THE PRACTICE OF LAW
4. Application of law, legal principle,
** CPR
** Judicial Ethics
** Proposed Comments/
** Insert Codal provisions
Generally speaking, to engage in the
practice of law is to do any of those acts
which are characteristic of the legal
profession.
It covers any activity, in and out of court,
which requires the application of law, legal
principles, practice or procedure and calls
for legal knowledge, training, and
experience.
The practice of law means to give notice
or render any kind of service, which
device or service requires the use in any
degree of legal knowledge or skill.1
(Cayetano v. Monsod G.R. No. 10013,
September 3, 1991.)
What are the factors determinative of
engaging in the practice of law?
(HACA)
1. Habituality
- Habituality implies customarily or
habitually holding oneself out to the
public as a lawyer. (People v.
Villanueva, 14 SCRA 109.)
2. Attorney-client relationship
3. Compensation
- Compensation implies that one must
have presented himself to be in the
active practice and that his
professional services are available to
the public for compensation, as a
source of his livelihood or in
consideration of his said services. (Id.)
1
Note: This definition of practice of
law was most recently reiterated in Arienda v.
Monilla, A.M. No. P-11-2980, June 10, 2013.
practice, or procedure
- It calls for legal knowledge, training
and experience. (Id.)
Regulation of the Practice of Law in the
Philippines
Section 5. The Supreme Court shall have
the following powers:
(5) Promulgate rules concerning the
protection and enforcement of
constitutional rights, pleading, practice,
and procedure in all courts, the
admission to the practice of law, the
integrated bar, and legal assistance to
the underprivileged. (Philippine
Constitution Art. VIII, Sec. 5, Par.5)
It is the primary and inherent prerogative
of the Supreme Court to render the
ultimate decision on who may be admitted
and may continue in the practice of law
according to existing rules. (In Re:
Cunanan, 94 Phil. 554, March 18, 1954.)
The practice of all professions in the
Philippines shall be limited to Filipino
citizens, save in cases prescribed by law.
(Philippine Constitution Art. XII, Sec. 14,
Par.2)
Who may practice law?
Any person heretofore duly admitted as a
member of the bar, or hereafter admitted
as such in accordance with the provisions
of this rule, and who is in good and
regular standing. (ROC, Rule 138, Sec. 1)
A. CONCEPT
(a) Privilege
The practice of law is not a matter of right
but merely a privilege bestowed upon
individuals who are not only learned in the
law but who are also known to possess
good moral character. (Agpalo, Legal and
Judicial Ethics, p.41, 2009)
(b) Profession, not Business

It is a profession, not business, it is an

essential part in the administration of
justice, a profession in pursuit of
which pecuniary reward is considered
as merely incidental. It is not a
moneymaking venture. (Rule 2.03,
Code of Professional Responsibility.2)
(check the jurisprudence, its not subject
to solicitation or profit making)

Note: Rule 2.03 - A lawyer shall not

do or permit to be done any act designed
primarily to solicit legal business.

Law is a profession and not a trade.
Section 25 of Rule 127 provides that the
practice of soliciting cases at law for
purpose of gain, either personally of thru
paid agents of brokers, constitutes
malpractice. (Director of Religious Affairs
v. Bayot, 74 Phil. 740)
What are the primary characteristics
which distinguish the legal profession
from a business? (DOHR)
a. Duty of service, of which the
emolument is a by-product, and in
which one may attain the highest
eminence without making such
money;
b. A relation as an Officer of court to
the administration of justice involving
thorough sincerity, integrity and
reliability;
c. A relation to clients in the Highest
degree of fiduciary;
d. A Relation to colleagues at the bar
characterized by candor, fairness and
unwillingness to resort to current
business methods of advertising and
encroachment on their practice or
dealing with their clients. (R.E.
Agpalo, Legal and Judicial Ethics, 13,
2009)
B. QUALIFICATIONS
(a) A Lawyer is One Who Has:
i. Passed the Bar Examinations
ii. Taken an oath before the Supreme
Court
iii.Signed and registered in the Roll of
Attorneys
iv.Received a certificate of license to
practice law from the Clerk of Court of
the Supreme Court (Sections 17 and
18, Rule 138, Revised Rules of
Court3)
(b) Admission to the Bar
Generally, every applicant for admission
to the practice of law must be
i. A Citizen of the Philippines
ii. At least 21 years of Age
3 Hereinafter referred to as RRC
iii. A Resident of the Philippines
iv. Of Good moral character (Id. at
Sec. 2)
He must also show that:
i. No charges of moral turpitude are
filed or pending against him (Id.)
ii. Possesses the required
educational qualifications (including a
4-year pre-law degree in an
authorized or recognized university or
college) (Id., at Sections 5 & 6.)
(1) Must have already earned a
Bachelors Degree in Arts or
Sciences (Pre-law); (cite
Cudya case?)
(2) Law course completed
courses in Civil Law,
Commercial Law, Remedial
Law, Criminal Law, Public
International Law, Political
Law, Labor and Social
Legislation, Medical
Jurisprudence, Taxation, Legal
Ethics
iii. Pass the bar examinations (Id., at
Sections 14 & 17.)
iv. Other qualifications as may be
prescribed by the Supreme Court(In
Re: Cunanan, 94 Phil. 534, March 18,
1954.) - There should be other
jurisprudence
The practice of law is a privilege granted
only to those who possess the strict
intellectual and moral qualifications
required of lawyers who are instruments
in the effective and efficient administration
of justice. It is the sworn duty of this Court
not only to weed out lawyers who have
become a disgrace to the noble
profession of the law but, also of equal
importance, to prevent misfits from
taking the lawyers oath, thereby further
tarnishing the public image of lawyers
which in recent years has undoubtedly
become less than irreproachable. (In Re:
Argosino, B.M. No. 712, March 19, 1997.)
Possession of moral integrity is of greater
importance than possession of legal
learning. The practice of law is a privilege
bestowed only on the morally fit. A bar
candidate who is morally unfit cannot
practice law even if he passes the bar
examinations. (Aguirre v. Rana, B.M. No.
1036, June 10, 2003.)
A Bachelors degree alone, conferred by a
law school upon completion of certain
academic requirements, does not entitle
its holder to exercise the legal profession.
(Cui v. Cui, 11 SCRA 759, April 9, 1934.)
Passing such examinations is not the
only qualification to become an attorney-
at-law; taking the prescribed courses of
legal study in the regular manner is
equally essential. (Diao v. Martinez, A.C.
No. 244, March 29, 1963.)
The term attorney is reserved for those
who pass the Philippine Bar. It cannot be
used by those who only took and passed
the Sharia Bar. (Alawi v. Alauya, 268
SCRA 628, February 24, 1997) The
unauthorized use of the appellation
"attorney" may render a person liable for
indirect contempt of court. (Bar Matter No.
1209)
Practicing law while failing to sign the Roll
of Attorneys will make the offender guilty
of unauthorized practice of law. (In Re:
Petition to Sign in the Roll of Attorneys,
B.M. No. 2540, September 24, 2013.)
(c) Citizenship
The practice of all professions in the
Philippines shall be limited to Filipino
citizens, save in cases prescribed by law.
(Constitution, Art. XII, Sec. 14, par.2) are
there exceptions? How about US
attorney's allowed by Phil Courts to
practice specialized expertise.
Being a Filipino citizen is a "continuing
requirement" for law practice in the
Philippines, and the loss of it
automatically means the termination of
that privilege. But a Filipino lawyer who
becomes a citizen of another country but
later re-acquires his Philippine citizenship
under RA 9225 remains to be a member
of the Philippine Bar. (How about dual
citizens)
However, re-acquisition of the privilege to
practice law in the Philippines is not
"automatic" and the person must first
apply with proper authorities for a new
license or permit. (Petition to Re-Acquire
the Privilege to Practice Law by Epifanio
Muneses, B.M. No. 2112, July 24, 2012,
with accompanying Supreme Court
Resolution En Banc, July 24, 2012).
(d) Bar Examinations
Amending Sections 5 and 6 of Rule 138
of the Rules of Court, the Supreme Court
now allows Filipino graduates of
foreign law schools to take the
Philippine Bar, subject to certain
conditions.
Section 5 of the Rule now provides that
before being admitted to the examination,
all applicants for admission to the bar
shall satisfactorily show that they have
successfully completed all the prescribed
courses for the degree of Bachelor of
Laws or its equivalent degree in a law
school or university officially recognized
by the Philippine Government or by the
proper authority in the foreign jurisdiction
where the degree has been granted.
Section 5 now also provides that a Filipino
citizen who graduated from a foreign law
school shall be admitted to the bar
examination only upon submission to the
Supreme Court of certifications showing:
(a) completion of all courses leading to
the degree of Bachelor of Laws or its
equivalent degree; (b) recognition or
accreditation of the law school by the
proper authority; and (c) completion of all
fourth year subjects in the Bachelor of
Laws academic program in a law school
duly recognized by the Philippine
Government.
A Filipino citizen who completed and
obtained his or her degree in Bachelor of
Laws or its equivalent in a foreign law
school must also present proof of
completion of a separate bachelors
degree. (Bar Matter No. 1153, March 9,
2010, Re: Letter of Atty. Estelito P.
Mendoza Proposing Reforms in the Bar
Examinations Through Amendments to
Rules 138, Sec. 5 & 6 of the Rules of
Court)
(e) Good Moral Character
What is good moral character? (Is there a
jurisprudence)
The non-disclosure of pending criminal
cases in one's petition to take the bar
examinations is an act of concealment
which constitutes dishonesty and speaks
of the petitioners lack of the requisite
good moral character. It is also violative of
Rule 7.01 of the Code of Professional
Responsibility which states that a lawyer
shall be answerable for knowingly making
a false statement or suppressing a
material fact in connection with his
application for admission to the bar. The
merit of the cases against the petitioner is
immaterial. (In the Matter of the
Disqualification of Bar Examinee Haron S.
Meling in the 2002 Bar Examinations, 431
SCRA 146 (2004)
In the case of In re Al C. Argosino (246
SCRA 14 (1995)), petitioner Argosino,
along with 13 other individuals, was
convicted of reckless imprudence
resulting in homicide due to his
involvement in the fraternity hazing which
resulted in the death of Raul Camaligan.
While his application for probation was
granted and he was allowed to take the
1993 bar examinations which he passed,
his petition to take the Lawyer's Oath and
to sign the Roll of Attorneys was denied.
The Supreme Court eventually allowed
him to take the Lawyer's Oath when he
presented proof of the required moral
character.
Consolidated cases of Villareal vs.
People of the Philippines, G.R. No.
151258, People vs. Court of
Appeals, G.R. No. 154954, Dizon
vs. People, G.R. No. 155101, and
Villa vs. Escalona, G.R. Nos.
178057 and 178080, February 1,
2012.
Republic Act No. 8049 (the Anti-
Hazing Law)
C. APPEARANCE OF NON-
LAWYERS IN COURTS
General Rule: Non-lawyers cannot
practice law.
Exceptions: Non-lawyers may appear in
certain cases:
1. Law Student Practice (Rule 138-A)
Legal Aid Program- A senior law
student, who is enrolled in a
recognized law schools clinical
education program approved by the
Supreme Court may appear before any
court without compensation, to
represent indigent clients, accepted by
the Legal Clinic of the law school
(Section 1, Rule 138-A, RRC).
The student shall be under the direct
supervision and control of an IBP member
duly accredited by the law school. All
papers to be filed must be signed by the
supervising attorney for and in behalf of
the legal clinic (Id. at Section 2.)
The rule on privileged communications
applies to communications made to or
received by the law student acting for the
legal clinic (Id. at Section 4.)
The law student must comply with the
standards of professional conduct
governing members of the Bar. The
supervising attorneys failure to provide
adequate supervision of student practice
may be a ground for disciplinary action.
(Section 34, Rule 138, RRC.)
2. Non-lawyers in Courts (MOC LC)
(a) In cases before the MTC, a non-lawyer
may represent himself as a party to the
litigation, in person OR through an agent
or friend appointed by him for that
purpose. (Agpalo, Legal and Judicial
Ethics, p.43, 2009)
(b) Before any Other court, they may
also appear as a party to the litigation or
in person. (Id.) Thus, a fourth year law
student may seek to enter his
appearance for and on his own behalf
as plaintiff in a civil case NOT because
of Rule 138-A but because of Section
34 of Rule 138. (Cruz v. Mijares, G.R.
No. 154464, September 11, 2008)
Q: Does a person have the right to
represent himself in civil cases?
A: Yes. An individual litigant has the right
to conduct his litigation personally in civil
cases. (Agpalo, Legal and Judicial Ethics,
p.45, 2009.)
(c) In Criminal cases before the MTC in a
locality where a duly licensed member of
the Bar is not available, the judge may
appoint a non-lawyer who is (1) a resident
of the province (2) of good repute for
probity and ability to aid the accused in
his defense (Section 7, Rule 116, RRC.)
Q: Can a person represent himself in
criminal cases?
A: Yes, except in criminal cases involving
grave and less grave offenses, an
accused who is a layman must always
appear by counsel. He cannot conduct
his own defense as his right to counsel
may not be waived without violating his
right to due process of law. (See People
v. Holgado, 85 Phil. 752.)
(d) They may also appear before the
Cadastral Court (Section 9, Cadastral
Act, Act 2259.)
3. Non-lawyers in Administrative
Tribunals
A non-lawyer may represent a party
before the Department of Agrarian Reform
Adjudication Board (DA-RAB). (2009 DA-
RAB Rules of Procedure, Rule VIII,
Section 1.)
Non-lawyers may also appear before the
NLRC or any Labor Arbiter if (1) they
represent themselves, (2) they represent
their organization or members thereof or
(3) they are duly accredited members of
any legal aid office duly recognized by the
DOJ or the IBP in cases referred to the
latter (Article 222, Labor Code, P.D. 442,
as amended.)
4. Proceedings Where Lawyers are
Prohibited From Appearing
i. Lawyer-member of Congress
(Villegas v. Legaspi, G.R. No. L-
53869 March 25, 1982)
ii. Lawyers who have conflicting
interests (Mejia v. Reyes, A.C. No.
378, March 30, 1962).
iii. Small claims (The Rule of
Procedure for Small Claims
Cases, A.M. 08-8-7-SC.) with
exception.4
iv. Proceedings which involve a
conflict of interest for the lawyer
v. In Katarungang Pambarangay
proceedings.
In accordance with RA 6713, a public
employee is generally prohibited from the
practice of law during his incumbency in
the service. (Query of Atty. Karen M.
Silverio-Buffe, A.M. No. 08-6-352-RTC,
August 19, 2009.)
Q: May a lawyer who appeared as
punong barangay between two parties
in a conciliation proceeding later
represent one of the parties in a
subsequent case involving the same
property?
4 Note: A lawyer may appear in small claims
proceedings if he is the plaintiff or defendant,
but not as a representative or attorney-in-fact
of a party
A: Yes. Under RA 7160 members of the
Sangguniang Pambarangay are not
expressly prohibited from practicing their
profession. However, they must first seek
permission from the Secretary of the
Interior and Local Government before
appearing for a party. They may be
subject to disciplinary action if they fail to
obtain such permission. (Wilfredo M. Catu
v. Atty. Vicente G. Rellosa, A.C. No. 5738,
19 February 2008.)
D. SANCTIONS FOR PRACTICE OR
APPEARANCE WITHOUT
AUTHORITY
What are the remedies against
unauthorized practice of law?
(EstafaInCon-DD)
1. Criminal complaint for estafa against
a person who falsely represented to
be an attorney to the injury of a party.
2. Petition for Injunction
3. Contempt of court
4. Declaratory relief
5. Disqualification and complaints for
disbarment
1. Lawyers Without Authority
A lawyer who appears without proper
authority from a client is liable for
contempt as an officer of the court who
misbehaved in his official transactions
(Section 25, Rule 138, RRC.)
2. Persons Not Lawyers
A non-lawyer who practices law is guilty of
illegal practice of law. (Zeta v. Malinao,
Adm. Case No. P-220, December 20,
1978.) In addition, he may be liable for
indirect contempt for assuming to be an
attorney or an officer of a court, and
acting as such without authority. (Section
3[e], Rule 71, RRC.) He can also be
criminally prosecuted for such false
representation.
E. PUBLIC OFFICIALS AND
PRACTICE OF LAW
A lawyer does not shed his professional
obligations upon assuming public office
(Report of IBP Committee, p. 30.). Hence,
lawyers engaged in government service
are also governed by the Canons and
Rules in the Code of Professional
Responsibility (Canon 6, Code of
Professional Responsibility; Pineda, p.
100.) They are expected to be more
sensitive to their professional obligation
because their conduct may be scrutinized
by the public eye. (Report of IBP
Committee, p. 30.)
Lawyers in government service are
expected to be more conscientious of
their actuations as they are subject to
public scrutiny. They are not only
members of the bar but also public
servants who owe utmost fidelity to public
service. A government lawyer is a keeper
of public faith and is burdened with a high
degree of social responsibility, higher than
his brethren in private practice. (Ramos v.
Imbang, A.C. 6788, August 23, 2007.)
Discipline of Lawyers in Government
Service
General Rule: A lawyer who holds public
office may not be disciplined as a member
of the bar for misconduct in the discharge
of his duties as a government official.
Exception: The misconduct constitutes a
violation of his duties as a lawyer. (Olazo
v. Justice Tinga, A.M. No. 10-5-7-SC,
December 7 2010.)
Misconduct in office as a public official
may be a ground for disciplinary action if it
is of such character as to affect his
qualification as lawyer or to show moral
delinquency.
1. Prohibition or Disqualification of
Former Government Attorneys
Government lawyers may engage in the
private practice of their profession,
provided there is a written permission
from the Department head. (Abella v
Cruzabra, A.C. No. 5688, June 4, 2009.)
A lawyer who has left government service
(e.g., through retirement or resignation)
may not accept engagement or
employment in connection with any matter
in which he had intervened while in said
service. The purpose of this prohibition is
to avoid a conflict of interest, whether
adverse-interest conflicts or congruent-
interest conflicts, between the lawyer and
his former clients. (Rule 6.03, CPR.)
2. Public Officials Who Cannot Practice
Law or With Restrictions
General Rule: Public officials and
employees are prohibited from engaging
in the private practice of law during their
term.
Exception: If authorized by the
Constitution or law, and provided such
practice shall not interfere in the
performance of his duties. (R.A. 6713,
Sec. 7 [b] [2].)
Lawyers in government service cannot
handle private cases for they are
expected to devote themselves full-time to
the work of their respective
offices. (Ramos v. Imbang, A.C. 6788,
August 23, 2007.)
The following public officials are not
allowed to engage in the private practice
of law in the Philippines: (JOGP-COGS)
(1)Judges and other officials as
employees of the Supreme Court
(Rule 148, Sec. 35, RRC.)
(2) Officials and employees of the
OSG(Id.)
(3) Government prosecutors
(Supra, People v. Villanueva.)
(4)President, Vice-President,
members of the cabinet, their
deputies and assistants(Section
15, Art. VIII, 1987 Constitution.)
(5) Members of the Constitutional
Commission(Section 2, Art IX-A,
1987 Constitution.)
(6) Ombudsman and his deputies
(Section 8, Art. IX, 1987
Constitution.)
(7) All Governors, city and
municipal mayors
Those prohibited by
Special law (Section 7 (b-
2), R.A. No. 6713.)
Public officials who are allowed to engage
in the private practice of law, subject to
certain restrictions:
(1) Members of Congress - No
Senator or member of the House
of Representative may personally
appear as counsel before any
court of justice as before the
Electoral Tribunals, as quasi-
judicial and other administrative
bodies (Section 14, Article VI,
1987 Philippine Constitution.)
However, they are allowed to
engage in other aspects of the law
practice such as giving of legal
advice to clients, negotiating
contracts in behalf of clients which
necessitates legal knowledge and
similar others.
(2) Sanggunian Members
-Sanggunian members may
practice their professions provided
that if they are members of the
Bar, they shall not:
a. Appear as counsel before any
court in any civil case wherein a
local government unit or any
office, agency, or instrumentality of
the government is the adverse
party;
b. Appear as counsel in any
criminal case wherein an
officer or employee of the
national or local government is
accused of an offense
committed in relation to his
office;
c. Collect any fee for their
appearance in administrative
proceedings involving the local
government unit of which he is
an official; or
d. Use property and personnel of
the government EXCEPT
when the Sanggunian member
concerned is defending the
interest of the government
(Section 91, Local
Government Code, R.A. 7160.)
 (3) Retired justice or judge - A
retired justice or judge receiving
pension from the government
cannot act as counsel in any civil
case in which the Government, or
any of its subdivision or agencies,
is the adverse party or in a
criminal case wherein an officer or
employee of the Government is
accused of an offense in relation
to his office (Section 1, RA 910, as
amended.)
F. LAWYERS AUTHORIZED TO
REPRESENT THE GOVERNMENT
Any person appointed to appear for the
Government of the Philippines in
accordance with law is authorized to
represent the government (Section 33,
Rule 138, RRC.)
General Rule: It is the Office of the
Solicitor General (Sol. Gen.) that
represents the government in cases
involving or affecting it. In contrast, it is
generally the Office of the Government
Corporate Counsel (OGCC) that appears
in cases involving government-owned or
controlled corporations (GOCCs).
Exception: However, the OSG cannot be
directed to file a pleading on behalf of a
Municipality. Based on Section 481(b)(3)
(i) of the Local Government Code, it is the
municipal legal officer, or in the absence
of one, the provincial attorney, who must
represent a municipality in court cases.
Being a special law on the issue of
representation in court that is exclusively
made applicable to LGUs, the LGC must
prevail over the provisions of the
Administrative Code (defining the duties
and responsibilities of the OSG. (OSG v.
CA, G.R. No. 199027, June 9, 2014)
The Sol. Gen. may deputize other
government officials in the prosecution of
its cases. In such cases, notice to the
deputized agent will not bind the Sol.
Gen. until notice is actually received by
the Sol. Gen. But when a government
agency, which the Sol. Gen. is tasked to
represent, appears through its internal
counsel, then notice to such internal
counsel is deemed notice to the Sol. Gen.
(Commissioner of Customs v. CA, G.R.
No. 132929, March 27, 2000.)
A GOCC may also engage the services of
a private lawyer, provided that the
following indispensable conditions are
met: (1) private counsel can only be hired
in exceptional cases; (2) the GOCC must
first secure the written conformity and
acquiescence of the Sol. Gen. or the
OGCC, as the case may be; and (3) the
written concurrence of the COA must also
be secured. (Vargas, et al. v. Ignes, A.C.
No. 8096, July 5, 2010)
LEGAL ETHICS
Legal Ethics is the branch of moral
science which treats of the duties which
an attorney owes to the court, to his client,
to his colleagues in the profession and to
the public. (Justice George Malcolm)
It:
a. guards against the abuses and ills
of the profession such as
dishonesty, deceit, immorality and
the many other forms of
malpractice of the members of the
Bar;
b. raises the standard of the legal
profession;
c. encourages and enhances the
respect for the law; and
d. assures an efficient and effective
administration of justice.
What are the main sources of legal
ethics in the Philippines?
(1)The Lawyers Oath
(2)The Code of Professional
Responsibility
(3) Rule 138, Section 20 of the Rules of
Court (Duties of attorneys)
The Canons of Professional Ethics (CPE)
promulgated by the Philippine Bar
Association are binding only on its
members. However, the CPE can provide
guidance to the Bench and Bar, as the
Supreme Court has cited some of its
provisions with approval in a number of its
decisions.
LAWYERS OATH
I, __________________, do solemnly
swear
that I will maintain allegiance to the
Republic of the Philippines;
I will support its constitution and obey the
laws as well as the legal orders of the duly
constituted authorities therein;
I will do no falsehood, nor consent to the
doing of any in court;
I will not willingly nor wittingly promote or
sue any groundless, false or unlawful suit,
or give aid nor consent to the same;
I will delay no man for money or malice,
and will conduct myself as a lawyer
according to the best of my knowledge
and discretion,
with all good fidelity as well to the court as
to my clients;
and I impose upon myself this voluntary
obligations without any mental reservation
or purpose of evasion.
So help me God.
(Form 28, appended to the Rules of Court
as revised on Oct. 25, 1979.)
What are the specific duties of a lawyer
under Section 20 of Rule 138 of the
Rules of Court?
(a) To maintain Allegiance to the Republic
of the Philippines and to support the
Constitution and to obey the laws of the
Philippines;
(b) To observe and maintain the Respect
due to the courts of justice and judicial
officers;
(c) To counsel or maintain such actions or
proceedings only as appear to him as
Just, and such defenses only as he
believes to be honestly debatable under
the laws;
(d) To employ, for the purpose of
maintaining the causes confided to him,
such means only as are consistent with
Truth and honor, and never seek to
mislead the judge or any judicial officer by
an artifice or false statement of fact or
law;
(e) To maintain inviolate the Confidence
and at every peril to himself, to preserve
the secrets in connection with his client
and to accept no compensation in
connection with his clients business
except from him or with his knowledge
and approval;
(f) To Abstain from all offensive
personality and to advance no fact
prejudicial to the honor and reputation of a
party or witness, unless required by the
justice of the cause with which he is
charged;
(g) Not to Encourage either the
commencement or the continuance of an
action or proceeding or delay any mans
cause, from any corrupt motive or interest;
(h) Never to reject for any consideration
personal to himself, the cause of the
defenseless or Oppressed;
(i) 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.
DUTIES AND
RESPONSIBILITIES OF A
LAWYER
What are the four-fold duties of a
lawyer?
Lawyers have duties to (1) society, (2) the
legal profession (fellow lawyers), (3) the
court, and (4) the client (SPCC) in that
order. (See Cruz v. Alio-Hormachuelos,
A.M No. CA-04-38, March 31, 2004.)
(Is there a hierarchy, isn't
responsibility first to the court and
society before to its client? See
jurisprudence)
(a) Society
He should not violate his responsibility to
society. He must be an exemplar for
righteousness, ready to render legal aid,
foster social reforms, guardian of due
process, aware of special role in the
solution of special problems, and be
always ready to lend assistance in the
study and solution of social problems.
b. Profession
He must observe candor, fairness,
courtesy and truthfulness. He must
also avoid encroachment on the
business of other lawyers, and uphold
the honor of the profession.
Court
He is an officer of the court. He has
the duty to respect or defend against
criticisms, uphold authority and dignity,
obey orders and processes, and
assist in the administration of justice.
Client
He must afford his entire devotion to
his clients interest within legal and
ethical bounds.
A. DUTIES TO SOCIETY
The primary duty of a lawyer to the
society or the State is to maintain
allegiance to the Republic of the
Philippines, uphold the Constitution
and obey the laws of the land.
(Montecillo v. Gica, 60 SCRA 234, 1974)
As a servant of law, a lawyer ... belongs to
a profession to which the society has
entrusted the administration of law and
the dispensing of justice. (Samala v.
Valencia, Adm, Case No. 5439, Jan 22,
2007).
While the duty to uphold the Constitution
and obey the law is an obligation imposed
on every citizen, a lawyer assumes
responsibilities well beyond the basic
requirements of good citizenship. As a
servant of the law, a lawyer should
moreover make himself an example for
others to emulate. Being a lawyer, he is
supposed to be a model in the community
in so far as respect for the law is
concerned. (Lee v. Tambango, A.C. No.
5281, Feb 12, 2008)
1. Respect For Law and Legal
Processes: Duty to Uphold the
Constitution and Obey the Law
CANON 1- A LAWYER SHALL
UPHOLD THE CONSTITUTION, OBEY
THE LAWS OF THE LAND AND
PROMOTE RESPECT FOR LAW AND
LEGAL PROCESSES.
(a) Duty Not to Engage in Unlawful
Conduct
Rule 1.01 of the CPR provides that a
lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct.
(Canon 1, CPR.)
Unlawful conduct is an act or omission
which is against the law (People v. Smith,
93 Am. St. Rep. 206 [1902].) there should
be a more recent jurisprudence on this,
see Agpalo
A dishonest act is an act of lying or
cheating (Alsup v. State, 91 Tex. Crim. R.
224 [192].)
Immoral or deceitful conduct is conduct
that involves moral turpitude, and includes
acts done contrary to justice, modesty or
good morals amongst others (In re: Basa,
41 Phil. 275, December 7, 1920.) there
should be a more recent jurisprudence on
this, see Agpalo
A lawyer who is guilty of the foregoing
acts or conduct may be held
administratively liable.
Public confidence in the law may be
eroded by the irresponsible and improper
conduct of a member of the Bar. (Catu v.
Rellosa, A.C. No. 5738, February 19,
2008.)
Lawyers whose acts are grossly immoral
have ceased to possess the qualifications
of a lawyer. (Mecaral v. Velasquez, A.C.
No. 8392, June 29, 2010.)
** Agpalo has sample list of grossly
immoral conduct
The presence of evil intent on the part of
the lawyer is not essential in order to bring
his act or omission within the terms of
Rule 1.01 which specifically prohibits
lawyers from engaging in unlawful
conduct. (Re: Financial Audit of Atty.
Raquel G. Kho, A.M. No. P-06-2177, April
19, 2007.)
(b) Duty Not to Counsel Illegal
Activities
Rule 1.02 of the CPR requires that a
lawyer shall not counsel or abet activities
aimed at defiance of the law or at
lessening confidence in the legal
profession. Nor should he subvert the
law by counseling or assisting in activities
which are in defiance of the law.
(Comments of IBP Committee that drafted
the Code, p. 5.) Hence, he should not
promote nor assist organizations which
violate the law.
A lawyer is not barred from dealing with
his client but the business transaction
must be characterized with utmost
honesty and good faith. No presumption
of innocence or improbability of
wrongdoing is considered in an attorneys
favor. (Chua v. Mesina, Jr., A.C. No. 4904,
August 12, 2004.) there is a latest
jurisprudence on this
(c) Duty Not to Encourage Lawsuits
Rule 1.03 of the CPR states that a
lawyer shall not, for any corrupt motive or
interest, encourage any suit or proceeding
or delay any mans cause. This rule
aims to prevent barratry and ambulance
chasing.
Barratry is defined as an offense of
frequently exciting and stirring up quarrels
and suits, either at law or otherwise. (4
Bla. Com. 134; Co. Litt. 368.) It is the
lawyers act of fomenting suits among
individuals and offering his legal services
to one of them for monetary motives of
purposes.
Ambulance chasing originated from the
practice of a lawyer who haunts hospitals
and visits the homes of the afflicted,
officiously intruding their presence and
persistently offering his legal services for
a fee. (Id.) In the recent day, it is equated
with the act of the lawyer in chasing
whether or not the act is done personally
by him or by his employee. (Id.) see
current jurisprudence
(d) Duty to Encourage Amicable
Settlements
Rule 1.04 of the CPR states that a lawyer
shall encourage his clients to avoid, end
or settle a controversy if it will admit of a
fair settlement. He should serve as a
mediator for compromises rather than an
instigator of controversies or conflicts.(De
Ysasi v. NLRC, G.R. No. 104599, March
11, 1994.) see current jurisprudence
2. Efficient and Convenient Legal
Services
CANON 2 - A LAWYER SHALL MAKE
HIS LEGAL SERVICES AVAILABLE IN
AN EFFICIENT AND CONVENIENT
MANNER COMPATIBLE WITH THE
INDEPENDENCE, INTEGRITY AND
EFFECTIVE-NESS OF THE
PROFESSION.
Generally
A lawyer shall make his legal services (b) Participating in Legal Development
available in an efficient and convenient
manner compatible with the
independence, integrity and effectiveness CANON 4 - A LAWYER SHALL
of the profession. (Rule 2.01, CPR.) PARTICIPATE IN THE DEVELOPMENT
OF THE LEGAL SYSTEM BY
The 2nd Canon of the CPR requires INITIATING OR SUPPORTING
EFFORTS IN LAW REFORM AND IN
lawyers to render not only efficient legal
THE IMPROVEMENT OF THE
services but also accessible and available ADMINISTRATION OF JUSTICE.
services to those who are in need of such
in accordance with the ethics of the It is not a strict duty of lawyers to
profession. contribute to the improvement of the legal
system. However, it is a duty that stems
(a) A Lawyer Shall Not Reject the from a lawyers sense of responsibility. He
Cause of the Defenseless or must recognize that the law is part of an
Oppressed. intricate social network, which necessarily
includes interaction with the society. He
Lawyer shall not reject the cause of the must broaden out and continue to grow in
defenseless or oppressed. It is the prime knowledge and competence in order to be
duty of a lawyer to see to it that justice be able to make the law socially
accorded to all without discrimination. responsive(Comments of the IBP
Committee that drafted the Code, pp. 20-
If the party is without means to employ an 21.)
attorney and the services of a lawyer are
necessary to protect such parties right,
(c) Lawyers shall keep abreast of
the lawyer assigned has to render
legal developments
effective legal services until the court
excuses him.
Canon 5 of the CPR provides that
lawyers shall keep abreast of legal
i. A Lawyer shall not refuse to render
developments, participate in continuing
legal advice
legal education programs, support efforts
to achieve highest standards in law
Can a lawyer reject a client because he
schools as well as in the practical training
is poor?
of law students and assist in
disseminating information regarding the
No. A lawyer shall not reject, except for
law and jurisprudence. (Canon 5, CPR.)
valid reasons, the cause of the
- see current jurisprudence
defenseless or oppressed. (Rule 2.01)
Even if a lawyer does not accept because
He must acquaint himself with the newly
of a valid reason, he shall not refuse to
promulgated laws and recent decisions
render legal advice to the person
of the Supreme Court and of the
concerned if only to the extent necessary
significant decision of the Court of
to safeguard latters rights.(Rule 2.02)
Appeals. Furthermore, it is imperative
that the judges should also be conversant
However, he should inhibit himself from
with the basic legal principles and with the
providing such advice if he is in no
changes in the law, as well as with the
position to carry out the work
latest decisions and precedents. see
effectively or competently, or if he
current jurisprudence
labors under a conflict of interest between
him and a prospective, or between a
3. True, Honest, Fair, Dignified and
present client and the prospective client.
Objective Information on Legal
(Rule 14.03, CPR.) see current
Services
jurisprudence related to conflict of
interest...
 A lawyer in making known his legal
services shall use only true, honest, fair,
dignified and objective information or
statement of facts. (Canon 3, CPR.)
CANON 3 - A LAWYER IN MAKING
KNOWN HIS LEGAL SERVICES SHALL
USE ONLY TRUE, HONEST, FAIR,
DIGNIFIED AND OBJECTIVE
INFORMATION OR STATEMENT OF
FACTS.
4. Participation in the Improvement and
Reforms in the Legal System
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.
The lawyer must recognize that the law is
a part of a vast social network and
whether he likes it or not, he has to
interact with the rest of society. A lawyer
must broaden out and continue to grow in
knowledge and competence in order to be
able to make the law socially responsive.
(Comments of the IBP Committee that
drafted the Code, pp. 20-21.)
5. Participation in legal education
program
Continuing legal education is required of
members of the IBP to ensure that they
keep abreast with law and jurisprudence,
maintain the ethics of the profession and
enhance the standards of the practice of
law.
Members of the IBP not exempt from Rule
7 of the Rules on Mandatory Continuing
Legal Education (MCLE) are required to
complete at least thirty-six (36) hours of
continuing legal education activities every
three (3) years.
Lawyers in Government Service
(Canon 6)
Lawyers in government service are
held to higher and more exacting
standards under the Code of
Professional Responsibility. As
counsels of the State, it is their duty
to promote high ethical standards in
public service (Agpalo, p. 81) in
keeping with the fundamental
principle that a public office is a
public trust and that a public
servant owes utmost fidelity to
public service
(Tatad vs. Sandiganbayan, 339
SCRA 70). A government lawyer is
a keeper of public faith and is
burdened with a high degree of
social responsibility, higher than his
brethren in private practice (Ramos
v. Imbang, 530 SCRA 759). Thus,
violation of the Code or the lawyers
oath in the discharge of official
duties may hold a government
counsel administratively liable
(Comments of the IBP that drafted
the Code, p.30)
Norms of Conducts of Public
Officials
Under RA No. 6713, Section 4, the
following norms of conduct are
expected from government
counsels as public officials in the
conduct and execution of their
duties:
Commitment to public interest
Professionalism
Justness and sincerity
Political neutrality
Responsiveness to the public
Nationalism and patriotism
Commitment to democracy
 Simple living
Duty of a Lawyer Engaged in
Public Prosecution
Rule 6.01, Canon 6 mandates that
the primary duty of a lawyer
engaged in public prosecution is
not to convict but to see that justice
is done. As a representative of the
State, his obligation is to govern
with impartiality and must see to it
that either guilt shall not escape or
innocence suffer; that while he may
strike hard blows, he is not at
liberty to strike foul ones. (Suarez
vs. Platon, 69 Phil 556). As a quasi-
judicial officer, his primary duty is
not to convict but to see that justice
is done (Agpalo, p.82).
Thus, Rule 6.0, Canon 6 also adds
that he suppression of facts or the
concealment of witnesses capable
of establishing the innocence of the
accused is highly reprehensible
and is cause for disciplinary
action. He therefore holds the duty
to present to the court the pertinent
facts with the aim of erasing from
the courts mind the innocence or
guilt of the accused
(Dimatulac v. Villalon, 297 SCRA
679).
In appellate courts however, it is
the Solicitor General who is the
lawyer of the People of the
Philippines. The exception is
provided by
RA 8249 which provides that cases
elevated to the Sandiganbayan will
be represented by the Office of the
Ombudsman through its special
prosecutor
A Lawyer in Government Service
Must Not Use his Position for
Private Interests
General Rule: The private practice
of the profession is prohibited while
they remain in government service .
Exception: when private practice
is authorized by the Constitution or
law, provided that such practice will
not conflict with their official
function.
As a general rule, Rule 6.02,
Canon 6 prohibits a lawyer
in government service from
using his public position for private
gain, nor to allow the latter to
interfere with his public
duties. Lawyers in government
service cannot handle private
cases for they are expected to
devote themselves full-time to the
work of their
respective government offices
(Ramos v. Imbang, 530 SCRA
759). Should they be allowed to
practice law alongside their public
office, they should do so while
refraining from any private
legal business which would conflict
with their official duties. (Comments
of IBP Committee that drafted the
Code, pp. 31-32)
RA No. 6713, Section 4 (Code of
Conduct and Ethical Standards
for Public Officials and
Employees) prohibits public
officials
from directly or indirectly having an
y financial or material interest in
any transaction requiring the
approval of their office.
The same law also prohibits the
following activities outside of their
employment:
Owning, controlling, or accepting
employment in any private
enterprise regulated, supervised or
licensed by their office unless
expressly allowed by law;
Engaging in the private practice of
their profession unless authorized
by the Constitution or law, provided,
that such practice will not conflict or
tend to conflict with their official
functions; or
Recommending any person to
any position in a private enterprise
which has a regular or pending
official transaction with their office.
A Lawyer After Leaving
Government Service Must
Refrain from any Conflict of
Interest
Rule 6.03 of Canon 6 prohibits a
lawyer, after leaving government
service, from acceptingengagem
ent or employment in connection
with any matter in which he
had intervenedwhile he was in
government service. This is
reiterated in RA No. 6713,
Section 7(b) which states that he
prohibition on private practice
applies even to former lawyers in
government service with regard
to the practice of his profession
in connection with
any matter that he has
handled before the government
office he used to work with.
In PCCG vs. Sandiganbayan (258
SCRA 685), the SC clarified the
contentious terms within Rule 6.03
of Canon 6, specifically:
Matter as defined by Formal
Opinion 342 of the American Bar
Association, is the discrete,
isolatable act as well as identifiable
transaction or conduct involving a
particular situation and specific
party, and not merely an act of
drafting, enforcing or interpreting
government or agency procedures,
regulations or laws, or briefing
abstract principles of law.
Intervene must be a
substantial (not merely
innocuous or
insignificant)intervention that must
affect the interests of parties.
(4) (5) Retaini (6) Chargi
ng Lien ng Lien
 Subject The right of theThe right which funds, documents, and papers of his
attorney to the attorney client which may have lawfully come into
retain the has upon all his possession, or to enforce it upon any
funds, judgments judgment for the payment of money he
documents, for the may secure in favor of his client. And it
and papers of payment of has been held that the retaining lien is
his client money, and dependent upon possession and does not
which have executions attach to anything not in attorney's hands.
lawfully come issued in The lien exists only so long as the
into his pursuance of attorney's retains possession ends (De
possession. said Caina vs. Hon. Victoriano, G.R. No. L-
judgments 12905, 1959)
which he CONFLICT OF INTEREST
has secured
in litigation How has the SC defined conflict of
of his client. interest?
Purpose Until his lawfulTo make of
fees and record his Conflict of Interest - (leading) HORNILLA
disbursement claim in order V. SALUNAT, AC No 5804, July 1, 2003;
s have been that it may be OROLA V. RAMOS, AC No 9860,
paid and to considered in September 11, 2013; SAMSON V. ERA,
apply such the execution AC No 6664, July 16, 2013-------------------
funds to the of the >
satisfaction judgment
thereof. that may be There is conflict of interest when a lawyer
rendered in represents inconsistent interests of two or
the case more opposing parties.

Takes EffectThis lien, SAME The test is "whether or not in behalf of

Upon whether one client, it is the lawyers duty to fight
retaining or for an issue or claim, but it is his duty to
charging, oppose it for the other client. In brief, if he
takes legal argues for one client, this argument will be
effect only opposed by him when he argues for the
from and other client." This rule covers not only
after, but not cases in which confidential
before, notice communications have been confided, but
of said lien also those in which no confidence has
has been been bestowed or will be used. Also, there
entered in is conflict of interests if the acceptance of
the record the new retainer will require the attorney
and served to perform an act which will injuriously
on the affect his first client in any matter in which
adverse he represents him and also whether he
party will be called upon in his new relation to
use against his first client any knowledge
acquired through their connection.
Remedies to Insure Payment of Another test of the inconsistency of
Professional Fee When Client Does Not interests is whether the acceptance of a
Pay new relation will prevent an attorney from
It may therefore be seen that the right of a the full discharge of his duty of undivided
lawyer to insure the payment of his fidelity and loyalty to his client or invite
professional fee is either to retain the suspicion of unfaithfulness or double
dealing in the performance thereof.

B. DUTIES TO THE LEGAL
PROFESSION (RULE 139-A)
The maintenance by the bar of a high
standard of legal proficiency as well as
honesty and fair dealing is a prerequisite
to making the bar an effective instrument
in the proper administration of justice. But
the bar can only be as reputable as its
members. (Agpalo, Legal and Judicial
Ethics, 100, 2009.)
1. Integrated Bar of the Philippines
(IBP)(Rule 139-A);
The IBP is the national organization of
lawyers created on January 16, 1973
under Rule 139-A, Rules of Court, and
constituted on May 4, 1973 into a body
corporate by P.D. No. 181.
Integration of the Bar means the official
unification of the entire lawyer population.
It requires membership and financial
support of every attorney as conditions
sine qua non to the practice of law and
retention of his name in the Roll of
Attorneys of the Supreme Court. (there
was a case related to membership in IBP)
All lawyers are subject to all the rules
prescribed for the governance of the Bar,
including:
a. The payment of a reasonable
annual fee for the effective
discharge of the purposes of the
Bar
b. Adherence to a code of
professional ethics or professional
responsibility. (Letter of Atty.
Cecilio Y. Arevalo, Jr., Requesting
Exemption from Payment of IBP
Dues, B.M. No. 1370, May 9,
2005.)
Power to Integrate the Bar
The Constitution vests upon the Supreme
Court the power to integrate the Philippine
Bar. Such power is an inherent part of the
Courts constitutional authority over the
bar. (See Art. VIII, Sec. 5, paragraph 5,
Philippine Constitution.)
Prior to this, the Philippine Congress
granted the Supreme Court the power to
adopt rules of court to effect the
integration of the Philippine Bar by
enacting R.A. 6397 (AN ACT
PROVIDING FOR THE INTEGRATION
OF THE PHILIPPINE BAR AND
APPROPRIATING FUNDS THEREFOR).
Rule 139-A was passed by the Supreme
Court on January 16, 1973.
Constitutionality of Integration
The Court is fully convincedthat the
integration of the Philippine Bar is
"perfectly constitutional and legally
unobjectionable," within the context of
contemporary conditions in the
Philippines, has become an imperative
means to raise the standards of the legal
profession, improve the administration of
justice, and enable the Bar to discharge
its public responsibility fully and
effectively. (In the Matter of the Integration
of the Bar of the Philippines, 49 SCRA 22,
1973)
Mandatory membership in the national
IPB is not violative of a lawyers freedom
to associate. (In re: Edillon, A.M. No.
1928, August 3, 1978.) It does not make
a lawyer a member of any group which he
is not already a member of. All that
integration actually does is to provide an
official national organization for the well-
defined but unorganized group of which
every lawyer is already a member.
Assuming that it is a compulsion, its
justified under the police power of the
State. (In the Matter of the IBP
Membership Dues Delinquency of Atty.
Marcial A. Edilion, A.M. No. 1928, August
3, 1978.)
Purposes and Objectives
Generally:
a. To elevate the standards of the legal
profession;
b. To improve the administration of
justice;
 c. To enable the Bar to discharge its
public responsibility more
effectively;
Specifically:
1. To assist in the administration of
justice;
2. To foster and maintain on the part
of its members high ideals of
integrity, learning, professional
competence, public service and
conduct;
3. To safeguard the professional
interests of its members;
4. To cultivate among its members a
spirit of cordiality and brotherhood;
5. To provide a forum for the
discussion of law, jurisprudence,
law reform, pleading, practice and
procedure, and the relation of the
Bar to the Bench and to the public,
and publish information relating
thereto;
6. To encourage and foster legal
education;
7. And to promote a continuing
program of legal research in
substantive and adjective law, and
make reports and
recommendations thereon (Per
Curiam Resolution of the Supreme
Court, January 8, 1973.)
Non-political Bar
The Integrated Bar shall be strictly non-
political, and every activity tending to
impair this basic feature is strictly
prohibited and shall be penalized
accordingly. (IBP By-Laws, Art. I, Sec. 4.)
The following are not eligible for election
or appointment to any position in the
Integrated Bar or any Chapter thereof:
1. Any lawyer holding the following
positions in the Government or any
political subdivision or instrumentality:
a. elective office
b. judicial office
c. quasi-judicial office
d. prosecutory office.
2. If an incumbent Delegate, Governor,
Officer or employee of the Integrated Bar,
or an officer or employee of any Chapter
thereof subsequently files his certificate of
candidacy for any elective public office or
accepts appointment into any of the three
other positions above, he shall be
considered ipso facto resigned from his
position. (Rule 139-A, Section 13.)
(a) Membership and Dues
Membership, resignation, retirement
and reinstatement
Membership is mandatory. A lawyer does
not automatically become a member of
the IBP chapter where he resides or
works after becoming a full-fledged
member of the Bar. He has the discretion
to choose the IBP chapter he wants to
join, but he must join. (See Garcia v. de
Vera, A.C. No. 6052, December 11,
2003.)
There is no retirement in the IBP. A
lawyer, however, may terminate his bar
membership after filing the required
verified notice of termination with the
Secretary of the Integrated Bar who shall
bring the matter to the Supreme Court.
(Id., Section 11.)
Reinstatement may be made by the Court
in accordance with rules and regulations
prescribed by the Board of Governors and
approved by the Court (Id.).
A lawyer who has been disbarred, or
whose name has been removed from the
Roll of Attorneys, may file a petition for
reinstatement. Whether or not the
applicant shall be reinstated rests to a
great extent in the sound discretion of the
court. (Basis??)
The court action will depend, generally
speaking, on whether or not it decides
that the public interest in the orderly and
impartial administration of justice will be
conserved by the applicant's participation
therein in the capacity of an attorney and
counselor at law. The applicant must, like
a candidate for admission to the bar,
satisfy the court that he is a person of
good moral character a fit and proper
person to practice law. The court will take
into consideration the following:
Applicant's character and standing prior
to the disbarment;
The nature and character of the charge
for which he was disbarred;
His conduct subsequent to the
disbarment; and
The time that has elapsed between the
disbarment and the application for
reinstatement. (In Re: Petition for
Reinstatement in the Roll of Attorneys,
Juan T. Publico, Re: Juan T. Publico
22081, February 20, 1981.)
Membership dues and effect of non-
payment thereof
Every member of the Integrated Bar shall
pay such annual dues as the Board of
Governors shall determine with the
approval of the Supreme Court. A fixed
sum equivalent to ten percent (10%) of
the collection from each Chapter shall be
set aside as a Welfare Fund for disabled
members of the Chapter and the
compulsory heirs of deceased members
thereof. (Id. at Section 9.)
Without paying IBP dues, a lawyer cannot
engage in practice of law, no matter how
limited is his practice. (Santos, Jr. v.
Llamas, Adm. Case No. 4749, January
20, 2000.) They are not entitled to the
senior citizen discount and the student
discount as regards dues. (Id.) see
current jurisprudence
Default in the payment of annual dues for
6 months shall warrant suspension of
membership in the Integrated Bar, and
default in such payment for 1 year shall
be a ground for the removal of the name
of the delinquent member from the Roll of
Attorneys. (Buehs v. Bacatan, A.C. No.
6674, June 30, 2009.)
Payment of dues is a necessary
consequence of membership in the IBP, of
which no one is exempt. This means that
the compulsory nature of payment of dues
subsists for as long as ones membership
in the IBP remains regardless of the lack
of practice of, or the type of practice, the
member is engaged in. (Letter of Atty.
Cecilio Arevalo, B.M. No. 1370, May 9,
2005.)
Effective August 1, 1985, all lawyers shall
indicate in all pleadings, motions and
papers signed and filed by them in any
court in the Philippines, the number and
date of their official receipt indicating
payment of their annual membership dues
to the Integrated Bar of the Philippines for
the current year; provided, however, that
such official receipt number and date for
any year may be availed of and indicated
in all such pleadings, motions and papers
filed by them in court up to the end of the
month of February of the next succeeding
year. (OCA Circular 10-85, dated July 24,
1985.)
Organizational setup
The Philippines is divided into nine (9)
regions for the IBPnamely: Northern
Luzon, Central Luzon, Greater Manila,
Southern Luzon, Bicolandia, Eastern
Visayas, Western Visayas, Eastern
Mindanao and Western Mindanao. (Rule
139-A, Section 3.)
Election of National Officers
The Integrated Bar shall have a President
and an Executive Vice President who
shall be chosen by the Governors
immediately after the latter's election,
either from among themselves or from
other members of the Integrated Bar, by
the vote of at least five (5) Governors.
Each of the regional members of the
Board shall be ex officio Vice President
for the Region which he represents.
The Integrated Bar shall have a Secretary,
a Treasurer, and such other officers and
employees as may be required by the
Board of Governors, to be appointed by
the President with the consent of the
Board, and to hold office at the pleasure
of the Board or for such terms as it may
fix. Said officers and employees need not
be members of the Integrated Bar. (Id.,
Section 7.)

Misconduct of lawyers during IBP
elections diminishes the dignity of the IBP
as an association of a noble and
honorable profession. (In the Matter of the
Brewing Controversies in the Election of
the Integrated Bar of the Philippines, A.M.
No. 09-5-2-SC, December 15, 2010)
Board of Governors
The Integrated Bar shall be governed by a
Board of Governors. Nine Governors shall
be elected by the House of Delegates
from the nine (9) Regions on the
representation basis of one (1) Governor
from each Region.
Each Governor shall be chosen from a list
of nominees submitted by the Delegates
from the Region, provided that not more
than one (1) nominee shall come from any
Chapter.
The members of the Board shall hold
office for a term of one (1) year from the
date of their election and until their
successors shall have been duly elected
and qualified. No person may be a
governor for more than two (2) terms.
The Board shall meet regularly once
every three (3) months, on such date and
such time and place as it shall designate.
A majority of all the members of the Board
shall constitute a quorum to do business.
Special meetings may be called by the
President or by five (5) members of the
Board.
Subject to the approval of the Supreme
Court, the Board shall adopt By-Laws and
promulgate Canons of Professional
Responsibility for all members of the
Integrated Bar. The By-Laws and the
Canons may be amended by the
Supreme Court motu proprio or upon the
recommendation of the Board of
Governors.
The Board shall prescribe such other
rules and regulations as may be
necessary and proper to carry out the
purposes of the Integrated Bar as well as
the provisions of this Rule. (Id., Section
6.)
House of Delegates
Deliberative body of the Integrated Bar
The Integrated Bar shall have a House of
Delegates of not more than 120 members
who shall be apportioned among all the
Chapters as nearly as may be according
to the number of their respective
members, but each Chapter shall have at
least 1 Delegate.
The term of the office of Delegate shall
begin on the date of the opening of the
annual convention of the House and shall
end on the day immediately preceding the
date of the opening of the next
succeeding annual convention. No person
may be a Delegate for more than 2 terms.
The House shall hold an annual
convention at the call of the Board of
Governors at any time during the month of
April of each year for the election of
Governors, the reading and discussion of
reports including the annual report of the
Board of Governors, the transaction of
such other business as may be referred to
it by the Board, and the consideration of
such additional matters as may be
requested in writing by at least 20
Delegates.
Special conventions of the House may be
called by the Board of Governors to
consider only such matters as the Board
shall indicate. A majority of the Delegates
who have registered for a convention,
whether annual or special, shall constitute
a quorum to do business. (Id. at Section
5.)
Chapter Government
A Chapter of the Integrated Bar shall be
organized in every province. Except as
herein provided, every city shall be
considered part of the province within
which it is geographically situated (Id.,
Section 4.).
2. Upholding the Dignity and Integrity
of the Profession

Canon 7- A lawyer shall at all times
uphold the integrity and dignity of the legal
profession and support the activities of the
integrated bar
Maintenance of a high standard of
legal proficiency as well as honesty
and fair dealing is a pre-requisite to
making the bar an effective instrument in
the proper administration of justice.
(a) A Person Shall Make No False
Statement in His Application For
Admission to the Bar
Rule 7.01 A lawyer shall be answerable
for knowingly making false statement or
suppressing a material fact in connection
with his application for admission to the
bar. (Rule 7.01, CPR.)
Failure to live up to the standards of
conduct may prevent an aspiring lawyer
from being admitted to practice (Barba v.
Pedro, A.M. No. 545-SBC, December 26,
1974.) and, if admitted without the
Supreme Court acquiring knowledge of
his transgressions thereof, he may be
disbarred for such misconduct. (Diao v.
Martinez, A.C. No. 244, March 29, 1963.)
(b) A Lawyer Shall Not Support an
Unqualified Applicant to the Bar
Rule 7.02 - A lawyer shall not support
the application for admission to the bar
of any person known by him to be
unqualified in respect to character,
education, or other relevant attribute.
He should volunteer information or
cooperate in any investigation concerning
alleged anomalies in the bar examination
so that those candidates who failed
therein can be ferreted out and those
lawyers responsible therefor can be
disbarred. (In re Parazo, 82 Phil. 230,
December 3, 1948.)
(c) A Lawyer Shall Always Conduct
Himself Ethically and Morally
Rule 7.03 - A lawyer shall not engage in
any conduct or do any act that
adversely reflects on his fitness to
practice law, nor to behave, in his
public or private life, in a scandalous
manner to the discredit of the legal
profession.
He should conduct himself at all time in
such a way as to give credit to the legal
profession and to inspire the confidence,
respect and trust of his clients and the
community. see current jurisprudence
Q: May a lawyer be disbarred/
penalized for acts done not in a
professional capacity?
A: Yes. A lawyer may be disciplined for
misconduct committed either in his
professional or private capacity. The test
is whether his conduct shows him to
be wanting in moral character, honesty,
probity, and good demeanor, or
whether it renders him unworthy to
continue as an officer of the court.
(Navarro v. Solidum Jr., A.C No. 9872,
Jan 28, 2014.)
Acts that justify suspension from practice
or disbarment:
a. Gross immorality
b. Conviction of a crime involving moral
turpitude (De Jesus-Paras v. Vailoces,
A.C. No. 439, April 12, 1961.)
c. Fraudulent transactions
(d) Gross Immorality Reflective of
Unfitness to Practice
To justify suspension or disbarment, the
act must not only be immoral; it must be
grossly immoral as well. (Figueroa v.
Barranco, Jr., 342 Phil. 408, 412 (1997).
What is grossly immoral conduct?
It is conduct which is willful, flagrant, or
shameless and which shows a moral
indifference to the opinion of the good and
respectable members of the community.
(Arciga v. Maniwag, 106 SCRA 591,
1981)
Grossly immoral act- one that is so
corrupt and false as to constitute a
criminal act or so unprincipled or
disgraceful as to be reprehensible to a
high degree. (Reyes v. Wong, A.M. No.
547, January 29, 1975.)
The question of whether an act is grossly
immoral may depend, to some extent,
upon the prejudice, caprice & bias of the
court, and the general concept of morality
prevailing at the time.
Cohabitation per se is not grossly
immoral; it will depend on the surrounding
circumstances. (In re: Regidor R. Toledo
v. Atty. Jerry R. Toledo, A.M. No. P-07-
2403, February 6, 2008.)
The admission by lawyer of the paternity
of a child and agreeing to support the
child renders his immorality not so gross
and scandalous (Marcayda v. Naz, A.M.
No. 1856, October 28, 1983.).
(e) Conviction of a Crime Involving
Moral Turpitude
Moral turpitude - means anything which
is done contrary to justice, honesty,
modesty or good morals (Rule 138, Sec.
27, Rules of Court.), or to any act of
vileness, baseness or depravity in the
private and social duties that a man owes
his fellowmen or to society, contrary to the
accepted rule of right and duty between
man and man. (In re Gutierrez, A.M. No.
L-363, July 31, 1962.) It is difficult to state
with precision and to fix an inflexible
standard as to what is grossly immoral
conduct. (Arciga v. Maniwang, A.M. No.
1608, August 14, 1981.) see current
jurisprudence
The following acts have been declared by
the Supreme Court as involving moral
turpitude:
(1)Those that involve fraud or deceit:
- Violation of BP 22;
- Falsification of public documents;
- Estafa;
- Embezzlement;
- Swindling;
- Smuggling
see current jurisprudence
(2) Those that are inherently contrary to
rules of right conduct, honesty, or morality
in a civilized community:
- Abduction with consent (In re Basa,
41 Phil. 275 (1920);
- Murder (In re Gutierrez, Adm. Case
No. L-363, July 31, 1962);
- Bigamy;
- Participation in fatal hazing of a
fraternity neophyte (In re Al
Argosino)
Lawyers convicted of crimes involving
moral turpitude are either suspended from
the practice of law or disbarred.
(f) Commission of Fraud or
Falsehood
The commission of fraud or falsehood in
the lawyers private dealings may make
him administratively liable therefor.
Falsely stating in a deed of sale that the
property is free from liens or
encumbrances (In re Quiambao, A.C. No.
195, January 31, 1958.), misappropriating
money belonging to his employer
(Investment and Management Services
Corp. v. Roxas, A.C. No. 1417, April 17,
1996.) are some examples of fraud and
falsehood.
3. Courtesy, Fairness, and Candor
Towards Professional Colleagues
Generally
A lawyer shall conduct himself with
courtesy, fairness, and candor toward his
professional colleagues, and shall avoid
harassing tactics against opposing
counsel. (Canon 8, CPR.) He should not
encroach upon the professional
employment of another lawyer. (Rule
8.02, CPR.)
CANON 8 - A LAWYER SHALL CONDUCT
HIMSELF WITH COURTESY, FAIRNESS
AND CANDOR TOWARD HIS
PROFESSIONAL COLLEAGUES, AND
SHALL AVOID HARASSING TACTICS
AGAINST OPPOSING COUNSEL.
Rule 8.01 - A lawyer shall not, in his
professional dealings, use language
which is abusive, offensive or otherwise
improper.
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.
(a) Candor, Fairness, and Truthfulness
Should Characterize Relations
Candor, fairness, and truthfulness should
characterize the conduct of a lawyer with
other lawyers.
He should not ignore recognized
customs and practices of the bar
(Canon 25, Canons of Professional
Ethics.)
He should not yield to his clients
demand that he should be illiberal, nor
should he do anything repugnant to
his sense of honor and propriety.
(Canon 24, CPE.)
He should not take advantage of the
excusable unpreparedness or
absence of counsel during the trial of
a case (See Yulo v Yang ChiaoSeng,
G.R. No. L-12541, March 30, 1960.).
A lawyer who rudely interrupts his
fellow lawyer while the latter was
making representations in behalf of
the other party is a violation of the
Canon (Bugaring v. Espanol, G.R. No.
133090, January 19, 2001.).
A lawyer shouldnt avoid
performance of an agreement
fairly made because its not
reduced to writing.
(b) A Lawyer Should Use Temperate
Language
A lawyer shall not, in his professional
dealings, use language which is abusive,
offensive or otherwise improper (Rule
8.01, CPR). No attorney ought to be
criticized in the making of an honest legal
effort to protect the interest of his client
(Asia Banking v. Herridge, G.R. No.
20993 December 22, 1923.).
Disrespectful language serves no useful
purpose and constitutes direct contempt
or contempt in facie curiae (See Surigao
Mineral Reservation Board v. Cloribel,
G.R. No. L-27072, January 9, 1970.).
Lack or want of intention is no excuse for
the disrespectful language employed
(Rheem of the Philippines v. Ferrer, G.R.
No. 22979, January 27, 1967.). However,
strong language is justified if impelled by
the same language used by the Judge
(Fernandez v. Hon. Bello, G.R. No. L-
14277, April 30, 1960.).
He should only use such temperate but
forceful language in his pleadings or
arguments as befitting an advocate.
However, it must be noted that
utterances, petitions and motions made
in the course of judicial proceedings have
consistently been considered as
absolutely privileged, however false or
malicious they may be, but only for so
long as they are pertinent and relevant to
the subject of inquiry. In this regard, the
Supreme Court has stated the test for
relevancy as follows:
As to the degree of relevancy or
pertinency necessary to make alleged
defamatory matters privileged the courts
favor a liberal rule. The matter to which
the privilege does not extend must be so
palpably wanting in relation to the subject
matter of the controversy that no
reasonable man can doubt its relevancy
and impropriety. In order that matter
alleged in a pleading may be privileged, it
need not be in every case material to the
issues presented by the pleadings. It
must, however, be legitimately related
thereto, or so pertinent to the subject of
the controversy that it may become the
subject of inquiry in the course of the trial.
(Saberon v. Larong, A.C. No. 6567, April
16, 2008.)
(c) A lawyer Should Not Encroach
Upon the Business of Another
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. (Rule
8.02, Code of Professional Responsibility)
A lawyer should not steal the other
lawyers client nor induce the latter to
retain him by a promise of better service
or reduced fees. (Linsangan v. Tolentino,
A.C. No. 6672, September 4, 2009)
There is no encroachment when the
previous lawyer was already dismissed.
(Laput v. Remotigue, A.M. No. 219,
September 29, 1962.)
A lawyer retained to take over a case
from a peer in the bar should do so
only after he shall have obtained the
conformity of the counsel whom he
would substitute
(d) Negotiation With the Opposite
Party
A lawyer should not in any way
communicate upon the subject of
controversy with a party represented by
counsel, much less should he undertake
to negotiate or compromise the matter
with him, but should deal only with his
counsel. It is incumbent upon the lawyer
most particularly to avoid everything that
may tend to mislead a party not
represented by counsel, and he should
not undertake to advise him as to the law.
(Canon 9, Canons of Professional Ethics)
Neither should the lawyer attempt to
interview the opposite party and question
him as to the facts of the case even if the
adverse party is willing to do so. (A. B. A.
Op. 75, July 22, 1932)
Jurisprudence provides the
penalty of suspension for one who
violates Canon 9.
(e) Association as a Colleague in a
Case
A client's proffer of assistance of
additional counsel should not be regarded
as evidence of want of confidence, but the
matter should be left to the determination
of the client. A lawyer should decline
association as colleague if it is
objectionable to the original counsel, but if
the lawyer first retained is relieved,
another may come into the case.
When lawyers jointly associated in a
cause cannot agree as to any matter vital
to the interest of the client, the conflict of
opinion should be frankly stated to him for
his final determination. His decision
should be accepted unless the nature of
the difference makes it impracticable for
the lawyer whose judgment has been
overruled to co-operate effectively. In
this event it is his duty to ask the client to
relieve him. (Canon 7, Canons of
Professional Ethics) see current
jurisprudence
4. No Assistance in Unauthorized
Practice of Law
(a) Duty to Prevent Unauthorized
Practice of Law
CANON 9 - A LAWYER SHALL NOT,
DIRECTLY OR INDIRECTLY, ASSIST IN
THE UNAUTHORIZED PRACTICE OF
LAW.
Rule 9.01 - A lawyer shall not delegate
to any unqualified person the
performance of any task which by law
may only be performed by a member of
the Bar in good standing.
Rule 9.02 - A lawyer shall not divide or
stipulate to divide a fee for legal
services with persons not licensed to
practice law, except:
a) Where there is a pre-existing
agreement with a partner or associate
that, upon the latters death, money
shall be paid over a reasonable period of
time to his estate or to persons specified
in the agreement; or
b) Where a lawyer undertakes to
complete unfinished legal business of a
deceased lawyer; or
c) Where a lawyer or law firm includes
non-lawyer employees in a retirement
plan, even if the plan is based in whole
or in part, on a profitable sharing
arrangement.

