3 days before the date set for hearing. (Visitacion vs.
Manit, 27 SCRA 523 (1969))
Is the procedure the same as when the client
terminates the relationship?
No. A client has the absolute right to discharge his
attorney at anytime with or without cause or even
against his consent.
Atty. X filed a notice of withdrawal of appearance as
counsel for the accused Y after the prosecution
rested its case. The reason for the withdrawal of
Atty. X was the failure of accused Y to affix his
conformity to the demand of Atty. X for increase in
attorney’s fees. Is the ground for withdrawal
justified? Explain.
The inability of a client to pay the attorney’s fees or
the cost of litigation does not justify the lawyer’s
withdrawal from the action (In re Carmen, cited by
Agpalo, p. 283) unless the client deliberately
disregards an agreement as to compensation or
expenses (Agpalo, id.) There being no agreement,
Atty. X’s ground for withdrawal is not justified. It must
be remembered that in a criminal proceeding, counsel
for an accused should not ask to be relieved from his
professional responsibility on mere trivial ground.
(Ledesma vs. Climaco, 57 SCRA 473, cited by Agpalo)
LIABILITIES OF LAWYERS
GROSS MISCONDUCT is an inexcusable, shameful,
flagrant, or unlawful conduct on the part of the person
concerned in the administration of justice which is
prejudicial to the rights of the parties or to the right
determination of a cause. It is a conduct that is
generally motivated by a premeditated, obstinate or
intentional purpose.
MALPRACTICE ordinarily refers to any malfeasance or
dereliction of duty committed by a lawyer.
UNPROFESSIONAL CONDUCT in an attorney is that
which is unbecoming a member of that profession.
Gross misconduct, malpractice or unprofessional
conduct constitute grounds for disciplinary action.
What are the civil liabilities of a lawyer?
(PB TLC)
1. Client is Prejudiced by lawyer's negligence or
misconduct
2. Breach of fiduciary obligation
3. Civil liability to Third persons
4. Libelous words in pleadings; violation of
communication privilege
5. Liability for Costs of suit (treble costs) - when
lawyer is made liable for insisting on client's
patently unmeritorious case or interposing appeal
merely to delay litigation
What are the criminal liabilities of a lawyer?
(PRRIM)
1. Prejudicing client through malicious breach of
professional duty
2. Revealing client's secrets
3. Representing adverse interests
4. Introducing false evidence
5. Misappropriating client's funds (estafa)
What are the types of Contempt?
1. Direct
- It consists of misbehavior in the presence of or so
near a court or judge as to interrupt or obstruct the
proceedings before the court or the administration of
justice; punished summarily.
- It is failure to do something ordered by the court
which is for the benefit of a party.
2. Indirect
- One committed away from the court involving
disobedience of or resistance to a lawful writ, process,
order, judgment or command of the court, or tending
to belittle, degrade, obstruct, interrupt or embarrass
the court.
- Any conduct directed against the authority or dignity
of the court.
What are the acts which would constitute contempt?
Misbehavior, Disobedience, Publication concerning
pending litigation, Publication tending to degrade the
court; disrespectful language in pleadings, Misleading
the court or obstructing justice, Unauthorized practice
of law, Belligerent attitude, Unlawful retention of
client's funds
Page 27 of 56
Atty. A was found guilty of indirect contempt by the
Regional Trial Court and summarily suspended
indefinitely from the practice of law. Atty. A
appealed to the Supreme Court. Is his appeal
meritorious? Cite reasons
Indirect contempt may not be punished summarily.
There must first be a charge in writing and an
opportunity for the respondent to comment. (Sec. 3,
Rule 71, Rules of Court) Atty. A’s appeal is meritorious
(certiorari under Rule 45).
What are the grounds for disbarment or suspension?
(GAWD OMC)
1. Deceit;
2. Malpractice or other gross misconduct in office;
3. Grossly immoral conduct;
4. Conviction of a crime involving moral turpitude;
5. Violation of oath of office;
6. Willful disobedience of any lawful order of a
superior court;
7. Corrupt or willful appearance as attorney for a
party to case without authority to do so (Sec. 27,
Rule 138, RRC)
What are the grounds for disciplining lawyers?
Section 27 of Rule 138 of our Rules of Court provide
that “A member of the bar may be removed or
suspended from his office as attorney by the Supreme
Court for any deceit, malpractice, or other gross
misconduct in such office, grossly immoral conduct, or
by reason of his conviction of a crime involving moral
turpitude, or for any violation of the oath which he is
required to take before admission to practice, or for a
wilfull disobedience of any lawful order of a superior
court, or for corruptly or wilfully appearing as an
attorney for a party to a case without authority so to
do. The practice of soliciting cases at law for the
purpose of gain, either personally or through paid
agents or brokers, constitutes malpractice.”
This enumeration is not exclusive. A lawyer may be
removed from office or suspended from the practice
of law on the grounds other than those specifically
provided in the law. Any misconduct on the part of a
lawyer in his professional or private capacity which
shows him to be wanting in moral character may
justify his suspension or removal from office even
though the law does not specify the acts as a ground
for disciplinary action.
Discuss misconduct before or incident to admission.
Broadly speaking, the grounds for disbarment or
suspension of a lawyer consist of those acts of
misconduct committed before and after his admission
to practice. The acts of misconduct prior to admission
include those which indicate that at the time the
lawyer took his oath, he did not possess the required
qualifications for membership in the bar. Two
important requisites must concur before he may be
suspended or disbarred for misconduct committed
before his admission. First, the act imputed to him
must be so corrupt and false as to constitute a
criminal act or so unprincipled as to be reprehensible
to a high degree; and that the act charged must be
established by a clearly preponderant evidence.
On the other hand, grounds for suspension or
disbarment based on acts committed after the
lawyer’s admission to the bar are those which cause
loss of moral character on his part or involve violation
of his duties to the court, to his client, to the legal
profession and to the public.
What is the effect of misconduct committed outside
Philippine jurisdiction?
The rule is that a Philippine lawyer may practice law
only in the country. He may, however, be admitted to
the bar in a foreign country where he can practice law
in both countries. If he commits misconduct outside
Philippine jurisdiction, which is also a ground for
disciplinary action under Philippine law, he may be
suspended or disbarred in this country.
What are the effects when an attorney commits
breach of duties to the Court?
An attorney is an officer of the court whose
obligations to the court are more significant and
important than his obligations to his clients. He may
be admonished, censured, fined, suspended or
disbarred for breach of his duties to the court that
affects his professional integrity, his obligations as a
lawyer or his fitness as an officer of the court.
What is the effect of obstructing justice and abuse of
legal process by lawyers?
Any act on the part of a lawyer that obstructs,
perverts or impedes the administration of justice
constitutes misconduct and justifies disciplinary action
against him. Ordinarily, obstruction in the
administration of justice constitutes contempt of
Page 28 of 56
court, and citing the offender for contempt and
punishing him for such misbehavior may be sufficient
to accomplish the end desired. However, misbehavior
may be of such character as to effect the offender’s
qualifications as a lawyer for the practice of his
profession. In such a case, he may be disciplined as an
attorney for such misconduct.
May a lawyer mislead the court?
No. A lawyer must be a disciple of truth. Under the
Code of Professional Responsibility, he owes candor,
fairness and good faith to the courts. He shall neither
do any falsehood, nor consent to the doing of any. He
also has a duty not to mislead or allow the courts to
be mislead by any artifice.
What is the effect of forum shopping?
A willful violation of the non-forum shopping rule
constitutes direct contempt of court and makes the
lawyer liable administratively, such as suspension
from practice of law for one year. Note that he or she
will also be liable civilly and criminally.
What is the effect of preferring false charges?
A lawyer, including a public prosecutor, may be
disciplined for filing or prosecuting false charges
against another for his action is a violation of his
sword duty to do no falsehood nor consent to the
doing of any in court, nor wittingly or willingly
promote or sue any false, groundless or unlawful suit.
His conduct is moreover unethical and evinces a
character wanting in truthfulness and devoid of that
sense of fairness and justice so essential to the legal
profession.
To warrant disciplinary action against a lawyer for
proferring or prosecuting false charges or complaints,
it must be shown that the charges are false and the
lawyer knows them to be so, in spite of which he
nevertheless filed them. In short, the lawyer must
have been moved by malice or bad faith. However, if
the charges are not entirely false and have been filed
to protect the lawyer’s interest and that of his client,
such action, on the part of the lawyer does not
warrant disciplinary sanction.
What is the effect of introducing false charges?
A lawyer may be suspended or disbarred for
knowingly presenting or introducing false evidence in
any proceeding as his act is a violation of his oath to
do no falsehood nor consent to the doing of any in
court. His action constitutes a willful disregard of his
solemn duty to act at all times in a manner consistent
with the truth.
What is Blackmail?
Blackmail is the extortion of money from a person by
threats of accusation of exposure or opposition in the
public prints, obtaining of value from a person as a
condition of refraining from making an accusation
against him, or disclosing some secret calculated to
operate to his prejudice.
Dicsuss “willfully disobeying the court orders and
disrespect to the court.”
The term “willful” conveys the idea of flagrant
misconduct such as would indicate a disposition on
the part of a lawyer so refractory in its character as to
affect his qualifications and standing for the further
exercise of his office as attorney; intentional and
deliberate
What is the effect of using vicious or disrespectful
language?
The use by a lawyer of vicious, intemperate, abrasive,
threatening or disrespectful language against the
judge constitutes direct contempt as well as a
violation of the lawyer’s oath and a transgression of
the Code of Professional Responsibility.
May a lawyer be disbarred for continuing to practice
after his suspension from the practice of law?
Yes, because it constitutes a gross misconduct and a
willful disregard of the suspension order, which should
be obeyed though how erroneous it may until set
aside.
A lawyer who is suspended for a fixed period does
NOT automatically get reinstated and cannot just
resume practice after the period of suspension. He
must first ask the Supreme Court for permission to
resume his practice.
What is the effect of negligence in the performance
of duties?
The failure to exercise due diligence or the
abandonment of the client’s cause makes the lawyer
unworthy of the trust which the client has reposed in
him. There is no hard and fast rule as to what is gross
misconduct in the performance of the lawyer’s duty to
his client. That question depends upon the
Page 29 of 56
circumstances if the case, the nature of the act done
and the motive which induced him to do the act
charged.
Employment of lawful means
Canon 19 and Rule 19.01 of the CPR ordain that a
lawyer shall employ only fair and honest means to
attain the lawful objective of his client and shall not
present, participate in presenting, or threaten to
present unfounded charges to obtain improper
advantage in any case or proceeding.
What is the effect of deceit or misrepresentation?
A lawyer may be suspended or disbarred for deceit or
misrepresentation to the prejudice of or as a means to
defraud his client. Implicit in these fraudulent acts are
bad faith on the part of the lawyer and material
damage to the client, which are the requisites that
should concur to justify the suspension or disbarment
of the lawyer on the ground deceit or
misrepresentation.
