Legal Ethics Reviewer

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BAR REVIEWER
UP LAW
2012
ETHICS
Dean Danilo L. Concepcion
Dean, UP College of Law

Prof. Concepcion L. Jardeleza
Associate Dean, UP College of Law

Prof. Ma. Gisella D. Reyes
Secretary, UP College of Law

Prof. Florin T. Hilbay
Faculty Adviser, UP Law Bar Operations
Commission 2012

Ramon Carlo F. Marcaida
Commissioner

Eleanor Balaquiao
Mark Xavier Oyales
Academics Committee Heads

Kristina Paola Frias
Jason Jimenez
Legal & Judicial Ethics Subject Heads

Graciello Timothy Reyes
Layout

UP LAW BAR OPERATIONS COMMISSION

LEGAL AND JUDICIAL ETHICS
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BAR REVIEWER
UP LAW
2012
BAR OPERATIONS COMMISSION 2012

EXECUTIVE COMMITTEE
Ramon Carlo Marcaida |Commissioner
Raymond Velasco Mara Kriska Chen |Deputy Commissioners
Barbie Kaye Perez |Secretary
Carmen Cecilia Veneracion |Treasurer
Hazel Angeline Abenoja|Auditor

COMMITTEE HEADS
Eleanor Balaquiao Mark Xavier Oyales|Acads
Monique Morales Katleya Kate Belderol Kathleen Mae
Tuason (D) Rachel Miranda (D) |Special Lectures
Patricia Madarang Marinella Felizmenio |Secretariat
Victoria Caranay |Publicity and Promotions
Loraine Saguinsin Ma. Luz Baldueza |Marketing
Benjamin Joseph Geronimo Jose Lacas |Logistics
Angelo Bernard Ngo Annalee Toda|HR
Anne Janelle Yu Alyssa Carmelli Castillo |Merchandise
Graciello Timothy Reyes |Layout
Charmaine Sto. Domingo Katrina Maniquis |Mock Bar
Krizel Malabanan Karren de Chavez |Bar Candidates Welfare
Karina Kirstie Paola Ayco Ma. Ara Garcia |Events

OPERATIONS HEADS
Charles Icasiano Katrina Rivera |Hotel Operations
Marijo Alcala Marian Salanguit |Day-Operations
Jauhari Azis |Night-Operations
Vivienne Villanueva Charlaine Latorre |Food
Kris Francisco Rimban Elvin Salindo |Transpo
Paula Plaza |Linkages

ETHICS
LEGAL ETHICS TEAM 2012
Faculty Editor | Prof. Concepcion Jardeleza
Subject Heads| Kristina Paola Frias Jason
Jimenez
Contributors| Lilian Dy Ronald Sarcaoga
Bryan John Maga

LAYOUT TEAM 2012
Layout Artists | Alyanna Apacible Noel
Luciano RM Meneses Jenin Velasquez
Mara Villegas Naomi Quimpo Leslie
Octaviano Yas Refran Cris Bernardino
Layout Head| Graciello Timothy Reyes


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2012 UP Law Bar Reviewer
Copyright and all other relevant rights over this
material are owned jointly by the University of the
Philippines College of Law and the Student Editorial
Team.

The ownership of the work belongs to the University of
the Philippines College of Law. No part of this book
shall be reproduced or distributed without the consent
of the University of the Philippines College of Law.

All Rights reserved.

4
Legal Ethics

CHAPTER I. PRACTICE OF LAW 8
A. Concept ................................ 8
B. Qualifications ......................... 8
C. Appearance of Non-Lawyers ...... 11
D. Sanctions for Practice or
Appearance Without Authority ......... 13
E. Public Officials And Practice of Law
13
F. Lawyers Authorized to Represent
the Government .......................... 14
G. Lawyers Oath ....................... 14

CHAPTER II. DUTIES AND
RESPONSIBILITIES OF A LAWYER 14
A. SOCIETY .............................. 15
1. Respect for Law and Legal
Processes ............................... 16
2. Efficient and Convenient Legal
Services ................................. 17
3. True, Honest, Fair, Dignified and
Objective Information on Legal
Services ................................. 20
4. Participation in the Improvement
and Reforms in Legal System ........ 22
5. Participation in Legal Education
Program ................................. 22
B. The Legal Profession ............... 25
1. Integrated Bar of the Philippines
25
2. Upholding the Dignity and
Integrity of the Profession ........... 26
3. Courtesy, Fairness and Candor
Towards Professional Colleagues .... 27
4. No Assistance in Unauthorized
Practice of Law ........................ 28
C. The Courts ........................... 29
1. Candor, Fairness, and Good Faith
Towards the Courts .................... 29
2. Respect for Courts and Judicial
Officers ................................. 30
3. Assistance in the Speedy and
Efficient Administration of Justice .. 31
4. Reliance on Merits of His Cause,
Not From Improper Influence Upon the
Courts ................................... 34
D. The Clients .......................... 34
1. Availability of Service Without
Discrimination .......................... 34
2. Candor, Fairness and Loyalty to
Clients ................................... 36
3. Clients Money and Properties . 38
4. Fidelity to Clients Cause ....... 40
5. Competence and Diligence ..... 40
6. Representation with Zeal Within
Legal Bounds ........................... 41
7. Attorneys Fees .................. 42
8. Preservation of Clients
Confidences ............................. 45
9. Withdrawal of Services .......... 48

CHAPTER III. SUSPENSION, DISBARMENT
AND DISCIPLINE OF LAWYERS 49
A. Nature and Characteristics of
Disciplinary Actions Against Lawyers... 49
1. Sui Generis ........................ 49
2. Prescription ....................... 49
B. Grounds .............................. 49
C. Proceedings .......................... 50
D. Discipline of Filipino Lawyers
Practice in Foreign Jurisdictions ....... 51

CHAPTER IV. READMISSION TO THE BAR
53

CHAPTER V. MANDATORY LEGAL
EDUCATION 53
A. Purpose ............................... 53
B. Requirements ........................ 53
C. Compliance .......................... 54
D. Exemptions .......................... 54
E. Sanctions ............................. 55

CHAPTER VI. NOTARIAL PRACTICE 55
A. Qualifications of Notary Public ... 55
B. Term of Office of Notary Public .. 56
C. Powers and Limitations ............ 56
D. Notarial Register .................... 56
E. Jurisdiction of Notary Public and
Place of Notarization ..................... 57
F. Revocation of Commission ......... 57
G. Competent Evidence of Identity .. 58
H. Sanctions ............................. 58

Judicial Ethics 59

CHAPTER I. SOURCES 59

CHAPTER II. QUALITIES 59
A. Independence ....................... 59
B. Integrity .............................. 61
C. Impartiality .......................... 62
D. Propriety ............................. 64
E. Equality .............................. 67

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ETHICS
F. Competence and Diligence ........ 68

CHAPTER III. DISCIPLINE OF MEMBERS OF
THE JUDICIARY 69
A. Independence ....................... 69
B. Lower Court Judges and Justices . 69
C. Grounds .............................. 70
D. Sanctions Imposed by the Supreme
Court on Erring Members of the Judiciary
71

6

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L
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GGA
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ETHICS
BAR OPERATIONS COMMISSION 2012

EXECUTIVE COMMITTEE
Ramon Carlo Marcaida |Commissioner
Raymond Velasco Mara Kriska Chen |Deputy Commissioners
Barbie Kaye Perez |Secretary
Carmen Cecilia Veneracion |Treasurer
Hazel Angeline Abenoja|Auditor

COMMITTEE HEADS
Eleanor Balaquiao Mark Xavier Oyales|Acads
Monique Morales Katleya Kate Belderol Kathleen Mae Tuason (D) Rachel
Miranda (D) |Special Lectures
Patricia Madarang Marinella Felizmenio |Secretariat
Victoria Caranay |Publicity and Promotions
Loraine Saguinsin Ma. Luz Baldueza |Marketing
Benjamin Joseph Geronimo Jose Lacas |Logistics
Angelo Bernard Ngo Annalee Toda|HR
Anne Janelle Yu Alyssa Carmelli Castillo |Merchandise
Graciello Timothy Reyes |Layout
Charmaine Sto. Domingo Katrina Maniquis |Mock Bar
Krizel Malabanan Karren de Chavez |Bar Candidates Welfare
Karina Kirstie Paola Ayco Ma. Ara Garcia |Events

OPERATIONS HEADS
Charles Icasiano Katrina Rivera |Hotel Operations
Marijo Alcala Marian Salanguit |Day-Operations
Jauhari Azis |Night-Operations
Vivienne Villanueva Charlaine Latorre |Food
Kris Francisco Rimban Elvin Salindo |Transpo
Paula Plaza |Linkages

BAR REVIEWER
UP LAW
2012
TEAM 2012

LEGAL ETHICS TEAM 2012
Faculty Editor | Prof.
Concepcion Jardeleza
Subject Heads| Kristina Paola
Frias Jason Jimenez
Contributors| Lilian Dy
Ronald Sarcaoga Bryan John
Maga

LAYOUT TEAM 2012
Layout Artists | Alyanna
Apacible Noel Luciano RM
Meneses Jenin Velasquez
Mara Villegas Naomi
Quimpo Leslie Octaviano
Yas Refran Cris Bernardino
Layout Head| Graciello
Timothy Reyes

8
Legal Ethics
Legal Ethics
Judicial Ethics

I. Practice of Law
II. Duties and Responsibilities of a
Lawyer
III. Suspension, Disbarment and
Discipline of Lawyers
IV. Readmission to the Bar
V. Mandatory Continuing Legal
Education
VI. Notarial Practice

LEGAL PROFESSION

A group of learned men and women pursuing a
learned art as a common calling in the spirit of
public service.
Organization
Learned art
Public service

CHAPTER I. PRACTICE OF LAW
A. CONCEPT
B. QUALIFICATIONS
C. APPEARANCE OF NON-LAWYERS
D. SANCTIONS FOR PRACTICE OR APPEARANCE
WITHOUT AUTHORITY
E. PUBLIC OFFICIALS AND PRACTICE OF LAW
F. LAWYERS AUTHORIZED TO REPRESENT THE
GOVERNMENT
G. LAWYERS OATH

A. Concept

The practice of law is any activity, in or out of
court, which requires the application of law, legal
procedure, knowledge, training and experience. It is
to give notice or render any kind of service, which
device or service requires the use in any degree of
legal knowledge or skill. [Cayetano v. Monsod,
(1991)]

1. Privilege

The practice of law is a privilege bestowed only to
those who are morally fit. A bar candidate who is
morally unfit cannot practice law even if he passes
the bar examinations. [Aguirre vs Rana, (2003)]

1. Profession, Not Business

Lawyering is not a business; it is a profession in
which duty to public service, not money, is the
primary consideration. [Burbe vs Magulta, (2002)]
Activity in or out of court
Application of legal knowledge or skill

Four factors determining the practice of law. HACA
(Padillas dissent in Cayetano v. Monsod)
(1) Habituality customarily or frequently
holding ones self out to the public as a
lawyer

(2) Application of law, legal principles,
practice, or procedure calls for legal
knowledge, training and experience

(3) Compensation his professional services
are available to the public for
compensation, as a service of his livelihood
or in consideration of his said services

(4) Attorney-client relationship hence for
Padilla, teaching law or writing law books is
not practice of law

Giving advice for compensation regarding the legal
status and rights of another and for ones conduct
with respect thereto constitutes practice of law.
[ULEP v. Legal Clinic, (1993)]

Persons entitled to practice law are those who are
licensed as members of the Bar; or maybe licensed
as such in accordance with the provisions of the
Rules of Court and who are in good and regular
standing. [ROC, Rule 13, Sec. 1]

B. Qualifications

The practice of law is any activity, in or out of
court, which requires the application of law, legal
procedure, knowledge, training and experience. It is
to give notice or render any kind of service, which
device or service requires the use in any degree of
legal knowledge or skill. [Cayetano v. Monsod,
(1991)]

Statutory Basis
ROC, Rule 138, Sec. 1. Any person 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, is
entitled to practice law.

General Rule: Members of the Bar
Exceptions:
(1) Law students
(2) By an agent/friend
(3) By person

Requirements for admission to practice CRAGEBO

1. Citizenship

Statutory Basis
1987 Const., Art. XII, Sec. 14 The practice of all
(1) Citizenship
(2) Residence
(3) Age (above 21 y/o)
(4) Good Moral Character and no charges
involving moral turpitude
(5) Legal Education (pre-law, law proper)
(6) Bar Examinations
(7) Lawyers Oath

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professions in the Phils. shall be limited to
Filipino citizens, save in cases prescribed by law.

ROC, Rule 138, Sec. 2. Every applicant for
admission as a member of the bar must be a
citizen of the Phils.

Rationale
Citizenship ensures allegiance to the republic and its
laws.

The loss of Filipino citizenship ipso jure terminates
the privilege to practice law in the Philippines
except when citizenship is lost by reason of
naturalization and reacquired through RA 9225.
[Petition to Resume Practice of Law of Benjamin
Dacanay, (2007)]

A Filipino citizen admitted to the Phil. Bar must
maintain such citizenship to remain qualified for the
practice of law in this country. [In Re Arthur Castillo
Reyes, (1993)]

See: Dual Citizenship Act (R.A. 9225). Those who
retain or re-acquire Philippine citizenship under this
Act shall enjoy full civil and political rights and be
subject to all attendant liabilities and
responsibilities under existing laws of the Philippines
and the following conditions: Those intending to
practice their profession in the Philippines shall
apply with the proper authority for a license or
permit to engage in such practice. (Sec. 5 [4]).

2. Residence

Statutory Basis
admission as a member of the bar must be a
resident of the Philippines.

Rationale
His/her duties to his client and to the court will
require that he be readily accessible and available

3. Age

Statutory Basis
admission as a member of the bar must be at
least 21 years of age

Rationale
Maturity and discretion are required in the practice
of law

4. Good Moral Character

Statutory Basis
admission as a member of the bar must be of
good moral character and must produce before
the SC satisfactory evidence of good moral
character, and that no charges against him,
involving moral turpitude, have been filed or are
pending in any court in the Philippines.

Good moral character is a continuing qualification
required of every member of the Bar, it is not only a
qualification precedent to the practice of law.
[Narag v. Narag, (1998)]

Definitions of good moral character

Absence of a proven conduct or act which has been
historically and traditionally considered as a
manifestation of moral turpitude. The act or conduct
need not amount to a crime; and even if it does
constitute an offense, a conviction upon a criminal
charge is not necessary to demonstrate bad moral
character although it may show moral depravity.
[Agpalo]

Qualities of truth-speaking, a high sense of honor,
full candor, intellectual honesty, and the strictest
observance of fiduciary responsibility. (Frankfurter)

Good moral character includes at least common
honesty. Deception and other fraudulent acts are not
merely unacceptable practices that are disgraceful
and dishonorable, they reveal a basic moral flaw.
[Olbes v. Deciembre]

Question of moral turpitude is for SC to decide,
which is why applicants are required to disclose any
crime which they have been charged. Concealment
or withholding from the court information about
charges and indictments is a ground for
disqualification of applicant or for revocation of
license. [Agpalo]

SC may deny lawyers oath-taking based on a
conviction for reckless imprudence resulting in
homicide (hazing case). But after submission of
evidence and various certifications he may now be
regarded as complying with the requirements of
good moral characterhe is not inherently of bad
moral fiber. [In Re Argosino, (1997)]

Concealment of pending criminal cases constitutes
lack of good moral character (in petition to take the
bar examinations)

Respondent's concealment of the fact that there are
three (3) pending criminal cases against him speaks
of his lack of the requisite good moral character and
results in the forfeiture of the privilege bestowed
upon him as a member of the Sharia Bar. [In the
matter of of Haron S. Meling, (2004)]

5. Legal Education

a. Pre-Law

Statutory Basis
ROC, Rule 138, Sec. 6. A bachelors degree in
arts or sciences with any of the following
subjects as major or field of concentration:
political science, logic, English, Spanish, History
and Economics.

A college degree must first be obtained before
studying law. Otherwise, one will not be qualified to

10
take the bar examinations. [In re Telesforo Diao,
(1963)]

b. Law Proper

Statutory Basis
ROC, Rule 138, Sec. 5 and 6. All applicants for
admissionshall, before being admitted to the
examination, satisfactorily show that they have
regularly studied law for four years, and
successfully completed all prescribed courses, in
a law school or university, officially approved
and recognized by the Secretary of Education.

Must have completed courses in:
Civil Law
Commercial Law
Remedial Law
Public International Law
Private International Law
Political Law
Labor and Social Legislation
Medical Jurisprudence
Taxation
Legal Ethics

Graduates of foreign law schools beginning 1994
shall not be allowed to take the bar examinations
since they cannot present the certifications required
under sections 5 and 6 of Rule 138. [Re: Application
of Adriano M. Hernandez, (1993)]

6. Bar Examinations

Statutory Bases

When to file for permit
Rule 138, Sec. 7 At least 15 days before the
beginning of the examination. Applicants must
submit affidavits of age, residence, citizenship,
legal education.

Notice
Rule 138, Sec. 8 Notice of applications for
admission shall be published by the clerk of the
SC in newspapers published in Filipino, English
and Spanish, for at least 10 days before the
beginning of the examination.

Conduct of Examinations
Rule 138, Sec. 10 Questions will be in English
or Spanish, to be answered in writing by
examines. No oral examinations. If penmanship is
poor, SC may allow upon verified application the
use of a noiseless typewriter.

Committee will take all precautions to prevent
the substitution of papers or commission of other
frauds. No papers, books or notes allowed into
the examination rooms. Examinees shall not
place their names on the examination papers.

When and Where to take the Exam
Rule 138, Sec. 11 In four days designated by
bar examiner, annually (in September) and in the
city of Manila.

Subjects [Rule 138, Sec. 9 and 11]
1st day
Political (Constitutional Law, Public
Corporations and Public Officers) and
International Law(Private and Public)
(morning)
Labor and Social Legislation (afternoon)
2nd
day
Civil Law (morning)
Taxation (afternoon)
3rd
day
Mercantile Law (morning)
Criminal Law (afternoon)
4th
day

Remedial Law (morning)
* consists of Civil Procedure, Criminal
Procedure and Evidence
Legal Ethics and Practical Exercises (in
Pleading and Conveyancing) (afternoon)

Passing Average
Rule 138, Sec. 14 A general average of 75 % in
all subjects, without falling below 50 % in any
subject.

Relative Weights
Civil Law 15 %
Labor and Social Legislation 10 %
Mercantile Law 15 %
Criminal Law 10 %
Political and International Law 15 %
Taxation 10 %
Remedial Law 20 %
Legal Ethics and Practical Exercises 5 %

Who makes the Exam
Rule 138, Sec. 12 - One member of the SC acts
as Chairman, plus eight members of the bar who
act as examiners who hold office for one year.
Beginning in 2009, there will be two examiners
per subject.

The Bar Confidant acts as a sort of liaison officer
between the court and the Bar Chairman on the
other hand, and the individual members of the
committee on the other. He is at the same time
a deputy clerk of court.

The names of the members of this committee
shall be published in each volume of the official
reports.

Results
Rule 138, Sec. 15 Committee must file its
report on the results not later than February
15th after the examination, or as soon
thereafter as may be practicable.

Flunkers
Rule 138, Sec. 16 Retakers must apply again.
Candidates who have failed the bar examinations
for three times shall be disqualified from taking
another examination unless they show proof of

REVIEWER
11
reenrollment and successful completion of
regular fourth year review classes as well as
attended a pre-bar review course in a recognized
law school.

The professors of the individual review subjects
under this rule shall certify under oath that the
candidates have regularly attended classes and
passed the subjects under the same conditions as
ordinary students and the ratings obtained by
them in the particular subject.

Discipline
Rule 138, Sec. 13 - No candidate shall endeavor
to influence any member of the committee.
During examination the candidates shall not
communicate with each other and shall not give
or receive any assistance.

Violators will be punished by disqualification,
counted as a failure. Further disciplinary action,
including permanent disqualification, may be
taken in the discretion of the court.

Bar exam as civil service eligibility
The law makes passing the bar examination
equivalent to a first grade civil service eligibility for
a position in the classified service in the Gov't., the
duties of which require knowledge of law, or a
second grade civil service eligibility for any other
government position which does not prescribe
proficiency in law as a qualification.

First grade civil service eligibility for any position
Second grade civil service eligibility for position
which does not prescribe proficiency in law

C. Appearance of Non-Lawyers

1. Law Student Practice

Statutory Basis
Rule 138-A Section 1. Conditions for student
practice. A law student who has successfully
completed his 3rd year of the regular four-year
prescribed law curriculum and is enrolled in a
recognized law school's clinical legal education
program approved by the Supreme Court, may
appear without compensation in any civil,
criminal or administrative case before any trial
court, tribunal, board or officer, to represent
indigent clients accepted by the legal clinic of
the law school.

Section 2. Appearance. The appearance of the
law student authorized by this rule, shall be
under the direct supervision and control of a
member of the Integrated Bar of the Philippines
duly accredited by the law school. Any and all
pleadings, motions, briefs, memoranda or other
papers to be filed, must be signed by the
supervising attorney for and in behalf of the
legal clinic.

Rule 138-A, Section 3. Privileged
communications. The Rules safeguarding
privileged communications between attorney and
client shall apply to similar communications made
to or received by the law student, acting for the
legal clinic.
Rule 138-A, Section 4. Standards of conduct and
supervision. The law student shall comply with
the standards of professional conduct governing
members of the Bar. Failure of an attorney to
provide adequate supervision of student practice
may be a ground for disciplinary action. (Circular
No. 19, dated December 19, 1986).

Rule 138, Sec. 34. A law student may appear in
his personal capacity without the supervision of a
lawyer in inferior courts.

A law student appearing before the RTC under Rule
138-A should at all times be accompanied by a
supervising lawyer. [In Re: Need That Law Student
Practicing Under Rule 138-A Be Actually Supervised
During Trial, (1997)]

A law student may appear before an inferior court as
an agent or friend of a party without the supervision
of a member of the bar. [Cruz v. Mina, (2007)]

2. Non-Lawyers in Courts

c. Agent

Statutory Basis
ROC, Rule 138, Sec. 34. In such cases, no
attorney-client relationship exists; not habitual.
An agent is usually appointed or a friend chosen in
a locality where a licensed member of the bar is
not available.

In a civil case - a party in a civil suit may conduct
his litigation either personally or by attorney unless
the party is a juridical person.
Allowed in MTC, RTC, appellate court.

In a criminal case - in a locality where a lawyer is
unavailable, a judge may appoint a non-lawyer who
is a resident of the province, and of good repute for
probity and ability to defend the accused.
Allowed up to MTC-level only.

For the government any person appointed to
appear for the Gov't. of the Phils. in accordance with
law

Appearance as law student v. appearance as
agent/friend
Section 34, Rule 138 is clear that appearance before
the inferior courts by a non-lawyer is allowed,
irrespective of whether or not he is a law student. As
succinctly clarified in Bar Matter No. 730, by virtue
of Section 34, Rule 138, a law student may appear,
as an agent or a friend of a party litigant, without
the supervision of a lawyer before inferior courts.
[Cruz v. Mina, (2007)]

d. Self-representation

5

12
Statutory Basis
ROC, Rule 138, Sec. 34. By whom litigation
conducted.- In the court of a municipality a party
may conduct his litigation in person, with the aid
of an agent or friend appointed by him for that
purpose, or with the aid of an attorney. In any
other court, a party may conduct his litigation
personally or by aid of an attorney, and his
appearance must be either personal or by a duly
authorized member of the bar.
Rule 115, Sec. 1 (c) provides that an accused may
waive his right to counsel but if he cannot protect
his rights without the assistance of a counsel, the
Court should advise him to secure a counsel de
parte or appoint a counsel de officio to represent
him

Counsel de officio - 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, may adequately defend the
accused

Counsel de parte - A counsel employed or retained
by the party, or the accused

RIGHT TO COUNSEL: Absolute and immutable. But
his option to secure the services of counsel de parte
is not absolute. The trial court (TC) may restrict his
option to retain a counsel de parte if
(1) the accused insists on an attorney he cannot
afford
(2) chosen counsel is not a lawyer or
(3) the attorney declines to represent the
accused for a valid reason, in which case
the TC will appoint his counsel de oficio to
represent him.

In a democratic and civilized country where the
rights of a person are determined in accordance with
established rules, the employment of a person
acquainted with those rules becomes a necessity
both to the litigants and to the Court. A party
litigant needs the assistance of counsel in all
proceedings, administrative, civil or criminal.
[Agpalo]

3. Non-Lawyers in Administrative
Tribunals

Administrative tribunals only if they represent
their organization or members. NLRC, cadastral
courts, etc.

Limitations:
non-adversarial contentions
not habitually rendered
not charge for payment

A non-lawyer may appear before the NLRC or any
Labor Arbiter only if:
(1) He represents himself as party to the case;
(2) He represents a legitimate labor
organization, as defined under Article 222
and 242 of the Labor Code, as amended, or
its members, provided, that he shall be
made to present a verified certification
from said organization that he is properly
authorized, or;
(3) He is a duly-accredited member of any legal
aid office duly recognized by the
Department of Justice or Integrated Bar of
the Philippines. (The New Rules of
Procedure of the NLRC, as amended)

Non-lawyers may appear before the NLRC or any
labor arbiter. Granted that they acted as legal
representatives, they are still not entitled to receive
professional fees. The statutory rule that an
attorney shall be entitled to have and recover from
his client a reasonable compensation or
remuneration for the services they have rendered
presupposes the existence of an attorney-client
relationship. Such a relationship cannot, however,
exist when the clients representative is a non-
lawyer. [Five J Taxi v. NLRC, (235 SCRA 556)]

A non-lawyer may appear before the DARAB or any
of its Adjudicators, if:
(1) He represents himself as a party to the
case;
(2) He represents a farmers organization or its
members, provided that he shall present
proof of authority from the organization or
its members or such authority duly signed by
the Chief Executive Officer of the
organization;
(3) He is a law student who has successfully
completed his third year of the regular four-
year prescribed law curriculum and is
enrolled in a recognized law schools clinical
legal education program approved by the
Supreme Court.
(4) He is a DAR employee duly authorized by
the appropriate Head of Office in
accordance with the internal regulations of
the Department of Agrarian Reform. For this
purpose, the DAR employee must have the
prescribed authorization form before he
may be allowed to appear before the Board
or any of its Adjudicators (2003 DARAB Rules
of Procedure)

4. Proceedings where Lawyers are
Prohibited from Appearing

a. Small Claims Cases

Statutory Basis
Rules of Procedure for Small Claims Cases, AM
No.08-8-7, Sec. 17. Appearance of Attorneys
Not Allowed.No attorney shall appear in behalf
of or represent a party at the hearing, unless the
attorney is the plaintiff or defendant.

a. Katarungang Pambarangay

Statutory Basis
RA 7160, Sec. 415. In all katarungang
pambarangay proceedings, the parties must
appear in person without the assistance of counsel
or representative, except for minors and
incompetents who may be assisted by their next

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13
of kin who are not lawyers.

D. Sanctions for Practice or
Appearance Without Authority

1. Lawyers Without Authority
2. Persons Not Lawyers

Remedies against unauthorized practice
(1) Petition for Injunction
(2) Declaratory Relief
(3) Contempt of Court
(4) Disqualification and complaints for
disbarment
(5) Criminal complaint for estafa who falsely
represented to be an attorney to the
damage party

Supervision and control - Regulated by the Supreme
Court (SC), not by the Professional Regulatory
Commission like all other professions.

Statutory Basis
1987 Const. Art. VIII, Sec. 5(5). SC has the
power to promulgate rules concerning pleading,
practice, and procedure in all courts, and the
admission to the practice of law.

SC has the inherent power to integrate the bar in the
exercise of the power to promulgate rules of the
judiciary, including admission to the practice of law,
and to the Integrated Bar. [In re Integration of the
Integrated Bar of the Phils., (1973)]

Bar
Refers to the whole body of attorneys and
counselors, collectively, the members of the legal
profession

Bench
Denotes the whole body of judges

Admission to practice
The constitutional power to admit candidates to the
legal profession is a judicial function and involves
exercise of discretion (In re Almacen, 1970)

SC power to regulate the practice of law includes:
(1) Authority to define the term practice
(2) Prescribe the qualifications of a candidate
to and the subjects of the bar examinations
(3) Decide who will be admitted to practice
(4) Discipline, suspend or disbar any unfit and
unworthy member of the bar
(5) Reinstate any disbarred or indefinitely
suspended attorney
(6) Ordain the integration of the Phil. Bar
(7) Punish for contempt any person for
unauthorized practice of law and
(8) In general, exercise overall supervision of
the legal profession

In re Cunanan, (1954) Congress has no power to
regulate the bar (admission to practice). But in
the exercise of police power it may enact laws
regulating the practice of law to protect the
public.

The Bar Flunkers Act of 1953 (RA 972) was
declared partially unconstitutional because it
encroached upon the powers granted by the
Constitution to the SC in determining the
admission of bar examinees to the bar by usurping
such power through a legislative act.

The [Act] is not a legislation; it is a judgmentthe
law passed by Congress on the matter is of
permissive character, merely to fix the minimum
conditions for the license.

The SC has declared that Sharia Bar passers are not
full-fledged Philippine Bar members so may practice
only before Sharia courts. One who has been
admitted to the Sharia Bar, and one who has been
admitted to the Philippine Bar may both be
considered as counselors, in the sense that they
give counsel or advice in a professional capacity,
only the latter is an attorney. [Alawi v. Alauya,
(1997)]

Attorney
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 v. Cui]

Barrister
In England, a person entitled to practice law as an
advocate or counsel in the superior court.

Solicitor
In England, a person prosecuting or defending suits
in Courts of Chancery. In the Philippines, a
Government lawyer attached with the Office of the
Solicitor General.

Notary Public
A public officer authorized by law to certify
documents, take affidavits, and administer oaths.
Under the 2004 Rules on Notarial Practice, all
notaries must be lawyers.

E. Public Officials And Practice of
Law

1. Prohibition or Disqualification of
Former Government Attorneys

Statutory Basis
Section 7 of R.A. No. 6713 generally provides
for the prohibited acts and transactions of public
officials and employees. Subsection (b)(2)
prohibits them from engaging in the private
practice of their profession during their
incumbency. As an exception, a public official or
employee can engage in the practice of his or her
profession under the following conditions: first,
the private practice is authorized by the
Constitution or by the law; and second, the

14
practice will not conflict, or tend to conflict,
with his or her official functions.

The Section 7 prohibitions continue to apply for a
period of one year after the public official or
employees resignation, retirement, or separation
from public office, except for the private practice of
profession under subsection (b)(2), which can
already be undertaken even within the one-year
prohibition period. As an exception to this
exception, the one-year prohibited period applies
with respect to any matter before the office the
public officer or employee used to work with. (A.M.
No. 08-6-352-RTC)
2. Public Officials who Cannot
Practice Law or with Restrictions

Relative prohibition
(1) Senators and House of Representatives
members (prohibition to appear) [1987
Const. Art VI, Sec. 14]
(2) Sanggunian Members [RA No. 7160, Sec. 91]

Absolute prohibition
(1) Judges and other officials as SC employees
[Rule 148, Sec. 35]
(2) OSG officials and employees
(3) Gov't. prosecutors [People v. Villanueva}
(4) Pres., VP, cabinet members, their deputies
and assistants, [1987 Const., Art. VIII Sec.
15]
(5) Constitutional Commissions Chairmen and
Members [1987 Const. Art. IX-A, Sec. 2]
(6) Ombudsman and his deputies [1987 Const.,
Art. IX, Sec. 8, par. 2]
(7) Sol-Gen and assistant solicitor generals
(8) All governors, city and municipal mayors
[R.A. No. 7160, Sec. 90]
(9) Those who, by special law, are prohibited
from engaging in the practice of their legal
profession

Special restrictions
Retired judges [RA 910, Sec. 1, as amended]
A retired justice or judge receiving a pension from
the Gov't., cannot act as counsel in any civil case in
which the Gov't., or any of its subdivision or agencies
is the adverse party or in a criminal case wherein an
officer or employee of the Gov't. is accused of an
offense in relation to his office.