A lawyer shall not, directly or indirectly,
assist in the unauthorized practice of law.
(Canon 9, Code of Professional
Responsibility) Collaborating with a
person who is not a member of the bar
can subject one to disciplinary
proceedings. (Beltran v. Abad, Bar Matter
No. 139, October 11, 1984)
Unauthorized practice is committed when
a person not a lawyer pretends to be one
and performs acts which are exclusive to
the members of the bar; it is punishable
by fine or imprisonment or both.(Tan v.
Balajadia, G.R. No. 169517, March 14,
2006) Allowing a non-lawyer to affix his
signature to a pleading is an unauthorized
practice of law. The preparation and
signing of a pleading constitute legal
work involving the practice of law,
which is reserved exclusively for
members of the legal profession.
Although he may delegate the signing
of a pleading to another lawyer, he may
not delegate it to a non-lawyer. (Tapay
v. Bancolo, A.C. No. 9604, March 20,
2013) see current jurisprudence
A lawyer may not, without aiding the
unauthorized practice of law by a layman,
establish a law office with one who has
not been licensed to practice law by the
Supreme Court. (U.S. v. Ney & Bosque,
G.R. No. 3593, March 23, 1907)
(b) Intervention of Intermediary Not
Allowed
The lawyers relation with his client is
personal and his responsibility is direct to
the client. He should avoid all relations
which direct the performance of his duties
by or in the interest of such intermediary.
(Canon 35, Canons of Professional
Ethics)
Lawyer may accept employment
from any organization and render
legal services in any matter in
which the organization as an entity
is interested, or may give legal
opinion on problems common to
all members.
But he should not render legal
services to members of such
organization in respect to their
individual affairs, unless his
services are individually retained
by such members.
(c) Lawyers Shall Not Delegate Legal
Work to Non-lawyers.
A lawyer shall not delegate to any
unqualified person the performance of
any task which by law may only be
performed by a member of the Bar in
good standing. (Rule 9.01, Code of
Professional Responsibility) There is
exception on this...
The rule is absolute that the authority of a
lawyer to represent a client in a case
cannot be delegated to an unqualified
person by reason of public policy.
However, a lawyer can employ lay
secretaries, investigators, detectives,
researchers, etc. to undertake any task
not involving the practice of law.
Employment of paralegals: Giving legal
materials & answering questions relating
to legal concepts is equivalent to the
practice of law. (Ulep v. The Legal Clinic,
Inc., Bar Matter No. 553, June 17, 1993)
(d) Lawyers Shall Not Divide Fees With
Non-lawyers
General Rule: A lawyer shall not divide
or stipulate to divide a fee for legal
services with persons not licensed to
practice law.(Rule 9.02, Code of
Professional Responsibility)
Exceptions:
a. Where there is a pre-existing
agreement with a partner or
associate that, upon the latter's
death, money shall be paid over a
reasonable period of time to his
estate or to persons specified in the
agreement; or
b. Where a lawyer undertakes to
complete unfinished legal
business of a deceased lawyer; or
c. Where a lawyer or law firm
includes non-lawyer employees
 in a retirement plan even if the
plan is based in whole or in part, on
a profit sharing agreement.(Rule
9.02 [a], [b], [c], Code of
Professional Responsibility)
Impropriety arises where the effect of the
arrangement is to:
a. Make the estate or heir a member
of the partnership along w/ the
surviving partners
b. Makes the estate or heir the
recipient of a percentage of the
fees that may be paid from the
future business of the deceased
lawyers clients.
A lawyer who agrees with a non-lawyer to
divide attorneys fees paid by clients
supplied or solicited by the non-lawyer is
guilty of malpractice. (Tan Tek Beng v.
David, Adm.Case No. 1261, December
29, 1983)
(e) A lawyer Shall Not Solicit Legal
Business
The law absolutely prohibits lawyers from
soliciting cases for the purpose of gain,
either personally or through paid agents
or brokers, constitutes malpractice.
(Rule 138, Sec. 27, Rules of Court) Also,
a lawyer should shall not do or permit to
be done any act designed primarily to
solicit legal business.(Rule 2.03, Code of
Professional Responsibility)
(f) A Lawyer Shall Not Charge Lower
Rates to Attract Business
A lawyer shall not charge rates lower than
those customarily prescribed unless the
circumstances so warrant.(Rule 2.04,
Code of Professional Responsibility)
However, 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 paying the fee
usually charged for such services.
(Comments of the IBP Committee that
drafted the Code, p. 12)
(g) A Lawyer Cannot Advertise His
Talent
What is the rule on advertisements?
Advertisements are not allowed. The most
worthy and effective advertisement
possible is the establishment of a well-
merited reputation for professional
capacity and fidelity to trust.
A lawyer cannot advertise his talent as a
shopkeeper advertises his wares.(In re
Tagorda, 54 Phil. 37, March 23, 1929) A
lawyer is a member of an honourable
profession whose primary purpose is to
render public service and help secure
justice and in which remuneration is a
mere incident. (Canon 12, Canons of
Professional Ethics) There is current
jurisprudence.
What acts are considered indirect
advertisements?
Indirect advertisements for professional
employment, such as furnishing or
inspiring newspaper comments, or
procuring his photograph to be published
in connection with causes in which the
lawyer has been engaged or concerning
the manner of their conduct, the
magnitude of the interest involved, the
importance of the lawyer's position, and
all other self-laudation.
(h) Proper or Permissible Advertising
or Solicitation
The commonly accepted norm is that the
best form of advertising is a well-merited
reputation for professional capacity which
is earned thru professional conduct.
However, there are certain broad
exceptions to the prohibition against
advertising, namely:
a. Publication in reputable law lists
the law list must be published
primarily for that purpose and
should not be a mere
supplemental feature of a paper;
b. The use of an ordinary simple
professional card which must
contain only his name, the name
 of the law firm he is connected
with, address, telephone number
and special branch of law
practiced;(A. B. A. Op. 11 May 11,
1927)
c. Publication of a simple
announcement of the opening of a
law firm, or of changes in the
partnership, associates, firm name
or office address;
d. A lawyer may likewise have his
name listed in a telephone
directory, but not under a
designation of special branch of
law,;
e. A lawyer engaged in a particular
branch of law and available to act
as an associate of other lawyers
may send to local lawyers only
and publish in a local legal journal
a brief and dignified
announcement of his availability to
serve other lawyers in connection
therewith.
Alternative version:
Is the rule on advertisements
absolute?
No. The following are considered
permissible advertisements: (ROOELY)
a. Reputable law lists, in a manner
consistent with the standards of
conduct imposed by the canons, of
brief biographical and informative
data, are allowed (Ulep vs. Legal
Clinic, Inc., 223 SCRA 378, 1993).
b. Ordinary simple professional card. It
may contain only a statement of his
name, the name of the law firm which
he is connected with, address,
telephone number and the special
branch of law practiced (Ulep v. Legal
Clinic, Inc., 223 SCRA 378, 1993).
c. A simple announcement of the
Opening of a law firm or of changes in
the partnership, associates, firm name
or office address, being for the
convenience of the profession, is not
objectionable (Ulep v. Legal Clinic,
Inc., 223 SCRA 378, 1993).
d. Advertisements or simple
announcement of the Existence of a
lawyer or his law firm posted
anywhere it is proper such as his
place of business or residence except
courtrooms and government buildings.
e. Advertisements or announcement in
any Legal publication, including
books, journals, and legal magazines.
f. Yellow pages/telephone directories
containing the firm name, addresses
and contact numbers
(i) Writing Legal Articles
A lawyer may with propriety write articles
for publications in which he give
information upon the law; but he should
not accept employment from such
publications to advise inquiries in respect
to the individual rights.(Canon 40, Canons
of Professional Ethics) What should be
guarded against are:
a. Improper advertising by a lawyer;
(Canon 27, Canons of
Professional Ethics)
b. Giving legal advice to one
which no attorney-client
relationship exists;(Canon 35,
Canons of Professional Ethics)
and
c. Aiding a layman to engage in
unauthorized practice of law.
(Canon 47, Canons of
Professional Ethics)
Note: The Canons of Professional Ethics
are cited in an advisory capacity; they are
not mandatory except on members of the
Philippine Bar Association.
(j) Lawyer Shall Not Use False
Statement Regarding His
Qualifications or Service
Canon 3 - A lawyer, in making known his
legal services, shall use only true, honest,
fair, dignified and objective information or
statement of facts
(k) Lawyer Shall Not Use False or
Misleading Firm Name
A law partnership is a mere association
of lawyers for such purpose and is a
non-legal entity. It is not a taxpayer, even
if such law partnership is registered with
the SEC. In the formation of such
partnership, no person should be admitted
or held out as a member who is not a
lawyer.(Canon 33, Code of Professional
Ethics) Filipino lawyers cannot practice
law under the name of a foreign law
firm, as the latter cannot practice law
in the Philippines.(Dacanay v. Baker &
McKenzie, Adm. Case No. 2131, May 10,
1985)
The name of the deceased partner must
be struck down from the name of the law
firm. This is to avoid any
deception/misconception to possible
clients brought about by the usage of the
name. Given that the law profession is
skill-based, ones named play an
essential role in attracting (or deceiving)
clients. (In re Sycip, 92 SCRA 1)
The use of a deceased persons name as
part of the firm name is allowed as long as
the public is not misled, e.g. there is an
indication that the person is deceased.
(this is the current jurisprudence)
(l) Partner Who Accepts Public Office
Should Withdraw From the Firm
The purpose of the rule is to prevent the
law firm from using the partners name to
attract business and to avoid suspicion or
undue influence.(Comments of IBP
committee that drafted the Code, p. 16)
Exception: A partner may opt not to
withdraw from the firm if the law allows
him to practice law concurrently.
(m) Lawyer Shall Not Seek Media
Publicity
Media publicity, as a normal by-product of
efficient legal service, is not improper.
What is improper is for a lawyer to resort
to propaganda to secure media publicity
for the purpose of attracting legal
business.(Id)
C. DUTIES TO THE COURTS
A lawyer is an officer of the court. He is an
officer of the court because he is one with
the court in upholding justice. His first duty
is not to his client but to the administration
of justice; to that end, his clients success
is wholly subordinate; and his conduct
ought to and must always be scrupulously
observant of the law and ethics of the
profession.(City Sheriff, Illigan City v.
Fortunato, G.R. No. 80390, March 27,
1998).
Should there be a conflict of between the
lawyers duty to the courts and to that of
his client, he should uphold his duty to the
former (Cobb-Perez v. Lantin, 24 SCRA
291, 1968).Find the latest jurisprudence
a. Candor, Fairness, and Good
Faith Towards the Courts
(a) Lawyer Should be Candid and
Truthful to the Court.
Canon 10 - A lawyer owes candor,
fairness, and good faith to the court.
A lawyer must conduct his duties and
affairs with full respect to the judicial
office. Courts are entitled to expect only
complete honesty from lawyers appearing
and pleading before them.
Candor in all dealings is the very essence
of honorable membership in the legal
profession. Lawyer is obliged to observe
the rules of procedure and not to misuse
them to defeat the ends of justice.
(b) Lawyer Should Do No Falsehood
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
article.
Agpalo has a list of these acts of
falsehood.
He should not mislead the court or the
adverse party nor make false allegations
in a pleading.
A lawyer should seek to preserve the
publics faith in the courts. It is his duty
not to conceal the truth from the court nor
mislead it. The courts will not be able to
uphold justice if they rely on false
submissions and representations of
lawyers. It has been said of a lawyer that
as an officer of the court, it is his sworn
and moral duty to help build and not
destroy unnecessarily that high esteem
and regard towards the courts so
essential to the proper administration of
justice. (Lacson, Jr. v. CA, G.R. No.
113591, February 6, 1995) No client is
entitled to receive from the lawyer any
service involving dishonesty to the courts.
(Comments of the IBP that drafted the
Code, p. 53)
(c) Lawyer Should Not Misquote nor
Misrepresent
Rule 10.02 - A lawyer shall not
knowingly misquote or misrepresent
the contents of a paper, the language
of the argument of opposing counsel,
or the text of a decision or authority, or
knowingly cite as law a provision
already rendered inoperative by repeal
or amendment, or assert as a fact that
which has not been proved.
Knowingly misquoting or misrepresenting
is both unprofessional and contemptuous.
(Agpalo, Deiparine, Jr. V. CA, G.R. No.
96643, April 23, 1993)
Ever present is the danger that if not
faithfully and exactly quoted, the decisions
and rulings of the Supreme Court may
lose their proper and correct meaning, to
the detriment of other courts, lawyers and
the public who may be misled. (Insular
Life Assurance Co., Ltd. Employees
Assn. v. Insular Life)
(d) Lawyer Should Not Misuse the
Rules of Procedure
There is jurisprudence
The rules of procedure are intended to
facilitate the delivery of justice to those
whom it is due without unnecessary
expense and waste of time.
A lawyer must remember that he is an
officer of the court and any such lawyer
who uses the Rules of Procedure to
defeat or frustrate the ends of justice
deserves condemnation.
While a lawyer owes fidelity to his client, it
shouldnt be at the expense of truth and
the administration of justice. This includes
a deliberate misreading or
misinterpretation of the law.
b. Respect For Courts and Judicial
Officers
(a) Respect Due to the Courts
A lawyer owes the court the duty to
observe and maintain a respectful attitude
not for the sake of the temporary
incumbent of the judicial office but for the
maintenance of its supreme importance.
(Department of Health v. Sy Chi Siong
Co., Inc., et al., G.R. No. 85289, February
20, 1989) Respect of courts helps build
the high esteem and regard towards them
which is essential to the proper
administration of justice.(People v. Carillo,
G.R. No. L-283, October 30, 1946)
(b) Obeying Court Orders
The highest sign of respect to the courts
is the lawyers obedience to court orders
and processes. Court orders must be
respected, however erroneous they may
be. (De Leon v. Torres, Adm. Case No.
180, June 30, 1956)
There is a later jurisprudence. Related to
Contempt
(c) Defending Judges From Unjust
Criticism
It is a lawyers duty as an officer of the
court to defend a judge from unfounded
criticism or groundless personal attack.
(People v. Carillo, G.R. No. L-283,
October 30, 1946) The lawyer himself
should refrain from subjecting a judge to
groundless accusations and discourage
others from doing so. (Cabansag v.
Fernandez, G.R. No. L-8974, October 18,
1957)
(d) Lawyer Shall Appear in Proper
Attire
Both male and female lawyers must
always be in business attire (for male
lawyers, business attire means either
Barong Tagalog or coat and tie).
Appearing in court properly attired helps
in maintaining the dignity and esteem the
courts and the legal profession is entitled
to. The court can hold the lawyer in
contempt of court if he appears in
improper attire. (Agpalo, Legal and
Judicial Ethics, p.152-153, 2009)
(e) Lawyer Shall be Punctual
A lawyer should also show respect due
the court by appearing during trial
punctually. A lawyer owes it to his client,
court and public to be punctual in
attendance and to be concise, and direct
in the trial and disposition of cases. If the
lawyer fails attend punctually or has
repeated tardiness, the lawyer might
prejudice his client who may be declared
non-suited or in default. (Id.)
The Supreme Court requires that court
sessions must start properly at 8:30 A.M.
in the morning and 2:00 P.M. in the
afternoon.
The duty to be punctual also includes
prompt compliance with court orders.
(f) Lawyer Shall Abstain From
Offensive Language or Behavior
A lawyers language should be forceful
but dignified, in keeping with the dignity of
the legal profession. (In Re Climaco, A.C.
No. 134-J, January 21, 1974)
A lawyer pleads; he does not dictate.
(Rodil v. Garcia, G.R. No. L-49155, May
13, 1981)
It is a lawyers duty 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. However, he has the right to be
zealous, even tenacious, in the
prosecution or defense of the clients
cause.(The British Co. v. De los Angeles,
G.R. No. L-33720, March 10, 1975)
A lawyer is not at liberty to resort to
arrogance, intimidation, and innuendo.
The lawyer must exhaust judicial
remedies or await the result thereof to
hold a judge to have gravely erred before
filing an administrative case; otherwise,
he may be accountable. (Flores v.
Abesamis, A.M. No. SC-96-1. July 10,
1997)
(g) Judge Should be Courteous to
Lawyer to Merit Respect
Observing and maintaining respect is not
a one-way duty from a lawyer to a judge.
A judge should also be courteous to
counsel. For if a judge desires not to be
insulted he should start using temperate
language himself.(Fernandez v. Bello,
G.R. No. L-14277, April 30, 1960)
(h) Upholding the Courts Authority
and Dignity
A lawyer, as a member of the bar and as
an officer of the court, should uphold the
dignity and authority of the court. He
should not promote distrust in the
administration of justice.(Surigao Mineral
Reservation Board v. Cloribel, G.R. No. L-
27072, January 9, 1970)
(i) Lawyer Shall Not Attribute to a
Judge Improper Motives
A lawyer should not make hasty
accusations against a judge, before whom
he pleads his case, without any valid
ground. (People v. Taneo, 284 SCRA 251
(1998)
This rule however does not preclude a
lawyer from criticizing judicial conduct so
long as it is supported by the record or is
material to the case.(In re. Almacan,
supra; Agpalo Legal and Judicial Ethics,
p.157, 2009)
(j) Lawyer Shall Submit Grievances to
Proper Authorities
A lawyer may only file a complaint with the
Supreme Court, through the Office of the
Court Administrator, if the case is
administrative in nature, or with the
Office of the Ombudsman, if the complaint
is criminal.
A lawyer may not file an administrative
complaint against a judge, which arises
from his judicial acts, until the lawyer shall
have exhausted judicial remedies which
result in a finding that the judge has
gravely erred. (Flores v. Abesamis, 275
SCRA 202 ,1997)
c. Assistance in the Speedy and
Efficient Administration of Justice
(a) Duty to Assist in the Administration
of Justice
A lawyer is an officer of the court. Hence,
his primary duty is not to his client, but the
administration of justice. A lawyer may be
able to help the court in the due and
orderly administration of justice by doing
no act that obstructs, perverts or impedes
the administration of justice and by
faithfully complying with all his duties to
the court and to his clients. (City Sheriff
case, supra)
(b) Lawyer Should Come to Court
Adequately Prepared
Without adequate preparation, the lawyer
may not be able to effectively assist the
court in the speedy and efficient
administration of justice nor can he serve
his client with competence and diligence.
A lawyers unpreparedness can also lead
to postponements and delays. The duty of
a lawyer to appear on the dates of hearing
adequately prepared is an obligation
which he owes to the court as well as the
client.(Comments of the IBP Committee
that drafted the Code, p. 65)
(c) Lawyer Shall Not File Multiple
Actions
There should be exceptions?
It is essential to an effective and efficient
administration of justice that once a
judgment has become final, the winning
party be not, through subterfuge and
misuses of legal process, be deprived of
that verdict.(LikimTho v. Sanchez, G.R.
No. L-2676, January 31, 1949)
There is latest jurisprudence.
(d) Lawyer Shall Not Resort to Forum
Shopping
Rule 12.02 - A lawyer should not file
multiple actions arising from the same
cause.
Forum shopping is the improper practice
of going from one court to another in the
hope of securing a favorable relief in one
court which another court has denied or
the filing of repetitious suits or
proceedings in different courts concerning
substantially the same subject matter.
There is also forum shopping when there
is an adverse opinion in one forum, a
party seeks a favorable opinion in another
forum, other than through an appeal or
certiorari. Continuously filing motions for
inhibition against Supreme Court Justices
based from flimsy to wild accusations of
partiality in order to delay the
administration of justice can disbar a
lawyer.(In re SC Resolution dated 28 April
2003, A.C. 6332, April 17, 2012)
Sec. 5, Rule 7 of the Rules of Court
requires a certification against forum
shopping filed with the initiatory pleading;
failure to do so is a ground for dismissal.
Test to Determine Forum Shopping:
The test for forum shopping is whether
the elements of litis pendentia are present
or whether a final judgment in one case
will amount to res judicata in another.
(First Phil. International Bank v. CA, G.R.
No. 115849. January 24, 1996)
(e) Duty to Disclose Pending Case
A disclosure of any pending cases at the
time the initiatory pleading is filed must be
made, even if:
1. He has withdrawn the pending
case, or it has otherwise been
terminated; or
2. The initiatory pleading is not based
on the same cause of action as
the pending case. (Soller v.
Comelec, 339 SCRA 378, 1998)
(f) The Certification Against Forum
Shopping Must be Signed by the
Party, Not His Counsel
General Rule: Such certification must be
signed by the party himself as he has
personal knowledge of the facts stated
therein. Only the party himself has actual
knowledge of whether or not he has
initiated similar actions or proceedings in
courts or agencies.(Digital Microware
Corp. v. CA, G.R. No. 128550, March 16,
2000)
Exception: A certification executed by
counsel of the party must certify that he
has personal knowledge of the facts
stated therein and must give a justifiable
reason or explanation why the party
himself cannot sign the certification.(Ortiz
v. CA, G.R. No. 127393, December 4,
1998)
When there are two or more plaintiffs or
petitioners, all of them must sign the
certification, unless one is authorized to
sign on behalf of the others. If the party is
a juridical person, it has to be executed by
a corporate officer or agent duly
authorized by its board.
(g) Sanctions For Non-filing of
Certificate Against Forum Shopping
and Failure to Comply With its
Requirements
Failure to comply shall not be curable by
mere amendment of the complaint or
other initiatory pleading but shall be cause
for the dismissal of the case without
prejudice, unless otherwise provided,
upon motion and after hearing.
The submission of a false certification or
non-compliance with any of the
undertakings therein shall constitute
indirect contempt of court, without
prejudice to the corresponding
administrative and criminal actions.
If the acts of the party or his counsel
clearly constitute willful and deliberate
forum shopping, the same shall be ground
for summary dismissal with prejudice and
shall constitute direct contempt, as well as
a cause for administrative sanctions.
(Rules of Court, Rule 7, Section 5)
Sanctions for forum-shopping:
a. Dismissal of all actions;
b. Criminal, civil and/or
administrative liability
c. Direct or indirect contempt of
court
(i) Lawyer to Temper Clients
Propensity to Litigate
A lawyer should resist the whims and
caprices of his client and temper his
clients propensity to litigate.(Cobb-Perez
v. Lantin, G.R. No. L-22320, July 29,
1968). A lawyer has an affirmative duty to
check useless litigations, willful violation
of which may subject him to appropriate
disciplinary action(Arambulo v. Perez,
G.R. No. L-185, April 30, 1947) or render
him liable for costs of litigation.(Pajares v.
Abad Santos, G.R. No. L-29543,
November 29, 1969)
(j) Lawyer Shall File His Pleadings
Within the Prescribed Period
Where a lawyers motion for extension of
time to file a pleading, memorandum or
brief has remained unacted upon by the
court, the least that is expected of him is
to file within the period asked for.
If for some reason, he fails to do so, he
should nonetheless file it with a motion for
leave to admit the same, explaining the
reasons for the delay, or file a
manifestation informing the court that he
can no longer file the same. (Roxas v.
CA, 156 SCRA (1987)
(k) Duty to Inform Court of Clients
Death and Change of Counsels
Address
It is the duty of a lawyer to inform the
court, within 30 days, of the death of his
client in a pending case and if the claim is
not extinguished by death, of the name of
the deceaseds representatives, so that
substitution can be made. If there is no
notice made, the court will proceed as if
the party is alive and its decision thereon
is binding upon the heirs of the deceased.
(Heirs of Elias Lorilla v. CA., G.R. No.
118655, April 12, 2000)
It is also the lawyers duty to inform the
court of any change of his address. Such
duty is part of a lawyers obligation to
assist in the early termination of the case.
Failure on the lawyers part will result in
the binding effect of service done at the
lawyers unchanged address of record.
(City Sheriff v. Fortunato, supra)
(l) Lawyer to Discourage Appellate
Review
If a lawyer is honestly convinced of the
futility of an appeal in a civil suit, he
should not hesitate to inform his
disappointed client that most likely the
verdict will not be altered. (Castaneda v.
Ago, 65 SCRA 505, 1975)
A lawyer who interposes an appeal
manifestly for the purpose delay does so
with full awareness of his responsibility as
an officer of the court and of the risk of
being disciplined therefore.(Samar Mining
Co. v. Arnado, G.R. No. L-22304, July 30,
1968)
(m) Lawyer Shall Not Talk to Witness
During Recess
Purpose: To avoid any suspicion that he
is coaching the witness what to say during
the resumption of the examination.
(Agpalo, Legal and Judicial Ethics, p.173,
2009)
(n) Lawyer Shall Not Assist a Witness
to Misrepresent
While he may interview witnesses in
advance or attend to their needs if they
are poor and have no adequate means of
defraying their own expenses,(People v.
Elizaga, G.R. No. L-2487, May 18, 1950)
the lawyer must avoid any action that may
be misinterpreted as an attempt to
influence the testimony of a witness.(Id)
(o) Lawyer Shall Not Harass a
Witness
A lawyer should always treat adverse
witnesses and suitors with fairness and
due consideration.(Canon 18, Code of
Professional Ethics)
He should advance no fact prejudicial to
their honor or reputation unless required
by the justice of the cause with which he
is charged.
(p) Lawyer Shall Avoid Testifying For a
Client
A lawyer may not properly support his
contention as an advocate with his
testimony as a witness. (Jacobs v.
Weissinger, 211 Mich. 47, 178 NW 65
1920) While the law does not disqualify a
lawyer from being a witness and an
advocate at the same time, the practice is
violative of the rule on professional
conduct.(Phil. National Bank v.
UyTengPiao, G.R. No. L-35252, October
21, 1932)
Rule 12.08 of the Code enjoins a lawyer
from testifying in behalf of his client
except:
a. On formal matters, such as the
mailing, authentication or custody
of an instrument; or
b. On substantial matters, in cases
where his testimony is essential to
the ends of the justice, in which
event he must, during his
testimony, entrust the trial of the
case to another counsel.
 c. Reliance on merits of his cause
and avoidance of any
impropriety which tends to
influence or gives the
appearance of influence upon
the courts
4. Lawyer Should Rely on the Merits of
His Case
A lawyer shall rely upon the merits of his
cause and refrain from impropriety which
tends to influence the court.(Canon 13,
Code of Professional Responsibility)
Improper acts of lawyer which give the
appearance of influencing the court to
decide case in a particular way lessen the
confidence of the public in the impartial
administration of justice, and should be
avoided.(Comments of IBP Committee
that drafted the Code, p. 70)
CANON 13 - A LAWYER SHALL RELY
UPON THE MERITS OF HIS CAUSE
AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO
INFLUENCE, OR GIVES THE
APPEARANCE OF INFLUENCING THE
COURT
(a) Lawyer Shall Not Extend Hospitality
or Extraordinary Attention to a Judge
Such attitude may subject both the judge
and the lawyer to suspicion. It is not,
however, incumbent on a lawyer to refuse
professional employment in a case
because it may be heard by a judge who
is his relative, compadre or former
colleague. The responsibility is on the
judge not to sit in a case unless he is both
free from bias and from the appearance
thereof.(Bautista v. Rebueno, G.R. No. L-
46117, February 22, 1978)
(b) Lawyer Shall Not Publicly Discuss
Pending Cases
Newspaper publications by a lawyer
concerning a pending litigation may
interfere with a fair trial in court and
otherwise prejudice the impartial
administration of justice.(Cruz v. Salva,
G.R. No. L-12871, July 25, 1959;
Martelino v. Alejandro, G.R. No. L-30894,
March 25, 1970) The restriction does not
prohibit issuance of statements by public
officials charged with the duty of
prosecuting or defending actions in court.
However, such statements should avoid
any statement of fact likely to create an
adverse attitude in the public mind
respecting the alleged actions of the
defendants to the pending proceedings.
(c) Criticism of Pending and Concluded
Litigation
The court, in a pending litigation, must be
shielded from embarrassment or influence
in its all-important duty of deciding the
case. Once litigation is concluded, the
judge who decided it is subject to the
same criticism as any other public
official(In re Gomez, 43 Phil. 376, May 16,
1922) because then his ruling becomes
public property and is thrown open to
public consumption.(Strebel v. Figueras,
G.R. No. L-4722, December 29, 1974; In
re Almacen, G.R. No. L-27654, February
19, 1970)
In a concluded litigation, a lawyer enjoys
wide latitude of comment on or criticism of
the judges decision or his actuation.
Sub-judice rule: A newspaper publication
tending to impede, obstruct, embarrass or
influence the courts in administering
justice in a pending case constitutes
criminal contempt, but the rule is
otherwise after the litigation is ended.(In
re Abistado, 557 Phil. 668, December 10,
1932; In re Lozano, 54 Phil. 801, July 24,
1930)
** Important
(d) Limitations on the Right to Criticize
The right of a lawyer to comment on or
criticize the decision of a judge or his
actuation is not unlimited.
It is the cardinal condition of such
criticism that it shall be bona fide and shall
not spell over the walls of decency and
propriety.
Respect for the judiciary cannot be had if
persons are privileged to scorn the
resolution of the court adopted for good
purposes and if such persons are to be
permitted by subterranean means to
diffuse inaccurate accounts of confidential
proceedings to the embarrassment of the
parties and the court.(In re Lozano, 54
Phil. 801, July 24, 1930; In re Abistado,
57 Phil. 668, December 10, 1932)
(e) Right and Duty of Lawyer to
Criticize Courts
As a citizen and officer of the court, a
lawyer is expected not only to exercise
the right but also to consider it his duty to
expose the shortcomings and
indiscretions of courts and judges.
Courts and judges are not sacrosanct.
They should expect critical evaluation of
their performance.
Contempt:
Direct Contempt (ROC, Rule 71, Sec.1)
A person guilty of misbehavior in the
presence of or so near a court as to
obstruct or interrupt the proceedings
before the same, including disrespect
toward the court, offensive personalities
toward others, or refusal to be sworn or to
answer as a witness, or to subscribe an
affidavit or deposition when lawfully
required to do so.
Penalty: Punished by a fine not exceeding
two thousand pesos or imprisonment not
exceeding ten (10) days, or both, if it be a
Regional Trial Court or a court of
equivalent or higher rank, or by a fine not
exceeding two hundred pesos or
imprisonment not exceeding one (1) day,
or both, if it be a lower court.
Indirect Contempt (ROC, Rule 71,
Sec.2)
A person guilty of any of the following acts
may be punished for indirect contempt:
(a) Misbehavior of an officer of a court in
the performance of his official duties
or in his official transactions;
(b) Disobedience of or resistance to a
lawful writ, process, order, or judgment
of a court, including the act of a
person who, after being dispossessed
or ejected from any real property by
the judgment or process of any court
of competent jurisdiction, enters or
attempts or induces another to enter
into or upon such real property, for the
purpose of executing acts of
ownership or possession, or in any
manner disturbs the possession given
to the person adjudged to be entitled
thereto;
(c) Any abuse of or any unlawful
interference with the processes or
proceedings of a court not constituting
direct contempt under section 1 of this
Rule;
(d) Any improper conduct tending, directly
or indirectly, to impede, obstruct, or
degrade the administration of justice;
(e) Assuming to be an attorney or an
officer of a court, and acting as such
without authority;
(f) Failure to obey a subpoena duly
served;
(g) The rescue, or attempted rescue, of a
person or property in the custody of an
officer by virtue of an order or process
of a court held by him.
Penalty: If the respondent is adjudged
guilty of indirect contempt committed
against a RTC or a court of equivalent or
higher rank, he may be punished by a fine
not exceeding thirty thousand pesos or
imprisonment not exceeding six (6)
months, or both.
If he is adjudged guilty of contempt
committed against a lower court, he may
be punished by a fine not exceeding five
thousand pesos or imprisonment not
exceeding one (1) month, or both.
If the contempt consists in the violation of
a writ of injunction, temporary restraining
order or status quo order, he may also be
ordered to make complete restitution to
the party injured by such violation of the
property involved or such amount as may
be alleged and proved.
D. DUTIES TO THE CLIENTS
Nature of the Client-relationship
A lawyer is more than an agent or servant
since he possesses special powers of
trust and confidence, independence and
powers superior to those of an ordinary
agent aside from being an officer of the
court. (Regala v. Sandiganbayan, G.R.
No.105938, Sept 20, 1996)
Characteristics of the Relationship
(PCF)
1. Strictly personal;
2. Highly confidential; and
3. Fiduciary.
In sum, the relationship between a lawyer
and his client of one of trust and
confidence. (Agpalo, Legal and Judicial
ethics, p. 182, 2009)
Relationship as Strictly Personal
Features:
1. Involves mutual trust and
confidence of the highest degree;
2. Court or administrative tribunal
must take clients word on the
creation or existence of the
relationship;
3. Should not be established out of
pressure or deception;
4. Prohibits delegation of the
relationship in favor of another
attorney without the clients
consent;
5. Can be terminated at anytime at
the will of the client, with or
without cause;
6. Cannot be terminated at the will of
the lawyer without consent of the
client or the court;
7. The relationship terminates upon
the death of either the client or the
attorney.
However, a lawyer is not required to adapt
a clients troubles as his own as a
professional detachment will better serve
the interest of the client and keep his
professional conduct within ethical
bounds. (Agpalo, Legal and Judicial
Ethics, p.184, 2009)
Relation as Fiduciary and Confidential
The relation is a very delicate, exacting
and confidential character(Daroy v
Legaspi, A.M. No. 936, July 25, 1975; In
re de la Rosa, 27 Phil. 258, March 21,
1914; Canon 15, Code of Professional
Responsibility) entailing responsibilities
that must be reconciled with the lawyers
duties to the court, the bar and the public.
Demands from the lawyer
1. Undivided allegiance,
conspicuous and high degree of
good faith, Loyalty, Fidelity;
2. Disinterestedness, Candor,
Fairness;
3. Absolute integrity in all his
dealings with clients;
4. Renunciation of any personal
advantage, direct or indirect, that
conflicts with clients interest.
(Daroy v. Legaspi, supra; Oparel, Sr. v.
Abaria, A.C. No. 959, July 30, 1971;
Hernandez v. Villanueva, G.R. No. L-
16223, February 6, 1920; State Bar Assn
v. Bank & trust Co., 140 A2d 936, 69
ALR2d 394 1958.)
Rules Protective of Relation
Public interest requires that the personal,
confidential and fiduciary relationship
between the attorney and client be
preserved and protected.(Hernandez v.
Villanueva, G.R. No. L-16223, February
6, 1920; Go Beltran v. Fernandez, A.M.
No. 747, June 27, 1940)
What are the duties of lawyers to their
clients?
1. A lawyer is to exert the best effort
and learning in the protection of
the interest of his client;
2. A lawyer is to promptly account for
any fund or property entrusted by
or received for his client;
 3. A lawyer is not to purchase or
acquire any property or interest of
his client in litigation;
4. A lawyer is to forever keep
inviolate his clients secrets or
confidence and not to abuse
them;
5. A lawyer is not to represent a
party whose interest is adverse to
that of his client even after the
termination of the relation.
* In Fr. Ferrer's exam, there is cross
reference in CPR and Oath and
Rule..Mini Midi Maxi
Only faithful adherence to the rules can
safeguard the trust and confidence placed
by a client on his attorney, and the
Supreme Court subjects violators of the
rules to discipline and administrative
liability in order to protect the public, the
courts and the clients from dishonesty and
incompetence of unfaithful lawyers.
(Hernandez v. Villanueva, G.R. No. L-
16223, February 6, 1920)
Attorney-Client Relationship
When is an attorney-client relationship
deemed to exist?
An attorney-client relationship is said to
exist when a lawyer voluntarily permits or
acquiesces with the consultation of a
person, who in respect to a business or
trouble of any kind, consults a lawyer with
a view of obtaining professional advice or
assistance. (Uy v. Gonzales, A.C. No.
5280, March 30, 2004)
Sufficiency of Professional
Employment
1. Formality is not an essential
element, as the contract may be
express or implied;
2. In the absence of a written
contract, circumstantial evidence
is sufficient to establish a
professional relationship;
3. What is necessary to establish is
that the advice and assistance of
an attorney is sought and received
in any manner pertinent to his
profession;
4. It is not necessary that:
i. a fee was paid or promised to
be paid;
ii. the lawyer was previously
employed by the client;
iii. the attorney consulted
undertook the case; or that
iv. confidential information was
confided or acquired by the
attorney.
Concept of Retainer
A retainer refers to:
1. The act of the client by which he
engages the services of an
attorney to render legal advice, or
to defend or prosecute his cause
in court; or
2. The fee a client pays to an
attorney when he is retained, a
retaining fee, paid to insure and
secure his future services and to
compensate(Hilado v. David, G.R.
No. L-961, September 21, 1949)
counsel for being forbidden from
acting as counsel for the other
party.
N.B.: The proper time for a lawyer to deal
with the issue of his attorneys fees is at
the commencement of the lawyer-client
relationship. (Fajardo v. Bugaring, A.C.
No. 5113. October 7, 2004)
Kinds of Retainer Agreements:
1. General Retainer- The purpose is
to secure beforehand the services
of an attorney for any legal
problem that may afterward arise.
2. Special Retainer - The purpose is
to a particular case or service.
(Pickens Co. v. Thomas, 111 SE
27, 21 ALR 1438, 1922; Agnew v.
Halden, 4 So 672 Ala 1887)
Necessity of retainer
1. An attorney has no power to
represent or appear in court on
behalf of a client without being
retained or employed;
 2. There must be a contract of
employment, express or implied,
between the lawyer and the client
or the clients representative.
(Hilado v. David, supra;
Government v. Wagner, G.R. No.
L-30641, December 18, 1929;
Municipality of Iloilo v.
Evangelista, G.R. No. L-32977,
November 17, 1930)
Employment of the law firm
A professional relationship arises
when a client seeks and is given
advice by a member of the law
firm.
Employment of the law firm is
employment of all the members
thereof and employment of a
member of the firm is employment
of the law firm. (Hilado v. David,
G.R. No. L-961, September 21,
1949)
A member of the firm acts in the
name and interest of the firm, thus
information disclosed to him as a
member of the firm is deemed
disclosed to the firm.
Employment of the firm results in
the continuation of the
professional relationship after the
death of the counsel.
Notice to a law firm as counsel of
record is deemed to be notice to
all the members of the firm.(Trust
International Corporation v.
Pelaez, G.R. No. 164871, August
22, 2006)
E. Who can employ (MALc-WEB)
1. Any person with legal capacity
2. Minors or incapacitated persons
with the assistance of guardian ad
litem
3. Agents with special power of
attorney with regard to principals
property or interest
4. Executors or administrators or
trustee, on behalf of the estate or
beneficiary
5. Wife in instances where law
allows her to sue or be sued on
her own
6. Board of directors of a
corporation, a corporate officer
with delegated power to be hire an
attorney or a stockholder in a
derivative suit on behalf of the
corporation
1. Availability of Service Without
Discrimination
Canon 14 A lawyer shall not refuse
his services to the needy.
General Rule: While the primary task of
the lawyer as advocate is to represent a
party litigant in court, he is not obliged to
act as counsel for any person who wishes
to become his client.
Exception: Under Canon 14, when
rendering free legal services to the needy
and oppressed who are unable to pay
attorneys fees (Canon 14, Code of
Professional Responsibility; Comments of
IBP Committee that drafted the Code, p.
75) in order to aid the plight of the needy
and in fulfillment of the IBPs goal to make
legal services available to those who need
them.
A lawyer-client relationship is not
merely contractual in nature.
Lawyering is not a money-making
venture. Lawyer has powers
superior to those of an ordinary
agent.
A lawyers first duty is not to his
client but to the administration of
justice.
Creation of lawyer-client
relationship when a lawyers
services were solicited or offered
to the client and such client
accepted these services.
The poor and the indigent should
not be further disadvantaged by a
lack of access to the Philippine
legal system.
Rule on Mandatory Legal Aid
Service 60 hours a year
(a) Services Regardless of the
Persons Status
Lawyer shall not decline to represent
unpopular clients
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 the said person.
a. A lawyer may ethically defend a
person whom he believes to be
guilty.
b. A defense counsel who referred to
his clients as the culprits that
salvagedthe victim, has shown
discrimination.(Francisco v What is counsel do oficio?
Portugal, A.C. No. 6155. March
14, 2006)
A lawyer should not decline to represent
an unpopular client regardless of his
personal feelings (Rule 138, Sec. 20(h),
Rules of Court; Rule 14.01) on the guilt or
innocence of the accused. History shows
that while he may champion an unpopular
client or cause, he receives accolades
from his peers in the bar.(Comments of
IBP Committee that drafted the Code, pp.
75-76)This is distinct from a situation
where a lawyer who knows that his client
is guilty, in which case he cannot put up
an honest and whole-hearted defense.
Lawyer shall not decline appointment
by the court or by the IBP
Rule 14.02 A lawyer shall not decline,
except for serious and sufficient cause, an
appointment as counsel de oficio or as
amicus curiae, or a request from the
Integrated Bar of the Philippines or any of
its chapters for rendition of free legal aid.
Features:
i. A client-attorney relation is
created not only by agreement but
also by appointment.
ii. The lawyer owes the same duty to
the indigent litigant as to a paying
client;(People v. Estebia, G.R. No.
L-26868,February 27, 1969;
People v. Ingco, G.R. No. L-
32994, October 29, 1971;
Ledesma v. Climaco, G.R. No. L-
23815, June 28, 1974)
The lawyer is duty-bound to render the
required service unless he is excused by
the court upon sufficient cause shown.
(Rule 138, Sec. 31, Rules of Court) A
counsel de oficio is expected to do his
utmost as an opportunity to assist in the
proper dispensation of justice. Mere
presence in the court is not enough.
(b) Service as Counsel de Oficio
A court may assign a lawyer 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 a lawyer and that the
services of a counsel are necessary to
secure the ends of justice.
A counsel de oficio is expected to render
effective service wand to exert his best
efforts on behalf of an indigent accused.
He has as high a duty to a poor litigant as
to a playing client. He should as a
vanguard in the bastion of justice have a
bigger dose of social conscience and a
little less of self-interest. He should ever
be conscious of his duty to the indigent
whom he defends. (Lames v. Lascieras,
89 SCRA 186,1979)
Q: Who may be appointed counsel de
oficio?
A: The court, considering the gravity of
the offense and the difficulty of the
questions that may arise, shall appoint as
counsel de officio such members of the
bar in good standing who, by reason of
their experience and ability, can
competently defend the accused. But in
localities where such members of the bar
are not available, the court may appoint
any person, resident of the province and
of good repute for probity and ability, to
defend the accused. (Rules of Court, Rule
116, Sec. 7)
Q: Are all counsel de oficio lawyers?
A: No. In localities where members of the
Bar are not available, the court may
appoint any person, resident of the
province and good repute for probity and
ability, to defend the accused. (Sec. 7,
Rule 116, Rules of Court)
When assigned: (Criminal actions)
i. Before arraignment and accused
has not named a counsel of
choice;(Rule 116, Sec 6, Rules of
Court)
ii. Upon filing of the notice of appeal
in the RTC, CA or SC and the
clerk of courts inquires if
appellant desires that a counsel
de oficio to be appointed;(Rule
122, Sec. 13, Rules of Court)
iii. If it appears from the record as
transmitted that the accused:
a.is in prison;
b.is without counsel de parte on
appeal, or
c.has signed the notice of appeal
himself, the clerk of court may
designate a counsel de oficio;
iv. An appellant not confined in
prison may, upon request, be
assigned a counsel de oficio
within 10 days from receipt of
notice to file brief and
establishment of right thereto.
(Rule 124, Sec. 2 Rules of Court)
When not assigned:
i. Accused previously manifested to
acquire services of counsel de
parte, otherwise the accused
right to counsel of choice is
violated and judgment may be set
aside;(People v. Malunsing, G.R.
No. l-29015, April 29, 1975)
ii. Right to counsel of choice is
violated when:
a. accused informed trial
court of his desire to acquire
counsel of choice,
b. a counsel de oficio is
appointed,
c. accused protests
appointment and actions of
counsel de oficio.(People v.
Solis, 128 SCRA 217 1984)
Frequent appointment of same counsel
discouraged
The accused may be denied effective
assistance(People v Daeng, G.R. No. L-
34091, January 30, 1973) when a lawyer
is repeatedly appointed as counsel de
oficio by the court as:
i. He may be overburdened by his
regular practice and have little
time for his de oficio cases; OR
ii. He may treat de oficio cases as a
regular source of income and be
inordinately eager to finish his
cases and collect his fees.
A. Services as counsel de officio
Lawyer shall observe the same standards
for all clients
Rule 14.04A lawyer who accepts the
cause of a person unable to pay his
professional fees shall observe the same
standard of conduct governing his
relations with paying clients.
Characteristics
The purpose of the legal
profession is public service and
secure justice, livelihood only is a
secondary consideration.
The attorneys fees or the clients
ability to pay should not determine
the devotion of a lawyer to his
clients cause.(Operel v. Abaria,
A.C. No. 959, July 30, 1971;
People v. Estebia, G.R. No. L-
26868, February 27, 1969)
The fact that an attorney merely
volunteers his services or that he
is only a counsel de oficio does
not diminish or alter the degree of
professional responsibility owed to
his client.(People vs. Rio, G.R.
No. 90294, September 24, 1991;
ED VINCENT S. ALBANO, LEGAL AND
JUDICIAL ETHICS, 77 2004) Failure
to pay the agreed fees does not
warrant abandonment of the
 clients case. (In re Montague &
Dominguez, 3 Phil. 577 1904)
Lawyers who devote their professional
practice in representing litigants who
could ill afford legal services deserve
commendation. However, this mantle of
public service will not deliver the lawyer,
no matter how well meaning, from the
consequences of negligent acts. It is not
enough to say that all pauper litigants
should be assured of legal representation.
They deserve quality representation as
well.(Canoy v Ortiz, A. C. No. 5485.
March 16, 2005)
(c) Valid Grounds for Refusal
Rule 14.03 A lawyer may not refuse to
accept representation of an indigent client
unless:
a. He is not in the position to carry
out the work effectively or
competently;
b. He labors under a conflict of
interest between him and the
prospective client or between a
present client and the prospective
client.
General Rule: A lawyer is not obligated to
represent any person who wishes to be
his client.(Canon 31, Code of
Professional Ethics; Enriquez v. Gimenez,
G.R. No. L-12817, April 29, 1960)
Exceptions:
a. A lawyer may not refuse to
represent indigent client UNLESS
(Rule 14.03 Code of Professional
Ethics; People v. Isisuilo, 82 Phil.
1 (1948); Ledesma v. Climaco,
G.R. No. L-23815, June 28, 1974)
he is relieved by the court for
sufficient cause, such as when:
i. he is not in a position to carry
out the work effectively or
competently; or
ii. there exists a conflict of interest
between him and the
prospective client.
b. A government lawyer called upon
to represent the government, any
of its agencies or any officer
thereof UNLESS he is disqualified
to act as counsel;(Enriquez Sr. v.
Gimenez, G.R. No. L-12817;
Reyes v. Cornesta, 92 Phil. 838
(1953); Municipality of Bocaue v.
Manotok, G.R. No. L-6528, May
25, 1953; Aguador v. Enerio, G.R.
No. L-20388, January 30, 1971;
Callejo v. Court of Appeals, G.R.
No. 156413, April 14, 2004)
The Sol. Gen. in cases requiring him to
act on behalf of the government(Gonzales
v. Chavez, G.R. No. 97351, February 4,
1992) even in cases where two
government agencies are at odds against
each other.
A lawyer must accept only as much cases
as he can efficiently handle, otherwise the
interests of his clients will suffer.
2. Candor, Fairness and Loyalty to
Clients
Canon 15 A lawyer shall observe candor,
fairness and loyalty in all his dealings and
transactions with his client.
a. In his dealings with his client, a
lawyer must conduct himself with
integrity in as manner beyond
reproach.
b. A lawyer should refrain from any
action whereby for his personal
benefit or gain, he abuses or takes
advantage of the confidence
reposed in him by the client.
(a) Duty to preserve the clients
confidence
Canon 17 A lawyer owes fidelity to the
cause of his client and he shall be mindful
of the trust and confidence reposed in
him.
To hide from the complainant, avoid his
calls, ignore his letters, and leave him
helpless is unforgivable; and to commit all
these acts and omissions after receiving
the full amount of legal fees and after
assuring the client of his commitment and
responsibility violates the Code of
Professional Responsibility. (Overgaard v.
Valdez, AC 7902, Sept. 20, 2008)
i. Confidentiality rule
Canon 21 A lawyer shall preserve the
confidence of his client even after the
attorney-client relationship is terminated.
** Emphasized in Fr Ferrer's Class
Duty to preserve the clients
confidence
Rule 21.01 A lawyer shall not reveal the
confidences or secrets of his client
except:
a. When authorized by the client
after acquainting him of the
consequences of the disclosure;
b. When required by law;
c. When necessary to collect his
fees or to defend himself, his
employees or associates or by
judicial action.
A lawyer has the duty to preserve the
secrets of his clients, including
prospective clients, even at his own peril.
Safeguarding these secrets requires the
application of both ethical and evidentiary
considerations.
It is important to distinguish between
information disclosed in confidence or
as a secret, versus information that
may be secured elsewherethe privilege
covers only the first type of information.
Rule 130, Sec 21(b) of the Rules of
Court makes confidential communication
between lawyer and client privileged and
neither party may be compelled to
disclose such private communication.
ii. Duration of duty
This is a perpetual duty that continues
even after the attorney-client relationship
has been terminated (Canon 21 Code of
Professional Ethics; Canon 37 Code of
Professional Responsibility) or the death
of the client, (Glover v. Pattern, 165 U.S.
394, 41 L ed 766 (1875); Buuck v.
Truckberg, 95 NE2d 304, 22 ALR2d 1145
1950.) for once professional confidence is
reposed it cannot be divested by either
event.
An attorney is forbidden:
a. To do anything which will
injuriously affect his former client;
and
b. To disclose or use against the
client information gained by virtue
of the professional relationship.
General Rule: The protection of the
attorney and client privilege is perpetual.
** Emphasized in Fr Ferrer's Class
Exceptions:
a. When removed by the client
himself; (Agpalo, Legal and
Judicial Ethics, p.266, 2009)
b. When removed after the death of
the client by his heir or legal
representative.(Id.)
c. When a supervening act done
pursuant to the purpose of the
communication causes such
communication to lose its
privileged character such as:
1. communication sent by client
through his attorney once it
has reached third party
recipient; (Uy Chico v. Union
Life Assurance Society, G.R.
No. L-9231, January 6, 1915)
and
2. the contents of a pleading
before it is filed. (Agpalo,
Legal and Judicial Ethics,
p.266, 2009)
Suing ones attorney may result in the
termination of the attorney-client
relationship. It is incompatible with the
mutual confidence and trust essential to
every attorney-client relationship. Hence,
it was held in this case that the attorney-
client relationship was implicitly
terminated by the client upon the filing of
a civil suit against his lawyer. The civil suit
for rescission resulted in the termination
of the attorney-client relationship. The
object of the civil suit resulted in a conflict
of interest. (Pfelider v. Palanca, A.C. No.
927. September 28, 1970)
iii. Lawyer shall not use clients
secret without his consent
Rule 21.02 A lawyer shall not, to the
disadvantage of his client, use information
acquired in the course of his employment,
nor shall he use the same to his own
advantage or that of a third person, unless
the client with full knowledge of the
circumstances consents thereto.
Use of clients secrets by the lawyer to
the clients disadvantage or to the
lawyers or a third persons advantage
deals a blow to the attorney-client
relationship. (Nombrado v. Hernandez,
A.C. No. 555, November 25, 1968; Hilado
v. David, G.R. No. L-961, September 21,
1949)
General Rule: Clients secrets must be
kept.
Exceptions (Rule 21.01):
a. When client consents;
b. When necessary to collect
lawyers fees;
c. When necessary to defend
himself, his employee or
associate.
iv. Lawyer shall not give information
from his files
Rule 21.03 A lawyer shall not, without the
written consent of his client, give
information from his file to an outside
agency seeking such information for
auditing, statistical bookkeeping,
accounting, processing or any other
similar purpose.
The work product of a lawyer, contained in
his files, are privileged matters that
neither the lawyer nor his heir or legal
representative may not give out without
his clients consent.
The file cabinet of a lawyer containing his
clients records and documents may not
be ordered opened because that would be
tantamount to compelling him to divulge
the clients confidence in violation of the
law imposing upon him the duty to strictly
preserve the clients secrets. (People v Sy
Juco, G.R. No. L-41957. August 28, 1937)
v. Lawyer may disclose affairs of
client to partners
Rule 21.04 A lawyer may disclose the
affairs of a client of the firm to partners or
associates thereof unless prohibited by
the client.
General Rule: Disclosure to attorney is
disclosure to law firm
Exception: When prohibited by the client
(Rule 21.04).
Ratio: Since employment of a single
member of a law is considered
employment of the entire law firm,
disclosure by one member to another is
not considered disclosure to third persons
because all the members of the firm are
considered as one person.
Partners and practitioners who held
supervisory capacities are legally
responsible to exert ordinary diligence in
apprising themselves of the comings and
goings of the cases handled by the
persons over which they are exercising
supervisory authority and in exerting
necessary efforts to foreclose he
occurrence of violations of the Code of
Professional Responsibility by persons
under their charge. (Solatan v Inocentes,
A.C. No. 6504. August 9, 2005)
vi. Lawyer shall adopt measures
against disclosures of clients
secrets
Rule 21.05 A lawyer shall adopt such
measures as may be required to prevent
those whose services are utilized by him,
from disclosing or using confidences or
secrets of the client.
Persons rendering services, such as (b) Privileged communications
clerical aids or those who extend their
expertise, to the client or the lawyer such i. Requisites: (AC-ConProf)
that they learn of the clients secrets and 1. There exists an Attorney-Client
their expert reports are privileged relationship, or a prospective
communications which the lawyer is duty- attorney-client relationship, and it
bound to ensure that it will not be is by reason of this relationship
disclosed or used against the client. (Rule that the client made the
21.05, Code) communication;
2. The client made the
vii. Lawyer shall avoid indiscreet communication in Confidence;
conversation about clients 3. The legal advice must be sought
affairs from the attorney in his
Professional capacity (Jimenez v.
Rule 21.06 A lawyer shall avoid indiscreet Atty. Francisco, A.C. No. 10548,
conversation about a clients affairs even 2014).
with members of his family.
Indiscreet conversations about clients Evidentiary Privilege: All the elements
affairs are prohibited5 in order to better inherent in the rule must concur to make
preserve the clients confidences and to the communication privileged
avoid prejudice to the client and loss of communication against disclosure
respect to the legal profession.6 (Mercado v. Vitriolo, 505 Phil. 126, 2005).

viii. Lawyer shall not reveal his ii. Burden of Proof

having been consulted
The burden of proof is on the person
Rule 21.07 A lawyer shall not reveal that asserting the privilege, unless the
he has been consulted about a particular document itself is prima facie privileged.
case except to avoid possible conflict of The mere assertion that the document is
interest. privileged is insufficient (Brown v. Saint
Paul City R. Co., 6235, 1954).
General Rule:
a. Revealing that a lawyer has been The nature of the suit, circumstances and
consulted is tantamount to conditions of the questions and the
revealing the confidences and answers to such questions are important
secrets of the client; in determining whether the information or
b. The rule on privileged communication is privileged.
communications extends to
matters disclosed by a prospective iii. Two-fold Purpose of the Rule
client;
c. This applies even when the lawyer a. To encourage a client to make a
does not accept the employment, Full disclosure of the facts of the
as the disclosure and the lawyers case to his counsel without fear;
opinion on the matter already and
creates an attorney-client b. To allow the lawyer Freedom to
relationship. obtain full information from his
client.
Exception: When the lawyer will be
placed in a situation of representing iv. Relation of attorney and client
conflicting interests.
The privilege is only extended to
communications between a client and a
5 Rule 21.06, Code.
lawyer, and does not extend to a person
6 Comments of the IBP Committee that drafted the Code, who is not a lawyer. However, one who
p. 120.
poses as a lawyer with ulterior motives
and to whom the client confides to is
protected by the privilege. (Agpalo, Legal
and Judicial Ethics, p.273, 2009)
The communication must be in
accordance with the purpose of the
attorney-client relation, otherwise it is not
privileged (Pfleider v. Palanca, A.C. No.
927, 1970).
The privilege extends only to
communications within the lawful
employment of the lawyer and not to
those involving crime or fraud, and in that
case no attorney-client privilege attaches
(Genero v. Silapan, A.C. No. 4078, 2003).
When a person goes to an attorney to
bare his personal secrets and sensitive
documents for the purpose of obtaining
legal advice and assistance, a lawyer-
client relationship arises. Among the
burdens of such relationship is that which
enjoins the lawyer to keep inviolate
confidential information acquired or
revealed during legal consultations. The
fact that one is, at the end of the day, not
inclined to handle the clients case is
hardly of consequence. The Supreme
Court has previously held that if a person,
in respect to business affairs or troubles
of any kind, consults a lawyer with a view
of obtaining professional advice or
assistance, and the attorney voluntarily
permits or acquiesces with the
consultation, then the professional
employment is established (Hadjula v.
Madianda, A.C. No. 6711, 2007).
v. Confidentiality
Not only must there be an attorney-client
relationship, the client must intend the
communication be confidential, intended
only for seeking legal advice from the
attorney and not for the information of
third persons (Uy Chico v. Union Life
Assurance Society, G.R. No.L-9231,
1915).
A lawyer shall preserve the confidence
and secrets of his client even after the
attorney-client relationship is terminated.
But not all information can be considered
as confidential, such as those considered
as public information. In one case, a
corporation's retained counsel had
knowledge of proposed by-law
amendments to allow teleconferencing in
meetings. His services were terminated.
Subsequently, the lawyer appeared as
proxy for one stockholder in a
stockholder's meeting, and opposed the
appearance of certain board members at
the meeting via teleconference on the
ground that the by-laws had not been
amended yet. The court held that the
information about the necessity of
amendment could not be considered as
confidential information. For one, the
SEC also requires the submission of
copies of the amendments or the new by-
laws attached to the original articles of
incorporation. Thus, the documents are
public records and cannot be considered
confidential (Rebecca J. Palm v. Atty
Felipe Iledan, A.C. No. 8242, 2009).
Confidentiality is not affected by the
fact that: (TO)
a. A Third person overheard the
information intended to be
confidential;
b. Other attorneys represented the
client.
However, the confidentiality rule does not
apply when the client uses the lawyer as
an intermediary between himself and a
third person. (Uy Chico v. Union Life
Assurance Society, G.R. No. L-9231,
1915)
When is communication confidential?
It is when information is transmitted by
voluntary act of disclosure between
attorney and client in confidence and by a
means of which, so far as the client is
aware, discloses the information to no
third person other than one reasonably
necessary for the transmission of the
information or the accomplishment of the
purpose it was given. (Brown v. Saint
Paul City R.Co., 62 NW2d 688, 44 ALR
535, 1954)
vi. Form or mode of communication
There is no particular mode, but the protection; (People v. Decina, 138
question to ask is whether it was intended NE2d 799, 63 ALR2d 270, 1956)
to be part of the communication by the 2. Lawyer or lawyers employee,
client to the attorney in connection with unless the client does not waive
legal advice sought or given. (San the privilege; (In re: Hamilton,
Francisco v. Superior Court of San G.R. No. L-7725, 1913)
Francisco, 37 Cal2d 227, 231, P2d 26, 25 3. Attorneys Secretary,
ALR2d 1418, 1951) stenographer, clerk, unless the
attorney and client jointly waive
The rule covers: (WOA) the privilege; (Rule 139, Sec.
a. Written; 21(b), Rules of Court)
b. Oral 4. Clients heir or Legal
c. Actions, signs or other means of representative, against a stranger
communication. (People v. to the estate. (Buuck v.
Sandiganbayan, G.R. No. 115439- Truckenberg, 95 NE2d 304, 22
41, 1997) ALR2d 1145, 1950)

Communication may be transmitted: viii. Application of the rule

(DAO)
a. Directly; A lawyer may not be compelled or
b. Through an Agent, whether the subpoenaed as a witness on
clients or attorneys; communication from a client which is
c. Through any Other form of privileged.
transmission.
ix. Privileged matters
vii. Persons entitled to claim
privilege What are privileged matters? (PDPAN)
1. The work Products of a lawyer, his
Who are covered by the privilege? effort, research and thought
(ACSSIMES) contained in his files;
2. Privileged Documents delivered to
1. Attorney; attorney and then to the client;
2. Client; (Brown v. St. Paul City R. Co., 62
3. Attorneys Secretary; NE=WD2d 688, 44 ALR2d 535,
1954)
4. Stenographer or clerk;
3. Statements made in a Pleading or
5. Interpreter;
in open court in connection with a
6. Messenger or any other agent of
case the lawyer is handling;
transmitting the communication; (Deles v. Aragona, Jr., Adm. Case
7. An Expert hired by the client or No. 598, 1969)
attorney for effective consultation 4. Records of an Accident turned
or communication between over by a party to his attorney;
attorney and client during the (Re: Story, 111 EN2d 385, 36
course of his employment; (United ALR2d 1312, 1953)
States v. Kovel, 296 F2d 918,
5. Name of the client, if revealing the
ALR2d 116, 1961)
name exposes client to civil liability
8. Student allowed to appear in court or implicate him; UNLESS:
for indigent clients accepted by his (CEFuC)
law schools legal clinic. a. Litigation has Commenced;
b. Identification is related to the
Who are entitled to claim the privilege? Employment of a third
(CLaSecL) person;
1. Client, since the privilege is
intended primarily for his
 c. Attorney was employed for Disciplinary Civil liability;
Future fraudulent or criminal sanction; (Canon (Pfleider v. Palanca,
transactions; 37, Canons of A.C. No. 927, 1970)
d. Prosecution of a lawyer for a Professional
Criminal offense. (Baird v. Ethics; Rule 138,
Koerner, 279 F2d 623, 95 Sec. 20(e), Rules
ALR2d 303, 1960) of Court; Bautista
v. Barrios, A.M. No.
x. Matters not privileged 258, 1963)
What are not privileged matters?
(LAOWri-ProfCAF) Criminal liability
(Article 209,
1. Any communication between Revised Penal
attorney and client which Lacks of Code);
one of the elements;
2. Compromise Agreements
prepared by the attorney for his
client and delivered to opposing
party; (Uy Chico v. Union Life
Assurance Society, G.R. No. L-
9231, 1915) xii. Exceptions to attorney-client
3. An Offer and counter offer for privilege
settlement;
a. Clients waiver of privilege
4. A letter Written by a client to his
attorney in the possession of a General Rule: Only the clients consent is
third party; (Barton v. Leyte necessary to waive the attorney-client
Asphalt & Mineral Oil Co., G.R. privilege.
No. L-21237, 1924)
5. Document given by client to his Exception: When the person to be
counsel not in his Professional examined is the attorneys secretary,
capacity; (Pfleider v. Palanca, A.C. stenographer or clerk, in such case the
No. 927, 1970) consent of the attorney is required.
6. Documents given to the lawyer for (Ruben E. Agpalo, Legal and Judicial
Custodial, business or personal Ethics, pp. 285-286, 2009)
services or assistance;
7. Contracts relating to Attorneys Who may waive the privilege? (PAR)
Fees. (Orient Ins. Co. v. Revilla, 1) The client may waive the privilege
G.R. No. 34098, 1930) Personally;
2) An Attorney Retained in a case
xi. Effect of breach has an implied authority to waive
the privilege concerning
procedural matters in the case.
IF PRIVILEGED IF NOT BUT only the client may waive
PRIVILEGED the privilege in cases involving
the attorneys relation with his
client, e.g. breach of clients
confidence on the part of the
attorney.

How is the privilege waived?