Why is a lawyer prohibited from representing
adverse interests and revealing client’s secrets?
In the absence of written consent on the part of the
clients concerned, a lawyer may not represent
conflicting interests without being disciplined for such
misconduct. The reason is that the representation of
conflicting interests not only constitutes malpractice
but is also a violation of the attorney-client
relationship as well a lawyer’s duty to a court.
Why is a lawyer prohibited from purchasing client’s
property in litigation?
The law expressly prohibits a lawyer from purchasing
his client’s property in litigation. It is sufficient to hold
the lawyer liable on that ground, that he is counsel for
a client at the time he acquires, by himself or through
another, during the pendency of the litigation, the
client’s property or interest involved therein. Good
faith on the part of the lawyer is not even a defense,
although it mitigates his liability.
What is the effect of failing to account or
misappropriating client’s property?
While a lawyer has a right to be paid for the legal
services he has rendered to his client, he should not
exercise such right whimsically by appropriating to
himself the client’s money to pay his fees without the
client’s consent. His doing so makes him
administratively liable for deceit in dealing with his
client.
What is the effect of collecting unreasonable fees?
A lawyer may be disciplined for collecting exorbitant
fees for his professional services, applying the client’s
money to pay his unreasonable claim for work done
without the client’s consent or refusing to return to
his client what he collected as payment for refusing to
return to his client what he collected as payment for
professional services which he never rendered. What
amounts to re reasonably exorbitant fee depends
upon the circumstances of each case. Where,
however, a law fixes a maximum amount which a
lawyer may charge his client for his professional
services in a particular matter, the collection of more
than what the law allows constitutes malpractice
sufficient to justify disciplinary action against the
lawyer.
When may a lawyer bind his client without special
power of attorney?
A lawyer can bind his client without special power
from the latter only in matters of procedure. The
lawyer, may, therefore, be disciplined for
compromising, settling, dismissing, waiving or
disposing of his client’s cause, property, interest
without prior subsequent authority from the client
because any of such steps does not involve matters of
procedure.
What is the effect of willfully appearing without
being retained?
A lawyer may not represent a litigant without
authority from the latter or from the latter’s
representative or, in the absence thereof, without
leave of court. His unsolicited appearance in court for
the insured, in the absence of attorney-client
relationship, is unbecoming of a member of the bar.
The lawyer’s appearance for a party without the
latter’s authority must be willful, corrupt or
contumacious in order that he may be held liable held
therefor. If he acts in good faith, then the complaint
for suspension or disbarment must fail.
What is the rule on defaming fellow lawyers?
General Rule: It is unethical for a lawyer to use
improper and objectionable language against another
lawyer or to cause him wantonly and maliciously of a
serious misconduct in the absence of a reasonable
Page 30 of 56
cause.
However, strongly worded statement by a lawyer
against opposing counsel, if justified by the records,
may not justify disciplinary action against him.
What is the rule on soliciting business?
The solicitation by a lawyer of cases at law for the
purpose of gain, either personally or through paid
agents or brokers, constitutes malpractice sufficient to
warrant the lawyer’s reprimand, suspension from the
practice of law or removal from office.
What is the effect of cooperating in illegal practice of
law?
A layman or a disbarred or suspended lawyer may not
practice law without being held liable for contempt of
court. The Canons of Professional Ethics warns that
“no lawyer shall permit his professional services, or his
name, to be used in aid of, or to make possible, the
unauthorized practice of law by any law agency,
personal or corporate”.
What is the general rule for misconduct?
A lawyer may not be suspended or disbarred for any
act in his private capacity. When, however, the
misconduct is so grave that would make him morally
unfit for the office and unworthy of the privilege, the
court may suspend or disbar him. Gross misconduct
on the part of the lawyer may put his moral character
in serious doubt and may render him unfit to continue
the practice of law.
The term “MORAL TURPITUDE” means anything which
is done contrary to justice, honesty, 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. An attorney
may be suspended or disbarred by reason of his
conviction of a crime involving moral turpitude.
1. Misconduct in the discharge of duties as a public
officer
With the promulgation of the Code of Professional
Responsibility, the ruling in Cruz has lost its validity
because the Code applies to lawyers in government
service in the discharge of their official tasks and
makes their negligence in the performance of their
duties as government lawyers a ground for disciplinary
action.
2. Misconduct as notary public
By applying for and having himself commissioned as
notary public, a lawyer assumes these duties in a dual
capacity, in the non-performance of which duties he
may be disciplined as a member of the bar. He may be
held to account as a lawyer for an act as a notary
public of a disgraceful or immoral character even to
the extent of the disbarment.
What is the effect of nonpayment of IBP dues?
Membership in the Integrated Bar of the Philippines is
a condition precedent for the practice of law and for
maintaining his name in the Roll of Attorneys. The
lawyer’s failure or refusal to pay such dues or special
assessments may justify his suspension or disbarment.
Can a lawyer be sanctioned as a member of the bar
for Misconduct as notary public?
Yes. A lawyer who is commissioned as a notary public
has certain duties as a notary public, the non-
fulfillment of which also constitutes a ground for
disciplinary action as a member of the bar.
D was charged with Estafa by C before the Barangay
for misappropriating the proceeds of sale of jewelry
on commission. In settlement of the case, D turned
over to the Barangay Captain, a lawyer, the amount
of P2,000.00 with the request that the Barangay
Captain turn over the money to C. Several months
passed without C being advised of the status of her
complaint. C contacted D who informed her that she
(D) had long before turned over the amount of
P2,000.00 to the Barangay Captain who undertook to
give the money to her (C). C thus filed a case against
the Barangay Captain who at once remitted the
amount of P2,000.00 to C. May the Barangay Captain
be faulted administratively? Explain.
The practice of law is a privilege burdened with
conditions. (Ledesma vs. Climaco, 57 SCRA 473) A
disciplinary action is premised on the assumption that
members of the bar should be competent, honorable,
and reliable, persons in whom courts and clients may
repose confidence. (Daroy vs. Ledesma, 65 SCRA 304)
Generally, any misconduct on the part of a lawyer in
his professional or private capacity which shows him
to be wanting in moral character may justify his
suspension or removal from office even though the
law does not specify the act as a ground for
Page 31 of 56
disciplinary action. (Santos vs. CFI, 185 SCRA 472) The
reason is that the continuous possession of good
moral character is a condition for the privilege to
practice law and if that condition is broken by any act
of misconduct on the part of the lawyer, the
withdrawal of the privilege is justified. (Mortel vs.
Aspiras, cited by Agpalo, p. 381) The barangay captain
may be faulted administratively since the act of
withholding the funds in spite of knowledge that such
rightfully belongs to C may be considered evidence of
want of moral character.
May the Supreme Court Initiate disciplinary
proceedings?
The Supreme Court may itself initiate disciplinary
proceedings against a lawyer who has so conducted
himself in a case pending before it as to show blatant
disrespect to the Court, want of good moral character
or violation of his oath, by issuing a showcase order.
Can a lawyer who drafted and notarized another
instrument that did not state the true consideration
of the sale so as to reduce the taxes due, be
suspended?
Yes, He notarized the second deed despite knowledge
of its illegal purpose. Also he gave the second deed
the same document number, page number and book
number as in the first deed, reasoning that the second
deed was intended to supplant and cancel the first
deed. Each instrument or document, executed, sworn
to, or acknowledged before the notary public must be
given a number corresponding to the one in his
register. This is to ensure the accuracy and integrity of
the entries in the notarial register. (Caalim-Verzonilla
v. Atty. Pascua, A.C. No. 6655, 11 October 2011).
Can a lawyer be disbarred twice for committing the
same act?
No. A lawyer cannot be disbarred a second time while
suffering disbarment. (Yuchico v. Atty. Gutierrez, A.C.
No. 8391, 23 November 2010).
What are the factors considered in the reinstatement
of lawyers?
The following factors are considered: (ANTA)
1. Applicant’s character and standing prior to
disbarment;
2. Nature and character of the charge;
3. Applicant’s conduct subsequent to the
disbarment;
4. Time that has elapsed between the disbarment
and the application for reinstatement
What are the qualifications of a notary public?
(FORMM)
1. Filipino citizen;
2. Over twenty-one years of age;
3. A resident in the Philippines for at least one
year and maintains a regular place of work or
business in the city or province where the
commission is to be issued;
4. A member of the Philippine Bar in good
standing with clearances from the Office of
the Bar Confidant of the Supreme Court and
the Integrated Bar of the Philippines;
5. Must not have been convicted in the first
instance of any crime involving moral
turpitude.
Where may a notary public perform a notarial act at
the request of the parties?
The notary public may perform notarial acts at the
request of the parties in the following sites located
within his territorial jurisdiction:
1. Public offices, convention halls, and similar
places where oaths of office may be
administered;
2. Public function areas in hotels and similar
places for the signing of instruments or
documents requiring notarization;
3. Hospitals and other medical institutions where
a party to an instrument or document is
confined for treatment; and
4. Any place where a party to an instrument or
document requiring notarization is under
detention.
When is a notary public disqualified?=
1. He is a party to the instrument or document
that is to be notarized;
2. Will receive, as a direct or indirect result, any
commission, fee, advantage, right, title,
interest, cash, property, or other
consideration, except as provided by these
Rules and by law; or
3. He is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the
Page 32 of 56
 fourth civil degree. lower court, those
4. Submission of adduced during the
Who appoints a notary public? investigative report investigation of the
Only an Executive Judge, after a summary hearing to the IBP Board of Solicitor General and
(2004 New Rules on Notarial Procedure) Governors. any additional evidence
the respondent
Who may appear for the government? 5. Board of Governors introduces. (Sec. 6,
Any official or other person appointed or designated decides within 30 Rule 139, RoC)
in accordance with law. (Section 33, Rule 138, RoC) days.
3. If the respondent
May the Supreme Court take up the removal or 6. Investigation by the does not appear during
suspension of lawyers from the practice of law on its Solicitor-General the hearing to
own motion? introduce additional
Yes, proceedings for the removal or suspension of 7. SC renders final evidence, the hearing
attorneys may be taken by the Supreme Court on its decision for shall proceed ex parte.
own motion or upon the complaint under oath of disbarment/
another in writing. (Section 1, Rule 139, RoC) suspension/
dismissal.
Are the grounds for suspension exclusive?
No, the enumeration of grounds is not exclusive. A
lawyer may be suspended from the practice on
grounds other than those provided by law. How many days does the respondent have to
Misconduct on the part of the lawyer that shows want respond to the complaint against him?
of moral character may justify suspension or removal The respondent shall be required to comment within
(In re Sotto, 38 Phil. 532 (1919)). ten (10) days from the date of service. Otherwise, the
same shall be dismissed. (Section 2, Rule 140, RoC)
Q: What is the procedure for disbarment?