F. Lawyers Authorized to
Represent the Government

For the Gov't. any person appointed to appear for
the Gov't. of the Phils. in accordance with law

G. Lawyers Oath

Statutory Basis
ROC, Sec. 17. An applicant who has passed the
required examination, or has been otherwise
found to be entitled to admission to the bar,
shall take and subscribe before the SC an oath of
office. Form 28 of the Judicial Standard Forms
prescribes the following oath to be taken by the
applicant:

I, _____, do solemnly swear that I will maintain
allegiance to the Republic of the Phils..

I will support and defend 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 wittingly or willingly promote or sue
any groundless, false or unlawful suit nor 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 obligation voluntarily,
without any mental reservation or purpose of
evasion.

So help me God.

The lawyers oath is not a mere ceremony or
formality for practicing law. Every lawyer should at
all times weigh his actions according to the sworn
promises he makes when taking the lawyers oath. If
all lawyers conducted themselves strictly according
to the lawyers oath and the Code of Professional
responsibility, the administration of justice will
undoubtedly fairer, faster and easier for everyone
concerned. [In Re: Argosino, (1997)]

By taking the lawyers oath, a lawyer becomes the
guardian of truth and the rule of law and an
indispensable instrument in the fair and impartial
administration of justice. [Olbes v. Deciembre,
(2005)

CHAPTER II. DUTIES AND
RESPONSIBILITIES OF A LAWYER
A. SOCIETY
B. THE LEGAL PROFESSION
C. THE COURTS
D. THE CLIENTS

Legal Ethics
Definition: Body of principles by which the conduct
of members of the legal profession is controlled.

It is that branch of moral science which treats of the
duties which an attorney at law owes to his clients,
to the courts, to the bar and to the public. [G.A.
Malcolm, Legal and Judicial Ethics 8, 1949]

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15
Duties of a Lawyer
Rule 138, Sec. 20
To maintain allegiance to the Republic of the
Phils. and to support the Constitution and
obey the laws of the Phils.;
To observe and maintain the respect due to
the courts of justice and judicial officers;
To counsel or maintain such actions or
proceedings only as appear to him to be just,
and such defenses only as he believes to be
honestly debatable under the law;
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;
To maintain inviolate the confidence, and at
every peril to himself, to preserve the secrets
of his client, and to accept no compensation
in connection with his client's business except
from him or with his knowledge and approval;
To abstain from all offensive personality and
to advance no fact prejudicial to the honor or
reputation of a party or witness, unless
required by the justice of the cause with
which he is charged;
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;
Never to reject, for any consideration
personal to himself, the cause of the
defenseless or oppressed;
In the defense of a person accused of crime,
by all fair and honorable means, regardless of
his personal opinion as to the guilt of the
accused, to present every defense that the
law permits, to the end that no person may
be deprived of life or liberty, but by due
process of law.

Public Duty
As attorneys are faithful assistants of the court in
search of a just solution to disputes

A counsel de officio is expected to render effective
service and to exert his best efforts on behalf of an
indigent accused. He has a high duty to the poor
litigant as to a paying client. He should have a bigger
dose of social conscience and a little less of self
interest. [Agpalo]

Private Duty
As attorneys operate as a trusted agent of his client

Rule 110, Sec. 5, ROC, as amended per A.M. No.
02-2-07-SC, May 1, 2002, 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.

In case of heavy work schedule of the public
prosecutors, the private prosecutor may be
authorized in writing by the Chief of the
Prosecution Office or the Regional State
Prosecution to prosecute the case subject to the
approval of the Court.

Once so authorized to prosecute the criminal
action, the private prosecutor shall continue to
prosecute the case up to the end of the trial even
in the absence of a public prosecutor, unless the
authority is revoked or otherwise withdrawn.

The Four-fold Duties of a Lawyer
(Per the Code of Professional Responsibility)

1. Lawyers Duties to Society
(1) Canon 1: Promote And Respect The
Law And Legal Process
(2) Canon 2: Provide Efficient And
Convenient
Legal Services
(3) Canon 3: Information On Legal Services
That Is True, Honest, Fair And Dignified
(4) Canon 4: Support For Legal Reforms
And
Administration Of Justice
(5) Canon 5: Participate In Legal Education
(6) Canon 6: Gov't. Lawyers

2. Lawyers Duties to the Legal Profession
(1) Canon 7: Uphold Dignity And Integrity
In The Profession
(2) Canon 8: Courtesy, Fairness, Candor
Towards Professional Colleagues
(3) Canon 9: Unauthorized Practice Of Law

3. Lawyers Duties to the Courts
(1) Canon 10: Observe Candor, Fairness And
Good Faith
(2) Canon 11: Respect Courts And Judicial
Officers
(3) Canon 12: Assist In Speedy And Efficient
Administration Of Justice
(4) Canon 13: Refrain From Act Giving
Appearance Of Influence

4. Lawyers Duties to the Client
(1) Canon 14: Service To The Needy
(2) Canon 15: Observe Candor, Fairness,
Loyalty
(3) Canon 16: Hold In Trust Clients
Moneys And Properties
(4) Canon 17: Trust And Confidence
(5) Canon 18: Competence And Diligence
(6) Canon 19: Representation With Zeal
(7) Canon 20: Attorneys Fees
(8) Canon 21: Preserve Clients Confidence
(9) Canon 22: Withdrawal Of Services For
Good
Cause Valid Ground For Refusal

A. SOCIETY

16
1. Respect for Law and Legal
Processes

Statutory Basis
Canon 1 - A lawyer shall uphold the
constitution, obey the laws of the land and
promote respect for law of and legal processes.

Rule 1.01 - A lawyer shall not engage in
unlawful, dishonest, immoral or deceitful
conduct.

ROC, Rule 138, Sec 27 - Attorneys removed or
suspended by Supreme Court on what grounds.
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 the admission to practice, or for a wilfull
disobedience of any lawful order of a superior
court, or for corruptly or willful 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.

Unlawful conduct
An act or omission which is against the law.
Dishonesty involves lying or cheating. [Agpalo]

Immoral or deceitful conduct
That which is willful, flagrant or shameless and
which shows a moral indifference to the opinion of
the good and respectable members of the
community. [Aguirre]

Moral turpitude
Includes everything which is done contrary to
justice, honesty, modesty, or good morals. It
involves an act of baseness, vileness, or depravity in
the private duties which a man owed his fellowmen,
or to society in general, contrary to the accepted
and customary rule of right and duty between man
and woman, or conduct contrary to justice, honesty,
modesty, or good morals. [Barrios v. Martinez,
(2004)]
E.g. crimes of murder, estafa, rape, violation of
BP 22, bribery, bigamy, adultery, seduction,
abduction, concubinage, smuggling

As a servant of the law, a lawyer should make
himself an exemplar for others to emulate (Agpalo)

Immorality connotes conduct that shows
indifference to the moral norms of society. For such
conduct to warrant disciplinary action, the same
must be grossly immoral, it must be so corrupt and
false as to constitute a criminal act or so
unprincipled as to be reprehensible to a high degree.
Respondent's act belies the alleged moral
indifference and proves that she has no intention of
flaunting the law and the high moral standards of
the legal profession. [Ui v. Bonifacio]

Mere intimacy between a man and a woman, both of
whom possess no impediment to marry, voluntarily
carried and devoid of deceit on the part of the
respondent is neither so corrupt nor so unprincipled
as to warrant the imposition of disciplinary sanction,
even if a child was born out of wedlock of such
relationship. It may suggest a doubtful moral
character but not grossly immoral. [Figueroa v.
Barranco, (1997)]

Reconciliation between Delizo-Cordova and Cordova,
assuming the same to be real, does not excuse or
wipe away the misconduct and immoral behavior
carried out in public. The requirement of good moral
character persists as a continuing condition for
membership in the Bar in good standing. [Cordova v.
Cordova, (1989)]

While sexual relations between two unmarried adults
is not sufficient to warrant disbarment, it is not with
respect to betrayals to the marital vow.
Respondents wanton disregard for the sanctity of
marriage is shown when he pursued a married
woman and thereafter cohabited with her.
[Guevarra v. Eala, (2007)]

When lawyers are convicted of frustrated homicide,
the attending circumstances, not the mere fact of
their conviction would demonstrate their fitness to
remain in the legal profession. [Soriano v. Dizon,
(2006)]

The record discloses that the CFI acquitted
respondent Suller for failure of the prosecution to
prove his guilt beyond reasonable doubt. Such
acquittal, however, is not determinative of this
administrative case ... The rape of his neighbor's
wife constituted serious moral depravity even if his
guilt was not proved beyond reasonable doubt in the
criminal prosecution for rape. He is not worthy to
remain a member of the bar. The privilege to
practice law is bestowed upon individuals who are
competent intellectually, academically and, equally
important, morally. Good moral character is not
only a condition precedent to admission to the legal
profession, but it must also be possessed at all times
in order to maintain one's good standing in that
exclusive and honored fraternity. [Calub v. Suller,
2000 and quoting Docena vs. Limon]

Rule 1.02 - A lawyer shall not counsel or abet
activities aimed at defiance of the law or at
lessening confidence in the legal system.

Example: A lawyer who defies a writ of preliminary
injuction has flouted his duties as a member of the
legal profession. (Agpalo)

The SC does not claim infallibility, it will not
denounce criticism made by anyone against the
Court for, if well founded can truly have
constructive effects in the task of the Court, but will
not countenance any wrong doing nor allow erosion

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of the people's faith in the judicial system. [Estrada
v. Sandiganbayan]

The promotion of organizations, with knowledge of
their objectives, for the purpose of violating or
evading the laws constitutes such misconduct in his
office. [In re Terrell, (1903)]

Rule 1.03 - A lawyer shall not, for any corrupt
motive or interest, encourage any suit or
proceeding or delay any man's cause.

Barratry or Maintenance
Inciting or stirring up quarrels, litigation or
groundless lawsuits
Examples:
- Volunteering advice to bring lawsuit,
except in rare cases where ties of blood,
relationship or trust make it his duty to
do so
- Hunting up defects in titles or other
causes of action in order to be employed
to bring suit or breed litigation

Ambulance Chasing
Accident-site solicitation of almost any kind of legal
business by laymen employed by an attorney for the
purpose or by the attorney himself.
Supports perjury, the defrauding of innocent
persons by judgments, upon manufactured
causes of actions and the defrauding of
injured persons having proper causes of action
but ignorant of legal rights and court
procedure.

A lawyer may be disciplined in his professional and
private capacity. The filing of multiple complaints
reflects on his fitness to be a member of the legal
profession. His conduct of vindictiveness a
decidedly undesirable trait especially when one
resorts to using the court not to secure justice but
merely to exact revenge warrants his dismissal from
the judiciary. [Saburnido v. Madrono, (2001)]

Rule 1.04 - A lawyer shall encourage his clients
to avoid, end or settle a controversy if it will
admit of a fair settlement.

The function of a lawyer is not only to conduct
litigation but to avoid it where possible, by advising
settlement or withholding suit. He must act as
mediator for compromise rather than an instigator
and conflict. What sometimes beclouds a lawyers
judgment as to what is best for his client is his eye
on the attorneys fees which are often considerably
less when the cause is amicably settled. The
problem of conflict of interests must be resolved
against self-interest. [Agpalo]

A lawyer should be sanctioned for the misuse of
legal remedies and prostituting the judicial
process to thwart the satisfaction of a judgment to
the prejudice of others. The lawyer abetted his
client in using the courts to subvert the very ends of
justice by instigating controversy and conflict
although the client's cause is without merit. It is
every duty of a counsel to advise his client on the
merit of his case. A lawyer must resist the whims
and caprices of his clients, and temper his clients
propensity to litigate. [Castaneda v. Ago, (1975)]

2. Efficient and Convenient Legal
Services

Statutory Basis
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.

Rule 2.01 - A lawyer shall not reject, except for
valid reasons, the cause of the defenseless or the
oppressed.

Legal aid is not a matter of charity. It is a means
for the correction of social imbalance that may and
often do lead to injustice, for which reason it is a
public responsibility of the Bar. The spirit of public
service should, therefore, underlie all legal aid
offices. The same should be administered to indigent
and deserving members of the community on all
cases, matters and situations in which legal aid may
be necessary to forestall an injustice. [IBP
Handbook, Guidelines Governing the Establishment
and Operation of the Legal Aid Office, Art. 1, Sec.
1]

Valid grounds for refusal (Rule 14.03):
(1) He is in no position to carry out the work
effectively or competently
(2) He labors under a conflict of interest
between him and the prospective client or
between a present client and the
prospective client.

ROC, Rule 138, Sec. 31. Attorneys for destitute
litigants A court may assign an attorney to
render professional aid free of charge to any
party in a case, if upon investigation it appears
that the party is destitute and unable to employ
an attorney, and that the services of counsel are
necessary to secure the ends of justice and to
protect the rights of the party. It shall be the
duty of the attorney so assigned to render the
required service, unless he is excused therefrom
by the court for sufficient cause shown.

The legal profession is a burdened privilege not
many are qualified to undertake. Ledesma owes
fidelity to the duty required of the legal profession.
Because there is no incompatibility between the
defense of his client and him being an election
registrar, he should not decline his appointment as
counsel de oficio. The ends of justice will be well
served by requiring counsel to continue as counsel
de oficio. [Ledesma v. Climaco, (1974)]

Bar Matter No. 2012 (2009)
Proposed Rule on Mandatory Legal Aid Service
for Practicing Lawyers

Purpose. - to enhance the duty of lawyers to
society as agents of social change and to the

18
courts as officers thereof by helping improve
access to justice by the less privileged members of
society and expedite the resolution of cases
involving them; To aid the efficient and effective
administration of justice especially in cases
involving indigent and pauper litigants.

Scope. - This Rule shall govern the mandatory
requirement for practicing lawyers to render free
legal aid services in all cases (whether, civil,
criminal or administrative) involving indigent and
pauper litigants where the assistance of a lawyer
is needed. It shall also govern the duty of other
members of the legal profession to support the
legal aid program of the Integrated Bar of the
Philippines.
(a) Practicing lawyers are members of the Phil.
Bar who appear for and in behalf of parties in
courts of law and quasi-judicial agencies,
including but not limited to the National Labor
Relations Commission, National Conciliation and
Mediation Board, Department of Labor and
Employment Regional Offices, Department of
Agrarian Reform Adjudication Board and National
Commission for Indigenous Peoples. The term
"practicing lawyers" shall exclude:
(i) Gov't. employees and incumbent elective
officials not allowed by law to practice;
(ii) Lawyers who by law are not allowed to
appear in court;
(iii) Supervising lawyers of students enrolled in
law student practice in duly accredited legal
clinics of law schools and lawyers of non-Gov't.al
organizations (NGOs) and peoples organizations
(POs) like the Free Legal Assistance Group who by
the nature of their work already render free legal
aid to indigent and pauper litigants and
(iv) Lawyers not covered under subparagraphs (i)
to (iii) including those who are employed in the
private sector but do not appear for and in behalf
of parties in courts of law and quasi-judicial
agencies.

(b) Indigent and pauper litigants are those
defined under Rule 141, Section 19 of the ROC and
(Algura v. The Local Gov't. Unit of the City of
Naga, 2006)

Sec. 19. Indigent litigants exempt from payment
of legal fees. INDIGENT LITIGANTS
(A) WHOSE GROSS INCOME AND THAT OF THEIR
IMMEDIATE FAMILY DO NOT EXCEED AN AMOUNT
DOUBLE THE MONTHLY MINIMUM WAGE OF AN
EMPLOYEE AND
(B) WHO DO NOT OWN REAL PROPERTY WITH A
FAIR MARKET VALUE AS STATED IN THE CURRENT
TAX DECLARATION OF MORE THAN THREE
HUNDRED THOUSAND (P300,000.00) PESOS SHALL
BE EXEMPT FROM PAYMENT OF LEGAL FEES.

The legal fees shall be a lien on any judgment
rendered in the case favorable to the indigent
litigant unless the court otherwise provides.

To be entitled to the exemption herein provided,
the litigant shall execute an affidavit that he and
his immediate family do not earn a gross income
abovementioned, and they do not own any real
property with the fair value aforementioned,
supported by an affidavit of a disinterested
person attesting to the truth of the litigant's
affidavit. The current tax declaration, if any,
shall be attached to the litigant's affidavit.

Any falsity in the affidavit of litigant or
disinterested person shall be sufficient cause to
dismiss the complaint or action or to strike out
the pleading of that party, without prejudice to
whatever criminal liability may have been
incurred.

Algura v. LGU the two (2) rules can stand
together and are compatible with each other.
When an application to litigate as an indigent
litigant is filed, the court shall scrutinize the
affidavits and supporting documents submitted by
the applicant to determine if the applicant
complies with the income and property standards
prescribed in the present Section 19 of Rule
141If the trial court finds that the applicant
meets the income and property requirements, the
authority to litigate as indigent litigant is
automatically granted and the grant is a matter
of right.

However, if the trial court finds that one or both
requirements have not been met, then it would
set a hearing to enable the applicant to prove
that the applicant has "no money or property
sufficient and available for food, shelter and
basic necessities for himself and his family." In
that hearing, the adverse party may adduce
countervailing evidence to disprove the evidence
presented by the applicant; after which the trial
court will rule on the application depending on
the evidence adduced. In addition, Section 21 of
Rule 3 also provides that the adverse party may
later still contest the grant of such authority at
any time before judgment is rendered by the trial
court, possibly based on newly discovered
evidence not obtained at the time the application
was heard. If the court determines after hearing,
that the party declared as an indigent is in fact a
person with sufficient income or property, the
proper docket and other lawful fees shall be
assessed and collected by the clerk of court. If
payment is not made within the time fixed by the
court, execution shall issue or the payment of
prescribed fees shall be made, without prejudice
to such other sanctions as the court may impose.

RULE 3 SEC. 21. Indigent party.A party may be
authorized to litigate his action, claim or defense
as an indigent if the court, upon an ex parte
application and hearing, is satisfied that the party
is one who has no money or property sufficient
and available for food, shelter and basic
necessities for himself and his family.

Such authority shall include an exemption from
payment of docket and other lawful fees, and of
transcripts of stenographic notes which the court
may order to be furnished him. The amount of
the docket and other lawful fees which the

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indigent was exempted from paying shall be a lien
on any judgment rendered in the case favorable to
the indigent, unless the court otherwise provides.

Any adverse party may contest the grant of such
authority at any time before judgment is
rendered by the trial court. If the court should
determine after hearing that the party declared
as an indigent is in fact a person with sufficient
income or property, the proper docket and other
lawful fees shall be assessed and collected by the
clerk of court. If the payment is not made within
the time fixed by the court, execution shall issue
or the payment thereof, without prejudice to such
other sanctions as the court may impose. (22a).

Requirements
Every practicing lawyer is required to render a
minimum of sixty (60) hours of free legal aid services
to indigent litigants in a year. Said 60 hours shall be
spread within a period of twelve (12) months, with a
minimum of five (5) hours of free legal aid services
each month. He shall coordinate with the Clerk of
Court for cases where he may render free legal aid
service and shall be required to secure and obtain a
certificate from the Clerk of Court attesting to the
number of hours spent rendering free legal aid
services in a case.

National Committee on Legal Aid (NCLA)
(1) Coordinates with the various legal aid
committees of the IBP local chapters for the
proper handling and accounting of legal aid
cases which practicing lawyers can
represent.
(2) Monitors the activities of the Chapter of the
Legal Aid Office with respect to the
coordination with Clerks of Court on legal
aid cases and the collation of certificates
submitted by practicing lawyers.
(3) Acts as the national repository of records in
compliance with this Rule.
(4) Prepares the following forms: certificate to
be issued by the Clerk of Court and forms
mentioned in Section 5(e) and (g).
(5) Holds in trust, manages and utilizes the
contributions and penalties that will be paid
by lawyers pursuant to this Rule to
effectively carry out the provisions of this
Rule. For this purpose, it shall annually
submit an accounting to the IBP Board of
Governors.

Penalties
A practicing lawyer shall be required to explain why
he was unable to render the minimum prescribed
number of hours. If no explanation has been given or
if the NCLA finds the explanation unsatisfactory, the
NCLA shall make a report and recommendation to
the IBP Board of Governors that the erring lawyer be
declared a member of the IBP who is not in good
standing. Upon approval of the NCLAs
recommendation, the IBP Board of Governors shall
declare the erring lawyer as a member not in good
standing. Notice thereof shall be furnished the erring
lawyer and the IBP Chapter which submitted the
lawyers compliance report or the IBP Chapter where
the lawyer is registered, in case he did not submit a
compliance report. The notice to the lawyer shall
include a directive to pay Four Thousand Pesos
(P4,000) penalty which shall accrue to the special
fund for the legal aid program of the IBP.

Any lawyer who fails to comply with his duties under
this Rule for at least three (3) consecutive years
shall be the subject of disciplinary proceedings to be
instituted motu proprio by the CBD.

Rule 2.02 - In such cases, even if the lawyer does
not accept a case, he shall not refuse to render
legal advice to the person concerned if only to
the extent necessary to safeguard the latter's
rights.

Advice may be on what preliminary steps to take
until the client has secured the services of counsel.

But he shall refrain from giving legal advice if the
reason for not accepting the case is that there
involves a conflict of interest between him and a
prospective client or between a present client and a
prospective client. [Agpalo]

Rule 2.03 - A lawyer shall not do or permit to be
done any act designed primarily to solicit legal
business.

The legal practice is not a business. Unlike a
businessman, the lawyer has:
Relation to the administration of justice
involving sincerity, integrity and reliability as
an officer of the court;
duty of public service;
relation to clients with the highest degree of
fiduciary;
relation to colleagues at the bar
characterized by candor, fairness and
unwillingness to resort to business methods of
advertising and encroachment on their
practice, or dealing directly with their clients.
(Agpalo)

In relation to Rule 3.01, solicitation of any kind is
prohibited; but some forms of advertisement may be
allowed.

Malpractice
The practice of soliciting cases at law for the
purpose of gain, either personally or through paid
agents or brokers, constitutes malpractice. A
member of the bar may be disbarred or suspended
from his office as attorney by the SC for any
malpractice. (Rule 138, Sec. 27)

Rule 2.04 - A lawyer shall not charge rates lower
than those customarily prescribed unless the
circumstances so warrant.

This prohibits the competition in the matter of
charging professional fees for the purposed of
attracting clients in favor of the lawyer who offers
lower rates. The rule does not prohibit a lawyer
from charging a reduced fee or none at all to an
indigent or to a person who would have difficulty

20
paying the fee usually charged for such services.
[Agpalo]

3. True, Honest, Fair, Dignified
and Objective Information on
Legal Services

Statutory Basis
CANON 3. A lawyer in making known his legal
services shall use only true, honest, fair,
dignified and objective information or statement
of facts.

Rule 3.01 - A lawyer shall not use or permit the
use of any false, fraudulent, misleading,
deceptive, undignified, self-laudatory or unfair
statement or claim regarding his qualifications or
legal services.
Summary: A lawyer shall not use false
statement regarding his qualification or
service

The most worthy and effective advertisement
possible is the establishment of a well-merited
reputation for professional capacity and fidelity to
trust. This cannot be forced, but must be the
outcome of character and conduct.

Allowable advertisement (The Exceptions to Rule
3.01)
an ordinary professional card
publication in reputable law list with brief
biographical and other informative data which
may include:
(1) name
(2) associates
(3) address
(4) phone numbers
(5) branches of law practiced
(6) birthday
(7) day admitted to the bar
(8) schools and dates attended
(9) degrees and distinctions
(10) public or quasi-public offices
(11) posts of honor
(12) legal authorships
(13) teaching positions
(14) associations
(15) legal fraternities and societies
(16) references and regularly represented clients
must be published for that purpose
publication of simple announcement of opening
of law firm, change of firm
listing in telephone directory but not under
designation of special branch of law
if acting as an associate (specialising in a branch
of law), may publish a brief and dignified
announcement to lawyers (law list, law journal)
if in media, those acts incidental to his practice
and not of his own initiative
write articles for publication giving information
upon the law (and not individual rights or
advising through column/ TV. broadcast, lest
such be considered indirect advertising)
activity of an association for the purpose of
legal representation

If entering into other businesses which are not
inconsistent with lawyers duties
It is advisable that they be entirely separate and
apart such that a layman could distinguish between
the two functions.

Prohibited advertisement (Sec. 27, Canon of
Professional Ethics):
1) Through touters of any kind whether allied
real estate firms or trust companies
advertising to secure the drawing of deeds
or wills
2) Offering retainers in exchange for
executorships or trusteeships to be
influenced by the lawyer
3) Furnishing or inspiring newspaper comments
concerning the manner of their conduct,
the magnitude of the interests involved, the
importance of lawyers position, and all
other like self-laudation

A lawyer may not properly publish his brief
biographical and informative data in a daily paper,
magazine, trade journal or society program in order
to solicit legal business. Likewise, it is improper to
advertise himself a specialist for marriage
annulments as it goes against the Constitutions
mandate, to value the sanctity of marriage. [Khan v.
Simbillo, (2003)]

It is highly unethical for an attorney to advertise his
talents or skill as a merchant advertises his wares.
The law is a profession not a business. Solicitation of
cases by himself or through others is unprofessional
and lowers the standards of the legal profession. [In
re Tagorda, (1929)]

The lawyer degrades himself and his profession who
stoops to and adopts the practices of mercantilism
by advertising his services or offering them to the
public. Not all types of advertising are prohibited, a
lawyer may advertise in reputable law lists, in a
manner consistent with the standards of conduct
imposed by the canons. Likewise in the use of a
name, false and misleading names are prohibited.
[Ulep v. Legal Clinic]

Rule 3.02 - In the choice of a firm name, no
false, misleading or assumed name shall be used.
The continued use of the name of a deceased
partner is permissible provided that the firm
indicates in all its communications that said
partner is deceased.
Summary: A lawyer shall not use false or
misleading firm name.

GENERAL RULE 1: All partners in firm name must be
alive.

EXCEPTION: The continued use of the name of a
deceased partner is permissible provided that the
firm indicates in all its communications that said
partner is deceased. [Agpalo]

REASON FOR EXCEPTION: All partners by their joint
efforts over a period of years contributed to the

REVIEWER
21
goodwill attached to the firm name, and the removal
of the deceased partners name disturbs the client
goodwill built through the years. The continued use
of the firm name after the death of one or more
partners is not a deception.

Rule 3.02 abandoned the doctrine laid down in In Re:
Sycip 92 SCRA 1 (1979), which charged that retaining
a deceased partner's name in the firm name
improperly exploits its advertising value. [Agpalo]

Death of a partner does not extinguish the client-
lawyer relationship with the law firm. [B.R.
Sebastian Enterprises, Inc. v. CA]

GENERAL RULE 2: Filipino lawyers cannot practice
law under the name of a foreign law firm.

Firms may not use misleading names showing
association with other firms to purport legal services
of highest quality and ties with multinational
business enterprise especially when such firm
attached as an associate cannot legally practice law
in the Phils. [Dacanay v. Baker and McKenzie,
(1985)]

Rule 3.03 - Where 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
currently.
Summary: A law partner who accepts a
public office should withdraw from the firm

Where a partner accepts public office through
appointment or election, 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.

The purpose of the rule is to prevent the law firm
from using his name to attract legal business and to
avoid suspicion of undue influence. [Agpalo]

A civil service officer or employee whose duty or
responsibility does not require his entire time to be
at the disposal of the Gov't. may not engage in the
private practice of law without the written permit
from the head of the department concerned.
[Agpalo]

Related Statutory Basis
RA 7160 (LGC), Sec. 90. Governors, city and
municipal mayors are prohibited from practice of
profession.
EXCEPTION: Sanggunian members are
allowed to practice concurrently subject to
certain restrictions.

1987 Const. Art. VI, Sec. 14. No Senator or
member of the House of Representative may
personally appear before any court of justice or
before the Electoral Tribunal, or quasi-judicial
and other administrative bodies.

1987 Const. Art. VII, Sec. 13. The President,
Vice-President, the members of the cabinet and
assistants shall not, unless otherwise provided in
this Constitution, hold any other office or
employment during their tenure. They shall not,
during said tenure, directly or indirectly practice
any profession.

1987 Const. Art. IX, Sec. 2. No member of a
Constitutional Commission shall, during his
tenure, hold any other office or employment.
Neither shall he engage in the practice of any
profession.

A lawyer member of the Legislature is not absolutely
prohibited from engaging in the practice of his
profession. He is only prohibited from appearing as
counsel before any court of justice.

What is prohibited is the appearance which includes:
arguing a case before any such body and filing a
pleading on behalf of a client.

Neither can his name be allowed to appear in such
pleadings by itself or as part of a firm name under
the signature of another qualified lawyer because
the signature of an agent amounts to a signing by
non-qualified Senator or Congressman.

His name should be dropped from the firm name, of
which he is a name partner, whenever the firm files
a pleading on behalf of a client.

It is unlawful for a public official or employee to,
among others: "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 official
functions." [Samonte v. Gatdula, (1999)]

If the unauthorized practice on the part of a person
who assumes to be an attorney causes damage to a
party, the former may be held liable for estafa.

Rule 3.04 - A lawyer shall not pay or give
anything of value to representatives of the mass
media in anticipation of, or in return for,
publicity to attract legal business.
Summary: A lawyer shall not seek media
publicity.

This rule prohibits from making indirectly publicity
gimmick, such as furnishing or inspiring newspaper
comments, procuring his photograph to be published
in connection with cases which he is handling,
making a courtroom scene to attract the attention of
newspapermen, or arranging for the purpose an
interview with him by media people. (Agpalo)

PURPOSE: To prevent some lawyers from gaining an
unfair advantage over others through the use of
gimmickry, press agentry or other artificial means.

It is bad enough to have such undue publicity when a
criminal case is being investigated, but when
publicity and sensationalism is allowed, even
encouraged, when the case is on appeal and is
pending consideration by the SC, it is inexcusable
and abhorrent. [Cruz v. Salva, (1959)]

22

4. Participation in the
Improvement and Reforms in
Legal System

Statutory Basis
CANON 4: A lawyer shall participate in the
development of the Legal System by initiating or
supporting efforts in law reform and in the
improvement of the administration of justice.

NOT a strict duty, but a duty nevertheless. A lawyer
must NOT be confined by technical legal questions
but instead grow in knowledge and competence to
make the law socially responsive.

A lawyer may with propriety write articles for
publications in which he gives information upon the
law; but he should not accept employment from
such publications to advise inquiries in respect to
their individual rights.

Examples
(1) Present position papers or resolutions for
the introduction of pertinent bills in
Congress;
(2) Submit petitions to the SC for the
amendment of the ROC.
(3) The Misamis Oriental Chapter of the IBP
promulgating a resolution wherein it
requested the IBPs National Committee on
Legal Aid (NCLA) to ask for the exemption
from the payment of filing, docket and
other fees of clients of the legal aid offices
in the various IBP chapters (Re: Request Of
National Committee On Legal Aid To Exempt
Legal Aid Clients From Paying Filing, Docket
And Other Fees, August 28, 2009)

SC Resolution: Commended the MOC of the IBP and
GRANTED the exemption

"We laud the Misamis Oriental Chapter of the IBP for
its effort to help improve the administration of
justice, particularly, the access to justice by the
poor. Its Resolution No. 24, series of 2008 in fact
echoes one of the noteworthy recommendations
during the Forum on Increasing Access to Justice
spearheaded by the Court last year. In promulgating
Resolution No. 24, the Misamis Oriental Chapter of
the IBP has effectively performed its duty to
"participate in the development of the legal system
by initiating or supporting efforts in law reform and
in the administration of justice."