Only entirely, not partially; a partial waiver
is a waiver of the whole. A client may not
waive part of a privileged document as to
the parts that could help his case and not
waive those parts that will adversely affect
him. (Orient Ins. Co. v. Revilla, 54 SCRA
919, 1930)
b. Disclosure to protect attorney's
rights
The attorney may disclose the confidential
communications of his client when: (C-AF)
(1) He is charged by either his client or a
third person, involving the performance of
his duty to said client;
(2) He is suing his client for attorneys
fees;
BUT such disclosure must only be to the
extent necessary to secure his rights.
(Agpalo, Legal and Judicial Ethics,
pp.286-287, 2009)
c. Communications as to crime
General Rule: Communications about a
crime already committed are covered
under privilege communications.
Exceptions: Future criminal acts or plans
in aid of such acts are not privileged
communication, UNLESS:
1) The client was not sure if the act
was wrong, and the latter desisted
from committing the act, based
from his consultation with his
attorney.
2) Communications as to fraud -
Communication about a fraud
already committed is privileged.
Communication about a fraud that
has yet to be committed is not
privileged.
General Rule: A lawyer should name his
client. This is grounded on the following
principles:
1) Court has right to know;
2) Attorney-client relationship does
not exist if there is no client;
3) Privilege pertains to the subject
matter of the relationship;
4) Due process for the adversary, in
relation to the right to know
(Regala v. Sandiganbayan, G.R.
No. 105938, 1996).
Exception: However, client identity is
privileged: (ICC)
1) Where a strong probability exists
that revealing the clients name
would implicate that client in the
very activity for which he sought
the lawyers advice;
2) Where the disclosure would open
the client to civil liability; and
3) Where the governments lawyers
have no case against an
attorneys client unless, by
revealing the clients name, the
said name would furnish the only
link that would form the chain of
testimony necessary to convict an
individual of a crime (Regala v.
Sandiganbayan, G.R. No.
105938, 1996).
(c) Conflict of Interest
i. A lawyer shall not represent
conflicting interests
Under 15.03 of the Code of
Professional Responsibility, "A lawyer
shall not represent conflicting interests
except by written consent of all concerned
given after full disclosure of the facts.
General Rule: The termination of the
attorney-client relationship does not allow
a lawyer to represent an interest adverse
to or in conflict with that of the former
client.
Exception: Where the former client
expressly consents (Senior Marketing
Corp. v. Bolinas, A.C. No. 6740, 2014).
ii. Tests of inconsistency of
interests.
Q: When does a conflict of interest
exist?
A: There is inconsistency of interests
when:
a. The acceptance, by the attorney,
of the new retainer will require the
attorney to do anything which will
 injuriously affect his first client in
any matter in which he
represented him.
b. The lawyer will be called upon in
his new relation, to use against his
first client any knowledge acquired
through his relationship with his
first client.
c. The acceptance by the attorney of
a new relation will prevent the
attorney from the full discharge of
his duty of undivided fidelity and
loyalty to his client or invite
suspicion of unfaithfulness or
double-dealing in its performance.
d. The subject matter of the present
controversy is related, directly or
indirectly, to the subject matter of
the previous litigation in which he
appeared for the former client.
iii. Effect of termination of relation
The attorney still owes loyalty to his
former client even after the termination of
the relationship between the two.
"Consequently, a lawyer should not, even
after the severance of the relation with his
client, do anything which will injuriously
affect his former client in any matter in
which he previously represented him nor
should he disclose or use any of the
client's confidence acquired in the
previous relation."
The nature of the attorney-client
relationship is one of trust and confidence
of the highest degree. The termination of
attorney-client relation provides no
justification for a lawyer to represent an
interest adverse to or in conflict with that
of the former client. Even after the
severance of the relation, a lawyer should
not do anything which will injuriously
affect his former client in any matter in
which he previously represented him, nor
should he disclose or use any of the
clients confidences acquired in the
previous relation. Fidelity to a client is
perpetual (Heirs of Falame v. Baguio,
A.C. No. 6876, 2008).
iv. Materiality of confidential
information
The prohibition against representation of
conflicting interest applies to an attorney
accepting professional employment from
the clients adversary, may it be in the
same case, or a different one as long as
the action is related. The prohibition
applies whether or not the lawyer has
acquired confidential information from his
former client (Samala v. Valencia, A.C.
No. 5439, 2007).
v. Reasons for the prohibition on
representing conflicting interests
(T-KFC-U):
a. The relationship of Trust and
confidence, of the highest degree,
between attorney and client;
b. The lawyer Knows the strength
and weakness of his clients
action, and such knowledge must
be guarded;
c. To prevent Fraudulent conduct;
d. To prevent a practitioner from
putting himself in a position where
he may be required to Choose
between conflicting duties;
e. To prevent Unfounded suspicion of
professional misconduct (Samson
v. Atty. Era, A.C. No. 6664, 2013).
When the attorney is consulted regarding
the case by one party, even if he replies
that he will not take the case, an attorney-
client relationship is already created. It is
not essential that the client should have
employed the attorney professionally on
any previous occasion nor is it necessary
that any retainer should have been paid,
promised, or charged for. Neither is it
material that the attorney consulted did
not afterward undertake the case about
which the consultation was had.
Therefore, since there is already an
attorney-client relationship, he is already
precluded from accepting the opposite
partys retainer in the same litigation
regardless of what information was
received by him from his first client; that
there was no secret communication
transmitted would not vary the situation.
We cannot sanction his taking up the
cause of the adversary of the party keep
above reproach the honor and integrity of
the courts and of the bar (Hilado v. David,
G.R. No. L-961, 1949).
When an attorney agrees to represent
one of the opposing parties, he should
know that there was an obvious conflict of
interests, even if claims to believe that
they were on the same side. Representing
both sides will tend to deprive the relation
of attorney and client of those special
elements which make it one of trust and
confidence (Northwestern University v.
Arquillo, A.C. No. 6632, 2005).
vi. Opposing clients in same or
related suits
A conflict of interest exists when a lawyer
accepts employment from his clients
adversary in a case involving a related
subject matter (Northwestern University v.
Arquillo, A.C. No. 6632, 2005).
Examples of parties and situations
involving conflicting interests:
Husband and wife in a matrimonial
action
Contending claimants to the same
property
A creditor and debtor in a recovery
suit
Seller and purchaser of property
An insurer and an insured
Accused and an offended party in
a criminal action.
Retained counsel of a university
appearing for some of the plaintiffs
in a case against the university
(Northwestern University v.
Arquillo, A.C. No. 6632, 2005).
Counsel for a prevailing party in a
case, appearing as counsel for the
sheriff in a case filed against the
latter by his former client, for
negligence in enforcing the writ of
execution in the former case
(Gonzales v. Cabucana, A.C. No.
6836, 2006).
Lawyer offering services to the
accused without disclosing that he
was already retained by the family
of the victim.
A lawyer who prepares a deed of
partition cannot represent any of
the heirs in a suit over the same
estate partitioned.
A corporate counsel cannot
appear as counsel for the Board of
Directors in a derivative suit filed
against them (Hornilla v. Salunat,
A.C. No. 5804, 2003).
Where corporate directors or trustees
have committed breach of trust through
fraud, ultra vires acts, etc., and the
corporation is unwilling to institute suit to
remedy wrong, a stockholder may sue on
his behalf for the benefit of the corporation
to bring redress to the wrong done to the
corporation and the stockholders. In a
derivative suit the corporation is the real
party in interest while the stockholder
filing the suit is only a nominal party. The
corporation should be included as a party
in the suit. Therefore, in all derivate suit
actions, outside counsel must be retained
to represent one of the defendants, or
else be guilty of misconduct for
representing conflicting interests.
Furthermore, this restriction on dual
representation should not be waivable by
consent in the usual way; the corporation
should presumptively incapable of giving
consent (Hornilla v. Salunat, A.C. No.
5804, 2003).
vii. Opposing clients in unrelated
actions
A lawyer may not appear as counsel for a
party against his present client in another
totally unrelated action, for he might not
be able to represent both parties properly,
or he might be suspected of disloyalty.
The prohibition against the representation
of conflicting interests applies to a
situation where the opposing parties are
present clients in the same action or in an
unrelated action. It is of no moment that
the lawyer would not be called upon to
contend for one client that which the
lawyer has to oppose for the other client,
or that there would be no occasion to use
the confidential information acquired from
one to the disadvantage of the other as
the two actions are wholly unrelated. It is
enough that the opposing parties in one
case, one of whom would lose the suit,
are present clients and the nature or
conditions of the lawyers respective
retainers with each of them would affect
the performance of the duty of undivided
fidelity to both clients. Hence, it was held
even if one of the cases is an ejectment
case and the other is a replevin case, the
attorneys representation of opposing
clients in both cases, though unrelated,
obviously constitutes conflict of interest or,
at the least, invites suspicion of double-
dealing (Quiambao v. Bamba, A.C. No.
6708, 2005).
viii. New clients against former client
The lawyer is prohibited from representing
a subsequent client against a former client
ONLY when the subject matter of the
present controversy is related, directly or
indirectly, to the subject matter of the
previous litigation in which he appeared
for the former client. However, it is
allowable when the controversy is wholly
unrelated, provided that notice to previous
client is given.
ix. Conflicting duties
A lawyer may not perform conflicting
duties.
Examples of conflicting duties:
Being an employee, which attends to a
company's legal affairs, and being a
member of the labor union of the
company's employees;
Being a receiver or partner of a
corporation and being an employee of
such corporations creditor
The prohibition on conflicting duties also
prevents a lawyer from: (POP-C)
a. Being a counsel in any matter
upon the merits of which he has
previously intervened as a Public
Officer;
b. Attacking the validity of an
instrument which was Prepared by
him;
c. Enforcing an agreement against
another who was his Client in the
preparation thereof.
In a case involving a persons estate
against its creditors, the attorney was at
once the lawyer of the estate, and at the
same time, through his accounting firm,
giving accounting services to the
creditors. It was held that he is guilty of
misconduct for representing conflicting
interests. It is generally the rule, based on
sound public policy, that an attorney
cannot represent adverse interests. The
proscription against representation of
conflicting interests finds application
where the conflicting interests arise with
respect to the same general matter and is
applicable however slight such adverse
interest may be. It applies although the
attorney's intentions and motives were
honest and he acted in good faith. In this
case, there is no question that the
interests of the estate and that of its
creditors are adverse to each other. Even
granting that respondent's misconduct
refers to his accountancy practice, it
would not prevent this Court from
disciplining him as a member of the Bar.
The rule is settled that a lawyer may be
suspended or disbarred for ANY
misconduct, even if it pertains to his
private activities, as long as it shows him
to be wanting in moral character, honesty,
probity or good demeanor. Possession of
good moral character is not only a
prerequisite to admission to the bar but
also a continuing requirement to the
practice of law (Nakpil v. Valdez, A.C. No.
2040, 1998).
There is said to be inconsistency of
interest when on behalf of one client, it is
the attorneys duty to contend for that
which his duty to another client requires
him to oppose. In brief, if he argues for
one client this argument will be opposed
by him when he argues for the other
client. Hence, it was held that a lawyer
who filed a case in behalf of one party to
annul a deed of sale he previously
prepared for another party is guilty of
misconduct for representing conflicting
interests (Aninon v. Sabitsana, A.C. No.
5098, 2012).

x. Attorney's interest vs. client's
interest
It is improper for an attorney, even with
his client's consent, to continue to be his
clients counsel against a defendant,
when the former brings another suit, in his
own behalf, if it is uncertain whether the
latter will be able to satisfy both claims.
The lawyer may also not have financial
stakes in the subject matter of the suit
brought on behalf of his client.
A lawyer is not authorized to have
financial stakes in the subject matter of
the suit brought in behalf of his client. In
this case, an attorney was the Union
President who was among those who
were illegally dismissed. In the illegal
dismissal case, he was the attorney
representing the Union and at the same
time an interested party, being one of
those dismissed. A compromise was
entered and the employer was made to
pay a sum to the Union. But before giving
the money to the Union, he secretly took
his share from the sum. It was held that
defendant failed to avoid conflict of
interests, first, when he negotiated for the
compromise agreement wherein he
played the diverse roles of union
president, union attorney and interested
party being one of the dismissed
employees seeking his own restitution,
and thereafter, when he obtained the
attorneys fees without full prior disclosure
of the circumstances justifying such claim
to his client (Gamilla v. Marino Jr., A.C.
No. 4763, 2003).
xi. Rules applicable to the law firm
When a lawyer is disqualified from
appearing as counsel in a case because
of conflict of interests, his law firm and all
its members are also disqualified from
said case. Since the employment of the
law firm is considered a retainer of all its
members.
Information obtained from a client by a
member or assistant of a law firm is
information imparted to the firm. Hence,
such an attorney is still disqualified due to
conflict of interest even if was his partner
who received the clients information and
replied to it (Hilado v. David, G.R. No. L-
961, 1949).
xii. Limitations on the general rule
Rule against representation of conflicting
interests does not apply when: (KnoNo)
a. The clients Knowingly consent to
the dual representation;
b. There is No true attorney-client
relationship.
Examples:
Representing the administrator of
the estate of a deceased wife, and
the administrator of the deceased
husband
Being a prosecutor for rape, and
after the marriage with the
offended party, as counsel for the
accused asked for the dismissal of
the complaint.
xiii. Where clients knowingly
consent
General Rule: A lawyer may, before the
controversy reaches the court, represent
conflicting interest as long as all parties
give their express written consent after a
full disclosure of the facts.
Disclosure alone is not enough for the
clients must give their informed consent to
such representation. The lawyer must
explain to his clients the nature and extent
of the conflict and the possible adverse
effect must be thoroughly understood by
his clients (Nakpil v. Valdez, A.C. No.
2040, 1998).
This general rule ONLY applies when one
client is a former client, not when both
clients are current clients in the case.
The attorney should also discontinue dual
representation when the conflict of
interest has reached such point that the
lawyer may be suspected of disloyalty to
one client, although he may not be held
administratively liable because of the
consent.
Dual representation, even when there is
consent, is not allowed when:
a. The conflict is between the
attorney's interest against his
clients, in such case the client's
interest is superior.
b. Conflict of interest between a
private client against the
government and any of its
instrumentalities, in this case dual
representation is absolutely
prohibited.
xiv. Where no true attorney-client
relationship exists
The prohibition against the representation
of conflicting interests does not apply
when there is no true attorney-client
relationship.
The prohibition on conflict of interest
however, still applies to an attorney's
secretary, stenographer or clerk, who in
such capacity has acquired confidential
information from, the attorney's client,
who latter becomes an attorney, even
though there is no true-attorney client
relationship.
xv. Effects of representation of
conflicting interests
The possible effects of representation of
conflicting of interest, in the absence of
written consent of all parties concerned
given after a full disclosure of facts are:
(DDUPa)
a. Disciplinary action
b. Disqualification from representing
the new client upon petition of
former client
c. When the representation of
conflicting interests is Unknown
and works to the prejudice of the
new client, setting aside of
adverse judgment against the new
client, provided the both are
present;
1) That the attorney discharge or
had the opportunity to
discharge conflicting duties
2) And that new client was
prejudiced
d. Right to be Paid for his services to
the former client may be affected,
only when;
1) The two matters are related;
and
2) The former client objected to
such representation.
(d) Candid and honest advice to clients
A lawyer should only answer his clients
query, after: (FuS)
i. Having Full knowledge of his
clients cause, and
ii. Studying the case.
A lawyer should give a candid and honest
opinion on the merits or lack of it on the
case, without understating or overstating
the prospects of the case. He should also
advise his client to stop when the action is
devoid of merit, and pursue a case when
it is meritorious.
(e) Compliance with laws
In the judicial forum, the client is entitled
to the benefit of any and every remedy
and defense that is authorized by law, and
he may expect his lawyer to assert every
such remedy in his defense. A lawyer is
required to represent his client within the
bounds of the law.
(f) Concurrent practice of another
profession
Lawyers are not precluded from engaging
in business. Impropriety arises when the
business is of such a nature or is in such
a manner as to be inconsistent with the
lawyers duties as a member of the bar,
i.e. if the business will readily lend itself as
a means of procuring professional
employment for him.
A lawyer who is engaged in another
profession or occupation concurrently with
the practice of law shall make clear to his
client whether he is acting as a lawyer or
in another capacity. (Rule 15.08, Code of
Professional Responsibility)
A lawyer-CPA can be held liable for
misconduct if he fails to apprise a client in
what capacity he was acting (i.e., whether
as an accountant or as a lawyer) (Nakpil
v. Valdes, A.C. No. 2040, 1998).
3. Clients moneys and properties
(a) Fiduciary relationship
Canon 16 - A lawyer shall hold in trust
all moneys and properties of his client
that may come into his possession.
i. Generally
It is an established rule that the relation
between attorney and client is highly
fiduciary and strictly confidential requiring
the utmost good faith, loyalty, fidelity and
disinterestedness on the part of the
attorney, is designed to remove the
temptation, to avail of himself undue
advantages, bargains and gratuities.
(Angeles v. Uy,330 SCRA 6 (2000)
ii. Dealings with client closely
scrutinized
A lawyer is not barred from dealing with
his clients in a business transaction,
provided that it be characterized with the
utmost honesty and good.
Although a lawyer is not barred from
dealing with his clients in a business
transaction, it is discouraged, based on
public policy, and thus the court closely
scrutinize such transactions.
There is no presumption of innocence in
favor of the lawyer, in business
transactions with his clients.
The lawyer has the burden of proof, to
show that such transaction is fair.
Duty to render an accounting
Rule 16.01 - A lawyer shall account for
all money or property collected or
received for or from the client.
"A lawyer may receive money or property
for or from his client in the course of his
professional relationship with his client.
The lawyer holds such money or property
in trust and he is under obligation to make
an accounting thereof."
The lawyer must account for all money or
property collected or received for or from
his client. Where client gives money to his
lawyer for a specific purpose, such as to
file an action, appeal an adverse
judgment, consummate a settlement, or
pay the purchase price of a parcel of land,
the lawyer should, upon failure to take
such step and spend the money for it,
immediately return the money to his client.
(Posidio v Vitan, A.C. No. 6051, 2007)
The rule requiring a lawyer to account for
his clients money applies also when the
lawyer is entrusted to remit SSS
contribution, by a person not his client.
A lawyer who fails to account his client's
money or return the same may be
disciplined, suspended or disbarred,
depending on the circumstance of the
case.
The fact that the attorney has a lien for his
attorney's fees, on the money he
collected, for his client, does not affect his
obligation to account.
A lawyer may, however, be authorized to
retain a portion, of money he collected for
the client, as part of his fees
Business transactions between an
attorney and his client are disfavored and
discouraged by the policy of the law.
Hence, courts carefully watch these
transactions to be sure that no advantage
is taken by a lawyer over his client. This
rule is founded on public policy for, by
virtue of his office, an attorney is in an
easy position to take advantage of the
credibility and ignorance of his client.
(Cruz v. Jacinto, A.C. No. 523, 2000)
Duty not to co-mingle funds
Rules 16.02 - A lawyer shall keep the
funds of each client separate and apart
from his own and those of others kept
by him.
Duty to deliver funds
Rule 16.03 - A lawyer shall deliver the
funds and property of his client when
due or upon demand. However, he
shall have a lien over the funds and
may apply so much thereof as may be
necessary to satisfy his lawful fees and
disbursements, giving notice promptly
thereafter to his client. He shall also
have a lien to the same extent on all
judgments and executions he has
secured for his client as provided for in
the Rules of Court.
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 v Mijares, A.C. No.
8380, 2009)
The lawyers admission of his use of a
clients funds for his personal use
constitutes substantial evidence of
malpractice. (Velez v De Vera, A.C. No.
6697, 2006)
This rule requires that the client consents
to the amount of attorneys fees and as to
the application of the client's fund to pay
his lawful fees and disbursement, with full
disclosure on every detail, without such
consent the lawyer may not apply the
clients money for his fees, but he should
instead return the money to his client,
without prejudice to his filling a case to
recover his unsatisfied fees.
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. Money of the client or
collected for the client of other trust
property coming into the possession of
the lawyer should be reported and
accounted for promptly, and should not
under any circumstance be commingled
with his own or be used by him. Thus,
such acts of an attorney of keeping the
money, received for his client, for his
personal benefit, depriving his client of
use of money that was rightfully his, and
withholding information regarding their
receipt despite inquiries made by the
client, is obviously in breach of
professional ethics. (Licuanan v. Melo,
A.M. No. 2361, 1989)
The lawyers continuing exercise of his
retaining lien presupposes that the client
agrees with the amount of attorneys fees
to be charged. In case of disagreement or
when the client contests that amount for
being unconscionable, however, the
lawyer must not arbitrarily apply the funds
in his possession to the payment of his
fees. on with the proper court to fix the
amount of such fees. (Daniel Lemoine v.
Amadeo Balon, Jr. A.C. No. 5829, 2003)
When a lawyer is accused of delay in the
delivery of the sum of money due to his
client, he must explain the reason for such
a delay. His failure to explain such delay
cannot be excused by his bare allegation
that the same had already been
transmitted to the complainant. (Jerry
Wong v. Atty. Salvador N. Moya, A.C. No.
6972, 2008)
Rebates and Commission
Under Rule 20.03 of the Code of
Professional Responsibility, "a lawyer
shall not, without the full knowledge and
consent of the client, accept any fee, reward,
costs, commission, interest, rebate or
forwarding allowance or other compensation
whatsoever related to his professional
employment from anyone other than the
client."
"Whatever the client receives from the
opposite party in the service of his client
belongs to the client, in the absence of his
clients consent, after a full disclosure of facts."
Generally "a lawyer may not claim the
attorney's fees in the concept of damages
awarded by the court in favor of his client,
except when he and his client have agreed
that whatever amount the court may award as
attorney's fees would form part of his
compensation."
Duty not to borrow from or lend to
client
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.
Under the CPR, Rule 16.04, "A lawyer
shall not borrow money from his client
unless the client's interests are fully
protected by the nature of the case or by
independent advice. Neither shall a
lawyer lend money to a client except,
when in the interest of justice; he has to
advance necessary expenses in a legal
matter he is handling for the client."
A lawyer asked financial help from his
client for the construction of his house and
purchase of a car to which his client
willingly helped. However, for such help,
the said lawyer paid his client by issuing a
check which was later dishonored. It was
held that the act of a lawyer in issuing a
check without sufficient funds constitutes
such willful dishonesty and immoral
conduct as to undermine the public
confidence in the legal profession. He
cannot justify his act of issuing worthless
checks by his dire financial condition. If he
suffered a reversal of fortune, he should
have explained with particularity the
circumstances which caused his failure to
meet his obligations. His generalized and
unsubstantiated allegations as to why he
reneged in the payment of his debts
promptly despite repeated demands and
sufficient time afforded him cannot
withstand scrutiny. (Jerry Wong v. Atty.
Salvador N. Moya, A.C. No. 6972, 2008)
Duty not to acquire client's property
Art. 1491, Civil Code:
The following persons cannot acquire by
purchase, even at a public or judicial
auction, either in person or through the
mediation of another: (GAP-JEO)
(1) The Guardians, the property of the
person or persons who may be
under his guardianship;
(2) Agents, the property whose
administration or sale may have
been entrusted to them, unless the
consent of the principal has been
given;
(3) Public officers and employees, the
property of the State or of any
subdivision thereof, or of any
government-owned or controlled
corporation, or institution, the
administration of which has been
entrusted to them; this provision
shall apply to judges and
government experts who, in any
manner whatsoever, take part in
the sale;
(4) Justices, judges, prosecuting
attorneys, clerks of superior and
inferior courts, and other officers
and employees connected with the
administration of justice, the
property and rights in litigation or
levied upon an execution before
the court within whose jurisdiction
or territory they exercise their
respective functions; this
prohibition includes the act of
acquiring by assignment and shall
apply to lawyers, with respect to
the property and rights which may
be the object of any litigation in
which they may take part by virtue
of their profession.
 (5) Executors and administrators, the
property of the estate under
administration;
(6) Any Others specially disqualified
by law. (NCC, Art. 1491)
iii. Abuse of client's confidence
Canon 11 of the Canons of
Professional Ethics provides that "the
lawyer should refrain from any action
whereby for his personal benefit or gain
he abuses or takes advantage of the
confidence reposed in him by his client."
And generally, any benefit as a result of
the abuse of his clients confidence, inures
to the benefit of the client.
A lawyer should not normally draw a will,
which might give a suspicion of undue
influence; and if he were to receive a
bequest, such should be reasonable and
not more than what he should receive
under the law.
4. Fidelity to clients cause
5. Competence and diligence
(a) Adequate Protection
CANON 17
Owe fidelity to his clients cause AND
Be mindful of the trust and confidence
reposed in him.
CANON 17 - A LAWYER OWES
FIDELITY TO THE CAUSE OF
HIS CLIENT AND HE SHALL BE
MINDFUL OF THE TRUST AND
CONFIDENCE REPOSED IN
HIM.
(b) Negligence
CANON 18
Serve client with competence and
diligence.
The lawyer is expected to employ all
reasonable steps in the ordinary care of
his client justify his act of issuing
worthless checks by his dire financiajust
competent service but also whole-hearted
devotion to his clients cause.
(c) Collaborating Counsel
Rules 18.01
1. A lawyer should NOT undertake a
legal service
2. Which he knows or should know
that he is not qualified to render.
3. BUT he may render such service
if:
He can obtain as collaborating
counsel a lawyer who is
competent on the matter
With the consent of his client.
The lawyers acceptance is an implied
representation that he possesses the
academic learning, skill and ability to
handle the case.
Rule 18.02 - NOT handle any legal matter
without adequate preparation.
Rule 18.03
1. NOT neglect a legal matter
entrusted to him, and
2. His negligence shall render him
liable.
(d) Duty to Apprise Client
Rule 18.04
1. Keep the client informed of the
status of his case and;
2. Respond within a reasonable time
to the client's request for
information.
CANON 19
Represent client with zeal within the
bounds of the law.
Rule 19.01
1. Employ only fair and honest
means to attain the lawful
objectives of his client and;
2. NOT present, participate in
presenting or threaten to present
unfounded criminal charges to
obtain an improper advantage in
any case or proceeding.

An attorneys act of filing a criminal
complaint for resistance and disobedience
to a person in authority against the
adverse party, for failure to comply with an
order of the court, was held to be a
violation of Rule 19.01. Fair play demands
that counsel should have filed the proper
motion with RTC to attain his goal and not
subject complainant to a premature
criminal prosecution (Atty. Briones v. Atty.
Jacinto, A.C. No. 6691, 2007).
Under Rule 19.01 a lawyer should not file
or threaten to file any unfounded criminal
case against the adversaries of his client
designed to secure a leverage to compel
the adversaries to yield or withdraw their
own cases against the lawyers client.
Thus, a letter sent by counsel to the
adverse party, which, more than just a
simple demand to pay, even contained a
threat to file retaliatory charges against
the complainant which have nothing to do
with his clients claim for separation pay,
amounted to blackmail and is definitely
proscribed by the Code of Professional
Responsibility (Pena v. Aparicio, A.C. No.
7298, 2007).
Rule 19.02
1. If, in the course of representation,
he received information that his
client has perpetrated a fraud
upon a person or tribunal, a
lawyer must:
Promptly call upon the
client to rectify the same,
AND
Failing thus, shall terminate
the relationship.
Rule 19.03: NOT allow his client to dictate
the procedure in handling the case.
6. Representation with zeal within
legal bounds
(a) Use of fair and honest means
Under Rule 19.01 of the CPR, "A lawyer
shall employ only fair and honest means
to attain the lawful objectives of his client
and shall not present, participate in
presenting or threaten to present
unfounded criminal charges to obtain an
improper advantage in any case or
proceeding."
Based on this rule, the lawyer should,
among other things:
NOT offer in evidence any
document which he knows is
false;
NOT present any witness
whom he know will perjure;
Only make such defenses
which he believes to be
debatable under the law;
Abstain from offensive
personalities;
NOT advance a fact prejudicial
to the honor or reputation of a
party or witness unless
required to serve justice;
NOT state as fact what he
merely expects to accomplish;
NOT, in advocating his client's
cause, state his personal belief
as to the soundness or justice
of his case.
(b) Clients fraud
Rule 19.02 of the CPR provides that "A
lawyer who has received information that
his client has, in the course of the
representation, perpetrated a fraud upon
a person or tribunal, shall promptly call
upon the client to rectify the same, and
failing which he shall terminate the
relationship with such client in accordance
with the Rules of Court."
(c) Procedure in handling cases
i. Generally:
Canon 18, of the CPR provides that, "a
lawyer shall serve his client with
competence and diligence."
By accepting a retainer, a lawyer implies
that he: (PEDS)
i. Possesses the requisite degree of
learning, skill and ability which is
necessary to the practice of his
 profession and which other
similarly situated possess;
ii. Will Exert his best judgment in the
prosecution or defense of the
litigation entrusted to him;
iii. Will exercise reasonable and
ordinary care and Diligence in the
use of his skill and in the
application of his knowledge to his
client's cause;
iv. Will take such step as will
adequately Safeguard his client's
interest.
In a case, an attorney was disbarred due
to palpable sloth' for causing the
dismissal of the clients appeals in two
cases, the first one due to his improper
way of filing the appeal and the second
one due to his non-filing of the appellants
brief. Furthermore, he did not offer a
plausible explanation for not doing his
level best in representing his clients
cause on appeal; thus, making
complainant suffer serious losses
amounting to millions of pesos. As
counsel, he had the duty to present every
remedy or defense authorized by law to
protect his client. He should undertake the
task with dedication and care, and if he
should do no less, then he is not true to
his lawyers oath (Panelco I v. Atty.
Montemayor, A.C. No. 5739, 2007).
i. Duration and extent of lawyer's
duty to safeguard client's interest
The attorney's duty to safeguard the
client's interests commences from his
retainer until his effective release from the
case or the final disposition of the whole
subject matter of the litigation.
iii. Lawyer shall render service only
when qualified to do so
When accepting professional
employment, a lawyer must be
knowledgeable, competent and skillful to
handle the case. Rule 18.01 of the Code
provides that 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 the client,
he can obtain as collaborating counsel a
lawyer who is competent on the matter.
(Rule 18.01, Canons of Professional
Ethics)
iv. Lawyer shall not handle a case
without adequate preparation
Rule 18.02 requires that a lawyer shall
not handle any legal matter without
adequate preparation (Rule 18.02,
Canons of Professional Ethics).
The full protection of the clients interests
requires no less than a mastery of the
applicable law and the facts involved in a
case, regardless of the nature of the
assignment (Javellana v. Lutero, G.R. No.
L-23956, 1967).
Inadequate preparations cause adverse
effects. It may cast doubt upon the
lawyers intellectual honesty and capacity
(Cuaresma v. Daquis, G.R. No. L-35113,
1975), which may lead to embarrassment,
disciplinary action or contempt of court
(Lim Se v. Argel, G.R. No. L-42800,
1976).
v. Preparation of pleadings
A lawyers pleading shows the extent of
his study and preparation, articulates his
ideas as an officer of the court, mirrors his
personality and reflects his conduct and
attitude towards the court, the opposing
party and his counsel. A lawyer must
exercise utmost care in the preparation of
pleadings (Cuaresma v. Daquis, G.R. No.
L-35113, 1975).
He must have thorough knowledge of the
substantive and procedural laws
applicable to the facts of the case. He
must thoroughly discuss the issues raised
(GSIS v. CA, G.R. No. 128523, 1998) and
refrain from using abrasive and offensive
language (Yangson v. Salandanan, A.M.
No. 1347, 1975).
Pleadings filed in court are privileged and
lawyers are exempt from liability for
libelous statements contained therein,
provided they are material, relevant or
pertinent to the cause or subject of inquiry
(Smith Bell & Co. v. Ellis, 48 Phil. 475,
1925).
vi. Interviewing of witnesses
A lawyer may interview a witness in
advance of trial to guide him in the
management of his litigation and to
ascertain certain facts in controversy.
(Canon 39, Canons of Professional
Ethics)
A lawyer may also interview a prospective
witness for the opposing side in any civil
or criminal action without the consent of
opposing counsel or party.
An adverse party, though he may be used
as a witness, is not, however, a witness
within the meaning of the rule permitting a
lawyer to interview the witness of the
opposing party even without the consent
of the opposing counsel (A.B.A. Op. 187,
1938).
vii. What to do in case of conflict in
trial dates
A lawyer who has two or more cases in
different courts set for trial on the same
date without his previous knowledge
should lose no time in asking for
postponement of the case or cases set
later. (Siojo v. Tecson, G.R. No. L-2807,
1951)
In the event the court has served warning
not to delay, in view of previous repeated
postponements of trial, he should submit
motion for postponement at such time as
is practicable.
When his motion for postponement has
been denied or when the case has been
set for trial for the last time, the lawyer
must take precautionary measures by
notifying the court and his client, asking
the client concerned to secure the
services of another lawyer or requesting
another attorney to appear for him. (Que
v. CA, G.R. No. L-54169, 1980)
i. Adoption of system to insure
receipt of mails
Service of notice by registered mail is
complete upon actual receipt thereof by
the addressee. However, if he fails to
claim his mail within 5 days from the date
of the first notice of the postmaster,
service shall take effect at the expiration
of such time. (Rule 13, Sec. 8 Rules of
Court)
In this case, there must be a certification
by the postmaster that the addressee
received the first notice. Failure or refusal
of a lawyer to claim registered mails
addressed to him shows omission or
negligence on his part. (Pielago v.
Generosa, G.R. No. L-47879, 1942)
ix. Notice of change of address
A lawyer owes his client and the court the
duty to make of record his correct address
and to inform the court in writing of his
change of address. (Ortalis v. CA, G.R.
No. L-36088, 1973)
Without his address being recorded in the
case, a lawyer will not be entitled to be
served with judicial notice. (Magpayo v.
CA, G.R. No. L-35966, 1974)
Insofar as the court is concerned, the last
address on record is the place where all
notices shall be served until the court is
officially informed to the contrary.
(Thermochem, Inc. v. Naval, G.R. No.
131541, 2000)
The failure or negligence of counsel in not
giving notice of his change of address is
binding upon his client, and both the client
and his counsel must suffer the
consequences. (Villa Transport Services,
Inc. v. Court of Appeals, G.R. No. 76232,
1991)
x. Notice of death of client
A lawyer must inform the court, within 30
days, of the death of his client. If the claim
survives such death, the lawyer has the
duty to also inform the court of the names
of the legal representatives of the
deceased so that the latter can be
substituted as parties.
xi. Requiring clerk of court to do his
duty
If the clerk of court is negligent in setting
the case for pre-trial and hearing, it is the
lawyers duty to call the attention of the
court to the fact or to file the necessary
motion to set the case for pre-trial or trial.
(Rule 20, Sec. 1, Rules of Court)
Failure to do so may justify the dismissal
of the action for failure to prosecute.
(Montejo v. Urotia, G.R. No. L-27187,
1971)
xii. Duty to keep the client fully
informed
A lawyer must advise his client promptly
whenever he has any information to give
which it is important that the client
receive. (Baker v. Humphrey, 101 US 494,
25 L ed. 1065, 1879) He should notify his
client of an adverse decision well within
the period to appeal to enable his client to
decide whether to seek an appellate
review thereof (Alcala v. De Vera, A.C.
No. 620, 1974).
The client is entitled to the fullest
disclosure of the more or manner by
which his interest is defended or why
certain steps are taken of omitted
(Oparel, Sr. v. Abaria, A.C. No. 959, July
30, 1971).
However, it is also the clients duty to
make proper inquiries from his counsel
concerning his case (Florendo v.
Florendo, G.R. No. L-24982, 1969).
xiii. What is required when moving for
time to file pleading or to
postpone pleading
A lawyer may file a motion for extension of
time to file pleadings when pressure of
work or other unavoidable reasons require
so.
However, he should not assume that the
extension of time will be granted and must
inquire with the clerk of court as to its
status.
If the motion for extension of time to file a
pleading, motion, brief or memorandum
has remained unacted by the court, the
lawyer must file it within the time asked
for. (Roxas v. CA, G.R. No. L-50310,
1987)
Rule 12.03 provides that a lawyer, after
obtaining extensions of time to file
pleadings, memoranda or briefs, shall not
let the period lapse without submitting the
same or offering an explanation for the
failure to do so. (Rule 12.03, Canons of
Professional Ethics)
Further, Rule 12.04 provides that they
should avoid any action that would unduly
delay a case, impede the execution of a
judgment or misuse court process. Rule
12.04, Canons of Professional Ethics
While a lawyer owes absolute fidelity to
the cause of his client, full devotion to his
genuine interest, and warm zeal in the
maintenance and defense of his rights, as
well as the exertion of his utmost learning
and ability, he must do so only within the
bounds of the law. (Que v. Revilla, Jr.,
A.C. No. 7054, 2009)
xiv. Diligence in handling case
Canon 18 provides that, a lawyer shall
serve his client with competence and
diligence. (Canon 18, Code of
Professional Responsibility) A lawyer must
exercise that degree of vigilance and
attention expected of a good father of a
family. (Phil. Bank of Commerce v.
Aruego, CA-G.R. No. 28274, 1965) He is
not bound to exercise extraordinary
diligence. (Pajarillo v. WCC, G.R. No. L-
42927, 1980) What amounts to
carelessness or negligence in the
lawyers discharge of his duty depends
upon the circumstances of the case.
A lawyer who finds it impracticable to
continue representing a client should
inform the latter of his predicament and
ask that he be discharged from his
professional responsibility or should apply
to the court that he be released therefrom.
(Republic v. CFI of Lanao del Norte, G.R
No. L-33949, 1973)

A new counsel, who enters his
appearance in midstream, has the duty
not only to thoroughly study the case but
also to inquire as to the status of the case.
(Arambulo v. CA, G.R. No. 10518, 1993)
7) Attorneys fees
a) Two concepts of attorneys fees
ATTORNEYS FEES refer to (a) the 266, 1959).
reasonable compensation paid to a lawyer
by his client for the legal services he has
rendered to the latter and (b) the amount
of damages, which the court may award
to the winning party against the losing
party as a penalty. (Compania Maritima,
Inc. v. CA, G.R. No. 128452, 1999)
Ordinary Concept versus Extraordinary
Concept of Attorneys Fees
In its ordinary concept, an attorney's fee
is the reasonable compensation paid to a
lawyer by his client for the legal services
the former renders; compensation is paid
for the cost and/or results of legal services
per agreement or as may be assessed.
In its extraordinary concept, attorney's
fees are deemed indemnity for damages
ordered by the court to be paid by the
losing party to the winning party. The
instances when these may be awarded
are enumerated in Article 2208 of the Civil
Code, and are payable not to the lawyer
but to the client, unless the client and his
lawyer have agreed that the award shall
accrue to the lawyer as additional or part
of compensation (Tangga-an v. Philippine
Transmarine Carriers, Inc, G.R. No.
180636, 2013).
Fees as damages not recoverable
General Rule: Attorneys fees in the
concept of damages are not recoverable
(Jimenez v. Bucoy, 193 Phil. 40, 1958;
Costelo v. Samonte, 106 Phil. 1023,
1960). It is not the fact of winning alone
but the attendance of any of the special
circumstances (Art. 2208, Civil Code of
the Philippines), and, in case of a public
litigant, the existence of the right to private
counsel that justify the award of attorneys
fees as damages in favor of the prevailing
party (Rizal Surety & Ins. Co. v. Court of
Appeals, 20 SCRA 61, 1967).
Exceptions: The new Civil Code provides
11 additional exceptions to the rule and
recognizes the right of a winning litigant to
recover attorneys fees in any of those
exceptions (Flores v. Miranda, 105 Phil.
Attorneys fees in the concept of damages
may be awarded in any of the following
circumstances: (ADLiCU-BaSuWIC-DES)
1. When there is Agreement;
2. When exemplary Damages are
awarded;
3. When defendants action or
omission compelled plaintiff to
Litigate;
4. In Criminal cases of malicious
prosecution;
5. When the action is clearly
Unfounded;
6. When defendant acted in gross
evidence and Bad faith;
7. In actions for Support;
8. In cases of recovery of Wages;
9. In actions for Indemnity under
workmens compensation and
employees liability laws;
10. In a separate Civil action arising
from a crime;
11. When at least Double costs are
awarded;
12. When the court deems it just and
Equitable;
13. When a Special law so authorizes.
Right of private counsel, precondition
He must have employed and, in the cases
of a public litigant, must show his right to
employ a private counsel as well. A
successful litigant who prosecuted his
action without the assistance of counsel is
not entitled to the award of attorneys fees
(Andreas v. Green, 48 Phil. 463, 1925).
Award of attorneys fees discretionary
The award of attorneys fees is essentially
discretionary with the trial court (Arabay,
Inc. v. Aquino, 34 SCRA 159, 1970). The
decision should state the reason why the
award is made, unless the text thereof
plainly shows the case comes within one
of the exceptions. A statement by the trial
court that it considered it just and
equitable to require the payment of
attorneys fees because the claim set up
or the defense raised is untenable or
insufficient to justify the award.
Attorneys fees are not awarded as a
matter of course every time a party wins.
The Supreme Court does not put a
premium on the right to litigate. The award
of attorneys fees is an exception rather
than the general rule; thus, there must be
compelling legal reason to bring the case
within the exceptions provided under
Article 2208 of the Civil Code to justify the
award (Philippine National Construction
Corporation v. APAC Marketing
Corporation, G.R. No. 190957, 2013).
Pleading and practice
In the absence of such allegation, neither
the trial court nor the appellate court may
grant attorneys fees (Encenilla v.
Magsaysay, 17 SCRA 125, 1966).
With the claim for attorneys fees having
been set up, the appellate court may grant
such fees even if the party so granted did
not appeal from the lower courts
judgment denying the award (Flores v.
Mirando, G.R. No. 12163, 1959; Encenilla
v. Magsaysay, 17 SCRA 125, 1966).
The fact that the grant of attorneys fees
is discretionary does not dispense with
the necessity of proof even if the party
against whom it is asserted has not
denied the claim, except when what is
sought is in the nature of liquidated
damages fixed in a valid written
agreement (Santiago v. Dimayuga, 3
SCRA 919, 1961).
b) Acceptance fees
i. Right to Attorneys fees
A lawyer has the right to have and recover
from his client a fair and reasonable
compensation for his services, except in
cases where he has agreed to render
service gratuitously or has been
appointed counsel de oficio (Canon 20,
Rule 2.04, Code of Professional
Responsibility; Rule 138, Sec. 24, Rules
of Court; Rule 138, Sec. 32, Rules of
Court).
CANON 20 - A LAWYER SHALL
CHARGE ONLY FAIR AND
REASONABLE FEES.
The compensation of a lawyer should be
a mere incident of the practice of law as
the practice of law is a profession and not
a business (Canon 12, Canons of
Professional Ethics).
ii. Right to protection of counsel fee
A lawyer is as much entitled to judicial
protection against injustice, imposition or
fraud on the part of his client as the client
against abuse on the part of his counsel.
The court must see to it that a lawyer is
paid his just fees (Albano v. Coloma, A.C.
No. 528, 1967).
The proper time for a lawyer to deal with
the issue of his attorneys fees is at the
commencement of the lawyer-client
relationship (Fajardo v. Bugaring, 440
SCRA 160, 2004).
iii. Requisites for right to accrue
Accrual of the lawyers right to attorneys
fees requires the existence of an attorney-
client relationship and the rendition by the
lawyer of services to the client (Phil.
Assn of Free Labor Union v. Binalbagan
Sugar Co., G.R. No. L-23959, 1971).
There should be a:
1. professional contract, express or
implied, between a lawyer and his client,
and;
2. the lawyer should have rendered
services pursuant thereto. (Fajardo vs.
Court of Industrial Relations, 20 SCRA
326, 1967)

(c) Written agreements
General Rule: A written agreement is not
necessary to establish a clients obligation
to pay attorneys fees. (Dee v. CA, G.R.
No. 77439, August 24, 1989.) The
absence of an express undertaking on the
clients part to pay attorneys fees will not
defeat the recovery if the lawyer honestly
and in good faith served and represented
the interest of his client. (De Guzman v.
Visayan Rapid Transit Co., G.R. No.
46396, September 30, 1989.) The clients
obligation to pay attorneys fees arises
from the innominate contract of facias ut
des (I do and you give), which is based on
the principle that no one shall unjustly
enrich himself at the expense of another.
(Corpus v. CA, G.R. No. L-40424, June
30, 1980.)
Exception: A contingency fee
arrangement should always be in writing;
otherwise, it is unenforceable.
i. Quantum Meruit
QUANTUM MERUIT means as much as
the lawyer deserves or such amount
which his services merit. Recovery of
attorneys fees in the basis of quantum
meruit is authorized:
i. when there is no express contract
for payment of attorneys fees;
ii. when although there is a formal
contact for attorneys fee, the fees
stipulated are found
unconscionable or unreasonable
by the court;
iii. when the contract for attorneys
fees is void due to purely formal
defects of execution;
iv. when the lawyer, for justifiable
cause, was not able to finish the
case to its conclusion;
v. when the lawyer and the client
disregard the contract for
attorneys fees, (Rilloraza, Africa,
De Ocampo and Africa v. Eastern
Telecommunications Phil., Inc.,
G.R. No. 104600, July 2, 1999.)
and
vi. when the client dismissed his
counsel before the termination of
the case or the latter withdrew
therefrom for valid reasons.
Quantum meruit means "as much as the
lawyer deserves." The recovery of
attorneys fees on this basis is permitted
where there is no express agreement for
the payment of attorneys fees. Basically,
it is a legal mechanism which prevents an
unscrupulous client from running away
with the fruits of the legal services of
counsel without paying for it. In the same
vein, it avoids unjust enrichment on the
part of the lawyer himself. (Vinson B.
Pineda v. Atty. Clodualdo de Jesus, G.R.
No. 155244, August 23, 2006.)
Factors taken into account
Rule 20.01 of the Code on Professional
Responsibility provides for the following
factors to be taken into account in
determining the amount of fees which a
lawyer may charge his client:
i. the Time spent and the extent of
the service rendered or required;
ii. the Novelty and difficulty of the
questions involved;
iii. The Skill demanded;
iv. The professional Standing of the
lawyer.
v. The contingency or certainty of
Compensation;
vi. The Importance of the subject
matter;
vii. The Probability of losing other
employment as a result of
acceptance of the proffered case;
viii. The customary Charges for
similar services and the schedule
of fees of the IBP chapter to which
he belongs;
ix. The Amount involved in the
controversy and the benefits
resulting to the client from the
service;
x. The character of the Employment,
whether occasional or established;
and
The foregoing factors, not one of which is
controlling, are mere guides in
ascertaining the real value of the lawyers
services. (Canon 12, Canons of
Professional Ethics.) The determination of
the attorneys fees involves questions of
fact. This requires that there be evidence
to prove the amount of fees, taking into
account the facts determinative thereof.
(Rillaroza, Africa, De Ocampo and Africa
v. Eastern Telecommunications Phil., Inc.,
309 SCRA 566 (1999), G.R. No. 104600,
July 2, 1999.)
ii. Who is liable for attorneys fees
General Rule: is that only the client who
engaged the services of counsel either
personally of through an authorized agent
is liable for the attorneys fees.
Exception: in the event a person who
accepts the benefits of the legal
representation impliedly agrees to pay the
lawyers services for may not unjustly
enrich himself at the expense of the
lawyer.
iii. Liability of persons benefited by
counsels services
General Rule: A person who has no
knowledge of, or objected to, the
lawyers representation may not be held
liable for attorneys fees even though
such representation redounded to his
benefit. (Orosco v. Heirs of Hernandez, 1
Phil. 77 (1901).) The objection to the
lawyers appearance should, however, be
raised before and not after beneficial
services shall have been rendered by the
lawyer, otherwise, the party who benefited
from the lawyers representation may be
required to pay counsel fees. (Martinez v.
Union Maquinistas, Fogoneros y charge against the funds of the
Motormen, G.R. No. L-19455-56, January
30, 1967.)
if the legal representation
redounded to the benefit of the
party, the retention or
acceptance of the benefit cures
the defect of lack of authority on
the part of the agent to retain the
lawyer
Exception: When a private lawyer is
employed to represent a government
entity by an official who has no authority
in law to do so.
iv. Liability of Assignee
The assignee may be held liable for
counsel fees from out of the proceeds of a
favorable judgment. This gives the
assignee the right to intervene in the
matter of fixing the amount of fees that
may be a proper charge against the
judgment rendered in the action. (Otto
Gmur, Inc., v. Revilla, G.R. No. L-34782,
February 13, 1931.)
v. Liability in Labor Cases
A lawyer who represents a union and its
members and with whom he has a
retainer for payment of a fixed percentage
or amounts recovered from the company
is entitled for be paid his fees by both
union and non-union members who derive
benefits from his services. Attorneys fees
in labor cases may not be more that what
the law provides and they may not be
checked off from any amount due to
employees without their written consent.
(Gabriel v. Secretary of Labor, G.R. No.
115949, March 16, 2000.)
i. Liability in Derivative suits
When the professional services of counsel
who instituted the action upon request of
a stockholder are beneficial to the
corporation, the counsel fees may be
properly charged against corporate funds.
However, any stockholder may intervene
and oppose the grant of such fees as a
corporation. (Lichauco v CA, G.R. No. L-
23842, March 13, 1975.)
ii. Liability in Receivership
proceedings
The attorneys fees for a defendant in a
receivership proceeding are personal
obligations of the defendant and may not
be paid out of the funds in the hands of
the receiver, unless the services rendered
by the lawyer have redounded to the
benefit of the receivership or of the
plaintiff who asked for the appointment of
the receiver. (Phil. National Bank v. Pardo
y Robles Hermanos, G.R. No. L-46365,
April 26, 1939.)
iii. Liability in Trusteeship or
Guardianship Proceedings
A trustee may be indemnified out of the
trust estate for his expenses in rendering
and proving his accounts and for the
counsel fees in connection therewith.
However, the court may determine
whether or not a trustee may be allowed
expenses for attorneys fee and permitted
to charge the same against the trust
estate. (Araneta v. Perez, G.R. No. L-
20787-8, June 29, 1965.)
In guardianship proceedings, the
property of the ward may lawfully answer
for counsel fees of the lawyer employed
by the guardian. However, no assets of
the ward may be spent for attorneys fees
without the proper approval of the
guardianship court. (Fernandez v. Bello,
G.R. No. L-14277, April 30, 1960.)
iv. Liability in Estate proceedings
The liability for payment rests on the
executor or the administrator who may, if
the services are beneficial to the estate,
either seek reimbursement from the
estate if he has already paid them or
include them in his account with due
notice to all parties interested. (Ocea v.
Marquez, G.R. No. L-27396, September
30, 1974.) The estate will answer for the
fees of the lawyer whose services are
beneficial to the estate, and if the assets
have already been distributed, the
distributor or heirs will have to contribute
their share to the counsel fees as the
obligations of the estate follow the assets
wherever they are, except in the hands of
a purchaser in good faith. (David v. Sison,
G.R. No. L-1399, August 8, 1946.)
v. Who are entitled to attorneys fees
or a share therein
The lawyer who has been engaged by a
client is the one entitled to have and
recover no more than a reasonable
compensation for his services. (Rule 138,
Sec. 24, Rules of Court.)
Rule 20.02 provides, a lawyer shall, in
cases of referral, with the consent of the
client, be entitled to a division of fees in
proportion to the work performed and
responsibility assumed. (Rule 20.02,
Code of Professional Responsibility.)
vi. Non-lawyer not entitled to fees
A non-lawyer cannot recover attorneys
fees even if there is a law authorizing him
to represent a litigant in court. (Phil.
Assn. of Free Labor Union v. Binalbagan
Isabela Sugar Co., G.R. No. L-23959,
November 29, 1971.) An attorney-client
relationship is a precondition to the
recovery of attorneys fees.
vii. Restrictions on some lawyers to
charge fees
A lawyer who is absolutely disqualified
from engaging in the private practice of
law by reason of his government position
may neither practice law nor, should he do
so illegally, charge attorneys fees for
such services. The prohibition does not
apply to the collection of attorneys fees
for services already performed before the
lawyer qualified for the public office even
though payment for such service is made
after the lawyer has qualified for the public
office. (Omico Mining & Industrial Corp. v.
Vallejos, G.R. No. L-38974, March 25,
1975.)
An executor or administrator is prohibited
from charging the estate under his
administration of his professional fees for
services rendered by him as a lawyer.
(Rule 85, Sec. 7, Rules of Court.)
viii. Right of counsel de officio to fees
In the absence of a law allowing
compensation, the lawyer designated as
counsel de oficio cannot charge the
government nor the indigent litigant for his
professional services. The court may, in
its discretion, order an attorney employed
as counsel de oficio to be compensated in
such sum as the court may reasonably fix,
which shall not be less than P30.00 in any
case nor more than P50.00 in light
felonies; P100.00 in less grave felonies;
P200.00 in grave felonies other than
capital offenses; and P500.00 in capital
offenses. (Rule 138, Sec. 32, Rules of
Court.) The compensation for counsel de
oficio is not, however, intended as a
source of regular income. (People v.
Daeng, G.R. No. L-34091, January 30,
1973.)
ix. Attorneys conduct affecting right
to fees
A lawyers right to recover reasonable
compensation may be affected by
misconduct on his part, such as
carelessness or negligence in the
discharge of his duties (Wolfson v.
Anderson, G.R. No. L-24510, February
13, 1926.), misrepresentation, or abuse of
clients confidence or unfaithfulness in
representing his clients cause. (Medina v.
Bautista, A.C. No. 190, September 26,
1964.)
Adverse result of the litigation does not in
itself deprive a lawyer of the right to claim
a reasonable compensation for his
services unless such result is: MC
i. Due to the lawyers Misconduct
ii. The fee stipulated is Contingent
upon the favorable outcome of the
action
x. Withdrawal of counsel from the
case
A lawyers unceremonious withdrawal
from or abandonment of the action, which
prejudices the client constitutes a breach
of his implied undertaking to prosecute or
defend the clients cause until the
termination of the litigation. His right to
compensation for services is negated.
The withdrawal of counsel who has so far
done his work faithfully in accordance with
the prescribed procedure does not affect
his right to fees for services rendered in
the case. If the withdrawal is with the
clients written conformity, and in the
absence of evidence to the contrary, it is
presumed that he and his client have
mutually agreed to terminate his services
and to compensate him for such services
up to the date their relationship is
terminated. The lawyer should refund to
his client such part of the retainer as has
not been clearly earned. If the withdrawal
is without the clients written consent but
for a justifiable cause made after due
notice to the client, the lawyer may
recover the reasonable worth of his
services up to the date of his withdrawal
(Palanca v. Pecson, G.R. No. L-6334,
February 25, 1954.), unless the agreed
fee is contingent and the contingency has
not arisen.
xi. Representation of adverse
interests
In the absence of the clients consent to
the dual representation made after full
disclosure of the facts (Canons 6 and 37,
Canons of Professional Ethics.), a lawyer
may not receive compensation from both
parties to a controversy. (Medina v.
Bautista, A.C. No. 190, September 26,
1964.) The lawyers acceptance of
employment from a new client against a
former client in a matter, which is related
to the former controversy, precludes
recovery of fees from the former client
only if the latter objected to the
representation. (Deupree v. Garnett, 277
P2d 168 (1954).) The new client may not
defeat the lawyers right to fees in the
absence of concealment and prejudice by
reason of the lawyers previous
relationship with the adverse party.
xii. Lawyers right unaffected by
clients conduct
A client cannot, in the absence of the
lawyers fault, consent or waiver, deprive
the lawyer of his just fees already earned.
xiii. Attorneys discharge by client
The discharge of a lawyer by his client
without a valid cause before the
conclusion of the litigation does not
negate the lawyers right to recover
payment for his services. If the contract
between a client and his lawyer is in
writing and the fee stipulated is absolute
and reasonable, a lawyer who is
discharged without justifiable cause will
be entitled to the full amount thereof.
(Palanca v. Pecson, G.R. No. L-6334,
February 25, 1954.)
The lawyer should question his discharge
to entitle him to recover under the
contract, otherwise he will be allowed
recovery only on a quantum meruit basis.
(Flores v. Phil. National Bank, G.R. No. L-
18537, June 30, 1966.)
If theres no express written agreement as
to fees, the lawyer may only be entitled to
recover the reasonable value of his
services up to the date of his dismissal.
xiv. Client dismissal of actions
A client may dismiss his action even
without or against the consent of his
counsel. If the dismissal of the action is in
good faith, and is based on an honest
belief that the client has no valid cause,
the lawyer may recover only the
reasonable worth of his services, except
when the fee is contingent in which case,
there will be no recovery. If the dismissal
is in bad faith and is intended to defraud
the lawyer of his compensation, the
lawyer will be entitled to the full amount
stipulated in a valid written contract, or in
the absence of such contract, a
reasonable value of his services based on
quantum meruit.
xv. Clients compromise of action
A client cannot, by entering into a
compromise agreement, deprive his
lawyer of his fees in the absence of
waiver on the part of the lawyer. (National
Power Corporation v. NPC Employees
and Workers Union, G.R. No. L-26169,
March 11, 1979.)
If the compromise is with the consent of
the lawyer, he will be entitled to only a
reasonable value of his services fixed on
the basis of quantum meruit. (Lutero v.
Esler, G.R. No. L-29268, October 20,
1928.)
If there is bad faith, the lawyer will be
entitled to recover the full amount of fees
stipulated in a valid written contract or, in
the absence of such contract, the
reasonable worth of his services. (Recto
v. Harden, G.R. No. L-6897, November
29, 1956.)
(d) Contract for Attorneys Fees
i. Generally
A contract of professional services may
either be oral or in writing. The fee
stipulated may be absolute or contingent;
it may be a fixed percentage of the
amount recovered in the action. The
contract may call for a downpayment of a
fee per appearance, per piece of work, or
on an hourly basis. It may also be a
combination of the agreements.
ii. Kinds of retainer: general and
special.
GENERAL RETAINER or RETAINING
FEE
The fee paid to a lawyer to secure his
future services as general counsel for
any ordinary legal problems that may
arise in the routine business of the
client and referred to him for legal
action.
The fee paid to insure and secure his
future services for a particular case or
work and to remunerate him for being
deprived, by being retained by one
party, of the opportunity of rendering
service to the other party.
SPECIAL RETAINER
A fee for a specific case handled or
special service rendered by the lawyer
for a client. When for every case there
is a separate and independent
contract for attorneys fees, each fee
is considered a special retainer.
(Traders Royal Bank Employees
Union-Independent v. NLRC, G.R. No.
120592, March 14, 1997.)
iii. Validity of contract
The general rules governing the validity of
an ordinary contract apply to an
agreement for professional services. It
becomes the law between the parties
provided the stipulations are not contrary
to law, good morals, good customs, and
public policy or public order. (Reparations
Commission v, Visayan Packing Corp.,
G.R. No. L-30712, February 6, 1991;)
As with any other contract, a retainer
whose cause, object or purpose is
contrary to law, public policy, morals and
good customs is null and void. (Art. 1409,
Civil Code of the Philippines; Omnico
Mining & Industrial Corp. v. Vallejos, G.R.
No. L-38974, March 25, 1955.)
iv. Effect of nullity of contract
The nullity of a professional contract
resulting from the illegality of the object
sought to be achieved by the performance
of the professional services precludes a
lawyer from recovering his fees for such
services. (Baca v. Padilla, 190 P. 730, 11
ALR 1188 (1920).)
However, if the nullity of the contract is
due to want of authority on the part of one
of the contracting parties or to some
irregularity in its formal execution or to the
reasonable amount of fees fixed therein,
the lawyer will be entitled to recover what
is justly due to him for his services on the
basis of quantum meruit. The services, in
that case, are legitimate, and while the
contract will not be enforced because of
its formal defects, the rule against unjust
enrichment will entitle the lawyer to
recover the reasonable worth of his
services. (Magsumbol v. Pagbilao, 102
Phil 1158, 1957)
Effect of unconscionability of amount
Rule 138, Sec. 24 of the Rules of Court
provides that an attorney shall be
entitled to have and recover from his
client no more than a reasonable
compensation for his services and
that a written contract for services shall
control the amount to be paid therefore
unless found by the court to be
unconscionable or unreasonable.
It is partly because of this rule and largely
because a lawyer is an officer of the court
charged with the duty of assisting the
court administer impartial justice that the
court may properly modify or disregard a
contract of professional services
whenever the fee therein fixed is
unconscionable or unreasonable. (;
Mambulao Lumber Co. v. Phil. National
Bank, G.R. No. L-22973, January 30,
1968)
When the amount of fees stipulated in the
professional contract is unconscionable,
the contract is rendered invalid. The fact
that the client knowingly entered into such
a contract does not estop him from
questioning the validity of the contract,
because estoppel does not validate a
contract that is prohibited by law or is
against public policy. (Gorospe v.
Gochangco, G.R. No. L-12735, October
30, 1959.)
Public policy demands that the court
disregard the contract and protect the
client from unreasonable exaction.
(Felices v. Madrilejos, G.R. No. 27124,
October 10, 1927; Jayme v. Bualan, G.R.
No. 37386, September 19, 1933.)
However, the unconscionability of the
amount will not preclude recovery; it will
only justify the court to fix the reasonable
worth of the lawyers services based on
quantum meruit.
(e) Contingent fee contract
A contract for a contingent fee is a
contract between a lawyer and his client
in which the lawyers professional fee,
usually a fixed percentage of what may
be recovered in the action, is made to
depend upon the success of the litigation.
In such contract, the lawyer gets paid for
his services only if he wins the case for
the client. (Aro v. Naawa, G.R. No. L-
24163, April 28, 1969.) If the client
prevents the successful prosecution of the
case or acts in bad faith, the lawyer will be
entitled to recover on a quantum meruit
basis or the full amount stipulated in the
valid written agreement, respectively. (Id.)