1. Institution either by: Notes: What is the procedure for filing an administrative
a. The Supreme complaint against an erring judge?
Court, motu 1. If the respondent First, there must be a complaint in writing setting
proprio, or fails to file an answer, forth clearly the facts and circumstances relied upon
b. The IBP, motu the Solicitor General and sworn to and supported by affidavits and
proprio, or shall first conduct an documents. If the charge is with merit, a copy will be
c. Upon verified investigation and the served upon the respondent, requiring him to answer
complaint by any evidence adduced at within ten (10) days from the date of service. If not or
person the hearing if the the answer shows to the satisfaction of the court that
complaint has sufficient the charges are not meritorious, it will be dismissed
2. Six copies of the ground to proceed, and which must followed by an answer within ten (10)
verified complaint thereafter he may days from date of service. Afterwards, there shall be a
shall be filed with the submit a report hearing. A report must be filed with the Supreme
Secretary of the IBP recommending its Court of findings accompanied by evidence and
or Secretary of any of dismissal or the documents. (Rule 140, RoC)
its chapter and shall corresponding
be forwarded to the complaint. Who investigates the charges against the respondent
IBP Board of (Sec. 3, Rule 139, RoC). embodied in the complaint?
Governors. Upon the filing of the complaint, the Court shall refer
2. The evidence that the matter to the Office of the Court Administrator
3. Investigation by the shall be considered are (OCA) for evaluation, report, and recommendation to
National Grievance those which are a retired member of the Supreme Court, if the
investigators. adduced before the respondent is a Justice of the Court of Appeals and the
Page 33 of 56
Sandiganbayan, or to 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 to a Judge of
the Regional Trial Court if the respondent is a Judge of
an inferior court. (Section 3, Rule 140, RoC)
How many days does the investigating Justice or
Judge have to deal with the investigation?
The said Justice or Judge has ninety (90) days from the
date of its commencement or within such extension as
the Supreme Court may grant. (Section 4, Rule 140,
RoC)
Complainant need not suffer injury
The right to institute a disbarment proceeding is not
confined to clients nor is it necessary that the person
complaining suffered injury from the alleged wrong.
This is because disbarment proceedings are matters of
public interest.
Disbarment proceedings imprescriptible
The filing of a disciplinary action does not prescribe
despite the number of years lapsed.
C filed a verified administrative complaint against
Atty. D. In the course of the investigation, C
presented an affidavit of desistance which she
identified on the witness stand. What course of
action should the investigator take? Explain.
The desistance of a complainant in a disbarment
proceedings or his withdrawal of the charges against a
lawyer does not deprive the court of the authority to
proceed to determine the matter. Nor does it
necessarily result in the dismissal of the complaint,
except when, as a consequence of withdrawal or
desistance, no evidence is adduced to prove the
charges. Since disbarment proceedings are neither a
civil nor a criminal action but one presented solely for
public interest, the fact that the complainant and the
respondent have considered the case closed, is
unimportant. (Bar question #6, 1994)
The investigator should still proceed with the
investigation of the charges.
What is Reinstatement?
It is the restoration in disbarment proceedings to a
disbarred lawyer the privilege to practice law.
What are the Criteria for Reinstatement?
The applicant must, like a candidate for admission to
the Bar, satisfy the Court that he is a person of good
moral character – a fit and proper person to practice
law. The Court will take into consideration the
applicant’s character and standing prior to the
disbarment, the nature and character of the charge
for which he was disbarred, his conduct subsequent to
the disbarment, and the time that has elapsed
between the disbarment and the application for
reinstatement. Whether or not the applicant shall be
reinstated rests on the discretion of the court.
(Prudential Bank vs. Benjamin Grecia, 192 SCRA 381)
Is pardon required?
Yes, to be reinstated, there is still a need for the filing
of an appropriate petition with the Supreme Court. (In
re: Rovero, 101 SCRA 803)
Due to the relation of trust or their peculiar control
either directly or indirectly and even at a public or
judicial auction, who are the people prohibited from
acquiring property under litigation?
1. Guardians;
2. Agents
3. Administrators
4. Public officers and employees
5. Judicial officers and employees
6. Prosecuting attorneys and lawyers (Art 1491, NCC)
7. Those specially disqualified by law (Rubias vs.
Batilles, 31 SCRA 120)
What are the elements of Article 1491 of the Civil
Code?
(PAPI)
1. There must be an Attorney-client relationship
2. The property or interest of the client must be In
litigation
3. The attorney takes Part as counsel in the case
4. The attorney by himself or through another
Purchases such property or interest during the
pendency of the litigation.
Is the prohibited purchase need to be proved or
alleged?
This prohibition is entirely independent of fraud and
such need not be alleged or proven.
Page 34 of 56
Are there any exceptions to this prohibition? 3. Impartiality
1. Property is acquired by lawyer through a 4. Propriety
contingent fee arrangement 5. Equality
2. Any of the 4 elements of Art. 1491 is missing 6. Competence and Diligence

JUDICIAL ETHICS CANON 1

INDEPENDENCE
JUDICIAL ETHICS – is the branch of moral science
which treats of the right and proper conduct to be JUDICIAL INDEPENDENCE IS A “PRE-REQUISITE TO THE RULE OF
observed by all judges and magistrates in trying and LAW” AND A “FUNDAMENTAL GUARANTEE OF FAIR TRIAL.”
deciding controversies brought before them for
adjudication which conduct must be demonstrative of Independent judiciary: is one free of inappropriate
impartiality, integrity, competence, independence and outside influences.
freedom from improprieties. This freedom from
improprieties must be observed in both the public and What does Independence under Canon 1 require?
private life of a judge – being the visible CANON 1 requires that judges reject pressure from
representation of the law. any source by maintaining independence in the
pursuit of their duties.
Court – a board or other tribunal which decides a
litigation or contest (Hidalgo vs. Manglapus, 64 O.G. What are the sources of influence which judges
3189). A court may exist without a judge. should be independent from that are enumerated
under CANON 1?
Judge – Is a public officer who, by virtue of his office, (EJFE)
is clothed with judicial authority. A public officer 1. Extraneous influence, inducement, pressure,
lawfully appointed to decide litigated questions in threat or interference (Section 1)
accordance with law (People vs. Manantan, 5 SCRA - Judges are required to rule fairly regardless of public
687). This refers to persons only. There may be a judge clamor.
without a court.
2. Judicial colleagues (Section 2)
NEW CODE OF JUDICIAL CONDUCT - Judges should be careful to avoid such actions as
may reasonably tend to waken the suspicion that his
social or business relations constitute an element in
BASIC COMPARISON OF THE OLD AND NEW CANONS:
determining his judicial course.
1989 Code CANON 1
3. Family, social or other relationships (Section 4)
Concerned primarily with Focuses on the
- A judge should not sit in litigation where a near
institutional institutional and personal
relative is a part of or counsel. This disqualification is
independence of the independence of judicial
mandatory.
judiciary officers
Weaker mandate Independence is treated
4. Executive, legislative branches (Section 5)
as a single canon
- By their appointment to the office, the public has laid
Created 3 guidelines of Contains 8 norms of on their confidence that the official is mentally and
what judges “should” do conducts judges “shall” morally fit to pass upon the merits of their varied
follow intentions.

What qualities should an ideal judge possess under When should a judge inhibit himself from a
the New Code of Judicial Conduct for the Philippine proceeding?
Judiciary? 1. He, his wife or child, is pecuniarily interested as
1. Independence heir, legatee, creditor or otherwise;
2. Integrity
Page 35 of 56
 2. Any case in which he is related to either party
within the 6th civil degree of consanguinity or
affinity;
3. Any case in which he is related to counsel within
4th civil degree;
4. Any case in which he has been executor,
administrator, guardian, trustee or counsel;
5. Any case in which he has presided in any
inferior court when his ruling or decision is the
subject of review, without the written consent
of all parties in interest, signed by them and
entered upon the record;
6. Voluntary Inhibition
(Note: The following constitutes an exclusive
list) (Rule 137, RoC)
Who comprises the “judge’s family”?
The term includes a judge’s spouse, son, daughter,
son-in-law, daughter–in-law, and any other relative by
consanguinity or affinity within the sixth civil degree,
or person who is a companion or employee of the
judge and who lives in the judge’s household.
Moreover, when a judge is related to one of the
parties, his disqualification is mandatory.
Are judges prohibited from fostering and building
connections with government officials?
Yes, judges should avoid inappropriate connections, as
well as any situation that would give rise to the
impression of the existence of such inappropriate
connections with the executive and legislative
branches of the government.
Is it absolutely prohibited for a judge to create and
maintain close ties with an incumbent public official?
In the case of Suspension of Clerk of Court of Jacobo,
the court held that mere congeniality between a judge
and a governor may not necessarily be unethical, but
it may still create the appearance of impropriety. The
relationship in this case was not necessarily
detrimental to judicial independence, provided that
there was no showing that such relations were for
corrupt ends.
Judges in public office should be restrained from
exercising influence over other judicial or quasi-
judicial bodies for compliance with the duty to respect
not just the individual independence of fellow judges
but also the independence of judiciary as a whole.
Is it absolutely unethical for a judge to consult with
court staff and court officials?
No, when consultation is purely in an academic or
hypothetical basis, and the judge does not surrender
his or her independent decision making, there can be
no breach of this Code.
What other acts must judges refrain from doing in
order to show independence?
Independence includes refraining from influencing in
any manner the outcome of litigation or dispute
pending before another court or administrative
agency.
To achieve this end, judges must also make it clear to
others that his position will not be used or lent to
advance private interests, nor will he allow anyone to
interfere with his judicial work. (Section4)
How can judges inspire public confidence in the
judiciary?
Public confidence in the judiciary can be attained only
if judges are perceived by the public to be fair, honest,
competent, principled, dignified and honorable.
Accordingly, the first duty of judges is to conduct
themselves at all times in a manner that is beyond
reproach.
Under what law can judges be held liable if he
performs acts in breach of the rudiments laid down
by the Code?
Judges who succumb to pressures, and as a result,
knowingly ignore proven facts or misapply the law in
rendering a decision commit corruption and face both
administrative and criminal prosecution under RA
3019. (Anti- Graft and Corrupt Practices Act)
In making decisions and in the performance of their
actions, what should guide judges?
Judges should be reminded that their only guide is the
mandate of law.
What degree of independence is expected and
required of judges?
The highest degree of independence is required of
judges.
Page 36 of 56
 CANON 2
INTEGRITY
A JUDGE SHOULD ACT WITH INTEGRITY AND BEHAVE WITH
INTEGRITY AT ALL TIME SO AS TO PROMOTE PUBLIC CONFIDENCE
IN THE INTEGRITY OF THE JUDICIARY.
Is it enough for a judge to act and behave at all times
with integrity?