5. Participation in Legal
Education Program

Statutory Basis
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 law students and assist in
disseminating the law and jurisprudence.

Obligations
(1) To self for continued improvement of
knowledge
(2) To his profession for maintenance of high
standards of legal education
(3) To the public for social consciousness

Purpose: To ensure that lawyers throughout their
career keep abreast with law and jurisprudence,
maintain the ethics of the profession and enhance
the standards of the practice of law

Requirement: Every 3 years at least 36 hours of legal
education activities.

Legal ethics 6 hrs
Trial and pre-trial skills 4 hrs
Alternative dispute resolution 5 hrs
Updates on substantive procedural laws
and jurisprudence
9 hrs
Writing and oral advocacy 4 hrs
International law and international
conventions
2 hrs
Other subjects as may be prescribed by
the Committee on MCLE
6 hrs

Legal Education Activities

a) Participatory
1) Attending approved education activities
like seminars, conferences,
conventions, symposia, in-house
education programs, workshops,
dialogues or round table discussion.
2) Speaking or lecturing, or acting as
assigned panelist, reactor,
commentator, resource speaker,
moderator, coordinator or facilitator in
approved education activities.
3) Teaching in a law school or lecturing in
a bar review class.

b) Non Participatory
1) Preparing, as an author or co-author,
written materials published or
accepted for publication, e.g., in the
form of an article, chapter, book, or
book review which contribute to the
legal education of the author member,
which were not prepared in the
ordinary course of the members
practice or employment.
2) Editing a law book, law journal or legal
newsletter.

c) Other activities credited to MCLE
Rendering Mandatory Legal Aid Services [Bar
Matter No. 2012, Sec 8]

Exemptions
(1) President, vice-president, cabinet members
(2) Members of Congress
(3) Chief Justice and incumbent and retired
members of the judiciary

REVIEWER
23
(4) Chief state counsel, prosecutor and
assistant secretaries of the Department of
Justice
(5) Solicitor General and assistants
(6) Gov't. Corporate Counsel, his deputies and
assistants
(7) Chairman and members of Constitutional
Commissions
(8) Ombudsman and his deputies
(9) Heads of Gov't. agencies exercising quasi-
judicial functions
(10) Incumbent deans, bar reviewers and
professors of law who have 10 year teaching
experience
(11) Officers and lecturers of the Phil. Judicial
Academy
(12) Governors and mayor
(13) Those not in law practice (special
exemption)
(14) Those who have retired from the law
practice (special exemption)
(15) 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.)
Penalty:
(1) Non-Compliance Fee of Php 1,000.00.
(2) Listing as a delinquent member of the IBP

Practicing members of the bar are required to
INDICATE in all pleadings filed before the courts or
quasi-judicial bodies, the number and date of issue
of their MCLE Certificate of Compliance or
Certificate of Exemption, as may be applicable, for
the immediately preceding compliance period.

Penalty: Failure to disclose the required information
would cause the dismissal of the case and the
expunction of the pleadings from the records.

CANON 6: These canons shall apply to lawyers in
Gov't. services in the discharge of their tasks.

A member of the Bar who assumes public office does
not shed his professional obligation. The Code was
not meant to govern the conduct of private
petitioners alone, but of all lawyers including those
in Gov't. service. Lawyers in Gov't. are public
servants who owe the utmost fidelity to the public
service. Thus they have to be more sensitive in the
performance of their professional obligations. A
lawyer in public service is a keeper of public faith
and is burdened with a high degree of social
responsibility, perhaps higher than her brethren in
private practice. [Vitriolo v. Dasig, (2003)]

RA 6713, Sec. 4 (A) or the Code of Conduct and
Ethical Standards for Public Officials and
Employees.

Every public official and employee shall observe
the following as standards of personal conduct in
the discharge and execution of official duties:
(1) Commitment to public interest- uphold
the public interest over and above
personal interest.
(2) Professionalism- perform and discharge
their duties with the highest degree of
excellence, professionalism, intelligence
and skill
(3) Justness and sincerity- not discriminate
against anyone, especially the poor and
the underprivileged
(4) Political neutrality- provide service to
everyone without unfair discrimination
and regardless of party affiliation or
preference
(5) Responsiveness to the public- extend
prompt, courteous, and adequate service
to the public
(6) Nationalism and patriotism- be loyal to
the Republic and to the Filipino people,
promote the use of locally produced
goods, resources and technology and
encourage appreciation and pride of
country and people.
(7) Commitment to democracy- commit
themselves to the democratic way of life
and values, maintain the principle of
public accountability, and manifest by
deeds the supremacy of civilian
authority over the military.
(8) Simple living- lead modest lives
appropriate to their positions and
income

Rule 6.01 - The primary duty of a lawyer
engaged in public prosecution is not to convict
but to see that justice is done. The suppression
of facts or the concealment of witnesses capable
of establishing the innocence of the accused is
highly reprehensible and is cause for disciplinary
action.

A public prosecutor is a quasi-judicial officer with
the two-fold aim of which is that guilt shall not
escape or innocence suffer. He should not hesitate
to recommend to the court the accused's acquittal if
the evidence in his possession shows that the
accused is innocent. [Agpalo]

While there is nothing objectionable in allowing a
private prosecutor to participate in the proceedings,
a public prosecutor should not allow the trial in the
hands of a private prosecutor to degenerate into a
private persecution. In such event, the public
prosecutor must take over the active conduct of the
litigation. [Agpalo]

Prosecutors should not allow and should avoid giving
the impression that their noble office is being used
or prostituted, wittingly, or unwittingly, for political
ends or other purposes alien to the fundamental
objective of serving the interests of justice. [Agpalo]

It is upon the discretion of the prosecutor to decide
what charge to file upon proper appreciation of facts
and evidences. Fiscals are not precluded from
exercising their sound discretion in investigation. His
primary duty is not to convict but to see that justice
is served. [People v. Pineda, (1967)]

24

Rule 6.02 - A lawyer in Gov't. service shall not
use his public position to promote or advance his
private interests, nor allow the latter to
interfere with his public duties.

In relation to Rule 3.03, if the law allows a public
official to practice law concurrently, he must not
use his public position to feather his law practice
Moreover, he should not only avoid all impropriety.
Neither should he even inferentially create a public
image that he is utilizing his public position to
advance his professional success or personal interest
at the expense of the public. [Agpalo]

Just as the Code of Conduct and Ethical Standards
for Public Officials requires public officials and
employees to process documents and papers
expeditiously (Sec. 5, subpars. [c] and [d] and
prohibits them from directly or indirectly having a
financial or material interest in any transaction
requiring the approval of their office, and likewise
bars them from soliciting gifts or anything of
monetary value in the course of any transaction
which may be affected by the functions of their
office [Collantes v. Renomeron, (1991)]

We begin with the veritable fact that lawyers in
Gov't. service in the discharge of their official task
have more restrictions than lawyers in private
practice. Want of moral integrity is to be more
severely condemned in a lawyer who holds a
responsible public office

It bears stressing also that Gov't. lawyers who are
public servants owe fidelity to the public service, a
public trust. As such, Gov't. lawyers should be more
sensitive to their professional obligations as their
disreputable conduct is more likely to be magnified
in the public eye. [Huyssen vs Gutierrez 485 SCRA
244 (2006)]

Respondent in his future actuations as a member of
the bar, should refrain from laying himself open to
such doubts and misgivings as to his fitness for the
position he occupies but also for membership in the
bar. Fitness as to the membership to the legal
profession includes keeping his honor unsullied.
[Misamin v. San Juan, (1976)]

Rule 6.03 - A lawyer shall not, after leaving
Gov't. service, accept engagement or
employment in connection with any matter in
which he had intervened while in said service.

How a Gov't. Lawyer Leaves Gov't. Service:
(1) retirement
(2) resignation
(3) expiration of the term of office
(4) dismissal
(5) abandonment

GENERAL RULE: Practice of profession allowed
immediately after leaving public service

EXCEPTIONS: If lawyer had connection with any
matter during his term, subject to
(1) One year prohibition if he had not
intervened
(2) Permanent prohibition if he had intervened

One Year Prohibition

Statutory Basis
RA 3019 or the Anti-Graft and Corrupt Practices
Act. Sec. 3(d) - Corrupt practices of any public
officer include:
(d) Accepting or having any member of his
family accept employment in a private
enterprise which has pending official business
with him during the pendency thereof or within
one year after its termination.

RA 6713 or the Code of Conduct and Ethical
Standards for Public Officials and Employees.
Sec. 7(b) - Outside employment and other
activities. Public officials and employees during
their incumbency shall not:
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;
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;
Recommend any person to any position
in a private enterprise which has a
regular or pending official transaction
with their office.

These prohibitions shall continue to apply for a
period of one year after resignation, retirement
or separation from public office, except in case
of subparagraph (2) above, but the professional
concerned cannot practice his profession in
connection with any matter before the office he
used to be with, in which case the one year
prohibition shall likewise apply.

Relative Prohibition

On retired judges and justices
RA 910 or the special law on retirement of
justices and judges
Sec. 1. No retiring justice or judge of a court of
record or city or municipal judge during the time
that he is receiving said pension shall appear as
counsel in any court in any civil case where
(1) the Gov't. or any of its subdivisions or
instrumentalities is an adverse party
(2) in a criminal case, where an officer or
employee of the Gov't. is accused of an
offense related to his official function
(3) in any administrative proceeding, cannot
collect any fee for his appearance to
maintain an interest adverse to the
Gov't.

Permanent Prohibitions
17

REVIEWER
25
On any Gov't. employee - No Gov't. employee,
official, or officer may accept engagement or
employment in connection with matter he had
intervened in. Intervention includes any act of a
person which has the power to influence the subject
proceedings. [Agpalo]

The matter contemplated in this rule are those
that are adverse-interest conflicts (substantial
relatedness and adversity between the Gov't. matter
and the new client matter in interest) and
congruent-interest representation conflicts, while
the intervention should be significant and
substantial which can or have affected the interest
of others. [PCGG v. Sandiganbayan, (2005)]

On members of the legislature
1987 Constitution, Art. VI, Sec. 13. No member
of legislature may accept an appointment in an
office which he created or increased emoluments
thereof.

B. The Legal Profession

Statutory Basis
CANON 7: Uphold the Integrity and DIgnity of the
Profession and Support the activities of the
integrated bar.

1. Integrated Bar of the
Philippines

Statutory Basis
RA 6397 The Supreme Court may adopt rules of
court to effect the integration of the Philippine
Bar under such conditions as it shall see fit in
order to raise the standards of the legal
profession, improve the administration of
justice, and enable the bar to discharge its
public responsibility more effectively

The Integrated Bar of the Philippines (the IBP) is
the official organization of all Philippine lawyers
whose names appear in the Roll of Attorneys of the
Supreme Court.

The IBP is essentially a semi-governmental entity, a
private organization endowed with certain
governmental attributes. While it is composed of
lawyers who are private individuals, the IBP exists to
perform certain vital public functions and to assist
the Government particularly in the improvement of
the administration of justice, the upgrading of the
standards of the legal profession, and its proper
regulation

General Objectives of the IBP
(1) To elevate the standards of the legal
profession
(2) To improve the administration of justice
(3) To enable the Bar to discharge its public
responsibility more effectively.

Purpose of the IBP
(1) Assist in the administration of justice;
(2) Foster and maintain on the part of its
members high ideals of integrity, learning,
professional competence, public service and
conduct;
(3) Safeguard the professional interest of its
members;
(4) Cultivate among its members a spirit of
cordiality and brotherhood;
(5) Provide a forum for the discussion of law,
jurisprudence, law reform, pleading,
practice and procedure, and the relations of
the Bar to the Bench and to the public, and
publish information relating thereto;
(6) Encourage and foster legal education;
(7) Promote a continuing program of legal
research in substantive and adjective law,
and make reports and recommendations
thereon.

The basic postulate of the IBP is that it is non-
political in character and that there shall be neither
lobbying nor campaigning in the choice of the IBP
Officers. The fundamental assumption is that the
officers would be chosen on the basis of professional
merit and willingness and ability to serve. The
candidates and many of the participants in the
election process not only violated the By-Laws of the
IBP but also the ethics of the legal profession which
imposes on all lawyers. The unseemly ardor with
which the candidates pursued the presidency of the
association detracted from the dignity of the legal
profession. The spectacle of lawyers bribing or being
bribed to vote did not uphold the honor of the
profession nor elevate it in the publics esteem. [In
re 1989 Elections of the IBP, 178 SCRA 398 (1989)]

Atty "Batas" Mauricio violated Canon 7 of the Code of
Professional Responsibility, which directs a lawyer to
"at all times uphold the integrity and the dignity of
the legal profession when he tried to force CDO to
place ads in his shows and publications in exchange
for stopping his media attacks on their allegedly
worm-laden liver spread. [Foodsphere v. Mauricio,
A.C. No. 7199 (22 July 2009)]

a. Membership and Dues

Statutory Basis
Rule 139-A

Section 9. Membership dues. 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. 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.

Section 10. Effect of non-payment of dues.
Subject to the provisions of Section 12 of this
Rule, default in the payment of annual dues for
six months shall warrant suspension of
membership in the Integrated Bar, and default in
such payment for one year shall be a ground for

26
the removal of the name of the delinquent
member from the Roll of Attorneys.

All persons whose names appear in the Roll of
Attorneys of the Supreme Court (having qualified for
and passed the Bar examinations and taken their
attorneys oath, unless otherwise disbarred) are
members of the IBP. If any lawyer does not agree to
join the organization and regulations (such as
payments of annual membership dues, now fixed at
P1,000), he does not become, or he ceases to be, an
IBP member, and at the same time his name is
removed from the Roll of Attorneys. The effect of
the removal is that he ceases to be an attorney. He
loses the privilege to practice law in the Philippines.
"Integration does not make a lawyer a member of
any group of which he is not already a member. He
became a member of the Bar when he passed the
Bar examinations. All that integration actually does
is to provide an official national organization for the
well-defined but unorganized and incohesive group
of which every lawyer is already a member.

A membership fee in the Integrated Bar is an
exaction for regulation, while the purpose of a tax is
revenue. If the Court has inherent power to regulate
the Bar, it follows that as an incident to regulation,
it may impose a membership fee for that purpose. It
would not be possible to push through an Integrated
Bar program without means to defray the
concomitant expenses. The doctrine of implied
powers necessarily includes the power to impose
such an exaction.

The only limitation upon the State's power to
regulate the Bar is that the regulation does not
impose an unconstitutional burden. The public
interest promoted by the integration of the Bar far
outweighs the inconsequential inconvenience to a
member that might result from his required payment
of annual dues." [In the matter of the Integration of
the Bar of the Philippines, (1973)]

A lawyer can engage in the practice of law only by
paying his dues, and it does not matter if his
practice is limited. Moreover, senior citizens are
not exempted from paying membership dues. [Santos
v. Llamas, 322 SCRA 529 (2000)]

The compulsory nature of payment of dues subsists
for as long as ones membership in the IBP remains,
regardless of the extent of practice of a lawyer.
There is no exemption. As pointed out by IBP, Atty.
Arevalo could have informed the Sec. of the Bar of
his intention to stay abroad, in which case his IBP
membership could have been terminated and oblige
to pay annual dues discontinued. Membership in the
bar is a privilege burdened with conditions, one of
which is the payment of membership dues. [Letter
of Atty. Cecilio Arevalo, 458 SCRA 209 (2005)]

2. Upholding the Dignity and
Integrity of the Profession

Statutory Basis
Rule 7.01 A lawyer shall be answerable for
knowingly making a false statement or
suppressing a material fact in connection with
his application for admission to the bar.

A lawyer must be a disciple of truth. While a lawyer
has the solemn duty to defend his clients rights and
is expected to display the utmost zeal in defense of
his clients cause, his conduct must never be at the
expense of truth.

The concealment or withholding of the fact that an
applicant has been charged with a crime is a ground
for disqualification of the applicant to take the bar
exam or for the revocation of the license to
practice. It is the fact of concealment and not the
commission of the crime itself that makes a person
unfit to become a lawyer.

The Court may disbar or suspend a lawyer for
misconduct, whether in his professional or private
capacity, which shows him to be wanting in moral
character, in honesty, probity, and good demeanor,
thus proving unworthy to continue as an officer of
the court. [Young v. Batuegas, 403 SCRA 123 (2003)]
A declaration in one's application for Admission to
the Bar Examinations that the applicant was "single",
when he was in fact married, was a gross
misrepresentation of a material fact made in utter
bad faith, for which the applicant should be made
answerable. That false statement, if it had been
known, would have disqualified the applicant
outright from taking the Bar Examinations as it
indubitably exhibits lack of good moral character.
[Leda v. Tabang]

Rule 7.02 A lawyer shall not support the
application for admission to the bar of any
person known by him to be unqualified in respect
to character, education or other equivalent
attribute

A lawyer should volunteer information or cooperate
in any investigation concerning alleged anomaly in
the bar examination so that those candidates who
failed therein can be ferreted out and those lawyers
responsible therefor can be disbarred [In re Parazo,
82 Phil. 230 (1948)]

A lawyer should not readily execute an affidavit of
good moral character in favor of an applicant who
has not live up to the standard set by law (Agpalo)

Rule 7.03 A lawyer shall not engage in conduct
that adversely reflects on his fitness to practice
law, nor shall he, whether in public or private
life, behave in a scandalous manner to the
discredit of the legal profession.

It is not necessary for a lawyer to be convicted for
an offense before a lawyer can be disciplined for
gross immorality. (Agpalo)

Some acts which adversely reflect on a lawyers
fitness:
(1) Having adulterous relationships or keeping
mistresses. That "men by nature are
polygamous" is not an excuse. Saying that
18

REVIEWER
27
what happened was "nothing but mutual
lust and desire" shows reprehensible,
amoral attitude of the lawyer. [Zaguirre v.
Castillo, 398 SCRA 659 (2003)]
(2) Siring a child with a woman other than legal
wife (Id)
(3) Attempting to renege on notarized
statement recognizing and undertaking to
support his child (Id)
(4) Conviction of a crime involving moral
turpitude
(5) Commission of fraud or falsehood

3. Courtesy, Fairness and Candor
Towards Professional
Colleagues

Statutory Basis
CANON 8: Courtesy, fairness and candor towards
professional colleagues, and avoid harassing
tactics against opposing counsel.

DOs:
(1) Restrain client from improprieties and to
terminate relation with him/her should the
latter persist.
(2) Honor the just claim of a layman against
another lawyer

DON'Ts:
(1) Take advantage of the excusable
unpreparedness or absence of counsel
during the trial of a case.
(2) Make use, to his or to his clients benefit,
the secrets of the adverse party acquired
thru design or inadvertence.
(3) Criticize or impute ill motive the lawyer
who accepts what in his opinion is a weak
case.
(4) Proceed to negotiate with the client/s of
another lawyer to waive all kinds of claim
when the latter is still handling the civil
case
[Camacho v. Pagulayan et al, A.C. No. 4807, (2000)]

Rule 8.01. A lawyer shall not, in professional
dealings, use language which is abusive,
offensive or otherwise improper.

A lawyer shall use temperate, but forceful language
in his arguments, whether written or oral.

Do as adversaries do in law: strive mightily but eat
and drink as friends should characterize the
relationship between opposing counsel in a case.

The fact that one of the lawyers conducts
him/herself improperly does not relieve the other
from professional obligation in his relation with
him/her.

Mutual bickering, unjustified recriminations and
offensive behavior among lawyers not only detract
from the dignity of the legal profession, but also
constitute highly unprofessional conduct subject to
disciplinary action x x x Whatever ill-feelings
between clients should not influence counsel in their
conduct and demeanor toward each other. [Reyes
vs. Chiong, Jr., 405 SCRA 212 (2003)]

The highest reward that can come to a lawyer:
Esteem of his/her brethren.

Rule 8.02. A lawyer shall not, directly or
indirectly, encroach upon the professional
employment of another lawyer; however, it is
the right of any lawyer, without fear or favor, to
give proper advice and assistance to those
seeking relief against unfaithful or neglectful
counsel.

DOs:
(1) Accept employment to handle a matter
previously handled by another lawyer,
a. Provided the other lawyer has
been given notice of termination
of service lest it amounts to an
improper encroachment upon the
professional employment of the
original counsel [Laput v.
Remotigue A.M. No. 219 (1962)]
b. In the absence of a notice of
termination from the client,
provided he has obtained the
conformity of the counsel whom
he would substitute.
c. In the absence of such conformity,
a lawyer must at least give
sufficient notice to original
counsel so that original counsel
has the opportunity to protect his
claim against the client.

(2) Association as a colleague in a case: A 2
nd

lawyer should communicate with the 1
st

before making an appearance as co-counsel.
a. Should the 1
st
lawyer object, 2
nd

lawyer should decline association
but if the 1
st
lawyer is relieved, he
may come into the case.
b. Ask client to relieve him should it
be impracticable for him whose
judgment has been overruled by
his co-counsel to cooperate
effectively

DON'Ts:
(1) Steal the other lawyers client
(2) Induce client to retain him by promise of
better service, good result or reduced fees
for his services.
(3) Disparage another lawyer, make
comparisons or publicize his talent as a
means to further his law practice.
(4) In the absence of the adverse partys
counsel, interview the adverse party and
question him as to the facts of the case
EVEN IF adverse party was willing to do so.
(5) Sanction the attempt of his client to settle
a litigated matter with the adverse party
without the consent nor knowledge of the
latters counsel (cf. Canon 9).

28
4. No Assistance in Unauthorized
Practice of Law

Statutory Basis
CANON 9: Not assist, directly or indirectly, in
the unauthorized practice of law.

Practice of Law (also see Chapter 1)

Any activity, in or out of court, which requires the
application of law, legal principle practice or
procedure and calls for legal knowledge, training
and experience (Agpalo)
Legal advice and instructions to clients to
inform them of their rights and obligations
Preparation for clients of documents requiring
knowledge of legal principles not possessed by
ordinary laymen
Appearance for clients before public tribunals,
whether, administrative, quasi-judicial or
legislative agency.

It includes legal advice and counseling, and the
preparation of legal instruments and contracts by
which legal rights are secured, which may or may
not be pending in court [Ulep v. Legal Clinic, Inc.,
223 SCRA 378 (1993)]

Implies customarily or habitually holding oneself out
to the public, as a lawyer, for compensation as
source of livelihood or in consideration of his office
[People v. Villanueva, 14 SCRA 109 (1965)]

GENERAL RULE: Requisites to practice law
(1) Admission to the Bar
- Satisfactory Legal Education
- Passing the Bar Exams
- Taking the Lawyer's Oath
- Signing the Roll of Attorneys
(2) Be a lawyer in good and regular standing
- Remain a member of the IBP
- Regularly pay IBP dues, assessments and
privilege tax
- Faithfully observe rules and legal ethics
- Be continually subject to judicial
disciplinary control

EXCEPTIONS: See Chapter 1

Some Unauthorized Practice of Law:

Appearing as counsel even before taking lawyers
oath [Aguirre v. Rana 403 SCRA 342 (2003)].

NOTE: Passing the bar is not the only qualification
to become an attorney-at-law. Two essential
requisites for becoming a lawyer still had to be
performed, namely: his lawyers oath to be
administered by this Court and his signature in the
Roll of Attorneys.

Using the title Atty. in his name even though he is
a Sharia lawyer [Alawi v. Alauya 268 SCRA 639
(1997)]

NOTE: Persons who pass the Sharia Bar are not
full-fledged members of the Philippine Bar.
Attorney is a title reserved to those who have
been admitted to the IBP and remain members
thereof in good standing.

A corporation cannot engage in the practice law
directly or indirectly. It may only hire in-house
lawyers to attend to its legal business. A corporation
cannot employ a lawyer to appear for others for its
benefit. A corporation cannot perform the conditions
required membership to the Bar. In addition, the
confidential and trust relation between an attorney
and his client cannot arise if the attorney is
employed by a corporation. (Client's interest first)

Examples:
Automobile club that solicits membership by
advertising that it offers free legal services of
its legal department to members
Collection agency or credit exchange that
exploits lawyer's services.
Laymen using lawyer's letterhead to send out
form collection letters
Bank using lawyer's name as director in
advertising its services in drawing wills and
other legal documents.

Unauthorized practice of law applies to both non-
lawyers and lawyers prohibited from the private
practice of law.
Lawyers in government service are prohibited to
engage, during their incumbency thereof, in the
private practice* of their profession

Exception: Unless authorized by the constitution or
law and provided that such practice will not conflict
or tend to conflict with their official functions.
Exc to Exc: Pro-bono appearances may
be allowed by the Court in special instances

Private Practice, def.: succession of acts of the same
nature of habitually or customarily holding ones self
to the public as a lawyer. [OCA v. Ladaga, 350 SCRA
326]

An individual litigant in a civil case has a right to
conduct his litigation personally. (Rule 138, Sec. 34,
Rules of Court) He may not be heard to complain
later that he has been deprived of the right to the
assistance of counsel. [People v. Sin Ben, 98 Phil.
138 (1955)]

An attorney who is otherwise disqualified to practice
law, or has been disbarred or suspended from
practice, can validly prosecute or defend his own
litigation, he having as much right as that of a
layman in that regard [Danforth v. Egan, 23 SD 43,
119 NW 1920]

Rule 9.01 - A lawyer shall not delegate to any
unqualified person the performance of any task
which by law may only be performed by a
member of the bar in good standing.

A lawyer is prohibited from taking as partner or
associate any person who is not authorized to
practice law to appear in court or to sign
pleadings.

REVIEWER
29
A lawyer, who is under suspension from practice of
law is not a member of the Bar in good standing. A
lawyer whose authority to practice has been
withdrawn due to a change in citizenship or
allegiance to the country cannot appear before the
courts. [Guballa v. Caguioa, 78 SCRA 302]

A lawyer cannot delegate to a layman activities
which may only be undertaken by a lawyer:
The computation and determination of the
period within which to appeal an adverse
judgment [Eco v. Rodriguez, 107 Phil. 612
(1960)]
The examination of witnesses or the
presentation of evidence [Robinson v.
Villafuerte, 18 Phil 121 (1911)]

A lawyer may delegate:
The examination of case law
Finding and interviewing witnesses
Examining court records
Delivering papers and similar matters

Rule 9.02 - A lawyer shall not divide or stipulate
to divide a fee for legal services with persons not
licensed to practice law, except:
a) Where there is a pre-existing agreement
with a partner or associate that, upon the
latter's death, money shall be paid over a
reasonable period of time to his estate or
to persons specified in the agreement
b) Where a lawyer undertakes to complete
unfinished legal business of a deceased
lawyer; or
c) Where a lawyer or law firm includes non-
lawyer employees in a retirement plan
even if the plan is based in whole or in
part, on a profit sharing agreement.

EXCEPTIONS

A & B:
Represent compensation for legal services
rendered by the deceased lawyer during his
lifetime.
Do not apply to future business of a law firm
Estate or heir cannot become partner of law
firm

C:
Retirement benefits, strictly speaking, not a
division of legal fees, but represent additional
deferred wages or compensation for past
services of employees.

An agreement between a union lawyer and a layman
president of the union to divide equally the
attorneys fees that may be awarded in a labor case
violates the rule and is illegal and immoral
[Amalgamated Laborers Assn. v. CIR. 22 SCRA 1266
(1968)]

A donation by a lawyer to a labor union of part of his
attorneys fees taken from the proceeds of a
judgment secured by him for the labor union is
improper because it amounts to a rebate or
commission [Halili v. CIR. 136 SCRA 113 (1965)]

A contract between a lawyer and a layman granting
the latter a percentage of the fees collected from
clients secured by the layman and enjoining the
lawyer not to deal directly with said clients is null
and void, and the lawyer may be disciplined for
unethical conduct [Tan Tek Beng v. David. 128 SCRA
389 (1983)]

Non-lawyers may appear before the NLRC or any
labor arbiter. Granted that they acted as legal
representatives, they are still not entitled to receive
professional fees. The statutory rule that an
attorney shall be entitled to have and recover from
his client a reasonable compensation or
remuneration for the services they have rendered
presupposes the existence of an attorney-client
relationship. Such a relationship cannot, however,
exist when the clients representative is a non-
lawyer. [Five J Taxi v. NLRC, 235 SCRA 556]

C. The Courts

1. Candor, Fairness, and Good
Faith Towards the Courts

CANON 10: Candor, Fairness and Good Faith to the
Court.

A lawyer is, first and foremost, an officer of the
court. Accordingly, should there be a conflict
between his duty to his client and that to the court,
he should resolve the conflict against the former and
in favor of the latter, his primary responsibility being
to uphold the cause of justice. [Cobb Perez v.
Lantin, 24 SCRA 291 (1968)]

Candor in all his dealings is of the very essence of
honorable membership in the legal profession.
[Cuaresma v. Daquis, 63 SCRA 257 (1975)]

It requires that a lawyer act with the highest
standards of truthfulness, fair play and nobility in
the conduct of litigation and in his relations with his
client, the opposing party and his counsel, and the
court before which he pleads his clients cause.
[Director of Lands v. Adorable, 77 Phil. 468 (1946)]

Rule 10.01 - A lawyer shall not do any falsehood,
nor consent to the doing of any in Court; nor
shall he mislead, or allow the Court to be misled
by any artifice.

A lawyer should not conceal the truth from the
court, nor mislead the court in any manner no
matter how demanding his duties to clients may be.
His duties to his client should yield to his duty to
deal candidly with the court. For no client is entitled
to receive from the lawyer any service involving
dishonesty to the courts (Comments of IBP
Committee that drafted the Code, p. 53)

30

Rule 10.02 - 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 law a provision already
rendered inoperative by repeal or amendment,
or assert as a fact that which has not been
proved.

A lawyer who deliberately made it appear that the
quotations in his motion for reconsiderations were
findings of the Supreme Court, when they were just
part of the memorandum of the Court Administrator,
and who misspelled the name of the complainant
and made the wrong citation of authority is guilty of
violation of Rule 10.02 of the Code. [COMELEC v.
Noynay, 292 SCRA 254 (1998)]

it is the bounden duty of courts, judges and
lawyers to reproduce or copy the same word-for-
word and punctuation mark-for-punctuation mark
Only from this Tribunals decisions and rulings do all
other courts, as well as lawyers and litigants, take
their bearingsEver present is the danger that if not
faithfully and exactly quoted, the decisions and
rulings of this Court may lose their proper and
correct meaning, to the detriment of other courts,
lawyers and the public who may thereby be misled.
[Insular Life Employees Co. v. Insular Life
Association, 37 SCRA 244 (1971)]

The legal profession demands that lawyers
thoroughly go over pleadings, motions and other
documents dictated or prepared by them, typed or
transcribed by their secretaries or clerks, before
filing them with the court. If a client is bound by
the acts of his counsel, with more reason should
counsel be bound by the acts of his secretary who
merely follows his orders. [Adez Realty, Inc. v. CA,
215 SCRA 301 (1992)]

Rule 10.03 - A lawyer shall observe the rules of
procedure and shall not misuse them to defeat the
ends of justice.

Rule 138, Sec. 20(d) Duties of attorneys. It is the
duty of an attorney:
(d) to employ, for the purpose of maintaining the
causes confided to him, such means only as are
consistent with truth and honor, and never seek to
mislead the judge or any judicial officer by an
artifice or false statement of fact of law.

