Professional Documents
Culture Documents
L
AW
BAR REVIEWER
2012
LEGAL
ETHICS
Dean Danilo L. Concepcion
Dean, UP College of Law
UP
L
AW
BAR REVIEWER
2012
LEGAL
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
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Graciello Timothy Reyes |Layout
Charmaine Sto. Domingo Katrina Maniquis |Mock Bar
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ETHICS
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Paula Plaza |Linkages
LEGAL
ETHICS
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
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
LEGAL
F.
ETHICS
UP
L
AW
BAR REVIEWER
2012
LEGAL
ETHICS
Legal Ethics
8
Legal Ethics
Judicial Ethics
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
CONCEPT
QUALIFICATIONS
APPEARANCE OF NON-LAWYERS
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)]
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)
(2)
(3)
(4)
Citizenship
Residence
Age (above 21 y/o)
Good Moral Character and no charges
involving moral turpitude
(5) Legal Education (pre-law, law proper)
(6) Bar Examinations
(7) Lawyers Oath
1. Citizenship
Statutory Basis
1987 Const., Art. XII, Sec. 14 The practice of all
2. Residence
Statutory Basis
ROC, Rule 138, Sec. 2. Every applicant for
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
ROC, Rule 138, Sec. 2. Every applicant for
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
REVIEWER
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
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
3rd
day
4th
day
Taxation (afternoon)
Criminal Law (afternoon)
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 %
10 %
Mercantile Law
15 %
Criminal Law
10 %
15 %
Taxation
10 %
Statutory Bases
Remedial Law
20 %
5%
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.
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
REVIEWER
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
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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
Tribunals
in
Administrative
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
REVIEWER
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.
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F. Lawyers
Authorized
Represent the Government
to
G. Lawyers Oath
Statutory Basis
SOCIETY
THE LEGAL PROFESSION
THE COURTS
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]
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
REVIEWER
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)
(2)
In The Profession
Canon 8: Courtesy, Fairness, Candor
Towards Professional Colleagues
(3)
Canon 9: Unauthorized Practice Of Law
(2)
Loyalty
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
(3)
A. SOCIETY
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REVIEWER
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
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REVIEWER
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
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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.
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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)
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
Bar Matter No. 850 (2000)
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
4 hrs
5 hrs
2 hrs
6 hrs
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)
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.
4 hrs
9 hrs
Exemptions
(1) President, vice-president, cabinet members
(2) Members of Congress
(3) Chief Justice and incumbent and retired
members of the judiciary
(2)
(3)
(4)
(5)
(6)
(7)
(8)
REVIEWER
the public interest over and
above
personal interest.
Professionalism- perform and discharge
their duties with the highest degree of
excellence, professionalism, intelligence
and skill
Justness and sincerity- not discriminate
against anyone, especially the poor and
the underprivileged
Political neutrality- provide service to
everyone without unfair discrimination
and regardless of party affiliation or
preference
Responsiveness to the public- extend
prompt, courteous, and adequate service
to the public
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.
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.
Simple living- lead modest lives
appropriate to their positions and
income
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REVIEWER
(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 nonpolitical 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)]
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(2)
(3)
(4)
(5)
REVIEWER
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 2nd
lawyer should communicate with the 1st
before making an appearance as co-counsel.
a. Should the 1st lawyer object, 2nd
lawyer should decline association
but if the 1st 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).
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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.
REVIEWER
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 nonlawyer. [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)
29
30
REVIEWER
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.
Related Statutory Basis
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)]
31
32
REVIEWER
Rule 12.07 - A lawyer shall not abuse, browbeat
or harass a witness nor needlessly inconvenience
him.
Related Statutory Basis
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.
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34
D. The Clients
1. Availability of Service Without
Discrimination
a. Services
Regardless
Persons Status
of
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.
b. Services
Officio
as
Counsel
de
REVIEWER
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.
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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)]
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.
Related Statutory Basis
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
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)]
REVIEWER
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.)
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
An attorneys knowledge
reputation for fidelity may
disputants to settle their
However, he shall not act
them. (Agpalo)
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f. Concurrent
Practice
Another Profession
of
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
d)
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.
Related Statutory Basis
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.
REVIEWER
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.
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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
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-
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.