No. According to Section 1 of CANON 2, judges shall
not only ensure that their conduct is above reproach,
but that it is perceived to be so.
In the judiciary, moral integrity is more than a cardinal
virtue, it is a necessity. (Fernandez vs. Hamoy, A.M.
No. RTJ-04-1821) When a judge acts in contrast to this
virtue, he damages the integrity of the judiciary.
How can a judge show lack of integrity?
Ignorance of the law is a mark of incompetence, and
where the law involved is elementary, ignorance
thereof is considered as an indication of lack of
integrity. Judges who fail to observe the Rules of Court
in such matters as issuance of warrants of arrest,
TRO’s, injunctions and the like are guilty of
incompetency.
It is essential that public confidence is always reposed
in the judicial systems and processes.
This includes integrity practiced by the court
personnel, because the slightest breach of duty and
irregularity in the conduct of court officers and
employees detract from the dignity of the courts and
erode the faith of the people in the judiciary.
(Buenaventura vs. Benedicto, A.C. No. 137-5, March
27, 1971)
An anonymous letter was sent to the court
administrator complaining about the acts of Judge L.
They claim that the judge likes to make side
comments during trial, reprimand and make insults
against counsels and their witnesses. The judge
however denies such imputations and claims that the
reason why he may have used harsh words
sometimes was due to his exasperation and desire to
correct the wrong being committed in his presence,
and did not intend to insult anyone. Did the judge act
properly?
No, the judge should be reminded of his obligation
under CANON 2. A judge should posses the virtue of
gravitas. He should be learned in law, dignified in
demeanor, refined in speech, and virtuous in
character. He must exhibit the hallmark of judicial
temperament, and in this connection must be
considerate of all the people appearing in his court.
(Juan dela Cruz vs. Judge Carretas, September 5, 2007)
How should a judge render decisions?
Judges should render not only just, correct and
impartial decisions, but must do so in a manner free
from any suspicion, as to their fairness, integrity and
impartiality. (Rallos vs. Gako, March 17, 2000)
CANON 3
IMPARTIALITY
IMPARTIALITY IS ESSENTIAL TO THE PROPER DISCHARGE OF ITSELF
BUT ALSO TO THE PROCESS BY WHICH THE DECISION IS MADE.
How is bias or prejudiced performed by a judge?
To sustain a claim of bias or prejudice, the resulting
opinion must be based upon an extrajudicial source:
that is, some influence other than the facts and law
presented in the courtroom.
Who has the burden of proving bias of the judge?
Burden of proof lies with the complainant.He must
prove bias sufficient to require inhibition with clear
and convincing evidence.
However, if a judge’s decisions are based on evidence
presented and the application of the law, such opinion
even if erroneous will not sustain a claim of personal
bias or prejudice on the part of the judge. (Gochan vs.
Gochan, G.R. 1433089, February 27, 2003).
When is there undue interference by a judge?
There is undue interference where the judge’s
participation in the conduct of the trial tends to build
or bolster a case of one of the parties.
In disposing of a criminal case, a judge should avoid
appearing like an advocate for either party. (Section 2)
Should a judge in all circumstances disqualify
himself?
No. The rule of disqualification of judges must yield to
demands of necessity-that a judge is not disqualified
to sit in a case if there is no other judge available to
Page 37 of 56
hear and decide the case. (Parayno vs. Menesis, 231
SCRA 807)
What kinds of comments should judges refrained
from making?
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. (Section 4)
Is there an automatic disqualification for judges?
Yes, the grounds for mandatory inhibition are found in
Rule 137 of the Rules of Court.
Judges and justices are not disqualified from
participating in a case simply because they have
written legal articles on the law which is involved in
the case. (Chavez vs. Public Estates Authority 403 SCRA
1)
When should judges disqualify themselves from
taking part in a case?
Judges shall disqualify themselves from participating
in any proceeding 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. (Section 3)
What is the rationale for the mandatory
disqualification of a judge?
The rationale stems from the long-standing precept
that a judge should not handle a case where there is a
perception, rightly or wrongly, that he is susceptible to
bias and impartiality because of relationship or some
other legal ground. (Palon vs. Judge Vallarta, March 7,
2007)
What situations show partiality on the part of the
judge?
The following are situations showing partiality on the
part of the judge:
(APES)
1. When judge has Actual bias or prejudice
concerning a party or personal knowledge of
disputed evidentiary facts concerning the
proceedings;
2. The judge Previously served as a lawyer or was a
material witness in the matter in controversy
A judge may be disqualified if he was formerly
associated with one of the parties or their counsel
3. The judge or a member of his or her family, has an
Economic interest in the outcome of the matter in
controversy
4. 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.
When is a judge automatically disqualified from
sitting in a case?
A judge is automatically disqualified to sit as a judge in
a case where the judge (Section 5):
(PRFWRRF)
1. Previously served as a lawyer
2. Served as lawyers in closely Related cases
3. When he is a Former law partner or associate
served as a lawyer in the matter while the judge
was practicing with the lawyer.
4. Was a material Witness in the case
5. Judge’s Ruling in lower court is the subject of
review:
6. Judge is Related by consanguinity or affinity to a
party litigant within the sixth civil degree or to
counsel within the fourth civil degree
7. 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
When must a petition to disqualify a judge be filed?
The petition to disqualify a judge must be filed before
rendition of judgment, and cannot be raised on appeal
(Gov’t vs. Abella, 49 Phil 374)
If the party to the case believes that the judge is
disqualified from taking the case, what should the
party do?
The party may, in writing, file with the official his
objection, stating the grounds therefore. (Rule 137,
Sec. 2)
Page 38 of 56
Can the judge, despite the existence of reasons for
disqualification continue to hear the case?
Yes, the judge may continue to hear the case,
provided that the decision to continue hearing the
case should be:
a) Coupled with a bona fide disclosure to the parties-
in-litigation
b) Subject to express acceptance by all the parties of
the cited reason as not material or substantial.
(Section 6)
(Either of the two instances must be present, absent
such, the judge may not continue to hear the case.)
Should a judge disqualify himself in a case where he
issued an order for the Writ of Execution in favor of
his son-in-law’s client, and where in the same case,
the son-in-law appeared only as additional counsel to
a case pending in the former’s sala?
A: Yes, CANON 3 of the code provides that a judge
should not take part in any proceeding where he is
related ‘by consanguinity or affinity to a party litigant
within the sixth degree or to counsel within the fourth
degree’, A son-in-law in this case is related to the
judge in the first degree of affinity, was a counsel for
the plaintiff (in this case). The defense that the son-in-
law was not an original counsel, nor the defense that
the act did not need the resolution of any factual or
legal issue- justify the judge’s participation since a
judge is mandated by the Code to inhibit himself when
party litigants are related to him. Moreover, judges
should be reminded of their obligation to keep the
image of the judiciary worthy of the people’s trust.
(Ortiz vs. Judge Jaculbe Jr.,A.M. No. RTJ-04-1833)
CANON 4
PROPRIETY
Is it enough that judges avoid impropriety?
No. Judges shall avoid impropriety and the
appearance of impropriety in all their activities (Sec.1,
CANON 4)
Judge G used the letterhead of his office to report a
complaint involving an alleged violation of church
rules and possibly of Philippine Laws. Decide.
His use of the letterhead and his designation as a
Judge in a situation of potential dispute gave the
appearance that there is an implied or assured
consent of the court to his cause. Judges shall avoid
impropriety and the appearance of impropriety in all
of their activities (Sec.1 CANON 4) (Landigon vs. Judge
Garong, Aug. 20, 2008)
Is the judge’s perception of impropriety important?
No. The judge’s own perception of motives is not
relevant when considering appearance of impropriety.
Judge A filed several complaints against Clerk B
accusing her of violating office rules and describing
her as “offensive”, “whore”, “GRO, undignified and
repulsive and had his complaint published in a
newspaper.
Judge A is liable for gross misconduct. Judges shall
conduct themselves in a way that is consistent with
the dignity of the judicial office. (Section 2, CANON 4)
(Lihaylihay vs. Canda, June 18, 2009)
What is dignified conduct?
Dignified conduct is best described as conduct
befitting men and women possessed of temperance
and respect for the law and others.
Judge A is seen eating and drinking in public places
with a lawyer who has cases pending in his sala. Is
such act proper?
No. 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 (Section 3,
CANON 4)
Judge A did not recuse herself in a criminal case
where the accused became his brother in law after its
submission for decision. Is the judge liable?
Yes. 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 matter
with the case. (Section 4, CANON 4)
When anyone of the relatives of the judge will
represent a litigant in the case pending before him,
the judge must consider self-disqualification that the
confidence of the people may not erode. Even if the
relative is not a representative of a litigant, the judge
must still disqualify himself if a relative is associated in
any manner with the case.
Page 39 of 56
Judge A participated in a political rally sponsored by
one party and explained the mechanics of block
voting to the audience Is he liable?
Yes. Judges are entitled to civil liberties (freedom of
expression, belief, association and assembly), but 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 (Section
6, CANON 4)
Judge A attended a political rally sponsored by one of
the political parties and explained the mechanics of
block voting to the audience. Was the act of the
judge proper?
No. The judge gives the appearance of partisan
politics. In exercising their civil liberties, judges should
always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the
impartiality and independence of the Judiciary.
Judge A made phone calls to a station commander on
behalf of a family friend who had been detained and
asked the bailiff to look into the status of the car that
had been left in the parking lot when the friend was
arrested. Is he liable?
Yes. 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 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 (Section 8, Canon 4)
After a confrontation between a judge’s son and the
son’s teacher, the judge had the teacher arrested and
arraigned before him. Is he liable?
Yes. A judge cannot use his judicial power to exact
personal vengeance.
Justice O was stopped for traffic violations, produced
his judicial identification credential and asked “don’t
you know who I am?” Is he liable?
Yes. Ticket fixing is impermissible. 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 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 (Section 8, CANON 4)
A Justice was found to have facilitated the
unauthorized release of an unpromulgated decision.
Rule on his liabilities
1. He is liable for grave misconduct. The New Code of
Judicial Conduct provides that confidential
information acquired by justices and judges in their
judicial capacity shall not be used or disclosed for any
other purpose not related to their judicial duties
(Section 9, CANON 4).
2.He is also liable for gross misconduct for violating his
lawyer’s oath and the Code of Professional
Responsibility. CANON 1 of the Code of Professional
Responsibility requires a lawyer to uphold the
Constitution, obey the laws of the land and promote
respect for law and legal process. It is likewise
provided in Rule 1.01 and 1.02 of the said canon that a
lawyer shall not engage in unlawful, dishonest
immoral or deceitful conduct and that a lawyer shall
not counsel or abet activities aimed at defiance of the
law or at lessening confidence in the legal system. ( In
Re: Undates Letter of Mr. Louis C. Biraogo, Petitioner
In Biraogo V. Nograles and Limkaichong, G.R. No.