Filing of multiple petitions regarding the same
subject matter constitutes abuse of the courts
processes and improper conduct that tends to
obstruct and degrade the administration of justice.
A deliberate misreading or misinterpretation of the
law by a lawyer also falls under the injunction and
puts him in public distrust. (Agpalo)

A lawyer should not abuse his right of recourse to
the courts for the purpose of arguing a cause that
had been repeatedly rebuffed. [Garcia v. Francisco,
65 SCAD 179, 220 SCRA 512 (1993)]

2. Respect for Courts and Judicial
Officers

Statutory Basis
CANON 11: Observe and Maintain the Respect Due
to the Courts and Judicial Officers

Rule 138, Sec. 20(b) Duties of attorneys. It is the
(b) to observe and maintain the respect due to the
courts of justice and judicial officers

The Supreme Court of the Philippines is, under the
Constitution, the last bulwark to which the Filipino
people may resort to obtain relief for their
grievances or protection of their rights. If the people
lose their confidence in the honesty and integrity of
the members of the Court and believe that they
cannot expect justice therefrom, they might be
driven to take the law into their own hands, and
disorder and perhaps chaos might be the result.
Lawyers are duty bound to uphold the dignity and
authority of the Court to promote the administration
of justice. Moreover, respect to the courts
guarantees the stability of other institutions. [In re
Sotto 82 Phil. 595 (1949)]

If a pleading containing 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 a misbehavior
committed in the presence of or so near a court or
judge as to interrupt the administration of justice.
Direct contempt is punishable summarily. [In re
letter dated 21 February 2005 of Atty. Noel S.
Sorreda, 501 SCRA 369 (2006)]

Observing respect due to the courts means that a
lawyer should:
(1) Conduct himself toward judges with courtesy
everyone is entitled to expect [Paragas v
Cruz, 14 SCRA 809 (1965)]
(2) With the propriety and dignity required by
the courts. [Salcedo v Hernandez, 61 Phil.
729 (1935)]

Rule 11.01 - A lawyer shall appear in court
properly attired.

Respect begins with the lawyers outward physical
appearance in court. Sloppy or informal attire
adversely reflects on the lawyer and demeans the
dignity and solemnity of court proceedings. (Agpalo)

Traditional attires
Males: Long-sleeve Barong Tagalog or coat and
tie
Females: Semi-formal attires.
Judges also appear in the same attire in addition
to black robes.

Courts have ordered a male attorney to wear a
necktie and have prohibited a female attorney from
wearing a hat. However, the permission of a dress

REVIEWER
31
with a hemline five inches above the knee was held
to be acceptable as such had become an accepted
mode of dress even in places of worship (Aguirre)

A lawyer who dresses improperly may be cited with
contempt. (Agpalo)

Rule 11.02 - A lawyer shall punctually appear at
court hearings.

Inexcusable absence from, or repeated tardiness in,
attending a pre-trial or hearing may subject the
lawyer to disciplinary action as his actions show
disrespect to the court and are therefore considered
contemptuous behavior. [Agpalo]

Non-appearance at hearings on the ground that the
issue to be heard has become moot and academic
[prisoner has been released in a petition for habeas
corpus] is a lapse in judicial propriety. [De Gracia v.
Warden of Makati, G.R. No. L-42032, January 9,
1976]

Rule 11.03 - A lawyer shall abstain from
scandalous, offensive or menacing language or
behavior before the Courts.

A lawyers language should be forceful but dignified,
emphatic but respectful as befitting an advocate and
in keeping with the dignity of the legal profession.
[Surigao Mineral Reservation Board v. Cloribel, 31
SCRA 1 (1970)]

Lawyers may use strong language to drive home a
point; they have a right to be in pursuing a clients
cause [The British Co. v De Los Angeles (1975)]

BUT: The use of abusive language by counsel against
the opposing counsel constitutes at the same time a
disrespect to the dignity of the court justice.
Moreover, the use of impassioned language in
pleadings, more often than not, creates more heat
than light. [Buenaseda v. Flavier, 226 SCRA 645
(1993)]

They cannot resort to scurrilous remarks that have
the tendency to degrade the courts and destroy the
public confidence in them. [In re Almacen, 31 SCRA
562]

The Court does not close itself to comments and
criticisms so long as they are fair and dignified.
Going beyond the limits of fair comments by using
insulting, disparaging and, intemperate language
necessitates and warrants a rebuke from the Court.
While it is expected of lawyers to advocate their
clients cause, they are not at liberty to resort to
arrogance, intimidation and innuendo. [Sangalang v.
IAC, 177 SCRA 87]

Rule 11.04 - A lawyer shall not attribute to a
Judge motives not supported by the record or
have no materiality to the case.

The rule allows such criticism so long as it is
supported by the record or it is material to the case.
A lawyers right to criticize the acts of courts and
judges in a proper and respectful way and through
legitimate channels is well recognized. The cardinal
condition of all such criticism is that it shall be bona
fide, and shall not spill over the wall of decency and
propriety. (Agpalo)

Any serious accusation against a judicial officer that
is utterly baseless, unsubstantiated and unjustified
shall not be countenanced. [Go v. Abrogar, 485 SCRA
457]

Rule 11.05 - A lawyer shall submit grievances
against a Judge to the proper authorities only.

1987 Constitution, Art. VIII, Sec. 6. The
Supreme Court shall have administrative
supervision over all courts and the personnel
thereof.

The duty to respect does not preclude a lawyer from
filing administrative complaints against erring
judges, or from acting as counsel for clients who
have legitimate grievances against them.

The lawyer shall not file an administrative case until
he has exhausted judicial remedies which result in a
finding that the judge has gravely erred. (Agpalo)

Where a criminal complaint against a judge or other
court employees arises from their administrative
duties, the Ombudsman must defer action on said
complaint and refer the same to the SC for
determination whether said judges or court
employees acted within the scope of their
administrative duties. Otherwise, in the absence of
any administrative action, the investigation being
conducted by the Ombudsman encroaches into the
Courts power of administrative supervision over all
courts and its personnel, in violation of the doctrine
of separation of powers. [Maceda v. Vasquez, 221
SCRA 464 (1993)]

3. Assistance in the Speedy and
Efficient Administration of
Justice

Statutory Basis
CANON 12: Exert every effort. Duty to assist in
the Speedy and Efficient Administration of
Justice.

Related Statutory Bases
1987 Constitution, Art. III, Sec 6. All persons
shall have the right to a speedy disposition of
their cases before all judicial, quasi-judicial, or
administrative bodies.

Rule 138, Sec 20(g). Duties of attorneys. It is
the duty of an attorney
g) not to encourage either the commencement or
the continuance of an action or proceeding, or
delay any mans cause, from any corrupt motive
or interest.

Rule 12.01 - A lawyer shall not appear for trial

32
unless he has adequately prepared himself on the
law and the facts of his case, the evidence he
will adduce and the order of its profference. He
should also be ready with the original documents
for comparison with the copies.

Without adequate preparation, the lawyer may not
be able to effectively assist the court in the efficient
administration of justice. Non-observance of this
rule might result in:
The postponement of the pre-trial or hearing,
which would thus entail delay in the early
disposition of the case
The judge may consider the client non-suited or
in default
The judge may consider the case deemed
submitted for decision without clients
evidence, to his prejudice. (Agpalo)

Half of the work of the lawyer is done in the office.
It is spent in the study and research. Inadequate
preparation obstructs the administration of justice.
(Martins Legal Ethics, p. 47, 1988 ed.)

A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint
himself with all the antecedent processes and
proceedings that have transpired in the record prior
to his takeover. [Villasis v. Court of Appeals, 60
SCRA 120]

Rule 12.02 - A lawyer shall not file multiple
actions arising from the same cause.

Rationale
There is an affirmative duty of a lawyer to check
against useless litigations. His signature in every
pleading constitutes a certificate by him that to the
best of his knowledge there is a good ground to
support it and that it is not to interpose for delay.
The willful violation of this rule may subject him to
(1) appropriate disciplinary action or (2) render him
liable for the costs of litigation. (Agpalo)

Excessive delay causes:
(1) hardships
(2) may force parties into unfair settlement
(3) nurture a sense of injustice and breed
cynicism about the administration of justice

Forum Shopping
(1) Going from one court to another in the hope
of securing a favorable relief in one court,
which another court has denied
(2) Filing repetitious suits or proceeding in
different courts concerning the same subject
matter after one court has decided the suit
with finality.
(3) Filing a similar case in a judicial court after
receiving an unfavorable judgment from an
administrative tribunal.

There is forum shopping where there are identity of
parties or interests represented, rights asserted and
relief sought in different tribunals. [Agpalo]

Forum shopping exists where the elements of litis
pendentia are present or where a final judgment in
one case will amount to res judicata in the other.
Res judicata requires that there be a decision on the
merits; by a court of competent jurisdiction; the
decision is final; and the two actions involved
identical parties, subject matter and causes of
action. If one of these elements is absent, there is
no forum shopping. [Alejandrino v CA, 295 SCRA 536
(1998)]

Forum shopping is prohibited by Supreme Court
Circular No. 28-91, which is now integrated in the
Rules of Civil Procedure.

Rules of Court, Rule 7, Sec. 5:
The plaintiff or principal party shall certify under
oath in the complaining or other initiatory
pleading asserting a claim for relief, or in a sworn
certification annexed thereto and simultaneously
filed therewith that:
1. he has not theretofore commenced any
action or filed any claim involving the
same issues in any court, tribunal or quasi-
judicial agency and, to the best of his
knowledge, no such other action or claim
is pending therein; if there is such other
pending action or claim, a complete
statement of the present status thereof;
and
2. if he should thereafter learn that the same
or similar action or claim has been filed or
is pending, he shall report that fact within
five (5) days there from to the court
wherein his aforesaid complaint or
initiatory pleading has been filed.

Failure to comply with the foregoing
requirements shall not be curable by mere
amendment of the complaint or other initiatory
pleading but shall cause for the dismissal of the
case without prejudice, unless otherwise
provided, upon motion after hearing.

The submission of a false certification or non-
compliance with any of the undertakings in a
certification of no forum shopping
(1) shall constitute indirect contempt of court
(2) without prejudice to the corresponding
administrative and criminal actions

If the acts of the party or his counsel clearly
constitute willful and deliberate forum shopping, the
same shall be:
(1) ground for summary dismissal with prejudice;
(2) and shall constitute direct contempt;
(3) cause for administrative sanctions

The rule against forum shopping and the
requirement that a certification to that effect be
complied with in the filing of complaints, petitions
or other initiatory pleadings in all courts and
agencies applies to quasi-judicial bodies such as the
NLRC or Labor Arbiter. [Agpalo]

Rule 12.03 - A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda

REVIEWER
33
or briefs, let the period lapse without submitting
the same or offering an explanation for his
failure to do so.

The court censures the practice of counsels who
secures repeated extensions of time to file their
pleadings and thereafter simply let the period lapse
without submitting the pleading on even an
explanation or manifestation of their failure to do
so. There exists a breach of duty not only to the
court but also to the client. [Achacoso v. Court of
Appeals, 51 SCRA 424, 1973]

An attorney is bound to protect his client's interest
to the best of his ability and with utmost diligence.
A failure to file brief for his client certainly
constitutes inexcusable negligence on his part.
[Ford v. Daitol, 250 SCRA 7 (1995)]

Rule 12.04 - A lawyer shall not unduly delay a
case, impede the execution of a judgment or
misuse Court processes.

It is one thing to exert to the utmost ones ability to
protect the interest of ones client. It is quite
another thing to delay if not defeat the recovery of
what is justly due and demandable due to the
misleading acts of a lawyer. [Manila Pest Control v.
WCC, 25 SCRA 700 (1968)]

The law makes it the lawyers duty to delay no man
for money or malice. [Lawyers Oath; Artiaga vs.
Villanueva, (1989)]

Proper Behavior (Rule 12.05-12.07)

Rule 12.05 - A lawyer shall refrain from talking
to his witness during a break or recess in the
trial, while the witness is still under
examination.

Rationale
The purpose is to prevent the suspicion that he is
coaching the witness what to say during the
resumption of the examination; to uphold and
maintain fair play with the other party and to
prevent the examining lawyer from being tempted to
coach his own witness to suit his purpose. (Callanta)

Rule 12.06 - A lawyer shall not knowingly assist
a witness to misrepresent himself or to
impersonate another.

Criminal Liability
Art. 184, Revised Penal Code
The lawyer who presented a witness knowing him
to be a false witness is criminally liable for
Offering False Testimony In Evidence. The
lawyer is both criminally and administratively
liable.

Subornation of perjury
Subornation of perjury is committed by a person who
knowingly and willfully procures another to swear
falsely and the witness subornated does testify
under circumstances rendering him guilty of perjury.
[US v. Ballena, 18 Phil. 382]

Rule 12.07 - A lawyer shall not abuse, browbeat
or harass a witness nor needlessly inconvenience
him.

Rule 132, Sec. 3. Rights and obligations of a
witness. A witness must answer questions,
although his answer may tend to establish a
claim against him. However, it is the right of a
witness:
To be protected from irrelevant, improper,
or insulting questions, and from harsh or
insulting demeanor;
Not to be detained longer than the interests
of justice require;
Not to be examined except only as to
matters pertinent to the issue;
Not to give an answer which will tend to
subject him to a penalty for an offense
unless otherwise provided by law; or
Not to give an answer which will tend to
degrade his reputation, unless it be to the
very fact at issue or to a fact from which
the fact in issue would be presumed. But a
witness must answer to the fact of his
previous conviction for an offense.

PD1829-Penalizing Obstruction of Justice
(h) threatening directly or indirectly
another with the infliction of any wrong
upon his person, honor or property or that
of any immediate member or members of
his family in order to prevent such person
from appearing in the investigation of, or
official proceedings in, criminal cases, or
imposing a condition, whether lawful or
unlawful, in order to prevent a person from
appearing in the investigation of or in
official proceedings in, criminal cases;
(i) giving of false or fabricated information
to mislead or prevent the law enforcement
agencies from apprehending the offender or
from protecting the life or property of the
victim; or fabricating information from the
data gathered in confidence by investigating
authorities for purposes of background
information and not for publication and
publishing or disseminating the same to
mislead the investigator or to the court.

Rule 12.08 - A lawyer shall avoid testifying in
behalf of his client, except:
(a) on formal matters, such as the mailing,
authentication or custody of an
instrument, and the like; or
(b) on substantial matters, in cases where
his testimony is essential to the ends of
justice, in which event he must, during
his testimony, entrust the trial of the
case to another counsel.

Rationale
The underlying reason for the impropriety of a
lawyer acting in such dual capacity lies in the

34
difference between the function of a witness and
that of an advocate.
function of a witness - to tell the facts as he
recalls then in answer to questions
function of an advocate - is that of a partisan

It is difficult to distinguish between the zeal of an
advocate and the fairness and impartiality of a
disinterested witness. The lawyer will find it hard to
disassociate his relation to his client as an attorney
and his relation to the party as a witness. (Agpalo)

When a lawyer is a witness for his client, except as
to merely formal matters, such as the attestation or
custody of an instrument and the like, he should
leave the trial of the case to other counsel. Except
when essential to the ends of justice, a lawyer
should avoid testifying in court in behalf of his
client. [PNB v. Uy Teng Piao, 57 Phil 337 (1932)]

4. Reliance on Merits of His
Cause, Not From Improper
Influence Upon the Courts

Statutory Basis
CANON 13: Rely upon the merits of his cause and
refrain from any impropriety which tends to
influence, or gives the appearance of influencing
the court.

Rule 13.01 - A lawyer shall not extend
extraordinary attention or hospitality to, nor
seek opportunity for cultivating familiarity with
Judges.

Code of Professional Ethics, Canon 3. A lawyer
should avoid marked attention and unusual
hospitality to a judge, uncalled for by the
personal relations of the parties, because they
subject him and the judge to misconceptions of
motives.

In order not to subject both the judge and the
lawyer to suspicion, the common practice of some
lawyers of making judges and prosecutors godfathers
of their children to enhance their influence and their
law practice should be avoided by judges and
lawyers alike (Report of IBP Committee, p. 70.)

It is improper for a litigant or counsel to see a judge
in chambers and talk to him about a matter related
to the case pending in the court of said judge.
[Austria v. Masaquel, 20 SCRA 1247(1967)]

Sec. 5, Art. 8 of the 1987 Constitution confers power
to SC to supervise all activities of the IBP. The IBP
by-laws also recognize the full range of the power of
supervision of the SC over the IBP.

Rule 13.02 - A lawyer shall not make public
statements in the media regarding a pending
case tending to arouse public opinion for or
against a party.

Rationale
Newspaper publications regarding a pending or
anticipated litigation may interfere with a fair trial,
prejudice the administration of justice, or subject a
respondent or a accused to a trial by publicity and
create a public inference of guilt against him
(Agpalo)

It is bad enough to have such undue publicity when a
criminal case is being investigated by the
authorities, even when it is being tried in court; but
when said publicity is encouraged when the case is
on appeal and is pending consideration by this court,
the whole thing becomes inexcusable, even
abhorrent. [Cruz v. Salva, 105 Phil 1151 (1951)]

RE: Request Radio-TV Coverage
Trial should not to be televised. The right of
accused, who is in danger of losing his life and
liberty, to a fair trial, outweighs right of public to
information. Media exposure may unduly interfere
with the disposition of the trial.

Rule 13.03 - A lawyer shall not brook or invite
interference by another branch or agency of the
government in the normal course of judicial
proceedings.

Basis
The principle of separation of powers (Aguirre)

A lawyer should know that a "complaint" against the
justices of the Court's Second Division cannot be
filed with the Office of the President [Maglasang v.
People]

Related rule
Rule 11.05. A lawyer shall submit grievances
against a Judge to the proper authorities only.

D. The Clients

1. Availability of Service Without
Discrimination

a. Services Regardless of
Persons Status

Statutory Basis
CANON 14: Not Refuse Services to the Needy.

Rule 14.01 - A lawyer shall not decline to
represent a person solely on account of the
latters race, sex, creed or status of life, or
because of his own opinion regarding the guilt of
said person.

Related Rules
Rule 138, Sec. 20 (i), Duties of attorneys.
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.

REVIEWER
35
Rule 14.02 - A lawyer shall not decline, except
for serious and sufficient cause, an appointment
as counsel de oficio or as amici curiae, or a
request from the Integrated Bar of the
Philippines or any of its chapters for rendition of
free legal aid.

Canon 2, Rule 2.01. A lawyer shall not reject,
except for valid reasons, the cause of the
defenseless or the oppressed.

Rule 138, Sec. 20 (h). Duties of attorneys.
It is the duty of an attorneynever to reject, for
any consideration personal to himself, the cause
of the defenseless or oppressed;

Rule 138, Sec. 31. Attorneys for destitute
litigants. A court may assign an attorney to
render professional aid free of charge to any
party in a case, if upon investigation it appears
that the party is destitute and unable to employ
an attorney, and that the services of counsel are
necessary to secure the ends of justice and to
protect the rights of the party. It shall be the
duty of the attorney so assigned to render the
required service, unless he is excused therefrom
by the court for sufficient cause shown.

b. Services as Counsel de
Officio

It is clearly unworthy of membership in the Bar
which requires dedication and zeal in the defense of
his client's rights, a duty even more exacting when
one is counsel de oficio. On such an occasion, the
honor and respect to which the legal profession is
entitled demand the strictest accountability of one
called upon to defend an impoverished litigant. He
who falls in his obligation then has manifested a
diminished capacity to be enrolled in its ranks.
[People v. Ingco, 42 SCRA 170 (1971)]

Counsel de Officio
A counsel, appointed or assigned by the court, from
among such members of the bar in good standing
who by reason of their experience and ability, may
adequately defend the accused.

A counsel de oficio is expected to render effective
service and to exert his best efforts on behalf of an
indigent accused.

Who may be appointed
(1) a member of the bar in good standing
(2) in localities without lawyers, any person of
good repute for probity and ability

P.D. 543 (1974) authorized the designation of
municipal judges and lawyers in any branch of the
government service to act as counsel de oficio for
the accused who are indigent in places where there
are no available practicing lawyers.

Appointed by court depending on:
the gravity of the offense
the difficulty of the questions that may arise
the experience and ability of the appointee.

Amicus curiae
A friend of the court; a bystander usually a
counselor who interposes or volunteers information
upon some matter of law in regard to which the
judge is doubtful or mistaken. [Agpalo]

Experienced and impartial attorneys invited by the
Court to help in the disposition of issues submitted
to it.

In a criminal action, the court may appoint a
counsel de oficio in any of the following instances:
(1) Before arraignment, the court shall inform
the accused of his right to counsel and ask
him if he desires to have one. The court
must assign a counsel de oficio to defend
him, unless the accused is allowed to defend
himself in person, or has employed counsel of
his choice.
(2) It is the duty of the clerk of the trial court,
upon filing of a notice of appeal, to ascertain
from the appellant, if confined in prison,
whether he desires the RTC, CA or the SC to
appoint a counsel de oficio.
(3) If it appears from the record that: (a) the
accused is confined in prison, (b) is without
counsel de parte on appeal, or (c) has signed
the notice of appeal himself, the clerk of CA
shall designate a counsel de oficio. (Agpalo)

An appellant who is not confined in prison may, upon
request, be assigned a counsel de oficio within 10
days from receipt of the notice to file brief and he
establishes his right thereto. [Sec. 2, Rule 124,
Rules of Court]

Rule 14.03 - A lawyer may refuse to accept
representation of an indigent client if:
a) he is not in a position to carry out the
work effectively or competently
b) he labors under a conflict of interests
between him and the prospective client
or between a present client and the
prospective client.

Who is an indigent?
a person who has no visible means of income or
whose income is insufficient for the subsistence
of his family, to be determined by the fiscal or
judge, taking into account the members of his
family dependent upon him for subsistence. RA
6033
an "indigent or low income litigant" shall include
anyone who has no visible means of support or
whose income does not exceed P300 per month
or whose income even in excess of P300 per
month is insufficient for the subsistence of his
family RA 6035

RA 6033
All courts shall give preference to the hearing
and/or disposition of criminal cases where an
indigent is involved either as the offended party or
accused.

25

36
RA 6034
Any indigent litigant may, upon motion, ask the
Court for adequate travel allowance to enable him
and his indigent witnesses to attendant the hearing
of a criminal case commenced by his complaint or
filed against him. The allowance shall cover actual
transportation expenses by the cheapest means from
his place of residence to the court and back. When
the hearing of the case requires the presence of the
indigent litigant and/or his indigent witnesses in
court the whole day or for two or more consecutive
days, allowances may, in the discretion of the Court,
also cover reasonable expenses for meal and lodging.

RA 6035
A stenographer who has attended a hearing before
an investigating fiscal or trial judge or hearing
commissioner of any quasi-judicial body or
administrative tribunal and has officially taken notes
of the proceeding thereof shall, upon written
request of an indigent or low income litigant, his
counsel or duly authorized representative in the case
concerned, give within a reasonable period to be
determined by the fiscal, judge, commissioner or
tribunal hearing the case, a free certified transcript
of notes take by him on the case.

For he did betray by his moves his lack of enthusiasm
for the task entrusted to him, to put matters mildly.
He did point though to his responsibility as an
election registrar [but] there is not likely at
present, and in the immediate future, an exorbitant
demand on his time. It may likewise be assumed,
considering what has been set forth above, that
petitioner would exert himself sufficiently to
perform his task as defense counsel with
competence, if not with zeal, if only to erase doubts
as to his fitness to remain a member of the
profession in good standing. [Ledesma v. Climaco, 57
SCRA 473 (1974)]

c. Valid Grounds for Refusal

A lawyer shall not decline an appointment as counsel
de oficio or as amicus curiae, or a request from the
IBP or any of its chapters for rendition of free legal
aid except for serious and sufficient cause. The
reason is that one of the burdens of the privilege to
practice law which an attorney voluntarily assumed
when he took his oath as a lawyer is to render, when
so required by the court, free legal services to
indigent litigant.

Rule 14.04 - A lawyer who accepts the cause of a
person unable to pay his professional fees shall
observe the same standard of conduct governing
his relations with paying clients.

If a lawyer volunteers his services to a client, and
therefore not entitled to attorneys fees,
nevertheless, he is bound to attend to a clients case
with all due diligence and zeal. By volunteering his
services, he has established a client-lawyer
relationship. [Blanza v. Arcangel, 21 SCRA 1 (1967)]

If the counsel does refuse (see above justifications),
Rule 2.02 governs, which says:
Rule 2.02 - In such cases, even if the lawyer does
not accept a case, he shall not refuse to render
legal advice to the person concerned if only to
the extent necessary to safeguard the latter's
rights.

2. Candor, Fairness and Loyalty
to Clients

Statutory Basis
CANON 15: Observe Candor, Fairness and Loyalty
in all his Dealings and Transactions with his
Clients.

a. Confidentiality Rule
b. Privileged Communications

Rule 15.01 - 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 15.02 - A lawyer shall be bound by the rule
on privileged communication in respect of
matters disclosed to him by a prospective client.

RPC 209. Betrayal of trust by an attorney. or
solicitor. - Revelation of Secrets. In addition to
the proper administrative action x x x shall be
imposed upon an attorney-at-law or solicitor
(procurador judicial) who, by any malicious
breach of professional duty or of inexcusable
negligence or ignorance, shall prejudice his
client, or reveal any of the secrets of the latter
learned by him in his professional capacity.

Privilege Communication
An attorney cannot, without the consent of his
client, be examined as to any communication made
by the client to him or his advice given thereon in
the course of professional employment; nor can an
attorneys secretary, stenographer, or clerk be
examined, without the consent of the client and his
employer, concerning any fact the knowledge of
which has been acquired in such capacity.

Requisites of Privileged Communication
(Rule 130, Section 24 (b) of the RRC):
(1) There is an attorney-client relationship or a
kind of consultancy requirement with a
prospective client;
(2) The communication was made by the client
to the lawyer in the course of the lawyers
professional employment;
(3) The communication must be intended to be
confidential.

Exceptions to privilege (Aguirre):
(1) When a lawyer is accused by the client and
he needs to reveal information to defend
himself

REVIEWER
37
(2) When the client discloses the intention to
commit a crime or unlawful act. (Future
crime)

Doctrine of imputed knowledge is based on the
assumption that an attorney, who has notice of
matter affecting his client, has communicated the
same to his principal in the course of professional
dealings. The doctrine applies regardless of whether
or not the lawyer actually communicated to the
client what he learned in his professional capacity,
the attorney and his client being one judicial person.

For attorney-client privilege to apply, however, the
period to be considered is the date when the
privileged communication was made by the client to
the attorney in relation to either a crime committed
in the past or with respect to a crime intended to be
committed in the future (if past, privilege applies; if
future, does not apply). In order that a
communication between a lawyer and his client be
privileged, it must be for a lawful purpose or in the
furtherance of a lawful end. [People v.
Sandiganbayan, 275 SCRA 505 (1996)]

c. Conflict of Interest

Rule 15.03 - A lawyer shall not represent
conflicting interests except by written consent of
all concerned given after a full disclosure of the
facts.
There is conflict of interest when a lawyer
represents inconsistent interests of two or more
opposing parties. The test is "whether or not in
behalf of one client, it is the lawyers duty to fight
for an issue or claim, but it is his duty to oppose it
for the other client. In brief, if he argues for one
client, this argument will be opposed by him when
he argues for the other client." [Hornilla v. Salunat,
405 SCRA 220 (2003)]

GENERAL RULE 1: A lawyer may not represent two
opposing parties at any point in time.

A lawyer need not be the counsel-of-record of either
party. He does not have to publicly hold himself as
the counsel of the adverse party nor make efforts to
advance the adverse partys conflicting interests of
record. It is enough that the counsel had a hand in
the preparation of the pleading of one party.

EXCEPTION: When the parties agree, and for
amicable settlement [Agpalo]

Conflict of interest
There is duty to contend for that which duty to
another client requires him to oppose.

Tests to determine conflict of interest
(1) When there are conflicting duties
(2) When the acceptance of the new relations
invites or actually lead to unfaithfulness or
double-dealing to another client
(3) When the attorney will be called upon to use
against his first client any knowledge
acquired in the previous employment

NOTE: The test to determine whether there is a
conflict of interest in the representation is
probability, not certainty of conflict

Effects of representing adverse interests
(1) Disqualification as counsel on new case
(2) If prejudicial to interests of latter client, a
judgment against may be set aside
(3) Administrative and criminal (for betrayal of
trust) liability
(4) Fees may not be paid

GENERAL RULE 2: A lawyer must name the identity
of all his clients, when so demanded.
(1) The Court has a right to know that the client
whose privileged information is sought to be
protected is flesh and blood.
(2) The mantle of privileged communication
begins to exist only after the attorney-client
relationship has been established. The
privilege does not attach until there is a
client.
(3) The privilege pertains to the subject matter
of the relationship.
(4) Due process considerations require that the
opposing party should know his adversary.
(Metaphor: He cannot be obliged to grope in
the dark against unknown forces.)

EXCEPTION: He may refuse to divulge the name or
identity of his client
(1) Where a strong probability exists that
revealing the clients name would implicate
the client in the very activity for which he
sought the lawyers advice.
(2) Where disclosure would open the client to
civil liability.
(3) Where the governments lawyers have no
case against an attorneys client unless by
revealing the clients name, i.e., the said
name would furnish the only link that would
form the chain of testimony necessary to
convict an individual of a crime.

Information relating to the identity of the client may
fall within the ambit of the privilege when the
clients name itself has an independent significance,
such that disclosure would then reveal client
confidences. [Regala v. Sandiganbayan, 262 SCRA
122 (1996)]

Rule 15.04 - A lawyer may, with the written
consent of all concerned, act as mediator,
conciliator or arbitrator in settling disputes.

An attorneys knowledge of the law and his
reputation for fidelity may make it easy for the
disputants to settle their differences amicably.
However, he shall not act as counsel for any of
them. (Agpalo)

Generally an attorney is prohibited from
representing parties with contending positions.

However at a certain stage of the controversy,
before it reaches the court, a lawyer may represent

38
conflicting interests with the consent of the parties.
[Dee v. CA 176 SCRA 651(1989)]

d. Candid and Honest Advice
to Clients

Rule 15.05 - A lawyer, when advising his client
shall give a candid and honest opinion on the
merits and probable results of the clients case,
neither overstating nor understanding the
prospects of the case.

Code of Professional Ethics, Canon 8. Before
answering his clients question, a lawyer should
endeavor to obtain full knowledge of his clients
cause. It is only after he shall have studied the
case that he should advise his client on the
matter.

A lawyer is bound to give candid and honest opinion
on the merit or lack of merit of clients case, neither
overstating nor understating the prospect of the
case. He should also give an honest opinion as to the
probable results of the case, with the end in view of
promoting respect for the law and the legal
processes. (Agpalo)

Rule 15.06 - A lawyer shall not state or imply
that he is able to influence any public official,
tribunal or legislative body.

This rule protects against influence peddling. Some
prospective clients secure the services of a
particular lawyer or law firm precisely because he
can exert a lot of influence on a judge and some
lawyers exact big fees for such influence (Agpalo)

e. Compliance with Laws

Rule 15.07 - A lawyer shall impress upon his
client compliance with the laws and the
principles of fairness.

Civil Code, Art. 19. Every person must, in the
exercise of his rights and in the performance of
his duties, act with justice, give everyone his due
and observe honesty and good faith.

f. Concurrent Practice of
Another Profession

Rule 15.08 - A lawyer who is engaged in another
profession or occupation concurrently with the
practice of law shall make clear to his client
whether he is acting as a lawyer or in another
capacity.

GENERAL RULE
Exercise of dual profession is not prohibited but a
lawyer must make it clear when he is acting as a
lawyer and when he is otherwise, especially in
occupations related to the practice of law. Reason:
certain ethical considerations may be operative in
one profession and not in the other. [Agpalo]

A lawyer is not barred from dealing with his client
but the business transaction must be characterized
with utmost honesty and good faith. Business
transactions between an attorney and his client are
disfavored and discouraged by policy of law because
by virtue of a lawyers office, he is an easy position
to take advantage of the credulity and ignorance of
his client. Thus, there is no presumption of
innocence or improbability of wrongdoing in favor of
lawyers. [Nakpil v. Valdez, 286 SCRA 758 (1998)]

3. Clients Money and Properties

CANON 16: Hold in trust all moneys and
properties of his client that may come into his
possession.