This type of contract is under the close
supervision and scrutiny of the court to
protect clients from unjust charges. The
court will reduce the amount of an
unconscionable contingent fee to a
reasonable sum, even where the client
manifests conformity thereto, because a
lawyer subjects his professional fees to
judicial control when he takes his oath.
(Sesbreno v. Court of Appeals, 245 SCRA
30 (1995), G.R. No. 89252, May 24,
1993;
In the absence of any stipulation to the
contrary, a lawyer cannot charge his client
a contingent fee or a percentage of the
amount recovered as his fees.
Contingent fees depend upon an
express contract, without which the
lawyer can only recover on the basis of
quantum meruit. (Corpus v. Court of
Appeals 98 SCRA 424 (1980), G.R. No.
L-40424, June 30, 1980.)
Validity of contingent fee
A contingent fee must be in writing, and if
not, it is unenforceable. In this jurisdiction,
a contingent fee is not prohibited by law
and is impliedly sanctioned. It is generally
valid and binding, unless it is obtained by
fraud, imposition or suppression of facts,
or the fee is so clearly excessive as to
amount to an extortion. (Tanhueco v. De
Dumo, A.M. No. 1437, April 25, 1989.)
The fraud or suppression of facts may be
on the part of the lawyer, who takes
advantage of his clients ignorance
(Jayme v. Bualan, G.R. No. 37386,
September 19, 1933;), or on the part of
the client, who avoids paying his lawyer a
legitimate fee by undervaluing the amount
of his interests in litigation. (Francisco v.
Matias, G.R. No. 16349, January 31,
1964)
Even if the compensation of a counsel is
dependent only upon winning a case he
himself secured for his client, the
subsequent withdrawal of the case on the
clients own volition should never
completely deprive counsel of any
legitimate compensation for his
professional services. (Gubat v. National
Power Corporation, G.R. No. 167415,
February 26, 2010)
A lawyer may properly charge a higher fee
for his services when the fee is contingent
than when it is absolute. (Francisco v.
Matias, 10 SCRA 89, 1964)
An absolute fee arrangement entitles a
lawyer to get paid for his efforts
regardless of the outcome of the
litigations; he does not assume any risk or
uncertainty that his compensation will not
be paid. On the other hand, a lawyer
whose fee is contingent assumes the risk
of not getting paid for his services; he may
not even get reimbursement for advances
of litigation expenses if the client is poor.
(f) Effect of agreement to pay litigation
expenses
Canon 42 of the Canons of Professional
Ethics forbid a lawyer from agreeing to
pay or bear any of the expenses of
litigation. He may, however, in good faith,
advance the expenses as a matter of
convenience but subject to
reimbursement. (Canon 42, Canons of
Professional Ethics.) This is to prevent a
lawyer from acquiring an interest in the
litigation and to avoid conflict of interest
between him and his client.
A CHAMPERTOUS AGREEMENT is an
agreement by a lawyer to conduct the
litigation on his own account, to pay the
expenses thereof or to save his client
therefrom and to receive, as his fee, a
portion of the proceeds of a judgment it
is obnoxious to the law.
Thus, an agreement between a lawyer
and his client that does not provide for
reimbursement of litigation expenses paid
by him is against public policy, especially
if the lawyer has agreed to carry on the
action at his expense in consideration of
some bargain to have a part of the thing in
dispute. Such agreement violates the
fiduciary relationship between the lawyer
and his client and renders the lawyer
liable for administrative sanction.
(Bautista v. Gonzales, A.M. No. 1625,
February 12, 1990)
In this jurisdiction, we maintain the
rules on champerty, as adopted from
American decisions, for public policy
considerations. The rule of the
profession that forbids a lawyer from
contracting with his client for part of the
thing in litigation in exchange for
conducting the case at the lawyer's
expense is designed to prevent the
lawyer from acquiring an interest
between him and his client. To permit
these arrangements is to enable the
lawyer to "acquire additional stake in the
outcome of the action which might lead
him to consider his own recovery rather
than that of his client or to accept a
settlement which might take care of his
interest in the verdict to the sacrifice of
that of his client in violation of his duty of
undivided fidelity to his client's cause."
In addition to its champertous character,
the contingent fee arrangement in this
case expressly transgresses the Canons
of Professional Ethics and, impliedly, the
Code of Professional Responsibility.
Under Rule 42 of the Canons of
Professional Ethics, a lawyer may not
properly agree with a client that the lawyer
shall pay or beat the expense of litigation.
The same reasons discussed above
underlie this rule. (The Conjugal
Partnership of the Spouses Cadavedo v.
Lacaya, G.R. No. 173188, January 15,
2014.)
Champertous Contingent Fee
Contract
Contract
Lawyer undertakes Lawyer agrees to
to bear all expenses be paid depending
for the recovery of on the success of
the things claimed his efforts (not
by the client, with necessarily for the
the client agrees to same money or
pay a portion of the payment subject of
thing/s recovered as the case)
compensation.
Q: Atty. Z was to represent Spouses X
and Y in a complaint on a contingency fee
basis. This arrangement was indicated in
the complaint. However, instead of
confirming the agreed contingent
attorneys fees of P2,000.00, the lower
court granted the attorneys fee consisting
of one-half of the subject lot to Atty. Z (this
was based on a purported oral contract,
and it dealt with the property still subject
of a pending civil case).
A: It was held that:
a. The written contract on
attorneys fees (in the amended
complaint) prevails over the
alleged oral contract. An
agreement between the lawyer
and his client is subject to the
ordinary rules governing contracts
in general. Thus, controversies
involving written and oral
agreements on attorneys fees
shall be resolved in favor of the
former.
b. The oral contract in this case is
champertous. Lawyer Z agreeing
to represent the Spouses
and assume the litigation
expenses, without providing for
reimbursement, in exchange for a
contingency fee consisting of one-
half of the subject lot is
champertous. Champerty is
characterized by the receipt of a
share of the proceeds of the
litigation by the intermeddler and
the fact that the lawyer must also,
at his own expense maintain, and
take all the risks of, the litigation.
c. Also, the NCC prohibits lawyers
from acquiring, by purchase or
assignment, the property that has
been the subject of litigation in
which they have taken part by
virtue of their profession.
The payment of the contingent fee
is not made during the pendency
of the litigation involving the
clients property but only after the
 judgment has been rendered in services on appeal. (Dias v. Garduho,
the case handled by the lawyer. G.R. No. L-25523, July 29, 1926.)

d. In sum, Atty. Z violated Rule 10 (h) Measure of Compensation

CPE, and Art. 1491(5) of Civil
Code. And he should return to the i. Amount fixed in a valid contract
complainants the property Generally speaking, the amount of
acquired as payment for attorneys fees due is that stipulated in
services rendered. (The Conjugal the written retainer agreement which is
Partnership of the Spouses conclusive as to the amount of the
Cadavedo vs. Lacaya, 713 SCRA lawyers compensation. (Compania
397, January 15, 2014.) Matima, Inc. v. CA, 318 SCRA 169, 1999)
(g) Construction of professional
Once the lawyer has performed the task
contract
assigned to him in a valid written
agreement, his compensation shall be
General Rule: Adopt such construction as
determined on the basis of what he and
would be more favorable to the client
his client have agreed and not on
even if it would work prejudice to the
quantum meruit basis. (Francisco v.
lawyer. (De los Santos v. Palanca, G.R.
Matias, G.R. No. L-16349, January 31,
No. 17815, August 31, 1963.)
1964.)
If the ambiguity in the contract was
Unless both the attorney and the client
caused by the lawyer, the obscurity will be
expressly or impliedly set aside the
resolved against him. (Martinez v.
contract and submit the question of
Banogan, G.R. No L-15698, April 30,
reasonableness of the amount for the
1963.)
court to resolve on a quantum meruit
Thus, a lawyer who prepares a contract of
basis, neither may disregard the amount
professional services is presumed to have
fixed in the contract. (Recto v. Harden,
seized up the entire situation before
G.R. No. L-6897, November 29, 1956;
entering into the agreement. (Martinez v.
Quitoriano v. Centeno, G.R. No. L-40309,
Banogan, G.R. No L-15698, April 30,
March 10, 1939; Martinez v. Banogan,
1963.)
G.R. No. L-15698, April 30, 1963.) This
applies whether the fee contracted for is
Words inserted by a client in his own
absolute (Martinez v. Banogan, G.R. No.
handwriting in a contract of attorneys
L-15698, April 30, 1963.), or contingent
fees are to be taken in his favor, the
upon the outcome of the litigation.
insertion is presumed to have been made
(Quitoriano v. Centeno, G.R. No. L-
for his benefit.
40309, March 10, 1939.)
Unless there is evidence that a lawyer, in
ii. Nature of services
entering into contract for a fixed fee, has
The value of the lawyers services is in
agreed to handle other cases for the client
large measure determined by the nature,
without any additional compen-sation (De
quality and quantity of such services.
los Santos v. Palanca, G.R. No. 17815,
(Zulueta v. Pan American World Airways,
August 31, 1963.), it would neither be fair
49 SCRA 1 (1973),.) The lawyers service
nor just to hold that he agreed to conduct
should not be fragmented and each
such other cases gratuitously. (Gutierrez
fragment separately valued. Rather the
Repida v. Gutierrez Hermanos, G.R. No.
importance and value of his services
L-8896, December 29, 1913.)
should be measured and considered as a
whole.
An agreement for a fixed fee until the
termination of the action means until the
iii. Skill and standing of the attorney
final resolution of the litigation including
The skill, experience and standing of a
appeal, and the agreed fee covers
lawyer bear a direct proportion to the
amount of attorneys fees to which he
may be entitled for his services. (Zulueta
v. Pan American World Airways, G.R. No.
L-28589, January 8, 1973.)
The lawyers competence and ability must
be judged by the character and quality of
his work and services not only in the field
of law but in other fields of public and
private endeavors as well. (Ingersoll v.
Malabon Sugar Co., G.R. No. 27770,
December 31, 1927.) The skill and
standing of the lawyer must be duly
proved.
iv. Value of the interest involved
Generally speaking, the bigger the size or
value of the interest or property involved
in litigation the higher the attorneys fee
is. (Francisco v. Matias,, G.R. No. L-
16349, January 31, 1964)
This is because the higher the stakes, the
more the case is hotly litigated and the
greater the efforts the lawyer exerts. (Id.)
The value of the interest in litigation as a
measure of the lawyers compensation
depends, in the last analysis, upon the
extent of the special and additional
services and efforts demanded of the
case. Even if the interest involved is of
considerable value but calls for no extra
efforts, there will be no justification for
awarding a high compensation for the
lawyers services. (Mambulao Lumber
Co. v. PNB, G.R. No. L-22973, January
30, 1968,)
v. Loss of opportunity for other
employment
The loss of opportunity for other
employment on the part of a lawyer who
accepts a retainer is taken into
consideration in fixing the amount of the
lawyers fee. (Canon 12, Canons of
Professional Ethics.) It is but fair that a
client should compensate his lawyer for
being deprived of the chance to earn legal
fee from others by reason of his
employment as his counsel.
If there is a reasonable expectation that
had the lawyer not accepted employment
as counsel for the client he would have
been employed by other clients, that
circumstance may justify the award of a
higher fee in his favor to compensate him
for the lost opportunity to earn profitable
fees. (Canon 12, Canons of Professional
Ethics.)
While such work may not call for
extraordinary skill, it is the loss of
opportunity for other gainful services for
his attendance to those small details that
warrant payment of higher compensation
than may ordinarily be granted. (Bernardo
Guerrero & Associates v. Tan, 14 SCRA
451 (1965).)
vi. Difficulty of issues involved
In fixing the lawyers fees, the court takes
into account the novelty or difficulty of the
questions involved in the action as well as
the demands on his part on those
questions. (Sison v. Suntay, G.R. No. L-
10000, December 28, 1957.)
vii. Test case
Where several actions or possible
disputes, as in cases concerning
insurance, tax, levy or labor involve an
identical question and one case is litigated
as a test case, the value in controversy in
all the actions should bear its appropriate
proportion to the amount due as fees to
the lawyer who prosecuted the test case.
(Martinez v. Union de Maquinistas,
Fogoneros y Motormen (G.R. No. L-
19455-56, January 30, 1967.)
viii. Results secured
The importance to a client of his lawyers
services depends upon the successful
outcome of the litigation. What the lawyer
secures for his client represents a real
benefit to the client. In fixing what a
lawyer is reasonably entitled as his
compensation, the result secured by the
lawyer is given much weight. (Francisco
v. Matias, G.R. No. L-16349, January 31,
1964)
A client whose lawyer fails to secure what
his client desires may hesitate to comply
with the contract for professional services
even if the fee agreed upon is absolute.
The fact that a lawyer, in spite of his
efforts, failed to secure for his client what
he desires does not, however, deprive him
of the right to recover compensation for
his services except when the fee agreed
upon is contingent.
ix. Capacity of clients to pay
The financial capability of a client to pay
may also be considered in determining
the amount of fees not to enhance the
same above what is reasonable but to
ascertain whether or not the client is able
to pay a fair and just compensation for the
services rendered.
x. Statutory limitation as to fees
The legislature, in the exercise of its
police power, may by law prescribe the
limit of attorneys fees that a lawyer may
charge his client. (See Republic Acts 65,
Sec. 15; 136, Sec. 14; and 145, Sec. 1.) A
lawyer who collects more than what the
law permits may be criminally held liable.
(Narido v. Linsangan, A.M. No. 944, July
25, 1974.) Such law should, be
interpreted strictly and may not be
extended beyond what it expressly
comprehends. (Phil. National Bank v. De
Borromeo, 193 Phil. 223 (1958), G.R. No.
L-9979, March 28, 1958.)
xi. Fees in cases of referral
Rule 20.02 of the CPR provides that A
lawyer shall, in cases of referral, with the
consent of the client, be entitled to a
division of fees in proportion to the work
performed and responsibility assumed. It
is improper for a lawyer to receive
compensation for merely recommending
another lawyer to his client for if such
practice is permitted, it would tend to
germinate the evils of commercialism and
to destroy the proper appreciation of
professional responsibility. (A.B.A. Op. 97
(May 3, 1933).) It is only when, in addition
to the referral, he performs legal services
or assumes responsibility in the case that
he will be entitled to a fee. (Comments of
IBP Committee that drafted the Code, p.
111.)
xiii. A lawyer shall not receive fee from
another without clients consent
A lawyer should receive compensation for
his services in a case only from his client
and not from any other person. Rule
20.03 of the CPR requires that A lawyer
shall not, without the full knowledge and
consent of the client, accept any fee,
reward, costs, commission, interest,
rebate or forwarding allowance or other
compensation whatsoever related to his
professional employment from anyone
other than the client. This is to prevent a
situation in which the receipt by him of a
rebate or commission from another in
connection with the clients cause may
interfere with the full discharge of his duty
to his client. (A.B.A. Op. 78 (August 27,
1932).) A corollary of the foregoing rule is
the principle that whatever a lawyer
receives from the opposite party in the
service of his client belongs to his client.
xiv. A lawyer shall avoid controversies
with clients concerning his fees
Rule 20.04 of the CPR advises a lawyer
to avoid controversies with clients
concerning his compensation and to
resort to judicial action only to prevent
imposition, injustice or fraud. Suits to
collect fees should be avoided, and only
where the circumstances imperatively
require should a lawyer resort to lawsuit to
enforce payment of his fees. (Comments
of the IBP Committee that drafted the
Code, P. 112.)
He may take judicial action to protect his
right to fees either in the main action
whether his services were rendered or in
an independent civil suit against his client.
(Palanca v. Pecson, 94 Phil. 419 (1954),
G.R. No. L-6634 & L-66346, February 25,
1954.)
Lawsuits with clients should be resorted to
only to prevent injustice, imposition or
fraud. When the client has already paid
more than one half of the lawyers fees,
there is no injustice, imposition or fraud to
warrant resort to judicial action for
collection of the remainder. Although
every lawyer must be paid what is due to
him, he must never resort to judicial action
to recover his fees, in a manner that
detracts from the dignity of the profession.
(Cueto v. Jimenez, A.C. No. 5798,
January 20, 2005)
(h) Attorney liens
i. In General
Lawyers are required at all times to exert
utmost zeal and untainted fidelity in
upholding his clients cause and subject
to appropriate disciplinary action should
he fail to live up to such exacting
standard, the lawyer in return is given
through his liens retaining and charging
an effective hold on his client to assure
payment of his fees. (Ampil v. Agrava, 34
SCRA 370 (1970), G.R. No. L-27394, July
31, 1970.) The law creates in favor of the
lawyer a lien not only upon the funds,
documents and papers of his client which
have lawfully come into his possession
until what is due him has been paid (Rule
138, Sec. 37, Rules of Court.), but also a
lien upon all judgments for the payment of
money and executions issued in
pursuance of such judgments rendered in
the case wherein his services have been
retained by the client. (Rule 138, Sec. 26,
Rules of Court; Rule 16.03; Code of
Professional Responsibility.)
ii. Retaining and Charging Liens
distinguished
a. Retaining Lien
A retaining lien is a general lien for the
balance of the account due to the attorney
from his client for services rendered in all
matters which he may have handled for
the client, regardless of their outcome.
Nature and essence
A retaining lien is a passive right and
cannot be actively enforced. It amounts to
a mere right to retain the funds,
documents and papers as against the
client until the attorney is fully paid his
fees.
The inconvenience that may be caused to
the client as a result of the retaining lien
exercised by the attorney is the reason
and essence of the lien. (Rustia v. Abeto,
G.R. No. L-47914, April 30, 1941.)
Such inconvenience or disadvantage may
induce the client to pay the lawyer his
fees and disbursements. (Ampil v.
Agrava, G.R. No. L-27394, July 31, 1970)
Requisites for validity
For a retaining lien to be valid and
accorded full protection, the following
requisites must be present:
(RPUc)
1. An attorney-client Relationship
2. Lawful Possession by the lawyer
of the clients funds, documents
and papers in his professional
capacity if the engagement has
ceased, if the lawyer was
terminated, the lawyer is duty-
bound to account for all the money
and properties of the client in his
possession.
3. Unsatisfied claim for attorneys
fees or disbursements. (Matute v.
Matute, G.R. No. L-27832, May
28, 1970.)
The presence of these requisites makes
the counsels right to retain his clients
funds and documents in his possession
until payment of his lawful fees and
disbursements incontestable.
Property to which lien attaches
The general, possessory or retaining lien
of an attorney attaches to all property,
papers, books, documents or securities of
the client that lawfully come to the lawyer
professionally or in the course of his
professional employment, not necessarily
in connection with a particular case but
any case or matter handled for the client.
It also attaches to the clients money
which comes into his possession by way
of a writ of execution ordered by the court.
It extends to funds collected by the
attorney for his client in the course of his
employment, whether or not upon a
judgment or award. (De Jesus-Alano v.
Tan, G.R. No. L-9473, November 28,
1959.)
However, the retaining lien does not
attach to funds, documents and papers
which come into the lawyers
possession in some other capacity,
such as an agent of the clients spouse
(Sarmiento v. Montagne, 4 Phil. 1 (1904),
G.R. No. 1110, April 22, 1904.), or as a
mortgagee or trustee. It also does not
attach to documents introduced as
exhibits in court, they being subject to the
courts custody over which it exercises
control. (Villanueva v. Querubin, 25 SCRA
103 (1968), G.R. No. L-26137,
September 23, 1968.)
An attorney may lawfully enforce his
retaining lien only against the funds,
documents and papers of his client and
not against those belonging to third
persons or to the clients adversary.
(Ampil v. Agrava, G.R. No. L-27394, July
31, 1970.)
When lien attaches
The retaining lien attaches from the
moment the attorney lawfully obtains and
retains possession of the funds,
documents and papers of the client until
the client pays him his fees and
disbursements. (Rustia v. Abeto, 72 Phil.
133 (1941), G.R. No. L-47914, April 30,
1941.) The lawyers position is similar to
that of a creditor who holds an attachment
lien over the property and the client-
debtor must discharge the lien before he
can dispose of the property to third
persons. (Ampil v. Agrava, 34 SCRA 370
(1970), G.R. No. L-27394, July 31, 1970.)
Bond for return of documents
The attorneys retaining lien, once it has
attached, is incontestable and the court
may not compel him to surrender them
without prior proof that his fees and
disbursements have been duly satisfied.
(Matute v. Matute, G.R. No. L-27832, May
28, 1970;
However, the court may require the
surrender thereof upon the clients
posting of an adequate bond or security to
guarantee payment of the lawyers fees.
(Rustia v. Abeto, G.R. No. L-47914, April
30, 1941)
Extinguishment of retaining lien
It expires when possession lawfully ends,
as when the lawyer voluntarily parts with
the funds, documents and papers of his
client or offers them in evidence in court.
(Villanueva v. Querubin, G.R. No. L-
26137, September 23, 1968)
If the papers or documents have been
improperly or illegally taken from the
custody of the attorney, his lien is not lost
thereby, unless by his act or omission he
waives his right thereto. Mandamus will lie
to restore possession of the documents
unlawfully taken from him. (Rustia v.
Abeto, 72 Phil. 133 (1941), G.R. No. L-
47914, April 30, 1941.)
Satisfaction of lien
Since the attorneys general or retaining
lien is only a mere passive right to enforce
collection of his fees and disbursements,
he still has to file the necessary action to
recover what is due him from his client. If
what the lawyer retains in the exercise of
his lien refers to funds or money of the
client that lawfully comes into his
possession and the client does not
dispute his claim for attorneys fees and
the amount thereof, he may lawfully apply
the clients funds in satisfaction of his
claim for attorneys fees and
disbursements. (De Jesus-Alano v. Tan,
106 Phil. 554 (1959), G.R. No.L-9473,
November 28, 1959.)
All that is required is that the lawyer
provide his client with an accounting,
showing the amount deducted in payment
of his claim and remitting the balance, if
any, to the client. (Cf. Teodoro v. Javier,
63 Phil. 1050 (1936).)
However, if he makes the application
without his right to or the amount of his
fees first determined by the court or
without the clients consent, he may be
liable for misappropriation of the clients
funds. (In re Booram, 39 Phil. 247 (1918).)
b. Charging Lien
Nature and essence
A charging lien is an equitable right to
have the fees and lawful disbursements
due a lawyer for his services in a suit
secured to him out of the judgment for the
payment of money and executions issued
in pursuance thereof in the particular suit.
(Bacolod Murcia Milling Co. v. Henares,
G.R. No. L-13505, March 30, 1960.)
It is based on the natural equity that a
client should not be allowed to appropriate
the whole of a judgment in his favor
without paying the services of his counsel
in obtaining or helping obtain such
judgment. (Bacolod Murcia Milling Co. v.
Henares, 107 Phil. 560 (1960), G.R. No.
L-13505, March 30, 1960.)
It is a special lien. It is a charge upon the
thing which it is protecting in equity. It
does not depend upon the judgment
recovered but has been created to save
the attorneys right where he has been
unable to get possession. (Rustia v.
Abeto, 72 Phil. 133 (1941), G.R. No. L-
47914, April 30, 1941.)
It is a device invented by law for the
protection of attorneys against the
knaveries of their clients by disabling
them from receiving the fruits of
recoveries without paying for the valuable
services by which the recoveries were
obtained. (Bacolod Murcia Milling Co. v.
Hernaes, 107 Phil. 560 (1960), G.R. No.
L-13505, March 30, 1960.)
This presupposes that the attorney has
received a favorable money judgment for
his client. It is limited to only money
judgments and not to any other kinds of
judgment, such as judgment for
annulment of contract or for delivery of
real property. (Metropolitan Bank & Trust
Co. v Court of Appeals, 181 SCRA 367
(1990), G.R. No. 86100-03, January 23,
1990.) Where the services of counsel
were terminated and the case was
thereafter amicably settled, it cannot be
said that he secured a favorable judgment
for his client and was therefore entitled to
a charging lien.
Requisites for validity
For a charging lien to be valid, the
following requisites must concur: RSJCS
1. There must be an attorney-client
Relationship;
2. The attorney has rendered
Services;
3. A money Judgment favorable to
the accused has been secured in
the action;
4. The attorney has a Claim for
attorneys fees or advances;
5. A Statement of his claim has been
duly recorded in the case with
notice thereof served upon the
client and the adverse party.
(Metropolitan Bank & Trust Co. v
Court of Appeals, G.R. No. 86100-
03, January 23, 1990.)
It is enough that the lawyer had rendered
some service at any stage of the
proceeding, not necessarily the one who
concluded the action, to be entitled to a
charging lien recorded in the case to
secure payment of a reasonable value of
his services.
Record and notice of lien
The attorneys charging lien takes effect
from and after the time the attorney has
caused a notice of his lien to be duly
entered in the record of the case.
(Macondray & Co. v. Jose, G.R. No. L-
44671, November 26, 1938) The record,
to be valid, should be effected while the
court has jurisdiction over the case and
before the full satisfaction of the
judgment. (G.A. Machineries, Inc. v. Court
of Appeals, 79 SCRA 291 (1971), G.R.
No.L-42768, September 30, 1977.)
Compliance of the requirement of notice is
necessary to make the lien effective
(Caina v. Victoriano,, G.R. No. L-12905,
February 26, 1959.) and confers
jurisdiction upon the court to determine
the lien. (Bacolod Murcia Milling Co. v.
Hernaes, G.R. No. L-13505, March 30,
1960.)
A copy of the attorneys claim is also
served upon the adverse party or
judgment debtor before the latter has
satisfied the judgment in order that that
charging lien, once duly recorded, will
bind him. (Calalang v. De Borja, 66 SCRA
365 (1975), G.R. No. L-27771, August 29,
1975.)
In the absence of such notice of the lien,
the judgment debtor is not bound to
preserve the attorneys fees of the lawyer
for the judgment creditor nor is he
required to take cognizance of the fact
that the lawyer will claim the benefit of the
lien. (Menzi & Co. v. Bastida, 63 Phil. 16
(1939), G.R. No. L-42278, March 25,
1936.)

In the absence of valid written contract
fixing the amount of professional fees, the
filing of a charging lien for a reasonable
value of legal services does not by itself
legally ascertain and determine the
amount of the lien, especially when the
amount is contested. In all events, the
exact amount of attorneys fees should be
determined before the lien can be
enforced. (Bacolod Murcia Milling Co. v.
Hernaes, 107 Phil. 560 (1960), G.R. No.
L-13505, March 30, 1960.)
To what charging lien attaches
Once duly recorded, the charging lien
attaches to the judgment for the payment
of money and the executions issued in
pursuance of such judgment. The
charging lien does not attach to property
or land in litigation. (Metropolitan Bank &
Trust Co. v Court of Appeals,, G.R. No.
86100-03, January 23, 1990) The lien is
only restricted to amounts awards to the
client by final judgment and does not
comprise sums of money which,
according to the same judgment, must be
applied to satisfy a legitimate debt of the
client. (De la Pea v. Hidalgo, 20 Phil.
323 (1911), G.R. No. L-6626, October 6,
1911.)
Effects of charging lien
The lien gives the lawyer the right to
collect, in payment of his professional
fees and disbursements, a certain amount
from out of the judgment or award
rendered in favor of his client. (Morente v.
Formalino, G.R. No. L-47262, December
9, 1940.) The client who receives the
proceeds of the judgment hold such
proceeds in trust for the lawyer who is, to
the extent of his lien, regarded as an
equitable assignee thereof. A lawyers
duly recorded charging lien enjoys
preference of credit over that of a creditor
who subsequently recorded it. (Bucoy v.
Mcfie, 67 Phil. 126 (1939), G.R. No.
43850, April 3, 1939.)
Likewise, the lien survives the death of
the client and need not therefore be
enforced in the proceeding for the
settlement of the clients estate. (Harden
v. Harden,, G.R. No. L-22174, July 21,
1967.)
In a case wherein a client decided to
accept the settlement offer and to
withdraw the case he filed with the help of
his attorney, and whereby his attorney
opposed such withdrawal by filing a
Motion for Recording of Attorneys
Charging Lien, the Supreme Court help
that it was proper for the attorney to
intervene in a case to protect his rights
concerning the payment of his
compensation. According to the discretion
of the court, the attorney shall have a lien
upon all judgments for the payment of
money rendered in a case in which his
services have been retained by the client.
An attorney is entitled to be paid
reasonable compensation for his services.
(Baltazar v. Baez, A.C. No. 9091,
December 11, 2013)
Extinguishment
A charging lien is extinguished when the
client loses the action as the lien may only
be enforced against a judgment awarded
in favor of the client, the proceeds thereof
or the execution thereon. (Morente v.
Firmalino. 71 Phil. 49 (1940), G.R. No. L-
47262, December 9, 1940.)
Assignment of charging lien
The generally accepted rule is that an
attorneys charging lien may be assigned
or transferred without the preference
thereof being extinguished except when
the assignment carries with it a breach of
the attorneys duty to preserve his clients
confidence inviolate. The assignees steps
into the shoes of the lawyer and enjoys all
the rights which the latter has in the
charging lien. (Menzi & Co. v. Bastida, 63
Phil. 16 (1939), G.R. No. L-42278, March
25, 1936.)
Satisfaction of judgment
The satisfaction of a judgment in favor of
the client does not by itself extinguish the
attorneys charging lien. The satisfaction
of judgment may extinguish the lien only
when there has been a waiver of the right
thereto either by the attorneys active
conduct of by his passive omission.
Enforcement
The charging lien may be enforced in the
court, upon proper motion filed before
judgment in favor of the client is by
execution (Dahlke v. Via, G.R. No. L-
28252, March 14, 1928.). It may be
enforced against the client, who holds it in
trust for the lawyer (Calalang v. De Borja,
G.R. No. L-27771, August 29, 1975.), or
against the judgment debtor, who
disregards the charging lien properly
served on him.
(i) Fees and controversies with clients
i. Generally
There is an irreconcilable conflict of
interests between a client and his lawyer
as to the matter of fees. (Diaz v.
Kapunan, 45 Phil. 848 (1932).) That
conflict should not interfere with the
discharge by the lawyer of his duty of
undivided fidelity to his clients cause
(Politrade Corp. v. Blanco, 30 SCRA 187
(1969), G.R. No. L-27033, October 31,
1969.), nor should it diminish his zeal in
the prosecution or defense of the clients
interests. (Jesus v. Tan, G.R. No. L-9473,
November 28, 1959.) But when that
conflict has reached a point that it not only
becomes the lawyers duty to withdraw
from the action but to assert his right to
compensation because of the intolerable
attitude assumed by his client, he may in
order to prevent injustice, fraud or
imposition rightfully resort to lawsuit to
recover his fees. (Canon 14, Canons of
Professional Ethics.) He may take judicial
action to protect his right to fees either in
the main action where his services were
rendered or in an independent civil suit
against his client. (Palanca v. Pecson, 94
Phil. 419, 1954)
ii. Lawyers application to pay his
fees
A lawyer may apply so much of the
clients funds that comes into his
possession as may be necessary to
satisfy his fees and disbursements, giving
notice promptly thereafter to his client.
(Canon 16, Rule 16.03 of the Code of
Professional Responsibility.) He should
not arbitrarily apply the funds in his
possession to the payment of his fees for
it would violate of the trust relationship
between the attorney and his client, and
would open the door to possible abuse by
those who are less than mindful of this
fiduciary duty. The lawyer should, instead,
file the necessary action in court to fix and
recover the amount of his fees. (J.K.
Mercado and Sons Agricultural
Enterprises, Inc. v. De Vera, 317 SCRA
339 (1999), A.C. No. 3066, October 26,
1999.)
iii. Independent civil action
A lawyer can enforce his right to a
reasonable compensation for services
rendered in an independent civil action in
cases where:
1. The court trying the main action in
which the lawyers services were
rendered dismissed the clients
action or awarded nothing to the
client;
2. The court that decided the main
litigation had no jurisdiction over
the action or had already lost it;
3. The person liable for attorneys
fees is not a party in the main
action;
4. The court reserved to the lawyer
the right to file a separate civil suit
for the recovery of his fees;
5. The services for which the lawyer
seeks payment were rendered in
connection with a matter not in
litigation; (Otto Gmur, Inc. v.
Revilla, G.R. No. 34782, February
13, 1931) and
6. The court rendered judgment in
the case without requiring
payment for attorneys fees and
the judgment has become final.
(Lizardo Sr. v. Montano, 332
SCRA 163 (2000), G.R. No.
138882, May 12, 2000.)
iv. Remedies in estate proceedings
If the administrator or executor refuses or
fails to make payment, the lawyer has two
remedies:
i. An independent civil action against
the administrator or executor in his
personal capacity, and should
judgment be secured and the latter
pays, the administrator or executor
may include the amount paid in his
account filed with the probate
court.
 ii. A petition with the probate court
praying that the court, after due
notice to all persons interested,
allow his claim and direct the
administrator or executor to pay
his fees as expenses of
administration. (Aladamiz v. CFI of
Mindoro, 85 Phil. 228 (1949), G.R.
No. L-2360, December 29, 1949;
Sato v. Rallos, 12 SCRA 84
(1964), G.R. No. 17194,
September 30, 1964.)
The circumstance that the probate court
has lost jurisdiction to adjudicate the
matter of fees as a result of the final
closure of the estate proceeding does not
foreclose the lawyers right to be paid for
his services. (Uy Yt. v. Quirina Rios &
Sons, 74 Phil. 545 (1944), G.R. No.
48577, February 11, 1944.) He may
pursue the claim in an independent civil
action against the administrator in his
personal capacity and against the
distributees of the assets of the estate.
(Uy Tioco v. Imperial, 53 Phi. 802 (1928),
G.R. No. L-29414, July 17, 1949.)
v. Court jurisdiction
The court having jurisdiction to try the
main action in which the lawyer rendered
services also has jurisdiction to pass upon
the question of fees even though the total
sum thereof is less than the jurisdictional
amount cognizable by the court (Palanca
v. Pecson, 94 Phil. 419 (1954), Tolentino
v. Escalona, G.R. No. 26556, January 24,
1864.), and continues to have that
jurisdiction until the proceeds of the
judgment shall have been delivered to the
client. (Abedin v. Natividad, G.R. No.
48491, October 28, 1942.)
An independent civil action for recovery of
attorneys fees is subject to the same
jurisdictional requirement as any other
ordinary civil suit. But if a client not only
fails to object to the exercises by the court
of the jurisdiction to entertain an action for
recovery of attorneys fees but also asks
some affirmative reliefs he may be
estopped, on appeal, to assail the
propriety if the action taken by the trial
court in fixing and allowing counsel fees.
(Tolentino v. Escalona, 26 SCRA 613
(1969), G.R. No. L-26886, January 24,
1969.)
vi. Necessity of hearing
The persons who are entitled to or must
pay attorneys fees have the right to be
heard upon the question of their propriety
or amount. The persons entitled to be
heard are the lawyer himself, the client,
the clients assignees of the interest in
litigation, (Metropolitan Bank v. Court of
Appeals, 181 SCRA 367 (1990), G.R. No.
86100-03, January 23, 1990.)
stockholders in a derivative suit
concerning attorneys fees sought to be
charged against corporate funds,
(Occea v. Marquez, G.R. No. L-27396,
September 30, 1974.)
Until here shall have been a hearing at
which all parties concerned are given the
opportunity to be heard, the trial court
may not without abusing its discretion,
authorize the payment of counsel fees,
especially where the fees claimed are of
considerable amount. (Meralco Workers
Union v. Gaerlan, 97 SCRA 840 (1970),
G.R. No. L-24505, April 30, 1970.)
vii. Defenses
An action for recovery of attorneys fees is
subject to the usual defenses applicable
to an ordinary civil suit, such as want of
jurisdiction, res judicata, prescription of
action, nullity of the contract for
professional services, negligence in the
discharge of the lawyers duties, lack of
attorney-client relationship, the amount
claimed is unconscionable.
viii. Execution
A final award of the attorneys fees may
be enforced by execution. The award may
be enforced against any property of the
client, including the proceeds of the
judgment secured for the client in the
main action. (Albano v. Ramos, 20 SCRA
171 (1967), G.R. No. L-240426, May 24,
1967; Harden v. Harden, 20 SCRA 706
(1967), G.R. No. L-22174, July 21, 1967.)
9. Withdrawal of Services
The lawyers unceremonious withdrawal
from or abandonment of the action which
prejudices the client negates his right to
compensation for services rendered in the
action. (Davernport v. Aggoner, 207 NW
972, 45 ALR 1126 (1926).) It constitutes a
breach of his implied undertaking to
prosecute or defend the clients case until
the termination of the litigation. Similarly, a
lawyer who for reasons attributable to his
fault or misconduct is forced to resign
from the case with the clients conformity
or in accordance with the prescribed
procedure, may lose his right to fees
earned therein. (Canon 44, Canons of
Professional Ethics.) The withdrawal of
counsel who has so far done his work
faithfully in accordance with the
prescribed procedure does not affect his
right to fees for services rendered in the
case.
iii. Suspension,
Disbarment and
Discipline of Lawyers
A. NATURE AND
CHARACTERISTICS OF
DISCIPLINARY ACTIONS AGAINST
LAWYERS
1. Sui generis
Administrative cases are distinct from,
and proceed independently from civil and
criminal cases. In an administrative case
for disbarment or suspension, clear
preponderance of evidence is all that is
required. Hence, criminal prosecution
will not constitute a prejudicial
question even if the same facts and
circumstances are attendant in the
administrative proceedings.
(Gatchalian Promotions Talent Pool, Inc.
v. Naldoza, 315 SCRA 406, September
29, 1999).
A proceeding for suspension or
disbarment is not a civil action (as it
involves no private interest) nor a criminal
prosecution. A disciplinary action is in
reality an investigation by the court into
the misconduct of its officer or an
examination into his character (In re
Almacen, 31 SCRA 562, February 18,
1970). It is merely a test of fitness.
2. Prescription
The filing of a disciplinary action does not
prescribe despite the number of years
lapsed (Heirs of Lydia Falame v. Baguio,
A.C. No. 6876, March 7, 2008).
B. GROUNDS
1. Grounds for Discipline; in general
As a rule, a lawyer may be disciplined
for gross misconduct or malpractice or
unprofessional conduct (Rule 138, Sec.
27).
MALPRACTICE ordinarily refers to any
malfeasance or dereliction of duty
committed by a lawyer. The practice of
soliciting cases at law for the purpose of gain,
either personally or through paid agents or
brokers, constitutes malpractice (Id.).
UNPROFESSIONAL CONDUCT in an
attorney is that which is unbecoming a
member of that profession. Gross
misconduct, malpractice or
unprofessional conduct, constitute
grounds for disciplinary action (Uy
Chung Seng and Ching Uy Seng v.
Atty. Magat, Adm. Case No. L-2018.
December 10, 1982).
2. Enumerated grounds not exclusive
The enumeration is not exclusive
(Royong v. Oblena, 7 SCRA 859, April 30,
1963). A lawyer may be removed from
office or suspended from the practice of
law on the grounds other than those
specifically provided in the law (Bolivar v.
De Leon, 50 O.G. 583, January 28,
1954); Mortel v. Aspiras 100 Phil. 58, Dec.
28, 1956; Rayong v. Oblena, 7 SCRA
859, 1963).
Any misconduct on the part of a lawyer
in his professional or private capacity
which shows him to be wanting in
moral character may justify his
suspension or removal from office
even though the law does not specify
the acts as a ground for disciplinary
action (Mortel v. Aspiras 100 Phil. 586
1956).
3. Misconduct before or incident to
admission
Broadly speaking, the grounds for
disbarment or suspension of a lawyer
consist of those acts of misconduct
committed before and after his admission
to practice. The acts of misconduct prior
to admission include those which indicate
that at the time the lawyer took his oath,
he did not possess the required
qualifications for membership in the bar.
Two requisites must concur before he
may be suspended or disbarred for
misconduct committed before his
admission: CC
1) The act imputed to him must be
so corrupt and false as to
constitute a criminal act or so
unprincipled as to be
reprehensible to a high degree;
(Soberano v. Villanueva, 6 SCRA
891, December 29, 1962;
Villasanta v. Perlta, 101 Phi. 313,
April 30, 1957) and
2) The act charged must be
established by clearly preponderant
evidence (Lim v. Antonio, 41 SCRA
44, Sept. 30, 1971).
On the other hand, grounds for
suspension or disbarment based on acts
committed after the lawyers admission to
the bar are those which cause loss of
moral character on his part (Advincula v.
Atty. Macabata, A.C. No. 7204, March 7,
2007) or involve violation of his duties to
the court, to his client, to the legal
profession and to the public.
3)
4. Misconduct committed outside
Philippine jurisdiction
The rule is that a Philippine lawyer may
practice law only in the Philippines. He
may, however, be admitted to the bar in a
foreign country so that he can practice law
in both countries. If he commits
misconduct outside Philippine jurisdiction,
which is also a ground for disciplinary
action under Philippine law, he may be
suspended or disbarred in this country
(Velez v. De Vera, A.C. No. 6697, July 25,
2006).
R.O.C Rule 138, Sec. 27, as
amended on Feb 13, 1992 provides:
1. SEC. 27. Disbarment or
suspension of attorneys by
Supreme Court; grounds
therefore. A member of the bar
may be disbarred or suspended
from his office as attorney by the
Supreme Court for any deceit,
malpractice, or other gross
misconduct in such office, grossly
immoral conduct or by reason of
his conviction of a crime involving
moral turpitude, or for any
violation of the oath which he is
required to take before admission
to practice, or for a wilful
disobedience of any lawful order
of a superior court, or for corruptly
or willfully 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.
2. The disbarment or suspension of a
member of the Philippine Bar by a
competent court or other
disciplinatory agency in a foreign
jurisdiction where he has also
been admitted as an attorney is a
ground for his disbarment or
suspension if the basis of such
action includes any of the acts
hereinabove enumerated.
3. The judgment, resolution or order
of the foreign court or disciplinary
agency shall be prima facie
evidence of the ground for
disbarment or suspension. (as
amended)
5. Breach of Duties to the Court
(a) Generally

An attorney is an officer of the court
whose obligations to the court are more
significant and important than his
obligations to his clients (Cantorne v.
Ducasin, 577 Phil. 23, 1932; Cobb-Perez
v. Lantin, 24 SCRA 291, July 29, 1968.; In
re Almacen. 31 SCRA 562, Feb. 18,
1970). He may be admonished, censured,
fined, suspended or disbarred for breach
of his duties to the court that affects his
professional integrity, his obligations as a
lawyer or his fitness as an officer of the
court (In re Almacen, 31 SCRA 562,
1970).
(b) Obstructing justice and abuse of
legal process
Any act on the part of a lawyer that
obstructs, perverts or impedes the
administration of justice constitutes
misconduct and justifies disciplinary
action against him (Cantorne v. Ducasin,
577 Phil. 23, 1932; De Los Santos v.
Sagalongos, 69 Phil. 406, 1970).
Ordinarily, obstruction in the
administration of justice constitutes
contempt of court, and citing the offender
for contempt and punishing him for such
misbehavior may be sufficient to
accomplish the end desired. However,
misbehavior may be of such character as
to effect the offenders qualifications as a
lawyer for the practice of his profession. In
such a case, he may be disciplined as an
attorney for such misconduct (In re
Almacen. 31 SCRA 562, 1970).
(c) Misleading the court
A lawyer must be a disciple of truth. Under
the Code of Professional Responsibility,
he owes candor, fairness and good faith
to the courts. He shall neither do any
falsehood, nor consent to the doing of
any. He also has a duty not to mislead or
allow the courts to be misled by any
artifice (Benguet Electric Cooperative,
Inc. v. Flores, 287 SCRA 449, March 12,
1998).
(d) Forum Shopping
A willful violation of the non-forum
shopping rule constitutes direct contempt
of court and makes the lawyer liable
administratively, such as suspension from
practice of law for one year (Benguet
Electric Cooperative, Inc. v. Flores, 287
SCRA 449, March 12, 1998).
(e) Proffering false charges
A lawyer, including a public prosecutor,
may be disciplined for filing or prosecuting
false charges against another, for his
action is a violation of his sword duty to do
no falsehood nor consent to the doing of
any in court, nor wittingly or willingly
promote or sue any false, groundless or
unlawful suit (Retuya v. Gorduiz, 96
SCRA 526, March 28, 1980.; Mabutas v.
Nable, 82 SCRA 374, 1978; Natam v.
Cappule, 91 Phil. 640 July 23, 1952). His
conduct is moreover unethical and
evinces a character wanting in
truthfulness and devoid of that sense of
fairness and justice so essential to the
legal profession (Natam v. Cappule, 91
Phil. 640, 1952).
To warrant disciplinary action against a
lawyer for preferring or prosecuting false
charges or complaints, it must be shown
that the charges are false and the
lawyer knows them to be so, in spite of
which he nevertheless filed them. In short,
the lawyer must have been moved by
malice or bad faith. However, if the
charges are not entirely false and have
been filed to protect the lawyers interest
and that of his client, such action, on the
part of the lawyer does not warrant
disciplinary sanction.
(f) Introducing false evidence
A lawyer may be suspended or disbarred
for knowingly presenting or introducing
false evidence in any proceeding as his
act is a violation of his oath to do no
falsehood nor consent to the doing of any
in court (Lacsamana v. De la Pena, 57
SCRA 22, 1974; AM No. 457, May 3,
1974). His action constitutes a willful
disregard of his solemn duty to act at all
times in a manner consistent with the truth
(Bautista v. Gonzales, 182 SCRA 151
1990; AM No. 1625, Feb. 12, 1990).
(g) Blackmail
Blackmail is the extortion of money from a
person by threats of accusation of
exposure or opposition in the public prints,
obtaining of value from a person as a
condition of refraining from making an
accusation against him, or disclosing
some secret which is calculated to
operate to his prejudice (Pena v. Aparicio,
A.C. No. 7298, June 25, 2007).
(h) Willfully disobeying the court
orders and disrespect to the court
The term willful conveys the idea of
flagrant misconduct such as would
indicate a disposition on the part of a
lawyer so refractory in its character as to
affect his qualifications and standing for
the further exercise of his office as
attorney (People v. Estebia, 67 SCRA
402, Feb. 27, 1968).
(i) Using vicious or disrespectful
language
The use by a lawyer of vicious,
intemperate, abrasive, threatening or
disrespectful language against the
judge constitutes direct contempt as
well as a violation of the lawyers oath
and a transgression of the Code of
Professional Responsibility (In re
Almacen, 31 SCRA 562, 1970).
(j) Continuing to practice after
suspension
A lawyer may be disbarred for continuing
to practice after his suspension from the
practice of law (In re David, 93 Phil. 461,
1953).
Reason: His continuing to practice his
profession during his suspension
constitutes a gross misconduct and a
willful disregard of the suspension order,
which should be obeyed though how
erroneous it may be until set aside (De
Leon v. Torres, 99 Phil. 463, June 30,
1956).
6. Breach of Duties to the Client
(a) Generally
A lawyer owes his client the duty of entire
devotion to his genuine interest, undivided
allegiance, loyalty, fidelity and absolute
integrity. Gross violation of such duty
subjects the lawyer to disciplinary action
(In re Oliva. 103 Phil. 312, April 16, 1958;
Republic v. Court of Appeals, 296 SCRA
171, Nov. 25, 1998).
(b) Negligence in the performance of
duties
The failure to exercise due diligence or
the abandonment of the clients cause
makes the lawyer unworthy of the trust
which the client has reposed in him. There
is no hard and fast rule as to what is gross
misconduct in the performance of the
lawyers duty to his client. That question
depends upon the circumstances if the
case, the nature of the act done and the
motive which induced him to do the act
charged (Agpalo, Legal and Judicial
Ethics, p. 520, 2009; Seares Jr. v.
Gonzales-Alzate, Adm. Case No. 9058,
November, 14, 2012).
(c) Employment of lawful means
Canon 19 and Rule 19.01 of the CPR
ordain that a lawyer shall employ only fair
and honest means to attain the lawful
objective of his client and shall not
present, participate in presenting, or
threaten to present unfounded charges to
obtain improper advantage in any case or
proceeding.
(d) Deceit or misrepresentation
A lawyer may be suspended or
disbarred for deceit or
misrepresentation to the prejudice of
or as a means to defraud his client (In
re Paraiso, 41 Phil. 24, Aug. 3, 1920;
Daroy v. Legaspi, 65 SCRA 304 July 25,
1975; Merritt v. Cacamindin, 125 SCRA
386, October 27, 1983). Implicit in these
fraudulent acts are bad faith on the
part of the lawyer and material damage
to the client, which are the requisites
that should concur to justify the
suspension or disbarment of the
lawyer on the ground deceit or
misrepresentation.
(e) Representing adverse interests and
revealing clients secrets
In the absence of written consent on
the part of the clients concerned, a
lawyer may not represent conflicting
interests without being disciplined for
such misconduct (In re Hamilton, 24
Phil. 100, January 17, 1913; Natan v.
Capule, 91 Phil. 640, July 7, 23, 1952;
Sumangil v. Sta. Romana, 84 Phil. 777,
October 25, 1949). The reason is that
the representation of conflicting
interests not only constitutes
malpractice (Cantorne v. Ducasin, 57
Phil. 23, 1932) but is also a violation of
the attorney-client relationship as well
a lawyers duty to a court (In re
Hamilton, 24 Phil. 100, 1913; Natam v.
Capule, 91 Phil. 640, 1952).
(f) Purchasing clients property in
litigation
Article 1491, Paragraph 5 of the Civil
Code provides that:
The Following persons cannot acquire by
purchase or by assignment, even at a
public or judicial auction, either in
person or through the mediation of
another, the property and rights in
litigation or levied upon an execution
before the court within whose
jurisdiction or territory they exercise
their respective functions:
1. Justices,
2. Judges,
3. Prosecuting attorneys,
4. Clerks of superior and inferior
courts,
5. Lawyers- with respect to the
property and rights which may be
the object of any litigation in which
they may take part by virtue of
their profession.
6. Other officers and employees
connected with the administration
of justice,
The law expressly prohibits a lawyer from
purchasing his clients property in
litigation (Art. 1491, Civil Code). It is
sufficient to hold the lawyer liable on that
ground, that he is counsel for a client at
the time he acquires, by himself or
through another, during the pendency of
the litigation, the clients property or
interest involved therein. Good faith on
the part of the lawyer is not even a
defense, although it mitigates his liability
(Beltran v. Fernandez, 70 Phil. 248, June
27, 1940; In re Adriatico, 7 Phil. 173,
November 17, 1910).
7.
(g) Failing to account for or
misappropriating clients property
While a lawyer has a right to be paid
for the legal services he has rendered
to his client, he should not exercise
such right whimsically by
appropriating to himself the clients
money to pay his fees without the
clients consent. His doing so makes
him administratively liable for deceit in
dealing with his client (Rivera v.
Angeles, 339 SCRA 140, August 29,
2000).
(h) Collecting unreasonable fees
A lawyer may be disciplined for
collecting exorbitant fees for his
services, applying the clients money
to pay his unreasonable claim for work
done without the clients consent or
refusing to return to his client what he
collected as payment or for refusing to
return to his client what he collected as
payment for professional services
which he never rendered (Espere v.
Santos, 96 SCRA 987, 1956). What
amounts to reasonably exorbitant fees
depends upon the circumstances of
each case. Where, however, a law fixes
a maximum amount which a lawyer
may charge his client for his
professional services in a particular
matter, the collection of more than
what the law allows constitutes
malpractice sufficient to justify
disciplinary action against the lawyer
(Narido v. Linsangan, 58 SCRA 85, July
25, 1974; Katalbas v. Tupas, 105 Phil.
1289, April 30, 1959).
(i) Acting without authority
A lawyer can bind his client without
special power from the latter only in
matters of procedure. The lawyer, may,
therefore, be disciplined for
compromising, settling, dismissing,
waiving or disposing of his clients
cause, property, interest without prior
authority from the client because any
of such steps does not involve matters
of procedure (Gonzales v. Parenas, 94
SCRA 48, November 7, 1979; Aldana v.
Abad, 98 Phil. 899, April 28, 1956).
(j) Willfully appearing without being
retained
A lawyer may not represent a litigant
without authority from the latter or
from the latters representative or, in
the absence thereof, without leave of
court (Rule 138, Sec. 21, Rules of
Court). His unsolicited appearance in
court for the insured, in the absence of
attorney-client relationship, is
unbecoming of a member of the bar
(Porac Trucking, Inc. v. Court of
Appeals, 183 SCRA 45, March 6, 1990).
The lawyers appearance for a party
without the latters authority must be
willful, corrupt or contumacious in
order that he may be held liable held
therefor. If he acts in good faith, then
the complaint for suspension or
disbarment must fail (Garrido v.
Quisumbing, 28 SCRA 614, June 30,
1969).
7. Breach of Duties to the Bar
(a) Unethical conduct, generally
Unprofessional conduct is that which
violates the rules of ethical code of the
legal profession or which is
unbecoming of a member of the bar
(Tan Bek Keng v. David, 126 SCRA 389,
1983).
(b) Defaming fellow lawyers
Doctrine of Absolute Privilege: must be
relevant to the issue being tried.
General Rule: It is unethical for a lawyer
to use improper and objectionable
language against another lawyer or to
cause him wantonly and maliciously of a
serious misconduct in the absence of a
reasonable cause (Asturias Sugar Central
v. Pure Cane Mollasses Co., 57 Phil. 517,
August 1, 1934).
Exception: Strongly worded statement
by a lawyer against opposing counsel,
if justified by the records, may not
justify disciplinary action against him
(Phil. Surety & Ins. Co. v. Royal Oil
Product, G.R. No. L-11936, April 30,
1959).
(c) Communicating with adverse party
Canon 9 of the Code of Professional
Ethics provides that a lawyer should not
in any way communicate upon the subject
of controversy with a party represented by
counsel, much less should he undertake
to negotiate or compromise with matter
with him, but should only deal with his
counsel.
Violation of this canon entails
disciplinary sanction, such as
suspension from the practice of law for
3 months (Camacho v. Pangulayan,
328 SCRA 631, March 22, 2000).
(d) Soliciting business
The solicitation by a lawyer of cases at
law for the purpose of gain, either
personally or through paid agents or
brokers, constitutes malpractice sufficient
to warrant the lawyers reprimand,
suspension from the practice of law or
removal from office (ROC, Rule 138, Sec.
27).
(e) Cooperating in illegal practice of
law
A layman or a disbarred or suspended
lawyer may not practice law without
being held liable for contempt of court
(ROC, Rule 71, Sec. 3). The Canons of
Professional Ethics warn that no
lawyer shall permit his professional
services, or his name, to be used in aid
of, or to make possible, the
unauthorized practice of law by any
law agency, personal or corporate
(Canons of Professional Ethics, Canon
47).
8. Other Grounds for Discipline
(a) Nonprofessional misconduct
General Rule: A lawyer may not be
suspended or disbarred for any act in his
private capacity (In re Edillon, G.R. No.
A.C.-1928, August 3, 1978).
Exception: When however the
misconduct is so grave that would make
him morally unfit for the office and
unworthy of the privilege, the court may
suspend or disbar him (Melendez v.
Decena, 176 SCRA 662, August 24,
1989).
Gross misconduct on the part of the
lawyer may put his moral character in
serious doubt and may render him
unfit to continue the practice of law
(Balinon v. De Leon, 94 Phil. 277,
January 28, 1954).
(b) Gross Immorality
A GROSSLY IMMORAL ACT is one that
is so corrupt and false as to constitute a
criminal act or so unprincipled or
disgraceful as to be reprehensible to the
highest degree (Narag v. Narag, 291
SCRA 451, June 29, 1998).
Apparently cohabitation per se is not
grossly immoral. Its gross immorality will
depend on the nature of the
circumstances (Arcega v. Maniwang, 106
SCRA 59, August 14, 1981). However,
even if a lawyer is not judged as grossly
immoral, he may nonetheless be
reprimanded where such evidence shows
failure on his part to comply with the
rigorous standards of conduct
appropriately required from members of
the bar and court (Tolosa v. Cargo, 171
SCRA 21, April 7, 1982).
(c) Conviction of crime involving moral
turpitude
An attorney may be suspended or
disbarred by reason of his conviction of a
crime involving moral turpitude (De
Jesus-Paras v. Vailoces, G.R. No. 439,
April 12, 1961).
The term MORAL TURPITUDE means
anything which is done contrary to justice,
honesty, good morals, or to any act of
vileness, baseness or depravity in the
private and social duties that a man owes
his fellowmen or to society, contrary to the
accepted rule of right and duty between
man and man (In re Gutierrez, 5 SCRA
661, July 31, 1962).
General Rule: All crimes of which fraud
or deceit is an element or those which
are inherently contrary to rules of right
conduct, honesty or morality in a
civilized community, involve moral
turpitude (De Jesus-Paras v. Vailoces,
111 Phil. 569, 1961, Sumangil v. Sta.
Romana, 84 Phil. 777, 1949).
(d) Misconduct in the discharge of
duties as a public officer
Former Rule: A lawyer who holds a
government office may not be disciplined
as a member of the bar for misconduct in
the discharge of his duties as a
government official (Cruz v. Cabal, 12
SCRA 270, October 31, 1964).
New Rule: However, with the
promulgation of the Code of Professional
Responsibility, the ruling in Cruz has lost
its validity because the Code applies to
lawyers in government service in the
discharge of their official tasks and makes
their negligence in the performance of
their duties as government lawyers a
ground for disciplinary action.
In case of government lawyers,
administrative discipline may be imposed
by both the Civil Service Commission
(because he is a civil servant) and by the
Supreme Court (because he is a lawyer).