REVIEWER
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)
6. Representation
with
Within Legal Bounds
Zeal
Statutory Basis
CANON 19: Represent client with zeal within the
bounds of law.
41
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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)
7. Attorneys Fees
a. Acceptance Fees
Statutory Basis
CANON 20: Charge only fair and reasonable fees.
Related Statutory Basis
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
Contingent fee is
payable in cash
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
Passive lien. It
cannot be
actively
enforced. It is a
general lien.
Lawful possession
of funds, papers,
documents,
property
belonging to
client
Covers only
funds, papers,
documents, and
property in the
lawful possession
of the attorney
by reason of his
professional
employment
Nature
Basis
Effectivity
As soon as the
lawyer gets
possession of the
funds, papers,
documents,
property
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.
Notice
Applicability
May be exercised
before judgment
or execution, or
regardless
thereof
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
Coverage
d. Fees and
with Clients
Charging
Active lien. It
can be
enforced by
execution. It is
a special lien.
Securing of a
favorable
money
judgment for
client
Covers all
judgments for
the payment of
money and
executions
issued in
pursuance of
such judgment
As soon as the
claim for
attorneys fees
had been
entered into
the records of
the case
Client and
adverse party
need to
notified to
make it
effective
Generally, it is
exercisable
only when the
attorney had
already
secured a
favorable
judgment for
his client
Controversies
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e. Concepts
Fees
of
Attorneys
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.
Lawyer
is
Entitled
8. Preservation
Confidences
of
Clients
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
duty of an attorney:
(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
REVIEWER
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.
45
46
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;
c)
REVIEWER
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
47
48
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
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.
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50
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
RESPONDENTS ANSWER:
Within 15 days from notice
1)
2)
3)
4)
INVESTIGATION
Investigator may issue subpoenas
Provide respondent with opportunity to
be heard
May proceed with investigation ex parte
should respondent be unable to comply
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
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)
interposing
litigation
appeal
merely
REVIEWER
to delay
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 partylitigant
INVESTIGATION
(3 months)
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.
51
52
REVIEWER
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.
PURPOSE
REQUIREMENTS
COMPLIANCE
EXEMPTIONS
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
53
54
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.
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
E. Sanctions
Statutory Bases
RULE 13 SECTION 1. Non-compliance fee. - A
member who, for whatever reason, is in noncompliance 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,
person
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)]
55
56
5)
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
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:
b)
c)
d)
e)
f)
g)
h)
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
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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).
Judicial Ethics
Legal Ethics
Judicial Ethics
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
law
as
an
REVIEWER
indispensable
CANON
CANON
CANON
CANON
CANON
CANON
1: INDEPENDENCE
2: INTEGRITY
3: IMPARTIALITY
4: PROPRIETY
5: EQUALITY
6: COMPETENCE AND DILIGENCE
A. Independence
CANON 1 - JUDICIAL INDEPENDENCE IS A PREREQUISITE 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)]
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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
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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.
Memory Aid for Sections under Canon 3
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
REVIEWER
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)]
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Basis
Specific and
Exclusive
Role of
the
Judicial
Officer
Inhibition
No specific
grounds BUT
there is a
broad basis
for such, i.e.
good, sound
ethical
grounds
The matter is
left to the
sound
discretion of
the judge
D. Propriety
CANON 3 PROPRIETY AND THE APPEARANCE OF
PROPRIETY ARE ESSENTIAL TO THE PERFORMANCE
OF ALL THE ACTIVITIES OF A. JUDGE.
Memory Aid for Sections under Canon 3
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.
REVIEWER
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]
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E. Equality
CANON 5 - ENSURING EQUALITY OF TREATMENT
TO ALL BEFORE THE COURTS IS ESSENTIAL TO THE
DUE PERFORMANCE OF THE JUDICIAL OFFICE.
Memory Aid for Sections under Canon 5
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
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REVIEWER
INDEPENDENCE
MEMBERS OF THE SUPREME COURT
LOWER COURT JUDGES AND JUSTICES
GROUNDS
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
Justices
Judges
and
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.
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C. Grounds
SEC.
7.
Classification
of
charges.
1.
2.
REVIEWER
Suspension from office without salary
and
other benefits for not less than one (1)
nor more than three (3) months; or
A fine of more than P10,000.00 but not
exceeding P20,000.00.
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