Civil Code, Art. 1491. The following persons
cannot acquire or purchase, even at public or
judicial auction, either in person or through the
mediation of another:
(5) lawyers, with respect to the property and
rights which may be the object of any litigation
in which they take part by virtue of their
profession.

Attorney-client relationship
Property or interest is in litigation
Attorney takes part as counsel in the case
Purchase, acquisition by attorney, by himself or
through another, during pendency of litigation

prohibition Includes mortgage of property in
litigation to the lawyer. In this case, acquisition is
merely postponed until foreclosure but effect is the
same. It also includes assignment of property
[Ordonio v. Eduarte, 207 SCRA 229 (1992)]

The purchase by a lawyer of the property in
litigation from his client is categorically prohibited
by Article 1491, paragraph (5) of the Philippine Civil
Code, and that consequently, plaintiff's purchase of
the property in litigation from his client (assuming
that his client could sell the same since as already
shown above, his client's claim to the property was
defeated and rejected) was void and could produce
no legal effect, by virtue of Article 1409, paragraph
(7) of our Civil Code which provides that contracts
expressly prohibited or declared void by law' are
"inexistent and that These contracts cannot be
ratified. Neither can the right to set up the defense
of illegality be waived. x x x Article 1491 of our
Civil Code (like Article 1459 of the Spanish Civil
Code) prohibits in its six paragraphs certain persons,
by reason of the relation of trust or their peculiar
control over the property [Rubias v. Batiller, G.R.
No. L-35702 (May 29, 1973)]

Art.1491 is not applicable:
a) When attorney is not counsel in case
involving the same property at the time of
acquisition.

REVIEWER
39
b) When purchaser is a corporation, even if
the attorney was an officer [Tuazon v.
Tuazon, 88 Phil. 42]
c) When sale took place after termination of
litigation, except if there was fraud or
abuse of confidential information or where
lawyer exercised undue influence.
d) Where property in question is stipulated as
part of attorneys fees, provided that, the
same is contingent upon the favorable
outcome of litigation and, provided further,
that the fee must be reasonable.

a. Fiduciary Relationship

Rule 16.01 - A lawyer shall account for all
money or property collected or received for or
from the client.

A lawyer, under his oath, pledges himself not to
delay any man for money or malice and is bound to
conduct himself with all good fidelity to his clients.
He is obligated to report promptly the money of his
clients that has come into his possession (otherwise
a violation of Sec. 25, Rule 138 of ROC). He should
not commingle it without his clients consent. He
should maintain a reputation for honesty and fidelity
to private trust. The fact that a lawyer has a lien
for fees on money in his hands would not relieve him
from the duty of promptly accounting for the funds
received. [Daroy v. Legaspi (1975)]

Money collected by a lawyer in pursuance of a
judgment in favor of his clients is held in trust and
must be immediately turned over to them. [Busios
v. Ricafort, 283 SCRA 407 (1997)]

b. Co-Mingling of Funds

Rule 16.02 - A lawyer shall keep the funds of
each client separate and apart from his own and
those of others kept by him.

c. Delivery of Funds

Rule 16.03 - A lawyer shall deliver the funds and
property to 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 in
the Rules of Court.

Rule 138, Sec. 37. Attorneys liens. An attorney
shall have a lien upon the funds, documents and
papers of his client which have lawfully come
into his possession and may retain the same until
his lawful fees and disbursements have been
paid, and may apply such funds to the
satisfaction thereof.

Money collected by a lawyer in pursuance of a
judgment in favor of his clients is held in trust and
must be immediately turned over to them. [Businos
v. Ricafort, 283 SCRA 40 (1997)]

The failure of an attorney to return the clients
money upon demand gives rise to the presumption
that he has misappropriated it for his own use to the
prejudice of and in violation of the trust reposed in
him by the client.

RETAINING LIEN
A right merely to retain the funds, documents and
papers of his client which have lawfully come into
his possession and may retain the same until his
lawful fees and disbursements have been paid.

Requisites for validity
(1) attorney-client relationship
(2) lawful possession by lawyer of the clients
funds, documents and papers in his
professional capacity
(3) unsatisfied claim for attorneys fees or
disbursements

CHARGING LIEN
An equitable right to have the fees and lawful
disbursements due a lawyer for his services, secured
to him out of a money judgment.

Requisites for validity
(1) attorney-client relationship
(2) attorney has rendered services
(3) money judgment favorable to the client has
been secured in the action
(4) attorney has a claim for attorneys fees or
advances
(5) statement of his claim has been duly
recorded in the case with notice thereof
served upon the client and adverse party

Every lawyer has the responsibility to protect and
advance the interests of his client such that he must
promptly account for whatever money or property
his client may have entrusted to him. As a mere
trustee of said money or property, he must hold
them separate from that of his own and make sure
that they are used for their intended purpose. If not
used, he must return the money or property
immediately to his client upon demand, otherwise
the lawyer shall be presumed to have
misappropriated the same in violation of the trust
reposed on him. A lawyers conversion of funds
entrusted to him is a gross violation of professional
ethics. [Arellano University, Inc. v. Mijares III, 605
SCRA 93 (2009)]

d. Borrowing or Lending

Rule 16.04 - A lawyer shall not borrow money
from his client unless the clients interests are
fully protected by the nature of the case or by
independent advice. Neither shall a lawyer lend
money to a client except when, in the interest of
justice, he has to advance necessary expenses in
a legal matter he is handling for the client.

40

The relation of attorney and client is highly fiduciary
in nature and is of a very delicate, exacting and
confidential character. A lawyer is duty-bound to
observe candor, fairness and loyalty in all his
dealings and transactions with his clients. The
profession, therefore, demands of an attorney an
absolute abdication of every personal advantage
conflicting in any way, directly or indirectly, with
the interest of his client. [Barnachea v. Quicho, 399
SCRA 1 (2003)]

4. Fidelity to Clients Cause

Statutory Basis
CANON 17: Fidelity to the cause of his client. Be
mindful of the trust and confidence reposed in
him.

When a lawyer takes a clients cause, he thereby
covenants that he will exert all effort for its
protection until its final conclusion. The failure to
exercise due diligence and the abandonment of a
clients cause make such a lawyer unworthy of the
trust which the client has reposed on him.
[Cantilller v. Potenciano, 180 SCRA 246 (1989)]

No lawyer is obliged to act either as adviser or
advocate for every person who may wish to become
his client. He has the right to decline employment,
except as prescribed in Canon 14 of the Code of
Professional Responsibility. But once he agrees to
take up the cause of the clientNo fear or judicial
disfavor or public unpopularity should restrain him
from the full discharge of his duty. [Santiago v.
Fojas, 248 SCRA 68 (1995)]

5. Competence and Diligence

Statutory Basis
CANON 18: Serve client with competence and
diligence.

a. Adequate Protection

Rule 18.02 A lawyer shall not handle any legal
matter without adequate preparation.

Lawyer should safeguard his clients rights and
interests by thorough study and preparation;
mastering applicable law and facts involved in a
case, regardless of the nature of the assignment;
and keeping constantly abreast of the latest
jurisprudence and developments in all branches of
the law. [Agpalo]

A lawyer should give adequate attention, care and
time to his cases. This is the reason why a practicing
lawyer should accept only so many cases he can
handle. Once he agrees to handle a case, he should
undertake the task with dedication and care. If he
should do any less then he is not true to his oath as a
lawyer. [Legarda v. CA, G. R. No. 94457, (March 18,
1991)]

b. Negligence

Rule 18.03 - A lawyer shall not neglect a legal
matter entrusted to him, and his negligence in
connection therewith shall render him liable.

If by reason of the lawyers negligence, actual loss
has been caused to his client, the latter has a cause
of action against him for damages. However, for the
lawyer to be held liable, his failure to exercise
reasonable care, skill and diligence must be
proximate cause of the loss. [Callanta]

Every case a lawyer accepts deserves his full
attention, diligence, skill and competence,
regardless of its importance or whether he accepts
for a fee or free. By agreeing to be someones
counsel, he represents that he will exercise ordinary
diligence or that reasonable degree of care and skill
demanded of the business he undertakes to do, to
protect the clients interests and take all steps or do
all acts necessary thereof [Uy v Tansinin [AC No.
8252 (July 21, 2009)].

A client is entitled to the benefit of any and every
remedy and defense authorized by law, and is
expected to rely on the lawyer to assert every such
remedy or defense [Garcia V. Bala [A.C. No.
5039(2005)].

Lawyers Negligence

GENERAL RULE: Client is bound by attorneys
conduct, negligence and mistake in handling case or
in management of litigation and in procedural
technique, and he cannot be heard to complain that
result might have been different had his lawyer
proceeded differently.

EXCEPTIONS:
(1) Where it results in outright deprivation of
clients liberty or property or where interest
of justice so requires
(2) Where error by counsel is purely technical
which does not affect substantially clients
cause
(3) Ignorance, incompetence or inexperience of
lawyer is so great and error so serious that
client, who has good cause is prejudiced and
denied a day in court
(4) Gross negligence of lawyer
(5) Lack of acquaintance with technical part of
procedure.

Examples of negligence of attorneys
Failure of counsel to ask for additional time to
answer a complaint resulting in a default
judgment against his client [Mapua v. Mendoza,
45 Phil. 424(1993)].
Failure to bring suit immediately. When the
belated suit was filed, the defendant had
already become insolvent and recovery could no
longer be had. The lawyer was declared liable
to the client [Filinvest Land v. CA, 182 SCRA
664(1990)]
Failure to ascertain date of receipt from post
office of notice of decision resulting in the non-
29

REVIEWER
41
perfection of the appellants appeal [Joven-De
Jesus v. PNB, 12 SCRA 447].
Failure to file briefs within the reglementary
period [People v. Cawili, 34 SCRA 728(1970)].
Failure to attend to trial without filing a motion
for postponement or without requesting either
of his two partners in the law office to take his
place and appear for the defendants [Gaerlan v.
Bernal, G.R. No. L-4049, (Jan. 28, 1952]).
Failure to appear at pre-trial [Agravante v.
Patriarca, 183 SCRA 113(1990)].
Failure of counsel to notify clients of the
scheduled trial which prevented the latter to
look to another lawyer to represent them while
counsel was in the hospital ([entura v. Santos,
59 Phil. 123(1993)].
Failure to appear simply because the client did
not go to counsels office on the date of the
trial as was agreed upon [Alcoriza v. Lumakang,
Adm. Case No. 249, (November 21, 1978)].
Failure to pay the appellate docket fee after
receiving the amount for the purpose [Capulong
v. Alino, 22 SCRA 491(1968)].

Instances where the client is not bound by
counsels negligence
In the case of an irresponsible lawyer who
totally forgot about the case and failed to
inform his client of the decision, the Supreme
Court held that the client should not be bound
by the negligence of the counsel. [Republic v.
Arro, 150 SCRA 630(1987)]
A party is not bound by the actions of his
counsel in case the gross negligence of the
counsel resulted in the clients deprivation of
his property without due process [Legarda v.
Court of Appeals, 195 SCRA 418(1991)].
Where there is something fishy and suspicious
about the actuations of the former counsel of
petitioners in the case at bar, in the case he did
not give any significance at all to the processes
of the court, which has proven prejudicial to the
rights of said clients, under a lame and flimsy
explanation that the courts processes just
escaped his attention, it is held that the said
lawyer deprived his clients of their day in court
[PHHC v. Tiongco, 12 SCRA 471(1964)].
Application of the rule, results in the outright
deprivation of ones property through a
technicality. [Escudero v. Dulay, 158 SCRA 69,
78(1988)]
In the case of an irresponsible lawyer who
totally forgot about the case and failed to
inform his client of the decision, the Supreme
Court held that the client should not be bound
by the negligence of the counsel. [Republic vs.
Arro, et al., 150 SCRA 630 (1987)]

c. Collaborating Counsel

Rule 18.01 - 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.

When a lawyer accepts a case, whether for a fee or
not, his acceptance is an implied representation:
(1) that he possess the requisite degree of
academic learning, skill and ability in the
practice of his profession;
(2) that he will exert his best judgment in the
prosecution or defense of the litigation
entrusted to him;
(3) that he will exercise reasonable and ordinary
care and diligence in the pursuit or defense
of the case; and
(4) that he will take steps as will adequately
safeguard his clients interests. [Islas v.
Platon, 47 Phil. 162]

However, whatever good intentions he may have, a
lawyer cannot ask another lawyer to collaborate
with him in a particular case without the consent of
the client. The fiduciary nature of attorney-client
relationship prohibits this. (Aguirre)

Some cases involve specialized fields of law and
require special training. A lawyer should not accept
an undertaking in specific area of law which he
knows or should know he is not qualified to enter.
(Agpalo)

d. Duty to Apprise Client

Rule 18.04 - A lawyer shall keep the client
informed of the status of his case and shall
respond within a reasonable period of time to
the clients request for information.

It was unnecessary to have complainants wait, and
hope, for six long years on their pension claims.
Upon their refusal to co-operate, respondent should
have forthwith terminated their professional
relationship instead of keeping them hanging
indefinitely. [Blanza v. Arcangel, supra]

6. Representation with Zeal
Within Legal Bounds

Statutory Basis
CANON 19: Represent client with zeal within the
bounds of law.

a. Use of Fair and Honest
Means

Rule 19.01 - A lawyer shall employ only fair and
honest means to attain the lawful objectives of
his client and shall not present, participate in
presenting or threaten to present unfounded
criminal charges to obtain an improper
advantage

Rule 138, Sec. 20(d). Duties of attorneys. It is
the duty of an attorney: 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

42
false statement of fact or law.

b. Clients Fraud

Rule 19.02 - A lawyer who has received
information that his client has, in the course of
the representation, perpetuated a fraud upon a
person or tribunal, shall promptly call upon the
client to rectify the same, and failing which he
shall terminate the relationship with such client
in accordance with the Rules of Court.

Related Rule
Canon 21. A lawyer should not allow his client to
perpetuate fraud. However, the lawyer shall not
volunteer the information about the clients
commission of the fraud to anyone for that will
run counter to his duty to maintain at all times
the clients confidences and secrets.

This rule merely requires the lawyer to terminate his
relationship with the client in the event the latter
fails or refuses to rectify the fraud. (Agpalo)

c. Procedure in Handling the
Case

Rule 19.03 - A lawyer shall not allow his client
to dictate the procedure in handling the case.

Rule 138, Sec. 23. Authority of attorneys to bind
clients. Attorneys have authority to bind their
clients in any case by any agreement in relation
thereto made in writing, and in taking appeals,
and in all matters of ordinary judicial procedure.
But they cannot, without special authority,
compromise their client's litigation, or receive
anything in discharge of a client's claim but the
full amount in cash.

As to substantial matter
Employment itself confers upon the attorney no
implied or apparent authority to bind the client on
substantial matters which the attorney may not
impair, novate, compromise, settle, surrender or
destroy without the clients consent or authority:
(1) cause of action,
(2) claim or demand sued upon
(3) subject matter of the litigation

As to matters of law
In matters of law, the client should yield to the
lawyer (not the lawyer to the client) for the lawyer
is better trained and skilled in law. Also,
proceedings to enforce remedies are within the
exclusive control of the attorney.

A lawyer should seek instruction from his client on
any substantial matter concerning the litigation
which requires decision on the part of the client (i.e.
whether to compromise the case or to appeal an
unfavorable judgment). In procedural matters, the
client must yield to the lawyer. [Agpalo]

7. Attorneys Fees

a. Acceptance Fees

Statutory Basis
CANON 20: Charge only fair and reasonable fees.

Rule 138, Sec. 24. Compensation of attorneys.
An attorney shall be entitled to have and recover
from his client no more than a reasonable
compensation for his services, with a view to the
importance of the subject matter of the
controversy, the extent of the services rendered,
and the professional standing of the attorney. No
court shall be bound by the opinion of attorneys
as expert witnesses as to the proper
compensation, but may disregard such testimony
and base its conclusion on its own professional
knowledge. A written contract for services shall
control the amount to be paid therefore unless
found by the court to be unconscionable or
unreasonable.

Right to compensation
In the absence of an express contract [for attorneys
fee], payment of attorneys fees may be justified by
virtue of the innominate contract of facio ut des (I
do and you give) which is based on the principle that
no one shall enrich himself at the expense of
another [Corpuz v. CA, G.R. No. L-40424, (June 30,
1980)]

The Counsel if worthy of his hire, is entitled to be
fully recompensed for his services. With his capital
consisting solely of his brains and his skill, acquired
at tremendous cost not only in money but in the
expenditure of time and energy, he is entitled to the
protection of any judicial tribunal against any
attempt on the part of a client to escape payment of
his fees. [Albano v. Coloma, 21 SCRA 411 (1967)]

Rule 20.01 - A lawyer shall be guided by the
following factors in determining his fees:
1) Time spent and the extent of the
services rendered or required
2) Importance of the subject matter
3) Novelty and difficulty of the questions
involved;
4) Skill demanded;
5) Probability of losing other employment
as a result of acceptance of the
professed case;
6) professional standing of the lawyer;
7) Amount involved in the controversy and
the benefits resulting to the client from
the service
8) Customary charges for similar services
and the schedule of fees of the IBP
Charter to which he belongs; and
9) Contingency or certainty of
compensation;
10) Character of the employment, whether
occasional or established.
11) Capacity of the client to pay.

REVIEWER
43
b. Contingency Fee
Arrangements

QUANTUM MERUIT
Means as much as a lawyer deserves. Its essential
requisite is acceptance of the benefits by one sought
to be charged for services rendered under
circumstances as reasonably to notify him that
lawyer expects compensation.

Authorized when:
there is no express contract for attorneys fees
agreed upon between the lawyer and the client;
when although there is a formal contract of
attorneys fees, the stipulated fees are found
unconscionable or unreasonable by the court;
when the contract for attorneys fees is void
due to purely formal matters or defects of
execution;
when the counsel, for justifiable cause, was not
able to finish the case to its conclusion;
when lawyer and client disregard the contract
of attorneys fees
when there is a contract but no stipulation as to
attorneys fees

Guides in Determining Attorneys Fees in Quantum
Meruit Basis
(1) Time spent and Extent of the Services
Rendered A lawyer is justified in fixing
higher fees when the case is so complicated
and requires more time and efforts to finish
it.
(2) Importance of Subject Matter The more
important the subject matter or the bigger
value of the interest or property in
litigation, the higher is the attorneys fee.
(3) Novelty and Difficulty of Questions
Involved When the questions in a case are
novel and difficult, greater efforts, deeper
study and research, are bound to burn the
lawyers time and stamina considering that
there are no local precedents to rely upon.
(4) Skill demanded of the Lawyer The
totality of the lawyers experience provides
him the skill and competence admired in
lawyers.

CHAMPERTOUS CONTRACT
One where the lawyer stipulates with his client the
prosecution of the case that he will bear all the
expenses for the recovery of things or property being
claimed, and the latter pays only upon successful
litigation. Void for being against public policy.

CONTINGENT CONTRACT
It is an agreement in which the lawyers fee, usually
a fixed percentage of what may be recovered in the
action, is made to depend upon the success in the
effort to enforce or defend the clients right. It is a
valid agreement. It is different from a champertous
contract in that the lawyer does not undertake to
shoulder the expenses of the litigation.

Contingent Champertous
Contingent fee is
payable in cash
Payable in kind only
Lawyers do not
undertake to pay all
expenses of litigation
Lawyers undertake to
pay all expenses of
litigation
Not prohibited Void

c. Attorneys Liens

Rule 20.02 - A lawyer shall, in case of referral,
with the consent of the client, be entitled to a
division of fees in proportion to the work
performed and responsibility assumed.
Note: This is not in the nature of a brokers
commission

Retaining Charging
Nature
Passive lien. It
cannot be
actively
enforced. It is a
general lien.
Active lien. It
can be
enforced by
execution. It is
a special lien.
Basis
Lawful possession
of funds, papers,
documents,
property
belonging to
client
Securing of a
favorable
money
judgment for
client
Coverage
Covers only
funds, papers,
documents, and
property in the
lawful possession
of the attorney
by reason of his
professional
employment
Covers all
judgments for
the payment of
money and
executions
issued in
pursuance of
such judgment
Effectivity
As soon as the
lawyer gets
possession of the
funds, papers,
documents,
property
As soon as the
claim for
attorneys fees
had been
entered into
the records of
the case
Notice
Client need not
be notified to
make it effective
Client and
adverse party
need to
notified to
make it
effective
Applicability
May be exercised
before judgment
or execution, or
regardless
thereof
Generally, it is
exercisable
only when the
attorney had
already
secured a
favorable
judgment for
his client

d. Fees and Controversies
with Clients

Rule 20.03 - A lawyer shall not, without the full

44
knowledge and consent of the client, accept any
fee, reward, costs, commission, interest, rebate
or forwarding allowances or other compensation
whatsoever related to his professional
employment from any one other than the client.

Rule 138, Sec. 20(e). Duties of attorneys. It is the
duty of an attorney to accept no compensation
in connection with his client's business except
from him or with his knowledge and approval.

Rationale
This ensures protection of lawyers in collection of
fees. It is also designed to secure the lawyers
wholehearted fidelity to the clients cause and to
prevent that situation in which the receipt by him of
a rebate or commission from another in connection
with the clients cause may interfere with the full
discharge of his duty to the client. The amount
received by lawyer from opposite party or third
persons in the service of his client belongs to the
client except when the latter has full knowledge and
approval of lawyers taking (Agpalo)

Rule 20.04 - A lawyer shall avoid controversies
with clients concerning his compensation and shall
resort to judicial action only to prevent
imposition, injustice or fraud.

Judicial actions to recover attorneys fees
(1) file an appropriate motion or petition as an
incident in the main action where he
rendered legal services;
(2) file a separate civil action for collection of
attorneys fees.

Suits to collect fees should be avoided and only
when the circumstances imperatively require should
a lawyer resort to lawsuit to enforce payment of
fees. This is but a logical consequence of the legal
profession not primarily being for economic
compensation. [Agpalo]

An attorney-client relationship can be created by
implied agreement, as when the attorney actually
rendered legal services for a person who is a close
friend. The obligation of such a person to pay
attorneys fees is based on the law of contracts
concept of facio ut des (no one shall unjustly enrich
himself at the expense of others.) [Corpuz v. CA, 98
SCRA 424 (1980)]

e. Concepts of Attorneys
Fees

i. Ordinary Concept

An attorneys fee is the reasonable compensation
paid to a lawyer for the legal services he has
rendered to a client. The basis of this compensation
is the fact of employment by the client.

ii. Extra-Ordinary Concept

An attorneys fee is an indemnity for damages
ordered by the court to be paid by the losing party
to the prevailing party in a litigation. The basis of
this is any of the cases authorized by law and is
payable not to the lawyer but to the client unless
they have agreed that the award shall pertain to the
lawyer as additional compensation or as part
thereof. [Traders Royal Bank Employees Union-
Independent v. NLRC, G.R. No. 120592, (March 14,
1997)]

Factors of the value (Rule 138, Sec, 24)
(1) the importance of the subject matter of
controversy;
(2) the extent of the services rendered; and
(3) the professional standing of the attorney.

Additionally, the court is not bound by the opinion of
attorneys as expert witness as to proper
compensation and that written contract shall control
the amount paid unless found by the court to be
unconscionable or reasonable.

According to jurisprudence, the court may also take
into consideration the clients capacity to pay.

Modes of payment
A fixed or absolute fee which is payable
regardless of the result of the case
A contingent fee that is conditioned to the
securing of a favorable judgment and recovery
of money or property and the amount of which
may be on a percentage basis
A fixed fee payable per appearance
A fixed fee computed by the number of hours
spent
A fixed fee based on a piece of work
A combination of any of the above stipulated
fees.

Compensation to which Lawyer is Entitled
Depending on His Capacity

Counsel de Parte He is entitled to a reasonable
attorneys fees agreed upon or in the absence
thereof, on quantum meruit basis.

Counsel de Oficio The counsel may not demand
from the accused attorneys fees even if he wins the
case. He may however collect from the government
funds if available based on the amount fixed by the
court.

Rule 138, Sec. 32. Compensation for attorneys
de oficio. Subject to availability of funds as may
be provided by law the court may, in its
discretion, order an attorney employed as
counsel de oficio to be compensated in such sum
as the court may fix in accordance with section
24 of this rule. Whenever such compensation is
allowed, it shall not be less than P30 in any case,
nor more than the following amounts:
P50 in light felonies;
P100 in less grave felonies;
P200 in grave felonies other than capital
offenses;
P500 in capital offenses.

REVIEWER
45
Amicus Curiae not entitled to attorneys fees.

Counsel Cannot Recover Full Amount Despite
Written Contract
(1) When the services were not performed, and
the lawyer withdrew before the case was
finished, he will be allowed only reasonable
fees
(2) When there is justified dismissal of an
attorney, the contract will be nullified and
payment will be on quantum meruit basis
(3) When the stipulated fees are
unconscionable
(4) When the stipulated fees are in excess of
what is expressly provided by law
(5) When the lawyer is guilty of fraud or bad
faith in the manner of his employment
(6) When the counsels services are worthless
because of negligence
(7) When the contract is contrary to laws,
morals, and good policies

The mere fact that an agreement had been reached
between attorney and client fixing the amount of
the attorney's fees, does not insulate such
agreement from review and modification by the
Court where the fees clearly appear to be excessive
or unreasonable. [Tanhueco v. De Dumo, 172 SCRA
760 (1989)]

8. Preservation of Clients
Confidences

Statutory Basis
CANON 21: Preserve the confidence and secrets
of his client after the attorney-client
relationship is terminated.

Related Statutory Bases
Rule 138, 20(e). Duties of attorneys.It is the
(e) To maintain inviolate the confidence, and at
every peril to himself, to preserve the secrets of
his client, and to accept no compensation in
connection with his client's business except from
him or with his knowledge and approval;
Rule 130, sec. 21(b). Privileged communication.
An attorney cannot, without the consent of his
client, be examined as to any communication
made by the client to him, or his advice given
thereon in the course of professional
employment; nor can an attorney's secretary,
stenographer, or clerk be examined, without the
consent of the client and his employer,
concerning any fact the knowledge of which has
been acquired in such capacity.

Art. 209 Revised Penal Code. Betrayal of trust
by an attorney or solicitorRevelation of
secrets.In addition to the proper administrative
action, the penalty of prision correccional in its
minimum period, or a fine ranging from 200 to
1,000 pesos, or both, shall be imposed upon any
attorney-at-law or solicitor ( procurador judicial)
who, by any malicious breach of professional
duty or of inexcusable negligence or ignorance,
shall prejudice his client, or reveal any of the
secrets of the latter learned by him in his
professional capacity.

The same penalty shall be imposed upon an
attorney-at-law or solicitor (procurador judicial)
who, having undertaken the defense of a client
or having received confidential information from
said client in a case, shall undertake the defense
of the opposing party in the same case, without
the consent of his first client.

Duty to preserve client's confidence
Neither attorney nor client nor anyone who
stands in a peculiar relation of confidence with
either of them can be compelled to disclose any
privileged communication.
This canon also applies to prospective clients.
Formerly, in order that a communication shall
be privileged, the attorney-client relationship
should exist at the time of communication. But
at present, communication made by prospective
client is covered for as long as it is made to the
lawyer in his professional capacity.

Duration of duty
The lawyers duty to maintain inviolate his clients
confidence is perpetual. It outlasts even the
lawyers employment. He may not do anything which
will injuriously affect his former client nor may he at
any time disclose or use against him any knowledge
or information acquired by virtue of professional
relationship. Neither does not cease with the
termination of the litigation nor is it affected by the
partys ceasing to employ the attorney and retaining
another, or by any other change of relation between
them. It even survives the death of the client.
[Genato v. Silapan 453 Phil. 910 (2003)]

The work product of the lawyer, including his effort
and researches, contained in his files is confidential
even after his death. Contents of lawyers files may
not be disclosed without a clients consent.

Exceptions
(1) Some privileged communications lose their
privileged character by some supervening
act done pursuant to the purpose of the
communication (e.g. a communication
intended by the client to be sent to a third
person through his attorney loses
confidential character once it reached the
third party).
(2) The privilege against disclosure of
confidential communications or information
is limited only to communications which are
legitimately and properly within the scope
of a lawful employment of a lawyer. It does
not extend to those made in contemplation
of a crime or perpetration of a fraud. It is
not within the profession of a lawyer to
advise a client as to how he may commit a
crime. Thus, the attorney-client privilege
does not attach, there being no professional
employment in the strict sense.

46
Reason for the rule
This duty exists because unless the client knows
that his attorney cannot be compelled to reveal
what is told to him, he will suppress what he
thinks to be unfavorable and the advice which
follows will be useless if not misleading.
The purpose of the attorney-client privilege is to
encourage a client to make full disclosure to his
attorney and to place unestricted confidence in
him in matters affecting his rights or
obligations.

Confidentiality
A confidential communication refers to
information transmitted by voluntary act of
disclosure between attorney and client in
confidence and by means which so far as the
client is aware, discloses the information to no
third person other than one reasonably
necessary for the transmission of the
information or the accomplishment of the
purpose for which it was given.
There is a difference between confidences and
secrets of clients. While confidences refer to
information protected by attorney-client
privilege under the Revised Rules of Court
(information pertinent to the case being
handled), secrets are those other information
gained in the professional relationship that the
client has requested to be held inviolate or the
disclosure of which would be embarrassing or
would likely be detrimental to client
(information not exactly pertinent to case).
The intent of client to make communication
confidential must be apparent. But once
conveyed to lawyer, confidentiality attaches not
only to statements but also to other forms of
communication.
Embraces not only oral or written statements
but actions, signs or other means of
communications.
Communication may be transmitted by any form
of agency, such as a messenger, an interpreter
or any other form of transmission. It is
immaterial whether the agent is the agent of
the attorney, the client or both.

Requisites for Privileged Communication to Attach
(1) The person to whom information is given is a
lawyer. No attorney-client relation when
person is not a lawyer, even if such person
undertakes to perform legal services.
Exception: if a person is pretending to be a
lawyer and client discloses confidential
communications, the attorney-client privilege
applies.
(2) There is legal relationship existing (may be
disregarded for prospective clients)
(3) Legal advice must be sought from the
attorney in his professional capacity with
respect to communications relating to that
purpose. Not privileged if advice is not
within lawyers professional capacity
(4) Some privileged communication may lose
privileged character. Client must intend the
communication be confidential.
(5) Question of privilege determined by court.
The burden of proof is on the party who
asserts the privilege.

Persons Entitled to claim Privilege
Generally, the attorney-client privilege covers
the lawyer, client and third persons who by
reason of their work have acquired information
about the case being handled. This includes the
following: (1) attorneys secretary, stenographer
and clerk; (2) interpreter, messengers, or agents
transmitting communication (3) an accountant,
scientist, physician, engineer who has been
hired for effective consultation.
Assignee of the client's interest may claim the
privilege as far as the communication affects
the realization of the assigned interest.
Identification of client privilege extends when
the ff are not present:
a) commencement of litigation on behalf
of the client,
b) identification relating to employment
of 3
rd
person,
c) employment of attorney with respect
to future criminal/ fraudulent
transaction,
d) prosecution of a lawyer for a criminal
offense
This rule does not cover those kept for custodial
purposes only nor contracts relating to
attorneys fees

Examples of privileged matters
work product of lawyer (his effort, research and
thought contained in his file)
a report of a physician, an accountant, an
engineer or a technician, whose services have
been secured by a client as part of his
communication to his attorney or by the
attorney to assist him render effective legal
assistance to his client
records concerning an accident in which a party
is involve
consultation which has to do the preparation of
a client to take the witness stand

a. When Allowed

Rule 21.01 A lawyer shall not reveal the
confidence or secrets of his client except:
a) When authorized by the client after
acquainting him of the consequences of
the disclosure;
b) When required by law;
c) When necessary to collect his fees or to
defend himself, his employees or
associates or by judicial action.