(e) Misconduct as notary public
2-fold penalty: 1st for the act and omission
as a notary public, and 2nd for act or
omission as a lawyer.
By applying for and having himself
commissioned as notary public, a lawyer
assumes these duties in a dual capacity,
in the non-performance of which duties he
may be disciplined as a member of the
bar. He may be held to account as a
lawyer for an act as a notary public of a
disgraceful or immoral character even to
the extent of the disbarment (Benguet
Electric Cooperative v. Flores, 287 SCRA
449, March 12, 1998).
(f) Nonpayment of IBP dues
Membership in the Integrated Bar of
the Philippines is a condition
precedent for the practice of law and
for maintaining his name in the Roll of
Attorneys (In re Integration of the
Integrated Bar, 49 SCRA 22, January 9,
1973). The lawyers failure or refusal to
pay such dues or special assessments
for six months shall warrant
suspension of membership in the
Integrated Bar, and default in such
payment for one year shall be a ground
for the removal of the name of the
delinquent member from the Roll of
Attorneys (In re Edillon, 101 SCRA 612,
August 3, 1978).
C. PROCEEDINGS
1. Procedure for disbarment (Rules of
Court, Rule 139-B):
A. Institution either by:
1. The Supreme Court, motu proprio;
2. The IBP, motu proprio; OR
3. Upon verified complaint by any
person.
B. Investigation by the National Grievance
investigators
C. Submission of investigative report to
the IBP Board of Governors
D. Board of Governors decides within 30
days
E. Investigation by the Solicitor-General
4. Six copies of the verified complaint
shall be filed with the Secretary of
the IBP or Secretary of any of its
chapter and shall be forwarded to the
IBP Board of Governors.
5.
SC renders final decision for
disbarment/suspension/ dismissal.
2. NATURE OF PROCEEDINGS
Desistance or withdrawal by the
complainant does not exonerate the
lawyer
Desistance or withdrawal of the
disbarment case does not exonerate the
lawyer (Ylaya v. Atty. Gacott, Adm. Case
No. 6475, January 30, 2013).A case of
suspension or disbarment may proceed
regardless of the interest or lack of
interest of the complainant (Quiachon v.
Atty. Ramos, A.C. No. 9317, June 4,
2014). Hence, if the evidence on record
warrants, the respondent may be
suspended or disbarred despite the
desistance of complainant or his
withdrawal of the charges (Rayos-Ombac
v. Rayos, 285 SCRA 93, January 28,
1998).
Neither will acquittal in or a dismissal of a
criminal case automatically results to the
dismissal of the administrative case
(Saludo Jr. v. CA, G.R. No. 121404, May
3, 2006).
Complainant need not suffer injury
The right to institute a disbarment
proceeding is not confined to clients nor is
it necessary that the person complaining
suffered injury from the alleged wrong
(Atty. Navarro v. Atty. Nemeses III, CBD
A.C. No. 313. January 30, 1998). This is
because disbarment proceedings are
matters of public interest (Id.).
The complainant need not be a real
party in interest
The requirement in ordinary civil actions
that only the real party-in-interest must
initiate the suit does not apply in
disbarment cases (Figueras v. Jimenez,
A.C. No. 9116, March 12, 2014). The
complainant in disbarment cases "is in no
sense a party, and generally has no
interest in the outcome"(Id.). Moreover,
the right to institute disbarment
proceedings is not confined to clients nor
is it necessary that the person
complaining suffered injury from the
alleged wrongdoing (Id.). From Q7 of
Blue Tips
3. Proceedings are confidential
General Rule: A disciplinary proceeding
against an attorney is confidential in
nature until its final determination (Murillo
v. Superable, Jr., 107 Phil. 322, March 23,
1960).
Exception: Waiver
3-Fold Purpose of confidentiality:
1. To enable the court to make its
investigation free from any
extraneous influence or
interference.
2. To protect the personal and
professional reputation of
attorneys from baseless charges
by disgruntled, vindictive, and
irresponsible persons or clients by
prohibiting the publication of such
charges pending final resolution.
3. To deter the press from publishing
the charges or proceedings based
thereon (Villalon v. Intermediate
Apprellate Court, G.R. No. 73751,
September 24, 1986).
Q: Atty. Quinsayas, together with
Esmael Mangudadatu, filed a
disbarment complaint against Atty.
Fortun for continuously delaying
the proceedings in the Ampatuan
massacre case. She distributed
copies of the disbarment complaint
to the media. While the disbarment
case was pending, Fortun filed a
petition for contempt against
Quinsayas and Mangudadatu, and
the different media personnel
involved, claiming that the latter
violated Rule 139-B of the Rules of
Court (confidential nature of
disbarment proceedings). Fortun
alleged that participating in media
interviews and publishing articles
concerning his actions in different
newspapers violated such rule.
A: Because of the public nature of
the Ampatuan massacre, the media
is not prohibited from making a fair,
true and accurate news report of
the disbarment proceedings. In the
absence of a legitimate public interest
in a disbarment complaint, members
of the media must preserve the
confidentiality of disbarment
proceedings during its pendency.
However, Atty. Quinsayas is guilty
of indirect contempt. As a lawyer
and an officer of the Court, Atty.
Quinsayas is familiar with the
confidential nature of disbarment
proceedings. However, instead of
preserving its confidentiality, Atty.
Quinsayas disseminated copies of the
disbarment complaint against Fortun
to members of the media which act
constitutes contempt of court. She
was ordered to pay a fine of 20,000
(Fortun v. Quisayas, G.R. No. 194578.
February 13, 2013).
4. When and how instituted
A complaint is initiated by filing the
complaint with the Secretary of the IBP or
the Secretary of any of its chapters who
shall forthwith transmit the same to the
IBP Board of Governors for assignment to
an investigator (ROC, Sec. 1).
However, if jointly impleaded with a judge,
justice of CA, CTA and Sandiganbayan,
the complaint with regard to the judges or
justices shall be forwarded to the
Supreme Court (Circular No. 3-89).
Initiation of disciplinary proceedings
by the Supreme Court
The Supreme Court may itself initiate
disciplinary proceedings against a lawyer
who has so conducted himself in a case
pending before it as to show blatant
disrespect to the Court, want of good
moral character or violation of his oath, by
issuing a showcase order (Zaldivar v.
Gonzales, 166 SCRA 316, 1988).
Where complaint initiated by the
Supreme Court is found to be prima
facie meritorious
Where a complaint initiated motu proprio
by the Supreme Court is found to be
prima facie meritorious, the latter may
then refer the same to the IBP Board of
Governors for appropriate action.
However, reference to the IBP is not
mandatory. The Supreme Court may refer
the complaint for investigation, report and
recommendation to the Solicitor General,
any officer of the court or judge of a lower
court, on the basis of which the Court will
have its final action (Bautista v. Gonzales,
182 SCRA 151, February 12, 1990).
5. Action on, and investigation of,
complaint
A complaint for disciplinary action must
allege specific facts which constitute
particular breaches or violations of law or
The Code of Professional Responsibility
or legal ethics.
The IBP national grievance investigator
or, if so required by the IBP Board of
Governors, a panel of 3 investigators, to
whom the complaint is assigned, will
ascertain whether said complaint is
meritorious.
1. If meritorious, the investigator
shall direct that a copy be served
to the respondent, requiring him to
answer within 15 days from the
date of service.
2. If unmeritorious, the same may
be dismissed by the Board upon
his recommendation. A copy of the
resolution shall be furnished to the
complainant and the Supreme
Court which may review the case
motu proprio or upon timely
appeal within 15 days from the
receipt of such order (Rule 139-B,
Secs. 2, 3 and 5, Rules of Court).
3.
If meritorious, the respondent must file
an answer.
The answer must be verified. The original
and 5 legible copies shall be filed with the
investigator, with proof of service of a
copy thereof on the complainant or his
counsel (Rule 139-B, Sec. 6, Rules of
Court), If the respondent does not file an
answer, the investigation shall proceed ex
parte. In any case, the investigation shall
be terminated within 3 months from the
date of the commencement, unless
extended for good cause by the Board of
Governors upon prior application (Rule
139-B, Sec. 8, Rules of Court).
6. Report of the investigator and
decision of the Board of Governors
Not later than 30 days from the
termination of the investigation, the
investigator shall submit a report
containing his findings of fact and
recommendations to the IBP Board of
Governors, together with the stenographic
notes and the transcript of the
investigation thereof, and all evidence
presented during the investigation. He
may recommend that the respondent be
exonerated of the charges, or
admonished, reprimanded, fined,
suspended from practice, or disbarred, as
the evidence may warrant (Rule 139-B,
Sec. 10, Rules of Court).
The IBP Board of Governors shall review
every case heard by an investigator upon
the record and evidence transmitted to it.
The decision of the Board shall be in
writing and shall clearly and distinctly
state the facts and the reasons on which
it is based (Rule 139-B, Sec. 12, Rules of
Court).
The IBP Board shall promulgate its
decision within a period not exceeding
30 days from the next meeting of the
Board following the submission of the
investigation report. If the decision of
the Board is suspension or disbarment, it
shall be transmitted to the Supreme Court
for final action. If the decision for
exoneration of the respondent or the
dismissal of the complaint, or the
imposition of disciplinary sanction is less
than suspension or disbarment, such as
admonition or reprimand, the Boards
decision becomes final unless upon
petition (petition for review) of the
complainant or other interested party filed
with the Supreme Court within 15 days
from notice of the Boards resolution, the
Supreme Court orders otherwise (Rule
139-B, Sec. 12, Rules of Court).
Once a petition for review is filed, the
Supreme Court shall decide the case
either by division or en banc, in
accordance with the following rules:
1. If the penalty of suspension is
imposed for a period of 1 year or less,
the resolution of the case shall be by
the division concerned; if the penalty
exceeds 1 year, the resolution shall
be by the court en banc.
2. If the penalty imposed is a fine of
P10, 000 or less, the resolution shall
be the Division concerned; resolution
will be the Court en banc if the
suspension exceeds one year or the
fine exceeds P10, 000.
3. In case both suspension and a fine
are involved, resolution shall be by
the Court en banc if the suspension
exceeds 1 year or the fine exceeds
P10, 000.
4. In case 2 or more suspensions of the
lawyer, service of the same shall be
successive, not simultaneous
(Investment and Management
Service Corp. v. Roxas, 256 SCRA
229, April 17, 1996).
5.
7. Proceedings in the Supreme Court
by other courts7
7 2. Acquittal of a lawyer of a crime upon
Note: Referral of cases to the
Solicitor General or to any officer of the
Supreme Court or Judge of the lower court.
In proceedings initiated motu proprio by
the Supreme Court or in other
proceedings when the interest of justice
so requires, the Supreme Court may refer
the case for investigation, report or
recommendation to the Solicitor General
or to any officer of the Supreme Court or
judge of the lower court (Rule 139-B, Sec.
13, Rules of Court).
Pending final resolution of the complaint
investigated by the IBP investigator or of
the proceeding initiated motu proprio by
the Supreme Court, the Supreme Court
upon proper recommendation may
suspend the respondent from the practice
of law until the suspension is lifted by the
Supreme Court (Rule 139-B, Sec. 15,
Rules of Court).The CA or RTC may
suspend an attorney after due notice and
opportunity to be heard, until further
action of the Supreme Court (Rule 139-B,
Sec. 16, Rules of Court).
8. Res ipsa loquitur
Where the facts of record sufficiently
provide the basis for the determination of
a lawyers administrative liability, he may
be disciplined or disbarred by the
Supreme Court without further inquiry or
investigation. A trial type hearing is not
necessary, as the lawyer has been fully
heard in his pleadings (Prudential Bank v.
Castro, 155 SCR 604, June 5, 1986).
9. Defenses, generally
When the integrity of a member of the bar
is challenged, it is not enough that he
denies the charges against him; he must
meet the issue and overcome the
evidence against him. He must show
proof that he still maintains that degree of
morality and integrity which at all times is
expected of him (Radjaie v. Alovera, 337
SCRA 244, August 4, 2000).
Defenses NOT available:
1. Estoppel
which the disbarment proceeding is
based (In re Del Rosario, 52 Phil.
399, December 7, 1928).
3. Pardon by the offended party
4. Restitution to the injured person
5. When both parties are in pari delicto
(Mortel v. Aspiras, 100 Phil. 586,
December 28, 1956).
6. Good faith, except when bad faith or
willfulness is an indispensable
element of the charge against the
lawyer (Rheem of the Philippines v.
Ferrer, 20 SCRA 441, June 26,
1967).
7. Double jeopardy There can be no
double jeopardy as he is not being
tried for same offense but for his
failure to abide his lawyers oath.
10. Executive pardon
EXECUTIVE PARDON defined as an
absolute pardon by the President is one
that operates to wipe out the conviction as
well as the offense itself, and the grant
thereof in favor of a lawyer is a bar to a
proceeding for disbarment against him
based solely on the commission of such
offense (In re Parcasio, 69 SCRA 336,
August 31, 1966).
However, an absolute pardon
subsequently granted to a lawyer who had
previously been disbarred for conviction of
a crime does not automatically entitle him
to reinstatement to the bar, because only
the Supreme Court can reinstate a
disbarred lawyer (In re Rovero, 101
SCRA 797, October 24, 1952).
Conditional Pardon not a bar
A conditional pardon or the remission of
the unexpired portion of the sentence
does not operate as a bar to the
disbarment proceeding (In re Lontoc, 43
Phil.293, April 7, 1922).
11. Desistance of the complainant
General Rule: Desistance of complainant
or his withdrawal of the charges against a
lawyer does not deprive the court of the
authority to proceed to determine the
matter.
Exception: When as a consequence of
the desistance, no evidence is adduced to
prove the charges (National Mines &
Allied Workers Union v. Real, 101 SCRA
609, November 16, 1993).
12. Presumption; burden of proof
Presumption of Innocence
In the absence of contrary proof, the
presumption is that the lawyer is innocent
of the charges and has performed his duty
as an officer of the court in accordance
with his oath (Acosta v. Serrano, 75
SCRA 254, February 28, 1977). The
burden of proof rests upon the
complainant to overcome the presumption
(Baldoman v. Luspo, 64 SCRA 74, May
19, 1975).
In disciplinary proceedings against
members of the bar, only clear
preponderance of evidence is required
to establish liability. As long as the
evidence presented by complainant or
that taken judicial notice of by the Court is
more convincing and worthy of belief than
that which is offered in opposition thereto,
the imposition of disciplinary sanction is
justified (Pimentel, Jr. v. Llorente, 339
SCRA 154, August 29, 2000).
13. Modifying Circumstances
The extent of disciplinary sanction which
the court may impose against an erring
lawyer may depend upon the attendance
of mitigating circumstances. Generally,
the presence of mitigating circumstances
may justify suspension instead of
disbarment (In re Tagorda, 53 Phil. 38,
March 23, 1929), and censure or
reprimand instead of suspension (Acuna
v. Dunca, 2 SCRA 289, May 31, 1961).
The inverse rule may apply where
aggravating circumstances are present
(Visayan Stevedore Transp. Co. v. CIR,
46 SCRA 831, September 30, 1977).
14. Judgment
The Supreme Court decides the
disciplinary action on the basis of the
evidence adduced during the investigation
conducted for the purpose. The court may
also take into account the report and
recommendation of the investigator.
But, with respect to decisions raised to the
SC from the CA or the RTC for review, the
Court may require that the whole of the
record of the case be forwarded to it (In re
Brilliantes, 76 SCRA 1, 1977).
General Rule: In disciplinary proceedings
against lawyers, the SC cannot order the
guilty lawyer to pay the amounts he owes
to the complaining party because the
Courts only concern is the determination
of administrative liability. The Courts
findings have no material bearing on other
judicial action which the parties may
choose to file against each other (The
Flight Shop, Inc. v. Barican, G.R. No.
9950, February 10, 2014).
Exception: When a lawyer receives
money from a client for a particular
purpose involving the client-attorney
relationship. In these cases, the lawyer is
bound to render an accounting to the
client showing that the money was spent
for that particular purpose. If the lawyer
does not use the money for the intended
purpose, he must return the money to his
client. Thus, in a 2014 disbarment case
where the lawyer received advances from
his client to defray the expenses
connected with a case he was handling,
and where the lawyer failed to account for
these sums, the SC directed the lawyer to
return the amounts given by his
client8(Navarro v. Solidum, A.C. No. 9872,
January 28, 2014).
15. Dismissal of the case
In the absence of convincing or clearly
preponderant evidence, the disbarment
case against the respondent should be
dismissed (Argona v. Cruz, 65 SCRA 550,
July 31, 1975).
Fulfillment of certain conditions
In dismissing a case against a lawyer, the
court may impose certain conditions if the
facts so warrant.
8 Note: In addition to imposing the penalty of
disbarment upon him.
Disciplinary sanctions, basic
considerations
While it is discretionary upon the court to
impose a particular sanction that it may
deem proper against an erring lawyer,
taking into account the attendant
aggravating or mitigating circumstances, it
should neither be arbitrary or despotic nor
motivated by personal animosity or
prejudice but should ever be controlled by
the independence of the bar and to exact
from the lawyer strict compliance with his
duties to the court, to his client, to his
brethren in the profession and to the
public (In re Almacen, 31 SCRA 562,
February 18, 1970).
16. Effects of suspension or
disbarment
A judgment of suspension or disbarment
is self-executory. A lawyer who has been
disbarred or one who has been
suspended from practice cannot practice
law without being held liable for contempt
of court. A judgment of suspensions or
disbarment is always subject to change or
modification by the court, regardless of
the period that has lapsed. The court may,
at any time when justice so warrants,
modify the penalty of disbarment to one of
suspension.
Even if the suspension is for a fixed
period, a lawyer must still seek leave from
the Supreme Court to resume law practice
(Maniago v. De Dios, A.C. No. 7472,
March 30, 2010).
D. Discipline of Filipino Lawyers
Who Practice in Foreign
Jurisdiction
Mere congeniality between a judge and a
governor may not necessarily be
unethical, but it may still create the
appearance of impropriety. The
relationship in this case was not
necessarily detrimental to judicial
independence, provided that there was no
showing that such relations were for
corrupt ends (Suspension of Clerk of
Court of Jacobo, 249 SCRA 119).
Judges should inspire public
confidence to the judiciary, since they
are visible representations of the law
and of justice (Arban v. Borja, A.M. No
R-281-RTJ).
The disbarment or suspension of a
member of the Philippine Bar by a
competent court or other disciplinary
agency in a foreign jurisdiction where
he has also been admitted as an
attorney is a ground for his disbarment
or suspension if the basis of such
action includes any of the acts
hereinabove enumerated (See
Grounds) (In Re: Suspension Atty.
Maquera, B.M. 793, July 30, 2004).
The judgment, resolution or order of
the foreign court or disciplinary
agency shall be prima facie evidence
of the ground for disbarment or
suspension (Id.).
IV. READMISSION TO
THE BAR
The Supreme Court has the exclusive
authority to reinstate a disbarred or
indefinitely suspended lawyer to the office
of attorney-at-law. It may reinstate him for
reasons and upon assurances satisfactory
to the court (In re Adriatico, 17 Phil. 324,
November 17, 1910).
REINSTATEMENT9 restoration of the
privilege to practice law to a disbarred
lawyer.
The power of the Supreme Court to
reinstate is based on its constitutional
prerogative to promulgate rules on the
admission of applicants to the practice of
law (Art. VIII, Sec. 5[5], 1987
Constitution).
The Supreme Court, in addition to the
required rehabilitation of the applicant for
reinstatement may require special
9 Note: In disbarment proceedings.
conditions to be fulfilled by the applicant.
Reinstatement to the roll of attorneys
wipes out the restrictions and disabilities
resulting from a previous disbarment (Cui
v. Cui, 11 SCRA 755, August 31, 1964).
To be reinstated, there is still a need
for the filing of an appropriate petition
with the Supreme Court (In Re:
Rovero, 101 SCRA 803).
The criterion for reinstatement has
been stated as follows:
1. Whether or not the applicant shall be
reinstated rests to a great extent in the
sound discretion of the court.
2.
2. The court action will depend, generally
speaking, on whether or not it decides
that the public interest in the orderly and
impartial administration of justice will be
conserved by the applicant's participation
therein in the capacity of an attorney and
counselor at law.
3. The applicant must, like a candidate for
admission to the bar, satisfy the court that
he is a person of good moral character
a fit and proper person to practice law.
4. The court will take into
consideration the applicant's character
and standing prior to the disbarment,
the nature and character of the charge
for which he was disbarred, his
conduct subsequent to the disbarment,
and the time that has elapsed between
the disbarment and the application for
reinstatement (In Re: Petition for
Reinstatement in the Roll of Attorneys,
Juan T, 22081, February 20, 1981;
Prudential Bank v. Grecia, 192 SCRA
381, December 18, 1990).
Guidelines for resolving requests for
Judicial Clemency (readmission to the
bar (Talens-Dabon v. Arceo, A.M. No.
RTJ-96-1336, November 20, 2012).
1. There must be proof of remorse
and reformation. These shall
 include but should not be limited to
certifications or testimonials of the
officer/s or chapter/s of the
Integrated Bar of the Philippines,
judges or judges associations and
prominent members of the
community with proven integrity
and probity. A subsequent finding of
guilt in an administrative case for
the same or similar misconduct will
give rise to a strong presumption of
non-reformation.
2. Sufficient time must have lapsed
from the imposition of the penalty to
ensure a period of reform.
3. The age of the person asking for
clemency must show that he still has
productive years ahead of him that can
be put to good use by giving him a
chance to redeem himself.
4. There must be a showing of promise
(such as intellectual aptitude, learning
or legal acumen or contribution to legal
scholarship and the development of the
legal system or administrative and
other relevant skills), as well as
potential for public service.
5. There must be other relevant factors
and circumstances that may justify
clemency
Moreover, to be reinstated to the practice
of law, the applicant must, like any other
candidate for admission to the bar, satisfy
the Court that he is a person of good
moral character (Macarubbo v.
Macarubbo, A.C. No. 6148, January 22,
2013).
A Filipino lawyer who became a citizen
of another country and later reacquired
Filipino citizenship under RA 9225
remains a member of the Philippine
Bar. However, the right to resume the
practice of law is not automatic. RA
9225 provides that a person
reacquiring Filipino citizenship, who
intends to practice law in the
Philippines, must apply with the Office
of the Bar Confidant for a license or
permit to engage in such practice (In
Re: Petition to Re-acquire the Privilege
to Practice Law in the Philippines, BM
No. 2112, 2012).
v. Mandatory Continuing
Legal Education
TOPICS UNDER SYLLABUS
V. Mandatory Continuing Legal Education
A. Purpose
B. Requirements
C. Compliance
D. Exemptions
E. Sanctions
F. Bar Matter 2012, Rule on Mandatory
Legal Aid Service
A. PURPOSE
To ensure that throughout their career,
lawyers will keep abreast of the law and
jurisprudence, maintain the ethics of the
profession and enhance the standards of
the practice of law. (B.M. 850, Rule 1,
Sec. 1).
B. REQUIREMENTS
Who are required to comply?
All members of the Integrated Bar of the
Philippines, from 3rd year of membership
onwards.
C. COMPLIANCE
Requirements of Completion of MCLE:
Shall complete every 3 years at least 36
hours of continuing legal education
activities. The 36 hours shall be divided
as follows:
a. 2 hours International law and
international conventions
b. 4 hours Legal writing and oral
advocacy
c. 4 hours Trial and pretrial skills
d. 5 hours Alternative dispute
resolution
e. 6 hours Legal ethics
f. 9 hours Updates on substantive
and procedural laws and
jurisprudence
g. Remaining 6 hours Such other
subjects as may be prescribed by
 the Committee on MCLE (B.M.
850, Rule 1, Sec. 2).
Compliance Period:
The initial compliance period shall begin
not later than 3 months from the adoption
of the IBP of the Rules.10
Compliance Groups shall
Designated:
1. Compliance Group 1 Members in
the NCR (Metro Manila)
2. Compliance Group 2 Members in
Luzon
3. Compliance Group 3 Members in
Visayas and Mindanao (B.M. 850,
Rule 3, Sec. 2).11
4.
Credit Units:
For every class of credit, a corresponding
number of credit units shall be assigned.
Classes of Credits:
a. Participatory Credit
b. Attending approved education
activities like seminars,
conventions, symposia, and the
like;
c. Speaking or lecturing, or assigned
as panelist, reactor,
commentator, etc. in approved
education activities;
d. Teaching in law school or lecturing
in bar review classes (B.M. 850,
Rule 5, Sec. 2).
e. Non-participatory
f. Preparing, as author or co-author,
written materials (e.g. article, book
or book review) which contribute
to the legal education of the
author member, which were not
prepared in the ordinary course of
his practice or employment;
g. Editing a law book, law journal or
legal newsletter (B.M. 850, Rule
5, Sec. 3).
10 Note: B.M. 850 was adopted on August
22, 2000 and took effect on September 15,
2000.
11 Members may participate in any legal
education activity wherever it may be available
to earn credit unit.
h.
D. EXEMPTIONS
Parties EXEMPTED from the MCLE:
a. The President, Vice-President
and the Secretaries and
Undersecretaries of Executive
be Departments;
b. Senators and Members of the
House of Representatives;
c. The Chief Justice and Associate
Justices of the Supreme Court,
incumbent and retired Justices
and Judges, 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 Dept. of Justice;
e. The Solicitor General and the
Assistant Solicitor General;
f. The Government Corporate
Counsel, Deputy and Assistant
Government Corporate Counsel;
g. The Chairman and Members of
the Constitutional Commissions;
or h. The Ombudsman, the Overall
Deputy Ombudsman, the Deputy
Ombudsmen and the Special
Prosecutor of the Office of the
Ombudsman;
i. Heads of government agencies
exercising quasi-judicial functions;
j. Incumbent deans, bar reviewers
and professors of law who have
teaching experience for at least 10
years in accredited law schools;
k. The Chancellor, Vice-Chancellor
and members of the Corps of
Professional and Professorial
Lecturers of the Philippine Judicial
Academy; AND
l. Governors and Mayors.
m.
Other Parties Exempted: (NR)
a. Those who are not in law practice,
private or public; AND
 b. Those who have retired from law
practice with the approval of the
IBP Board of Governors.
c.
A member may file a verified request
setting forth good cause for exemption
(such as physical disability, illness,
post-graduate study abroad, proven
expertise in law, etc.) from compliance
with or modification of any of the
requirements, including an extension
of time for compliance, in accordance
with procedure to be established by
the Committee on MCLE.
Proof of Exemption:
Applications for exemption from or
modification of the MCLE requirement
shall be:
a. Under oath; and
b. Supported by documents.
E. SANCTIONS
Non-Compliance Procedures:
What constitutes non-compliance:
a. Failure to complete education
requirement within the compliance
period;
b. Failure to provide attestation of
compliance or exemption;
c. Failure to provide satisfactory
evidence of compliance (including
evidence of exempt status) within
the prescribed period;
d. Failure to satisfy the education
requirement and furnish evidence
of such compliance within 60 days
from receipt of non-compliance
notice;
e. Failure to pay non-compliance fee
within the prescribed period; OR
f. Any other act or omission
analogous to any of the foregoing
or intended to circumvent or
evade compliance with the MCLE
requirements.
Members failing to comply will:
a. Receive a Non-Compliance Notice
stating the specific deficiency;
AND
b. Be given 60 days from date of
notification to file a RESPONSE.
c.
Consequences of Non-Compliance:
1. LISTED AS DELINQUENT MEMBER BY
THE IBP BOARD OF GOVERNORS
UPON RECOMMENDATION OF THE
COMMITTEE ON MCLE; AND
2. The listing as a delinquent
member is administrative in nature
but shall be made with notice and
hearing by the Committee on
MCLE.
3. The lawyer will be subject to
penalties and disciplinary
sanctions;
4. The lawyer will be fined P2,000.00
for the first offense, P3,000.00 for
the second offense and P4,000.00
for the third offense;
5. The lawyer may be listed as a
delinquent member of the Bar;
and
6. The non-compliant lawyer shall be
discharged from the case and the
client/s shall be allowed to secure
the services of a new counsel with
the concomitant right to demand
the return of fees already paid to
the non-compliant lawyer.
7. Note that the failure to indicate the
MCLE Certificate of Compliance
or Certificate of Exemption in
pleadings will no longer cause the
dismissal of the case or the
expunction of pleadings from the
records (OCA CIRCULAR NO. 79-
14, 2014).
From Q22 of Blue Tips
8.
Committee on Mandatory Continuing
Legal Education:
1. Composition:
a. Retired Justice of the SC
Chairman, nominated by the Supreme
Court
b. IBP National President Vice-
Chair
c. 3 other members Nominated by
the Philippine Judicial Academy, UP Law
Center and Association of Law
Professors, respectively.
 2. Members are of proven probity
and integrity.
3. Compensation as may be
determined by the SC.
4. The initial terms of each of the 3
members shall be 5, 4 and 3 years
respectively.
5.
F. BAR MATTER 2012, RULE ON
MANDATORY LEGAL AID SERVICE
(status: compliance is still suspended)
i. Purpose
To enhance the duty of lawyers to
society as agents of social change and
to the courts by helping improve
access to justice by the less privileged
members of society and expedite
resolution of cases involving them
ii. Scope
a. Covers the mandatory
requirement for practicing lawyers
to render free legal aid services in
all cases (civil, criminal or
administrative) involving indigent
and pauper litigants
b. Governs the duty of other
members of the legal profession to
support the legal aid program of
the IBP
iii. Definitions
7. Practicing lawyers members
of the Philippine Bar who
appear for and in behalf of
parties in courts of law and
quasi-judicial agencies. The
term excludes the following:
(SLNG)
i. Government employees and
incumbent elective officials not allowed by
law to practice (Section 4[a][i]).
ii. Lawyers who by law are not
allowed to appear in court (Id.)
iii. Supervising lawyers of students
enrolled in law student practice in duly
accredited legal clinics of law schools and
lawyers of non-governmental
organizations (NGOs) and peoples
organizations (POs) like the Free Legal
Assistance Group who by the nature of
their work already render free legal aid to
indigent and pauper litigants (Id.)
iv. Lawyers not covered under
subparagraphs (i) to (iii) including those
who are employed in the private sector
but do not appear for and in behalf of
parties in courts of law and quasi-judicial
agencies (Section 4[a][v]).
8. Indigent and pauper litigants
Rule 141, Section 19 of the Rules
of Court
9. Legal aid cases actions,
disputes, and controversies that
are criminal, civil and
administrative in nature in
whatever stage where indigent
and pauper litigants need legal
representation
10. Free legal aid services
appearance in court or quasi-
judicial body for and in behalf of
an indigent or pauper litigant and
the preparation of pleadings or
motions. It also covers assistance
by a practicing lawyer to indigent
or poor litigants in court-annexed
mediation and in other modes of
alternative dispute resolution.
Services rendered when a
practicing lawyer is appointed
counsel de oficio shall also be
considered as free legal aid
services and credited.
11. National Committee on Legal Aid
(NCLA) the committee of the
IBP which is specifically tasked
with handling legal aid cases
12. Clerk of Court the Clerk of Court
of the court where the practicing
lawyer rendered free legal aid
services. In the case of quasi-
judicial bodies, it refers to an
officer holding an equivalent or
similar position. The term shall
also include an officer holding a
similar position in agencies
exercising quasi-judicial functions,
or a responsible officer of an
accredited PO or NGO, or an
accredited mediator who
conducted the court-annexed
mediation proceeding.
13.
iv. Requirements
i. Every practicing lawyer is required
to render a minimum of 60 hours
of free legal aid services to
indigent litigants in a year. Said 60
hours shall be spread within a
period of twelve (12) months, with
a minimum of five (5) hours of free
legal aid services each month.
However, where it is necessary for
the practicing lawyer to render
legal aid service for more than five
(5) hours in one month, the
excess hours may be credited to
the said lawyer for the succeeding
periods.
ii. A practicing lawyer shall
coordinate with the Clerk of
Court/IBP Legal Aid Chairperson
of the IBP Chapter for cases
where he may render free legal
aid service.
iii. The practicing lawyer shall report
compliance with the requirement
within ten (10) days of the last
month of each quarter of the year.
iv. A practicing lawyer shall be
required to secure and obtain a
certificate from the Clerk of Court
attesting to the number of hours
spent rendering free legal aid
services in a case. The certificate
shall contain the following
information:
a. The case or cases where the
legal aid service was
rendered, the party or parties
in the said case/s for whom
the service was rendered, the
docket number of the said
case/s and the date/s the
service was rendered.
b. The number of hours actually
spent attending a hearing or
conducting trial on a the dismissal of the case and the
particular case in the court or
quasi-judicial body.
c. The number of hours actually
spent attending mediation,
conciliation or any other
mode of ADR on a particular
case.
d. A motion (except a motion for
extension of time to file a
pleading or for postponement
of hearing or conference) or
pleading filed on a particular
case shall be considered as
one (1) hour of service.
v. The Clerk of Court shall issue the
certificate in triplicate, one (1)
copy to be retained by the
practicing lawyer, one (1) copy to
be retained by the Clerk of Court
and one (1) copy to be attached to
the lawyers compliance report.
vi. The compliance report shall be
submitted to the Legal Aid
Chairperson of the IBP Chapter
within the courts jurisdiction. The
Legal Aid Chairperson shall then
be tasked with immediately
verifying the contents of the
certificate with the issuing Clerk of
Court by comparing the copy of
the certificate attached to the
compliance report with the copy
retained by the Clerk of Court.
vii. The IBP Chapter shall, after
verification, issue a compliance
certificate to the concerned
lawyer. The IBP Chapter shall also
submit the compliance reports to
the IBPs NCLA for recording and
documentation. The submission
shall be made within forty-five (45)
days after the mandatory
submission of compliance reports
by the practicing lawyers.
viii. Practicing lawyers shall indicate in
all pleadings filed before the
courts or quasi-judicial bodies the
number and date of issue of their
certificate of compliance for the
immediately preceding compliance
period. Failure to disclose the
required information would cause
expunction of the pleadings from
the records. (Section 5[e])
ix. Before the end of a particular
years, lawyers covered by the
category under Section 4(a)(i) and
(ii), shall fill up a form prepared by
the NCLA which states that, during
that year, they are employed with
the government or incumbent
elective officials not allowed by
 law to practice or lawyers who by
law are not allowed to appear in
court. The form shall be sworn to
and submitted to the IBP Chapter
or IBP National Office together
with the payment of an annual
contribution of Two Thousand
Pesos (P2,000). Said contribution
shall accrue to a special fund of
the IBP for the support of its legal
aid program.
x. Before the end of a particular year,
lawyers covered by the category
under Section 4(a)(iii) shall secure
a certification from the director of
the legal clinic or of the concerned
NGO or PO to the effect that,
during that year, they have served
as supervising lawyers in a legal
clinic or actively participated in the
NGOs or POs free legal aid
activities. The certification shall be
submitted to the IBP Chapter or
IBP National Office. (Section 5(g))
xi. Before the end of a particular year,
lawyers covered by the category
under Section 4(a)(iv) shall fill up
a form prepared by the NCLA
which states that, during that year,
they are neither practicing lawyers
nor covered by Section (4)(a)(i) to
(iii). The form shall be sworn to
and submitted to the IBP Chapter
or IBP National Office together
with the payment of an annual
contribution of Four Thousand
Pesos (P4,000) by way of support
for the efforts of practicing lawyers
who render mandatory free legal
aid services. Said contribution
shall accrue to a special fund of
the IBP for the support of its legal
aid program.
xii. Failure to pay the annual
contribution shall subject the
lawyer to a penalty of Two
Thousand Pesos (P2,000) for that
year which amount shall also
accrue to the special fund for the
legal aid program of the IBP.
xiii.
v. The NCLA
a. Shall coordinate with the various
legal aid committees of the IBP
local chapters for the proper
handling and accounting of legal
aid cases which practicing lawyers
can represent
b. Shall monitor the activities of the
Chapter of the Legal Aid Office
with respect to the coordination
with Clerks of Court on legal aid
cases and the collation of
certificates submitted by practicing
lawyers.
c. Shall act as the national repository
of records in compliance with this
Rule
d. Shall prepare the following forms:
certificate to be issued by the
Clerk of Court and forms
mentioned in Section 5(e) and (g).
e. Shall hold in trust, manage and
utilize the contributions and
penalties that will be paid by
lawyers pursuant to this Rule to
effectively carry out the provisions
of this Rule. For this purpose, it
shall annually submit an
accounting to the IBP Board of
Governors. The accounting shall
be included by the IBP in its report
to the Supreme Court in
connection with its request for the
release of the subsidy for its legal
aid program.
vii. Penalties
i. At the end of every calendar year,
any practicing lawyer who fails to
meet the minimum prescribed 60
hours of legal aid service each
year shall be required by the IBP,
through the NCLA, to explain why
he was unable to render the
minimum prescribed number of
hours.
i. If no explanation has been
given or if the NCLA finds the
explanation unsatisfactory,
the NCLA shall make a report
and recommendation to the
IBP Board of Governors that
the erring lawyer be declared
a member of the IBP who is
not in good standing. Upon
approval of the NCLAs
recommendation, the IBP
Board of Governors shall
 declare the erring lawyer as a
member not in good
standing. Notice thereof shall
be furnished the erring lawyer
and the IBP Chapter which
submitted the lawyers
compliance report or the IBP
Chapter where the lawyer is
registered, in case he did not
submit a compliance report.
The notice to the lawyer shall
include a directive to pay
P4,000 penalty which shall
accrue to the special fund for
the legal aid program of the
IBP.
ii. The not in good standing
declaration shall be effective for a
period of 3 months from the
receipt of the erring lawyer of the
notice from the IBP Board of
Governors.
iii. During the said period, the lawyer
cannot appear in court or any
quasi-judicial body as counsel.
Provided, however, that the not
in good standing status shall
subsist even after the lapse of the
three-month period until and
unless the penalty shall have been
paid.
iv.
v. Any lawyer who fails to comply
with his duties under this Rule for
at least 3 consecutive years shall
be the subject of disciplinary
proceedings to be instituted motu
proprio by the CBD. The said
proceedings shall afford the erring
lawyer due process in accordance
with the rules of the CBD and Rule
139-B of the Rules of Court. If
found administratively liable, the
penalty of suspension in the
practice of law for 1 year shall be
imposed upon him.
vi. Any lawyer who falsifies a
certificate or any form required to
be submitted under this Rule or
any contents thereof shall be
administratively charged with
falsification and dishonesty and
shall be subject to disciplinary
action by the CBD. This is without
prejudice to the filing of criminal
charges against the lawyer.
vii. The falsification of a certificate or
any contents thereof by any Clerk
of Court or by any Chairperson of
the Legal Aid Committee of the
IBP local chapter where the case
is pending or by the Director of a
legal clinic or responsible officer of
an NGO or PO shall be a ground
for an administrative case against
the said Clerk of Court or
Chairperson. This is without
prejudice to the filing of the
criminal and administrative
charges against the malfeasor.
viii.
vii. Credit for MCLE
i. A lawyer who renders mandatory
legal aid service for the required
number of hours in a year for the
three year-period covered by a
compliance period shall be
credited the following:
i. 2 credit units for legal ethics
ii. 2 credit units for trial and
pretrial skills
iii. 2 credit units for alternative
dispute resolution
iv. 4 credit units for legal writing
and oral advocacy
v. 4 credit units for substantive
and procedural laws and
jurisprudence
vi. 6 credit units for such
subjects as may be
prescribed by the MCLE
Committee under Section
2(g), Rule 2 of the Rules on
MCLE
ii. A lawyer who renders mandatory
legal aid service for the required
number of hours in a year for at
least two consecutive years within
the three year-period covered by a
compliance period under the
Rules on MCLE shall be credited
the following:
iii. 1 credit unit for legal ethics;
iv. 1 credit unit for trial and pretrial
skills
 v. 1 credit unit for alternative dispute
resolution
vi. 2 credit units for legal writing and
oral advocacy
vii. 2 credit units for substantive and
procedural laws and jurisprudence
viii. 3 credit units for such subjects as
may be prescribed by the MCLE
Committee under Section 2(g),
Rule 2 of the Rules on MCLE.
ix.
END OF TOPIC
VI. notarial practice
(read: the 2004 rules on
notarial practice (the
2004 notarial rules),
a.m. no. 02-8-13-supreme
court, as amended)
SYLLABUS TOPICS
VI. Notarial Practice
A. Qualifications of notary public
B. Term of office of notary public
C. Powers and limitations
D. Notarial register
E. Jurisdiction of notary public and place
of notarization
F. Revocation of commission
G. Competent evidence of identity
H. Sanctions
A. Qualifications
A. Filipino citizen
B. Over twenty-one (21) years of
age
C. A resident in the Philippines for at
least one (1) year and maintains
a regular place of work or
business in the city or province
where the commission is to be
issued
D. A member of the Philippine Bar in
good standing with clearances
from the Office of the Bar
Confidant of the Supreme Court
and the Integrated Bar of the
Philippines
E. Must not have been convicted in
the first instance of any crime
involving moral turpitude (Rule III
Section 1).12
12 Notes: Move this to the body of the
reviewer.
1. The one-year requirement
refers to the requirement of residency in
the Philippines. It does not refer to the
requirement that the applicant must
maintain a regular place of work or
business in the city or province where the
notarial commission is to be issued. (S)
Q: Mr. X has resided in Quezon
City for 27 years. Mr. X passed the 2014
Bar Exams, signed the Roll of
Attorneys, and joined a law firm in
Makati City. Four months after joining
the Makati law firm, Mr. X applied for
the issuance of a notarial commission
in Makati City. May Mr. Xs application
be granted?
A: Yes. Mr. X has been a resident
of the Philippines for more than one year.
Mr. X also maintains a regular place of
work or business in Makati City, where he
has applied for the issuance of a notarial
commission.
2. A person may not be
commissioned as a notary public unless
he/she maintains a regular place of work
or business in the city or municipality
where the commission is to be issued.
Regular place of work or business
means a stationary office in the city or
province wherein the notary public
renders legal and notarial services (Rule
II, Section 11).
3. A person may not be
commissioned as a notary public if he/she
has been convicted in the first instance
of a crime involving moral turpitude.
4. Steps in applying for a
notarial commission/issuing a notarial
commission
a. File a verified petition with
the Executive Judge of the city or
province where your regular
place of work or business is
B. TERM OF OFFICE OF NOTARY
located (Rule III, Section 1). The
verified petition must include:
i. A statement containing the
petitioners personal
qualifications, including the
petitioners date of birth,
residence, telephone
number, professional tax
receipt, roll of attorney's
number and IBP
membership number;
ii. Certifications of good moral
character of the petitioner by
at least two (2) executive
officers of the local chapter
of the Integrated Bar of the
Philippines where he is
applying for commission;
iii. Proof of payment for the
filing of the petition as
required by these Rules; and
iv. Three (3) passport-size
color photographs with light
background taken within
thirty (30) days of the
application. The photograph
should not be retouched.
The petitioner shall sign his
name at the bottom part of
the photographs (Rule III,
Section 2).
b. The Executive Judge will
issue a notice of summary
hearing. The notice will be
published in a in a newspaper of
general circulation in the city or
province where the hearing shall
be conducted, and posted in a
conspicuous place in the offices
of the Executive Judge and of the
Clerk of Court. The cost of the
publication shall be borne by the
petitioner (Rule III, Section 5).
c. Any person who has any
cause or reason to object to the
grant of the petition may file a
verified written opposition thereto.
The opposition must be received
by the Executive Judge before
the date of the summary hearing
(Rule III, Section 6).
d. The Executive Judge shall
conduct a summary hearing on
the petition and shall grant the
same if:
i. the petition is sufficient in
form and substance;
ii. the petitioner proves the
allegations contained in the
petition; and
iii. the petitioner establishes to
the satisfaction of the
Executive Judge that he has
read and fully understood
(The 2004 Notarial Rules).
The Executive Judge shall
forthwith issue a commission and a
Certificate of Authorization to Purchase a
Notarial Seal in favor of the petitioner
(Rule III, Section 4).
5. A commission (i.e., the
notarial commission) refers to the grant of
authority to perform notarial acts and to
the written evidence of the authority (Rule
II, Section 3).
6. An official seal or seal (i.e.,
the notarial seal) refers to a device for
affixing a mark, image or impression on all
papers officially signed by the notary
public conforming to the requisites
prescribed by the 2004 Notarial Rules
(Rule II, Section 13).
The official seal shall be of metal,
circular in shape, two inches in diameter,
and shall have the name of the city or
province and the word "Philippines" and
his own name on the margin and the roll
of attorney's number on the face thereof,
with the words "notary public" across the
center. A mark, image or impression of
such seal shall be made directly on the
paper or parchment on which the writing
appears [Rule VII, Section 2(a)].
The notary public shall affix a
single, clear, legible, permanent, and
photographically reproducible mark,
image or impression of the official seal
beside his signature on the notarial
certificate of a paper instrument or
PUBLIC
document (Rule VII, Section 3).
1. The Certificate of
Authorization to Purchase a
Notarial Seal is valid for a period
of three (3) months from date of
issue, unless extended by the
Executive Judge (Rule III,
Section 8).
2. A vendor refers to a
seller of a notarial seal and
includes a wholesaler or retailer
(Rule II, Section 19). On the
other hand, a manufacturer
refers to one who produces a
notarial seal and includes an
engraver and seal maker (Rule II,
Section 20). A manufacturer may
at the same time be a vendor
[Rule VII, Section 4(b)].
3. A vendor or manufacturer
of notarial seals may not sell said
product without a written
authorization from the Executive
Judge [Rule VII Section 4(a)].
The authorization shall be in
effect for a period of four (4)
years from the date of its
issuance and may be renewed by
the Executive Judge for a similar
period upon payment of the
authorization fee by the vendor
(P4, 000.00) or manufacturer (P8,
000.00) [Rule VII, Section 4(b)
and (c)].
4. A vendor or manufacturer
shall not sell a seal to a buyer
except upon submission of a
certified copy of the commission
and the Certificate of
Authorization to Purchase a
Notarial Seal issued by the
Executive Judge [Rule VII,
Section 4(d)].
5. Only one seal may be sold
by a vendor or manufacturer for
each Certificate of Authorization
to Purchase a Notarial Seal [Rule
VII, Section 4(e)].
6. After the sale, the vendor
or manufacturer shall affix a
mark, image or impression of the
seal to the Certificate of
Authorization to Purchase a
Notarial Seal and submit the
completed Certificate to the
Executive Judge. Copies of the
Certificate of Authorization to
Purchase a Notarial Seal and the
buyer's commission shall be kept
in the files of the vendor or
manufacturer for four (4) years
after the sale [Rule VII, Section
4(f)].
7. A mark, image or
impression of the seal that may
be purchased by the notary public
pursuant to the Certificate of
Authorization to Purchase a
Notarial Seal shall be presented
to the Executive Judge for
approval prior to use (Rule III,
Section 8).
8. Within 5 days after the
official seal of a notary public is
stolen, lost, damaged or other
otherwise rendered
unserviceable in affixing a
legible image, the notary public,
after informing the appropriate
law enforcement agency, shall
notify the Executive Judge in
writing, providing proper receipt
or acknowledgment, including
registered mail, and in the event
of a crime committed, provide a
copy or entry number of the
appropriate police record. Upon
receipt of such notice, if found in
order by the Executive Judge, the
latter shall order the notary public
to cause notice of such loss or
damage to be published, once a
week for 3 consecutive weeks, in
a newspaper of general
circulation in the city or province
where the notary public is
commissioned. Thereafter, the
Executive Judge shall issue to
the notary public a new
Certificate of Authorization to
Purchase a Notarial Seal [Rule
VII, Section 2(d)].
In the event that the missing, lost
or damaged seal is later found
or surrendered, it shall be
delivered by the notary public to

the Executive Judge to be
disposed of as provided above.
Failure to effect such surrender
shall constitute contempt of court
[Rule VII Section 2(e)].
i. Within five (5) days after the
death or resignation of the notary
public, or the revocation or
expiration of a notarial commission,
the official seal shall be surrendered to
the Executive Judge and shall be
destroyed or defaced in public during
office hours. In the event of death of
the notary public, the person in
possession of the official seal shall
have the duty to surrender it to the
Executive Judge [Rule VII Section
2(e)].
7. Power of the Municipal Trial
Court Judges and Municipal Circuit
Trial Court Judges to Act as Notaries
Public Ex Officio
GENERAL RULE: MTC and
MCTC judges may act as notaries public
ex officio in the notarization of documents
connected only with the exercise of
their official functions and duties. They
may not, as notaries public ex officio,
undertake the preparation and
acknowledgment of private documents,
contracts and other acts of conveyances
which bear no direct relation to the
performance of their functions as judges.
The 1989 Code of Judicial Conduct not
only enjoins judges to regulate their extra-
judicial activities in order to minimize the
risk of conflict with their judicial duties, but
also prohibits them from engaging in the
private practice of law (Circular No. 1-90
February 26, 1990).
EXCEPTION: However, the
Supreme Court, taking judicial notice of
the fact that there are still municipalities
which have neither lawyers nor notaries
public, has ruled that MTC and MCTC
judges assigned to municipalities or
circuits with no lawyers or notaries public
may, in the capacity as notaries public ex
officio, perform any act within the
F.
competency of a regular notary public,
provided that:
a. All notarial fees charged
be for the account of the
Government and turned over to
the municipal treasurer; and
b. A certification be made in
the notarized documents
attesting to the lack of any lawyer
or notary public in such
municipality or circuit (Supreme
Court Circular No. 1-90, dated
February 26, 1990).
A judge cannot execute an
affidavit of cohabitation. Affidavits of
cohabitation are documents not
connected with the judge's official function
and duty to solemnize marriages.
Notarizing affidavits of cohabitation is
inconsistent with the duty to examine the
parties' requirements for marriage. If the
solemnizing officer notarized the affidavit
of cohabitation, he cannot objectively
examine and review the affidavit's
statements before performing the
marriage ceremony. Should there be any
irregularity or false statements in the
affidavit of cohabitation he notarized, he
cannot be expected to admit that he
solemnized the marriage despite the
irregularity or false allegation. Thus,
judges cannot notarize the affidavits of
cohabitation of the parties whose
marriage they will solemnize. Affidavits of
cohabitation are documents not
connected with their official function and
duty to solemnize marriages (Tupal v.
Rojo, A.M. No. MTJ-14-1842, February
24, 2014).
A judge is also required to have
the parties present a competent evidence
of identity. That the parties appeared
before him and that he interviewed them
do not make the parties personally known
to him. To personally know the parties, the
notary public must at least be acquainted
with them. Interviewing the contracting
parties does not make the parties
personally known to the notary public
(Id.).
1. Term of office
2.
A notary public may perform notarial acts
for a period of 2 years commencing the
first day of January of the year in which
the commissioning is made, unless earlier
revoked or the notary public has resigned
under these Rules and the Rules of Court
(Rule III, Section 11).
(a) Missing, Lost or Damaged seal
After informing the appropriate law
enforcement agency, shall notify the
Executive Judge in writing, providing
proper receipt or acknowledgment,
including registered mail, and in the event
of a crime committed, provide a copy or
entry number of the appropriate police
record. Upon receipt of such notice, if
found in order by the Executive Judge, the
latter shall order the notary public to
cause notice of such loss or damage to be
published, once a week for 3 consecutive
weeks, in a newspaper of general
circulation in the city or province where
the notary public is commissioned.
Thereafter, the Executive Judge shall
issue to the notary public a new
Certificate of Authorization to
Purchase a Notarial Seal. (Rule VII
Section [(d]).
In the event that the missing, lost or
damaged seal is later found or
surrendered, it shall be delivered by the
notary public to the Executive Judge to be
disposed of as provided above. Failure to
effect such surrender shall constitute
contempt of court. (Rule VII Section 2[e].)
(b) Death, Resignation, Revocation or
Expiration
Within five (5) days after the death or
resignation of the notary public, or the
revocation or expiration of a notarial
commission, the official seal shall be
surrendered to the Executive Judge and
shall be destroyed or defaced in public
during office hours. In the event of death
of the notary public, the person in
possession of the official seal shall have
the duty to surrender it to the Executive
Judge. (Rule VII Section 2[e].)
(c) Power of the Municipal Trial Court
Judges and Municipal Circuit Trial
Court Judges to Act as Notaries Public
Ex Officio
General Rule: MTC and MCTC judges
may act as notaries public ex officio in the
notarization of documents connected
only with the exercise of their official
functions and duties. They may not, as
notaries public ex officio, undertake the
preparation and acknowledgment of
private documents, contracts and other
acts of conveyances which bear no direct
relation to the performance of their
functions as judges. The 1989 Code of
Judicial Conduct not only enjoins judges
to regulate their extra-judicial activities in
order to minimize the risk of conflict with
their judicial duties, but also prohibits
them from engaging in the private practice
of law. (OCA Circular No. 1-90, dated
February 26, 1990).
Exception: However, the Supreme Court,
taking judicial notice of the fact that there
are still municipalities which have neither
lawyers nor notaries public, has ruled that
MTC and MCTC judges assigned to
municipalities or circuits with no lawyers
or notaries public may, in the capacity as
notaries public ex officio, perform any act
within the competency of a regular notary
public, provided that:
a. all notarial fees charged be
for the account of the
Government and turned over to
the municipal treasurer; and
b. a certification be made in the
notarized documents attesting
to the lack of any lawyer or notary
public in such municipality or
circuit.(Supreme Court Circular
No. 1-90, February 26, 1990.)
A judge cannot execute an affidavit of
cohabitation. Affidavits of cohabitation are
documents not connected with the judge's
official function and duty to solemnize
marriages. Notarizing affidavits of
cohabitation is inconsistent with the duty
to examine the parties' requirements for
marriage. If the solemnizing officer
notarized the affidavit of cohabitation, he
cannot objectively examine and review
the affidavit's statements before
performing the marriage ceremony.
Should there be any irregularity or false
statements in the affidavit of cohabitation
he notarized, he cannot be expected to
admit that he solemnized the marriage
despite the irregularity or false allegation.
Thus, judges cannot notarize the affidavits
of cohabitation of the parties whose
marriage they will solemnize. Affidavits of
cohabitation are documents not
connected with their official function and
duty to solemnize marriages. (Tupal v.
Rojo, A.M. No. MTJ-14-1842, February
24, 2014.)
c.
A judge is also required to have the
parties present a competent evidence of
identity. That the parties appeared before
him and that he interviewed them do not
make the parties personally known to him.
To personally know the parties, the notary
public must at least be acquainted with
them. Interviewing the contracting parties
does not make the parties personally
known to the notary public. (Id.)
2. Renewal of Notarial Commission
3.
A notarial commission may be renewed by
filing a written application with the
Executive Judge within 45 days before
the expiration thereof. A mark, image or
impression of the seal of the notary public
shall be attached to the application.
Failure to file said application will result in
the deletion of the name of the notary
public in the register of notaries public.
The notary public thus removed from the
Register of Notaries Public may only be
reinstated therein after he is issued a new
commission in accordance with these
Rules. (Rule III Section 13).
The Executive Judge shall act on an
application for the renewal of a
commission within 30 days from receipt
thereof. If the application is denied, the
Executive Judge shall state the reasons
therefor. (Rule III Section 14).
C. POWERS AND LIMITATIONS
a. Powers
A notary public has the power to perform
the following notarial acts:
b.
a. Acknowledgments;13
b. Oaths and affirmations;14
c. Jurats;15
13 Note: An acknowledgment refers to an
act in which an individual on a single
occasion:
a. appears in person before the
notary public and presents an
integrally complete instrument or
document;
b. is attested to be personally
known to the notary public or
identified by the notary public through
competent evidence of identity as
defined by [the 2004 Notarial Rules];
and
c. represents to the notary
public that the signature on the
instrument or document was
voluntarily affixed by him for the
purposes stated in the instrument or
document, declares that he has
executed the instrument or document
as his free and voluntary act and
deed, and, if he acts in a particular
representative capacity, that he has
the authority to sign in that capacity.
(Rule II Section 1).
A sample acknowledgment is
attached as Annex 1.
14Note: An oath or affirmation refers to
an act in which an individual on a single
occasion:
a. appears in person before the
notary public;
b. is personally known to the
notary public or identified by the
notary public through competent
evidence of identity as defined by the
2004 Notarial Rules; and
avows under penalty of law to the
whole truth of the contents of the instrument or
document. (Rule II Section 2).
15Note: A jurat refers to an act in which an
individual on a single occasion:
 d. Signature witnessings16;
e. Copy certifications17; and
f. Any other act authorized by
the 2004 Notarial Rules.18
(Rule IV, Section 1).19
a. appears in person before the
notary public and presents an
instrument or document;
b. is personally known to the
notary public or identified by the
notary public through competent
evidence of identity as defined by the
2004 Notarial Rules;
c. signs the instrument or
document in the presence of the
notary; and
d. takes an oath or affirmation
before the notary public as to such
instrument or document. (Rule II
Section 6).
A sample jurat is attached as Annex
2.
16Note: A signature witnessing refers to a
notarial act in which an individual on a single
occasion:
a. appears in person before the
notary public and presents an
instrument or document;
b. is personally known to the
notary public or identified by the
notary public through competent
evidence of identity as defined by
[the 2004 Notarial Rules]; and
c. signs the instrument or
document in the presence of the
notary public. (Rule II Section 14).
17Note: A copy certification refers to a
notarial act in which a notary public:
a. is presented with an
instrument or document that is
neither a vital record, a public record,
nor publicly recordable;
b. copies or supervises the
copying of the instrument or
document;
c. compares the instrument or
document with the copy; and
determines that the copy is accurate
and complete. (Rule II Section 4).
18Note: The phrase any other act
authorized by the 2004 Notarial Rules
refers to the authority of notaries public to
perform the following acts:
a. To certify the affixing of a
thumb or other mark on an
g.
Q: May a notary public notarize
documents by affixing his thumb or
other mark on the notarial certificate?
A: It appears that he may not. This is
because Rule VIII, Section 1 of the 2004
Notarial Rules provides:
In notarizing a paper instrument or
document, a notary public shall:
a) sign by hand on the notarial
certificate only the name
indicated and as appearing on
the notary's commission;
b) not sign using a facsimile stamp or
printing device; and
c) affix his official signature only at
the time the notarial act is
performed.20
instrument or document presented for
notarization; and
b. To sign on behalf of a
person who is physically unable to
sign or make a mark on an
instrument or document. (Rule IV
Sections 1(b) and (c).)
19Note: A notary public may certify the
affixing of a thumb or other mark on an
instrument or document presented for
notarization, provided:
a. the thumb or other mark is
affixed in the presence of the notary
public and of two disinterested and
unaffected witnesses to the
instrument or document;
b. both witnesses sign their own
names in addition to the thumb or
other mark;
c. the notary public writes below
the thumb or other mark: "Thumb or
Other Mark affixed by (name of
signatory by mark) in the presence of
(names and addresses of witnesses)
and undersigned notary public"; and
the notary public notarizes the
signature by thumb or other mark
through an acknowledgment, jurat, or
signature witnessing. (Rule IV Section
1[b]).
20Note: A notary public may sign on behalf
of a person who is physically unable to
sign or make a mark on an instrument or
document provided:
Q: A notary public signed a contract of
lease on behalf of another without
complying with the foregoing
requisites. He then notarized the lease
contract. Is this allowable?
d)
A: No.None of the requirements
contained in Rule IV, Sec. 1(c), as
would justify a notary signing in behalf
of a contracting party, was complied
with in this case. Moreover, [the notary
publics] act of affixing his signature
above the printed name "Edwin T.
Nevada," without any qualification,
veritably made him a party to the
contract of lease in question. Thus,
his act of notarizing a deed to which he
is a party is a plain violation of the
aforequoted Rule IV, Sec. 3(a) of the
Notarial Rules, for which he can be
disciplinarily sanctioned provided
under Rule XI, Sec. 1(b)(10) of the
Notarial Rules. (Nevada v. Casuga, A.C.
No. 7591, March 20, 2012).
2. Limitations
A notary public may not perform a notarial
act if the person involved as signatory to
the instrument or document:
a. is not in the notarys
presence personally at the
time of the notarization; and
b. is not personally known to the
notary public or otherwise
a. the notary public is directed
by the person unable to sign or make
a mark to sign on his behalf;
b. the signature of the notary
public is affixed in the presence of
two disinterested and unaffected
witnesses to the instrument or
document;
c. both witnesses sign their own
names;
d. the notary public writes below
his signature: "Signature affixed by
notary in presence of (names and
addresses of person and two [2]
witnesses)"; and
the notary public notarizes his
signature by acknowledgment or jurat.
(Rule IV Section 1(c]).
identified by the notary public
through competent evidence
of identity as defined by the
2004 Notarial Rules. (Rule IV
Section 2[b]).
c. Is a relative within the fourth
civil degree of affinity (i.e., his
sister-in-law). Rule IV, Section
3 of the 2004 Rules of Notarial
Practice prohibits a notary
public from performing notarial
acts if he is a spouse,
common-law partner, ancestor,
descendant, or relative by
affinity or consanguinity of the
principal within the fourth civil
degree.
d.
1. Places Where Notaries Public Can
Perform Notarial Acts21
2.
Generally, a notary public may perform
notarial acts in his regular place of work or
business, which must be within the
territorial jurisdiction of the commissioning
court. However, a notary public may
perform a notarial act outside his place of
work or business in any of the following
sites located within his territorial
jurisdiction:
21Note: General Rule: A notary public may
notnotarize documents at any place other
than his regular place of work or business.
Exception: On certain exceptional
occasions or situations, a notarial act may be
performed at the request of the parties in the
following sites, provided that these are still
within the notary publics territorial jurisdiction:
a. public offices, convention
halls, and similar places where oaths
of office may be administered;
b. public function areas in hotels
and similar places for the signing of
instruments or documents requiring
notarization;
c. hospitals and other medical
institutions where a party to an
instrument or document is confined
for treatment; and
any place where a party to an
instrument or document requiring notarization
is under detention. (Rule IV Section 2[a]).

1. Public offices, convention halls
and similar places where oaths of
office may be administered;
2. Public function areas in hotels and
similar places for the signing of
instruments or documents requiring
notarization;
3. Hospitals and other medical
institutions where a party to an
instrument or document is confined for
treatment; and
4. Any place where a party to an
instrument or document requiring
notarization is under detention.
(Nasayao v. Unay, A.C. No. 9504,
June 05, 2013).
The act of notarizing documents in a
place outside of or beyond the authority
granted by the notarial commission
partakes of malpractice of law and
falsification. (Almazan, Sr. v. Suerte-
Felipe, A.C. No. 7184, September 17,
2014).
(b) Grounds For Disqualification From
Performing Notarial Acts.
General Rule: A notary public may
perform notarial acts for any person.
Exceptions: A notary public is disqualified
from performing a notarial act if he:
a. is a party to the instrument or
document that is to be notarized;
b. will receive, as a direct or indirect
result, any commission, fee,
advantage, right, title, interest,
cash, property, or other
consideration, except as provided
by the 2004 Notarial Rules and by
law; or
c. is a spouse, common-law partner,
ancestor, descendant, or relative
by affinity or consanguinity of the
principal within the fourth civil
degree.(Rule IV Section 3.)
d.
The Supreme Court has held that it was
improper for a notary public to notarize a
complaint-affidavit executed by his two
sisters-in-law based on Rule IV, Section
3 of the 2004 Notarial Rules. (Jandoquile
v. Revilla, A.C. No. 9514, April 10, 2013)
The Supreme Court has declared that a
Community Tax Certificate is not
competent evidence of identity.
However, note that Section 163(a) of
Republic Act No. 7160, otherwise known
as the Local Government Code of 1991
requires persons subject to the payment
of community tax to present their
community tax certificates whenever they
acknowledge documents before notaries
public.(Baylon v. Almo, A.C. No. 6962,
June 25, 2008).
(c) Refusal to Perform Notarial Acts.
General Rule: A notary public may not
refuse to perform a notarial act.
Exceptions: A notary public may refuse
to perform a notarial act if:
i. the notary knows or has good
reason to believe that the notarial
act or transaction is unlawful or
immoral;
ii. the signatory shows a demeanor
which engenders in the mind of
the notary public reasonable doubt
as to the former's knowledge of
the consequences of the
transaction requiring a notarial act;
and
iii. in the notary's judgment, the
signatory is not acting of his or her
own free will.(Rule IV Section 4.)
iv.
Q: A notary public notarized a deed of
sale of real property where the stated
price was P1 million. He then notarized
a second deed for the same
transaction which reflected a price of
only P250,000.00, after the parties to
the sale expressed their desire to
reduce the amount of taxes payable in
connection with the sale. According to
the notary, he was "moved by his
humane and compassionate
disposition" when he acceded to the
parties' plea that he prepare and
notarize the second deed with a lower
consideration in order to reduce the
corresponding tax liability. Was this a
violation of the notarial rules?
A: Yes, by knowingly notarizing a a. Name of the notary public as
document with an illegal purpose: exactly indicated in the
commission;
*** while respondent's duty as a notary b. Serial number of the commission
public is principally to ascertain the of the notary public;
identity of the affiant and the voluntariness c. Words "Notary Public" and the
of the declaration, it is nevertheless province or city where the notary
incumbent upon him to guard against any public is commissioned, the
illegal or immoral arrangement or at least expiration date of the commission,
refrain from being a party to its the office address of the notary
consummation. Rule IV, Section 4 of the public; and
2004 Rules on Notarial Practice in fact d. Roll of attorneys number, the
proscribes notaries public from performing professional tax receipt number
any notarial act for transactions similar to and the place and date of
the herein document of sale, to wit: *** issuance thereof, and the IBP
membership number.(Rule VIII
In this case, respondent proceeded to Section 2.)
notarize the second deed despite e.
knowledge of its illegal purpose. a. The Roll of Attorneys
Respondent should have been more number is a permanently-
prudent and remained steadfast in his assigned number to each
solemn oath not to commit falsehood nor lawyer.
consent to the doing of any. As a lawyer, b. The Professional Tax
respondent is expected at all times to Receipt (PTR) Number is
uphold the integrity and dignity of the legal subject to renewal every year.
profession and refrain from any act or A PTR Number issued in a
omission which might lessen the trust and year is valid until January 31
confidence reposed by the public in the of the succeeding year.
integrity of the legal profession. (Republic Act No. 7160,
(Caalim-Verzonilla v. Pascua, A.C. No. otherwise known as the Local
6655, October 11, 2011, En Banc). Government Code of 1991,
Section 139(d).)
(d) False or Incomplete Certificates. c. If the notary public is an IBP
Lifetime Member, simply
A notary public shall not: indicate his/her IBP Lifetime
a. execute a certificate containing Membership number. If the
information known or believed by notary public is not an IBP
the notary to be false. Lifetime Member, he/she
b. affix an official signature or seal must indicate the number
on a notarial certificate that is and date of the official receipt
incomplete.(Rule IV Section 5). indicating payment of his/her
annual membership dues to
A notarial certificate refers to the part of, the IBP. An IBP official
or attachment to, a notarized instrument receipt issued in one year
or document that is completed by the may be availed of and
notary public, bears the notary's signature indicated in all pleadings,
and seal, and states the facts attested to motions, and papers until the
by the notary public in a particular end of February of the
notarization as provided for by these succeeding year.(OCA
Rules.(Rule II Section 8). Circular No. 10-85, issued on
July 24, 1985.)
The notarial certificate must contain d.
the following: (e) Improper Instruments or
Documents
A notary public shall not notarize:
a. a blank or incomplete instrument
or document; or
b. an instrument or document without
appropriate notarial certification.
(Rule IV Section 6).
(f) Fees
a. For performing a notarial act, a
notary public may charge the
maximum fee as prescribed by the
Supreme Court unless he waives
the fee in whole or in part.(Rule V
Section 1.) No fee or
compensation of any kind, except
those expressly prescribed and
allowed herein, shall be collected
or received for any notarial
service.(Rule V Section 3.)
b. A notary public shall not require
payment of any fees specified
herein prior to the performance of
a notarial act unless otherwise
agreed upon.(Rule V Section 4.)
c. A notary public who charges a fee
for notarial services shall issue a
receipt registered with the Bureau
of Internal Revenue and keep a
journal of notarial fees. He shall
enter in the journal all fees
charged for services rendered.
d. A notary public shall post in a
conspicuous place in his office a
complete schedule of chargeable
notarial fees. (Rule V Section 5.)
e.
(g) Change of Status of Notary Public
a. Change of name and address
b.
Within 10 days after the change of name
of the notary public by court order or by
marriage, or after ceasing to maintain the
regular place of work or business, the
notary public shall submit a signed and
dated notice of such fact to the Executive
Judge.
The notary public shall not notarize until:
a. he receives from the Executive
Judge a confirmation of the
new name of the notary public
and/or change of regular place
of work or business; and
b. a new seal bearing the new
name has been obtained.
c.
The foregoing notwithstanding, until the
aforementioned steps have been
completed, the notary public may continue
to use the former name or regular place of
work or business in performing notarial
acts for 3 months from the date of the
change, which may be extended once for
valid and just cause by the Executive
Judge for another period not exceeding 3
months. (Rule X Section 1).
A notary public obtaining a new seal as a
result of change of name shall present to
the vendor or manufacturer a certified
copy of the Confirmation of the Change of
Name issued by the Executive Judge.
(Rule VII Section 4[d]).
ii. Resignation
A notary public may resign his
commission by personally submitting a
written, dated and signed formal notice to
the Executive Judge together with his
notarial seal, notarial register and records.
Effective from the date indicated in the
notice, he shall immediately cease to
perform notarial acts. In the event of his
incapacity to personally appear, the
submission of the notice may be
performed by his duly authorized
representative. (Rule X Section 2.)
The Executive Judge shall immediately
order the Clerk of Court to post in a
conspicuous place in the offices of the
Executive Judge and of the Clerk of Court
the names of notaries public who have
resigned their notarial commissions and
the effective dates of their resignation.
(Rule X Section 3).
D. NOTARIAL REGISTER
Notarial Register v. Register of
Notaries Public
 Notarial Register
A Notarial Register is the permanently
bound book with numbered pages
containing a chronological record of notarial
acts performed by a notary public. (Rule II
Section 5).
A notary public shall keep only one active
notarial register at any given time. (Rule VI
Section 1).
Required Entries in a Notarial Register:
a. Entry number and page number;
b. Date and time of day of the
notarial act;
c. Type of notarial act;
d. Title or description of the
instrument, document or
proceeding;
e. Name and address of each
principal;
f. Competent evidence of identity as
defined by these Rules if the
signatory is not personally known
to the notary;
g. Name and address of each
credible witness swearing to or
affirming the person's identity;
h. Fee charged for the notarial act;
i. Address where the notarization
was performed if not in the
notary's regular place of work or
business; and
j. Any other circumstance the notary
public may deem of significance or
relevance.(Rule VI Section 2[a]).
k.
Procedure
1, If a notary public is unable to
complete a notarial act, he/she must
also record in the notarial register the
reasons and circumstances for not
completing a notarial act. (Rule VI Section
[b]).
2. When the instrument or document is a
contract, the notary public shall keep an
original copy thereof as part of his records
and enter in said records a brief
description of the substance thereof and
shall give to each entry a consecutive
number, beginning with number one in
each calendar year. He shall also retain a
duplicate original copy for the Clerk of
Court. (Rule VI Section 2[d]).
3. The notary public shall give to each
instrument or document executed, sworn
to, or acknowledged before him a number
corresponding to the one in his register,
and shall also state on the instrument or
document the page/s of his register on
which the same is recorded. No blank
line shall be left between entries. (Rule VI
Section 2[e]).
4. In case of a protest of any draft, bill
of exchange or promissory note, the
notary public shall make a full and true
record of all proceedings in relation
thereto and shall note therein whether the
demand for the sum of money was made,
by whom, when, and where; whether he
presented such draft, bill or note; whether
notices were given, to whom and in what
manner; where the same was made,
when and to whom and where directed;
and of every other fact touching the same.
(Rule VI Section 2[f]).
5. At the end of each week, the notary
public shall certify in his notarial register
the number of instruments or documents
executed, sworn to, acknowledged, or
protested before him; or if none, this
certificate shall show this fact. (Rule VI
Section 2[g])
6. A certified copy of each month's
entries and a duplicate original copy of
any instrument acknowledged before the
notary public shall, within the first ten (10)
days of the month following, be forwarded
to the Clerk of Court and shall be under
the responsibility of such officer. If there
is no entry to certify for the month, the
notary shall forward a statement to this
effect in lieu of certified copies herein
required.(Rule VI Section 2(h).)
7. At the time of notarization, the
notary's notarial register shall be
signed or a thumb or other mark
affixed by each:
a. principal;
b. credible witness swearing or
affirming to the identity of a
principal; and
c. witness to a signature by thumb or
other mark, or to a signing by the
notary public on behalf of a person
physically unable to sign.(Rule VI
Section 3).
d.
Inspection and Copying of Notarial
Registers.
Any person may inspect an entry
in the notarial register, during
regular business hours, and in the
notary publics presence, provided:
i. the person's identity is personally
known to the notary public or
proven through competent
evidence of identity;
ii. the person affixes a signature and
thumb or other mark or other
recognized identifier, in the notarial
register in a separate, dated entry;
iii. the person specifies the month,
year, type of instrument or
document, and name of the
principal in the notarial act or acts
sought; and
iv. the person is shown only the entry
or entries specified by him.
The notarial register may be
examined by a law enforcement
officer in the course of an official
investigation or by virtue of a court
order.
v.
If the notary public has a
reasonable ground to believe that
a person has a criminal intent or
wrongful motive in requesting
information from the notarial
register, the notary shall deny
access to any entry or entries
therein.(Rule VI Section 4).
A notary public shall record in the
notarial register the circumstances
of any request to inspect or copy
an entry in the notarial register,
including the requester's name,
address, signature, thumbmark or
other recognized identifier, and
evidence of identity. The reasons
for refusal to allow inspection or
copying of a journal entry shall
also be recorded. (Rule VI Section
2[c].)
Loss, Destruction or Damage of
Notarial Register.
In case the notarial register is stolen, lost,
destroyed, damaged, or otherwise
rendered unusable or illegible as a record
of notarial acts, the notary public shall,
within ten (10) days after informing the
appropriate law enforcement agency in
the case of theft or vandalism, notify the
Executive Judge by any means providing
a proper receipt or acknowledgment,
including registered mail and also provide
a copy or number of any pertinent police
report.
Upon revocation or expiration of a notarial
commission, or death of the notary public,
the notarial register and notarial records
shall immediately be delivered to the
office of the Executive Judge.(Rule VI
Section 5).
Issuance of Certified True Copies.
The notary public shall supply a certified
true copy of the notarial record, or any
part thereof, to any person applying for
such copy upon payment of the legal fees.
(Rule VI Section 6).
E. JURISDICTION OF NOTARY
PUBLIC AND PLACE OF
NOTARIZATION
A person commissioned as notary public
may perform notarial acts in any place
within the territorial jurisdiction of the
commissioning court.(Rule III Section 11).
F. REVOCATION AND
ADMINISTRATIVE SANCTIONS
1. Grounds
1. Any ground on which an
application for a commission may
be denied (e.g., conviction at the
first instance of a crime involving
moral turpitude);
2. failure to keep a notarial register;
3. failure to make the proper entry or
entries in his notarial register
concerning his notarial acts;
4. failure to send the copy of the
entries to the Executive Judge
within the first ten (10) days of the
month following;
5. failure to affix to acknowledgments
the date of expiration of his
commission;
6. failure to submit his notarial
register, when filled, to the
Executive Judge;
7. failure to make his report, within a
reasonable time, to the Executive
Judge concerning the performance
of his duties, as may be required
by the judge;
8. failure to require the presence of a
principal at the time of the notarial
act;
9. failure to identify a principal on the
basis of personal knowledge or
competent evidence;
10. executing a false or incomplete
certificate;
11. knowingly performing or failing to
perform any other act prohibited or
mandated by the 2004 Notarial
Rules; and
12. committing any other dereliction or
act which in the judgment of the
Executive Judge constitutes good
cause for revocation of
commission or imposition of
administrative sanction.(Rule XI
Section 1[a] and [b]).
13.
2. Procedure for Revocation
Proceedings for the revocation of a
notarial commission and/or the imposition
of administrative sanctions upon notaries
public may be initiated in two ways:
i. By a verified complaint filed by an
interested, affected or aggrieved person;
(Rule XI Section 1[c]) or
ii.Motu proprio, by the Executive Judge.
(Rule XI Section 1(d).) The Executive
Judge shall at all times exercise
supervision over notaries public and
shall closely monitor their activities.
(Rule XI Section 2.)
iii.
In both cases, the notary public mus file a
verified answer to the complaint.
If the answer of the notary public is not
satisfactory, the Executive Judge shall
conduct a summary hearing.
If the allegations of the complaint are not
proven, the complaint shall be dismissed.
If the charges are duly established, the
Executive Judge shall impose the
appropriate administrative sanctions.
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.(Rule XI
Section 1[c]).
(A) COMPETENT EVIDENCE OF
IDENTITY
(B)
A Principal is the person appearing
before a notary public whose act is the
subject of notarization. (Rule II Section
10).
If the Principal is personally known to
the notary public, there is no need to
require the presentation of competent
evidence of identity.
If the Principal is not personally known to
the notary public, the notary must identify
the Principal through competent evidence
of identity.
Competent Evidence of Identity
refers to the identification of an
individual based on:
A. At least one current identification
document issued by an official agency
bearing the photograph and signature
of the individual, such as but not
limited to, passport, driver's license,
Professional Regulations Commission
ID, National Bureau of Investigation
clearance, police clearance, postal ID,
voter's ID, Barangay certification,
Government Service and Insurance
System (GSIS) e-card, Social Security
System (SSS) card, Philhealth card,
senior citizen card, Overseas Workers
Welfare Administration (OWWA) ID,
OFW ID, seaman's book, alien
certificate of registration/immigrant
certificate of registration, government
office ID, certification from the
National Council for the Welfare of
Disable Persons (NCWDP),
Department of Social Welfare and
Development; or
B.
B. The oath or affirmation ofone
credible witness not privy to the
instrument, document or transaction
who is personally known to the
notary public and who personally
knows the individual; or
C.
C. The oath or affirmation of two
credible witnessesneither of whom
is privy to the instrument, document
or transaction who each personally
knows the individual and shows to
the notary public documentary
identification.22
D.
(C) SANCTIONS
(D)
Punishable Acts - The Executive Judge
shall cause the prosecution of any person
22Note: To personally know the parties, the
notary public must at least be acquainted with
them. 45 Interviewing the contracting parties
does not make the parties personally known to
the notary public. (Tupal v. Rojo, A.M. No.
MTJ-14-1842, February 24, 2014).
who:
1. knowingly acts or otherwise
impersonates a notary public;
2. knowingly obtains, conceals,
defaces, or destroys the seal,
notarial register, or official records
of a notary public; and
3. knowingly solicits, coerces, or in
any way influences a notary public
to commit official misconduct.
(Rule XII Section 1).
The Executive Judge concerned shall
submit semestral reports to the
Supreme Court on discipline and
prosecution of notaries public.(Rule XII
Section 2).
On the Importance and Effects of
Notarization
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 public. Notarization converts a
private document into a public
document; thus, making that document
admissible in evidence without further
proof of its authenticity. A 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
acknowledgment executed by a notary
public and appended to a private
instrument. (Linco v. Lacebal, A.C. No.
7241, October 17, 2011).
1. Consequences of Defective
Notarization
General Rule: Defective notarization
does not affect the validity of a
contract. However, from an
evidentiary perspective, the defective
notarization of a document prevents it
from being considered and admitted in
evidence as a public document. It
remains a private document that must
be authenticated as such in
accordance with the Rules of
Evidence. (The Heirs of Sarili v.
Lagrosa, G.R. No. 193517, January 15,
2014).
Exception: In cases where the law
requires notarization as a requisite for
validity, the defective notarization will
render the contract or transaction void.
(Azuela v. Court of Appeals, G.R. No.
122880, April 12, 2006).
a. Use of improperly obtained
documents from the notarial
register of a notary public in an
administrative case.
b.
c. Documents which are
improperly obtained from the
notarial register of a notary
public and used as evidence
against the latter is admissible.
The 2004 Rules on Notarial Law
contain no provision declaring
the inadmissibility of
documents obtained in violation
thereof. (De Jesus v. Sanchez-
Malit, A.C. No. 6470, July 08,
2014).
d.
b. Effect of a Notary Publics Failure
to Comply with the Requirements
for Signing a Document on Behalf
of Another and Notarizing the
document
c.
i. He becomes a party to the instrument,
and is disqualified from notarizing it. The
act of notarizing a deed to which a notary
public is a party is a violation of the
Notarial Rules and is a ground for the
imposition of disciplinary sanctions.
(Nevada v. Casuga, A.C. No. 7591, March
20, 2012).
Examples:
a. Donation of immovable property
Article 749 of the Civil Code provides that
the donation of immovable property must
be in a public (i.e., notarized) document in
order to be valid.
The Supreme Court declared that a deed
of donation of land was declared void for
being defectively notarized. (Unchuan v.
Lozada, G.R. No. 172671, April 16, 2009).
b. Notarial wills
Article 806 of the Civil Code provides that
wills must be acknowledged before a
notary public by the testator and his
witnesses.
In Guerrero v. Bihis (G.R. No. 174144,
April 17, 2007), a notary public
commissioned for and in Caloocan City
notarized a will in Quezon City. The
Supreme Court held that the notary public
had no authority to notarize documents in
Quezon City, and therefore the will in this
case was void for being defectively-
notarized.
Likewise, in Azuela v. Court of Appeals
(G.R. No. 122880, April 12, 2006), the
Supreme Court declared a will void for,
among other things, not being
acknowledged before a notary public,
even if it was subscribed and sworn to
before a notary public:
.
In lieu of an acknowledgment, the notary
public,, wrote "Nilagdaan ko at ninotario
ko ngayong 10 ng Hunyo 10 (sic), 1981
dito sa Lungsod ng Maynila." By no
manner of contemplation can those words
be construed as an acknowledgment. An
acknowledgment is the act of one who
has executed a deed in going before
some competent officer or court and
declaring it to be his act or deed. It
involves an extra step undertaken
whereby the signor actually declares to
the notary that the executor of a
document has attested to the notary that
the same is his/her own free act and
deed.
It might be possible to construe the
averment as a jurat, even though it does
not hew to the usual language thereof. A
jurat is that part of an affidavit where the
notary certifies that before him/her, the
document was subscribed and sworn to
by the executor. Ordinarily, the language
of the jurat should avow that the
document was subscribed and sworn
before the notary public, while in this
case, the notary public averred that he
himself "signed and notarized" the
document. Possibly though, the word
"ninotario" or "notarized" encompasses
the signing of and swearing in of the
executors of the document, which in this
case would involve the decedent and the
instrumental witnesses.
Yet even if we consider what was
affixed by the notary public as a jurat,
the will would nonetheless remain
invalid, as the express requirement of
Article 806 is that the will be
"acknowledged", and not merely
subscribed and sworn to. The will does
not present any textual proof, much less
one under oath, that the decedent and the
instrumental witnesses executed or
signed the will as their own free act or
deed. The acknowledgment made in a will
provides for another all-important legal
safeguard against spurious wills or those
made beyond the free consent of the
testator.
An acknowledgement is not an empty
meaningless act. The acknowledgment
coerces the testator and the instrumental
witnesses to declare before an officer of
the law that they had executed and
subscribed to the will as their own free act
or deed. Such declaration is under oath
and under pain of perjury, thus allowing
for the criminal prosecution of persons
who participate in the execution of
spurious wills, or those executed without
the free consent of the testator. It also
provides a further degree of assurance
that the testator is of certain mindset in
making the testamentary dispositions to
those persons he/she had designated in
the will.
It may not have been said before, but we
can assert the rule, self-evident as it is
under Article 806. A notarial will that is
not acknowledged before a notary
public by the testator and the
witnesses is fatally defective, even if it
is subscribed and sworn to before a
notary public.
ii. Violations of the 2004 Notarial Rules
may also constitute violations of the
Code of Professional Responsibility
and the lawyers oath.
The act of notarizing documents outside
one's area of commission is not to be
taken lightly. Aside from being a violation
of Sec. 11 of the 2004 Rules on Notarial
Practice, it also partakes of malpractice
of law and falsification. Notarizing
documents with an expired commission is
a violation of the lawyer's oath to obey the
laws, more specifically, the 2004 Rules
on Notarial Practice. Since the public is
deceived into believing that he has been
duly commissioned, it also amounts to
indulging in deliberate falsehood, which
the lawyer's oath proscribes. Notarizing
documents without the presence of the
signatory to the document is a violation of
Sec. 2(b)(1), Rule IV of the 2004 Rules on
Notarial Practice, Rule 1.01 of the Code of
Professional Responsibility, and the
lawyer's oath which unconditionally
requires lawyers not to do or declare any
falsehood. Finally, Atty. Quintana is
personally accountable for the documents
that he admitted were signed by his wife.
He cannot relieve himself of liability by
passing the blame to his wife. He is, thus,
guilty of violating Canon 9 of the Code of
Professional Responsibility, which
requires lawyers not to directly or
indirectly assist in the unauthorized
practice of law.Laquindanum v. Quintana
(A.C. No. 7036, June 29, 2009, En Banc)
A notary public is personally responsible
for the correctness and completeness of
the entries in his/her notarial register. A
notary public cannot escape liability for
blaming the incorrectness or
incompleteness of the entries in his/her
notarial register on his/her secretary. See
Gemina v. Madamba (A.C. No. 6689,
August 24, 2011); Lingan v. Calubaquib
(A.C. No. 5377, June 15, 2006); and
Agadan v. Kilaan (A.C. No. 9385,
November 11, 2013)
A notary public should not facilitate the
disintegration of a marriage and the family
by encouraging the separation of the
spouses and extra-judicially dissolving the
conjugal partnership. Further, a notary
public is personally responsible for the
entries in his notarial register and he
could not relieve himself of this
responsibility by passing the blame on his
secretaries or any member of his staff.
Espinosa v. Omana (A.C. No. 9081,
October 3, 2011)
Jurisprudence
A notary public, who has personal
knowledge of a false statement or
information contained in the
instrument to be notarized, proceeds
to affix her notarial seal on it. Is she
guilty of malpractice?
Yes. In this case, respondents
conduct amounted to a breach of
CANON 1 of the Code of Professional
Responsibility which requires lawyers
to obey the law and legal processes.
Respondent also violated Rule 1.91 of
the Code which proscribes lawyers
from engaging in unlawful, dishonest,
immoral or deceitful conduct. (Heirs of
Villanueva v. Beradio, AC No. 6270,
2007)
It is it necessary for the notary public
to know the signatories provided he or
she or they signed in the presence of
the notary, alleging that they are the
persons who signed the names. Is this
contention correct?
Yes. A notary public is duty bound to
require the person executing a
document to be personally present and
to swear before him that he is the
person named in the document and is
voluntarily and freely executing the act
mentioned in the document. The
notary public faithfully discharges this
duty by at least verifying the identity of
the person appearing before him based
on the identification papers presented
(Gonzales v. Padiernos, AC No. 6713,
2008).
JUDICIAL ETHICS
I. SOURCES
JUDICIAL ETHICS - branch of moral
science which treats of the right and
proper conduct and behavior to be
observed by all judges and magistrates in
trying and deciding controversies brought
before them for adjudication which
conduct and behavior must be
demonstrative of independence, integrity,
impartiality, equality, propriety,
competence and diligence. (Agpalo,
Ruben E., Legal and Judicial Ethics,
2002.)
1. Overview
2.
COURT - board or other tribunal which
decides a litigation or contest. (Hidalgo v.
Manglapus, 64 O.G. 3189.)
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 the law. (People v.
Manantan, 5 SCRA 687, August 30,
1962.)
DE JURE JUDGE - An officer of the law
fully vested with all of the powers and
functions conceded under the law to a
judge, which relate to the administration of
justice within the jurisdiction over which
he presides.(Lino Luna v. Rodriguez, 37
Phil. 191, G.R. No. L-12647, November
26, 1917.) A judge who is in all respects
legally appointed and qualified as such
and whose term of office has not expired.
(Tayko v. Capistrano, 53 Phil. 872, G.R.
No. L-30188, October 2, 1998.)
DE FACTO JUDGE- A judge who in
good faith continues and is recognized by
common error after the abolition of his
court by statute is deemed judge de facto
of the new court which succeeds to the
jurisdiction of that presided over by him.
(US v. Abalos, 1 Phil. 76.) An officer who
is not fully vested with all of the powers
and duties conceded to judges, but is
exercising the office under some color or
right.(Lino Luna v. Rodriguez, 37 Phil.
191, G.R. No. L-12647, November 26,
1917.) The acts of a de facto judge are
just as valid for all purposes as those of a
de jure judge in so far as the public or 3 rd
persons who are interested therein are
concerned. The decision of a de facto
judge cannot be collaterally attacked.
(Nacionalista Party v. De Vera, 85 Phil.
132, G.R. No. L-3474, December 7,
1949.)
SYLLABUS TOPICS
I. Sources
A. New Code of Judicial Conduct for the
Philippine Judiciary
B. Code of Judicial Conduct
A) NEW CODE OF JUDICIAL
CONDUCT FOR THE PHILIPPINE
JUDICIARY (A.M. NO. 03-05-01-
SC)
b)
The New Code of Judicial Conduct of the
Philippine Judiciary was promulgated on
April 27, 2004 and became effective on
June 1, 2004.
2. Universal Intendment
3.
The Bangalore Draft, as amended, is
intended to be a Universal Declaration of
Judicial Standards applicable in all
judiciaries. It is founded on the following
principles:
(a) A competent, independent and
impartial judiciary is essential if the
courts are to fulfill their role in
upholding constitutionalism and
the rule of law;
(b) Public confidence in the judicial
system and in the moral authority
and integrity of the judiciary is of
utmost importance in a modern
democratic society;
(c) It is essential that judges,
individually and collectively,
respect and honor judicial office as
a public trust and strive to
enhance and maintain confidence
in the judicial system.
(d)
A.M. No. 03-05-01-SC did not completely
repeal the old Canons of Judicial Ethics
adopted in the Philippines and Code of
Judicial Conduct of 1989. It is only when
the New Code (inspired by the Bangalore
Draft) has specific provisions or concepts
covering those found in the Canons of
Judicial Ethics and Code of Judicial
Conduct that the latter are considered
superseded to that extent. This means
that the provisions of the existing Canons
and the Code which have not been
embraced in the New Code will not be
considered subsisting and effective.
4. Significance
5.
The New Code correlates the Code of
Judicial Conduct and the Canons of
Judicial Ethics and stresses the
Philippines solidarity with the universal
clamor for a universal code of judicial
ethics.
A creed to which a judge is hidebound, in
the words of the Preamble of the Canons
of Professional Ethics, is that the future
of the Republic, to a great extent,
depends upon our maintenance of justice
pure and unsullied.(Luque v. Kayanan,
29 SCRA 165, August 29, 1969.)
IF THE ADMINISTRATION OF JUSTICE
IS LIBERATED FROM ETHICAL AND
MORAL RULES, AND IS LEFT FREE-
WHEELING, JUDGES AND
MAGISTRATES CANNOT BE
EXPECTED TO BE FREE,
INDEPENDENT, HONEST, DILIGENT
AND IMPARTIAL. THE PEOPLE WILL
LOSE TRUST IN THE JUDICIARY.
WHEN THE PEOPLE NO LONGER
TRUST THE JUDICIARY, THE
TENDENCY WOULD BE THAT THEY
WOULD TAKE THE LAW INTO THEIR
OWN HANDS.
C) CODE OF JUDICIAL CONDUCT
d)
a. A.M. 03-05-01-SC- contains the
Supreme Courts Adoption of the New
Code of Judicial Ethics (Note: The
provisions shall be discussed in
seratim later on in the summer
reviewer)
b. Definitions under A.M. 03-05-01-SC
c.
COURT STAFF - includes personal staff
of the judge including law clerks.
JUDGE - any person exercising judicial
power, however designated.
JUDGES FAMILY - includes a judges
spouse, son, daughter, son-in law,
daughter-in-law, and any other relative by
consanguinity or affinity within the 6th civil
degree, or person who is a companion or
employee of the judge and who lives in
the judges household.
The Code of Judicial Conduct was
promulgated on September 5, 1989 and
became effective on October 20, 1989
END OF TOPIC
II. QUALITIES
A. INDEPENDENCE
1. Concept
2.
CANON 1. INDEPENDENCE
JUDICIAL INDEPENDENCE is a pre-
requisite to the rule of law and a
fundamental guarantee of a fair trial. A
judge shall therefore uphold and
exemplify judicial independence in
both its individual and institutional
aspects. (Bangalore Principles of
Judicial Conduct, Value 1, 2003.)
COMMENTS:
INDEPENDENCE means freedom
from the influence, guidance or control
from others. Applied to judicial ethics,
it is referred to as JUDICIAL
INDEPENDENCE. It refers to the
freedom of courts from extraneous
influences or control. Independence of
a judge has 2 prongs: first, the judge
must be free from the influences of
other persons like members of the
family and friends (individual
independence),second, as the court,
no branch of the government or
agencies thereof could dictate upon it
in the performance of its judicial duties
(institutional independence)
Focus of Canon 1 is Judicial
Independence as:
a. A requisite to the Rule of Law
b. A fundamental guarantee of fair
trial
c.
Guarantee of Judicial Independence -
There is no surer guarantee of judicial
independence than the God-given
character and fitness of those appointed
to the Bench.
Judge Must Be Brave and Strong
Enough To Be Independent
The Life of a Judge
A Judge should be courageous in his
mission to administer justice. He must be
above public clamor and the consideration
of personal popularity. He must be brave
enough to displease any man or interest
or power, but should render justice without
regard for his personal advantages or
safety. A judge should be mindful that his
duty is the application of general law to
particular instances, that ours is a
government of laws and not of men, and
that he violates his duty as a minister of
justice under such a system if he seeks to
do what he personally considers
substantial justice in a particular case and
disregards the general law as he knows it
to be binding on him.
Judges must reject pressure from any
source by maintaining independence:
a. Independence from public officials-
The public laid their confidence on
the fact that the official is mentally
and morally fit to pass upon the
merits of their varied intentions.
b. Independence from government
as a whole- Avoid inappropriate
connections, as well as any
situation that would give rise to the
impression of the existence of
such inappropriate connections.
c. Independence from family, social,
or other relationships- Do not sit in
litigation where a near relative is a
part of or counsel.
d. Independence from public opinion-
only guide is the mandate of the
law.