179120 February 24, 2009)
What acts are subject to proper performance of
judicial duties?
1. Write, lecture, teach and participate in activities
concerning the law, the legal system, the
administration of justice or related matters;
2. Appear at public hearing before an official body
concerned with matters relating to the law, the
legal system, the administration of justice or
related matters;
3. 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
What are the limitations?
Judges may participate in legal academia and public
discourse on legal matters but there should be no
interference in the performance of the judge’s primary
functions with respect to his or her jurisdiction.
Judge A was put under preventive suspension while a
criminal case against him was pending. He appeared
as counsel in a civil case. Is he liable?
Yes. As a member of the judiciary, albeit a suspended
one, he still had the duty to comply with the Rules and
New Code of Judicial Conduct. Judges shall not
Page 40 of 56
practice law whilst the holder of judicial office (Section
11)
Judge A continuously allow his name to be included
in the firm name of which he was formerly a
member. Is this Proper?
No. A judge should not permit a law firm, of which he
was formerly an active member, to continue to carry
his name in the firm name as that might create the
impression that the firm possesses an improper
influence with the judge which consequently is likely
to impel those in need of legal services in connection
with matters before him to engage the services of the
firm. A judge cannot do indirectly what the
Constitution prohibits directly. (Binalay vs. Judge
Lelina, July 31, 2009)
May municipal judges assigned to municipalities and
circuits act as notaries public?
Yes. Municipal judges assigned to municipalities and
circuits may act as notary public provided:
a) All notarial fees are charged to government’s
account
b) certification in the notarial document
attesting to the lack of lawyers or notary in
the municipality or circuit
A judge allows a litigant to pay for the freight of for
personal acquisitions. Was it proper?
No. 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 (Section 13). Aside from
serious misconduct, the act of demanding and
receiving money or property from a litigant violates
Section 7(d) of R.A. 6713
Judge A allowed his daughters to accept a business
partnership offered by persons with pending cases
before his court. Is he liable?
Yes. 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, to be done or
omitted to be done in connection with their duties or
functions. (Section 14, CANON 4) (Dulay vs. Delina, July
14, 2005)
What are the Prohibitions Against Accepting gifts,
bequests or Loans?
a. Judges and members of their families shall neither
ask for nor accept any gift, bequest loan of favor
in relation to anything done or to be done or
omitted to be done by him of her in connection
with the performance of judicial duties. (Section
13)
b. Judge 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, to be
done or omitted to be done in connection with
their functions. (Section 14)
Is there an exception to the above stated
prohibition?
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 is
made, provided that such gift, award or benefit might
not be reasonably perceived as intended to influence
the judge in the performance of official duties or
otherwise give rise to an appearance of partiality
(Section 15, RA 3019)
CANON 5
EQUALITY
How can a judge show equality?
A judge must be able to render substantial justice and
maintain public confidence in the judicial system, by
being aware of the diversity in society. With that
awareness, a judge should not yield to first
impression, reach hasty conclusions or prejudge
matters. (Castillo vs. Judge Juan, G.R. No. 39516-17)
What should judges be aware of to render
substantial justice and maintain public confidence in
the judicial system?
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. (Section 1, CANON 5)
Page 41 of 56
Judge A advised an accused of the best course of
action at arraignment. Was his act proper?
No. This behavior may create the impression that the
sentence meted out is “lutong macao”. 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. (Section 2,
CANON 5)
CANON 6
COMPETENCE AND DILIGENCE
THE MAXIM “IGNORANCE OF THE LAW EXCUSES NO
ONE” HAS SPECIAL APPLICATION TO JUDGES.
(ESPIRITU VS. JAVELLANOS, 280 SCRA 579)
What are considered as judicial duties which judges
must devote their professional activity to?
1. Performance of judicial functions and
responsibilities in court and making of decisions
2. Other tasks relevant to the judicial office or the
court’s operations
Judge A conducted a Preliminary Investigation in
accordance with the 1964 Rules of Court instead of
the prevailing 1997 Rules of Court. Is the Judge
liable?
Yes. Judges shall take reasonable steps to maintain
and enhance their knowledge, skills and personal
qualities necessary for proper performance of judicial
duties, taking advantage for this purpose the training
and other facilities which should be made available,
under judicial control, to judges. (Section 3, CANON 6)
Are judges expected to be infallible?
No. Judges are not, however, expected to be infallible;
not every error or irregularity committed
by judges in the performance of official duties is
subject to administrative sanction. In the absence of
bad faith, fraud, dishonesty, or deliberate intent to do
injustice, incorrect rulings do not constitute
misconduct and may not give rise to a charge of gross
ignorance of the law.
What constitutes gross ignorance on the part of the
judge?
On the part of the judge in the application or
interpretation of the law must “not only be contrary
to existing law and jurisprudence, but also motivated,
by bad faith, fraud, dishonesty and corruption.”
(Duduaco vs. Laquindanum, GR No. 132887)
Are judges only required to be knowledgeable only of
local laws?
No. Judges shall keep themselves informed about
relevant developments of international law, including
conventions and other instruments establishing
human rights norms. (Section 4, CANON 6)
Judge A failed to resolve several motions for more
than a year in a case involving unlawful detainer. Is
he liable?
Yes. The constitution mandates that all matters filed
before all lower courts shall be decided or resolved
within 90 days from the time it is submitted for
decision. He violated the New Code of Judicial
Conduct which provides that Judges shall perform all
judicial duties, including the delivery of reserved
decisions, efficiently, fairly and with reasonable
promptness. (Section 5, Canon 6) (Dee Chuan v. Judge
W. Peralta April 16, 2009)
LIABILITIES OF JUDGES
What are the Grounds for administrative sanctions
against judges under Section 67 of the Judiciary Act
of 1948?
1. Serious misconduct – implies malice or wrongful
intent, not mere error of judgment, judicial acts
complained of must be corrupt or inspired by an
intention to violate the law, or were in persistent
disregard for well-known legal rules
2. Inefficiency – implies negligence, incompetence,
ignorance, and carelessness, when the judge fails
to observe in the performance of his duties that
diligence, prudence and circumspection which the
law requires in the rendition of any public service
What is the procedure for filing an administrative
complaint under Rule 140 of the Revised Rules of
Court?
1. Complaint in writing, setting forth clearly the facts
and circumstances relied upon and sworn to and
supported by affidavits and documents
2. Service or dismissal which must followed by an
answer within 10 days from date of service
3. Answer and hearing
4. Report filed with the Supreme Court of findings
accompanied by evidence and documents
Page 42 of 56
Can a judge purchase properties subject of litigation
is his court?
Generally, no.
What is the exception to this rule?
It does not apply where the subject property was not
acquired from any of the parties to the case, nor will it
apply when the litigation is already finished.
What are the criminal liabilities of a judge under the
Revised Penal Code?
1. Knowingly Rendering Unjust Judgment (Art. 204,
RPC)
2. Judgment Rendered Through Negligence (Art. 205,
RPC)
May a judge be held administratively liable for
rendering an erroneous order or judgment?
No. Certain it is that a judge may not be held
administratively liable for every erroneous order or
decision he renders. To hold otherwise would be to
render judicial office untenable, for no one called
upon to try the facts or interpret the law in the
process of administering justice can be infallible in his
judgment. (Ang v. Judge Quilala, A.M. No. MTJ-03-
1476, 4 February 2003).
Should administrative charges against judges be
proven with the clear and preponderant evidence
requirement?
Yes, administrative charges against judges have been
viewed by this Court with utmost care, as the
respondent stands to face the penalty of dismissal or
disbarment. (Jocelyn Datoon v. Judge Bethany G.
Kapili, A.M. No. RTJ-10-2247, 2 March 2011).
Is the judge guilty of undue delay in rendering a
decision, when he decided a civil case beyond the 90-
day reglementary period?
Yes, the 90-day period is mandatory. Failure to decide
cases within the reglementary period constitutes a
ground for administrative liability except when there
are valid reasons for the delay, is classified as a less
serious offense. (Edaño vs. Judge Asdala [A.M. No.
RTJ-06-2007, 6 December 2010])
Can a judge be held guilty of Gross Ignorance of the
Law and Grave Abuse of Authority, for granting an
ex-parte motion to grant bail on the same day that it
was filed, without the required notice and hearing?
Yes, when a judge displays an utter lack of familiarity
with the rules, he erodes the confidence of the public
in the courts. (Villanueva v. Judge Buaya, A.M. No. RTJ-
08-2131, 22 November 2010).
Can a decision be reconsidered for a judge found
guilty of violating the Code of Judicial Conduct
considering that he is a first-time offender?
Yes, while the Court is duty-bound to sternly wield a
corrective hand to discipline its errant employees and
to weed out those who are undesirable, the Court also
has the discretion to temper the harshness of its
judgment with mercy. (Alfredo Favor vs. Judge Cesar
O. Untalan, et al., A.M. No. RTJ-08-2158, 13 April
2010).
Can a judge be held to have violated the Code of
Judicial Conduct in a case where he approved the bail
bonds issued by a blacklisted bonding company, and
the bail bonds for persons charged in criminal cases
pending outside her territorial jurisdiction?
Yes, the judge is still bound to review the supporting
documents before approving the bail bonds, even if it
is the Clerk of Court who has the duty to ascertain that
the bail bonds are in order, and that all requisites for
approval have been complied with. 36. Re:
Anonymous Letter-Complaint against Hon. Marilou
Runes-Tamang, Presiding Judge, MeTC Pateros, Manila
and Presiding Judge, MeTC San Juan, Metro Manila,
A.M. No. MTJ-04-1558, 7 April 2010).
An MTC judge found complainants guilty of contempt
against a MTC and sentenced them to four months
imprisonment. Is the MTC judge guilty of gross
ignorance of the law?
Yes. The Rules of Court provides that the imposable
penalty for contempt committed against a lower court
to a fine not exceeding P5,000 or imprisonment of one
month, or both. (Pancho, et al. v. Judge Aguirre, A.M.
No. RTJ-09-2196, 7 April 2010).
IMPEACHMENT AND OTHER OFFENSES
What are the grounds for impeachment and
conviction of Members of the Supreme Court?
1.Culpable Violation of the Constitution
2. Treason
3. Bribery
Page 43 of 56
4. Graft and Corruption
5. Other High Crimes
6. Betrayal of Public Trust
May a Supreme Court Justice be impeached for
failing to disclose to the public his/her Statement of
Assets, Liabilities, and Net Worth?
Yes. A Supreme Court Justice can be impeached on the
ground of Culpable Violation of the Constitution
and/or Betrayed the Public Trust when he/she fails to
disclose to the public his/her Statement of Assets,
Liabilities, and Net Worth as required under Sec. 17,
Art. XI of the 1987 Constitution.
Is the private life of an employee segregated from his
public life?