A lawyer becomes familiar with all the facts
connected with his clients case. Such knowledge
must be considered sacred and must be guarded with
care to ensure the confidence of the client is not
abused. Only when client consents will a lawyer be
allowed to make use of said information. Use of said
information, whether privileged or not, is prohibited
if it is to the:
(1) disadvantage of the client;

REVIEWER
47
(2) lawyers advantage;
(3) advantage of third persons.

A lawyer may not disclose any information
concerning the clients case, which he acquired
from the client in confidence, other than what
may be necessary to prosecute or defend his
clients cause.
In fact, loyalty to the court may not override
this privilege as said loyalty involves steadfast
maintenance of principles which the courts
themselves have evolved for the effective
administration of justice; one of these principles
is that of preservation of clients confidence
communicated to lawyer in his professional
capacity. Breach of this fidelity is sufficient
to warrant disciplinary sanction against the
lawyer.
If a lawyer manages to acquire information
regarding the opposing partys cause, he must
withdraw
Client may not make communications to
opposing counsel to silence him (such
communication is not privileged)
If corporate client, secret of 1 corporate officer
may be disclosed to directors but not to others
Involves a balancing of loyalties (e.g. client
committed perjury, should lawyer disclose?)

Exceptions to the General Rule
(These exceptions to the general rule are found in
Rule 21.01.)
a) When authorized by the client after
acquanting him of the consequences of the
disclosure
A waiver of the privilege must be made
in entirety. A client may waive
protection of privilege through lawyer
except where the controversy involves
the attorneys relation with his client.
In such case, only the client may waive
privilege.
Consent given by client to lawyers
secretary (staff/employees) will not
give him/her the right to reveal
confidences. Lawyers consent is
necessary.

b) When required by law
A lawyer may disclose commission of
contemplated crimes or perpetuation
of fraud considering that professional
relationship should only be for lawful
purposes. A person who is committing a
crime or is about to commit a crime
can have no privileged witness. For the
application of the privilege to attach,
the period to be considered is the date
when the privileged communication
was made by the client to the attorney
in relation to either a crime committed
in the past or with respect to a crime
intended to be committed in the
future.

c) When necessary to collect attorney's fees or
to defend himself, his employees or
associates or by judicial action
In case client files complaint against his
lawyer or unreasonably refuses to pay
his fees, client waives privilege in favor
of lawyer who may disclose so much of
clients confidences as may be
necessary to protect himself or to
collect fees. It must be noted that a
client may not be permitted to take
advantage of the attorney-client
relation to defeat the just claim of his
lawyer.

b. Prohibited Disclosures and
Use

Rule 21.02 A lawyer shall not, to the
disadvantage of his client, use information
acquired in the course of employment, nor shall
he use the same to his advantage or that of a
third person, unless the client with full
knowledge of the circumstances consents
thereto.

A lawyer must have the fullest confidence of his
client. If confidence is abused, as by the use by the
lawyer of the client's secrets against his client, the
profession will suffer by the loss thereof.

Rule 21.03 A lawyer shall not, without the
written consent of his client, give information
from his files to an outside agency seeking such
information for auditing, statistical,
bookkeeping, accounting, data processing, or any
similar purpose.
The reason for the rule is that the work and
product of a lawyer, such as his effort, research,
and thought, and the records of his client,
contained in his files are privileged matters.
Neither the lawyer nor, after his death, his heir, or
legal representative may properly disclose the
contents of such file cabinet without clients
consent

Rule 21.04 A lawyer may disclose the affairs of
a client of the firm to partners or associates
thereof unless prohibited by the client.

Rule 21.05 A lawyer shall adopt such measures
as may be required to prevent those whose
services are utilized by him, from disclosing or
using confidences or secrets of the client.
Professional employment of a law firm is
equivalent to retainer of the members thereof
even though only one partner is consulted.
When one partner tells another about the
details of the case, it is not considered as
disclosure to third persons because members of
a law firm are considered as one entity.
The clients secrets which clerical aids of
lawyers learn of in the performance of their
services are covered by privileged
communication. It is the duty of lawyer to
36

48
ensure that this is being followed. The
prohibition against a lawyer from divulging the
confidences and secrets of his clients will
become futile exercise if his clerical aids are
given liberty to do what is prohibited of the
lawyer. (EX. Signing of confidentiality contract)

Rule 21.06 A lawyer shall avoid indiscreet
conversation about a clients affairs even with
members of his family.

A lawyer must not only preserve the confidences and
secrets of his clients in his law office but also
outside including his home. He should avoid
committing calculated indiscretion, that is,
accidental revelation of secrets obtained in his
professional employment. Reckless or imprudent
disclosure of the affairs of his clients may jeopardize
them. Not every member of the lawyers family has
the proper orientation and training for keeping
clients confidences and secrets.

Rule 21.07 A lawyer shall not reveal that he
has been consulted about a particular case
except to avoid possible conflict of interests.

Rule 15.01 - 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 14.03 - A lawyer may refuse to accept
representation of an indigent client if:
c. he is not in a position to carry out the
work effectively or competently
d. he labors under a conflict of interests
between him and the prospective client
or between a present client and the
prospective client.

This rule clarifies that privilege communication
applies even to prospective clients. The disclosure
and the lawyer's opinion thereon create an attorney-
client relationship, even though the lawyer does not
eventually accept the employment or the
prospective client did not thereafter actually engage
the lawyer. By the consultation, the lawyer already
learned of the secrets of prospective client. It is not
fair if he will not be bound by the rule on privileged
communication in respect of matters disclosed to
him by a prospective client. This rule, of course, is
subject to exception of representation of conflicting
interests.

In relation to conflict of interest, the lawyer should
ascertain as soon as practicable whether the matter
would involve a conflict of interest with his other
client or with his own.

A lawyer shall not reveal the confidence or secrets
of his client except:
a. When authorized by the client after acquainting
him of the consequences of the disclosure;
b. When required by law;
c. When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action.

9. Withdrawal of Services

Statutory Basis
CANON 22: Withdraw services only for good
cause and upon notice appropriate in the
circumstances.

Termination of Attorney-Client Relation
(1) Withdrawal of lawyer under Rule 22.01
(2) Death of the lawyer
(3) Disbarment or suspension of the lawyer
from the practice of law
(4) Declaration of presumptive death of lawyer
(5) Conviction of a crime and imprisonment of
lawyer
(6) Discharge or dismissal of the lawyer by the
client
(7) Appointment or election of a lawyer to a
government position which prohibits private
practice of law
(8) Death of client
(9) Intervening incapacity or incompetence of
the client during pendency of case
(10) Full termination of the case

General rule
The client has the right to terminate at any time
with or without just cause.

Limitations
Client cannot deprive counsel of right to be paid
services if dismissal is without cause
Client cannot discharge counsel as an excuse to
secure repeated extensions of time
Notice of discharge is required for both court
and adverse party

Although a lawyer may withdraw his services when
the client deliberately fails to pay the fees for the
services, withdrawal is unjustified if client did not
deliberately fail to pay ]Montano v. IBP 358 SCRA 1
(2001)]

Rule 22.01 - A lawyer may withdraw his services
in any of the following case:
When the client pursues an illegal or
immoral course of conduct in connection
with the matter he is handling;
When the client insists that the lawyer
pursue conduct violative of these canons and
rules;
When his inability to work with co-counsel
will not promote the best interest of the
client;
When the mental or physical condition of the
lawyer renders it difficult for him to carry
out the employment effectively;
When the client deliberately fails to pay the
fees for the services or fails to comply with
the retainer agreement;
When the lawyer is elected or appointed to
public office; and

REVIEWER
49
Other similar cases.

Rule 22.02 - A lawyer who withdraws or is
discharged shall, subject to a retainer lien,
immediately turn over all papers and property to
which the client is entitled, and shall cooperate
with his successor in the orderly transfer of the
matter, including all information necessary for
the proper handling of the matter.

Conditions for the Substitution of Counsel
(1) Written request for substitution
(2) Written consent of client
(3) Written consent of the attorney to be
substituted or in the absence, proof of
service of notice of said motion to the
attorney to be substituted

At the discretion of the court, a lawyer who has
been dismissed by a client is allowed to intervene in
a case in order to protect the clients rights.
[Obando v. Figueras 322 SCRA 148 (2000)]

CHAPTER III. SUSPENSION,
DISBARMENT AND DISCIPLINE OF
LAWYERS
A. NATURE AND CHARACTERISTICS OF
DISCIPLINARY ACTIONS AGAINST LAWYERS
B. GROUNDS
C. PROCEEDINGS
D. DISCIPLINE OF FILIPINO LAWYERS PRACTICE
IN FOREIGN JURISDICTIONS

A. Nature and Characteristics of
Disciplinary Actions Against
Lawyers

1. Sui Generis
2. Prescription

Disciplinary proceedings against lawyers are sui
generis: neither purely civil nor purely criminal. It is
notand does not involvea trial of an action or a
suit, but is rather an investigation by the Court in
the conduct of its officers. Not being intended to
inflict punishment, it is no sense a criminal
prosecution. Accordingly, there is neither a plaintiff
nor a prosecutor. x x x Public interest is its primary
objective, and the real question for determination is
whether or not the attorney is still a fit person to be
allowed the privileges as such. [In Re: Almacen,
supra]

The discretion whether to continue with the
administrative proceedings against court personnel
rests exclusively with the Court, notwithstanding
complainants intention to desist. [Plaza v. Amamio,
Admin. Case No. P-08-2559, March 19, 2010]

Nature of Proceedings
Neither a civil action nor a criminal proceeding;
Sui generis, it is a class of its own since it is
neither civil nor criminal
Confidential in nature
Defense of double jeopardy is not available
Can be initiated by the SC, motu propio, or by
the IBP. It can be initiated without a complaint
Can proceed regardless of interest of the
complainants
Imprescriptible
It is itself due process of law

Objectives of Suspension and Disbarment
To compel the attorney to deal fairly and
honestly with the court and his client;
To remove from the profession a person whose
misconduct has proven himself unfit for the
duties and responsibilities belonging to the
office of an attorney;
To punish the lawyer;
To set an example or warning for the other
members of the bar;
To safeguard the administration of justice from
dishonest and incompetent lawyers;
To protect the public
B. Grounds

Statutory Basis
Rule 138 Section 27. Attorneys removed or
suspended by Supreme Court on what grounds.
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 the admission to practice, or for a wilfull
disobedience of any lawful order of a superior
court, or for corruptly or willful 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.

Grounds for Disbarment
(1) Deceit
(2) Malpractice, or other gross misconduct in
office any malfeasance or dereliction of
duty committed by a lawyer
(3) Grossly immoral conduct
(4) Conviction of a crime involving moral
turpitude
(5) Violation of lawyers oath
(6) Willful disobedience of any lawful order of
a superior court
(7) Corruptly or willfully appearing as an
attorney for a party to case without an
authority to do so

Broadly speaking, the grounds for disbarment or
suspension of a lawyer consist of those acts of
misconduct before and after his admission to
practice.

50
But this enumeration is not exclusive
May be disciplined or suspended for ANY
misconduct in his professional or private
capacity which shows him to be wanting in
moral character

Officers Authorized to Investigate Disbarment
Cases
(1) Supreme Court
(2) IBP through its Commission on Bar Discipline
or authorized investigators
(3) Office of the Solicitor General

However, all charges against Justices of the
Court of Appeals and the Sandiganbayan, and
Judges of the Court of Tax Appeals and lower
courts, even if lawyers are jointly charged with
them, shall be filed with the Supreme Court. If
filed with the IBP, it shall immediately be
forwarded to the Supreme Court
Complaints for disbarment may not lie against
impeachable officers of the government during
their tenure. They may only be removed from
office by impeachment for and conviction of
certain offenses

An attorney may be disbarred or suspended for any
violation of his oath or his duties as an attorney,
which includes the statutory grounds enumerated in
Sec 27, Rule 138, which are not exclusive. He may
be disbarred for any misconduct, whether in his
professional or private capacity. Any interested
person or the court motu propio may initiate
disciplinary proceedings. [Marcelo v. Javier, A.C. No.
3248, (Sep. 18, 1992)]

The statutory enumeration of the grounds for
disbarment or suspension is not to be taken as a
limitation on the general power of courts to suspend
or disbar a lawyer. The inherent power of the court
over its officers cannot be restricted. [Quingwa v.
Puno, Admin. Case No. 398, (Feb. 28, 1967)]

Disbarment should not be decreed where any
punishment less severe such as reprimand,
suspension or fine would accomplish the end desired.
[Amaya v. Tecson, 450 SCRA 510]

In disbarment proceedings, the burden of proof is
upon the complainant and this court will exercise its
disciplinary power only if the complainant
establishes his case by clear, convincing and
satisfactory evidence. [Aquino v. Mangaoang, 425
SCRA 572]
C. Proceedings

Procedure for Suspension or Disbarment of Attorneys
by the IBP

IBP
Motu Propio
VERIFIED COMPLAINT
TO THE IBP

Complaint must be:
In writing
Stating facts
complained of
Shall appoint an investigator or a panel of 3
investigators and notify respondent within two
days from receipt

RESPONDENTS ANSWER:
Within 15 days from notice
INVESTIGATION
1) Investigator may issue subpoenas
2) Provide respondent with opportunity to
be heard
3) May proceed with investigation ex parte
should respondent be unable to comply
4) To be terminated within 3 months from
date of commencement

REPORT
Submitted not later than 30 days from
termination of investigation. Contains:
1) Findings of facts
2) Recommendation
- Disbar
- Suspend
- Dismiss
To be reviewed by the IBP Board of Governors

SUPREME COURT FOR JUDGMENT

REVIEWER
51
Procedure for Suspension or Disbarment of
Attorneys (Rule 139-B) by the Supreme Court Motu
Propio

Suspension
By division one year or less
En banc more than one year
Fine
Division P10,000 or less
En banc more than P10,000

In case of two or more suspensions: Service will be
successive, not simultaneous

D. Discipline of Filipino Lawyers
Practice in Foreign
Jurisdictions

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 practices
law in both countries. If he commits a misconduct
outside Philippine jurisdiction, which is also a ground
for disciplinary action under Philippine law, he may
be suspended or disbarred in this country.

Civil liability
(1) Client is prejudiced by lawyers negligence
and 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
clients patently unmeritorious case or
interposing appeal merely to delay
litigation

Criminal liability
(1) Prejudicing client through malicious breach
of professional duty
(2) Revealing client secrets
(3) Representing adverse interests
(4) Introducing false evidence
(5) Misappropriating clients funds (estafa)
(6) Libel except if statements are connected
with the relevant, pertinent, and material
to the cause in hand or the subject of the
inquiry

Costs of suit
GENERAL RULE: Losing client and not the lawyer is
liable for costs, since the lawyer is not a party-
litigant

EXCEPTION: When the lawyer insisted on clients
patently unmeritorious case the court may adjudge
lawyer to pay treble costs of suit

Contempt of Court
It is exercised on preservative and not on vindictive
principles and on corrective rather than the
retaliatory idea of punishment. It is criminal in
nature.

The power to punish for contempt is inherent in all
courts. It is essential in the observance of order in
judicial proceedings and to enforce judgment, orders
and writs.

Kinds of Contempt
(1) Direct Contempt - Consists of misbehavior
in the presence of or near a court or judge
as to interrupt or obstruct the proceedings
before the court or the administration of
justice.
(2) Indirect or Constructive Contempt - One
committed away from the court involving
disobedience of or resistance to a lawful
writ, process, order, judgment or command
of the court, tending to belittle, degrade,
obstruct, interrupt or embarrass the court.
(3) Civil contempt - Failure to do something
ordered by the court which is for the
benefit of the party.
(4) Criminal contempt - Consists of any
conduct directed against the authority or
dignity of the court.

Acts of a Lawyer Constituting Contempt
(1) Misbehavior as officer of court
(2) Disobedience or resistance to court order
(3) Abuse or interference with judicial
proceedings
(4) Obstruction in administration of justice
(5) Misleading courts
(6) Making false allegations, criticisms, insults,
veiled threats against the courts
(7) Aiding in unauthorized practice of law
(suspended or disbarred)
(8) Unlawful retention of clients funds
(9) Advise client to commit contemptuous acts
Supreme Court shall refer the case to an investigator

POSSIBLE INVESTIGATORS:
Solicitor General
Any Officer of the SC
Any judge of a lower court

Shall notify the Respondent

Respondent must answer (within 15 days)

INVESTIGATION
(3 months)

REPORT to be submitted not later than 30 days
from investigations termination.

REPORT MUST CONTAIN
Findings of facts
Recommendations

SUPREME COURT FOR JUDGMENT

52

Power to Discipline Errant Lawyers

Statutory Basis
Rule 138, Sec. 27. The Supreme Court has the
full authority and power to (WARDS)
WARN
ADMONISH
REPRIMAND
SUSPEND and
DISBAR a lawyer

Rule 139-B, Sec. 16. The Court of Appeals and
the Regional Trial Courts are also empowered to
WARN
ADMONISH
REPRIMAND and
SUSPEND an attorney
who appears before them from the practice of
law for any of the causes mentioned in Rule 138,
Sec. 27.

Forms of Disciplinary Measures
(1) Warning an act or fact of putting one on
his guard against an impending danger, evil
consequences or penalties.
(2) Admonition a gentle or friendly reproof,
mild rebuke, warning or reminder,
counseling, on a fault, error or oversight; an
expression of authoritative advice.
(3) Reprimand a public and formal censure or
severe reproof, administered to a person in
fault by his superior officer or a body to
which he belongs.
imposed on a minor infraction
of the lawyers duty to the
court or client
(4) Suspension a temporary withholding of a
lawyers right to practice his profession as a
lawyer for a certain period or for an
indefinite period of time.
(a) Definite
(b) Indefinite qualified disbarment; lawyer
determines for himself for how long or
how short his suspension shall last by
proving to court that he is once again
fit to resume practice of law.
(5) Censure official reprimand.
(6) Disbarment the act of the Philippine
Supreme Court in withdrawing from an
attorney the right to practice law. The
name of the lawyer is stricken out from the
roll of attorneys.

Modifying Circumstances
Extent of disciplinary action depends on attendance
of mitigating or aggravating circumstance.
(1) presence of mitigating circumstances may
justify suspension instead of disbarment,
and censure or reprimand instead of
suspension
(2) inverse rule may apply where aggravating
circumstances are present

Mitigating Circumstances
(3) Good Faith
(4) Want of intention to commit a wrong
(5) Lack of material damage to the complaining
witness
(6) Desistance of complainant
(7) Youth & inexperience in the bar
(8) Error in judgment
(9) Honest and efficient service in various
government positions
(10) Being counsels first offense
(11) Ready admission of the infraction coupled
with explanation and plea for forgiveness
(12) Clean record of professional service in the
past
(13) Rendered professional services out of pure
generosity
(14) Punished in another capacity for a
misconduct for which he now faces a
disbarment proceeding
(15) Old Age & long membership (may also be an
aggravation depending on the circumstance)
(16) First offense

Aggravating Circumstances
Abuse of authority or of attorney-client
relationship
Sexual intercourse with a relative
Making the institution of marriage a mockery
Charge of gross immorality
Previous punishment as member of the bar
Defraud upon the government
Use of knowledge or information, acquired in
the course of a previous professional
employment, against a former client

Effect of Executive Pardon
(1) Conditional - The disbarment case will not be
dismissed on the basis thereof.
(2) Absolute, before conviction - The disbarment
case will be dismissed. Absolute pardon by the
President may wipe out conviction as well as
offense itself and the grant thereof in favor of
a lawyer is a bar to a proceeding for
disbarment against him based solely on
commission of such offense.
The reason is that the respondent
lawyer, after the absolute pardon, is
as guiltless and innocent as if he
never committed the offense at all.
(3) Absolute, after conviction - If absolute
pardon is given to lawyer after being
disbarred for conviction of a crime, it does
not automatically entitle him to
reinstatement to the bar. It must be shown by
evidence aside from absolute pardon that he
is now a person of good moral character and
fit and proper person to practice law. In case
of a conditional pardon, there will be a
remission of unexpired period of sentence.

Effect of Suspension or Disbarment
(1) Cannot practice law without being held liable
for contempt of court
(2) Disbarred for violation of the suspension order
(3) If holding a government office which requires
membership in the bar, dismissal from such
office but this rule does not apply to
impeachable officials

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53
However, the suspended or disbarred lawyer may
appear as counsel for himself, the same not being
practice of law but the exercise of a right.

A judgment of suspension or disbarment is always
subject to change or modification by the court.

CHAPTER IV. READMISSION TO THE
BAR
A. LAWYERS WHO HAVE BEEN SUSPENDED
B. LAWYERS WHO HAVE BEEN DISBARRED
C. LAWYERS WHO HAVE BEEN REPATRIATED

Readmission to the bar
It is the restoration in disbarment proceedings to a
disbarred lawyer the privilege to practice law.

Statutory Basis
1987 Constitution, Art. VIII, Sec. 5(5). The
power of the Supreme Court to reinstate is based
on its constitutional prerogative to promulgate
rules on the admission of applicants to the
practice of law

. This is an exclusive authority conferred upon the
Supreme Court.

A judgment of disbarment or indefinite suspension
does not become final notwithstanding the lapse of
several years from its promulgation, as it may be
reopened or reconsidered by the Supreme Court
upon proper petition and satisfactory evidence.

In order that there is reinstatement, the following
must be taken into consideration:
the applicants character and standing prior to
disbarment;
the nature or character of the misconduct for
which he is disbarred;
his conduct subsequent to disbarment [Cui v.
Cui, 11 SCRA 755]
including his efficient government service [In
Re: Adriatico, 17 Phil 324]
the time that has elapsed between disbarment
and the application for reinstatement and the
circumstances that he has been sufficiently
punished and disciplined [Prudential Bank v.
Benjamin Grecia, 192 SCRA 381]
applicants appreciation of significance of his
dereliction and his assurance that he now
possesses the requisite probity and integrity;
favorable endorsement of the IBP and local
government officials and citizens of his
community, pleas of his loved ones [Yap Tan v.
Sabandal, 170 SCRA 207]

The court may require applicant for reinstatement
to enroll in and pass the required fourth year review
classes in a recognized law school. [Cui v. Cui,
supra; In Re: Rusiana, 56 SCRA 240]

The sole object of the court is to determine whether
or not the applicant has satisfied and convinced the
court by positive evidence that the effort he has
made toward the rehabilitation of his character has
been successful. [In re Rusiana, 56 SCRA 240]

A PREVIOUSLY DISBARRED LAWYER who is given
absolute pardon by the President is not
automatically reinstated, he must still file a petition
for reinstatement with the SC.

Condition for Reinstatement
A lawyer who has been suspended or disbarred may
be reinstated when the SC is convinced that he has
already possessed the requisites of probity and
integrity necessary to guarantee his worth to
practice his possession.

To be reinstated to the practice of law, it is
necessary that the respondent must like any other
candidate for admission to the bar, satisfy the Court
that he is a person of good moral character and a fit
and proper person to practice law. [In re: Rovero,
101 SCRA 803]

Effects of Reinstatement
(1) Recognition of moral rehabilitation and mental
fitness to practice law;
(2) Lawyer shall be subject to same law, rules and
regulations as those applicable to any other
lawyer;
(3) Lawyer must comply with the conditions
imposed on his readmission.

NOTE: Good moral character is not only a condition
precedent to admission to the practice of law but is
a continuing requirement.

CHAPTER V. MANDATORY LEGAL
EDUCATION
A. PURPOSE
B. REQUIREMENTS
C. COMPLIANCE
D. EXEMPTIONS
E. SANCTIONS

A. Purpose

Statutory Basis
RULE I SECTION 1. Purpose of the MCLE. --
Continuing legal education is required of members
of the Integrated Bar of the Philippines (IBP) to
ensure that throughout their career, they keep
abreast with law and jurisprudence, maintain the
ethics of the profession and enhance the
standards of the practice of law.

B. Requirements

Statutory Basis
RULE 2 SEC. 2. Requirements of completion of
MCLE. Members of the IBP not exempt under
Rule 7 shall complete every three (3) years at
least thirty-six (36) hours of continuing legal

54
education activities approved by the MCLE
Committee. Of the 36 hours:
a. At least six (6) hours shall be devoted to
legal ethics equivalent to six (6) credit
units.
b. At least four (4) hours shall be devoted to
trial and pretrial skills equivalent to four
(4) credit units.
c. At least five (5) hours shall be devoted to
alternative dispute resolution equivalent
to five (5) credit units.
d. At least nine (9) hours shall be devoted to
updates on substantive and procedural
laws, and jurisprudence equivalent to
nine (9) credit units.
e. At least four (4) hours shall be devoted to
legal writing and oral advocacy equivalent
to four (4) credit units.
f. At least two (2) hours shall be devoted to
international law and international
conventions equivalent to two (2) credit
units.
g. The remaining six (6) hours shall be
devoted to such subjects as may be
prescribed by the MCLE Committee
equivalent to six (6) credit units.

C. Compliance

Statutory Basis
RULE 3 SEC. 1. Initial compliance period. - The
initial compliance period shall begin not later
than three (3) months from the adoption of these
Rules. Except for the initial compliance period for
members admitted or readmitted after the
establishment of the program, all compliance
periods shall be for thirty-six (36) months and
shall begin the day after the end of the previous
compliance period.

SEC. 2. Compliance Groups. - Members of the IBP
not exempt from the MCLE requirement shall be
divided into three (3) compliance groups, namely:
a. Compliance group 1. - Members in the
National Capital Region (NCR) or Metro
Manila are assigned to Compliance Group
1.
b. Compliance group 2. - Members in Luzon
outside NCR are assigned to Compliance
Group 2.
c. Compliance group 3. - Members in Visayas
and Mindanao are assigned to Compliance
Group 3.
Nevertheless, members may participate in any
legal education activity wherever it may be
available to earn credit unit toward compliance
with the MCLE requirement.

SEC. 3. Compliance period of members admitted
or readmitted after establishment of the
program. Members admitted or readmitted to
the Bar after the establishment of the program
shall be assigned to the appropriate Compliance
Group based on their Chapter membership on the
date of admission or readmission.

The initial compliance period after admission or
readmission shall begin on the first day of the
month of admission or readmission and shall end
on the same day as that of all other members in
the same Compliance Group.

a. Where four (4) months or less remain of
the initial compliance period after
admission or readmission, the member is
not required to comply with the program
requirement for the initial compliance.
b. Where more than four (4) months remain
of the initial compliance period after
admission or readmission, the member
shall be required to complete a number
of hours of approved continuing legal
education activities equal to the number
of months remaining in the compliance
period in which the member is admitted
or readmitted. Such member shall be
required to complete a number of hours
of education in legal ethics in proportion
to the number of months remaining in
the compliance period. Fractions of
hours shall be rounded up to the next
whole number.

D. Exemptions

Statutory Basis
RULE 7 SECTION 1. Parties exempted from the
MCLE. - The following members of the Bar are
exempt from the MCLE requirement:
a. The President and the Vice President of the
Philippines, and the Secretaries and
Undersecretaries of Executive Departments;
b. Senators and Members of the House of
Representatives;
c. The Chief Justice and Associate Justices of
the Supreme Court, incumbent and retired
members of the judiciary, incumbent
members of the Judicial and Bar Council and
incumbent court lawyers covered by the
Philippine Judicial Academy program of
continuing judicial education;
d. The Chief State Counsel, Chief State
Prosecutor and Assistant Secretaries of the
Department of Justice;
e. The Solicitor General and the Assistant
Solicitors General;
f. The Government Corporate Counsel, Deputy
and Assistant Government Corporate Counsel;
g. The Chairmen and Members of the
Constitutional Commissions;
h. The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsman and the
Special Prosecutor of the Office of the
Ombudsman;
i. Heads of government agencies exercising
quasi-judicial functions;
j. Incumbent deans, bar reviewers and
professors of law who have teaching
experience for at least ten (10) years in
accredited law schools;
k. The Chancellor, Vice-Chancellor and members
of the Corps of Professors and Professorial

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55
Lecturers of the Philippine Judicial Academy;
and
l. Governors and Mayors.

SEC. 2. Other parties exempted from the MCLE.
- The following Members of the Bar are likewise
exempt:
a. Those who are not in law practice, private or
public.
b. Those who have retired from law practice
with the approval of the IBP Board of
Governors.
SEC. 3. Good cause for exemption from or
modification of requirement - A member may
file a verified request setting forth good cause for
exemption (such as physical disability, illness,
post graduate study abroad, proven expertise in
law, etc.) from compliance with or modification
of any of the requirements, including an extension
of time for compliance, in accordance with a
procedure to be established by the MCLE
Committee.

SEC. 4. Change of status. - The compliance
period shall begin on the first day of the month in
which a member ceases to be exempt under
Sections 1, 2, or 3 of this Rule and shall end on
the same day as that of all other members in the
same Compliance Group.

SEC. 5. Proof of exemption. - Applications for
exemption from or modification of the MCLE
requirement shall be under oath and supported by
documents.

E. Sanctions

Statutory Bases
RULE 13 SECTION 1. Non-compliance fee. - A
member who, for whatever reason, is in non-
compliance at the end of the compliance period
shall pay a non-compliance fee.

SEC. 2. Listing as delinquent member. - A
member who fails to comply with the
requirements after the sixty (60) day period for
compliance has expired, shall be listed as a
delinquent member of the IBP upon the
recommendation of the MCLE Committee. The
investigation of a member for non-compliance
shall be conducted by the IBP's Commission on Bar
Discipline as a fact-finding arm of the MCLE
Committee.

SEC. 3. Accrual of membership fee. -
Membership fees shall continue to accrue at the
active rate against a member during the period
he/she is listed as a delinquent member.

NOTE: Bar Matter No. 1922 - Re: Recommendation of
the Mandatory Continuing Legal Education (MCLE)
Board to Indicate in All Pleadings Filed with the
Courts the Counsel's MCLE Certificate of Compliance
or Certificate of Exemption. - The Court resolved to
NOTE the Letter, dated May 2, 2008, of Associate
Justice Antonio Eduardo B. Nachura, Chairperson,
Commitee on Legal Education and Bar Matters,
informing the Court of the diminishing interest of
the members of the Bar in the MCLE requirement
program.

The Court further resolved, upon the
recommendation of the Committee on Legal
Education and Bar Matters, to REQUIRE practicing
members of the bar to INDICATE in all pleadings filed
before the courts of quasi-judicial bodies, the
number and date of issue of their MCLE Certificate
of Compliance or Certificate of Exemption, as may
be applicable, for the immediately preceding
compliance period. Failure to disclose the required
information would cause the dismissal of the case
and the expunction of the pleadings from the
records.