2. Section 1
Section 1. Judges shall exercise the
judicial functions independently on the
basis of their assessment of the fact
and in accordance with a temptations lurking in the office.
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.
COMMENTS:
Judge Should Not Be Swayed By the
Pressure of Public Opinion
When the trial judge issued a warrant of
arrest without conducting a hearing due to
a rally staged by the complainant and
their sympathizers, the Court held that the
issuance of a warrant was unjustified. The
Court stated that the presence of a rally
demanding the issuance of something is
not sufficient excuse for the judge to have
acted in unjustified haste. (Libaros v.
Dabalos, 199 SCRA 48.)
Excerpt from Go v. Court of Appeals (206
SCRA 165, February 11, 1992.)
(Concurring opinion of Justice Isagani
Cruz):
It appears that the trial court has been
moved by a desire to cater to public
opinion to the detriment of the
impartial administration of justice. The
petitioner is portrayed by the media as
not exactly a popular person.
Nevertheless, the trial court should not
have been influenced by this irrelevant
consideration, remembering instead
that its only guide was the mandate of
the law.
Judge Who Gives In To Pressures
Loses His Independence
Her [The Judges] confessed act of
succumbing to this pressure on the
telephone is a patent betrayal of the
public trust reposed on respondent as an
arbiter of the law and a revelation of her
weak moral character. By her
appointment, the public has laid
respondent fit to pass upon the merits of
their varied contentions. They expect her
to be unafraid to displease any person,
interest or power and to be equipped with
a moral fiber strong enough to resist the
Respondent [Judge] has dismally failed to
exhibit the qualities required of those
holding such office. Judge is dismissed.
(Ramirez v. Corpus-Macandog, 144
SCRA 462, Sept. 26, 1986.)
Provisions of the Code of Judicial
Conduct relevant to this Section:
1. Rule 3.02 - In every case, a
judge shall endeavor diligently
to ascertain the facts and the
applicable law unswayed by
partisan interests, public
opinion or fear of criticism.
2. Rule 1.03 - The judge should
be vigilant against any attempt
to subvert the independence of
the judiciary and resist any
pressure from whatever
source.
3.
3. Section 2
4.
Section 2. In performing judicial duties,
Judges shall be independent from
judicial colleagues in respect of
decisions which the judge is obliged to
make independently.
COMMENTS:
In the performance of their duties, judges
must be freed and liberated from the
influences of their own colleagues in
respect to decisions they are rendering.
They must resist the inducements of their
own colleagues in the judiciary. However,
this will not apply in collegiate courts
where there is group deliberation. In
group deliberations, the Chairman and
members have to state their individual
positions on the issues which may sway
the others.
Provisions of the Code of Judicial
Conduct relevant to this Section:
 a. Canon 1. A judge should
uphold the integrity and
independence of the Judiciary.
b. Rule 1.03. A judge should be
vigilant against any attempt to
subvert the independence of
the judiciary and resist any
pressure from whatever
source.
4. Section 3
5.
Section 3. Judges shall refrain from
influencing in any manner the outcome
of litigation or dispute pending before
another court or administrative agency.
COMMENTS:
A Judge Shall Not Influence the
Outcome of A Litigation Pending in
Another Court Or Administrative
Agency
Q: An RTC Judge wrote a letter to an
MTC judge, influencing the latter to
promptly hear and decide a case, if he
has jurisdiction or, if not, to remand
the case to the RTC. The other parts of
the letter indicated a message to
acquit. When the MTC Judge convicted
the accused, the RTC Judge directed
the MTC Judge to forward the records
to the RTC. Without notice to the
parties, the RTC Judge acquitted the
accused. Was this proper?
A: The respondent was held guilty (1) of
having made untruthful statements in his
Certificate of Service, of inexcusable
negligence and gross inefficiency in
connection with missing records in his
sala, and of utter indifferences to the
directives of the Court, and (2)of serious
misconduct for undue interest in a
pending criminal case before a lower
court over which he exercised
supervision, all in violation of the Code of
Judicial Conduct.(Sabitsana v. Villamor
202 SCRA 445, October 4, 1991.)
Q: An Executive Judge was requested by
a party involved in a barangay conciliation
proceedings where he introduced himself
as the Executive Judge of the area, which
act is an obvious demonstration of
support for said party. Proper?
A: The actuations of the judge are
improper and censurable. A judge
should refrain from interfering in any
manner in the outcome of a litigation
before any court or another
administrative agency.(Marces, Sr. v.
Arcangel, 258 SCRA 503, July 9, 1996.)
Judge Shall Not Interfere In the Works
of Judges of Co-Equal Jurisdiction;
Exception
Judges are not allowed to interfere with
the orders or decisions of courts of co-
equal jurisdiction.(PDCP Development
Bank v. Vestil, 264 SCRA 467, Nov. 21,
1996.) A becoming modesty of inferior
courts demands realization of the position
that they occupy in the interrelation and
operation of the integrated judicial system
of the nation.(People v. Vera, 65 Phil. 56,
November 16, 1937.) In effect, a judge
cannot issue a TRO, writ of injunction,
(PDCP Development Bank v. Judge
Augustine Vestil, A.M. No. RTJ-96-1354
November 21, 1996.) nor certiorari,
prohibition or mandamus against a co-
equal court.
However, a judge may revoke the
orders of another judge in a litigation
subsequently assigned to him.
(Washington Distillers, Inc. v. CA, 260
SCRA 821, August 22, 1996.) The rule
is also not applicable where the judge
of a branch of the court issues a writ of
preliminary injunction in a case to
enjoin the sheriff from carrying out an
order of execution issued in another
case by the judge of another branch of
the same court.(Luciano v. Provincial
Governor of Rizal, 28 SCRA 519, June
20, 1969.)
Judge Shall Not Demean Other Judges
A Judge should not boast that he is
personally writing, editing and
finalizing his decisions for
promulgation, implying that others do
not do so personally.(Guintu v. Lucero,
261 SCRA 9, August 23, 1996.)
Judge Should Respect Orders,
Resolutions and Decisions of Higher
Courts
It would seem hardly necessary to add
that judges should respect the orders
and decisions of an appellate court.
Refusal to honor an injunctive order of
the Supreme Court constitutes
contempt.(Barrera v. Barrera, 34 SCRA
98, July 31, 1970.) Judges should
respect resolutions of the Supreme
Court.(Hernandez v. Colayco, 64 SCRA
480, June 27, 1975.)
Undue Interference by Judges During
Presentation of Evidence Must be
Avoided
A judge may properly intervene to
expedite and prevent unnecessary
waste of time.(Domanico v. CA, 122
SCRA 218, 1983.) He may intervene to
propound clarificatory questions,
(People v. Muit, 117 SCRA 696, October
21, 1982.) but should limit himself only
to clarificatory questions and not to
ask searching questions after the
witness had given direct testimony.
The judges questions should only be
for clarification and not to build the
case for one of the parties.(Valdez v.
Aquilizan, 133 SCRA 150, Oct. 31,
1984.)
What Constitutes Undue Interference
By a Judge In the Presentation of
Evidence
General Rule: Clarificatory questions
allowed for a full and clear understanding
of the facts.
Under our system of legal procedure
where he is judge of both the law and the
facts, it is often expedient or even
necessary in the due and faithful
administration of justice for the presiding
judge, in the exercise of sound discretion,
to question a witness in order that his
judgment may rest upon a full and clear
understanding of the clarificatory facts.
(People v. Adora, July 14, 1997)
Exception:There will be undue
interference if the judge will extensively
propound questions to the witnesses,
which will have the effect of or will tend to
build or bolster the case for one of the
parties. Such intervention will betray the
personal interest and partiality of the
judge. There is also undue interference
when the judge propounds questions
which are searching questions after the
witness had given direct testimony. When
a judge assumes the dual role of
magistrate and advocate, the cold
neutrality of an impartial judge
requirement of due process was denied.
(Tabuena v. Sandiganbayan, 268 SCRA
337, February 17, 1997.)
Reasons for the Rule Against Undue
Interference
A judge must not only be impartial but
must also appear impartial. If he
propounds questions to witnesses for
some purposes (other than clarification of
some obscure points, or to promote
justice or to prevent waste of time) he will
come out biased against or partial in favor
of a party. Actuations of judges must
always be beyond suspicion and
reproach. (Dela Cruz v. Bersamira, A.M.
No. RTJ-00-1567. January 19, 2001.)
Judge Should Not Interrupt Counsel In
Their Arguments; Exception
A judge should avoid interruptions of
counsel in their arguments except to
clarify his mind as to their positions, and
he should not be tempted to an
unnecessary display of learning or a
premature judgment.(Canon 14, Canon of
Judicial Ethics.)
Judge Should Not Compel Accused to
Personally Cross-Examine Witnesses
Against Him
It is improper for a judge to compel an
accused whose lawyer is absent and who
admits he is not skilled to handle his own
trial to cross-examine the prosecution
witnesses.(Olaivar v. Singco, 56 SCRA
232, March 29, 1974.)

Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 2.04 - A Judge shall refrain from
influencing in any manner the outcome of
litigation or dispute pending before
another court or administrative agency.
6. Section 4
7.
Section 4. Judges shall not allow family,
social, or other relationships to influence
judicial conduct or judgment. The prestige
of judicial office shall not be used or lent
to advance the private interests of others,
nor convey or permit others to convey the
impression that they are in a special
position to influence the judge.
COMMENTS:
A Judge Must Insulate Himself From
Extraneous Influences In The
Performance of His Duties
A judge like any other human being lives
in continuous interpersonal relationships
in the family, in the Church, in the
community and other groupings.
Whatever is the binding thread of that
relationship, he should not allow it to
influence his judicial conduct and
performance of duties. He should insulate
himself from these influences so that he
disposes cases solely on the basis of the
evidence and the law.
Judge Shall Not Use His Chambers As
Family Residence
A judge shall not use his chambers as his
familys residence even with the
Governors permission.(Presado v.
Genova, 223 SCRA 489, June 21, 1993.)
Judge Shall Not Lend the Prestige Of
His Office to Others
When a judge allowed himself to be
dragged into what was purely private
matter between feuding families, he is
guilty of misconduct. By attending
barangay conciliation proceedings and
introducing himself as the Executive
Judge, the judge lent the prestige of his
office to the party.(Marces, Sr. v.
Arcangel, 258 SCRA 217, July 9, 1996.)
Judge Shall Not Permit Any Person to
Convey the Impression That the Latter
Has Special Influence Over Him
A Judge should have inhibited himself in
a case where the counsel appearing
before him is a counsel of the family of the
judge. For not inhibiting himself
immediately, the judge created the
impression upon the complainant and the
public that the counsels client was in a
position to influence him.(Socorro Yulo-
Tuvilla v. Judge Balgos, A.M. No. MTJ-98-
1149, March 31, 1998.)
Judges Family
a. Judges spouse, son, daughter,
son-in-law, daughter-in-law, AND
b. Any other relative by
consanguinity or affinity within the
6th civil degree, OR
c. Person who is a companion or
employee of the judge and who
lives in the judges household.
d.
Provision of the Code of Judicial
Conduct and Code of Judicial Ethics
relevant to this Section:
1. Rule 2.03 - A judge shall not allow
family, social, or other
relationships to influence judicial
conduct or judgment. The prestige
of judicial office shall not be used
or lent to advance the private
interests of others nor convey or
permit others to convey the
impression that they are in a
special position to influence the
judge. (CJC)
2. Canon 12. Kinship or influence
of parties and counsel- A judge
should not, unless it is
unavoidable, sit in litigation where
a near relative is a party or of
counsel; and he should not suffer
his conduct to create the
impression that any person can
unduly influence him or enjoy his
favor, or that he is affected by
 rank, position, or influence of any
party. (CJE)
3.
8. Section 5
9.
Section 5. Judges shall not only be free
from appropriate connection with, and
influence by, the executive and legislative
branches of government, but must also
appear to be free therefrom to a
reasonable observer.
COMMENTS:
Freedom from Institutional Influences -
Judges must be vigilant in guarding their
independence against corroding
influences emanating from the other
branches of the government. They must
not succumb to the undue pressures of
high government officials. The only
pressure they must respect is pressure or
dictate of the law. (Garcia v. Bueser, A.M.
No. RTJ-03-1792, March 10, 2004.)
10. Section 6
11.
Section 6. Judges shall be independent
in relation to society in general and in
relation to the particular parties to a
dispute which he or she has to adjudicate.
COMMENTS:
Individual or Personal Independence -
Judges must exhibit reasonable aloofness
from the members of the community,
particularly persons with pending or
impending controversies in their courts.
Deliberate aloofness which is self-
imposed exclusion is one of the high
prices for which they were recommended
for and successfully appointed by the
President of the Philippines with the right
to hold it in decent pride until retirement.
Provision of the Code of Judicial
Ethics relevant to this Section:
Canon 30. Social Relations. It is not
necessary to the proper performance of
judicial duty that judges should live in
retirement or seclusion; it is desirable that,
so far as the reasonable attention to the
completion of their work will permit, they
continue to mingle in social intercourse,
and that they should not discontinue their
interests in or appearance at meetings of
members of the bar. A judge should,
however, in pending or prospective
litigation before him be scrupulously
careful to avoid such action as may be
reasonable tend to weaken the suspicion
that his social or business relations or
friendships constitute an element in
determining his judicial course
12. Section 7
13.
Section 7. Judges shall encourage and
uphold safeguards for the discharge of
judicial duties in order to maintain and
enhance the institutional and operational
independence of the judiciary.
COMMENTS:
Judicial Safeguards - In the performance
of their duties, the judges must always be
wary and cautious that outside forces
shall not be permitted to derail or
undermine the independence of the
judiciary. They are expected to stand up
and defend the integrity of the courts
whenever attacks are hurled without
justification.
14. Section 8
15.
Section 8. Judges shall exhibit and
promote high standards of judicial
conduct in order to reinforce public
confidence in the judiciary which is
fundamental to the maintenance of
judicial independence.
COMMENTS:
High Standards of Judicial Conduct;
Rationale
A high standard of judicial conduct,
not required of other members of the
bar of other professions, is mandated
of a judge because he is the
embodiment of competence, integrity
and independence.(Code of Judicial
Conduct, Rule 1.01.) He is the visible
representation of the law and justice.
(Arban v. Borja, 143 SCRA 634, August
26, 1986.)
Characteristics of a Good Judge
Our conception of good judges has
been, and is, of men who have a
mastery of the principles of law, who
discharge their duties in accordance
with law, who are permitted to perform
the duties of the office undeterred by
outside influence, and who are
independent and self-respecting
human units in a judicial system equal
and coordinate to the other
departments of the government.
(Borromeo v. Mariano, 41 Phil. 322,
Jan. 3, 1921.)
A Judge is the Visible Representation
of the Law
A Judge is the visible representation of
the law and more importantly of justice.
(Arban v. Borja, 143 SCRA 634, August
26, 1986.) As such, he should avoid even
the slightest infraction of the law.(Cabrera
v. Pajares, 142 SCRA 127, May 30,
1986.)
Justices and Judges Shall Not Blindly
Obey the Orders of Even the Highest
Offices of the Land
Judges should emulate the great
common-law jurist who made clear that he
would not just blindly obey the Kings
order but will do what becomes of him as
a judge.(Dela Llana v. Alba, 112 SCRA
294, Mar. 12, 1982.) Judges must be
models of uprightness, fairness and
honesty.(Rural Bank of Barotac Nuevo,
Inc. v. Cartagena, 84 SCRA 128, July 21,
1978.)
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 2.01 - A judge should so behave at
all times as to promote public confidence
in the integrity and impartiality of the
Judiciary.
B. INTEGRITY
a. Meaning
b.
CANON 2. INTEGRITY
INTEGRITYis essential not only to the
proper discharge of the judicial office, but
also to the personal demeanor of the
judges. (Code of Conduct, Canon 2.)
COMMENTS:
INTEGRITY - is a steadfast adherence
to a strict moral or ethical code. It is
honesty and honorableness put into one.
When a judge has integrity, it is presumed
that he has the virtues of impartiality,
propriety, equality and independence.
Moral integrity is more than a cardinal
virtue. It is a necessity.(Catbagan v. Barte,
455 SCRA 1, Apr. 6, 2005.)
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 1.01 - A judge should be the
embodiment of competence, integrity and
independence.
Judges must be exemplars in the
community
All trial judges should endeavor to
conduct themselves strictly in accordance
with the mandate of the existing laws and
Code of Judicial ethics that they be
exemplars in their communities and the
living personification of justice and Rule of
Law.(SC Circular No. 13, Dated July 1,
1987.)
Behavior of Judges
A judge should so behave at all times as
to promote public confidence in the
integrity and impartiality of the judiciary.
(Vito v. Buslon Jr., 243 SCRA 519, Apr.
10, 1995.)
Standards of Integrity, how measured
The standards of integrity required of
members of the bench are not satisfied by
conduct which merely enables one to
escape the penalties of the criminal law.
(Centrum Agri-Business Realty
Corporation v. Katalbas-Moscardon, 247
SCRA 145, Aug 11, 1995.) Both in his
public and private life, the judge must live
honestly and uprightly being the visible
representation of the law. He must be an
ideal example in the community. Judges
are presumed to be honest and men of
integrity unless proven otherwise.(People
v. Bocar, 97 Phil. 398, Apr. 30, 1999.)
c. Section 1
d.
Section 1. Judges shall ensure that not
only is their conduct above reproach, but
that is perceived to be so in the view of a
reasonable observer.
COMMENTS:
Conduct of Judges Must be above
Reproach A judge should avoid
impropriety and the appearance of
impropriety in all his activities. A judge is
not only required to be impartial; he must
also appear to be impartial. Public
confidence in the judiciary is eroded by
irresponsible or improper conduct of
judges. (Dela Cruz v. Judge Bersamira,
A.M. No. RTJ-00-1567. July 24,
2000.)Judges must not only render just,
correct and impartial decisions, but must
do so in a manner free of any suspicion
as to their fairness, impartiality and
integrity.(Rallos v. Judge Gako, Jr. A.M.
No. RTJ-99-1484. March 17, 2000.)
A judges official conduct and behavior in
the performance of judicial duties should
be free from the appearance of
impropriety and must be beyond
reproach.(Alazas v. Reyes, 131 SCRA
445, Aug. 28, 1984.) Judges are viewed
as the visible representations of law and
justice, from whom the people draw the
will and inclination to obey the law. Their
personal behavior, not only on the bench
and in the performance of judicial duties
but also in their everyday lives, should be
beyond reproach.(Jacinto v. Vallarta, 453
SCRA 83, Mar. 10, 2005.)
Provision of the Code of Judicial
Ethics relevant to this Section:
Canon 31. A Summary of Judicial
Obligations. A judges conduct should be
above reproach and in the discharge of
his judicial duties he should be
conscientious, studious, thorough,
courteous, patient, punctual, just,
impartial, fearless of public clamor, and
regardless of private influence should
administer justice according to law and
should deal with the patronage of the
position as a public trust; and he should
not allow outside matters or his private
interests to interfere with the prompt and
proper performance of his duties.
e. Section 2
f.
Section 2. The behavior and conduct of
judges must reaffirm the peoples faith in
the integrity of the Judiciary. Justice must
not merely be done, but must also be
seen to be done.
COMMENTS:
A Judge Pays a High Price for the
Honor Bestowed Upon Him
One who occupies an exalted position in
the administration of justice must pay a
high price for the honor bestowed upon
him, for his private as well as his official
conduct must at all times be free from the
appearance of impropriety.(Luque v.
Kayanan, 29 SCRA 165, Aug. 29, 1969.)
Moral Integrity; An Indispensable
Virtue For All Judges
People who run the judiciary,
particularly judges and justices, must
not only be proficient in both the
substantive and procedural aspects of
the law, but more importantly, they
must possess the highest integrity,
probity and unquestionable moral
uprightness, both in their public and
private lives. A Judge should not only
possess proficiency in law, but should
likewise possess moral integrity for the
people look up to him as a virtuous
and upright man.(Talens-Dabon v.
Arceo, 259 SCRA 354, July, 25, 1996.)
A Judge Must be Like Caesars Wife
Because appearance is as important as
reality in the performance of judicial
functions, like Caesars wife, a judge must
not only be pure but beyond suspicion.
(Palang v. Zosa, 58 SCRA 776, Aug. 30,
1974.)
Four Ins For Judges- Judges must
personify four INs
Integrity, Independence, Industry and
Intelligence.(Community Rural Bank of
Guimba, Inc. v. Talavera, 455 SCRA 34,
Apr. 6, 2005.)
a. Behavior Should Inspire
Confidence in The Judges
Impartiality
b.
1. While judges should possess
proficiency in law in order that
they can competently construe
and enforce the law, it is more
important that they should act
and behave in such a manner
that the parties before them
should have confidence in their
impartiality. Tan v. Gallardo, 73
SCRA 308. GR No. L-41213-
14 (1976)
2.
A Judge should inhibit himself in a case
whenever necessary to maintain the
peoples faith on his impartiality.
Where a judge is not legally disqualified
from sitting in a litigation, but suggestion
is made of record that he might be
induced to act in favor of one party or with
bias or prejudice against a litigant arising
out of circumstances reasonable capable
of inciting such a state of mind, he should
exercise his discretion in a way that the
peoples faith in the courts of justice
should not be impaired.(Pimentel v.
Salanga, 21 SCRA 160 1967)
The suspicion of appearance of bias or
prejudice on the part of the part of the
judge can be as damaging as actual bias
or prejudice, to the public convenience
and administration of justice. Montemayor
v. Bermejo, Jr. 425 SCRA 403. AM No.
MTJ-04-1835
Provision of the Code of Judicial
Conduct relevant to this Section:
Canon 3. A Judge should perform official
duties honestly, and with impartiality and
diligence.
d. Section 3
e.
Section 3. Judges shall, so far as
reasonable, so conduct themselves as to
minimize the occasions on which it will be
necessary for them to be disqualified from
hearing or deciding cases.
COMMENTS:
Judges should Avoid Activities or
Occasions Which Will Increase
Possibility of Being Disqualified in a
Hearing
Fraternization with practicing lawyers
and litigants is replete with detriments
and drawbacks in the administration of
justice. (Agpalo, Legal and Judicial
Ethics, pp. 636-638 (2009, 8th Ed))
Provisions of the Code of Judicial
Conduct relevant to this Section:
1. Canon 5.A judge should regulate
extra-judicial activities to minimize the
risk of conflict with judicial duties.
2.
3. RULE 5.02 - A judge shall refrain from
financial and business dealing that
tend to reflect adversely on the court's
impartiality, interfere with the proper
performance of judicial activities or
increase involvement
4.
1. Moral Integrity; An
Indispensable Virtue For All
Judges
2.
People who run the judiciary,
particularly judges and justices, must
not only be proficient in both the
substantive and procedural aspects of
the law, but more importantly, they
must possess the highest integrity,
probity and unquestionable moral
uprightness, both in their public and
private lives. A Judge should not only
possess proficiency in law, but should
likewise possess moral integrity for the
people look up to him as a virtuous
and upright man. (Talens-Dabon v.
Arceo, 259 SCRA 354, 1996)
3. A Judge Must be Like Caesars
Wife
4.
Because appearance is as important as
reality in the performance of judicial
functions, like Caesars wife, a judge must
not only be pure but beyond suspicion.
(Palang v. Zosa, 58 SCRA 776, 1974)
5. Four Ins For Judges - Judges
must personify four INs
6.
Integrity, Independence, Industry and
Intelligence. (Community Rural Bank of
Guimba, Inc. v. Talavera, 455 SCRA 34,
2005)
b. Behavior Should Inspire
Confidence in The Judges
Impartiality
c.
2. While judges should possess
proficiency in law in order that they
can competently construe and
enforce the law, it is more
important that they should act and
behave in such a manner that the
parties before them should have
confidence in their impartiality.
(Tan v. Gallardo, 73 SCRA 308.
GR No. L-41213-14, 1976)
3.
A Judge should inhibit himself in a case
whenever necessary to maintain the
peoples faith on his impartiality.
Where a judge is not legally disqualified
from sitting in a litigation, but suggestion
is made of record that he might be
induced to act in favor of one party or with
bias or prejudice against a litigant arising
out of circumstances reasonable capable
of inciting such a state of mind, he should
exercise his discretion in a way that the
peoples faith in the courts of justice
should not be impaired. (Pimentel v.
Salanga, 21 SCRA 160 1967)
The suspicion of appearance of bias or
prejudice on the part of the part of the
judge can be as damaging as actual bias
or prejudice, to the public convenience
and administration of justice.
(Montemayor v. Bermejo, Jr. 425 SCRA
403. AM No. MTJ-04-1835)
Provision of the Code of Judicial
Conduct relevant to this Section:
Canon 3. A Judge should perform official
duties honestly, and with impartiality and
diligence.
a. Section 3
b.
Section 3. Judges shall, so far as
reasonable, so conduct themselves as to
minimize the occasions on which it will be
necessary for them to be disqualified from
hearing or deciding cases.
COMMENTS:
Judges should Avoid Activities or
Occasions Which Will Increase
Possibility of Being Disqualified in a
Hearing
Fraternization with practicing lawyers
and litigants is replete with detriments
and drawbacks in the administration of
justice. (Agpalo, Legal and Judicial
Ethics, pp. 636-638 (2009, 8th Ed))
Provisions of the Code of Judicial
Conduct relevant to this Section:
3. Canon 5. A judge should regulate
extra-judicial activities to minimize
the risk of conflict with judicial
duties.
4. RULE 5.02 - A judge shall refrain
from financial and business
 dealing 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. A judge
should so manage investments
and other financial interests as to
minimize the number of cases
giving grounds for
disqualifications.
5.
c. Section 4
d.
Section 4. Judges shall not knowingly,
while a proceeding is before or could
come before them, make any comment
that might reasonably be expected to
affect the outcome of such proceeding or
impair the manifest fairness of the
process. Nor shall judges make any
comment in public or otherwise that might
affect the fair trial of any person or issue.
COMMENTS:
1. Making Complaints On The
Alleged Weakness of The
Complainants Case, Evinces
Partiality
2.
When a judge, in the secrecy of his
chambers informs the parties of the
weakness of ones case, they could no
longer be expected to have faith in his
partiality. They could very well conclude
that there was prejudgment. (Castillo v.
Juan, 62 SCRA 126; GR. No. L-39516-17,
1975)
2. Judges Must Avoid Publicity for
Personal Vanity or Self-Glorification
3.
Provisions of the Code of Judicial
Conduct relevant to this Section:
1. Rule 2.02 - A judge should not seek
publicity for personal vainglory.
2. Rule 3.07 - A judge should abstain from
making public comments on any pending
or impending case and should require
similar restraint on the part of court
personnel.
e. Section 5
f.
Section 5. Judges shall disqualify
themselves from participating in any
proceedings in which they are unable to
decide the matter impartially or in which it
may appear to a reasonable observer that
they are unable to decide the matter
impartially. Such proceedings include, but
are not limited to, instances where:
(a) The judge has actual bias or prejudice
concerning a party or personal knowledge
of disputed evidentiary facts concerning
the proceedings;
(b) The judge previously served as a
lawyer or was a material witness in the
matter in controversy;
(c) The judge, or a member of his or her
family, has an economic interest in the
outcome of the matter in controversy;
(d) The judge served as executor,
administrator, guardian, trustee or lawyer
in the case or matter in controversy, or a
former associate of the judge served as
counsel during their association, or the
judge or lawyer was a material witness
therein;
(e) The judges ruling in a lower court is
the subject of review;
(f) The judge is related by consanguinity
or affinity to a party litigant within the sixth
civil degree or to counsel within the fourth
civil degree; or
(g) The judge knows that his or her
spouse or child has a financial interest, as
heir, legatee, creditor, fiduciary, or
otherwise, in the subject matter in
controversy or in a party to the
proceeding, or any other interest that
could be substantially affected by the
outcome of the proceedings
COMMENTS:
Rule 137, Section 1. Disqualification of
judges. - No judge or judicial officer shall
sit in any case in which he, or his wife or
child, is pecuniarily interested as heir,
legatee, creditor or otherwise, or in which
he is related to either party within the sixth
degree of consanguinity or affinity, or to
counsel within the fourth degree,
computed according to the rules of the
civil law, or in which he has been
executor, administrator, guardian, trustee
or counsel, or in which he has presided in
any inferior court when his ruling or
decision is the subject of review, without
the written consent of all parties in
interest, signed by them and entered upon
the record.
A judge may, in the exercise of his sound
discretion, disqualify himself from sitting in
a case, for just or valid reasons other than
those mentioned above.
The 1st paragraph is the rule on
mandatory disqualification (Compulsory
Inhibition). It enumerates the grounds
under which the judge is disqualified. The
doctrine now is that the legal grounds are
exclusive. The 2nd paragraph deals with
inhibition (Voluntary Inhibition). It does
not enumerate the grounds but merely
provides a policy-oriented ground for
disqualification.
EXCEPTION to MANDATORY
INHIBITION - Remittal of disqualification
or disclosure on the part of the judge and
the subsequent agreement by the parties
that inhibition is not necessary. (Section
6, Canon 3, New Code of Judicial
Conduct) Waiver will not constitute an
exception.
Rationale - No judge should preside in a
case which he is not wholly free,
disinterested, impartial and independent.
Courts should scrupulously protect the
rights of litigants in this regard. (Urbanes
v. CA, 230 SCRA 219. GR 117964, 2001)
Regarding actual bias, there must be
convincing proof to show that he or she is
biased and partial. (Solidbank v. Del
Monte Motor Works, 465 SCRA 117; G.R.
143338, 2005)
Bias and partiality must be proved with
clear and convincing evidence. Bare
allegations will not suffice. (Wong Jan
Realty v. Espanol, 472 SCRA 496; AM
No. RTJ-07-1647, 2005)
For bias and prejudice to be a ground for
disqualification, it must be shown to have
stemmed from an extrajudicial source,
and result in an opinion on the merits on
some basis other than what the judge
learned from his participation in the case.
(Aleria, Jr. v. Velez, 298 SCRA 611; G.R.
127400, 1998).
The rule of disqualification of judges must
yield to demands of necessity that a judge
is not disqualified to sit in a case if there is
no other judge available to hear and
decide the case. (Parayno v. Menesis,
231 SCRA 807; G.R. No. 112684, 1994)
Regarding personal knowledge, a judge is
supposed to exercise his duties with
objectivity. (Castillo v. Juan, 62 SCRA
127. G.R. No. L-39516-17, 1975)
If he has personal knowledge, he loses
objectivity. When the judge however,
inhibits himself, he may be presented as a
witness.
Judges and justices are not disqualified
from participating in a case simply
because they have written legal articles
on the law involved in the case.(Chavez v.
Public Esates Authority, 403 SCRA 1. G.R
No. 133250, 2002).
The petition to disqualify a judge must be
filed before rendition of judgment, and
cannot be raised on appeal.(Government
v. Heirs of Abella, 49 Phil. 374; G.R. No.
25009, 1926).
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 3.12 - A judge should take no part in
a proceeding where the judge's
impartiality might reasonably be
questioned.
d. Section 6
e.
Section 6. A judge disqualified as
stated above may, instead of
withdrawing from the proceeding,
disclose on the records the basis of
disqualification. If, based on such
disclosure, the parties and lawyers,
independently of the judges
participation, all agree in writing that
the reason for the inhibition is
immaterial or unsubstantial, the judge
may then participate in the proceeding.
The agreement, signed by all parties
and lawyers, shall be incorporated in
the record of the proceedings.
COMMENTS:
If the judge is disqualified under any of the
instances mentioned in Section 5, instead
of immediately withdrawing from the case,
he may disclose on the record the basis of
his disqualification for the information of
the parties. If the parties and their lawyers
shall agree in writing that the judges
reason for disqualification is immaterial
and they offer no objection to the
continuation of the proceedings, the judge
may participate.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 3.13 - A judge disqualified by the
terms of rule 3.12 may, instead of
withdrawing from the proceeding, disclose
on the record the basis of disqualification.
If, bases on such disclosure, the parties
and lawyers independently of judge's
participation, all agree in writing that the
reason for the inhibition is immaterial or
insubstantial, the judge may then
participate in the proceeding. The
agreement, signed by all parties and
lawyers, shall be incorporated in the
record of the proceeding.
c) IMPARTIALITY
d)
e) PROPRIETY
f)
1. Concept
CANON 4. PROPRIETY
Propriety and the appearance of propriety
are essential to the performance of all the
activities of a judge.
COMMENTS:
PROPRIETY - conformity to prevailing
customs and usage
Provision of the Canons of Judicial
Ethics relevant to this Section:
Canon 3. Avoidance of appearance of
impropriety. A judge's official conduct
should be free from the appearance of
impropriety, and his personal behavior,
not only upon the bench and in the
performance of judicial ethics, but also in
his day life, should be beyond reproach.
2. Section 1
Section 1. Judges shall avoid impropriety
and the appearance of impropriety in all of
their activities.
COMMENTS:
Judge Should be Free From Any
Appearance of Impropriety Both in His
Public and Private Life
A judges official conduct should be free
from any appearance of impropriety; and
his personal behavior, not only in the
bench and in the performance of his
duties, but also in his everyday life should
be beyond reproach. (Office of the Court
Administrator v. Duque, 450 SCRA 527;
AM P-05-1958, 2005).
IMPROPRIETY - conduct that would
create in reasonable minds a perception
that the judges ability to carry out judicial
responsibilities with integrity, impartiality
and competence is impaired.
A judge may not engage in private
business without written permission of
Supreme Court.
DIGNIFIED CONDUCT - Conduct befitting
men and women possessed of
temperance and respect for the law and
others.
Provision of the Canons of Judicial
Ethics relevant to this Section:
Canon 3. Avoidance of appearance of
impropriety. A judge's official conduct
should be free from the appearance of
impropriety, and his personal behavior,
not only upon the bench and in the
performance of judicial ethics, but also in
his day life, should be beyond reproach.
3. Section 2
Section. 2. As a subject of constant
public scrutiny, judges must accept
personal restrictions that might be
viewed as burdensome by the ordinary
citizen and should do so freely and
willingly. In particular, judges shall
conduct themselves in a way that is
consistent with the dignity of the
judicial office.
COMMENTS:
Acts of Judges Must Conform With the
Dignity of the Judicial Office
As judges are occupying exalted
positions, they must exercise some
restraint freely and willingly to prevent
unnecessary criticisms of condemnations.
(Padilla v. Zantua, 237 SCRA 670; AM
No. MTJ-93-88, 1994) Avoidance of
improprieties, which require some
personal sacrifices, is an essentiality for
judges because in the ultimate end, if their
dispensation of justice is perceived fair
and acceptable, they contribute a lot to
the maintenance of peace and order in
the community.
4. Section 3
Section 3. Judges shall, in their personal
relations with individual members of the
legal profession who practice regularly in
their court, avoid situations which might
reasonably give rise to the suspicion or
appearance of favoritism or partiality.
COMMENTS:
Personal Relations of Judges With
Members of The Bar
In view of the delicate nature of their
positions, judges must avoid familiarity
with members of the Bar. Familiarity nay
not only breed contempt, but may also
compromise the judges impartiality when
due to his close friendship with some
lawyers, he may not be able to resist or
deny their requests for judicial power for
fear of losing their friendship.
5. Section 4
Section 4. Judges shall not participate in
the determination of a case in which any
member of their family represents a
litigant or is associated in any manner
with the case.
COMMENTS:
When a Member of the Judges Family
Represents a Litigant, He Must
Disqualify Himself
A member of the Judges family include:
1. Spouse
2. Children
3. Children-in-law
4. Any relative within the 6th civil degree,
whether by affinity or consanguinity
5. Companion or employee of the judge
who lives in his household
Relatives Deemed Covered
1. Adopted Child
2. Recognized illegitimate child
3. First and second cousins by blood,
and first and second cousins-in-law
4. Uncles, aunts, nephews and nieces;
grandnephews and grandnieces
When any one of the relatives of the
judge will represent a litigant in the
case pending before him, the judge
must consider self-disqualification that
the confidence of the people may not
erode. (Garcia v. Burgos, 291 SCRA
546, 1998). Even if the relative is not a
representative of a litigant, the judge
must still disqualify himself if a relative
is associated in any manner with the
case. (Austria vs. Masague, 20 SCRA
1247, 1967).
Rule 3.12 - A judge should take no part in
a proceeding where the judge's
impartiality might reasonably be
questioned. These cases include among
others, proceedings where:
(a) the judge has personal knowledge of
disputed evidentiary facts concerning the
proceeding;
(b) the judge served as executor,
administrator, guardian, trustee or lawyer
in the case or matter in controversy, or a
former associate of the judge served as
counsel during their association, or the
judge or lawyer was a material witness
therein;
(c) the judge's ruling in a lower court is the
subject of review;
(d) the judge is related by consanguinity
or affinity to a party litigant within the sixth
degree or to counsel within the fourth
degree;
(e) the judge knows the judge's spouse or
child has a financial interest, as heir,
legatee, creditor, fiduciary, or otherwise, in
the subject matter in controversy or in a
party to the proceeding, or any other
interest that could be substantially
affected by the outcome of the
proceeding.
In every instance, the judge shall indicate
the legal reason for inhibition.
6. Section 5
Section. 5. Judges shall not allow the use
of their residence by a member of the
legal profession to receive clients of the
latter or of other members of the legal
profession.
COMMENTS:
It is Improper For a Judge To Allow A
Practitioner To Receive His Clients In
His Residence
By entertaining a litigant in his home and
receiving benefits given by said litigant,
respondent miserably failed to live up to
the standards of judicial conduct. (J. King
and Sons v. Hontanosas, Jr., 438 SCRA
527; AM No. RTJ-03-1802, 2004)
7. Section 6
Section 6. Judges, like any other
citizen, are entitled to freedom of
expression, belief, association and
assembly, but in exercising such
rights, they shall always conduct
themselves in such a manner as to
preserve the dignity of the judicial
office and the impartiality and
independence of the judiciary.
COMMENTS:
Judges Do Not Lose Their Rights As
Citizens When They Perform Their
Judicial Roles
When a lawyer is appointed as a judge,
he does not lose any of his fundamental
rights and freedoms guaranteed under the
Constitution. However, in the exercise
thereof there are restrictions which they
must uphold and respect. (Lorenzana v.
Austria, AM No. RTJ-09-2200, April 2014).
Provision of the Canon of Judicial
Ethics relevant to this Section:
Canon 27. Partisan politics. While
entitled to entertain his personal view on
political questions, and while not required
to surrender his rights or opinions as a
citizen, it is inevitable that suspicion of
being warped by political bias will attach
to a judge who becomes the active
promoter of the interests of one political
party against another.
A Judge should avoid making political
speeches, contributions to party funds,
the public endorsement of candidates for
political office, or participating in party
conventions. (Code of Judicial Conduct,
Rule 5.10)
8. Section 7
Section 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.
Actions of Judges Deemed as based
upon his own private interest
1. Making phone calls to a station
commander on behalf of a family friend
who had been detained.
2. Using his judicial power to exact
personal vengeance.
3. Filing a case in his own sala.
4. Posting advertisement for restaurant
personnel on the court bulletin board, for
the promotion of a family business.
9. Section 8
Section 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.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 2.03 - A judge shall not allow family,
social, or other relationships to influence
judicial conduct or judgment. The prestige
of judicial office shall not be used or lent
to advance the private interests of others,
nor convey or permit others to convey the
impression that they are in a special
position to influence the judge.
10. Section 9
Section 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.
COMMENTS:
3. The prohibition to use or disclose
confidential information acquired by
the judge in his judicial capacity is not
absolute. If the purpose of the use or
disclosure is related to their judicial
duties, there is a violation. But if the
purpose is not related to their judicial
duties, there is no violation. (Notice In
Re: Production of Court Records and
Documents and the Attendance of
Court officials and employees,
February 2012).
4.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 5.05 - No information acquired in a
judicial capacity shall be sued or
disclosed by a judge in any financial
dealing or for any other purpose not
related to judicial activities.
11. Sections 10 and 11
Section 10. Subject to the proper
performance of judicial duties, judges
may:
(a) Write, lecture, teach and participate in
activities concerning the law, the legal
system, the administration of justice or
related matters;
(b) Appear at a public hearing before an
official body concerned with matters
relating to the law, the legal system, the
administration of justice or related
matters;
(c) Engage in other activities if such
activities do not detract from the dignity of
the judicial office or otherwise interfere
with the performance of judicial duties.
Section 11. Judges shall not practice law
whilst the holder of judicial office.
COMMENTS:
Judges Cannot Practice Law - The
position of a judge is a lifetime duty and
responsibility. It requires preserving
dedication to the task. The court dockets
of judges are generally clogged with so
many pending cases. There is no time for
judges to pursue another profession,
occupation or calling which equally
requires attention, mindfulness and
vigilance. It covers any activity, in or out of
court, which requires the application of the
law, legal principles, practice or procedure
and calls for legal knowledge, training and
experience. (Mercado v. De Vera, 371
SCRA 251; AC No. 3066, 2001)
PRACTICE OF LAW - Generally, to
engage in their practice is to do any of
those acts which are characteristic of the
legal profession. (In Re: David, 93 Phil.
461, 1954)
Limitations of Sec. 10
1. Participate in legal academia but not
interfere in the performance of the judges
primary functions;
2. Sec. 12 Art. VIII of the Constitution -
prohibits judges from being designated to
any agency performing quasi-judicial or
administrative functions.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 5.07 - A judge shall not engage in
the private practice of law. Unless
prohibited by the Constitution or law, a
judge may engage in the practice of any
other profession provided that such
practice will not conflict or tend to conflict
with judicial functions.
11. Section 12
Section 12. Judges may form or join
associations of judges or participate in
other organizations representing the
interests of judges.
12. Section 13
Section 13. Judges and members of their
families shall neither ask for, nor accept,
any gift, bequest, loan or favor in relation
to anything done or to be done or omitted
to be done by him or her in connection
with the performance of judicial duties.
COMMENTS:
GIFT - refers to a thing or a right of
gratuitously, or any act of liberality, in
favor of another who accepts it. (Section
3(c), R.A. 6713)
LOAN - covers simple loan and
commodatum, as well as guarantees,
financing arrangement or
accommodations intended to ensure its
approval. (Section 3[e], R.A. 6713)
Correlate with R.A. 3019 (Anti-Graft
and Corrupt Practices Act)
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 5.04 - A judge or any immediate
member of the family shall not accept a
gift, bequest, factor or loan from any one
except as may be allowed by law.
13. Section 14
Section 14. Judges shall not knowingly
permit court staff or others subject to
their influence, direction or authority,
to ask for, or accept, any gift, bequest,
loan or favor in relation to anything
done or to be done or omitted to be
done in connection with their duties or
functions.
COMMENTS:
The judge may not directly solicit or
accept gifts, bequests, or loans or favors
in consideration of
a) Something done
b) To be done
c) Omitted to be done
In such a case, the judge is liable for
bribery.
Legal Acts of a Judge that violate CJC:
1. Hearing cases on a day when he was
supposed to be on official leave.
2. Hearing a motion while on vacation in
his room dressed in a polo jacket.
3. Photos showing the judge and his
subordinate coming out of the hotel
together were enough to give the
appearance of impropriety.
4. Sitting beside the counsel of his brother
in the courtroom where the latter was
involved in an election case.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 5.04 - A judge or any immediate
member of the family shall not accept a
gift, bequest, factor or loan from anyone
except as may be allowed by law.
(A) Section 15
(B)
Section 15. Subject to law and to any
legal requirements of public disclosure,
judges may receive a token gift, award or
benefit as appropriate to the occasion on
which it is made, provided that such gift,
award or benefit might not reasonably be
perceived as intended to influence the
judge in the performance of judicial duties
or otherwise give rise to an appearance of
partiality.
COMMENTS:
To avoid any misinterpretation, the
Section described the gift as a token
gift to indicate that it is just a symbolic
gesture. (Aspiras vs. Ganay A.M. No.
RTJ-07-2055, 2009)
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 5.04 - A judge or any immediate
member of the family shall not accept a
gift, bequest, factor or loan from anyone
except as may be allowed by law.
E. EQUALITY
1. Equality of Treatment
Canon 5. EQUALITY
Ensuring equality of treatment to all
before the courts is essential to the due
performance of the judicial office.
COMMENTS:
The judge must treat all litigants with
equality regardless of race, nationality,
sex or religion.
Provision of the Code of Judicial
Conduct relevant to this Section:
Canon 3. A judge should perform official
duties honestly, and with impartiality and
diligence.
2. Section 1
Section 1. Judges shall be aware of,
and understand, diversity in society
and differences arising from various
sources, including but not limited to
race, color, sex, religion, national
origin, caste, disability, age, marital
status, sexual orientation, social and
economic status and other like causes.
COMMENTS:
The Section urges every judge to become
aware of the diversities and differences in
society, and should understand their
sources and reasons for being so, in order
for the judges mind and views not to be
myopic and confined to his immediate
surroundings only.
3. Section 2
Section 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.
A judge shall show no signs of bias or
prejudice toward any person or persons
on irrelevant grounds while in the
performance of his duties. Any display of
bias or prejudice will adversely affect his
image of being an impartial judge.
Provisions of the Code of Judicial
Conduct and Canon of Judicial Ethics
relevant to this Section:
1. Rule 3.07. A judge should abstain from
making public comments on any
pending or impending case and should
require similar restraint on the part of
court personnel.
2. Canon 3. Avoidance of appearance
of impropriety. A judge's official
conduct should be free from the
appearance of impropriety, and his
personal behavior, not only upon the
bench and in the performance of
judicial duties, but also in his everyday
life, should be beyond reproach.
3.
4. Section 3
Section 3. Judges shall carry out judicial
duties with appropriate consideration for
all persons, such as the parties,
witnesses, lawyers, court staff and judicial
colleagues, without differentiation on any
irrelevant ground, immaterial to the proper
performance of such duties.
COMMENTS:
Calling the complainant a greedy and
usurer Chinese woman, tagging her
lawyer as lazy and negligent while
branding her own clerk of court as equally
lazy and incompetent is not language
befitting the esteemed position of a
magistrate of law. (Cua Shuk Yin v.
Perello 474 SCRA 472; AM No. RTJ-05-
1961, 2005)
5. Section 4
Section 4. Judges shall not knowingly
permit court staff or others subject to his
or her influence, direction or control to
differentiate between persons concerned,
in a matter before the judge, on any
irrelevant ground.
COMMENTS:
Judges must see to it that their court
personnel do not discriminate against
anyone in respect to the personnels
performance of their duties, by dispensing
special favors or disclosing to any
unauthorized person any confidential
information. (Code of Conduct for Court
Personnel, Canon 1, Section 3, A.M. No.
03-06-13-SC, 2004)
6. Section 5
Section 5. Judges shall require lawyers in
proceedings before the court to refrain
from manifesting, by words or conduct,
bias or prejudice based on irrelevant
grounds, except such as are legally
relevant to an issue in proceedings and
may be the subject of legitimate
advocacy.
END OF TOPIC
F. COMPETENCE AND DILIGENCE
1. Concept
2.
CANON 6. COMPETENCE AND
DILIGENCE
Competence and diligence are
prerequisites to the due performance of
judicial office.
COMMENTS:
INTELLIGENCE - Possession of
sufficient learning, ability and skill in a
particular discipline enhanced by
actual and sufficient experience in the
field.
Provision of the Code of Judicial
Conduct relevant to this Section:
Rule 3.01 - A judge shall be faithful to
the law and maintain professional
competence.
Rule 3.08 - A judge should diligently
discharge administrative
responsibilities, maintain professional
competence in court management,
and facilitate the performance of the
administrative functions or other
judges and court personnel.
3. Section 1
4.
Section 1. The judicial duties of a judge
take precedence over all activities
COMMENTS:
4. The primary duty of judges is
to hear and decide cases
brought to them for trial and
adjudication. As to Judges
other administrative
assignments, including
organizing special events, the
respondent judge should only
be reminded that decision
making is the primordial and
most important duty of a
member of the judiciary.(Re:
Complaint Against Justice
Asuncion of the Court of
Appeals, A.M. No. 06-6-8-CA,
518 SCRA 512, 2006 ).
5.
Provision of the Code of Judicial
Conduct relevant to this Section:
c. Canon 5. A judge should regulate
extra-judicial activities to minimize
 the risk of conflict of social duties.
d. Rule 5.02 - A judge shall refrain from
financial and business dealing 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. A judge
should so manage investments and
other financial interests as to
minimize the number of cases giving
grounds for disqualifications.
e.
f. Section 2
g.
Section 2. Judges shall devote their
professional activity to judicial duties,
which include not only the performance of
judicial functions and responsibilities in
court and the making of decisions, but
also other tasks relevant to the judicial
office or the courts operations.
COMMENTS:
The loss of not one but eight records is
indicative of gross misconduct and
inexcusable negligence unbecoming of a
judge. For true professionalism in the
bench to exist, judges whose acts
demoralize the ethical standards of a
judicial office and whose acts
demonstrate unfitness and unworthiness
of the prestige and prerequisites attached
to the said office must be weeded out.
(Longboan v. Polig, 186 SCRA 557; AM
No. 704-RTJ, 1990)
A judge should conduct a periodic review
of the archived cases in his sala.
(Administrative Order No. 7-a-92).
If the archived cases have remained
untouched for several years- there is
gross inefficiency. (Surigao Citizens
Movement for Good Government v. Coro,
262 SCRA 285; AM MTJ-96-1099, 1996).
5. Section 3
6.
Section 3. Judges shall take reasonable
steps to maintain and enhance their
knowledge, skills and personal qualities
necessary for the proper performance of
judicial duties, taking advantage for this
purpose of the training and other facilities
which should be made available, under
judicial control, to judges.
COMMENTS:
The maxim ignorance of the law excuses
no one has special application to judges.
(Espiritu v. Javellanos, 280 SCRA 579;
AM No. MTJ-97-1139, 1997). As
advocates of justice and visible
representation of the law, the public
expects judges to be conversant with the
developments of law and jurisprudence
and proficient in their application or
interpretation of it. (Almonte v. Bien, A.M.
No. MTJ-04-1532, 2005)
Having accepted the exalted position of a
judge, whereby he judges his own
fellowmen, the judge owes it to the public
who depends on him and to the dignity of
the court he sits in, to be proficient in the
law. It has been said that a judge is a man
of learning, who spends tirelessly the
weary hours after midnight acquainting
himself with the great body of traditions
and learning the law. Although a judge is
nearing retirement he should not relax in
his study of the law and court decisions.
(Ajeno v. Inserto, 7 SCRA 166; AM No.
1098-CFI, 1976). Those who wield that
judicial gravel have the duty to study our
laws and their latest wrinkles- they owe it
to the public to be legally knowledgeable
for ignorance of the law is the mainspring
of injustice. (Bio v. Valera, 257 SCRA 462;
AM No. MTJ-96-1074, 1996)
Provision of the Code of Judicial
Conduct and Canon of Judicial Ethics
relevant to this Section:
1. Canon 4. Essential Conduct- He
should be temperate, patient,
attentive, impartial, and since he is to
administer the law and apply it to the
facts, he should be studious of the
principles of law, diligent in
endeavoring to ascertain the facts
(CJE)
2. Canon 4. A judge may, with due
regard to official duties, engage in
 activities to improve the law, the legal
system and the administration of
justice (CJC)
3.
4. Section 4
5.
Section 4. Judges shall keep themselves
informed about relevant developments of
international law, including international
conventions and other instruments
establishing human rights norms.
7. Section 5
8.
Section 5. Judges shall perform all
judicial duties, including the delivery of
reserved decisions, efficiently, fairly
and with reasonable promptness.
COMMENTS:
A judge should decide cases with
dispatch. (Castro v. Malazo, 99 SCRA
164. AM No. 1237-CAR, 1980) He should
decide motions of parties without delay,
(Pernea v. Montecillo, 109 SCRA 424. AM
No. 631-CFI, 1981) and should be more
careful, punctual and observant in the
performance of his functions. (Secretary
of Justice v. Bidin, 41 SCRA 742. AM No.
194-J, 1971) The failure of a judge to
decide a case within the period as
specified by the Constitution is
inexcusable and constitutes gross
inefficiency. (Re: Judge Tenerife, 255
SCRA 184. AM No. 94-5-42 MTC, 1996)
Lack of transcript of stenographic notes
shall not be a valid reason to interrupt or
suspend the period for deciding the case.
Unless the case was previously heard by
another judge, in which case the deciding
judge shall have the full period of 90 days
for the completion of the transcripts within
which to decide the same. (Olaguer v.
Judge Ampuan A.M. No. MTJ-10-1769
[Formerly OCA IPI No. 09-2145-MTJ],
2010)
Provision of the Code of Judicial
Conduct and Canon of Judicial Ethics
relevant to this Section:
1. Canon 6. Promptness- He should be
prompt in disposing of all matters to
him, remembering that justice delayed
is often justice denied. (CJE)
2. Rule 1.02 - A judge should administer
justice impartially and without delay.
(CJC)
3. Rule 3.05 - A judge shall dispose of the
courts business promptly and decide
cases within the required periods.
4.
5. Section 6
6.
Section 6. Judges shall maintain order
and decorum in all proceedings before
the court and be patient, dignified and
courteous in relation to litigants,
witnesses, lawyers and others with
whom the judge deals in an official
capacity. Judges shall require similar
conduct of legal representatives, court
staff and others subject to their
influence, direction or control.
Provision of the Code of Judicial
Conduct and Canon of Judicial Ethics
relevant to this Section:
1. Rule 3.03 - A judge shall maintain
order and proper decorum in the
court. (CJC)
2. Rule 3.04- A judge should be patient,
attentive, and courteous to lawyers,
especially the inexperienced, to
litigants, witnesses, and others
appearing before the court. A judge
should avoid unconsciously falling into
the attitude of mind that the litigants
are made for the courts, instead of the
courts for the litigants.
3. Rule 3.08 - A judge should diligently
discharge administrative
responsibilities, maintain professional
competence in court management,
and facilitate the performance of the
administrative functions or other
judges and court personnel.
4. Rule 3.09 - A judge should organize
and supervise the court personnel to
ensure the prompt and efficient
dispatch of business, and require at all
times the observance of high
standards of public service and fidelity.
5.
6. Section 7
7.
Section 7. Judges shall not engage in
conduct incompatible with the diligent
discharge of judicial duties.
III. DISCIPLINE OF MEMBERS
OF THE JUDICIARY
SYLLABUS TOPICS
III. Discipline of Members of the
Judiciary
A. Members of the Supreme Court
1. Impeachment
2. Ethical lessons from Former Chief
Justice Coronas Impeachment
B. Lower court judges and justices of the
Court of Appeals and the Sandiganbayan
(Rule 140)
C. Grounds
D. Impeachment
E. Sanctions imposed by the Supreme
Court on erring members of the Judiciary
A. MEMBERS OF THE SC
1. Impeachment
Art. 11 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.
(1987 Philippine Constitution)
COMMENTS:
A public officer who under the
Constitution is required to be a
Member of the Philippine Bar as a
qualification for the office held by him
and who may be removed from office
only by impeachment, cannot be
charged with disbarment during the
incumbency of such public officer.
Further, such public officer, during his
incumbency, cannot be charged
criminally before the Sandiganbayan or
any other court with any offence which
carries with it the penalty of removal
from office, or any penalty service of
which would amount to removal from
office. (In Re First Indorsemet From
Honorable Raul M. Gonzalez A.M. 88-4-
5433, 1988).
6. Ethical Lessons from Former Chief
Justice Coronas Impeachment
7.
1. The Supreme Court has consistently
reiterated that ''public confidence in
the judicial system is crucial in its
discharge of function. It makes all the
members of the Judiciary responsible
for upholding this confidence.'' (Sarah
Lou Ysmael Arriola and Dan Kevin C.
Mandocdoc, Defining the Paramers of
Judicial Independence and
Accountability in Light of Chief Justice
Corona's Impeachment: An
Examination of the Violation of the
New Code of Judicial Conduct as a
Ground for Betrayal of Public Trust, 56
Ateneo Law Journal, 772, 2012).
2. Justices of the Supreme Court must
make their interests transparent,
whether it be in a public or private
character. Dishonesty is a malevolent
act that has no place in the Judiciary.
(Faelnar vs. Palabrica A.M. No. P-06-
2251, January 20, 2009).
3. A Supreme Court Justice can be
impeached on the ground of Culpable
Violation of the Constitution and/or
Betrayal of the Public Trust when
he/she fails to render an accurate and
complete disclosure to the public of
his/her Statement of Assets, Liabilities,
and Net Worth as required under Sec.
17, Art. XI of the 1987 Constitution.
4. The private life of an employee cannot
be segregated from his public life.
Dishonesty inevitably reflects on the
fitness of the officer or employee to
continue in office and the discipline
and morale of the service.(Nera vs.
 Garcia G.R. No. L-13160 106 Phil
1031.1960).
5. There is nothing in R.A. No. 6426
(FCD Act) which prohibits the
depositor from making a declaration
on his own of such foreign currency
funds, especially where the
Constitution mandates the depositor
who is a public officer to declare all
assets under oath.
6. All the law (RA 6426) prohibits is the
depository banks and third parties
from disclosing the account. The
public officer is still mandated to
uphold accountability and
transparency. CANON 1 - A LAWYER
SHALL UPHOLD THE
CONSTITUTION, OBEY THE LAWS
OF THE LAND AND PROMOTE
RESPECT FOR LAW AND LEGAL
PROCESSES
7. Even if the depositor who is a public
official claims the defense of good
faith under RA 6426, But given his
broad experience in public law and
practice in investment advisory
services, his willful and deliberate
omission, together with the magnitude
of the subject matter, amounts to a
culpable violation. RULE 1.02 - A
LAWYER SHALL NOT COUNSEL OR
ABET ACTIVITIES AIMED AT
DEFIANCE OF THE LAW OR AT
LESSENING CONFIDENCE IN THE
LEGAL SYSTEM.
8. A court interpreter can be dismissed
from service because she fails to
disclose in her SALN that she rented a
market stall.(Rabe vs. Flores A.M. No.
P-97-1247., 1997).
9. Inconsistencies of declarations in the
SALNs of the public officer, such as a
sheriff warrant a penalty of dismissal
from the service. (Concerned
Taxpayer vs. Doblada [A.M. No. P-99-
1342, 2005).
10. Requisites for the Ombudsman to
mete preventive suspension:
a. Charge involves dishonesty,
oppression, grave misconduct or
neglect of duty
b. Charges would warrant removal
from service
c. Respondents continued stay in
office may prejudice the case filed
against him
Under RA 3019, prior notice of the
non-completion of the SALN and
its correction is not needed for
charges to be validly filed against
him. In other words, under RA
3019 (under which he is also
charged), he does not have to be
given the chance to correct his
SALN before charges can be filed
against him. It is also not condition
precedent for him to be charged
for dishonesty and grave
misconduct. (Carabeo vs. Court of
Appeals G.R. Nos. 178000 and
178003, 2009).
11. Failure to declare motor vehicles
warrants dismissal as Regional
Director II of the BIR.(Flores vs.
Montemayor G.R. No. 170146. August
25, 2010).
12. All public officials and employees,
except those who serve in an
honorary capacity, laborers and casual
or temporary workers, shall file under
oath their Statement of Assets,
Liabilities and Net Worth and a
Disclosure of Business Interests and
Financial Connections and those of
their spouses and unmarried children
under eighteen (18) years of age living
in their households.(RA 6713 Code of
Conduct and Ethical Standards for
Public Officials and Employees
Section 8[a]).
2.
13. Who must file and where must it be
filed?
Officer Where
Constitutional Ombudsman
officials (Consti
Commissions)
National Elective
Officials
Officer Where the assets in question amount to over
P180 million. (Explanation of vote:
Senators Respective Secretaries Judge Sergio Osmena III)
Congressman of the each chamber 16. There is no such thing as a SALN so
statistically perfect that it is precise to
SC Justices Clerk of court of SC the last decimal point. If a government
employee is asked to catalogue what
All National Office of President he owes and what he owns, some
Executive officials information may fall into the crack, not
(cabinet) as an act of deliberate concealment,
Regional and local Deputy Ombudsman in but as an unwitting omission done in
officials and respective region good faith. However, in the case of the
employees Chief Justice's SALN, the undeclared
(mayors, assets are so huge, 50 times more
governors) than what he declared in cash - 2.4
million in US dollar deposits, 80 million
Armed forces Office of the President in peso deposits - that they cannot be
officers (colonel or brushed aside as innocent exclusions.
naval captain) (Explanation of vote: Judge Ralph
Recto)
Armed forces Deputy Ombudsman in 17. The fact of comingling, I can accept
officers lower than respective region that but the huge amount involved
colonel or naval leaves too much doubt in my mind. In
captain our interpretation of the law, we who
Others Civil Service hold a position of public trust, must
Commission choose the interpretation that will
uphold pubic interest over private
0. interest. Regardless of whether malice
1. or an intent to suppress the truth was
present, we must remember that
14. Failure to file SALNs without Public office is a public trust. Once
explanation warrants a penalty. While that trust is gone, we must step down
every office in the government service to preserve the integrity of the position
is a public trust, no position exacts a we hold. (Explanation of vote: Judge
greater demand on moral Pia Cayetano.)
righteousness and uprightness of an 18. If, indeed, any of the Respondent's
individual than a seat in the Judiciary. cash deposits were co-mingled with
Hence, judges are strictly mandated to the funds belonging to other parties
abide with the law, the Code of such as the Basa Guidote Enterprises,
Judicial Conduct and with existing Inc. (BGEI) or his children, the
administrative policies in order to Respondent was still duty bound to
maintain the faith of our people in the declare these deposits in his SALN,
administration of justice. Relate to: they being admittedly under his name.
RULE 2.01 - A JUDGE SHOULD SO The evidence is devoid of any
BEHAVE AT ALL TIMES AS TO indication that the Chief Justice was
PROMOTE PUBLIC CONFIDENCE IN holding these funds in trust for or that
THE INTEGRITY AND IMPARTIALITY they were actually beneficially owned
OF THE JUDICIARY. (Code of by anyone other than himself or his
Judicial Conduct) wife. His deliberate act of excluding
15. If public officers had been dismissed substantial assets from his sworn
from office for failing to declare far Statement of Assets, Liabilities and
less remarkable and less valuable Net Worth constitutes a culpable
assets in their SALN's, despite and violation of the Constitution.
regardless of their excuses, then there (Explanation of Vote: Senate
is more reason to apply the law when President Juan Ponce Enrile.)
19.
20. SUB JUDICE DOES NOT APPLY IN
IMPEACHMENT
21.
3. The nomination and selection of
Francis Jardaleza as a Supreme Court
Justice
Atty. J was nominated to a vacant seat in
the SC. During the JBC deliberations, the
Chief Justice manifested that she was
invoking the unanimity rule under the
JBC Rules, i.e. when the integrity of the
applicant not otherwise disqualified is
questioned, then the affirmative vote of all
the members of the JBC is needed for a
favorable consideration of his nomination.
Atty. J garnered enough votes, but was
excluded by the invocation of the
unanimity rule. Atty. J filed a petition for
certiorari and mandamus to compel his
inclusion.
(a) Does the SC have jurisdiction?
A: Yes, the SC has supervisory authority
over the JBC. It has the duty to see to it
that rules are followed, and may order the
work done or redone. However, the SC
cannot grant mandamus directing the JBC
to include Atty. J in the JBC shortlist
because the duty to nominate is
discretionary.
(b) Is there a valid question on
integrity when the accusation is based on
facts or matters calling for professional
judgment?
A: No, a disagreement in legal opinion is
normal in the legal community. To
question ones integrity, there must be an
act linked to the moral character, and not
to his judgment as a professional.
(c) Is there a demandable right to due
process in the JBC proceedings?
A: Yes. The fact that the proceedings are
sui generis and impressed with discretion
does not take away the applicants
entitlement to due process.
(d) Atty. J was invited by the JBC to
attend a meeting to explain his side.
However, he declined, stating that he
wished to have a sworn statement of the
allegations against him, and to cross
examine the Chief Justice in a public
hearing. The JBC convened without Atty.
J and proceeded to decide the nominees
in the shortlist. Atty. J claims a violation of
due process. Decide.
A: His right to be informed and defend
himself was violated when the JBC failed
to inform him of the specific charges
against him, because he was merely
asked to appear in a meeting where he
would be, right there and then, subjected
to an inquiry. (Jardeleza v. Sereno, G.R.
No. 213181, August 19, 2014.)
B. LOWER COURT JUDGES AND
JUSTICES OF THE
SANDIGANBAYAN AND COURT OF
APPEALS
Art. 8 6. The Supreme Court shall
have administrative supervision over
all courts and the personnel thereof.
(1987 Philippine Constitution.)
COMMENTS:
Article VIII, Section 6 of the 1987
Constitution exclusively vests in the
Supreme Court administrative supervision
over all courts and court personnel, from
the Presiding Justice of the Court of
Appeals down to the lowest municipal trial
court clerk. By virtue of this power, it is
only the Supreme Court that can oversee
the judges' and court personnel's
compliance with all laws, and take the
proper administrative action against them
if they commit any violation thereof. No
other branch of government may intrude
into this power, without running afoul of
the doctrine of separation of powers.
The Ombudsman cannot justify its
investigation of petitioner on the powers
granted to it by the Constitution, for such
a justification not only runs counter to the
specific mandate of the Constitution
granting supervisory powers to the
Supreme Court over all courts and their
personnel, but likewise undermines the
independence of the judiciary.
Thus, the Ombudsman should first refer
the matter of petitioner's certificates of
service to this Court for determination of
whether said certificates reflected the true
status of his pending case load, as the
Court has the necessary records to make
such a determination. The Ombudsman
cannot compel this Court, as one of the
three branches of government, to submit
its records, or to allow its personnel to
testify on this matter, as suggested by
public respondent Abiera in his affidavit-
complaint. (Maceda v. Vasquez, G.R.
102781, 1993.)
a. In re: the case of Associate Justice
Gregory S. Ong
Janet Lim Napoles was charged before
the Sandiganbayan concerning
controversy involving Kevlar helmets.
Justice Ong was accused of gross
misconduct, partiality, corruption and
bribery after the acquittal. It was alleged
that during the pendency of the Kevlar
case, Justice Ong was the contact of
Ms. Napoles in the Sandiganbayan. A
news website also showed a photo of
Justice Ong together with Ms. Napoles,
and other people involved in the Pork
Barrel controversy. Justice Ong also failed
to disclose in his letter to the Chief Justice
(sent prior the administrative proceedings)
that he actually visited Ms. Napoles,
despite his denial that he socialized with
her.
(a) Is direct evidence of wrongdoing
required in an administrative case for
gross misconduct?
No. In administrative proceedings, only
substantial evidence is required. Justice
Ongs actions during and after the
pendency of the trial constitutes gross
misconduct, notwithstanding absence of
direct evidence of corruption and bribery.
(b) Justice Ong raised the defense
that he was not the ponente of the
decision acquitting Ms. Napoles. Is his
argument meritorious?
A: No, by the mere act of going to Ms.
Napoles office, Justice Ong exposed
himself to the suspicion of partiality. The
suspicion of partiality was not abolished,
notwithstanding the fact that the decision
was promulgated as part of a collegial
body.
(c) May a judge meet with litigants in
pending cases before him or her?
A: No, such acts are grossly improper and
violate Section 1, Canon 4 (Propriety) of
the New Code of Judicial Conduct. A
judge must be impartial, and fraternizing
with litigants tarnishes this appearance.
(d) Is the rule on propriety limited to
pending or prospective litigation, and not
those which have been completed?
a A: No. It covers all times, because judges
must be beyond reproach and should
avoid the mere suggestion of partiality
and impropriety. Because magistrates are
under constant public scrutiny, the
termination of a case will not deter public
criticisms for acts which may cast
suspicion on its disposition or resolution.
(e) Is there any liability for failing to
disclose that Justice Ong met with Ms.
Napoles prior to the initiation of the
administrative proceedings?
A: Being untruthful on crucial matters
amounts to dishonesty, a violation of
Canon 3 (Integrity) of the New Code of
Judicial Ethics. Dishonesty, being a
grave offense, carries the extreme
penalty of dismissal from the service
with forfeiture of retirement benefits
except accrued leave credits, and with
perpetual disqualification from re-
employment in government service.
(Re: Allegations made under oath at
the Senate Blue Ribbon Committee
hearing held on September 26, 2013
Against Associate Justice Gregory S.
Ong, Sandiganbayan (A.M. No. SB-14-
21-J.) September 23, 2014] From Q35
of Blue Tips
C. GROUNDS AND
CORRESPONDING SANCTIONS
RULE 140
Discipline of Judges of Regular and
Special Courts and Justices of the
Court of Appeals and the
Sandiganbayan
SEC. 8. Serious charges. Serious
charges include:
1. Bribery, direct or indirect;
2. Dishonesty and violations of the
Anti-Graft and Corrupt Practices
Law (R.A. No. 3019);
3. Gross misconduct constituting
violations of the Code of Judicial
Conduct;
4. Knowingly rendering an unjust
judgment or order as determined
by a competent court in an
appropriate proceeding;
5. Conviction of a crime involving
moral turpitude;
6. Willful failure to pay a just debt;
7. Borrowing money or property from
lawyers and litigants in a case
pending before the court;
8. Immorality;
9. Gross ignorance of the law or
procedure;
10. Partisan political activities; and
11. Alcoholism and/or vicious habits.
SEC. 9. Less Serious Charges. Less
serious charges include:
a. Undue delay in rendering a
decision or order, or in
transmitting the records of a
case;
b. Frequently and unjustified
absences without leave or
habitual tardiness;
c. Unauthorized practice of law;
d. Violation of Supreme Court
rules, directives, and circulars;
e. Receiving additional or double
compensation unless
specifically authorized by law;
f. Untruthful statements in the
certificate of service;
g. Simple Misconduct.
SEC. 10. Light Charges. Light charges
include:
1. Vulgar and unbecoming conduct;
2. Gambling in public;
3. Fraternizing with lawyers and litigants
with pending case/cases in his court;
and
4. Undue delay in the submission of
monthly reports.
SEC. 11. Sanctions.
A. If the respondent is guilty of a serious
charge, any of the following sanctions
may be imposed:
1. Dismissal from the service,
forfeiture of all or part of the
benefits as the Court may
determine, and disqualification
from reinstatement or appointment
to any public office, including
government-owned or controlled
corporations. Provided, however,
that the forfeiture of benefits shall
in no case include accrued leave
credits;
2. Suspension from office without
salary and other benefits for more
than three (3) but not exceeding
six (6) months; or
3. A fine of more than P20,000.00 but
not exceeding P40,000.00
B. If the respondent is guilty of a less
serious charge, any of the following
sanctions shall be imposed:
1. Suspension from office without
salary and other benefits for not
less than one (1) nor more than
three (3) months; or
2. A fine of more than P10,000.00
but not exceeding P20,000.00.
C. If the respondent is guilty of a light
charge, any of the following sanctions
shall be imposed:
A fine of not less than P1,000.00
but not exceeding P10,000.00
and/or
Censure;
Reprimand;
Admonition with warning.
Cases when a less serious offense
becomes a serious offense (Agpalo,
Legal and Judicial Ethics, 708, 718,
2009)
a. Commission of two or more
administrative offenses alleged
in the same administrative
complaint.
b. Repeated commission of a
less serious offense or light
offense.
Procedure for filing an administrative
complaint (Rule 140, RRC):
Complaint in writing;
Setting forth clearly the facts and
circumstances relied upon; AND
Sworn to and supported by
affidavits and documents.
Service or dismissal;
a. If the charge is WITH MERIT, a
copy will be served upon the
respondent, requiring him to
answer within 10 days from the
date of service.
b. If not or the answer shows to
the satisfaction of the court that
the charges are NOT
MERITORIOUS, it will be
dismissed which must followed by
an answer within 10 days from
date of service.
Hearing;
Report filed with the Supreme
Court of findings accompanied by
evidence and documents.
Malfeasance under the RPC:
Knowingly Rendering Unjust
Judgment (Art. 204, RPC);
Judgment Rendered Through
Negligence (Art. 205, RPC).
D. IMPEACHMENT (ETHICAL
ASPECTS)
Conduct of Prosecutors
The Prosecutors of the House who are
members of the Bar are of course covered
by the Code of Professional responsibility
even in their conduct in impeachment
proceedings
Acts done during CJ Corona's
impeachment:
Atty. Aguirre covered his ears
while Senator-judge Santiago was
'lecturing' the prosecutors.
1. Applicable Canons/ Rules:
a. Canon 11. A lawyer shall
observe and maintain the
respect due to the courts
and to judicial officers and
should insist on
similar conduct by others.
(Code of Professional
Responsibility, Canon 11)
b. Canon 7 - A lawyer shall at
all times uphold the
integrity and dignity of the
legal profession and
support the activities of the
integrated bar. (Code of
Professional
Responsibility, Canon 7)
Ducat, Jr. v. Villalon Jr. (337 SCRA
622, 629, 2000):
''Public confidence in law and
lawyers may be eroded by the
irresponsible and improper conduct of a
member of the Bar. Thus, every lawyer
should act and comport himself in such a
manner that would promote public
confidence in the integrity of the legal
profession. Members of the Bar are
expected to always live up to the
standards of the legal profession as
embodied in the Code of Professional
Responsibility.''
Unpreparedness of prosecutors
Examples:
When questioned by Senator-
judge Cayetano about how the House
prepared their Article on Corona's failure
to disclose his Statement of Assets and
Liabilities and Net Worth (SALN) when in
fact they had not seen the SALNs,
Prosecutor Barzaga merely replied that
the charges were merely ''based on
reports,'' (The Chief Justice on Trial
Timeline, GMA News Online) without any
personal knowledge or investigation on
their end.
 The prosecution team presented
evidence consisting of bank records which
they claimed to have been given by a
''small lady'' whom they did not know. (Id.)
On day 21 of the Trial, Presiding
Officer Enrile scolded the House
prosecutors for consistently failing to
prepare their evidence, and instead, to
cover for their shortcomings, seek to avail
of the Court's compulsory processes to
fish out evidence. (Id.)
Applicable Canons/ Rules (of the
Code of Professional
Rresponsibility):
CPR, Canon 18 A lawyer shall
serve his client with competence and
diligence.
CPR, Rule18.02 A lawyer shall
not handle any legal matter without
adequate preparation.
CPR, Canon 12 A lawyer shall
exert every effort and consider it his duty
to assist in the speedy and efficient
administration of justice.
CPR, Rule 12.01 - A lawyer shall
not appear for trial unless he has
adequately prepared himself on the law
and the facts of his case, the evidence he
will adduce and the order of its
preferences. He should also be ready with
the original documents for comparison
with the copies.
CPR, Canon 19 A lawyer shall
represent his client with zeal within the
bounds of the law.
CPR, Rule 19.01 - A lawyer shall
employ only fair and honest means to
attain the lawful objectives of his client
and shall not present, participate in
presenting or threaten to present
unfounded criminal charges to obtain an
improper advantage in any case or
proceeding.
''Public Trial''
In a number of instances,
evidence to be presented on trial,
even prior to such being admitted
in court, found its way to the
public; either through a press-
conference by the prosecution, or
by some other more clandestine
means.
Examples:
The prosecution presented to the
media that they were going to expose 45
of Corona's properties. However, upon
questioning, they later on admitted that
they were only going to present 24,
claiming as a defense that the list of the
45 properties did not come from them, but
from the Land Registration Authority. And
this was said to have been found
''revolting'' by the defense. (The Chief
Justice on Trial Timeline, GMA NEWS
ONL)
it was pointed out by senator-
judge Joker Arroyo that some of the ITRs
of CJ Corona, prior to their presentation at
the trial, were released to press, despite it
being a ''very confidential'' document. And
yet again, the prosecution denied
releasing the said ITRs. (Id.)
Applicable Canons/ Rules
Rule 18 of the Senate Rules on
Impeachment Trials: The Presiding Officer
and the Members of the Senate shall
refrain from making any comments and
disclosures in public pertaining to the
merits of a pending impeachment trial.
The same shall likewise apply to the
prosecutors, to the person impeached,
and to their respective counsel and
witnesses. (S. Rules of Procedure on
Impeachment Trials, Rule 18.)
CPR, Canon 13 A lawyer shall
rely upon the merits of his cause and
refrain from any impropriety which tends
to influence, or gives the appearance of
influencing the court.
CPR, Rule 13.02 A lawyer shall
not make public statements in the media
regarding a pending case tending to
arouse public opinion for, or against a
party.
CPR, Rule 10.03 A lawyer shall
observe the rules of procedure and shall
not misuse them to defeat the ends of
justice.
Conduct of Defense
a. P100 million offer
At a press conference held by the
Defense team at Club Filipino, the
defense team declared and
accused that Malacanang had
tried to influence the senator-
judges to vote for the opening of
 CJ Corona's dollar account which removed in accordance
was supposedly protected by the with our rules on
Foreign Currency Deposits Act. ethics.''(Only drilon can
And by this he claimed that decide on inhibition of
allegedly P100million were offered fellow senators, PHIL.
to each senator-judge. (The Chief DAILY INQ)
Justice on Trial Timeline, GMA
NEWS ONL.) E. SANCTIONS IMPOSED BY THE
Applicable Canons/ Rules: SUPREME COURT ON ERRING
a. CPR, Canon 13 A MEMBERS OF THE JUDICIARY
lawyer shall rely upon
the merits of his cause The Supreme Court has the mandate to
and refrain from any oversee that all judges and justices of the
impropriety which tends judiciary comply with the law and the
to influence, or gives Rules of Court (Agpalo, Legal and
the appearance of Judicial Ethics, 686, 2009, & 1987
influencing the court. CONST. Art. VIII, Sec. 6). All complaints
CPR, Rule 13.02 A lawyer shall not against such judges or justices are lodged
make public statements in the media with the Supreme Court. (Maceda v.
regarding a pending case Vasquez, 221 SCRA 464, 1993)
tending to arouse public opinion
for, or against a party. General grounds for administrative
b. charges (Agpalo, Legal and Judicial
Conduct of Senator-Judges Ethics, 686, 2009)
Senator Drilon's alleged bias 1. Malfeasance performance of
o Defense counsel some act which ought not to be
Serafin Cuevas done
raised the issue on 2. Misfeasance improper
some senator- performance of some act which
judges ''acting as might lawfully be done
prosecutors'' in aid 3. Nonfeasance omission of an act
of the House which ought to be performed
prosecutors. He (Government Auditing Rules and
was referring to Regulations, COA Circular No. 91-
Senator Drilon, who 368, 1991).
on his own motion
actually had a General grounds for suspension and
witness recalled for dismissal (Agpalo, Legal and Judicial
his own Ethics, 686-687, 2009, 8th Ed).
questioning. (The 1. Those related to the discharge of
Chief Justice on the functions of the office
Trial Timeline, GMA concerned, such as neglect of
NEWS ONL.) duty, oppression, corruption or
o Presiding Officer Enrile other forms of mal-administration,
said in reply that ''inhibition etc.
is personal to each 2. Those not related to, or connected
senator'' and as such with, the functions of the office,
Drilon cannot be compelled such as the commission of a
to do so. He may not also crime.
be disqualified as well, 3. Grounds falling under the first
since ''Under the category may be proceeded
Constitution, he is entitled against administratively at one,
to sit in all proceedings of while those falling under the
the Senate unless he is second category requires a final
 judgment of conviction unless the
act committed constitutes a
violation of the Code of Judicial
Conduct. (Provincial Board of
Zamboanga del Norte v. Guzman,
21 SCRA 957, 1967).
Charges are classified as serious, less
serious and light charges (Agpalo, Legal
and Judicial Ethics, 687, 2009)
6. Different jurisprudence on the
discipline of members of the Judiciary
Conduct unbecoming of a judge
Section 35 of Rule 138 of the Rules of
Court expressly prohibits sitting
judges from engaging in the private
practice of law or giving professional
advice to clients. Thus, a judge cannot
sit as co-counsel in an administrative
case even if his co-counsel is his
daughter who recently passed the bar.
Section 11, Canon 4 (Propriety), of the
New Code of Judicial Conduct and
Rule 5.07 of the Code of Judicial
Conduct reiterate the prohibition from
engaging in the private practice of law
or giving professional advice to
clients. (Decena v. Malanyaon A.M. No.
RTJ-10-2217, 2013).
The Supreme Court held that it was
improper for a judge to visit jails and to
confer with inmates who have pending
cases before her. The Court has
consistently enjoined judges to avoid
not just impropriety in their conduct
but even the mere appearance of
impropriety. The appearance of bias or
prejudice can be damaging as actual
bias or prejudice to the publics
confidence on the Judiciarys role in
the administration of justice.
(Prosecutors Casar, et al. v. Soluren
A.M. No. RTJ-12-2333, October 22,
2012).
IV. DISQUALIFICATION OF
JUDGES (RULE 137)
SYLLABUS TOPICS
IV. Disqualification of Judges and Justices
(Rule 137)
A. Compulsory
B. Voluntary
1. Compulsory
Compulsory disqualifications are
mandatory and the judge has no option
but to inhibit himself/herself from the case
(Alexander Ortiz v. Judge Ibarra Jaculbe,
Jr., A.M. No. RTJ-04-1833, 2005; Rule
137, Rules of Court; Rule 3.12, Canon 3,
Code of Judicial Conduct) A judge has the
duty to render a just decision and to do so
in a manner that leaves his reputation for
fairness and integrity completely free from
suspicion (Sergio Del Castillo v. Manuel
Javelona, et al., G.R. No. L-16742, 1962).
Under Rule 137 Sec. 1, judges are
disqualified from sitting in a case when:
a. The judge, judicial officer or his
wife or child is pecuniarily
interested in as heir, creditor or
otherwise
b. The judge or judicial officer is
related to either party within the
sixth degree of consanguinity or
affinity
c. The judge or judicial officer is
related to counsel within the fourth
degree of consanguinity or affinity
d. The judge or judicial officer has
previously participated as the
executor, administrator, guardian,
trustee or counsel to ruling or
decision subject of review
e. The judge or judicial officer
previously participated by
presiding over the case in any
inferior court over the ruling or
decision subject of review
This disqualification may be waived by
the parties-in-interest, by signing a written
waiver and entering the same upon the
record of the court (Rule 137, Sec. 1, first
paragraph, Rules of Court).
If a judge or judicial officer fails to inhibit
himself, the party objecting to his
competency may (Rule 137, Sec. 2,
Rules of Court):
File his objection in writing with the
official, stating the grounds
therefor.
The official, after determining the
question of his disqualification,
shall act either to withdraw from
the case or proceed with trial.
The decision of the official shall be
in writing and filed with the other
papers of the case.
No appeal or stay of the officials
decision may be taken until final
judgment in the main case.
THE FOLLOWING ARE NOT
DISQUALIFIED UNDER RULE 137, SEC.
1:
That the counsel and judge were
classmates (Vda. de Bonifacio v.
B.L.T. Bus Co., Inc., G.R. No. L-
26810, August 31, 1970).
That the counsel and judge were
associates when the judge was
practicing law (Domingo Austria v.
Hon. Antonio Masaquel, G.R. No.
L-22536, 1967).
Voluntary
A judicial officer in the exercise of his
sound discretion, may disqualify himself
for any other valid cause other than those
stated in the first paragraph of the first
paragraph of Section 1, Rule 137 (Rule
137, Sec. 1, second paragraph, Rules of
Court).
There are no expressly enumerated
grounds for voluntary inhibition and such
is left to the sound discretion of the judge
(Rodolfo E. Parayno, et. al. v. Hon.
Iluminado Meneses, et al, G.R. No.
112684, 1994).
The basis for voluntary inhibition should
be based on just and valid reasons
(Rodolfo E. Parayno, et. al. v. Hon.
Iluminado Meneses, et.al., G.R. No.
112684, April 26, 1994) ascertained by the
judge after a rational and logical
assessment of the circumstances
prevailing in the case (Antonia Gutang,
et al., v. Court of Appeals, et al., G.R. No.
124760, 1998).
There is no hard and fast rule in
determining when a judge should
voluntarily inhibit himself, such must be
taken on a case to case basis (Antonia
Gutang, et al., v. Court of Appeals, et al.,
G.R. No. 124760, 1998). Voluntary
inhibition is based on the sound discretion
and conscience of the judge, a subjective
test that reviewing tribunals will not disturb
absent any showing of manifest
arbitrariness or whimsicality as such
judges are in the better position to
determine the issue on inhibition as they
deal directly with the parties in their courts
(Antonia Gutang, et al., v. Court of
Appeals, et al., G.R. No. 124760, 1998).
A judicial officer may voluntarily inhibit
himself on the ground of delicadeza when
a suggestion is made on record that he
might be induced to favor one party over
the other or with bias or prejudice against
a litigant (Antonia Gutang, et al., v. Court
of Appeals, et al., G.R. No. 124760,
1998).
In such cases, the judge must conduct
self-examination and exercise his
discretion in such a way that the peoples
faith in the courts are not impaired
(Pimentel v. Salonga, G. R. No. 27934,
1967).
The judge must keep in mind a salutary
norm, that his actions should not cause a
losing party to nurture at the back of his
mind that the judge tilted the scales of
justice against him (Pimentel v. Salonga,
G. R. No. 27934, 1967).
While inhibition is not allowed at every
instance that a friend, classmate,
associate or patron of a judge appears
before him as a counsel of record, a
judge may inhibit himself on the
ground of fear that he is suspected of
surrendering to or succumbing to
utang na loob to counsel who
recommended him to his post (Query
of Executive Judge Estrella T. Estrada,
Regional Trial Court of Malolos,
Bulacan, on the conflicting views of
Regional Trial Court Judges
Masadao and Elizaga RE: Criminal
Case No. 4954-M, A.M. No. 87-9-3918-
RTC, 1987) in extraordinary cases
when bias or prejudice is unavoidable
(Basilio Palang v. Hon. Mariano Zosa,
G.R. No. L-38229, August 30, 1974).
Utang na loob, per se, should not be
a hindrance to the administration of
justice or serve to prevent a judge from
doing his duties (Query of Executive
Judge Estrella T. Estrada, Regional
Trial Court of Malolos, Bulacan, on the
conflicting views of Regional Trial
Court Judges Masadao and Elizaga
RE: Criminal Case No. 4954-M, A.M.
No. 87-9-3918-RTC, 1987).
END OF TOPIC
V. POWERS AND DUTIES OF
COURTS AND JUDICIAL
OFFICERS (Rule 135, Rules of
Court)
A. COURTS (RULE 135, SEC. 1)
1. General Responsibilities
Shall always be open for filing of any
pleading, motion, or other papers, for
the trial of cases, hearing of motions,
and for the issuance of orders or
rendition of judgments.
Official business hours: 8:00am to
4:30pm.
EXCEPTION: Legal holidays
Impartial administration of justice
without unnecessary delay
Must be open to the public
Exception: May exclude the public
when, given the nature of the
evidence to be adduced, it is in the
interest of morality or decency.
Records (Rule 135, Sec. 2) shall be
public records and shall be available for
the inspection of any interested person
Requirements:
(1) Proper business hours
(2) Under the supervision of the clerk
having custody of such records
EXCEPTION: The court forbids it in the
interest of morality or decency.
2. Enforceability
3.
Superior Courts (Rule 135, Sec. 3)
Process issued may be enforced in any
part of the Philippines when:
A case is pending to bring
in a defendant
Or for the arrest of any
accused person
Or to execute any order or
judgment of the court
Inferior Courts (Rule 135, Sec. 4) The
process shall be enforceable within the
province where the municipality or city
lies.
EXCEPTIONS: With the approval of the
judge of first instance of said province,
and only in the following cases:
When an order for the delivery of
personal property lying outside
the province is to be complied with;
When an attachment of real or
personal property lying outside the
province is to be made;
When the action is against two or
more defendants residing in
different provinces; and
When the place where the case
has been brought is that specified
in a contract in writing between the
parties, or is the place of the
execution of such contract as
appears therefrom.