No. The private life of an employee cannot be
segregated from his public life. Dishonesty inevitably
reflects on the fitness of the officer or employee to
continue in office and the discipline and morale of the
service. (Nera vs. Garcia G.R. No. L-13160 106 Phil
1031.)
Is a depositor of foreign currency funds prohibited by
law to make declarations of his assets?
No. There is nothing in R.A. No. 6426 (FCD Act) which
prohibits the depositor from making a declaration on
his own of such foreign currency funds, especially
where the Constitution mandates the depositor who is
a public officer to declare all assets under oath.
All the law (RA 6426) prohibits is the depository banks
and third parties from disclosing the account. The
public officer is still mandated to uphold
accountability and transparency.
May an employee of the Judiciary be dismissed for
failing to disclose matters in her SALN?
Yes. A court interpreter can be dismissed from
service because she fails to disclose in her SALN
that she rented a market stall. (Rabe vs. Flores
[A.M. No. P-97-1247. May 14, 1997].)
What is the effect of inconsistencies of
declarations in the SALN?
Inconsistencies of declarations in the SALNs of the
public officer, such as a sheriff warrant a penalty
of dismissal from the service. (Concerned
Taxpayer vs. Doblada [A.M. No. P-99-1342. June
8, 2005])
What are the requisites for the Ombudsman to
mete preventive suspension?
1. Charge involves dishonesty, oppression, grave
misconduct or neglect of duty
2. Charges would warrant removal from service
3. Respondent’s continued stay in office may
prejudice the case filed against him
Is prior notice of non-completion of SALN and its
correction necessary before filing of charges?
No. Under RA 3019, prior notice of the non-
completion of the SALN and its correction is not
needed for charges to be validly filed against him.
In other words, under RA 3019 the employee does
not have to be given the chance to correct his SALN
before charges can be filed against him. It is also
not condition precedent for him to be charged for
dishonesty and grave misconduct. (Carabeo vs.
Court of Appeals G.R. Nos. 178000 and 178003.
December 4, 2009.)
Who are required to file a Statement of Assets,
Liabilities, and Net Worth and a Disclosure of
Business Interests and Financial Connections?
All public officials and employees, except those
who serve in an honorary capacity, laborers and
casual or temporary workers, shall file under oath
their Statement of Assets, Liabilities and Net
Worth and a Disclosure of Business Interests and
Financial Connections and those of their spouses
and unmarried children under eighteen (18) years
of age living in their households. (Section 8(a), RA
6713 Code of Conduct and Ethical Standards for
Public Officials and Employees.)
Who must file and where must it be filed?
Officer Where
Constitutional Ombudsman
officials (Consti
Commissions)
National Elective
Officials
Senators Respective Secretaries of the
Congressman each chamber
SC Justices Clerk of court of SC
All National Office of President
Executive officials
(cabinet)
Page 44 of 56
Regional and local Deputy Ombudsman in
officials and respective region
employees (mayors,
governors)
Armed forces officers Office of the President
(colonel or naval
captain)
Armed forces officers Deputy Ombudsman in
lower than colonel or respective region
naval captain
Others Civil Service Commission
What is the effect of failure to file SALNs without
explanation?
Failure to file SALNs without explanation warrants a
penalty. While every office in the government service
is a public trust, no position exacts a greater demand
on moral righteousness and uprightness of an
individual than a seat in the Judiciary. Hence, judges
are strictly mandated to abide with the law, the Code
of Judicial Conduct and with existing administrative
policies in order to maintain the faith of our people in
the administration of justice. Relate to: RULE 2.01 - A
JUDGE SHOULD SO BEHAVE AT ALL TIMES AS TO
PROMOTE PUBLIC CONFIDENCE IN THE INTEGRITY
AND IMPARTIALITY OF THE JUDICIARY. (Code of
Judicial Conduct)
Does the sub judice rule apply in impeachment?
No.
Who has supervision over lower courts?
Article VIII, Section 6 of the 1987 Constitution
exclusively vests in the Supreme Court administrative
supervision over all courts and court personnel, from
the Presiding Justice of the Court of Appeals down to
the lowest municipal trial court clerk. By virtue of this
power, it is only the Supreme Court that can oversee
the judges' and court personnel's compliance with all
laws, and take the proper administrative action
against them if they commit any violation thereof. No
other branch of government may intrude into this
power, without running afoul of the doctrine of
separation of powers.
May the Ombudsman investigate judges of lower
courts?
No. The Ombudsman cannot justify its investigation of
a lower court judge on the powers granted to it by the
Constitution, for such a justification not only runs
counter to the specific mandate of the Constitution
granting supervisory powers to the Supreme Court
over all courts and their personnel, but likewise
undermines the independence of the judiciary.
What should an Ombudsman do in such cases?
The Ombudsman should first refer the matter of
petitioner's certificates of service to the Supreme
Court for determination of whether said certificates
reflected the true status of his pending case load, as
the Court has the necessary records to make such a
determination.
What are the serious charges in the discipline of
judges of regular and special courts and justices of
the Court of Appeals and Sandiganbayan?
1. Bribery, direct or indirect;
2. Dishonesty and violations of the Anti-Graft and
Corrupt Practices Law (R.A. No. 3019);
3. Gross misconduct constituting violations of the
Code of Judicial Conduct;
4. Knowingly rendering an unjust judgment or order
as determined by a competent court in an appropriate
proceeding;
5. Conviction of a crime involving moral turpitude;
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. Alcoholism and/or vicious habits. (Sec. 8, Rule
140, ROC)
What are the less serious charges in the discipline of
judges of regular and special courts and justices of
the Court of Appeals and Sandiganbayan?
1. Undue delay in rendering a decision or order, or in
transmitting the records of a case;
2. Frequently and unjustified absences without leave
or habitual tardiness;
3. Unauthorized practice of law;
4. Violation of Supreme Court rules, directives, and
circulars;
5. Receiving additional or double compensation
unless specifically authorized by law;
6. Untruthful statements in the certificate of service;
7. Simple Misconduct. (Sec.9, Rule 140, ROC)
Page 45 of 56
What are the light charges in the discipline of judges
of regular and special courts and justices of the Court
of Appeals and Sandiganbayan?
1. Vulgar and unbecoming conduct;
2. Gambling in public;
3. Fraternizing with lawyers and litigants with pending
case/cases in his court; and
4. Undue delay in the submission of monthly reports.
(Sec. 10, Rule 140, ROC)
What are the sanctions for a serious charge?
1. Dismissal from the service, forfeiture of all or part
of the benefits as the Court may determine, and
disqualification from reinstatement or
appointment to any public office, including
government-owned or controlled corporations.
Provided, however, that the forfeiture of benefits
shall in no case include accrued leave credits;
2. Suspension from office without salary and other
benefits for more than three (3) but not
exceeding six (6) months; or
3. A fine of more than P20,000.00 but not exceeding
P40,000.00 (Sec. 11, Rule 140, ROC)
What are the sanctions for a less serious charge?
1. Suspension from office without salary and other
benefits for not less than one (1) nor more than
three (3) months; or
2. A fine of more than P10,000.00 but not exceeding
P20,000.00. (Sec. 11, Rule 140, ROC)
What are the sanctions for a light charge?
1. A fine of not less than P1,000.00 but not
exceeding P10,000.00 and/or
2. Censure;
3. Reprimand;
4. Admonition with warning.
When may a less serious offense become a serious
offense?
1. Commission of two or more administrative
offenses alleged in the same administrative complaint.
2. Repeated commission of a less serious
offense or light offense. (Agpalo, Legal and Judicial
Ethics, 708, 718 (2009, 8th Ed).)
What is the procedure for filing an administrative
complaint ?(Rule 140, RRC)
1. Complaint in writing;
A. Setting forth clearly the facts and circumstances
relied upon; AND
B. Sworn to and supported by affidavits and
documents.
2. Service or dismissal;
A. If the charge is WITH MERIT, a copy will be
served upon the respondent, requiring him to
answer within 10 days from the date of service.
B. If not or the answer shows to the satisfaction of
the court that the charges are NOT MERITORIOUS,
it will be dismissed which must followed by an
answer within 10 days from date of service.
3. Hearing;
4. Report filed with the Supreme Court of findings
accompanied by evidence and documents.
Are prosecutors covered by the Code of Professional
Responsibility?
Yes. The Prosecutors of the House who are members
of the Bar are of course covered by the Code of
Professional responsibility even in their conduct in
impeachment proceedings
What is the rule on sanctions imposed by the
Supreme Court on erring members of the Judiciary?
The Supreme Court has the mandate to oversee that
all judges and justices of the judiciary comply with the
law and the Rules of Court. All complaints against such
judges or justices are lodged with the Supreme Court.
(Maceda v. Vasquez, 221 SCRA 464 (1993).)
What are the general grounds for administrative
charges?
1. Malfeasance – performance of some act which
ought not to be done
2. Misfeasance – improper performance of some
act which might lawfully be done
3. Nonfeasance – omission of an act which ought to
be performed
What are the general grounds for suspension and
dismissal?
1. Those related to the discharge of the functions of
the office concerned, such as neglect of duty,
oppression, corruption or other forms of mal-
administration, etc.
2. Those not related to, or connected with, the
functions of the office, such as the commission of a
crime.
3. Grounds falling under the first category may be
Page 46 of 56
 proceeded against administratively at one, while
those falling under the second category requires a
final judgment of conviction unless the act
committed constitutes a violation of the Code of
Judicial Conduct. (Agpalo, Legal and Judicial Ethics,
686-687 (2009, 8th Ed); See Provincial Board of
Zamboanga del Norte v. Guzman, 21 SCRA 957
(1967).)

Acts done during CJ Corona’s Impeachment

Prosecutors
1) Atty. Aguirre covered his ears o Canon 11. A lawyer shall
while Senator-judge Santiago
was 'lecturing' the prosecutors.
o Canon 7 - A lawyer shall at all
2) Unpreparedness
prosecutors
1. When questioned by o
Senator-judge Cayetano
about how the House
prepared their Article on
Corona's failure to o
disclose his Statement of
Assets and Liabilities and
Net Worth (SALN) when in
fact they had not seen the
SALNs, Prosecutor o
Barzaga merely replied
that the charges were
merely ''based on
reports,''1 without any
personal knowledge or
investigation on their end.
▪ Ducat, Jr. v. Villalon Jr.
observe and maintain the o ''Public confidence in law and
respect due to the courts and lawyers may be eroded by the
to judicial officers and should irresponsible and improper
insist on similar conduct by conduct of a member of the Bar.
others. Thus, every lawyer should act
and comport himself in such a
times uphold the integrity and manner that would promote
dignity of the legal profession public confidence in the integrity
and support the activities of of the legal profession. Members
the integrated bar. of the Bar are expected to
always live up to the standards
of the legal profession as
embodied in the Code of
Professional Responsibility.''