CHAPTER VI. NOTARIAL PRACTICE
A. QUALIFICATIONS OF NOTARY PUBLIC
B. TERM OF OFFICE OF NOTARY PUBLIC
C. POWERS AND LIMITATIONS
D. NOTARIAL REGISTER
E. JURISDICTION OF NOTARY PUBLIC AND
PLACE OF NOTARIZATION
F. REVOCATION OF COMMISSION
G. COMPETENT EVIDENCE OF IDENTITY
H. SANCTIONS

NOTARY PUBLIC or a notary is any person
commissioned to perform official acts
acknowledgements;
oaths and affirmations;
jurats;
signature witnessing;
copy certifications; and
any other act authorizes in the rules

Purpose
To verify the personal appearance of affiant and the
genuineness of signature

To authenticate document and verify due execution,
making document admissible in evidence without
proof of authenticity

Notarization is not an empty, meaningless, routinary
act. It is invested with substantive public interest,
such that only those who are qualified or authorized
may act as notaries publicA notarial document is by
law entitled to full faith and credit upon its face.
Courts, administrative agencies and the public at
large must be able to rely upon the
acknowledgement executed by a notary public.
[Baylon v. Almo, (2008)]

A. Qualifications of Notary Public

1) Citizen of the Philippines
2) Over 21 years of age
3) Philippine resident for at least 1 year and
maintains a regular place of work or
business in the city or province where the
commission is to be issued

56
4) Member of the Philippine Bar in good
standing, with clearances from the Bar
Confidant of the SC and the IBP
5) No conviction in the first instance for any
crime involving moral turpitude

B. Term of Office of Notary Public

A notarial commission is granted by an executive
judge after petition of the lawyer, and is good for
two years. Every petition undergoes a hearing and
approved after:
1) petition is proven sufficient in form and
substance
2) petitioner proves allegations in petition
3) petitioner establishes to the satisfaction of
the court that he has read and understood
the Rules on Notarial Practice

C. Powers and Limitations

Authority of the Notary
Sec. 1. Powers. A notary public is
a) Empowered to perform the following
material acts:
1) Acknowledgments;
2) Oaths and affirmations;
3) Jurats;
4) Signature witnessings;
5) Copy certifications; and
6) Any other act authorized by these rules
b) Authorized to certify the affixing of a
signature by thumb or mark on an instrument
or document presented for notarization if:
1) The thumb or other mark is affixed in
the presence of the notary public and
two (2) disinterested and unaffected
witnesses to the instrument or
document;
2) Both witnesses sign their own names in
addition of the thumb or other mark;
3) The notary public writes below the
thumb or other mark: Thumb or Other
Mark affixed by (name and addresses of
witnesses) and undersigned notary
public; and
4) The notary public notarizes the signature
by thumb or other mark through an
acknowledgement, jurat, or signature
witnessing
c) Authorized to sign on behalf of a person who
is physically unable to sign or make a mark
on an instrument or document if:
1) The notary public is directed by the
person unable to sign or make a mark to
sign on his behalf;
2) The signature of the notary public is
affixed in the presence of two
disinterested and unaffected witnesses
to the instrument or document;
3) Both witnesses sign their own names;
4) The notary public writes below his
signature: Signature affixed by notary
in presence of (names and addresses of
person and two (2) witnesses) ; and
5) The notary public notarizes his signature
by acknowledgement or jurat

What can be notarized

GENERAL RULE - A notary can notarize any
document, upon request of affiant. Notarization of
document must be at the notary publics regular
place of work.
EXCEPTIONS -
a) Irregularity in place - if it is outside of his
territorial jurisdiction
Exceptions:
1. in public offices, convention halls and
other places where oaths of office are
administered
2. public function areas in hotels and
similar areas used for the signing of
instruments or documents requiring
notarization
3. hospitals and other medical institutions
where a part to an instrument is
confined for treatment
4. any place where a party to the
instrument requiring notarization is
under detention

b) Irregularity in person
Disqualifications
if notary is personally a party to the
instrument
if he will receive as an indirect and direct
result any commission, fee, advantage,
right, title, interest, cash, property, or
other consideration in excess of what is
provided in these rules
if notary is a spouse, common-law
partner, ancestor, descendant, or
relative by affinity or consanguinity of
the principal up to the fourth degree

Mandatory refusal to notarize
If the transaction is unlawful or immoral
If the signatory shows signs that he does not
understand consequences of the act, per the
notarys judgment
If the signatory appears not to act of his own
free will, per the notarys judgment

Citing Albano v. Mun. Judge Gapusan, A.M. No. 1022-
MJ, 162 Phil. 884 (1976), the Court ruled that a
notary public should not facilitate the disintegration
of marriage and the family by encouraging the
separation of the spouses and extrajudicially
dissolving the conjugal partnership through the
notarization of a Kasunduan Ng Paghihiwalay.
[Espinosa v. Omaa, A.C. No. 9081, (Oct 12, 2011)]

D. Notarial Register

A chronological official notarial register of notarial
acts consisting of a permanently bound book with
numbered pages. There must only be one active
register ay any given time.

Entries in the Notarial Register
a) the following:

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57
1) entry number and page number;
2) date and time of day of the notarial act;
3) type of notarial act;
4) the title or description of the instrument,
document or proceeding;
5) the name and address of each principal;
6) the competent evidence of identity as
defined by these Rules if the signatory is
not personally known to the notary;
7) the name and address of each credible
witness swearing to or affirming the
person's identity;
8) the fee charged for the notarial act;
9) the address where the notarization was
performed if not in the notary's regular
place of work or business; and
10) any other circumstance the notary public
may deem of significance or relevance.
b) reasons and circumstances for not completing a
notarial act.
c) circumstances of any request to inspect or copy
an entry in the notarial register, including
1) the requester's name,
2) address
3) signature
4) thumb mark or other recognized identifier,
and
5) evidence of identity.
The reasons for refusal to allow inspection or
copying of a journal entry shall also be
recorded.
d) When the instrument or document is a contract,
the notary public shall keep an original copy
thereof as part of his records and enter in said
records a brief description of the substance
thereof and shall give to each entry a
consecutive number, beginning with number one
in each calendar year. He shall also retain a
duplicate original copy for the Clerk of Court.
e) The notary public shall give to each instrument
or document executed, sworn to, or
acknowledged before him a number
corresponding to the one in his register, and
shall also state on the instrument or document
the page/s of his register on which the same is
recorded. No blank line shall be left between
entries.
f) In case of a protest of any draft, bill of
exchange or promissory note, the notary public
shall
1) make a full and true record of all
proceedings in relation thereto and
2) shall note therein whether the demand for
the sum of money was made,
(a) by whom, when, and where;
(b) whether he presented such draft, bill
or note;
(c) whether notices were given, to whom
and in what manner;
(d) where the same was made, when and
to whom and where directed;
(e) and of every other fact touching the
same.
g) At the end of each week, the notary public shall
certify in his notarial register the number of
instruments or documents executed, sworn to,
acknowledged, or protested before him; or if
none, this certificate shall show this fact.
h) A certified copy of each month's entries and a
duplicate original copy of any instrument
acknowledged before the notary public shall,
within the first ten (10) days of the month
following, be forwarded to the Clerk of Court
and shall be under the responsibility of such
officer. If there is no entry to certify for the
month, the notary shall forward a statement to
this effect in lieu of certified copies herein
required.

Official signature signed by hand, not by facsimile
stamp or printing device, and at the time of the
notarization

Official seal two-inch diameter seal with the words
Philippines, attorneys name at the margin and
the roll of attorneys number.

For vendors, the sale of the seal may only be upon
judicial authority, for a period of 4 years.

For buyers, a certified copy of the commission is
necessary for purchase. One seal per certificate.

The act of a lawyer notarizing a Special Power of
Attorney knowing that the person who allegedly
executed it is dead is a serious breach of the sacred
obligation imposed upon him by the Code of
Professional Responsibility, specifically Rule 1.01 of
Canon 1. [Sicat v. Arriola, (2005)]

A lawyer is guilty of misconduct in the performance
of his duties if he fails to register in his notarial
register the affidavits-complaints which were filed in
an administrative case before the Civil Service
Commission. [Aquino v. Pascua, (2007)]

E. Jurisdiction of Notary Public
and Place of Notarization

In any place within the territorial jurisdiction of the
commissioning court for a period of two (2) years
commencing the first day of January of the year in
which the commissioning is made, unless earlier
revoked or the notary public has resigned under
these Rules and the Rules of Court.

F. Revocation of Commission

RULE XI Sec. 1. Revocation and Administrative
Sanctions.
a. The Executive Judge shall revoke a notarial
commission for any ground on which an
application for a commission may be denied.
b. In addition, the Executive Judge may revoke
the commission of, or impose appropriate
administrative sanctions upon, any notary
public who:
1. fails to keep a notarial register;
2. fails to make the proper entry or
entries in his notarial register
concerning his notarial acts;
3. fails to send the copy of the entries to

58
the Executive Judge within the first
ten (10) days of the month following;
4. fails to affix to acknowledgments the
date of expiration of his commission;
5. fails to submit his notarial register,
when filled, to the Executive Judge;
6. fails to make his report, within a
reasonable time, to the Executive
Judge concerning the performance of
his duties, as may be required by the
judge;
7. fails to require the presence of a
principal at the time of the notarial
act;
8. fails to identify a principal on the
basis of personal knowledge or
competent evidence;
9. executes a false or incomplete
certificate under Section 5, Rule IV;
10. knowingly performs or fails to perform
any other act prohibited or mandated
by these Rules; and
11. commits any other dereliction or act
which in the judgment of the
Executive Judge constitutes good
cause for revocation of commission or
imposition of administrative sanction.

G. Competent Evidence of Identity

Competent Evidence of Identity. - refers to the
identification of an individual based on:
a. at least one current identification
document issued by an official agency
bearing the photograph and signature of the
individual; or
b. the oath or affirmation of
one credible witness not privy to the
instrument, document or transaction
who is personally known to the notary
public and who personally knows the
individual, or
of two credible witnesses neither of
whom is privy to the instrument,
document or transaction who each
personally knows the individual and
shows to the notary public
documentary identification.

Notaries public must observe utmost care in
complying with formalities intended to ensure the
integrity of the notarized document and the act it
embodies. In this case, the respondent violated the
Rules on Notarial Practice when he notarized three
documents presented to him by a complainant whose
identity is not personally known to him and yet he
did not require proof of identity from the said
person. [Gonzales v. Padiernos, 573 SCRA 164
(2008)]

A lawyer commissioned as notary public is mandated
to subscribe to the sacred duties appertaining to his
office, such duties being dictated by public policy
and impressed with public interest. Faithful
observance and utmost respect of the legal
solemnity of an oath in an acknowledgment or jurat
is sacrosanct. [Maligsa v. Catanting, 272 SCRA 408
(1997)]

H. Sanctions

RULE XI Sec. 1. Revocation and Administrative
Sanctions.
a. Upon verified complaint by an interested,
affected or aggrieved person, the notary
public shall
1. be required to file a verified answer
to the complaint.
2. If the answer of the notary public is
not satisfactory, the Executive Judge
shall conduct a summary hearing.
3. If the allegations of the complaint are
not proven, the complaint shall be
dismissed.
4. If the charges are duly established,
the Executive Judge shall impose the
appropriate administrative sanctions.
5. In either case, the aggrieved party
may appeal the decision to the
Supreme Court for review. Pending
the appeal, an order imposing
disciplinary sanctions shall be
immediately executory, unless
otherwise ordered by the Supreme
Court.
b. The Executive Judge may motu proprio
initiate administrative proceedings against a
notary public, subject to the procedures
prescribed in paragraph (c) above and
impose the appropriate administrative
sanctions on the grounds mentioned in the
preceding paragraphs (a) and (b).

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59
Judicial Ethics
Legal Ethics
Judicial Ethics

I. Sources
II. Qualities
III. Discipline of Members of the
Judiciary

CHAPTER I. SOURCES
A. NEW CODE OF JUDICIAL CONDUCT FOR THE
PHILIPPINE JUDICIARY (BANGALORE
DRAFT)
B. CODE OF JUDICIAL CONDUCT

Judicial Ethics
Branch of moral science which treats of the right and
proper conduct to be observed by all judges and
magistrates in trying and deciding controversies
brought to them for adjudication which conduct
must be demonstrative of impartiality, integrity,
competence, independence and freedom from
improprieties.

Judge
A public officer who, by virtue of his office, is
clothed with judicial authority, a public officer
lawfully appointed to decide litigated questions in
accordance with law.

De Jure Judge
One who is exercising the office of judge as a matter
of right; an officer of a court who has been duly and
legally appointed, qualified and whose term has not
expired.

De Facto Judge
An officer who is not fully invested with all the
powers and duties conceded to judges, but is
exercising the office of a judge under some color of
right.

Qualifications of SC members:
a) Natural born citizen
b) At least 40 years of age
c) Must have been for at least 15 years a judge
of a lower court or engaged in the practice
of law [Sec. 7 (1), Art. VIII, 1987
Constitution]

Qualifications of RTC judges:
a) Natural-born citizen
b) At least 35 years of age
c) For at least 10 years has been engaged in
the practice of law in the Philippines or has
held public office requiring admission to the
practice of law as an indispensable requisite

Qualifications of MTC judges:
a) Natural-born citizen of the Philippines;
b) At least 30 years of age;
c) For at least five years has been engaged in
the practice of law in the Philippines or has
held public office requiring admission to the
practice of law as an indispensable
requisite.

NEW CODE OF JUDICIAL CONDUCT (Bangalore Draft)
Independence
Integrity
Impartiality
Propriety
Equality
Competence and Diligence

CHAPTER II. QUALITIES
A. CANON 1: INDEPENDENCE
B. CANON 2: INTEGRITY
C. CANON 3: IMPARTIALITY
D. CANON 4: PROPRIETY
E. CANON 5: EQUALITY
F. CANON 6: COMPETENCE AND DILIGENCE

A. Independence

CANON 1 - JUDICIAL INDEPENDENCE IS A PRE-
REQUISITE TO THE RULE OF LAW AND A
FUNDAMENTAL GUARANTEE OF A FAIR TRIAL. A
JUDGE SHALL THEREFORE UPHOLD AND EXEMPLIFY
JUDICIAL INDEPENDENCE IN BOTH ITS INDIVIDUAL
AND INSTITUTIONAL ASPECTS.

Memory Aid for Sections under Canon 1:
Independent judicial function (Sec. 1)
Outside pressure (Sec. 2)
Influencing outcome of litigation (Sec. 3)
Influence on judicial conduct (Sec. 4)
Independence from executive and legislative
(Sec. 5)
Independence from society and particular
parties (Sec. 6)
Safeguards for judicial independence (Sec. 7)
Promote Public confidence (Sec. 8)

Sec. 1. Judges shall exercise the judicial
function independently on the basis of their
assessment of the facts and in accordance with a
conscientious understanding of the law, free of
any extraneous influence, inducement, pressure,
threat or interference, direct or indirect, from
any quarter or for any reason.

A judge found defendants guilty beyond reasonable
doubt of the crime of Rape with Homicide. However,
he sentenced the accused with reclusion perpetua
instead of the death, as unequivocally required by
RA 7659. A court of law is no place for a protracted
debate on the morality or propriety of the sentence,
where the law itself provides for the sentence of
death as a penalty in specific and well-defined
instances. [People v. Veneracion, 249 SCRA 244
(1995)]

60
Mass media has its duty to fearlessly but faithfully
inform the public about events and persons.
However, when a case has received wide and
sensational publicity, the trial court should be
doubly careful not only to be fair and impartial but
also to give the appearance of complete objectivity
in its handling of the case. [Go v. Court of Appeals,
206 SCRA 165]
Sec. 2. In performing judicial duties, Judges
shall be independent from judicial colleagues in
respect of decisions which the judge is obliged to
make independently.

The discretion of the Court to grant bail must be
based on the Courts determination as to whether or
not the evidence of guilt is strong.
This discretion may be exercised only after the
evidence has been submitted at the summary
hearing conducted pursuant to Sec. 7 of Rule 114 of
the Rules. Respondents admission that he granted
bail to an accused upon the request of a
Congressman, despite his belief that the evidence of
guilt against said is strong, is indeed reprehensible.
[Tahil v. Eisma, 64 SCRA 378 (1975)]

Sec. 3. Judges shall refrain from influencing in
any manner the outcome of litigation or dispute
pending before another court or administrative
agency.

Interference by members of the bench in pending
suits with the purpose of influencing the course or
the result of the litigation subvert the independence
of the judiciary. [Sabitsana, Jr. v. Villamor, 202
SCRA 445 (1991)]

Sec. 4. Judges shall not allow family, social, or
other relationships to influence judicial conduct
or judgment. The prestige of judicial office shall
not be used or lent to advance the private
interests of others, nor convey or permit others
to convey the impression that they are in a
special position to influence the judge.

Judges family includes a judges 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 judges
household. [Definitions, Bangalore Draft]

Constant company with a lawyer tends to breed
intimacy and camaraderie to the point that favors in
the future may be asked from respondent judge
which he may find hard to resist. The actuation of
respondent Judge of eating and drinking in public
places with a lawyer who has pending cases in his
sala may well arouse suspicion in the public mind,
thus tending to erode the trust of the litigants in the
impartiality of the judge. [Padilla v. Zantua, 237
SCRA 670 (1994)]
Sec. 5. Judges shall not only be free from
inappropriate connections with, and influence
by, the executive and legislative branches of
government, but must also appear to be free
therefrom to a reasonable observer.

While it is true that Justice Sabio could not have
possibly known prior to his brother's call that his
brother intended to speak to him about the Meralco-
GSIS case, the fact remains that Justice Sabio
continued to entertain a call from his brother, who
also happens to be an officer of the executive
branch, despite realizing that the conversation was
going to involve a pending case. Justice Sabio asks
the Court if he should have immediately slammed
the phone on his brother. Certainly, such boorish
behavior is not required. However, as soon as Justice
Sabio realized that his brother intended to discuss a
case pending before him or in his division, Justice
Sabio should have respectfully but firmly ended the
discussion.That Justice Sabio did not do as his
brother asked is of no moment. Section 5, Canon 1
of the Code of Judicial Conduct maintains such a
high bar of ethical conduct that actual influence is
not a prerequisite before a violation is deemed
committed. If a magistrate's actions allow even just
the appearance of being influenced, it is deemed a
violation. [Re: Letter of Presiding Justice Conrado
M. Vasquez, Jr. A.M. No. 08-8-11-CA]

Sec. 6. Judges shall be independent in relation
to society in general and in relation to the
particular parties to a dispute which he or she
has to adjudicate.

[Respondents] act of sending a member of his staff
to talk with complainant and show copies of his draft
decisions, and his act of meeting with litigants
outside the office premises beyond office hours
violate the standard of judicial conduct required to
be observed by members of the Bench. [Tan v.
Rosete, A.M. No. MTJ-04-1563, (September 8, 2004)]

Sec. 7. Judges shall encourage and uphold
safeguards for the discharge of judicial duties in
order to maintain and enhance the institutional
and operational independence of the judiciary.

The Code of Judicial Conduct mandates judges to
administer justice without delay and directs every
judge to dispose of the courts business promptly
within the period prescribed by the law and the
rules Delay ultimately affects the image of the
judiciary. Failure to comply with the mandate of the
Constitution and of the Code of Judicial Conduct
constitutes serious misconduct, which is detrimental
to the honor and integrity of a judicial office.
Inability to decide a case despite the ample time
prescribed is inexcusable, constitutes gross
inefficiency, and warrants administrative sanction of
the defaulting judge. [Salud v. Alumbres, 404 SCRA
411]

Sec. 8. Judges shall exhibit and promote high
standards of judicial conduct in order to

REVIEWER
61
reinforce public confidence in the judiciary
which is fundamental to the maintenance of
judicial independence.

[A judge] should always be imbued with a high sense
of duty and responsibility in the discharge of his
obligation to promptly and properly administer
justice. He must view himself as a priest for the
administration of justice is akin to a religious
crusade. [Dimatulac et al v. Villon, 297 SCRA 679]

B. Integrity
CANON 2 INTEGRITY IS ESSENTIAL NOT ONLY TO
THE PROPER DISCHARGE OF THE JUDICIAL OFFICE
BUT ALSO TO THE PERSONAL DEMEANOR OF
JUDGES.

Memory Aid for Sections under Canon 2
Conduct above reproach (Sec. 1)
Reaffirm peoples faith (Sec. 2)
Disciplinary action (Sec. 3)

While the 1989 Code grouped the values of integrity
and independence together, the New Code of
Judicial Conduct has separated them, emphasizing
the need for judges to maintain a life of personal
and professional integrity in order to properly carry
out their judicial functions.

Sec. 1. Judges shall ensure that not only is their
conduct above reproach, but that it is perceived
to be so in the view of a reasonable observer.

[W]e have repeatedly admonished our judges to
adhere to the highest tenets of judicial conduct.
They must be the embodiment of competence,
integrity and independence. The exacting standards
of conduct demanded from judges are designed to
promote public confidence in the integrity and
impartiality of the judiciary because the people's
confidence in the judicial system is founded not only
on the magnitude of legal knowledge and the
diligence of the members of the bench, but also on
the highest standard of integrity and moral
uprightness they are expected to possess. When a
judge becomes the transgressor of any law which he
is sworn to apply, he places his office in disrepute,
encourages disrespect for the law and impairs public
confidence in the integrity and impartiality of the
judiciary itself. It is therefore paramount that a
judge's personal behavior both in the performance of
his duties and daily life, be free from any
appearance of impropriety as to be beyond
reproach. [Tan v. Rosete, A.M. No. MTJ-04-1563,
(Sep 8, 2004)]

Judges have been penalized for:
Demanding and/or accepting bribes
Fraternizing with litigants and/or lawyers
Altering orders
Delay in rendering
Sexual harassment of employees
Ignorance of the law
Keeping and/or flaunting a mistress
Inebriated behavior

Frequenting casinos and cock fights
Incompetence
Conducting hearings in their residence
Using intemperate language

Ignorance of the law is a mark of incompetence
When the inefficiency springs from a failure to
consider so basic and elemental a rule, a law or
principle in the discharge of his duties, a judge is
either too incompetent and undeserving of the
position and title he holds, or he is too vicious that
the oversight or omission was deliberately done in
bad faith and in grave abuse of judicial authority. In
both instances, the judge's dismissal is in order.
[Macalintal v. Teh, A.M. No. RTJ-97-1375, )October
16, 1997)]

Sec. 2. The behavior and conduct of judges must
reaffirm the people's faith in the integrity of the
judiciary. Justice must not merely be done but
must also be seen to be done.

"Justice must not merely be done but must also be
seen to be done
This phrase emphasizes the importance of the public
perception of the judiciary, not because the judicial
department intends to be influenced thereby, but
because it is essential that public confidence is
always reposed in the judicial systems and
processes.

[a] judge's official conduct and his behavior in the
performance of judicial duties should be free from
the appearance of impropriety and must be beyond
reproach. One who occupies an exalted position in
the administration of justice must pay a high price
for the honor bestowed upon him, for his private as
well as his official conduct must at all times be free
from the appearance of impropriety. Because
appearance is as important as reality in the
performance of judicial functions, like Caesar's wife,
a judge must not only be pure but also beyond
suspicion. A judge has the duty to not only render a
just and impartial decision, but also render it in such
a manner as to be free from any suspicion as to its
fairness and impartiality, and also as to the judge's
integrity. * * * It is obvious, therefore, that while
judges should possess proficiency in law in order that
they can competently construe and enforce the law,
it is more important that they should act and behave
in such a manner that the parties before them
should have confidence in their impartiality.
[Sibayan-Joaquin v. Javellana, A.M. No. RTJ- 00-
1001, (Nov 13, 2001]

A judge must not only be honest but also appear to
be so; not only be a good judge, but also a good
person. [Dawa v. De Asa, A.M. No. MTJ-98-1144,
(July 22, 1998)]

A judge must be free of a whiff of impropriety not
only with respect to his performance of his judicial
duties, but also to his behavior outside his sala and
as a private individual. There is no dichotomy of
morality: a public official is also judged by his
private morals. [Castillo v. Calanog (1991)]

62
Sec. 3. Judges should take or initiate
appropriate disciplinary measures against
lawyers or court personnel for unprofessional
conduct of which the judge may have become
aware.

Oftentimesleniency provides the court employees
the opportunity to commit minor transgressions of
the laws and slight breaches of official duty
ultimately leading to vicious delinquencies. The
respondent judge should constantly keep a watchful
eye on the conduct of his employees. He should
realize that big fires start small. His constant
scrutiny of the behavior of his employees would
deter any abuse on the part of the latter in the
exercise of their duties. Then, his subordinates
would check that any misdemeanor will not remain
unchecked. The slightest semblance of impropriety
on the part of the employees of the court in the
performance of their official duties stirs ripples of
public suspicion and public distrust of the judicial
administrators. The slightest breach of duty by and
the slightest 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 v. Benedicto Adm. Case
No. 137-J, (March 27, 1971)]

C. Impartiality

CANON 3 IMPARTIALITY IS ESSENTIAL TO THE
PROPER DISCHARGE OF THE JUDICIAL OFFICE. IT
APPLIES NOT ONLY TO THE DECISION ITSELF BUT
ALSO TO THE PROCESS BY WHICH THE DECISION IS
MADE.

Judicial duties free from bias (Sec. 1)
Promote confidence, impartiality (Sec. 2)
Minimize instances of disqualification (Sec. 3)
Public comments pending and impending case
(Sec. 4)
Disqualifications (Sec. 5)
Remittal of disqualifications (Sec. 6)
Disciplinary action (Sec. 3)

Sec. 1. Judges shall perform their judicial duties
without favor, bias or prejudice.

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. In the United States,
this is known as the Extra-Judicial Source Rule.

Because allegations of bias are quite serious, the
person bringing the allegation must prove bias
sufficient to require inhibition (also called recusal or
disqualification) with clear and convincing evidence.
Bare allegations of partiality and prejudgment will
not suffice. [Dimo Realty & Dev. Inc. v.
Dimaculangan, G.R. No. 130991, (March 11, 2004)]

A judge's conduct must be clearly indicative of
arbitrariness and prejudice before it can be
stigmatized as biased and partial. [Cruz v. Iturralde,
A.M. RTJ No. 03-1775, (April 30, 2003)]

Sec. 2. Judges shall ensure that his or her
conduct, both in and out of court, maintains and
enhances the confidence of the public, the legal
profession and litigants in the impartiality of the
judge and of the judiciary.

This provision is designed to maintain and improve
public confidence in the entire judiciary as an
impartial dispenser of justice.

The intendment of the above provision of the Rules
of Court is not difficult to find. Its rationale is
predicated in the long standing precept that no
judge should handle a case in which he might be
perceived, rightly or wrongly, to be susceptible to
bias and impartiality. His judgment must not be
tainted by even the slightest suspicion of improbity
or preconceived interest. The rule is aimed at
preserving at all times the faith and confidence in
courts of justice by any party to the litigation.
[Urbanes, Jr. v. Court of Appeals, G.R. No. 117964,
(March 28, 2001)]

A judge should behave at all times in a way that
promotes public confidence in the integrity and
impartiality of the judiciary. The appearance of bias
or prejudice can be as damaging to public
confidence and the administration of justice as
actual bias or prejudice. [Montemayor v. Bermejo,
Jr., A.M. No.MTJ-04-1535, (March 12, 2004)]

In disposing of a criminal case, a judge should avoid
appearing like an advocate for either party. It is also
improper for the judge to push actively for amicable
settlement against the wishes of the complainant. A
judges unwelcome persistence makes the judge
vulnerable to suspicions of favoritism. [Montemayor
v. Bermejo, Jr., A.M. No.MTJ-04-1535, (March 12,
2004)]

Sec. 3. Judges shall, so far as is reasonable, so
conduct themselves as to minimize the occasions
on which it will be necessary for them to be
disqualified from hearing or deciding cases.

Judges may, in their exercise of sound discretion,
restrict themselves voluntarily from sitting in a case,
but such a decision should be based on good, sound
or ethical grounds, or for just and valid reasons. It is
not enough that a party casts some tenuous
allegations of partiality at the judge. No less than
imperative is that it is the judge's sacred duty to
administer justice without fear or favor.

The majority view is that the rule of disqualification
of judges must yield to demands of necessity. Simply
stated, the rule of necessity means that a judge is
not disqualified to sit in a case if there is no other
judge available to hear and decide the case. For
example, members of the Supreme Court were
entitled to adjudicate the validity of a statue placing
a limit of 5 percent in the costs of living increase for
judges, where it was apparent that all state judges
had at least an involuntarily financial interest in the

REVIEWER
63
case Actual disqualification of a member of a court
of last resort will not excuse the member from
performing his official duty if failure to do so would
result in a denial of a litigant's constitutional right to
have a question, properly presented the court,
adjudicated. In other words, when all judges would
be disqualified, disqualification will not be
permitted to destroy the only tribunal with power in
the premises. The doctrine operates on the principle
that a basic judge is better than no judge at all.
Under such circumstances, it is the duty of the
disqualified judge to hear and decide the
controversy, however disagreeable it may be.
[Parayno v. Meneses, G.R. No. 112684, (April 26,
1994)]

Sec. 4. Judges shall not knowingly, while a
proceeding is before, or could come before
them, make any comment that might reasonably
be expected to affect the outcome of such
proceeding or impair the manifest fairness of the
process. Nor shall judges make any comment in
public or otherwise that might affect the fair
trial of any person or issue.

This Section warns judges against making any
comment that might reasonably be expected to
affect the outcome of the proceedings before them
or "impair the manifest fairness of the process.

Judges should avoid side remarks, hasty conclusions,
loose statements or gratuitous utterances that
suggest they are prejudging a case. Judges should be
aware that the media might consider them a good
and credible source of opinion or ideas, and
therefore should refrain from making any comment
on a pending case. Not only is there danger of being
misquoted, but also of compromising the rights of
the litigants in the case.

The Supreme Court has recently held that judges and
justices are not disqualified from participating in a
case simply because they have written legal articles
on the law involved in the case. [Chavez v. Public
Estates Authority, G.R. No. 133250, (May 6, 2003)]

Sec. 5. Judges shall disqualify themselves from
participating in any proceedings in which they
are unable to decide the matter impartially or in
which it may appear to a reasonable observer
that they are unable to decide the matter
impartially. Such proceedings include, but are
not limited to, instances where:
The judge has actual bias or prejudice
concerning a party or personal knowledge of
disputed evidentiary facts concerning the
proceedings;
The judge previously served as a lawyer or
was a material witness in the matter in
controversy;
The judge, or a member of his or her family,
has an economic interest in the outcome of
the matter in controversy;
The judge served as executor, administrator,
guardian, trustee or lawyer in the case or
matter in controversy, or a former associate
of the judge served as counsel during their
association, or the judge or lawyer was a
material witness therein;
The judge's ruling in a lower court is the
subject of review;
The judge is related by consanguinity or
affinity to a party litigant within the sixth
civil degree or to counsel within the fourth
civil degree; or
The judge knows that his or her spouse or
child has a financial interest, as heir,
legatee, creditor, fiduciary, or otherwise, in
the subject matter in controversy or in a
party to the proceeding, or any other
interest that could be substantially affected
by the outcome of the proceedings

Grounds for Disqualification and Inhibition of Judges
Under the Rules of Court

Mandatory or Compulsory Disqualification (Rule 131,
ROC)
a) He or his wife or his child is pecuniarily
interested as heir, legatee, creditor or
otherwise;
b) Relation to either party within the sixth
degree of consanguinity or affinity or to
counsel within the 4th civil degree
c) When he has been an executor, guardian,
administrator, trustee or counsel;
d) When he has presided in an inferior court
where his ruling or decision is subject to
review.

Voluntary Inhibition
A judge may, in the exercise of his sound discretion
disqualify himself, for just and valid reasons other
than those mentioned above. [Rule 137, Section 1]

This leaves the discretion to the judge to decide for
himself questions as to whether he will desist from
sitting in case for other just and valid reasons with
only his conscience to guide him, unless he cannot
discern for himself his inability to meet the test of
the cold neutrality required of him, in which event
the appellate court will see to it that he disqualifies
himself.

A decision to disqualify himself is not conclusive and
his competency may be determined on application
for mandamus to compel him to act. Judges
decision to continue hearing a case in which he is
not legally prohibited from trying notwithstanding
challenge to his objectivity may not constitute
reversible error.