Inherent Powers of Courts (Rule 135,
Sec. 5)
a. To preserve and enforce order in its
immediate presence;
b. To enforce order in proceedings
before it, or before a person or
persons empowered to conduct a
judicial investigation under its
authority;
c. To compel obedience to its
judgments, orders and processes,
and to the lawful orders of a judge
out of court, in a case pending
therein;
d. To control, in furtherance of justice,
the conduct of its ministerial
officers, and of all other persons in
any manner connected with a case
before it, in every manner
appertaining thereto;
e. To compel the attendance of
persons to testify in a case pending
therein;
f. To administer or cause to be
administered oaths in a case
pending therein, and in all other
cases where it may be necessary in
the exercise of its powers;
g. To amend and control its process
and orders so as to make them
conformable to law and justice;
h. To authorize a copy of a lost or
destroyed pleading or other paper
to be filed and used instead of the
original, and to restore, and supply
deficiencies in its records and
proceedings.
Judicial Officers
a. Jurisdiction (Rule 135, Sec. 6)
By law, jurisdiction is conferred
o All auxiliary writs, processes and other
means necessary to carry it into effect
may be employed by court or officer.
Not specifically pointed out by law
o Any suitable process or mode of
proceeding may be adopted which
appears comfortable to the spirit of the
law or rules.
o Trials (Rule 135, Sec. 7)
Trial upon the merits Shall be
conducted in open court and so far as
convenient in a regular court room.
All other acts or proceeding May
be done or conducted by a judge in
chambers, without the attendance of the
clerk or other court officials.
o
o Powers of Judicial Officers (Rule
135, Sec. 8)
o
1. A judge of first instance
Power to hear and determine any
interlocutory motion or issue after due
and reasonable notice to the parties.
2. Where: when within the district though
without his province
Power to choose any place, in the
judicial district, for the hearing.
3.
4. In cases of:
5.
Filing of a petition for the writ of habeas
corpus
For release upon bail
Reduction of bail in any Court of First
Instance
Preparing and signing judgements out of
province/within the Philippines. (Rule 135,
Sec. 9)
3. In cases of: A judge leaves the
province by transfer or assignment to
another court of equal jurisdiction or by
expiration of his temporary assignment.
4.
Without having decided a case totally
heard by him and which was argued/an
opportunity given for argument to the
parties.
Procedure: send the judgement by
registered mail to the clerk of the court
where the case was heard to be filed
therein as of the date when the same was
received by the clerk.
Without having decided a case partly
heard by him.
Procedure: the Supreme Court may The clerk may The clerk may:
authorize to continue hearing and to perform all the -receive the
decide: duties of the judge: accounts of
Upon petition of any of the parties to -receiving executors,
the case or applications, administrators,
The recommendation of the respective petitions, guardians, trustees,
district judge inventories, reports and receivers, and
If no other judge had heard the case in -issuance of all all evidence relating
part. orders and notices to them, or to the
that follow as a settlement of the
END OF TOPIC matter of course estates of deceased
under the rules persons, or to
guardianships,
trusteeships, or
VI.COURT RECORDS AND receiverships
GENERAL DUTIES OF -transmit such
reports, accounts,
CLERKS AND and evidence to the
STENOGRAPHERS (Rule 136) judge, together with
his findings in
relation to the same,
if the judge shall
direct him to make
A. CLERK OF COURT findings and include
the same in his
1. Office (Rule 136, Sec. 3) report.
The clerk of the Supreme Court and that
of the Court of Appeals shall keep office at
Manila and all papers authorized or
required shall be filed at Manila.

The clerk's office shall be open during

business hours on all days except
Sundays and legal holidays, with the clerk
or his deputy in attendance.

a. General Duties (Rule 136, Sec. 5)

b.
IN THE ABSENCE WHEN DIRECTED a. Issuance of process (Rules 136,
OF THE JUDGE BY THE JUDGE Sec. 4)
b.
To issue under the seal of the court all
ordinary writs and process incident to
pending cases, the issuance of which
does not involve the exercise of
functions appertaining to the court or
judge only
To make out and sign letters of
administration, appointments of
guardians, trustees and receivers, and
all writs and process issuing from the
court under the direction of the court or
judge.

b. Receive papers and prepare
minutes (Rules 136, Sec. 6)
c.
To issue under the seal of the court all
ordinary writs and process incident to
pending cases, the issuance of which
does not involve the exercise of
functions appertaining to the court or
judge only
To receive and file all pleadings and
other papers properly presented
To endorsing on each such paper the
time when it was filed
To attend all of the sessions of the
court and enter its proceedings for
each day in a minute book to be kept
by him.
c.Safekeeping of property (Rules
136, Sec. 7)
d.
e. To safely keep all records, papers,
files, exhibits and public property
committed to his charge, including the
library of the court, and the seal and
furniture belonging to his office.
f.
g. General docket (Rules 136, Sec.
8)
h.
To keep a general docket, each page of
which shall be numbered and prepared for
receiving all the entries in a single case
To enter all cases, numbered
consecutively in the order in which they
were received containing the following:
o Heading
o Complete title
o Date of each paper filed or issued, of
each order or judgment entered, and
of each other step taken in the case
So that by reference to a single page the
history of the case may be seen.
e. Judgment and entries book
(Rules 136, Sec. 9)
f.
To keep a judgment book, containing a
copy of each judgment rendered by the
court in order of its date.
To keep a book of entries of judgments
containing at length in chronological
order entries of all final judgments or
orders of the court.
g. Execution book (Rules 136, Sec.
10)
To keep an execution book in which he or
his deputy shall record at length in
chronological order each execution, and
the officer's return, by virtue of which real
property has been sold.
g. Certified copies (Rules 136, Sec.
11)
h.
To prepare, for any person demanding
the same, a copy certified under the
seal of the court of any paper, record,
order, judgment, or entry in his office,
proper to be certified, for the fees
prescribed by these rules.
h. Other books and duties
a. To keep such other books and perform
such other duties as the court may
direct. (Rules 136, Sec. 12)
b. To demand that the stenographer
comply with his duty to deliver all the
notes he has taken. (Rule 136, Sec.
17)
c. The clerk shall stamp the date upon
receipt of notes. (Rule 136, Sec. 17)
i.
j. Index; separating cases (Rules
136, Sec. 13)
k.
The general docket, judgment book,
entries book and execution book shall
each be indexed in alphabetical order in
the names of the parties, and each of
them.
If the court so directs, the clerk shall
keep two or more of either or all of the
books and dockets above mentioned,
separating civil from criminal cases, or
actions from special proceedings, or
otherwise keeping cases separated by
classes as the court shall deem best.
j. Taking of record from the clerk's
office (Rules 136, Sec. 14)
k.
GENERAL RULE: No record shall be
taken from the clerk's office without an
order of the court except as otherwise
provided by these rules.
EXCEPTIONS: The following shall be
permitted, upon proper receipt, to
withdraw from the clerk's office the record
of any cases in which they are interested:
a. Solicitor General or any of his
assistants
b. Provincial fiscal or his deputy
c. Attorneys de oficio
d. Unprinted papers (Rules 136,
Sec. 15)
e.
f.
All unprinted documents
presented to the superior courts
of the Philippines shall be:
I. written on paper of good quality
(12x3in in length, twelve and three eight
inches in length by eight and one-half
inches in width, leaving a margin at the
top and at the left-hand side not less than
one inch and one-half in width.
g. Papel catalan, of the first and
second classes, legal cap, and
typewriting paper of such weight
as not to permit the writing of more
than one original and two carbons
at one time, will be accepted,
provided that such paper is of the
required size and of good quality.
h. Documents written with ink shall
not be of more than twenty-five
lines to one page.
i. Typewritten documents shall be
written double-spaced.
j. One side only of the page will be
written upon, and the different
sheets will be sewn together,
firmly, by five stitches in the left-
hand border in order to facilitate
the formation of
the expedients, and they must not
be doubled.
k.
l. Printed papers (Rules 136, Sec.
16)
m. Efficient Use of Paper Rule
(A.M. no. 11-9-4-SC)23
23 Date of effectivity: 1 January 2013.
n.
All pleadings, motions, and similar papers
intended for the court and quasi-judicial
body's consideration and action (court-
bound papers) shall be written in single
space with a one-and-a-half space
between paragraphs, using an easily
readable font style of the party's choice, of
14-size font, and on a 13-inch by 8.5-inch
white bond paper. All decisions,
resolutions, and orders issued by courts
and by quasi-judicial bodies under the
administrative supervision of the Supreme
Court shall comply with these
requirements. Similarly covered are the
reports submitted to the courts and
transcripts of stenographic notes. (Sec. 3)
The parties shall maintain the following
margins on all court-bound papers: a left
hand margin of 1.5 inches from the edge;
an upper margin of 1.2 inches from the
edge; a right hand margin of 1.0 inch from
the edge; and a lower margin of 1.0 inch
from the edge. Every page must be
consecutively numbered. (Sec. 4)
n. Stenographer (Rules 136, Sec.
17)
a. General Duties
(a) The stenographer shall deliver to
the clerk of court all the notes he has
taken, immediately at the close of
such morning or afternoon session.
(b) When such notes are transcribed,
the transcript shall be delivered to the
clerk, within 20 days from date of the
hearing, duly initialed on each page
thereof, to be attached to the record of
the case.
(c) Whenever requested by a party,
any statement made by a judge of first
instance, or by a commissioner, with
reference to a case being tried by him,
or to any of the parties thereto, or to
any witness or attorney, during the
hearing of such case, shall be made
of record in the stenographic notes.
o.
p. Docket and other records of
inferior courts (Rules 136, Sec.
18) - Every municipal or city judge
shall keep a well-bound book labeled
 "docket," in which he shall enter for
each case:
a. title of the case
including the names of
all the parties
b. nature of the case,
whether civil or
criminal, and if the
latter, the offense
charged
c. date of issuing
preliminary and
intermediate process
including orders of
arrest and subpoenas,
and the date and
nature of the return
thereon
d. date of the appearance
or default of the
defendant
e. date of presenting the
plea, answer, or motion
to quash, and the
nature of the same
f. minutes of the trial,
including the date
thereof and of all
adjournments
g. names and addresses
of all witnesses
h. date and nature of the
judgment, and, in a civil
case, the relief granted
i. itemized statement of
the costs
j. date of any execution
issued, and the date
and contents of the
return thereon
k. date of any notice of
appeal filed, and the
name of the party filing
the same.
q.
A municipal or city judge may keep two
dockets, one for civil and one for criminal
cases. He shall also keep all the pleading
and other papers and exhibits in cases
pending in his court, and shall certify
copies of his docket entries and other
records proper to be certified, for the fees
prescribed by these rules.
It shall not be necessary for the municipal
or city judge to reduce to writing the
testimony of witnesses, except that of the
accused in preliminary investigations.
Each Metropolitan Trial judge shall, at the
beginning and in front of all his entries in
his docket, make and subscribe
substantially the following entry (Rules
136, Sec. 19):
"A docket of proceedings in cases
before ___________, (metropolitan trial
judge) of the municipality (or city) of
______, in the province of
___________, Republic of the
Philippines.
Witness my
signature,
__________________________
Municipal (or Metropolitan
Trial Judge)
VII. LEGAL FEES (Rule 141)
GENERAL RULE: Jurisdiction over any
case is acquired only upon the payment
of the prescribed docket fee which is both
mandatory and jurisdictional.
Consequently, failure to pay the requisite
docket fees will result in the dismissal of
the case (Home Guaranty Corporation v.
R-II Builders Inc., G.R. No. 192649,
2011).
EXCEPTIONS:
1) Where the filing of the initiatory
pleading is not accompanied by payment
of the docket fee, the court may allow
payment of the fee within a reasonable
time but in no case beyond the applicable
prescriptive or reglementary period.
2) The same rule applies to permissive
counterclaims, third-party claims and
similar pleadings, which shall not be
considered filed until and unless the filing
fee prescribed therefor is paid. The court
may also allow payment of said fee within
a reasonable time but also in no case
beyond its applicable prescriptive or
reglementary period.
3) Where the trial court acquires
jurisdiction over a claim by the filing of
the appropriate pleading and payment
of the prescribed filing fee but,
subsequently, the judgment awards a
claim not specified in the pleading, or
if specified the same has been left for
determination by the court, the
additional filing fee therefor shall
constitute a lien on the judgment. It
shall be the responsibility of the Clerk
of Court or his duly authorized deputy
to enforce said lien and assess and
collect the additional fee. (Sun
Insurance Office, Ltd. v. Hon.
Maximiano Asuncion, G.R. No. 79937-
38, 1989)
A.M. No. 00-2-01-S24
Resolution Amending Rule 141 (Legal
Fees) of the Rules of Court
GENERAL RULE: All parties to an
action must pay fees prescribed in full,
upon filing of the pleading or other
application, which initiates and action
or proceeding. (Rule 141, Sec. 1)
EXCEPTIONS:
a. Government - The Republic of the
Philippines, its agencies and
instrumentalities, are exempt from
paying the legal fees provided in this
rule. (Rule 141, Sec. 21)
a. Exception to the Exception:
Local governments and
government-owned or controlled
corporations with or without
independent charters. (Rule
141, Sec. 21)
b. Indigent litigants (Rule 141, Sec. 18)
a. whose gross income and that of
their immediate family do not
exceed four thousand
(P4,000.00) pesos a month if
residing in Metro Manila, and
three thousand (P3,000.00)
24 Note: Date off effectivity: 1 March 2000.
pesos a month if residing outside
Metro Manila, and
b. who do not own real property
with an assessed value of more
than fifty thousand (P50,000.00)
pesos shall be exempt from the
payment of legal fees.
c. To be entitled to the exemption,
the litigant shall execute an affidavit that
he and his immediate family does not
earn a gross income abovementioned,
nor they own any real property with the
assessed value aforementioned. It
must be supported by an affidavit of a
disinterested person attesting to the
truth of the litigant's affidavit.
d. Any falsity in the affidavit of a
litigant or disinterested person shall be
sufficient cause to strike out the pleading
of that party, without prejudice to whatever
criminal liability may have been incurred.
e.
HOWEVER, if the trial court finds that one
or both requirements under Section 19 of
Rule 141 have not been met, the
applicant may still qualify as an indigent
-litigant under Rule 3 Section 21. For this
purpose, the applicant must prove that he
has no money or property sufficient and
available for food, shelter and basic
necessities for himself and his family. In
that hearing, the adverse party may
adduce countervailing evidence to
disprove the evidence presented the
applicant. In addition, the adverse party
may still contest such grant any time
before judgment is rendered, possibly
based on newly discovered evidence
(Spouses Algura v. Naga, G.R. No.
150135, 2006).
2. Fees in Lien: (Rule 141, Sec. 2)
a. Party concerned shall pay the
additional fees, which shall constitute
a lien on the judgment in satisfaction
of the lien, when the court in its final
judgment awards:
a. a claim not alleged, or
b. a relief different from, or more
than that claimed in the pleading.
b.
Persons authorized to collect legal
fees (Rule 141, Sec. 3)
a. Clerks of the Court of Appeals and of
the Supreme Court (Sec. 4)
b. Clerks of Regional Trial Court (Sec. 7)
c. Clerks of the Courts of the First Level
(Sec. 8)
d. Sheriffs and other persons serving
processes (Sec. 9)
e. Stenographers (Sec. 10)
f. Notaries (Sec. 11)
g. Other officers taking depositions (Sec.
12)
h. Witness (Sec. 13)
i. Appraisers (Sec. 14)
j. Commissioners in eminent domain
proceedings (Sec. 15)
k. Commissioners in proceedings for
partition of real state (Sec. 16)
l. Schedule of Fees
m.
Kinds of fees
Clerks of the Court of Appeals and of the
Supreme Court (Rule 141, Sec. 4)
I. For filing an action, proceeding,
appeal by notice or record on appeal
when required, entering appearance
of the parties, entering orders of the
court, filing and docketing all
motions, docketing of case on all
proper dockets, and indexing the
same, entering, recording and
certification of judgment and
remanding of records of the lower
court, taxing the costs, administering
all necessary oaths or affirmation in
the action or proceeding, recording
the opinion of the court, and issuing
all necessary process in the action or
proceeding not herein otherwise
provided for, each action or special
proceeding,
II. For the performance of marriage
ceremony, including issuance of
certificate of marriage
III.
IV. For furnishing transcripts of the
record or copies of any record,
judgment, or entry of which any
person is entitled to demand and
receive a copy, for each page
V.
VI. For each certificate not in process,
VII.
VIII. For every search for anything above
a year's standing and reading the
same
IX.
X. For a commission on all money
coming into his hands rules or order
of the court and caring for the same,
XI.
Clerks of Regional Trial Courts (Rule 141,
Sec. 7)
a. For filing an action or a permissive
counterclaim or money claim against
an estate not based on judgment, or
for filing with leave of court a third-
party, fourth-party, etc., complaint, or a
complaint in intervention, and for all
clerical services in the same:
b.
c. For filing
d.
e. Actions where the value of the
subject matter cannot be
estimated
f.
2. Special civil actions except
judicial foreclosure of mortgage
3. All other actions not involving
property
In a real action, the assessed
value of the property, or if there is
none, the estimated value thereof
shall be alleged by the claimant
and shall be the basis in
computing the fees.
g. For filing requests for extrajudicial
foreclosure of real estate or chattel
mortgage:
h.
i. For initiating proceedings for the
allowances of wills, granting letters
of administration, appointment of
guardians, trustees, and other
special proceedings, the fees
payable shall be collected in
accordance with the value of the
property involved in the
 proceedings, which must be stated demand, inclusive of interest,
in the application or petition: damages of whatever kind, attorney's
j. fees, litigation expenses, and costs
If the value of the estate as definitely is:
appraised by the court is more than the 1. Not more than P20,000.00 -
value declared in the application, the P150.00
difference of fee shall be paid: provided 2. More than P20,000.00 but not
that a certificate from the clerk of court more than P100,000.00 - P500.00
that the proper fees have been paid shall 3. More than P100,000.00 but not
be required prior to the closure of the more than P200,000.00 -
proceedings. P1,250.00
4. More than P200,000.00 but not
k. For filing petitions for naturalization or more than P300,000.00 -
other modes of acquisition of P1,750.00
citizenship; 5. More than P300,000.00 but not
l. more than P400,000.00 -
m. For filing petitions for adoption, P2,500.00
support, annulment of marriage, legal II.
separation and other actions or In a real action, other than for forcible
proceedings under the Family Code; entry and unlawful detainer, the assessed
n. value of the property or if not declared for
If the proceedings involve separation of taxation purposes, the assessed value of
property, an additional fee corresponding the adjacent lots, or if there is none, the
to the value of the property involved shall estimated value thereof shall be alleged
be collected, computed in accordance by the claimant and shall be the basis in
with the rates for special proceedings. computing the fees.

o. For all other special proceedings not
concerning property;
p.
q. For the performance of the marriage
ceremony including issuance of
certificate of marriage;
r.
s. For filing an application for
commission as notary public;
t.
u. For certified copies of any paper,
record, decree, judgment, or entry
thereof for each page;
v.
w. For a commission on all money
coming into the clerks' hands by law,
rule, order or writ of court and caring
for the same;
x.
y. For any other services as clerk not
provided in this section.
z.
Clerks of Courts of the First Level
(Rule 141, Sec. 8)
I. For each civil action or proceeding,
where the value of the subject matter
involved, or the amount of the
III. For initiating proceedings for the
allowance of wills, granting of letters
of administration and settlement of
estates of small value, where the
value of the estate is:
1. Not more than P20,000.00 -
P250.00
2. More than P20,000.00 but not
more than P100,000.00 -
P1,350.00
3. More than P100,000.00 but not
more than P200,000.00 -
P2,000.00
4. For each proceeding other
than the allowance of wills
(probate) granting of letters of
administration, settlement of
estate of small value, two
hundred (P200.00) pesos;
IV.
V. For forcible entry and unlawful
detainer cases, one hundred and
fifty (P150.00) pesos;
VI. For appeals in all actions or
proceedings, including forcible entry
and detainer cases, taken from
courts of first level, two hundred
(P200.00) pesos
VII. For the performance of marriage
ceremony, including issuance of
certificate of marriage, three
hundred (P300.00) pesos;
VIII. For taking affidavit, twenty-five
(P25.00) pesos;
IX. For taking acknowledgment, thirty
(P30.00) pesos;
X. For taking and certifying depositions,
including oath, per page, eight
(P8.00) pesos;
XI. For certified copies of any record, per
page, ten (P10.00) pesos;
XII. For stamping and registering books
as required by articles nineteen and
thirty-six of the Code of Commerce
each book, thirty (P30.00) pesos;
XIII. For performing notarial acts for which
fees are not specifically fixed in this
section, the same fees which
notaries public are entitled to receive
XIV.
Sheriffs and other persons serving
processes (Rule 141, Sec. 9)
1. For serving summons and copy of
complaint, for each defendant, sixty
(P60.00) pesos;
2. For serving subpoenas in civil action
or proceeding, for each witness to be
served, twenty-four (P24.00) pesos;
3. For executing a writ of attachment
against the property of defendant,
sixty (P60.00) pesos;
4. For serving temporary restraining
order, or writ of injunction, preliminary
or final, of any court, sixty (P60.00)
pesos;
5. For executing a writ of replevin, sixty
(P60.00) pesos;
6. For filing bonds or other instruments
of indemnity or security in provisional
remedies, for each bond or
instrument, fifty (P50.00) pesos;
7. For executing a writ or process to
place a party in possession of the real
estates, one hundred and fifty
(P150.00) pesos;
8. For advertising a sale, besides cost of
publication, seventy-five (P75.00)
pesos;
9. For taking inventory of goods levied
upon when the inventory is ordered by
the court, one hundred and fifty
(P150.00) pesos per day of actual
inventory work;
10. For levying on execution on personal
or real property, seventy-five
(P75.00) pesos;
11. For issuing a notice of garnishment,
for each notice, thirty (P30.00)
pesos;
12. For money collected by him by order,
execution, attachment, or any other
process, judicial or extrajudicial, the
following sums, to wit:
1. On the first four thousand
(P4,000.00) pesos, five (5%) per
centum
2. On all sums in excess of four
thousand (P4,000.00) pesos, two
and one-half (2.5%) per centum
13.
Stenographers certified transcript of
notes (Rule 141, Sec. 10)
a. six (P6.00) pesos for each page not
less than two hundred and fifty words
before the appeal is taken and
b. three pesos and sixty centavos
(P3.60) for the same page, after the
filing of the appeal, provided, however
that one-third of the total charges shall
be paid to the court and the remaining
two-thirds to the stenographer
concerned.
c.
Notaries (Rule 141, Sec. 11)
Thirty-six (P36.00) pesos, for the
following:
Protests of drafts, bills or
exchange, or promissory notes for
non-acceptance or non-payment and
for notice thereof
Registration of such protest and
safekeeping of the same
Authenticating powers of attorney
Sworn statement concerning
correctness of any account or other
document,
Each oath of affirmation
Receiving evidence of
indebtedness to be sent outside,
Issuing a certified copy of all or
part of his notarial register or notarial
records, for each page
 Taking depositions, for each page,
and
Acknowledging other documents.
Other officers taking depositions (Rule
141, Sec. 12)
Witness fees (Rule 141, Sec. 13)
Fees to which witnesses may be entitled
in a civil action shall be allowed, on a
certification of the clerk of court or judge
of his appearance in the case. A witness
shall not be allowed compensation for his
attendance in more than one case or
more than one side of the same case at
the same time, but may elect in which of
several cases or on which side of a case,
when he is summoned by both sides, to
claim his attendance. A person who is
compelled to attend court on other
business shall not be paid as witness.
Appraisers (Rule 141, Sec. 14)
Appraisers appointed to appraisers
appointed to appraise the estate of a ward
of a deceased person shall each receive a
compensation of two hundred (P200.00)
pesos per day for the time actually and
necessarily employed in the
performance of their duties and in
making their reports, which fees, in each
instance, shall be paid out of the estate of
the ward or deceased person, as the case
may be. Any actual and necessary
traveling expenses incurred in the
performance of their duties of such
appraisers may likewise be allowed and
paid out of the estate.
Commissioners in eminent domain
proceedings (Rule 141, Sec. 15)
The commissioners appointed to appraise
land sought to be condemned for public
uses in accordance with these rules shall
each receive a compensation of two
hundred (P200.00) pesos per day for
the time actually and necessarily
employed in the performance of their
duties and in making their report to the
court, which fees shall be taxed as part of
the costs of the proceedings.
Commissioners in proceedings for
partition of real estate. (Rule 141, Sec.
16)
The commissioners appointed to make
partition of real state shall each receive
a compensation of two hundred
(P200.00) pesos per day for the time
actually and necessarily employed in
the performance of their duties and in
making their report to the court, which
fees shall be taxed as a part of the
costs of the proceedings.
Victim-compensation fee (Rule 141,
Sec. 19)
Five (P5.00) pesos shall be assessed
and collected for the filing of every
complaint or petition initiating an ordinary
civil action, special civil action or special
proceeding in the trial courts including civil
actions impliedly instituted with criminal
actions under Rule 111, Revised Rules of
Criminal Procedure where a filing fee is
likewise collected.
Other fees (Rule 141, Sec. 20)
The following fees shall also be collected
by the clerks of Regional Trial Courts or
courts of the first level, as the case may
be:
a. In estafa cases where the offended
party fails to manifest within fifteen
(15) days following the filing of the
information that the civil liability arising
b.
c. For motions for postponement after
completion of the pre-trial stage, one
hundred pesos (P100.00) for the
first, and an additional fifty pesos
(P50.00) for every postponement
thereafter based on that for the
immediately preceding motion:
Provided, however, that no fee shall
be imposed when the motion is found
to be based on justifiable and
compelling reason;
d.
e. For bonds by sureties in criminal and
civil cases
f.
g. For applications for and entries of
certificates of sale and final deeds of
sale in extra-judicial foreclosures of
mortgages;
h.
i. For applications for and certificates of
sale in notarial foreclosures:
j.
Fees of bar candidates (Rule 141, Sec.
6)
a. For filing the application for admission
to the bar, whether admitted to the
examination or not
b.
c. For admission to the bar, including
oath taking, signing of the roll of
attorneys, the issuance of diploma of
admission to the Philippine Bar
d.
e. Other Bar Fees. For the issuance
of:
f. Certification of admission to the
Philippine Bar
g. Certificate of good standing (local)
h. Certificate of good standing (foreign)
i. Verification of membership in the bar
j. Certificate of grades in the bar
examinations
k. Other certification of records at the
Bar Office, per page
l. A duplicate diploma of admission to
the Philippine Bar
m.
For services in connection with the
return of examination notebooks to
examinees, a fee of thirty (P30.00)
pesos shall also be charged.
VIII. COSTS
1. Recovery of costs
2.
a. Prevailing party
b.
Costs ordinarily follow results of suit.
(Rule 142, Sec. 1)
GENERAL RULE: Cost shall be allowed
to the prevailing party as a matter of
course. The court has the power, for
special reasons, to adjudge that either
party shall pay the costs of an action, or
that the same be divided, as may be
equitable
EXCEPTION: When the rules provide
otherwise.
GENERAL RULE: No costs shall be
allowed against the Republic of the
Philippines.
EXCEPTION: When the law provides
otherwise.
b. Dismissed appeal or action (Rule
142, Sec. 2)
c.
The court shall have the power to render
judgment for cost, as justice may require,
even when action or appeal dismissed for
want of jurisdiction or otherwise.
c. Frivolous appeal (Rule 142, Sec.
3)
d.
Where an action or appeal is found to be
frivolous, double or treble cost may be
imposed on the plaintiff or appellant,
which shall be paid by his attorney, if so
ordered by the court.
e. False allegations (Rule 142, Sec.
4)
f.
b. An averment in a pleading made
without reasonable cause and found
untrue shall subject the offending
party to the payment of such
reasonable expenses as may have
been necessarily incurred by the other
party by reason of such untrue
pleading. The amount of expenses so
payable shall be fixed by the judge in
the trial, and taxed as costs.
c. No cost for preparing, certifying, or
printing of unnecessary, irrelevant or
immaterial matters. (Rule 142, Sec. 5)
d. No attorney's fees shall be taxed
as costs against the adverse party, except
as provided by the rules of civil law. This
shall have no relation to the fees to be
charged by an attorney as against his
client. (Rule 142, Sec. 6)
e. If the plaintiff in any action shall
recover a sum not exceeding ten pesos
as debt or damages, he shall recover no
more cost than debt or damages, unless
the court shall certify that the action
involved a substantial and important right
to the plaintiff in which case full cost may
be allowed. (Rule 142, Sec. 7)
f.
c. Non-appearance of witness
(Rule 142, Sec. 12)
d.
If a witness fails to appear at the time and
place specified in the subpoena issued by
any inferior court, the cost of the warrant
of arrest and of the arrest of the witness
shall be paid by the witness if the court
shall determine that his failure to answer
the subpoena was willful or without just
excuse.
How to Tax Costs (Rule 142, Sec. 8)
1. In inferior courts, the costs shall be
taxed by the justice of the peace or
municipal judge and included the
judgment.
2. In superior courts, costs shall be taxed
by the clerk of the corresponding court
on five days' written notice giving by
the prevailing party to the adverse
party.
3. With this notice shall be served a
statement of the items of the cost
claimed by the prevailing party,
verified by his oath or that of his
attorney.
4. Objections to the taxation shall be
made in writing, specifying the items
objected to.
5. Either party may appeal to the court
from the clerk's taxation.
6. The costs shall be inserted in the
judgment if taxed before its entry, and
payment thereof shall be enforced by
execution.
Costs and their respective amounts
Cost in justice of the peace or
municipal courts (Rule 142, Sec. 9)
The prevailing party may recover the
following cost, and no other:
a) For the complaint or answer, two
pesos;
b) For the attendance of himself, or his
counsel, or both, on the day of trial,
five pesos;
c) For each additional day's attendance
required in the actual trial of the case,
one peso;
d) For each witness produced by him, for
each day's necessary attendance at
the trial, one peso, and his lawful
traveling fees;
e) For each deposition lawfully taken by
him and produced in evidence, five
pesos;
f) For original documents, deeds, or
papers of any kind produced by him;
nothing;
g) For official copies of such documents,
deeds, or papers, the lawful fees
necessarily paid for obtaining such
copies;
h) The lawful fees paid by him for service
of the summons and other process in
the action;
i) The lawful fees charged against him
by the judge of the court in entering
and docketing and trying the action or
proceeding.
Cost in Court of First Instance
(Rule 142, Sec. 10)
The prevailing party may recover the
following costs, and no other:
a) For the complaint or answer, fifteen
pesos;
b) For his own attendance, and that of
his attorney, down to and including
final judgment, twenty pesos;
c) For each witness necessarily
produced by him, for each day's
necessary attendance of such witness
at the trial, two pesos, and his lawful
traveling fees;
d) For each deposition lawfully taken by
him, and produced in evidence, five
pesos;
e) For original documents, deeds, or
papers of any kind produced by him,
nothing;
f) For official copies of such documents,
deeds, or papers, the lawful fees
 necessarily paid for obtaining such
copies;
g) The lawful fees paid by him in entering
and docketing the action or recording
the proceedings, for the service of any
process in action, and all lawful clerk's
fees paid by him.
Costs in Court of Appeals and in
Supreme Court (Rule 142, Sec. 11)
The prevailing party may recover the
following costs, and no other:
a. For his own attendance, and that of
his attorney, down to and including
final judgment, thirty pesos in the
Court of Appeals and fifty pesos in the
Supreme Court;
b. For official copies of record on appeal
and the printing thereof, and all other
copies required by the rules of court,
the sum actually paid for the same;
c. All lawful fees charged against him by
the clerk of the Court of Appeals or of
the Supreme Court, in entering and
docketing the action and recording the
proceedings and judgment therein and
for the issuing of all process;
d. No allowance shall be made to the
prevailing party in the Supreme Court
or Court of Appeals for the brief or
written or printed arguments of his
attorney, or copies thereof, aside from
the thirty or fifty pesos above stated;
e. If testimony is received in the
Supreme Court or Court of Appeals
not taken in another court and
transmitted thereto, the prevailing
party shall be allowed the same cost
for witness fees, depositors, and
process and service thereof as he
would have been allowed for such
items had the testimony been
introduced in a Court of First Instance;
f. The lawful fees of a commissioner in
an action may also be taxed against
the defeated party, or apportioned as
justice requires.
Other Costs
1. Costs when witness fails to appear at
the time and place specified in the
subpoena issued by any inferior court
The cost of the warrant of arrest
and of the arrest of the witness
shall be paid by the witness if the
court shall determine that his
failure to answer the subpoena
was willful or without just excuse.
(Rule 142, Sec. 12)
2. Costs when the person cited for
examination in probate proceedings
The court may, in its discretion tax costs
for the person so cited and issue
execution therefor, allowing the same fees
as for witnesses in Courts of First
Instance. (Rule 142, Sec. 13)
 I
Judge A is a close friend of Governor G. On several occasions, Judge A would borrow vehicles from
the Office of the Governor to travel to his judicial station. Judge As actuation: (1%)
(a) violates the Canon on Propriety
(b) creates an appearance of an improper connection with the executive branch
(c) is downright unethical