(Ducat, Jr. v. Villalon, Jr., 337
SCRA 622, 629 (2000))
of o CPR, Canon 18 – A lawyer shall
serve his client with
competence and diligence.
CPR, Rule 18.02 – A lawyer
shall not handle any legal
matter without adequate
preparation.
CPR, Canon 12 – A lawyer shall
exert every effort and
consider it his duty to assist in
the speedy and efficient
administration of justice.
CPR, Rule 12.01 - A lawyer
shall not appear for trial
unless he has adequately
prepared himself on the law
and the facts of his case, the
evidence he will adduce and

1 The Chief Justice on Trial Timeline, GMA NEWS ONL. Available at http://www.gmanetwork.com/news/cjtrial (last accessed March 23, 2013).
Page 47 of 56
 2. The prosecution team the order of its preferences.
presented evidence He should also be ready with
consisting of bank records the original documents for
which they claimed to comparison with the copies.
have been given by a o CPR, Canon 19 – A lawyer shall
''small lady'' whom they represent his client with zeal
did not know.2 within the bounds of the law.
On day 21 of the Trial, o CPR, Rule 19.01 - A lawyer
Presiding Officer Enrile shall employ only fair and
scolded the House honest means to attain the
prosecutors for lawful objectives of his client
consistently failing to and shall not present,
prepare their evidence, participate in presenting or
and instead, to cover for threaten to present
their shortcomings, seek unfounded criminal charges to
to avail of the Court's obtain an improper advantage
compulsory processes to in any case or proceeding.
fish out evidence.
3) ''Public Trial''  Rule 18 of the Senate Rules on
▪ In a number of Impeachment Trials: The
instances, evidence to Presiding Officer and the
be presented on trial, Members of the Senate shall
even prior to such refrain from making any
being admitted in comments and disclosures in
court, found its way public pertaining to the merits
to the public; either of a pending impeachment
through a press- trial. The same shall likewise
conference by the apply to the prosecutors, to
prosecution, or by the person impeached, and to
some other more their respective counsel and
clandestine means. witnesses.
 CPR, Canon 13 – A lawyer shall
▪ The prosecution
rely upon the merits of his
presented to the
cause and refrain from any
media that they were
impropriety which tends to
going to expose 45 of
influence, or gives the
Corona's properties.
appearance of influencing the
However, upon
court.
questioning, they
 CPR, Rule 13.02 – A lawyer
later on admitted that
shall not make public
they were only going
statements in the media
to present 24,
regarding a pending case
claiming as a defense
tending to arouse public
that the list of the 45
opinion for, or against a party.
properties did not
 CPR, Rule 10.03 – A lawyer
come from them, but
shall observe the rules of
from the Land
procedure and shall not
Registration

2 Id.
Page 48 of 56
 Authority. And this misuse them to defeat the
was said to have been ends of justice.
found ''revolting'' by
the defense.
▪ It was pointed out by
senator-judge Joker
Arroyo that some of
the ITRs of CJ Corona,
prior to their
presentation at the
trial, were released to
press, despite it being
a ''very confidential''
document. And yet
again, the
prosecution denied
releasing the said
ITRs.
Defense
1) 'P100 million offer' o CPR, Canon 13 – A lawyer shall
▪ At a press conference held rely upon the merits of his
by the Defense team at cause and refrain from any
Club Filipino, the defense impropriety which tends to
team declared and accused influence, or gives the
that Malacanang had tried appearance of influencing the
to influence the senator- court.
judges to vote for the o CPR, Rule 13.02 – A lawyer
opening of CJ Corona's shall not make public
dollar account which was statements in the media
supposedly protected by regarding a pending case
the Foreign Currency tending to arouse public
Deposits Act. And by this he opinion for, or against a party.
claimed that allegedly
P100million were offered to
each senator-judge.
Senator-Judges
▪ Senator Drilon's alleged
bias
o Defense counsel Serafin
Cuevas raised the issue on
some senator-judges
''acting as prosecutors'' in
aid of the House
prosecutors. He was
referring to Senator Drilon,
who on his own motion
actually had a witness

Page 49 of 56
 recalled for his own
questioning.3
o Presiding Officer Enrile said
in reply that ''inhibition is
personal to each senator''
and as such Drilon cannot
be compelled to do so. He
may not also be disqualified
as well, since ''Under the
Constitution, he is entitled
to sit in all proceedings of
the Senate unless he is
removed in accordance
with our rules on ethics.''

3 The Chief Justice on Trial Timeline, GMA NEWS ONL. Available at http://www.gmanetwork.com/news/cjtrial (last accessed March 23, 2013).
Page 50 of 56
 DISQUALIFICATION OF JUSTICES AND JUDGES
What are compulsory disqualifications?
Compulsory disqualifications are mandatory and the
judge has no option but to inhibit himself/herself from
the case. (Alexander Ortiz v. Judge Ibarra Jaculbe, Jr.,
A.M. No. RTJ-04-1833, 28 June 2005. See Rule 137,
Rules of Court; Rule 3.12, Canon 3, Code of Judicial
Conduct.)
What is the reason behind compulsory
disqualification?
A judge has the duty to render a just decision and to
do so in a manner that leaves his reputation for
fairness and integrity completely free from suspicion.
(Sergio Del Castillo v. Manuel Javelona, et al., G.R. No.
L-16742, September 29, 1962, 6 SCRA 146.)
What are the grounds for compulsory
disqualifications?
Under Rule 137 Sec. 1, the judges are disqualified
from sitting in a case when:
 The judge, judicial officer or his wife or child is
pecuniarily interested in as heir, creditor or
otherwise
 The judge or judicial officer is related to either
party within the sixth degree of consanguinity
or affinity
 The judge or judicial officer is related to
counsel within the fourth degree of
consanguinity or affinity
 The judge or judicial officer has previously
participated as the executor, administrator,
guardian, trustee or counsel to ruling or
decision subject of review
 The judge or judicial officer previously
participated by presiding over the case in any
inferior court over the ruling or decision
subject of review
May voluntary disqualifications be waived?
Yes. Compulsory disqualification may be waived by the
parties-in-interest.
How are compulsory disqualifications waived?
According to Rule 137, Sec. 1, they are waived by
signing a written waiver and entering the same upon
the record of the court.
What should parties do if the judge fails to inhibit
himself in cases of voluntary disqualification?
According to Rule 137, Sec. 2, the party may make his
objection known in writing and file it with the court.
What process will the court follow in case objections
are made?
1. File his objection in writing with the
officials, stating the grounds therefor.
2. The official, after determining the
question of his disqualification, shall act
either withdraw from the case or proceed
with trial.
3. The decision of the official shall be in
writing and filed with the other papers of
the case.
4. No appeal or stay of the official’s decision
may be taken until final judgment in the
main case.
What are examples of relationships that are not
disqualified under Rule 137, Sec. 1?
 That the counsel and judge were classmates.
 That the counsel and judge were associates
when the judge was practicing law.
What are voluntary disqualifications under Rule 137,
Sec. 1?
It is when a judicial officer, in the exercise of his sound
discretion, disqualifies himself for any other valid
cause other than those stated in the first paragraph of
the first paragraph of Section 1, Rule 137.
What are the grounds for voluntary disqualification?
There are no expressly enumerated grounds for
voluntary inhibition and such is left to the sound
discretion of the judge. (Rodolfo E. Parayno, et. al. v.
Hon. Iluminado Meneses, et.al., G.R. No. 112684, 26
April 1994.)
What should be the basis for voluntary
disqualification?
The basis for voluntary inhibition should be based on
just and valid reasons ascertained by the judge after a
“rational and logical assessment of the circumstances
prevailing in the case.”
Page 51 of 56
There is no hard and fast rule in determining when a
judge should voluntarily inhibit himself, such must be
taken on a case to case basis. (Antonia Gutang, et al.,
v. Court of Appeals, et al., G.R. No. 124760, 8 July
1998.)
Are imputations of bias sufficient to constitute
grounds for voluntary disqualification?
No. The mere imputation of bias or partiality is not
enough ground for inhibition, especially when the
charge is without basis. (BGen. (Ret.) Jose S. Ramisca,
Jr. v. Hon. Jose R. Hernandez, G.R. No. 173057-74, 20
September 2010).
May a judge still be required to oversee the case
even though he/she voluntary disqualifies
himself/herself?
Yes. While voluntary inhibition is based on the sound
discretion and conscience of the judge, reviewing
tribunals will not disturb the judges’ decision unless
there is manifest arbitrariness or whimsicality.
(Antonia Gutang, et al., v. Court of Appeals)
What is an example of a ground for voluntary
disqualification?
A judicial officer may voluntary inhibit himself on the
ground of delicadeza when a suggestion is made on
record that he might be induced to favor one party
over the other or with bias or prejudice against a
litigant. (Antonia Gutang, et al., v. Court of Appeals)
A judge may also inhibit himself on the ground of fear
that he is suspect of surrendering to or succumbing to
“utang na loob” to counsel who recommended him to
his post, when bias and prejudice is unavoidable.
(Query of Executive Judge Estrella T. Estrada, Regional
Trial Court of Malolos, Bulacan, on the conflicting
views of Regional Trial Court – Judges Masadao and
Elizaga RE: Criminal Case No. 4954-M, A.M. No. 87-9-
3918-RTC, 26 October 1987).
How should the judge determine if he/she should
voluntarily disqualify himself/herself?
The judge must conduct self-examination and exercise
his discretion to ensure that people’s faith in the
courts are not impaired and his actions will not cause
the losing party to think that the judge tilted the scales
of justice against him. (Pimentel v. Salonga, G. R. No.
27934, 18 September 1967, 21 SCRA 160).
POWERS AND DUTIES OF COURTS AND JUDICIAL
OFFICERS
What are the general responsibilities of the courts?
1. To always be open for filing of any pleading,
motion or other papers, for hearings of cases
and motions and for rendition of judgments,
except for legal holidays.
2. To be open to the public
3. To be impartial in dispensing justice without
unnecessary delay
Must the court be always be open to the public?
No. The court may exclude the public when, given the
nature of the evidence to be adduced, it is in the
interest of morality or decency, especially in family
court cases.
Must court records be open to the public?
Yes. They are public records and shall be available for
the inspection of any interested person during proper
business hours and under the supervision of the clerk
having custody of such records. Except in cases the
court forbids it in the interest of morality or decency.
Where are process issued by the courts enforcable?
It depends on the type of court.
If issued by superior or appellate courts they are
enforcable in any part of the Philippines, provided the
process is for
a. A case is pending to bring in a
defendant
b. Or for the arrest of any accused
person
c. Or to execute any order or judgment
of the court
If issued by an inferior court, it is enforcable only
within the judicial region where the court sits.
May a process issued by inferior courts be enforcable
anywhere else?