The filing of an administrative case against a judge
does not disqualify him from hearing a case. The
court has to be shown other than the filing of
administrative complaint, act or conduct of judge
indicative of arbitrariness or prejudice before the
latter being branded as the stigma of being biased or
partial. [Lorenzo v. Marquez (1988)]

64
Disqualification Inhibition
Basis
Specific and
Exclusive
No specific
grounds BUT
there is a
broad basis
for such, i.e.
good, sound
ethical
grounds
Role of
the
Judicial
Officer
Judicial officer has
no discretion to sit
or try the case
The matter is
left to the
sound
discretion of
the judge

Sec. 6. A judge disqualified as stated above may,
instead of withdrawing from the proceeding,
disclose on the records the basis of
disqualification. If, based on such disclosure, the
parties and lawyers independently of the judge's
participation, all agree in writing that the reason
for the inhibition is immaterial or unsubstantial,
the judge may then participate in the
proceeding. The agreement, signed by all parties
and lawyers, shall be incorporated in the record
of the proceedings.

The decision to continue hearing the case, despite
the existence of reasons for disqualification should
be:
a) coupled with a bona fide disclosure to the
parties-in-litigation; and
b) subject to express acceptance by all the
parties of the cited reason as not material
or substantial. Absent such agreement, the
judge may not continue to hear the case.

D. Propriety

CANON 3 PROPRIETY AND THE APPEARANCE OF
PROPRIETY ARE ESSENTIAL TO THE PERFORMANCE
OF ALL THE ACTIVITIES OF A. JUDGE.

Avoidance of Impropriety (Sec. 1)
Acceptance of Personal Restrictions (Sec. 2)
Avoidance of Controversy (Sec. 3)
Not participate in cases where he may be
impartial (Sec. 4)
Not allow the use of his residence by other
lawyers (Sec. 5)
Freedom of Expression (Sec. 6)
Be informed of his financial interests (Sec. 7)
Influence of Judicial Conduct (Sec. 8)
Confidential Information (Sec. 9)
Engage in other activities (Sec. 10)
Practice of Profession (Sec. 11)
Form associations (Sec. 12)
Gifts, Requests, Loans (Sec. 13)
Gifts, Requests, Loans by staff (Sec. 14)
Permissible tokens and awards (Sec. 15)

Sec. 1. Judges shall avoid impropriety and the
appearance of impropriety in all of their
activities.

The requirement that judges be free from
impropriety or any appearance thereof is closely
related to the maintenance of integrity and
promotion of confidence in the judiciary.

By prohibiting not only impropriety but even the
appearance of impropriety, the Code recognizes that
even acts that are not per se improper can
nevertheless be perceived by the larger community
as such. This is so because the community holds
judges to higher standards of integrity and ethical
conduct than attorneys and other persons not
invested with public trust.

Acts done by a judge which are not illegal but are
still violations of the Code of Judicial Ethics
Hearing cases on a day when the judge was
supposed to be on official leave
Hearing a motion while on vacation, in the
judges room dressed in a polo jacket
Photos showing the judge and one of his
subordinates coming out of a hotel together,
despite absence of clear evidence of sexual
congress
Making a joking remark to a litigant suggesting
that the latter prove he harbored no ill feelings
towards the judge
Making a comment after conducting a marriage
ceremony that the bride and groom should
sexually satisfy each other so that they will not
go astray

Whatever the motive may have been, the violent
action of the respondent in a public place
constitutes serious misconduct and the resultant
outrage of the community [Arban v. Borja (1989)]

It was highly improper for a judge to have wielded a
high-powered firearm in public and besieged the
house of a perceived defamer of character and honor
in warlike fashion and berated the object of his ire,
with his firearm aimed at the victim [Saburnido v.
Madrono, (Sept. 26, 2001)]

Sec. 2. As a subject of constant public scrutiny,
judges must accept personal restrictions that
might be viewed as burdensome by the ordinary
citizen and should do so freely and willingly. In
particular, judges shall conduct themselves in a
way that is consistent with the dignity of the
judicial office.

While judges are only human, their acceptance of
the judicial position means that more is expected
from them than from ordinary citizens, as their acts,
both public and private, color the publics
perception of the judiciary as a whole. [Re:
Anonymous Complaint Against Judge Edmundo T.
Acua A.M. No RTJ-04-1891, (July 28 2005)]

Dignified conduct is best described as conduct
befitting men and women possessed of temperance
and respect for the law and for others.

Sec. 3. Judges shall, in their personal relations
with individual members of the legal profession
who practice regularly in their court, avoid

REVIEWER
65
situations which might reasonably give rise to
the suspicion or appearance of favoritism or
partiality.

Essential to the avoidance of impropriety and its
appearance is the maintenance of cold neutrality
and impartiality. This section is squarely directed at
bolstering this principle as it requires judges to
scrupulously guard against any act that may be
construed as an expression of bias in favor of a
litigant.

A judge is commanded at all times to be mindful of
the high calling of a dispassionate and impartial
arbiter expected at all times to be a cerebral man
who deliberately holds in check the tug and pull of
purely personal preferences which he shares with his
fellow mortals. [Office of the Court Administrator v.
Paderanga, A.M. No. RTJ-01-1660, (August 25 2005)]

Sec. 4. Judges shall not participate in the
determination of a case in which any member of
their family represents a litigant or is associated
in any manner with the case.

This rule rests on the principle that no judge should
preside in a case in which the judge is not wholly
free, disinterested, impartial and independent. A
judge has both the duty of rendering a just decision
and the duty of doing it in a manner completely free
from suspicion as to fairness and integrity. The
purpose is to preserve the peoples faith and
confidence in the courts of justice. (PhilJa)

Sec. 5. Judges shall not allow the use of their
residence by a member of the legal profession to
receive clients of the latter or of other members
of the legal profession.

The rationale for this section is the same as that of
Section 3.

Sec. 6. Judges, like any other citizen, are
entitled to freedom of expression, belief,
association and assembly, but in exercising such
rights, they shall always conduct themselves in
such a manner as to preserve the dignity of the
judicial office and the impartiality and
independence of the judiciary.

While judges are not expected to live a hermit-like
existence or cease functioning as citizens of the
Republic, they should remember that they do not
disrobe themselves of their judicial office upon
leaving their salas. In the exercise of their civil
liberties, they should be circumspect and ever
mindful that their continuing commitment to
upholding the judiciary and its values places upon
them certain implied restraints to their freedom.
[Sison v. Caoibes, Jr. A.M. No. RTJ-03-1771, (May 27
2004)]

A judge was admonished for the appearance of
engaging in partisan politics when he participated in
a political rally sponsored by one party, even though
he only explained the mechanics of block voting to
the audience. [Macias v. Arula, 115 SCRA 135]
Sec. 7. Judges shall inform themselves about
their personal fiduciary and financial interests
and shall make reasonable efforts to be informed
about the financial interests of members of their
family.

This section of the New Code of Judicial Conduct
should be read in conjunction with Section 7 of the
Republic Act 6713, which prohibits certain personal
fiduciary and financial conflicts.

[A] judge shall refrain from financial and business
dealings that tend to reflect adversely on the court's
impartiality, interfere with the proper performance
of judicial activities, or increase involvement with
lawyers or persons likely to come before the court.
[Catbagan v. Barte, 455 SCRA 1]

Sec. 8. Judges shall not use or lend the prestige
of the judicial office to advance their private
interests, or those of a member of their family
or of anyone else, nor shall they convey or
permit others to convey the impression that
anyone is in a special position improperly to
influence them in the performance of judicial
duties.

This rule has two parts:
a) A judge may not use judicial office to
advance private interests
b) A judge may not give the impression that he
or she can be influenced to use the judicial
office to advance the private interests of
others

Ticket-fixing
Misconduct in which judges impermissibly take
advantage of their position to avoid traffic
violations.

Sec. 9. Confidential information acquired by
judges in their judicial capacity shall not be used
or disclosed for any other purpose related to
their judicial duties.

When a judge released a draft of her decision to a
party, that conduct was found to be not just a
simple breach of confidentiality but a scheme to
make the party negotiate for increases in the
monetary awards to be given by the judge. [Centrum
Agri-Business Realty Corp. v. Katalbas-Moscardon,
247 SCRA 145]

A judge's act of personally furnishing a party copies
of orders issued, without passing them through the
court docket, was considered to be highly irregular,
giving rise to the suspicion that the judge was partial
to one of the parties in the case. [Co v. Calimag, 334
SCRA 20]

It is improper for a judge to allow his wife to have
access to court records which are necessarily
confidential, as this practice may convey the
impression that she is the one who can influence the
judge's official functions. [Gordon v. Lilagan, 361
SCRA 690]

66
Where respondent appellate justice announced on
television that he lost a confidential draft of an
order and publicly asked the National Bureau of
Investigation to investigate, he was held by the
Supreme Court to have been guilty of conduct
unbecoming a judge. [In Re Justice Anacleto Badoy,
395 SCRA 231]

Sec. 10. Subject to the proper performance of
judicial duties, judges may
Write, lecture, teach and participate in
activities concerning the law, the legal
system, the administration of justice or
related matters;
Appear at a public hearing before an official
body concerned with matters relating to the
law, the legal system, the administration of
justice or related matters;
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.

This section allows the judge to participate in legal
academia and public discourse on legal matters with
the proviso that there shall be no interference in the
performance of the judges primary functions with
respect to his or her jurisdiction.

In dealing with the media, the Philippine Judicial
Academy suggests that a judge or court should avoid
acrimonious debate with reporters and the public,
for a knee jerk reaction from the court or judge may
only provoke negative follow-up reports and articles.

This sections tolerance of judicially-related
activities is limited by Section 12, Article VIII of the
Constitution, which prohibits judges from being
designated to any agency performing quasijudicial
or administrative functions.

This declaration does not mean that RTC judges
should adopt an attitude of monastic insensibility or
unbecoming indifference to the Province/City
Committee on Justice. As incumbent RTC judges,
they form part of the structure of governmentEven
as non-membersRTC judges should render
assistance to said Committees to help promote the
laudable purposes for which they exist, but only
when such assistance may be reasonably incidental
to the fulfillment of their judicial duties. [In Re:
Designation of Judge Rodolfo U. Manzano, A.M. No.
88-7-1861-RTC, (October 5 1988)]

Sec. 11. Judges shall not practice law whilst the
holder of judicial office.

This prohibition is based on the inherent
incompatibility of the rights, duties and functions of
the office of an attorney with the powers, duties and
functions of a judge. [Carual v. Brusola, 317 SCRA
54]

While municipal judges can administer oaths or
execute certificates on matters related to their
official functions, they cannot notarize private
documents. [Tabao v. Asis, 252 SCRA 581]

However, it should be noted that judges assigned to
municipalities and circuits may act as notaries public
provided that: (1) all notarial fees charged be to the
governments account, and (2) certification be made
in the notarial documents attesting to the lack of
lawyers or notary in the municipality or circuit.
[Doughlas v. Lopez Jr., 325 SCRA 129]

Sec. 12. Judges may form or join associations of
judges or participate in other organizations
representing the interests of judges.

This rule also recognizes the difference between
membership in associations of judges and
membership in associations of other legal
professionals. While attendance at lavish events
hosted by lawyers might create an appearance of
impropriety, participation in a judges-only
organizations does not. (PhilJa)

Sec. 13. Judges and members of their families
shall neither ask for, nor accept, any gift,
bequest, loan or favor in relation to anything
done or to be done or omitted to be done by him
or her in connection with the performance of
judicial duties.

This section should be read in conjunction with
Section 7(d) of R.A. 6713 which prohibits public
officials from soliciting or accepting gifts.

Receiving money from a party litigant is the kind of
gross and flaunting misconduct on the part of the
judge, who is charged with the responsibility of
administering the law and rendering justice. [Ompoc
v. Torre (1989)]

Sec. 14. Judges shall not knowingly permit court
staff or others subject to their influence,
direction or authority, to ask for, or accept, any
gift, bequest, loan or favor in relation to
anything done or to be done or omitted to be
done in connection with their duties or
functions.

This section complements the previous section and
assures that what the judge cannot do directly, may
not be done indirectly through the use of employees
or staff members.

Sec. 15. Subject to law and to any legal
requirements of public disclosure, judges may
receive a token gift, award or benefit as
appropriate to the occasion on which it is made,
provided that such gift, award or benefit might
not be reasonably perceived as intended to
influence the judge in the performance of
official duties or otherwise give rise to an
appearance of partiality.

GENERAL RULE: Judges and members of their
families cannot accept gifts, etc.

EXCEPTION: Subject to legal requirements like public
disclosure, may accept gifts provided that it might

REVIEWER
67
not reasonably be perceived as intended to influence
judge.

Section 7(d) of R.A. 6713 allows the following:
a) Gift of nominal value tendered and received
as a souvenir or mark of courtesy
b) Scholarship or fellowship grant or medical
treatment
c) Travel grants or expenses for travel taking
place entirely outside the Philippines (such
as allowances, transportation, food and
lodging) of more than nominal value if such
acceptance is appropriate or consistent
with the interest of the Philippines, and
permitted by the head office, branch or
agency to which the judge belongs.

E. Equality

CANON 5 - ENSURING EQUALITY OF TREATMENT
TO ALL BEFORE THE COURTS IS ESSENTIAL TO THE
DUE PERFORMANCE OF THE JUDICIAL OFFICE.

Understand the diversity in society (Sec. 1)
Not to manifest bias or prejudice (Sec. 2)
Not to differentiate (Sec. 3)
Not to influence staff (Sec. 4)
Attitude to parties appearing in court (Sec. 5)

This is a new Canon not found in the previous two
Philippine Codes of Judicial Conduct. It expands the
measures to promote equality required by
international human rights agreements. Those
agreements advocate a universal application of law
and non-discrimination between the sexes. (PhilJa)

Sec. 1. Judges shall be aware of and understand
diversity in society and differences arising from
various sources, including, but not limited to,
race, color, sex, religion, national origin, caste,
disability, age, marital status, sexual
orientation, social and economic status, and
other like causes.

To render substantial justice and maintain public
confidence in the judicial system, judges are
expected to be aware of the diversity in society that
results from an increased worldwide exchange of
people and ideas. Judges must be able to avoid the
infiltration of preconceptions into their decisions.
They should be mindful of the various international
instruments and treaties ratified by the Philippines,
which affirm the equality of all human beings and
establish a norm of non-discrimination without
distinction as to race, sex, language or religion.

Sec. 2. Judges shall not, in the performance of
judicial duties, by words or conduct, manifest
bias or prejudice towards any person or group on
irrelevant grounds.

Rule 137, Sec. 1 of the Rules of Court expressly
states that no judge shall sit in any case which he
has been counsel (for a party) without the written
consent of all parties in interest, signed by them and
entered upon the record. The prohibition is not
limited to cases in which a judge hears the evidence
but includes as well cases where he acts by resolving
motions, issuing orders and the like. [In Re Judge
Rojas (1998)]

Sec. 3. Judges shall carry out judicial duties with
appropriate consideration for all persons, such as
the parties, witnesses, lawyers, court staff and
judicial colleagues, without differentiation on
any irrelevant ground, immaterial to the proper
performance of such duties.

This provision is taken from Canons 1, 9 and 10 of
the Canons of Judicial Ethics and Rule 3.04, Canon 3
of the 1989 Code of Judicial Conduct.

Sec. 4. Judges shall not knowingly permit court
staff or others subject to his or her influence,
direction or control to differentiate between
persons concerned, in a matter before the judge,
on any irrelevant ground.

Judges should organize their courts to ensure the
prompt and convenient dispatch of business and
should not tolerate misconduct by clerks, sheriffs
and other assistants who are sometimes prone to
expect favors or special treatment due to their
professional relationship with the judge. [Canons of
Judicial Ethics, 8; 1989 Code of Judicial Conduct,
Canon 3, Rule 3.09]

Sec. 5. Judges shall require lawyers in
proceedings before the court to refrain from
manifesting, by words or conduct, bias or
prejudice based on irrelevant grounds, except
such as are legally relevant to an issue in
proceedings and may be the subject of legitimate
advocacy.

Judges should conduct proceedings in court with
dignity and in a manner that reflects the importance
and seriousness of proceedings. They should
maintain order and proper decorum in the court.
[1989 Code of Judicial Conduct, Canon 3, Rule 3.03]

Judges have the duty to prevent lawyers from
abusing witnesses with unfair treatment.

Rights and Obligations of Witnesses (Rule 132,
Section 3 of the Revised Rules of Court):
a) To be protected from irrelevant, improper
or insulting questions and from a harsh or
insulting demeanor;
b) Not to be detained longer than the interests
of justice require
c) Not to be examined except as to matters
pertinent to the issues before the court;
d) Not to give an answer which will tend to
subject him to a penalty for an offense
unless otherwise provided by law;
e) Not to give an answer which will tend to
degrade the witness reputation, but a
witness must answer the fact of any
previous final conviction for a criminal
offense.

68

Women appearing as witnesses or litigants have
found themselves subjected to inappropriate, overly
familiar and demeaning forms of address, comments
on their personal appearance, sexist remarks,
jokes and unwelcome advances. As courts are
expected to ensure equality, any lawyer who makes
an insensitive or demeaning comment in court should
be admonished. (PhilJa)

The action of the judge in seizing the witness,
Alberto Angel, by the shoulder and turning him about
was unwarranted and an interference with that
freedom from unlawful personal violence to which
every witness is entitled while giving testimony in a
court of justice. Against such conduct the appellant
had the right to protest and to demand that the
incident be made a matter of record. That he did so
was not contempt, providing protest and demand
were respectfully made and with due regard for the
dignity of the court. [In Re: Aguas (1901)]

F. Competence and Diligence

CANON 6 - COMPETENCE AND DILIGENCE ARE
PREREQUISITES TO THE DUE PERFORMANCE OF
JUDICIAL OFFICE.

Duties take precedence (Sec. 1)
Perform administrative duties (Sec. 2)
Maintain professional competence (Sec. 3)
Be informed about the law (Sec. 4)
Prompt decision making (Sec. 5)
Maintain order in proceedings (Sec. 6)
Not to engage in conduct contrary to duties
(Sec. 7)

Judicial office demands competence and diligence.

The administration of justice is a sacred task ...
and [u]pon assumption to office, a judge ceases to
be an ordinary mortal. He becomes the visible
representation of the law and more importantly, of
justice. [Office of the Court Administrator v.
Gines, 224 SCRA 261 (1993)]

Sec. 1. The judicial duties of a judge take
precedence over all other activities.

Though a judge has a duty to not sit where
disqualified, a judge has an equally strong duty not
to recuse himself when the circumstances do not
require recusal. [ABA Annotated Model Code of
Judicial Conduct (2004), Commentary, Canon 3B(1),
citing Laird v. Tatum, 409 U.S. 824 (1972)]

Sec. 2. Judges shall devote their professional
activity to judicial duties, which include not only
the performance of judicial functions and
responsibilities in court and the making of
decisions, but also other tasks relevant to the
judicial office or the courts operations.

In the instant case, respondent judge impeded the
speedy disposition of cases by his successor on
account of missing records of cases. This fact
reflects an inefficient and disorderly system in the
recording of cases assigned to his sala. Proper and
efficient court management is as much the judge's
responsibility for the Court personnel are not the
guardians of a Judge's responsibilities. A judge is
expected to ensure that the records of cases
assigned to his sala are intact. There is no
justification for missing records save fortuitous
events. The loss of not one but eight records is
indicative of gross misconduct and inexcusable
negligence unbecoming of a judge. [Longboan v.
Polig (1990)]

Sec. 3. Judges shall take reasonable steps to
maintain and enhance their knowledge, skills and
personal qualities necessary for the proper
performance of judicial duties, taking advantage
for this purpose the training and other facilities
which should be made available, under judicial
control, to judges.

Judges are regarded as persons learned in the law
and it is in part their masterful grasp of the law that
sustains public trust in their work and in the
confidence of the people and the legal profession in
the administration of justice.

Even in the remaining years of his stay in the
judiciary, he should keep abreast with the changes
in the law and with the latest decisions and
precedents. Although a judge is nearing retirement,
he should not relax in his study of the law and court
decisions. [Abad v. Bleza (1986)]

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. [Cruz v. Iturralde, 402
SCRA 65, 73-74 (2003)]

To constitute gross ignorance of the law, an error or
irregularity 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 motivated by bad faith, fraud, dishonesty and
corruption. [Duduaco v. Laquindanum, 466 SCRA
428 (2005)]

Now, the established doctrine and policy is that
disciplinary proceedings and criminal actions against
Judges are not complementary or suppletory of, nor
a substitute for, these judicial remedies, whether
ordinary or extraordinary. Resort to and exhaustion
of these judicial remedies are prerequisites for
the taking of other measures against the persons of
the judges concerned, whether of civil,
administrative, or criminal nature. It is only after
the available judicial remedies have been exhausted
and the appellate tribunals have spoken with finality
that the door to an inquiry into his criminal, civil, or

REVIEWER
69
administrative liability may be said to have opened,
or closed. [Maquiran v. Grageda, 451 SCRA 15
(2005)]
Sec. 4. Judges shall keep themselves informed
about relevant developments of international
law, including international conventions and
other instruments establishing human rights
norms.

Sec. 5. Judges shall perform all judicial duties,
including the delivery of reserved decisions,
efficiently, fairly and with reasonable
promptness.

The essence of the judicial function is expressed in
Section 1, Rule 124 of the Revised Rules of Court
which provides that [j]ustice shall be impartially
administered without unnecessary delay. This
principle permeates the whole system of judicature,
and supports the legitimacy of the decrees of
judicial tribunals.

Sec. 6. Judges shall maintain order and decorum
in all proceedings before the court and be
patient, dignified and courteous in relation to
litigants, witnesses, lawyers and others with
whom the judge deals in an official capacity.
Judges shall require similar conduct of legal
representatives, court staff and others subject to
their influence, direction or control.

The respondent judge was guilty of committing acts
unbecoming of a judge and abuse of authority when
he shouted invectives and threw a chair at the
complainant, resulting in wrist and other injuries to
the complainant. [Briones v. Ante, Jr., 380 SCRA 40
(2002)]

The respondent judge was found guilty of serious
misconduct and inefficiency by reason of habitual
tardiness. He was fined and suspended for judicial
indolence. [Yu-Asensi v. Villanueva, 322 SCRA 255
(2000)]

Sec. 7. Judges shall not engage in conduct
incompatible with the diligent discharge of
judicial duties.

A judge neglected his duty when he failed to
exercise extra care in ensuring that records of the
cases and official documents in his custody were
intact. The Supreme Court reiterated that judges
must adopt a system of record management and
organize their dockets in order to bolster the prompt
and efficient dispatch of business. [Beso v.
Daguman, 323 SCRA 566 (2000)]

By issuing orders indefinitely postponing the hearing
of election protest, the judge in De la Cruz v.
Pascua manifested inefficiency in the disposition of
an election protest case and thus overtly
transgressed basic mandatory rules for expeditious
resolution of cases. [De la Cruz v. Pascua, 359 SCRA
568 (2001)]

CHAPTER III. DISCIPLINE OF
MEMBERS OF THE JUDICIARY
A. INDEPENDENCE
B. MEMBERS OF THE SUPREME COURT
C. LOWER COURT JUDGES AND JUSTICES
D. GROUNDS
E. SANCTIONS IMPOSED BY THE SC ON ERRING
MEMBERS OF THE JUDICIARY

A. Independence

1. Impeachment

Statutory Basis
1987 Constitution, Art. X, Section 2. The
President, the Vice-President, the Members of the
Supreme Court, the Members of the
Constitutional Commissions, and the Ombudsman
may be removed from office on impeachment for,
and conviction of, culpable violation of the
Constitution, treason, bribery, graft and
corruption, other high crimes, or betrayal of
public trust. All other public officers and
employees may be removed from office as
provided by law, but not by impeachment.

B. Lower Court Judges and
Justices

Statutory Basis
1987 Constitution, Art. VIII, Section 11. The
members of the Supreme Court and judges of
lower courts shall hold office during a good
behavior until they reach the age of seventy years
or become incapacitated to discharge the duties
of their office. The Supreme Court en banc shall
have the power to discipline judges of lower
courts, or order their dismissal by a vote of
majority of the Members who actually took part in
the deliberations on the issues in the case and
voted thereon.

GENERAL RULE: A judge is not liable
administratively, civilly or criminally when he acts
within his power and jurisdiction.

This frees the judge from apprehension of personal
consequences to himself and to preserve the
integrity and independence of the judiciary.

EXCEPTION: Serious misconduct; inefficiency; gross
and patent, or deliberate and malicious error; bad
faith

Misconduct
Wrongful intention and not mere error in judgment
[Raquiza vs. Castaneda, 82 SCRA 235]

Serious Misconduct
Exists when the judicial act complained of is corrupt
or inspired by an intention to violate the law or a
persistent disregard of well-known legal rules.

70
[Galangi v. Macli-ing, Adm. Matter No. 75-DJ, (Jan.
17, 1978)]

Serious Inefficiency
An example is negligence in the performance of
duty, if reckless in character [Lapena v. Collado, 76
SCRA 82]

Error or Ignorance of Law
Error or mistake must be gross or patent, malicious,
deliberate or in bad faith.
Must act fraudulently, corruptly or with gross
ignorance.

Caveat: Not every error or mistake of a judge in the
performance of his duties makes him liable. To hold
the judge administratively accountable for every
erroneous ruling or decision he renders, assuming he
has erred, would be nothing short of harassment and
would make his position unbearable. [Secretary of
Justice v. Marcos, 76 SCRA 301]

Misconduct implies malice or a wrongful intent, not
a mere error of judgment. For serious misconduct
to exist, there must be a reliable evidence showing
that the judicial acts complained of were corrupt or
were inspired by an intention to violate the law, or
were in persistent disregard of well-known legal
rules. [In re: Impeachment of Horilleno, 43 Phil.
212]

Inefficiency implies negligence, ignorance and
carelessness. A judge would be inexcusably negligent
if he failed to observe in the performance of his
duties that diligence, prudence and circumspection
which the law requires in the rendition of any public
service. [In re: Climaco, 55 SCRA 107]

RULE 140: Discipline of Judges of Regular and
Special Courts and Justices of the Court of Appeals
and the Sandiganbayan

SECTION 1. How instituted. Proceedings for
the discipline of judges of regular and special
courts and Justices of the Court of Appeals and
the Sandiganbayan may be instituted motu
proprio by the Supreme Court or upon a verified
complaint, supported by affidavits of person who
have personal knowledge of the facts alleged
therein or by documents which may substantiate
said allegations, or upon an anonymous
complaint, supported by public records of
indubitable integrity. The complaint shall be in
writing and shall state clearly and concisely the
acts and omissions constituting violations of
standards of conduct prescribed for Judges by
law, the Rules of Court, or the Code of Judicial
Conduct.

SEC. 2. Action on the complaint. If the
complaint is sufficient in form and substance, a
copy thereof shall be served upon the
respondent, and he shall be required to comment
within ten (10) days from the date of service.
Otherwise, the same shall be dismissed.

SEC. 3. By whom complaint investigated.
Upon the filing of the respondents comment, or
upon the expiration of the time for filing the
same and unless other pleadings or documents
are required, the Court shall refer the matter to
the Office of the Court Administrator for
evaluation, report, and recommendation or
assign the case for investigation, report, and
recommendation to a retired member of the
Supreme Court, if the respondent is a Justice of
the Court of Appeals and the 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

SEC. 4. Hearing. the investigating Justice or
Judge shall set a day of the hearing and send
notice thereof to both parties. At such hearing
the parties may present oral and documentary
evidence. If, after due notice, the respondent
fails to appear, the investigation shall proceed
ex parte.

The Investigating Justice or Judge shall
terminate the investigation within ninety (90)
days from the date of its commencement or
within such extension as the Supreme Court may
grant.

SEC. 5. Report. Within thirty (30) days from
the termination of the investigation, the
investigating Justice or Judge shall submit to the
Supreme Court a report containing findings of
fact and recommendation. The report shall be
accompanied by the record containing the
evidence and the pleadings filed by the parties.
The report shall be confidential and shall be for
the exclusive use of the Court.

SEC. 6. Action. The Court shall take such
action on the report as the facts and the law may
warrant.

SEC. 12. Confidentiality of proceedings.
Proceedings against Judges of regular and special
courts and Justices of the Court of Appeals and
the Sandiganbayan shall be private and
confidential, but a copy of the decision or
resolution of the court shall be attached to the
record of the respondent in the Office of the
Court Administrator.

C. Grounds

SEC. 7. Classification of charges.
Administrative charges are classified as serious,
less serious, or light.

SEC. 8. Serious charges. Serious charges
include:
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

REVIEWER
71
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. 9. Less Serious Charges. Less serious
charges include:
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; and
7. Simple Misconduct.

SEC. 10. Light Charges. Light charges include:
1. Vulgar and unbecoming conduct;
2. Gambling in public;
3. Fraternizing with lawyers and litigants
with pending case/cases in his court; and
2. 4. Undue delay in the submission of
monthly reports.

D. Sanctions Imposed by the
Supreme Court on Erring
Members of the Judiciary

SEC. 11. Sanctions.
A. If the respondent is guilty of a serious charge,
any of the following sanctions may be imposed:
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

B. If the respondent is guilty of a less serious
charge, any of the following sanctions shall be
imposed:
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.

C. If the respondent is guilty of a light charge,
any of the following sanctions shall be imposed:
1. A fine of not less than P1,000.00 but not
exceeding P10,000.00 and/or
2. Censure;
2. Reprimand;
3. Admonition with warning.

Instances of Serious Misconduct Which Merited
Discipline by the Supreme Court:
Failure to deposit funds with the municipal
treasurer or produce them despite his promise
to do so [Montemayor v. Collado, 107 SCRA 258]
Misappropriation of fiduciary funds (proceeds of
cash bail bond) by depositing the check in his
personal account, thus converting the trust fund
into his own use [Barja v. Beracio, 74 SCRA
355].
Extorting money from a party-litigant who has a
case before his court [Haw Tay v. Singayao, 154
SCRA 107].
Solicitation of donation for office equipment
[Lecaroz v. Garcia].
Frequent unauthorized absences in office
[Municipal Council of Casiguruhan, Quezon v.
Morales, 61 SCRA 13].

Instances of Gross Inefficiency Which Merited
Discipline by the Supreme Court
Delay in the disposition of cases in violation of
the Canon that a judge must promptly dispose of
all matters submitted to him. With or without
the transcripts of stenographic notes, the 90-day
period for deciding cases or resolving motions
must be adhered to [Balagot v. Opinion, 195
SCRA 429].
Unduly granting repeated motions for
postponement of a case [Araza v. Reyes, 64
SCRA 347].
Unawareness of or unfamiliarity with the
application of the Indeterminate Sentence Law
and the duration and graduation of penalties [In
re: Paulin, 101 SCRA 605].
Reducing to a ridiculous amount (P6,000.00) the
bail bond of the accused in a murder case thus
enabling him to escape the toils of the law
[Soriano v. Mabbayad, 67 SCRA 385].
Imposing the penalty of subsidiary imprisonment
on a party for failure to pay civil imdemnity in
violation of R.A. 5465 [Monsanto v. Palarca, 126
SCRA 45].

CONDUCT:
Administrative cases against lower court judges and
justices are automatically treated as disbarment
cases

Quantum of evidence required: Beyond reasonable
doubt.

Rules for evidence: Same rules as in criminal trials

72

EFFECT OF WITHDRAWAL, DESISTANCE, RETIREMENT
OR PARDON

The withdrawal of the case by the complainant, or
the filing of an affidavit of desistance or the
complainants loss of interest does not necessarily
cause the dismissal thereof. Reason: To condition
administrative actions upon the will of every
complainant who for one reason or another,
condones a detestable act is to strip the Supreme
Court of its supervisory power to discipline erring
members of the judiciary. [Anguluan v. Taguba, 93
SCRA 179]

Desistance will not justify the dismissal of an
administrative case if the records will reveal that
the judge had not performed his duties. [Espayos v.
Lee, 89 SCRA 478]

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