Yes. When, with the approval of the RTC judge of said
province, and only in the following cases:
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 (a) When an order for the delivery of personal
property lying outside the province is to be
complied with;
(b) When an attachment of real or personal
property lying outside the province is to be
made;
(c) When the action is against two or more
defendants residing in different provinces;
and
(d) When the place where the case has been
brought is that specified in a contract in
writing between the parties, or is the place of
the execution of such contract as appears
therefrom.
What are the inherent powers of the court?
Under Rule 135, Sec. 5, the court has inherent powers
to:
(a) To preserve and enforce order in its
immediate presence;
(b) To enforce order in proceedings before it,
or before a person or persons empowered to
conduct a judicial investigation under its
authority;
(c) To compel obedience to its judgments,
orders and processes, and to the lawful
orders of a judge out of court, in a case
pending therein;
(d) To control, in furtherance of justice, the
conduct of its ministerial officers, and of all
other persons in any manner connected with
a case before it, in every manner appertaining
thereto;
(e) To compel the attendance of persons to
testify in a case pending therein;
(f) To administer or cause to be administered
oaths in a case pending therein, and in all
other cases where it may be necessary in the
exercise of its powers;
(g) To amend and control its process and
orders so as to make them conformable to
law and justice;
(h) To authorize a copy of a lost or destroyed
pleading or other paper to be filed and used
instead of the original, and to restore, and
supply deficiencies in its records and
proceedings.
What actions may judicial officers take when
jurisdiction is conferred by law? When it is not
conferred by law?
When jurisdiction is conferred by law, the judicial
officer may make employ all auxiliary writs, processes
and other means necessary to carry it into effect.
When jurisdiction is not specifically granted by law the
court or judicial officer may employ any suitable
process or mode of proceeding may be adopted which
appears comfortable to the spirit of the law or rules.
How should trial be conducted?
Trial on the merits shall be conducted in open court
and so far as convenient in a regular court room.
All other acts or proceeding, may be done or
conducted by a judge in chambers, without the
attendance of the clerk or other court officials.
What is the power of judges’ of trial courts?
a. Power to hear and determine any
interlocutory motion or issue after due and
reasonable notice to the parties.
b. Power to choose any place, in the judicial
district, for the hearing in cases of habeas
corpus, for release on bail or reduction of bail.
c. Preparing and signing judgements out of
province/within the Philippines.
Case totally heard by Send the judgement by
him and which was registered mail to the
argued/an opportunity clerk of the court
given for argument to where the case was
the parties. heard to be filed
therein as of the date
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 when the same was
received by the clerk.
Case partly heard by The Supreme Court
him. may authorize to
continue hearing and to
decide -
(1) Upon petition of
any of the parties
to the case or
(2) The
recommendation
of the respective
district judge
(3) If no other judge
had heard the case
in part.
COURT RECORDS AND GENERAL DUTIES OF CLERKS
AND STENOGRAPHERS
What is the duty of the clerk of the Supreme Court
and the Court of appeals?
The clerk of the Supreme Court and that of the Court
of Appeals shall keep office at Manila and all papers
authorized or required shall be filed at Manila.
The clerk's office shall be open during business hours
on all days except Sundays and legal holidays, with the
clerk or his deputy in attendance. (Sec. 3, Rule 136)
i. To demand that the stenographer comply
with his duty to deliver all the notes he has
taken.
What information is included in a general docket?
It includes all the history of all cases, numbered
consecutively in the order in which they were
received, containing the Heading, Complete title, and
Date of each paper filed or issued, of each order or
judgment entered, and of each other step taken in the
case. (Sec. 8, Rule 136)
What is a judgment and entries book?
A judgment book is a compilation of copies of all
judgments issued by the court.
Book of Entries of Judgments contains all entries of
the dates of finality of judgments stating the
dispositive portion of each case.
What is an Execution book?
It is a book in which the clerk or his deputy records in
chronological order each execution, and the officer's
return, by virtue of which real property has been sold.
(Sec. 10, Rule 136)
Who may ask the clerk for certified copies of court
documents?
Any person demanding the same, may ask the clerk
for a copy certified under the seal of the court of any
paper, record, order, judgment, or entry in his office,
proper to be certified, for the fees prescribed by these
rules. (Sec. 11, Rule 136)

What are the general duties of clerks? May records be taken from the clerk’s office?

a. Issuance of process No. Generally, no record shall be taken from the

clerk's office without an order of the court except as
b. Receive papers and prepare minutes otherwise provided by these rules.
c. Safekeeping of property When may records be taken from the clerk’s office?
d. To keep a general docket of cases The following shall be permitted, upon proper receipt,
to withdraw from the clerk's office the record of any
e. To keep a judgment and entries book
cases in which they are interested:
f. To keep an Execution book
o Solicitor General or any of his assistants
g. To prepare certified copies of court
o Provincial fiscal or his deputy
documents
o Attorneys de oficio (Sec. 14, Rule 136)
h. Other such books and duties as the court may
direct
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What is the duty of the clerk when funds are
deposited with him?
To immediately deposit the funds to the authorized
government depositories.
May clerks be punished for delaying delivery of
funds?
Yes. Delayed remittance of his cash collections and
failure to submit monthly reports of court funds he
received constitute gross neglect of duty.
What are the general duties of stenographers?
(1) To deliver to the clerk of court all the notes
he has taken, immediately at the close of
such morning or afternoon session.
(2) To deliver the transcript of transcribed notes
to the clerk, duly initialed on each page
thereof, to be attached to the record of the
case.
(3) To deliver, whenever requested by a party,
any statement made by a judge of first
instance, or by a commissioner, with
reference to a case being tried by him, or to
any of the parties thereto, or to any witness
or attorney, during the hearing of such case,
shall be made of record in the stenographic
notes. (Sec. 17, Rule 136)
FEES AND COSTS
Docket and other records of inferior courts
What information does the docket of the municipal
or city judge contain?
1. Title of the case and the names of all the
parties involved
2. Nature of the case (if it is criminal, the offense
charged)
3. Date of issuing preliminary and intermediate
process
4. Date of the appearance or default of the
defendant
5. Date of presenting the plea, answer, or
motion to quash and the nature of the same
6. Minutes of the trial
7. Names and addresses of all witnesses
8. Date and nature of the judgment, and, in a
civil case, the relief granted
9. Itemized statement of the costs
10. Date of any execution issued and the date and
contents of the return thereon
11. Date of any notice of appeal filed, and the
name of the party filing the same
Legal fees
Who are exempted from paying legal fees?
1. The Republic of the Philippines, its agencies
and instrumentalities are exempt from paying
the legal fees provided (Section 21, Rule 141).
But local governments and GOCCs with or
without independent charters are NOT
exempted from paying the necessary fees.
2. Indigent litigants whose gross income and
that of their immediate family do not exceed
P4,000 a month if residing in Metro Manila
and P3,000 pesos a month if residing outside
Metro Manila, and who do not own real
property with an assessed value of more than
P50,000 (Section 18, Rule 141). To be entitled
to this exemption, the litigant must execute
an affidavit containing the aforementioned
information. This must be supported by
another affidavit accomplished by a
disinterested person, attesting to the truth of
the litigant’s affidavit.
Who are authorized to collect legal fees?
1. Clerks of the Court of Appeals and of the
Supreme Court (Sec. 4, Rule 141)
2. Clerks of Regional Trial Court (Sec. 7, Rule
141)
3. Clerks of the Courts of the First Level (Sec. 8,
Rule 141)
4. Sheriffs and other persons serving processes
(Sec. 9, Rule 141)
5. Stenographers (Sec. 10, Rule 141)
6. Notaries (Sec. 11, Rule 141)
7. Other officers taking depositions (Sec. 12,
Rule 141)
8. Witness (Sec. 13, Rule 141)
9. Appraisers (Sec. 14, Rule 141)
10. Commissioners in eminent domain
proceedings (Sec. 15, Rule 141)
11. Commissioners in proceedings for partition of
real state (Sec. 16, Rule 141)
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Costs
What is the rule on costs?
Costs ordinarily follow results of the suit. It shall be
allowed to the prevailing party as a matter of course.
The court shall have power, for special reasons, to
adjudge that either party shall pay the costs of an
action, or that the same be divided, as may be
equitable. Note that no costs shall be allowed against
the Republic of the Philippines, except otherwise
provided by law.
What costs can the prevailing party recover?
Costs in municipal courts
1. For the complaint or answer, two pesos;
2. For the attendance of himself, or his counsel,
or both, on the day of trial, five pesos;
3. For each additional day's attendance required
in the actual trial of the case, one peso;
4. For each witness produced by him, for each
day's necessary attendance at the trial, one
peso, and his lawful traveling fees;
5. For each deposition lawfully taken by him and
produced in evidence, five pesos;
6. For original documents, deeds, or papers of
any kind produced by him; nothing;
7. For official copies of such documents, deeds,
or papers, the lawful fees necessarily paid for
obtaining such copies;
8. The lawful fees paid by him for service of the
summons and other process in the action;
9. The lawful fees charged against him by the
judge of the court in entering and docketing
and trying the action or proceeding.
Cost in RTC (Section 10, Rule 142)
1. For the complaint or answer, fifteen pesos;
2. For his own attendance, and that of his
attorney, down to and including final
judgment, twenty pesos;
3. For each witness necessarily produced by him,
for each day's necessary attendance of such
witness at the trial, two pesos, and his lawful
traveling fees;
4. For each deposition lawfully taken by him,
and produced in evidence, five pesos;
5. For original documents, deeds, or papers of
any kind produced by him, nothing;
6. For official copies of such documents, deeds,
or papers, the lawful fees necessarily paid for
obtaining such copies;
7. The lawful fees paid by him in entering and
docketing the action or recording the
proceedings, for the service of any process in
action, and all lawful clerk's fees paid by him.
Costs in Court of Appeals and in Supreme Court
(Section 11, Rule 142)
1. For his own attendance, and that of his
attorney, down to and including final
judgment, thirty pesos in the Court of Appeals
and fifty pesos in the Supreme Court;
2. For official copies of record on appeal and the
printing thereof, and all other copies required
by the rules of court, the sum actually paid for
the same;
3. All lawful fees charged against him by the
clerk of the Court of Appeals or of the
Supreme Court, in entering and docketing the
action and recording the proceedings and
judgment therein and for the issuing of all
process;
4. No allowance shall be made to the prevailing
party in the Supreme Court or Court of
Appeals for the brief or written or printed
arguments of his attorney, or copies thereof,
aside from the thirty or fifty pesos above
stated;
5. If testimony is received in the Supreme Court
or Court of Appeals not taken in another court
and transmitted thereto, the prevailing party
shall be allowed the same cost for witness
fees, depositors, and process and service
thereof as he would have been allowed for
such items had the testimony been
introduced in a Court of First Instance;
6. The lawful fees of a commissioner in an action
may also be taxed against the defeated party,
or apportioned as justice requires
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