II
R is a retained counsel of ABC Bank-Ermita Branch. One day, his Balikbayan compadre B, consulted
him about his unclaimed deposits with the said branch of ABC Bank, which the bank had refused to
give to him claiming that the account had become dormant. R agreed to file a case against the bank
with the Regional Trial Court (RTC) of Manila. B lost the case, but upon the advice of R, he no longer
appealed the decision. B later discovered that R was the retained counsel of ABC Bank-Ermita
Branch. Does B have any remedy? Discuss the legal and ethical implications of the problem. (4%)
III
The Code of Professional Responsibility is the code of conduct for: (1%)
(a) members of the Bench
(b) members of the Bar
(c) members of the Bench and the Bar

IV
A is accused of robbery in a complaint filed by B. A sought free legal assistance from the Public
Attorneys Office (PAO) and Atty. C was assigned to handle his case. After reviewing the facts as
stated in the complaint and as narrated by A, Atty. C is convinced that A is guilty. (4%)
(a) May Atty. C refuse to handle the defense of A and ask to be relieved? Explain fully.
(b) In problem (a), if the lawyer is counsel de parte for the accused and he learns later after accepting
the case and while trial is ongoing that his client was indeed the perpetrator of the crime, may the
lawyer withdraw his appearance from the case? Why or why not?
V
The rendition of free legal service is a lawyers: (1%)
(a) moral duty
(b) social obligation
(c) legal mandate
VI
Atty. D was required by Judge H of the Regional Trial Court (RTC) of Manila to show cause why he
should not be punished for contempt of court for shouting invectives at the opposing counsel and
harassing his witness. Assuming that there was sufficient cause or ground, may Judge H suspend
Atty. D from the practice of law? If Judge H finds that the actuations of Atty. D are grossly unethical
and unbecoming of a member of the bar, may Judge H disbar Atty. D instead? Explain your answer.
(5%)
VII
The court ordered Atty. Z to testify as a witness for his client in the very case he is handling, but he
refused on the ground that it would violate the rule on privileged communication. Atty. Z is guilty of:
(1%)
(a) direct contempt
(b) indirect contempt
(c) violation of his duty to the court

VIII
C and D are law partners using the firm name C and D Attorneys-at-Law. In an administrative case
filed against C, the Supreme Court (SC) found that C was not entitled to admission to the practice of
law in the Philippines and ordered his name stricken-off from the Roll of Attorneys. As a result, C and
D changed their firm name to Law Office of D Attorney-at-Law, C - Counsellor, with C handling
purely counselling and office work while D is the law practitioner. Are C and D liable for contempt of
court? Explain your answer. (5%)
IX
Judge A accepted a gift consisting of assorted canned goods and other grocery items from his
compadre whose friend has a pending case with him. He accepted the gift just so as not to embarrass
his compadre. When his compadre left his chambers, he asked his secretary to donate the gift he
received to the victims of Typhoon Yolanda. Did the judge cross the ethical line? Explain your answer.
(5%)
X
Atty. M is a partner in the law firm OMP & Associates. C, a former classmate of Atty. M engaged the
legal services of Atty. M to handle his appeal to the Court of Appeals (CA) from an adverse decision of
the Regional Trial Court (RTC) in his annulment case. After the notice to file brief was issued by the
CA, Atty. M met an accident which incapacitated him from further engaging in law practice. May Atty.
P, his partner in the law firm, file the required appeal brief for C? Explain your answer. (5%)
XI
A judge who insults counsel and shouts invectives at a litigant is guilty of: (1%)
(a) serious misconduct
(b) committing acts unbecoming of a judge
(c) manifest bias and partiality

XII
A inherited a parcel of land situated in Batasan Hills which is occupied by informal settlers. He wants
to eject the occupants, but he has no financial means to pursue the ejectment case. He contracted the
services of Atty. B, who agreed to defray all the expenses of the suit on the condition that he will be
paid one-half () of the property to be recovered as his compensation. What is this kind of attorneys
fees? Can Atty. B enforce this contract against A? What are the respective remedies relative to the
collection of attorneys fees, if any, of A and Atty. B against each other?
XIII
M engaged the services of Atty. D to prosecute his annulment of marriage case in the Regional Trial
Court (RTC). After a long-drawn trial, Atty. D was able to secure a favourable judgment from the court.
Unfortunately, M failed to pay in full the stipulated attorneys fees of Atty. D. How can Atty. D collect
his fees from M? Discuss fully. (4%) XIV. A person named and appointed by the court to defend an
absentee defendant in the suit in which the appointment is made is an: (1%)
(a) attorney-in-fact
(b) attorney ad hoc
(c) attorney de oficio

XV
Will a lawyer violate the Code of Professional Responsibility if he forms a partnership with
professionals of other disciplines like doctors, engineers, architects or accountants? Explain your
answer. (4%)
 XVI
A person who has been refused admission to the bar by order of the Supreme Court but nonetheless
attempts to practice law is guilty of: (1%)
(a) direct contempt
(b) indirect contempt
(c) criminal contempt

XVII
Judge Clint Braso is hearing a case between Mr. Timothy and Khristopher Company, a company
where his wife used to work as one of its Junior Executives for several years. Doubting the impartiality
of the Judge, Mr. Timothy filed a motion to inhibit Judge Clint Braso. Judge Clint Braso refused on the
ground that his wife has long resigned from the company. Decide. (4%)
XVIII
The Integrated Bar of the Philippines (IBP) may intervene in a case involving a matter of public law or
professional concern as: (1%)
(a) friend of the court
(b) amicus par excellence
(c) amicus curiae
XIX
After the pre-trial of a civil case for replevin, Judge D advised Bs counsel to settle the case because
according to Judge D, his initial assessment of the case shows that Bs evidence is weak. (4%)
(a) Did Judge D commit an act of impropriety? Explain.
(b) What remedy or remedies may be taken by Bs lawyer against Judge D? Discuss fully.
XX
B hired Atty. Z to file a replevin case against C for an agreed acceptance fee of P30,000.00 which was
evidenced by a written contract. After the complaint was filed by Atty. Z, B terminated his services and
hired a new lawyer for the same amount of attorneys fees. How much attorneys fees is Atty. Z
entitled to? (4%)
XXI
Justice B of the Court of Appeals (CA) was a former Regional Trial Court (RTC) Judge. A case which
he heard as a trial judge was raffled off to him. The appellant sought his disqualification from the case
but he refused on the ground that he was not the judge who decided the case as he was already
promoted to the appellate court before he could decide the case. Was the refusal of Justice B to
recuse from the case proper? Explain your answer. (5%)
XXII
(4%)
(a) May a lawyer collect fees for services rendered to his client despite the absence of an agreement
to pay attorneys fees?
(b) In the absence of a contract for the payment of attorneys fees, what factor/s may be considered in
fixing the amount of attorneys fees?
XXIII
(4%)
(a) May a client hire additional counsel as collaborating counsel over and above the objection of the
original counsel?
(b) If the client insists, may the original counsel withdraw from the case, and how?
 XXIV
(a) May an attorney talk to his witnesses before and during the trial? Explain.
(b) In case of postponement of the trial, whose decision should prevail the client or his attorney?
Explain the governing rule. (4%)
XXV
Judge A has an illicit relationship with B, his Branch Clerk of Court. C, the wife of Judge A, discovered
the illicit affair and consulted a lawyer to vindicate her violated marital rights. If you were that lawyer,
what would you advice C, and if she agrees and asks you to proceed to take action, what is the legal
procedure that you should follow? Discuss fully. (4%)
XXVI
(6%)
(A) If an attorney has been granted by his client full authority to enter into an amicable settlement with
the other party, may the client later on refuse to honor the amicable settlement forged by his attorney?
Explain.
(B) In such instance as in (A) above, can the lawyer withdraw from the case and collect in full his
contracted attorneys fees? Why or why not?
XXVII
Atty. C was hired by D to file an action against E for recovery of possession of real property. In their
contract of service, they stipulated that D cannot compromise the case without the consent of Atty. C.
After trial and unknown to Atty. C, D entered into a compromise with E. Atty. C withdrew from the case
and collected from D: (1%)
(a) his attorneys fees under their contract
(b) his attorneys fees based on quantum meruit (c) nothing by way of attorneys fees

XXVIII
Atty. Forma is a member of the Philippine Bar. He went to New York City, took the New York State Bar,
and passed the same. He then practiced in New York City. One of his American clients filed a case for
disbarment against him for pocketing the money which was entrusted to him as payment for the filing
fee and other incidental expenses of his damage suit. Atty. Forma was later disbarred for dishonesty.
Disheartened, Atty. Forma came back to the Philippines and practiced as a lawyer. Will his disbarment
in New York be used against him for purposes of disbarment proceedings here in the Philippines?
(4%)
XXIX
If a lawyer volunteers his free legal service to a poor client, (1%)
(a) a lawyer-client relationship is established between them
(b) he is bound to serve his poor client with the same degree of competence, fidelity, and diligence as
his paying client
(c) he is not justified to neglect the cause of his client for the clients inability to defray the costs of
court litigation

XXX
(6%)
(a) Can a lawyer who lacks the number of units required by the Mandatory Continuing Legal
Education (MCLE) Board continue to practice his profession?
(b) May a lawyer be held liable for damages by his client for the lawyers failure to file the necessary
pleadings to prosecute the clients case and as a result of which the client suffered damages?
(c) Can a lawyer still practice his profession despite having arrears in his Integrated Bar of the
Philippines (IBP) dues?

Atty. Bravo represents Carlos Negar (an insurance agent for Dormir Insurance Co.) in a suit
filed by insurance claimant Andy Limot who also sued Dormir Insurance. The insurance policy
requires the insured/claimant to give a written notice to the insurance company or its agent
within 60 days from the occurrence of the loss.
Limot testified during the trial that he had mailed the notice of the loss to the insurance agent, but
admitted that he lost the registry receipt so that he did not have any documentary evidence of the fact
of mailing and of the timeliness of the mailed notice. Dormir Insurance denied liability, contending that
timely notice had not been given either to the company or its agent. Atty. Bravo s client, agent Negar,
testified and confirmed that he never received any notice.
A few days after Negar testified, he admitted to Atty. Bravo that he had lied when he denied receipt of
Limots notice; he did receive the notice by mail but immediately shredded it to defeat Limots claim.
If you were Atty. Bravo, what would you do in light of your clients (Carlos Negars) disclosure that he
perjured himself when he testified? (8%)
II
Atty. Serafin Roto is the Corporate Secretary of a construction corporation that has secured a multi-
million infrastructure project from the government. In the course of his duties as corporate secretary,
he learned from the company president that the corporation had resorted to bribery to secure the
project and had falsified records to cut implementing costs after the award of the project.
The government filed a civil action to annul the infrastructure contract and has subpoenaed Atty. Roto
to testify against the company president and the corporation regarding the bribery. Atty. Roto moved
to quash the subpoena, asserting that lawyer-client privilege prevents him from testifying against the
president and the corporation.
Resolve the motion to quash. (8%)
III

Miguel Jactar, a fourth year law student, drove his vehicle recklessly and hit the rear bumper of
Simplicio Medrosos vehicle. Instead of stopping, Jactar accelerated and sped away. Medroso
pursued Jactar and caught up with him at an intersection.
In their confrontation, Jactar dared Medroso to sue, bragged about his connections with the courts,
and even uttered veiled threats against Medroso. During the police investigation that followed,
Medroso learned that Jactar was reviewing for the Bar examinations.
Under these facts, list and justify the potential objections that can be made against Jactar s admission
to the practice of law. (8%)
IV
Atty. Doblar represents Eva in a contract suit against Olga. He is also defending Marla in a
substantially identical contract suit filed by Emma. In behalf of Eva, Atty. Doblar claims that the statute
of limitations runs from the time of the breach of the contract. In the action against Marla, Atty. Doblar
now argues the reverse position i.e., that the statute of limitation does not run until one year after
discovery of the breach.
Both cases are assigned to Judge Elrey. Although not the sole issue in the two cases, the statute of
limitations issue is critical in both.
Is there an ethical/professional responsibility problem in this situation? If a problem exists, what are its
implications or potential consequences? (8%)
V
2013
Atty. Repatriar, a law school classmate, approached you on your 25th Class Reunion, with questions
on how he can resume the practice of law in the Philippines. He left the country in 1977 after two (2)
years of initial law practice, and migrated to the United States where he was admitted to the practice
of law in the State of New York. He asks that you give him a formal legal opinion on his query.
Outline briefly the steps and the supporting legal reasons you would state in your legal opinion on
what Atty. Repatriar should do to resume his Philippine practice. (8%)
VI
An audit team from the Office of the Court Administrator found that Judge Contaminada committed
serious infractions through the indiscriminate grant of petitions for annulment of marriage and legal
separation. In one year, the judge granted 300 of such petitions when the average number of petitions
of similar nature granted by an individual judge in his region was only 24 petitions per annum.
The audit revealed many different defects in the granted petitions: many petitions had not been
verified; the required copies of some petitions were not furnished to the Office of the Solicitor General
and the Office of the Provincial Prosecutor; docket fees had not been fully paid; the parties were not
actual residents within the territorial jurisdiction of the court; and, in some cases, there was no record
of the cross-examinations conducted by the public prosecutor or any documentary evidence marked
and formally offered. All these, viewed in their totality, supported the improvident and indiscriminate
grant that the OCA found.
If you were the counsel for Andy Malasuerte and other litigants whose marriages had been improperly
and finally annulled, discuss your options in administratively proceeding against Judge Contaminada,
and state where and how you would exercise these options. (8%)
VII
In an action to prevent the condominium developer from building beyond ten (10) floors, Judge Cerdo
rendered judgment in favor of the defendant developer. The judgment became final after the plaintiffs
failed to appeal on time. Judge Cerdo and Atty. Cocodrilo, counsel for the developer, thereafter
separately purchased a condominium unit each from the developer.
Did Judge Cerdo and Atty. Cocodrilo commit any act of impropriety or violate any law for which they
should be held liable or sanctioned? (8%)
VIII
The criminal case arising from the P10-Billion Peso pork barrel scandal was raffled to Sandiganbayan
Justice Marciano Cobarde. Afraid that he would antagonize the parties, his political patrons and,
ultimately, his judicial career, he decided to inhibit from participating in the case, giving "personal
reasons" as his justification.
If you were to question the inhibition of SB Justice Cobarde, on what legal basis, and where and how
will you do this? (8%).
IX
Atty. Hermano requested his fraternity brother, Judge Patron, to introduce him to Judge Apestado,
before whom he has a case that had been pending for some time.
Judge Patron, a close friend of Judge Apestado, acceded to the request, telling the latter that Atty.
Hermano is his fraternity "brod" and that Atty. Hermano simply wanted to ask for advice on how to
expedite the resolution of his case. They met, as arranged, in the fine dining restaurant of a five-star
hotel. Atty. Hermano hosted the dinner.
Did Atty. Hermano, Judge Patron and Judge Apestado commit any ethical/administrative violation for
which they can be held liable? (8%)
X
As a new lawyer, Attorney Novato started with a practice limited to small claims cases, legal
counseling, and notarization of documents. He put up a solo practice law office and was assisted by
his wife who served as his secretary/helper. He used a makeshift hut in a vacant lot near the local
courts and a local transport regulatory agency. With this strategic location, he enjoyed heavy
patronage assisting walk-in clients in the preparation and filing of pleadings and in the preparation and
notarization of contracts and documents. He had the foresight of investing in a good heavy duty copier
machine that reproduces quality documents, and charges a reasonable fee for this service. He draws
electric power from an extension wire connected to an adjoining small restaurant. He put up a shingle
that reads: "Atty. Novato, Specialist in Small Claims, Fastest in Notarization; the Best and Cheapest in
Copier Services."
Is Attorney Novatos manner of carrying out his professional practice i.e., mixing business with the
practice of law, announcing his activities via a shingle and locating his office as above-described in
keeping with appropriate ethical and professional practice? (8%)
XI
Under the 2004 Rules of Notarial Practice, what may be used to satisfy the requirement of
"competent evidence of identity"? (1%)
(a) Passport, Senior Citizen card, HMO card.
(b) Police clearance, credit card, Professional Regulatory Commission ID.
(c) Voters ID, NBI clearance, Drivers license.
(d) Ombudsmans clearance, private office ID, PhilHealth card.
(e) All of the above.
XII
The following are duties of a lawyer but only one of these is expressly stated in the Lawyers Oath.
Choose the express duty that the Oath contains. (1%)
(a) To maintain a respectful attitude towards the courts.
(b) To uphold the honor and dignity of the legal profession.
(c) To act with courtesy, candor and fairness toward other lawyers.
(d) To do no falsehood, nor consent to the doing of any in court.
(e) To respect the courts and uphold the dignity of the profession.
XIII
Atty. Avaro has consistently failed to pay his annual IBP dues for several years. Demand letters have
been sent to him and he has acknowledged receipt of these letters. However, all the IBP s efforts
proved futile. As a result, the IBP sent Atty. Avaro a notice that his name would be stricken off the Roll
of Attorneys.
Was the IBPs action correct? (1%)
(a) No, because default in the payment of annual dues only warrants suspension of Integrated Bar
members.
(b) Yes, because non-payment of annual dues is an indicator of the lawyers moral fitness; refusal to
pay is refusal to honor his obligation to the IBP.
(c) No, because failure to pay affects a members capability to practise, but not his membership in the
Bar.
(d) Yes, because payment of membership dues and other lawful assessments are conditions sine qua
non to the privilege of practising law and to the retention of his name in the Roll of Attorneys.
(e) None of the above choices is correct.
XIV
Ms. Seller and Mr. Buyer presented to a commissioned notary public a deed of sale for notarization.
The notary public explained to them the transaction the deed embodies and asked them if they were
freely entering the transaction. After the document was signed by all the parties, the notary public
collected the notarial fee but did not issue any BIR-registered receipt.
The notarization of the deed is __________. (1%)
(a) neither unlawful nor improper because he explained the basis for the computation of the notarial
fee
(b) unlawful because he did not issue a BIR-registered receipt and did not post in his office the
complete schedule of chargeable notarial fees
(c) proper because he is not required to issue receipts for notarial fees
(d) improper because he did not ask Ms. Seller and Mr. Buyer if they needed a receipt
(e) proper because any irregularity in the payment of the notarial fees does not affect the validity of
the notarization made
XV
In order to comply with the MCLE requirements, Atty. Ausente enrolled in a seminar given by an
MCLE provider. Whenever he has court or other professional commitments, he would send his
messenger or a member of his legal staff to register his attendance at the MCLE sessions so he could
be credited with the required qualifying attendance. He would also ask them to secure the printed
handouts and the lecturers CDs, all of which he studied in his free time.
Atty. Ausente should be __________. (1%)
(a) required to make up for his absence by attending lecture sessions in other MCLE providers
(b) sanctioned because he circumvented or evaded full compliance with the MCLE requirements
(c) excused because he attended to profession-related tasks, and fully studied the courses through
the materials and CDs he secured
(d) penalized by forfeiting all his earned MCLE units
(e) excused because attendance by proxy is a widespread and tolerated MCLE practice
XVI
Plaintiff Jun Ahorro filed a complaint for collection of sum of money before the Regional Trial Court of
Manila. Because of the large amount of his claim, he had to pay a sizeable docket fee. He insisted on
paying the docket fee and other fees in installments because staggered payment is allowed under
Rule 141, as amended. The Office of the Clerk of Court (OCC) refused to accept the complaint unless
he paid the full amount of the docket and other required fees.
Plaintiff Jun Ahorros position __________. (1%)
(a) is allowed because of the large amount of the docket fee
(b) is justified because it is discretionary on the part of the OCC to accept staggered payment
(c) is incorrect because the amendment on staggered payment has been suspended
(d) is not allowed because the full payment of docket fee is jurisdictional
(e) cannot be allowed because of its prejudicial impact on the judiciarys financial operations
XVII
Atty. Anunciante is engaged in the practice of law and has a regular, live, weekly TV program where
he gives advice to and answers questions from the audience and program viewers concerning U.S.
immigration problems. Occasionally, advertisements inviting viewers to watch his TV program are
shown outside his regular program schedule. Because of the popularity of his TV program, the
number of his law practice clients increased tremendously.
The TV program of Atty. Anunciante is __________. (1%)
(a) permissible because it is public service in nature
(b) objectionable because the work involves indirect advertising or solicitation of business
(c) improper because it gives him an unfair advantage over other lawyers
(d) ethically allowable because it does not violate the traditional standards of the legal profession
(e) None of the above.
XVIII
Vito is a notorious gangster in the province who has been accused of raping and mercilessly killing a
16-year old girl. Sentiments run very strongly against him and the local Bar Association met and
decided that no lawyer in the locality would represent him. Vito could not afford the services of an out-
of-town counsel.
Choose the most appropriate legal and ethical characterization of the decision of the local Bar
Association. (1%)
(a) It is within its right to make, since lawyers may freely decide who to represent and who not to
represent.
(b) It is unethical; it constitutes a collective denial of Vitos right to the assistance of counsel.
(c) It constitutes an anticipated act of contempt towards the court that may order any of the members
of the association to represent the accused.
(d) It must be concurred in by each member of the Bar Association to have any binding force.
(e) It is unethical because the Bar Association already prejudged Vito.
XIX
Graft Investigator Atty. Retirada served the Office of the Deputy Ombudsman for eight years before
retiring from the service. While still a Graft Investigator, she investigated a government contract for
office supplies where Mr. Sakim was the supplier. The transaction was supposedly overpriced. Atty.
Retirada recommended that no charges be filed against the officials involved and the
recommendation benefited Mr. Sakim as the supplier involved in the transaction.
After her retirement from the service, Atty. Retiradas services as counsel were engaged by Mr. Sakim
as counsel to represent the Sakim family in a claim against the State arising from a family property
that had been expropriated. Atty. Retirada now consults you about the ethical permissibility of
accepting the engagement.
What advice would you give Atty. Retirada? (1%)

(a) Having been in government service, she cannot now represent a party with a claim against the
State.
(b) Having once handled a case involving her prospective client, a conflict of interest would exist if she
were to accept the engagement.
(c) Representing the Sakim family would involve the unethical use of information she obtained while in
government service.
(d) There is no ethical objection to her acceptance of the engagement because the case is neither
criminal nor administrative in character.
(e) Acceptance of the engagement should be on condition that Atty. Retirada would withdraw if a
conflict of interest situation arises.
XX
Your client is the plaintiff in a civil case for damages arising from a car accident where he sustained
serious physical injuries and damages amounting to P1Million. The counsel for the defendant asks
you to give him a proposed amount for purposes of settlement and you are aware that whatever
amount you tell him would not readily be accepted and would probably be cut into half.
What is your best legal and ethical course of action? (1%)
(a) Inflate your proposal to make allowances for a compromise.
(b) Tell the defendants counsel the correct amount of damages.
(c) Offer him a reasonably low amount so that the case can immediately be settled.
(d) Ask the defendants counsel to first submit his negotiating figure.
(e) Play hard-to-get and initially refuse all the defendants initiatives to settle.
XI
Candido engaged the services of Atty. Lebron in a criminal case. In the course of their consultations,
Candido admitted to Atty. Lebron that he committed the crime and in fact actively planned its
commission. He stressed, however, that under no circumstance would he admit or confess to the
murder charge he is facing and, in fact, would enter a plea of "not guilty" on arraignment.
If Candido insists on his planned plea, Atty. Lebron should __________. (1%)
(a) discontinue his representation; to continue would be unethical since he would then be aiding the
accused in foisting a deliberate falsehood on the court
(b) allow Candido to choose his course of action; Atty. Lebrons duty is to protect all his legal and
statutory rights
(c) convince Candido to plead guilty and withdraw from the case if Candido refuses to heed his advice
(d) file a manifestation, if Candido pleads "not guilty," declaring to the court what he knows of the
truth.
(e) play matters by ear and wait for developments as Candido may still plead guilty.
XXII
A Regional Trial Court issues a temporary restraining order ( TRO ) halting the demolition order issued
by the City Mayor who has long loathed the cluster of shanties put up by informal settlers along the
road leading to the citys commercial district. The TRO, however, carried conditions that must be in
place before the threatened demolition can be fully halted.
The city legal officer advised the City Engineers Office and the local PNP chief that the TROs
conditions are not in place so that the demolition could proceed. The city filed a manifestation
reflecting the city legal officers position, while the informal settlers counsel sought its own
clarification and reconsideration from the court, which responded by decreeing that the conditions
have been fulfilled. Despite this ruling, the city legal officer insisted that the conditions have not been
fulfilled and thus gave the PNP clearance to aid the City Engineers Office in proceeding with the
demolition.
From the perspective of professional ethics, how would you characterize the city legal officers
actions? (1%)
(a) It is unethical since he counseled civil servants to disregard a court order.
(b) It is ethical, since he acted in accordance with his honest conviction after considering that the
courts conditions have not been met.
(c) It constitutes indirect contempt, but the lawyer cannot be disciplined because he acted out of his
firm and honest conviction.
(d) It is neither contemptuous nor unethical since he was performing his duties as city legal officer.
(e) It is unethical since the City Legal Officer was simply blindly following the Mayors wishes.
XXIII
The mediator assigned to a civil case happens to be your law school classmate and he makes a
doctrinal statement about the rights of the parties. You knew that the statement, although favorable to
your clients case, is incorrect.
The ethical move to make under the circumstances is to __________. (1%)
(a) correct the mediator and state the right doctrine
(b) just keep quiet because the other counsel might learn about your relationship with the mediator
(c) reveal your relationship with the mediator and ask the opposing counsel if he has any objections
(d) request the Mediation Supervisor to immediately change the mediator
(e) simply withdraw from the case because of the unfair advantage that you enjoy
XXIV
Wanda finally became pregnant in the 10th year of her marriage to Horacio. As her pregnancy
progressed, she started having difficulty breathing and was easily fatigued. The doctors diagnosed
that she has a heart congestion problem due to a valve defect, and that her chances of carrying a
baby to full term are slim. Wanda is scared and contemplates the possibility of abortion. She thus
sought legal advice from Diana, a lawyer-friend and fellow church member, who has been informally
advising her on legal matters.
What is Dianas best ethical response? (1%)
(a) Beg off from giving any advice because it is a situation that is not purely legal.
(b) Advise Wanda on the purely legal side of her problem and assure her that abortion is allowed by
law if the pregnancy endangers the life of the mother.
(c) Advise that it is a religious problem before it is a medical or legal one, and Wanda should consult
and follow the advice of her religious confessor.
(d) Advise Wanda that abortion, above everything else, is a moral problem and she should only have
an abortion if it is an act she can live with.
(e) Refrain from giving any kind of advice as abortion is a serious matter that cannot be resolved
through informal consultations with friends and fellow church members.
XXV
Based on the same facts as Question XIV, assume that Diana, aside from being a family friend of the
couple, has been formally and informally acting as their lawyer in all their personal and family affairs.
She has represented them in court in a case involving a car accident and in the purchase of their
family home, for which they formally paid the attorneys fees that Diana billed.
In this instance, Wanda asked about her legal rights but did not formally ask for a written opinion from
Diana. Horacio never had any input on the query as he was then away on an out-of-town trip for his
office.
Diana advised Wanda that she is fully protected in law and her best course of action is to have an
abortion while her pregnancy is not yet far advanced.
Did Diana violate the prohibition against representing conflicting interests when she provided legal
advice to Wanda without Horacios knowledge? (1%)
(a) Yes. The decision of whether to have an abortion should be decided by both spouses; thus, Diana
should not have provided legal advice in the absence of Horacio whose concerns and positions
are unknown to her.
(b) No. Diana did not give any formal advice that would constitute legal practice calling for the strict
observance of the conflict of interest rules.
(c) No. The decision on whether or not to have an abortion lies solely with Wanda; it is her body and
health that is in issue.
(d) No. Horacio and Wanda are married, any advice given to Wanda is deemed to have been given to
Horacio as well.
(e) No. Giving advice to Wanda is not necessarily acting against Horacios interest; Diana was giving
advice based on the couples best interest.
XXVI
ABLE Law Office has a retainer agreement with Santino, a businessman with shady connections, who
has recently been charged with laundering money for an illegal drugs syndicate using Cable Co.,
Santinos holding company. The lawyers of ABLE Law Office assigned to handle Santinos account
have been impleaded as co-defendants for incorporating and actively handling the affairs of Cable Co.
In its bid to strengthen its case against the defendants, the prosecution approached you (as the least
guilty defendant who would qualify for a discharge as a state witness) and offers to make you a state
witness.
Can you accept, within the bounds of professional ethics, the prosecutions offer? (1%)
(a) No, as Santinos lawyer you are duty-bound to protect his interests, ably represent him in court,
and not turn against him.
(b) Yes, as an officer of the court, you have the duty to disclose to the court information crucial to the
case.
(c) No, the information you acquired involving the criminal case against Santino is covered by the
privileged communications rule.
(d) Yes, a lawyer may testify against his client provided he first severs the lawyer-client relationship.
(e) Yes, the law of self-preservation is akin to the law of self-defense and stands higher than any
obligation you may have with your client.
XXVII
Under the same essential facts as the preceding Question XVI, assume that you have resigned from
ABLE Law Office and that you were never impleaded as a co-defendant, but during your stay with the
firm, you assisted in handling the Cobra Co. account, which is largely owned by Cable Co.
The prosecutor handling the case against Santino and the law firm asks you, as a former law firm
member, if you can help strengthen the prosecutions case and hints that you, too, may be impleaded
as a co-defendant if you do not cooperate.
What is your best legal and ethical course of action? (1%)
(a) Offer to testify on what you know and provide evidence against the defendants in exchange for a
guarantee of immunity from prosecution in the case.
(b) Offer to provide evidence against Santino, but clarify that you cannot testify against Santino
because of the privileged communications rule
(c) Decline to testify against the defendants and to provide evidence in the case as the attorney-client
privilege lasts even beyond the termination of the relationship.
(d) Decline to testify against the defendants as whatever information you acquired from Santino and
Cable Co. in the course of the lawyer-client relationship is privileged.
(e) Alert the law firm to the prosecutions offer so that they can prepare for the evidence within your
knowledge that the prosecution may use.
XXVIII
You are a lawyer working in the Public Assistance Office. Yolly, a key witness in the case (reckless
imprudence resulting in homicide) you are handling, is indigent and illiterate. While Yolly is willing to
testify in court, you worry that the judge might not be able to appreciate the impact of her testimony,
as she has a difficult time answering English questions. You also worry that this might affect her
credibility. Further, Yolly has indicated that she might not have the money to pay the fare to attend the
trial. You are presenting her as a witness for the defense at the hearing next week.
Which of the following is NOT a permissible act for you to do? (1%)
(a) Provide Yolly with money for fare to ensure her attendance in court.
(b) Interview Yolly before trial, so that she will be more at ease when she testifies before the court.
(c) Prepare a judicial affidavit of Yollys testimony, which she will then verify before the court.
(d) Provide her with sample questions that you might ask in the hearing tomorrow.
(e) All the above are permissible.
XXIX
You are a lawyer working at the Office of the Special Prosecutor and you are part of the team handling
the case against former Senator Avido who is charged with plunder. Based on your assessment of the
evidence that the complainant Linda submitted, you know that the case against former Senator Avido
is weak, although you instinctively feel that he is guilty. You inform your friend Atty. Curioso (who
works with the office of Senator Elmismo, a known political rival of Senator Avido) regarding your
instinctive feeling about Senator Avido. Atty. Curioso springs a surprise by giving you a recording of
the wiretapped conversation between Senator Avido and Napo, a private party co-accused, about the
transaction complained of and how they would split the proceeds.
What will you do under these circumstances? (1%)
(a) Disregard the wiretapped conversation as it is inadmissible and will not serve any useful purpose
in the trial of the case.
(b) Present the wiretapped conversation in court; although inadmissible, its introduction and the
disclosure of its existence is a right that the public is entitled to.
(c) Leak the wiretapped conversation to the media, to let the public know what really happened.
(d) Submit the wiretapped conversation to the Senate which is in the best position to determine what
to do with it.
(e) Let Napo privately know, through 3 rd parties, that you are aware of the existence of the taped
conversation, with the hint that he can still hope for a lighter penalty if he would cooperate.
XXX
Armin, holding a transfer certificate of title to a lot in downtown Calamba in the name of Bobby, shows
you the title and claims that Bobby sold him the lot. He then asks you to draft a deed of sale covering
the transaction. In reply to your query on where Bobby is, Armin explains that Bobby is currently out of
the country but he (Armin) has his general power of attorney which he also shows to you. The power
of attorney empowers Armin to do everything that Bobby can do with the Calamba lot, but you note
that it does not specifically authorize Armin to sell the property. Armin also assures you that he wants
the deed of sale drafted so he can send it to Bobby for his signature even while overseas.
How will you act under the given circumstances? (1%)
(a) Agree to draft the deed of sale, subject to your usual 10%commission.
(b) Refuse to draft the deed of sale, as Armin has not presented a special power of attorney that
would support the deed that he is asking you to prepare.
(c) Refuse to draft the deed of sale, as Bobby is not present to sign the deed of sale and verify that he
is indeed selling his lot to Armin.
(d) Agree to draft the deed of sale, since it is only a draft that Bobby still has to consider and sign.
(e) Refuse to have anything to do with Armins request because it is a potentially problematic situation
given the price of lots in downtown Calamba.

I
Atty. Galing is a Bar topnotcher. He has been teaching major subjects in a law school for eight (8)
years and has mastered the subjects he is handling. Is he exempt from the MCLE requirement?

(a) No, eight (8) years of experience is not enough.

(b) Yes, since he has mastered what he is handling.
(c) Yes, professors of law are exempted.
(d) No, since he is not yet a Bar reviewer.
II

2012
Atty. Rey has been a professor in the Legal Management Department of Y University for thirty (30)
years. He teaches Constitution, Obligation and Contracts, Insurance, Introduction to Law. Is he
exempted from the MCLE requirement?
(a) Yes, because his teaching experience is already more than ten (10) years.
(b) No, because he is not teaching in the College of Law.
(c) Yes, because of his field of knowledge and experience.
(d) No, because Y University is not accredited.
III
The term of Dean Rex of X College of Law expired in the first year of the third compliance period.
Does his exemption extend to the full extent of said compliance period?
(a) No, he must comply with all the unit requirements.
(b) Yes, to the full extent.
(c) No, but comply proportionately.
(d) Yes, but he must apply for exemption.
IV
What is the duration of MCLE Compliance Period?
(a) Twelve (12) months;
(b) Twenty four (24) months;
(c) Thirty six (36) months;
(d) Eighteen (18) months.
V
When does compliance period begin?
(a) When the lawyer actually begins law practice;
(b) Upon admission/readmission to the Bar;
(c) 01 October 2009;
(d) 01 October 2006.
VI
Does the MCLE requirement apply at once to a newly-admitted lawyer?
(a) Yes, if admitted to the Bar and there are four (4) more months remaining of the compliance
period.
(b) No, wait for the next compliance period.
(c) Yes, if he will start law practice immediately.
(d) Yes, if more than one (1) year remains of the compliance period.
VII
What is the purpose of MCLE?
(a) To conform to the requirements of international law.
(b) To provide a venue to improve fraternal relations among lawyers.
(c) To keep abreast with law and jurisprudence and to maintain the ethical standards of the
profession.
(d) To supplement legal knowledge due to substandard law schools.
VIII
Atty. Aga was appointed as Treasurer by the IBP President with the approval of the Board of
Governors for a term coterminous with that of the President. A year thereafter, Atty. Aga ran as
Barangay Chairman of their place, and took a leave of absence for two (2) weeks to campaign. May
Atty. Aga re-assume as Treasurer after his leave of absence?
(a) Yes, since he lost in the election.
(b) No, because he was deemed resigned upon filing of his certificate of candidacy.
(c) Yes, because his position as Treasurer is coterminous with the President of the I BP.
(d) No, because he should first seek the approval of the IBP Board of Governors before running as
Brgy. Chairman.
IX
Atty. Magtanggol of the PAO was assigned to defend X who is accused of Slight Physical Injury before
the MTC of a far-flung town. During the trial, P02 Tulco appeared in court on behalf of the
complainant. Atty. Magtanggol objected to his appearance since the policeman is not a member of the
Bar.
(a) The objection is valid. It should be the public prosecutor who should prosecute the criminal
action.
(b) Atty. Magtanggol is just afraid that his client may be convicted through the efforts of a non-
lawyer.
(c) In the courts of a municipality, a party may conduct his litigation in person or with the aid of an
agent or friend.
(d) If a public prosecutor is not available, at least a private prosecutor who must be a lawyer
should be designated.
X
Bong Tupak, a second year law student, was charged in the RTC for Forcible Abduction with Rape.
Having knowledge of criminal law and procedure, he dismissed the counsel de oficio assigned and
appeared for himself. He asserted that there was lack of force. Eventually, the RTC found him guilty
of Consented Abduction and imposed the penalty. Bong Tupak now assails the decision, saying that
there was a violation of due process because he was allowed to appear by himself and he did not
know that Consented Abduction is a crime. Decide.
(a) An accused before the RTC may opt to defend himself in person and he cannot fault others for
his decision.
(b) The RTC should have appointed a counsel de oficio to assist the accused even if not sought or
requested by the accused.
(c) There was violation of due process. There is disparity between the expertise of a public
prosecutor and the inexperience of a 2nd year law student.
(d) A 2nd year law student has sufficient knowledge of criminal law and procedure, hence, he is
competent to defend himself.
XI
RTC Judge Bell was so infuriated by the conduct of Atty. X who conveniently absents himself when
his clients do not pay his appearance fee in advance. Atty. X also uses disrespectful and obscene
language in his pleadings. At one point, when his case was called for hearing, Atty. X did not appear
for his client although he was just outside the door of the court room. Judge Bell directed the client to
summon Atty. X, but the latter refused. Judge Bell then issued an Order directing Atty. X to explain
why no disciplinary action shall be imposed on him for this misconduct but he refused the directive.
Decide.
(a) RTC Judge Bell can suspend Atty. X from the practice of law before his sala.
(b) The case of Atty. X can be dismissed due to non-appearance of counsel even though the party
was present.
(c) The hearing of the case should be rescheduled in the interest of justice.
(d) The court can admonish the client for the unprofessional conduct of his lawyer and ask him to
change his lawyer.
 XII
Debbie, topnotcher of their class, is now on her 4th year law studies and has enrolled in the legal aid
clinic of the law school. She was assigned to handle a domestic violence and support case filed by
their client against her husband. During the hearing, the clinic's supervising attorney introduced
Debbie to the Branch Clerk of Court and then left to oversee another intern. In the midst of the
proceedings, opposing counsel objected to the appearance of Debbie because she is not yet a
lawyer. Decide.
(a) Debbie can proceed because the law student practice rule allows a student who has finished 3rd
year of the regular course to appear without compensation before a trial court.
(b) Debbie can proceed since she is appearing only during the trial and did not sign the pleadings.
(c) Debbie cannot proceed without the presence of their clinic's supervising attorney.
(d) Debbie has proven her capability to handle the case and opposing counsel is objecting only now
because he might lose to a law student.
XIII
Atty. Quiso was the retained counsel for Alfa Security Agency and handled all the cases involving the
company. Adam, the Assistant Manager of the agency, hired Atty. Quiso when he was sued in an
ejectment case. Later, Adam was fired from the agency. Adam did not return a vehicle and so, Atty.
Quiso - as counsel for the security agency - filed a replevin suit Adam moved for Atty. Quiso's
disqualification considering that the ejectment case is still pending. Is there conflict of interest?
(a) No, the cases are totally unrelated and there is no occasion to unduly use confidential information
acquired from one case in the other.
(b) No, Atty. Quiso is duty bound to handle alI cases of his client, including the replevin case against
Adam.
(c) Yes, proscription is against representation of opposing parties who are present clients or in an
unrelated action.
(d) Yes, Atty. Quiso must withdraw as counsel for Adam, otherwise he will lose his retainer
XIV
Mr. Joseph, owner of an investment house, consulted a friend, Atty. Miro, about a potential criminal
act1on against him because he cannot pay investors due to temporary liquidity problems. Atty. Miro
asked Mr. Joseph to transfer to him all assets of the firm and he will take charge of settling the claims
and getting quitclaims. A month later, Mr. Joseph was surprised to receive a demand letter from Atty.
Miro, as counsel for all the claimants, for the pay back of their investments. After a while, Mr. Joseph
received releases and quitclaims from the investors, with desistance from filing criminal action against
him. Atty. Miro later told Mr. Joseph that he sent the demand letter so he can claim attorney's fee. Was
there a conflict of interest?
(a) No, there was no formal engagement of Atty. Miro as counsel for Mr. Joseph.
(b) Yes, by giving legal advice to Mr. Joseph, the latter became a client of Atty. Miro.
(c) No, there is no attorney-client relationship between Mr. Joseph and Atty. Miro as no attorney's
fee was charged nor paid to the latter.
(d) Yes, because Atty. Miro was representing Mr. Joseph when he disposed the assets to pay off the
claims.
XV
Atty. Gelly passed the Bar 1n 1975. After taking his oath, he did not enlist in any IBP chapter because
he went to the USA to pursue a Master's Degree. Eventually, he passed the state bar and specialized
in lmmigration law. In 2005. He returned to the Philippines and was but the IBP is charging him from
1975 up to the present and threatening him with expulsion if he does not comply. Is the IBP correct?
(a) Atty. Gelly cannot be compelled to pay the IBP dues because he was not engaged in the practice
of law from 1975-2005.
(b) Atty. Gelly is exempt from 1975-2005 because he was out of the country.
(c) Atty. Gelly should pay the dues from 1975 to the present since membership in the IBP is
compulsory.
(d) Atty. Gelly should not pay because the rule on bar integration is unconstitutional for compelling a
lawyer to join an association.
XVI
Mr. Joey owns a 5-hectare parcel of land which is being expropriated as market site. The government
is offering only Php 15 per sqm while Mr. Joey deserves Php 20 per sqm. Atty. AI agreed to represent
Mr. Joey in the expropriation case on contingent basis in that his attorney's fees shall be the excess of
Php 20 per sqm. Due to expert handling, the expropriation court awarded Mr. Joey the fair market
value of Php 35 per sqm. Mr. Joey complained to the court that the attorney's fee being charged is
excessive as it amounts to about 63/o of the award. Decide.
(a) A retainer's agreement, as a contract, has the force of law between the parties and must be
complied with in good faith.
(b) It was the excellent handling of the case that resulted in a bigger award; hence, it is fair that Atty.
AI should be rewarded with the excess.
(c) Mr. Joey got the desired valuation for his land. So, he must honor his contract with Atty. AI.
(d) Attorney's fees is always subject to court supervision and may be reduced by the court based on
quantum meruit.
XVII
Atty. Atras was the counsel for Mr. Abante. Soon after the case was submitted for decision, Mr. Abante
got the files and informed Atty. Atras that he was hiring another lawyer. On that same day, a copy of
the decision was received by Atty. Atras but he did not do anything anymore. He also' failed to file his
withdrawal, and no appearance was made by the new counsel. When Mr. Abante found out about the
adverse decision, the period to appeal had lapsed. Was service to Atty. Atras effective?
(a) Yes, Atty. Atras is still considered the counsel of record until his withdrawal of appearance has
been actually filed and granted.
(b) Service should be done on Mr. Abante because he had already severed lawyer-client relationship
with Atty. Atras.
(c) Service should be done on the new counsel as soon as he enters his appearance.
(d) Service upon Atty. Atras is not effective because his services have already been terminated by
the client.
XVIII
Atty. Utang borrowed from Y Php 300,000.00 secured by a post-dated check. When presented, the
check was dishonored. Y filed a BP 22 case in court, and a disbarment complaint with the IBP. In the
latter case, Atty. Utang moved for dismissal as the act has nothing to do with his being. A lawyer and
that it is premature because the case is pending and he is entitled to presumption of innocence.
Should the disbarment complaint be dismissed?
(a) No, because lawyers may be disciplined for all acts, whether professional or private.
(b) Yes, there is no conviction yet.
(c) Yes, BP 22 does not involve moral turpitude.
(d) No, unless he pays the amount of the check to the satisfaction of Y.
XIX
Atty. Juan Cruz of the Cruz, Cruz and Cruz Law Office personally handled a damage case of Mr.
Gonzalo which resulted in an award of Php 500,000.00. The writ of execution was served by Sheriff
Onoy, but resulted in recovery of only Php 70,000.00. Mr. Gonzalo was unsatisfied and filed an
administrative complaint. When informed, Sheriff Onoy berated and threatened Mr. Gonzalo; and for
this, the Sheriff was charged with Grave Threat. Atty. Pedro Cruz of the same Cruz, Cruz and Cruz
Law Office appeared as defense counsel pro bono. Mr. Gonzalo seeks his disqualification. Decide.
(a) No conflict of interest. The Grave Threat case arose out of a different factual scenario.
(b) There is conflict of interest because both Atty. Juan Cruz and Atty. Pedro Cruz belong to one law
office.
(c) No conflict of interest since the court case was wholly handled by Atty. Juan Cruz. The law office
did not participate in any way.
(d) No conflict of interest. No likelihood that information in the civil case can be used in the criminal
case.
XX
Atty. Lorna, a legal officer of a government agency, and Chona, a nurse in the medical department,
were best friends. At one time, Chona consulted Atty. Lorna about a legal matter, revealing that she is
living with a married man and that she has a child out of wedlock fathered by another man. Later, the
relation between Atty. Lorna and Chona soured. When Chona applied for promotion, Atty. Lorna filed
immorality charges against Chona utilizing solely the disclosure by the latter of her private life. Chona
objected and invoked confidentiality of information from attorney-client relationship. Decide.
(a) There is no attorney-client relationship because, being in the government, Atty. Lorna is
disallowed from practicing her profession.
(b) No lawyer-client relationship privilege because the information was given as a friend, and not as
a lawyer.
(c) Personal secrets revealed to Atty. Lorna for the purpose of seeking legal advice is covered by
attorney-client privilege.
(d) There is no attorney-client relationship because no attorney's fee was paid to Atty. Lorna.
XXI
Atty. Nelson recently passed the Bar and wanted to specialize in marine labor law. He gave out calling
cards with his name, address and telephone number in front, and the following words at the back: "We
provide legal assistance to overseas seamen who are repatriated due to accident, illness, injury, or
death. We also offer FINANCIAL ASSISTANCE." Does this constitute ethical misconduct?
(a) No, clients have freedom in the selection of their counsel.
(b) No, use of a professional card is a lawful way of announcing his services as a professional.
(c) Yes, because the offer of financial assistance is an undignified way of luring clients.
(d) Yes, because the offer of assistance is stated at the back.
XXII
Which of these does not constitute competent evidence of identity?
(a) Passport;
(b) SSS card;
(c) Community Tax Certificate;
(d) Senior Citizen Card.
XXIII
A recovery of ownership complaint was filed by the Dedo and Dedo Law Firm, through Atty. Jose
Dedo as counsel. During all the phases of trial, it was Atty. Jose Dedo who appeared. Unfortunately,
Atty. Jose Dedo died before completion of trial. Notices and orders sent to the Dedo and Dedo Law
Firm were returned to the court with the manifestation that Atty. Dedo already died and requesting the
court to directly send the matters to the client. Is this proper?
(a) No, the law firm- through another lawyer - should continue to appear for the client.
(b) Yes, because the death of the handling lawyer terminates the attorney-client relationship.
(c) Yes, because attorney's fees was not paid to the law firm.
(d) No, it will be unjust for the client to pay another lawyer.
XXIV
Which of these is not a ground for disbarment?
(a) Conviction of a crime involving moral turpitude.
(b) Belligerent disobedience to a lawful order of a trial court.
(c) Malpractice or other gross misconduct in office.
(d) Grossly immoral conduct.
XXV
Supreme Court are handled by:
(a) Clerk of Court of the Supreme Court
(b) Ombudsman
(c) Presiding Justice of the Court of Appeals
(d) Office of the Court Administrator
XXVI
Atty. Aimee was convicted by final judgment of Estafa Thru Falsification of a Commercial Document, a
crime involving moral turpitude. What is the appropriate penalty?
(a) Disbarment
(b) Indefinite suspension
(c) Suspension for three (3) years
(d) Admonition
XXVII
During the IBP Chapter elections, the candidates for President were Atty. EJ, a labor arbiter of the
NLRC, Fiscal RJ of the DOJ and Atty. Gani of the PAO. After canvass, Fiscal RJ garnered the highest
number of votes, followed by Arbiter EJ and by Atty. Gani. The winning Vice-President moved for the
annulment of the election for President because all the candidates for President are government
officials and are disqualified. Decide.
(a) The election for presidency is invalid, and the elected Vice-President shall assume the
Presidency by succession.
(b) The election is a failure, and new elections should be held.
(c) Fiscal RJ and Arbiter EJ are disqualified. Atty. Gani should be declared winner.
(d) All the candidates who are government officials are deemed resigned upon their acceptance of
nomination; and so, Fiscal RJ is winner.
XXVIII
Atty. Edad is an 85 year old lawyer. He does not practice law anymore. However, his IBP Chapter
continues to send him notices to pay his IBP dues of more than ten (1 0) years with warning that
failure to comply will result in the removal of his name. Piqued by this, Atty. Edad filed with the IBP
Secretary a sworn letter notifying that he is voluntarily terminating his membership with the IBP.
Should he be allowed?
(a) No, because membership in IBP is compulsory for all lawyers.
(b) Yes, an erstwhile IBP member may terminate his membership for good reasons.
(c) No, that is only a ploy to evade payment of IBP dues.
(d) Yes, it will violate his right not to join an association.
XXIX
Who elects the members of the Board of Governors of the IBP?
(a) The Presidents of all IBP Chapters;
(b) The members at large of the IBP;
(c) The House of Delegates;
(d) The Past Presidents of all IBP chapters.
XXX
Who elects the President and Vice-President of the IBP?
(a) The President of all IBP Chapters;
(b) The IBP members voting at large;
(c) The Board of Governors;
(d) The outgoing IBP officers.
XXXI
A judge or judicial officer is disqualified to hear a case before him wherein a party is related to him by
consanguinity or affinity -
(a) up to the 6th degree;
(b) up to the 5th degree;
(c) up to the 4th degree;
(d) up to the 3rd degree.
XXXII
A judge or judicial .officer should inhibit himself from hearing a case before him where the counsel for
either party is a relative by consanguinity or affinity -
(a) up to the 3rd degree;
(b) up to the 4th degree;
(c) up to the 5th degree;
(d) up to the 6th degree.
XXXIII
Victor has been legally separated from his wife, Belen for fifteen (15) years. He has found true love
and happiness with Amor and they lived together as husband and wife. Amor convinced Victor to
study law and gave him financial support. Recently, Victor passed the 2011 Bar Examinations. Upon
knowing this, Belen filed a complaint against Victor for immorality. Should Victor be allowed to take
oath as an attorney?
(a) Yes, his relationship with Amor is imbued with genuine love and cannot be considered immoral
and indecent.
(b) Yes, legal separation does not allow the spouses to remarry.
(c) No, because legal separation does not dissolve the marriage and, therefore, Victor's relationship
with Amor is still considered illicit.
(d) Yes, it is totally unfair for Belen to complain since they have lived separate lives.
XXXIV
Judge Nacy personally witnessed a vehicular accident near his house. Later, the Reckless
Imprudence case was raffled to his sala. Is there a valid ground for his inhibition?
(a) No. he is not acquainted nor related with any of the parties or lawyer.
(b) No, his personal knowledge of what actually happened will even ensure that he will decide the
case justly on the basis of the true facts.
(c) Yes, because a judge should decide a case on the basis of the evidence presented before him
and not on extraneous matters.
(d) No, because there is no ground for disqualification and no motion for inhibition.
XXXV
Judge Ramon obtained a two (2) year car loan from a financing company. He never paid a single
amortization. After the lapse of two (2) years, the financing company filed an administrative complaint
against the judge for willful failure to pay a just debt. Is the judge administratively liable?
(a) No, since the loan is not connected with his judicial function.
(b) Yes, because a judge should avoid impropriety or the appearance of impropriety even in his
private dealings.
(c) No, the financing company should have availed of the remedy of foreclosure.
(d) No, because the administrative charge is only meant to force the judge to pay.
XXXVI
Bong, son of Judge Rey, is a fourth year law student. He helped his friend prepare an affidavit-
complaint for Violation of Batas Pambansa Big. 22. After drafting, they showed it to Judge Rey who
made some corrections. Later, the BP 22 case was raffled to Judge Rey who tried and convicted the
accused. Was there impropriety?
(a) Yes, since Judge Rey was not a fair and impartial judge.
(b) No, the evidence for the prosecution was strong and sufficient to prove guilt beyond reasonable
doubt.
(c) No, because any other judge would also have convicted the accused.
(d) No, those matters were not known to the accused.
XXXVII
Atty. Fred is a law practitioner and headed a law firm bearing his name and those of his partners.
When Atty. Fred was elected as Congressman, his client's needs were handled by the other partners.
Later, A, a newly proclaimed congressman-friend , faced an election protest before the HRET, and
sought the help of Congressman Fred who immediately directed his law firm to appear for A. 8, the
protestant, sought the disqualification of Congressman Fred's law firm from appearing before the
HRET because Congressman Fred is prohibited from practicing his profession. Decide.
(a) Yes, Congressman Fred's law firm is disqualified because Congressman Fred may exercise
undue influence on his peers who are members of HRET.
(b) No, the law firm is not disqualified because it is another partner, and not Congressman Fred who
is appearing.
(c) No, the prohibition is on Congressman Fred from personally appearing, and not to his partners.
(d) Yes, the spirit of the prohibition is clearly to avoid influence and cannot be indirectly
circumvented.
XXXVIII
Vice-Mayor Ron is a well-loved law practitioner because he assists his constituents, especially the
indigents. Ed, one of his friends who is employed as Cashier in the Register of Deeds, sought his
assistance because he was charged with Malversation in court. Can Vice-Mayor Ron appear as
counsel of Ed?
(a) Yes, members of the Sanggunian are allowed to practice their profession.
(b) No, because Ed is charged with an offense in relation to his office.
(c) Yes, since the position of Ed does not pertain to the local government.
(d) No, because all criminal cases are against the government.
XXXIX
Atty. Noe was elected Vice-Governor and continued with his law practice. Later, the governor went on
sick leave for one (1) year and Atty. Noe was designated as Acting Governor. Since hearings have
already been set, can Atty. Noe continue appearing as counsel in the cases handled by him?
(a) Yes, because his election is only as Vice-Governor, and his delegation as Governor is only
temporary.
(b) Yes, but only for the hearings that have already been set.
(c) Yes, provided Atty. Noe seeks the permission of DILG.
(d) No, all governors- even under acting capacity- are prohibited from exercising their profession.
XXXX
Atty. Dude is the COMELEC Officer in a very distant municipality. He is. the only lawyer in that area.
When election period is over, he has much spare time. Many people go to him for counseling, legal
advice, preparation of documents of Sale, Mortgage and the like. He does not charge a fee in money,
but he receives gifts which are offered. Is there impropriety?
(a) Yes, giving legal advice and preparing legal documents, even if free, constitutes private practice
of law, which is prohibited of government employees.
(b) No, it is only giving of advices, and not court appearance.
(c) Yes, because Atty. Dude accepts gifts.
(d) No, since Atty. Dude does not accept money.
XXXXI
A notary public is required to record chronologically the notarial acts that he performs in the:
(a) Notarial Book;
(b) Roll of Documents Notarized;
(c) Notarial Register;
(d) Notarial Loose Leafs Sheets.
XXXXII
A party to a contract does not know how to write. Neither can he affix his thumbmark because both
hands were amputated. How will that person execute the contract?
(a) Ask the party to affix a mark using the toe of his foot in the presence of the notary public and two
(2) disinterested and unaffected witnesses to the instrument.
(b) Ask the party to hold the pen with his teeth and affix a + mark to be followed by the signature of
one friend.
(c) The party may ask the notary public to sign in his behalf.
(d) None of the above.
XXXXIII
The reports of a Notary Public are submitted to the:
(a) Executive Judge;
(b) Court Administrator;
(c) Notarial Archives;
(d) Clerk of Court.
XXXXIV
Atty. Tony is a 25 year old Filipino lawyer. He has been a resident in Paranaque City for about ten (1
0) years and holds office in his residence. He filed a petition for appointment as Notary Public in
Paranaque and has clearance from the I BP and the Bar Confidant. However, it appears that while still
a college student, he was convicted by a Laguna Court for Reckless Imprudence Resulting in
Damage to Property. During the summary hearing of his petition, the offended party therein strongly
objected on that ground. Can Atty. Tony be appointed?
(a) No, because he has a previous criminal record.
(b) No, because of the opposition.
(c) Yes, the offense of Reckless Imprudence does not involve moral turpitude.
(d) Yes, since the Reckless Imprudence case did not happen in the jurisdiction where Atty. Tony is
applying.
XXXXV
What is the effect when the parties to a document acknowledged before a notary public did not
present competent evidence of identity?
(a) Voidable;
(b) Valid;
(c) Invalid Notarization;
(d) Unenforceable.
XXXXVI
The petition for appointment as a notary public should be filed with:
(a) The Office of the Court Administrator;
(b) The Clerk of Court;
(c) The MeTC Executive Judge;
(d) The RTC Executive Judge.
XXXXVII
What is a retaining lien?
(a) The lawyer who handled the case during the trial stage should continue to be retained up to the
appeal.
(b) The right of the lawyer to be retained as counsel for a party until the entire case is finished.
(c) The right of a lawyer who is discharged or withdrawn to keep the records and property of the
client in his possession until his lawful services have been paid.
(d) The prerogative of a client's retainer to recover out-of-pocket expenses.
XXXXVIII
For grave misconduct, a lawyer was suspended from the practice of law indefinitely. Is he still obliged
to pay his IBP dues during his suspension?
(a) Yes, as he continues to be a lawyer and a member of the IBP.
(b) No, because indefinite suspension is practically disbarment.
(c) No need to pay IBP dues because he cannot practice anyway.
(d) Pay only after the lifting of the suspension, if it comes.
XXXXIX
Because of his political beliefs, Atty. Guerra joined a rebel group. Later, he was apprehended and
charged with Rebellion in court. A disbarment case was also filed against him. While the case was
pending, the government approved a general amnesty program and Atty. Guerra applied for and was
granted amnesty. Should the disbarment case be also dismissed automatically?
(a) Yes, because amnesty obliterates the criminal act.
(b) No, disciplinary action on lawyers are sui generis and general penal principles do not strictly
apply.
(c) No, a lawyer has the duty to maintain allegiance to the Republic of the Philippines and to support
the Constitution and obey the laws of the Philippines.
(d) Yes, if the Secretary of Justice approves the dismissal.
 L
Soon after Atty. Cesar passed the Philippine Bar in 1975, he also took the New York State Bar and
passed the same. He practiced law for 25 years in the USA, but he was disbarred therein for
insurance fraud. He returned to the Philippines and started to practice law. X, who knew about his
New York disbarment, filed a disbarment complaint with the IBP. Decide.
(a) The factual basis for the New York disbarment which is deceit also constitutes a ground for
disbarment in the Philippines.
(b) The acts complained of happened in a foreign country and cannot be penalized here.
(c) Norms of ethical behavior of lawyers are the same worldwide.
A lawyer's fitness to become a lawyer must be maintained wherever he may be.

I
Atty. Mike started teaching Agrarian Reform and Taxation in June 2001 at the Arts and Sciences
Department of the Far Eastern University. In 2005, he moved to San Sebastian Institute of Law where
he taught Political Law. Is Atty. Mike exempt from complying with the MCLE for the 4th compliance
period in April 2013?
(a) No, since he has yet to complete the required teaching experience to be exempt.
(b) No, because he is not yet a bar reviewer.
(c) Yes, since by April 2013, he will have been teaching law for more than 10 years.
(d) Yes, since he updated himself in law by engaging in teaching.
II
The acknowledgment appearing in a deed of sale reads: "Before me personally appeared this 30
August 2010 Milagros A. Ramirez, who proved her identity to me through witnesses: 1. Rosauro S.
Balana, Passport UU123456; 1-5-2010/ Baguio City; and 2. Elvira N. Buela, Passport VV200345; 1-
17-2009/ Manila. Both witnesses, of legal ages, under oath declare that: Milagros A. Ramirez is
personally known to them; she is the same seller in the foregoing deed of sale; she does not have any
current identification document nor can she obtain one within a reasonable time; and they are not
privy to or are interested in the deed he signed." What is the status of such a notarial
acknowledgment?
(a) Questionable since the notary public is not shown to personally know the principal party.
(b) Ineffective since it included parties not privy to the deed.
(c) Invalid since the evidence of identity is non-compliant with the notarial rules.
(d) Valid since it is a manner of establishing the identity of the person executing the document.
III
Atty. Franciscos retainer agreement with RXU said that his attorney's fees in its case against CRP
"shall be 15% of the amounts collected." Atty.
2011 Francisco asked the trial court to issue a temporary
restraining order against CRP but this was denied, prompting him to file a petition for certiorari with
the Court of Appeals to question the order of denial. At this point, RXU terminated Atty. Francisco s
services. When the parties later settled their dispute amicably, CRP paid RXU P100 million. Because
of this, Atty. Francisco came around and claimed a 15% share in the amount. What should be his
attorneys fees?
(a) Nothing because the compromise came after RXU terminated him.
(b) 15% of what CRP paid RXU or P15 million.
(c) A reasonable amount that the court shall fix upon proof of quantum meruit.
(d) Nothing since he was unable to complete the work stated in the retainer contract.
IV
Lee became a lawyer in 1988 under a claim that he is a Filipino like his parents. Efren sought Lee s
disbarment on the ground that he really is a Chinese. To prove he is a Filipino, Lee cited an Albay
regional trial courts final judgment in an action to recover real property which mentioned his
citizenship as Filipino. This final judgment resulted in the correction of his birth records in a separate
special proceeding to show he is a Filipino, not Chinese as there stated. Is Lees claim to Filipino
citizenship valid?
(a) No, since the mention of his citizenship in the land case was just incidental.
(b) No, since those rulings were not appealed to the Supreme Court.
(c) Yes, because the rulings in his favor have become final and executory.
(d) Yes, since his parents are Filipinos based on what he said in his bar exam petition.
V
Sheryl, Eric's counsel, once asked for postponement and the court granted it since the opposing
counsel, Bernadine, did not object. Eric then asked Sheryl not to allow any further postponements
because his case has been pending for 8 years. When trial resumed, Bernadine moved to reset the
trial because of her infant's ailment. What must Sheryl do?
(a) Remind the Court that it has the duty to promptly decide the case.
(b) Interpose no objection since she too once sought postponement without Bernadine's objection.
(c) Vehemently oppose Bernadine's motion for being contrary to Eric's wishes.
(d) Submit the motion to the Court's sound discretion.
VI
In a verified complaint, Kathy said that Judge Florante decided a petition for correction of entry
involving the birth record of her grandson, Joshua, who happened to be child of Judge Florante's
daughter, Pilita. Judge Florante insisted that he committed no wrong since the proceeding was non-
adversarial and since it merely sought to correct an erroneous entry in the childs birth certificate. Is
Judge Florante liable?
(a) Yes, because Florante breached the rule on mandatory disqualification.
(b) No, because Judge Florante has no pecuniary interest in the proceeding.
(c) No, because it is true the proceeding was non-adversarial so it prejudiced no one.
(d) Yes, since the correction in the childs record affects the details of birth of the child.
VII
Which of the following statements best describes the distinct traditional dignity that the legal
profession enjoys over other professions?
(a) People are quite dependent on lawyers for their skills in getting them out of trouble with the law.
(b) Its members strive to maintain honesty even in their private dealings.
(c) Its members earn by charging specified emoluments or fees.
(d) The profession is anchored on a fiduciary relation with the client.
VIII
Raul sought Ely's disbarment for notarizing a deed of sale knowing that four of the sellers were dead.
Ely admitted that he notarized the deed of sale but only after his client assured him that the signatures
of the others were authentic. Later, Raul moved to have the complaint against him dismissed on the
ground that it was filed because of a misunderstanding which had already been clarified. This
prompted the IBP to recommend the dismissal of the complaint. Can the dismissal be allowed?
(a) No, unless the complainant executes an affidavit of desistance.
(b) Yes, since no compelling reason remained to continue with it.
(c) Yes, but recall Ely's notarial commission since the charge against him seems meritorious.
(d) No, given Elys admission that he notarized the document when some signatories were absent.
IX
When will Atty. Antonio's notarial commission expire if he applied for and was given such commission
on 12 November 2010?
(a) 31 December 2012
(b) 31 December 2011
(c) 11 November 2011
(d) 11 November 2012
X
Elaine filed a complaint against Fely before their barangay concerning a contract that they entered
into. During conciliation, Fely came with Sarah, who claimed the right to represent her minor sister.
The barangay captain let Sarah assist her sister. Eventually, the barangay issued a certificate to file
action after the parties failed to settle their differences. When Sarah formally appeared as lawyer for
her sister, Elaine filed an administrative complaint against her for taking part in the barangay
conciliation and preventing the parties from taking meaningful advantage of the same. Is Sarah liable?

(a) No, because she has to represent her sister who was a minor.
(b) No, because the Court can always dismiss the case without prejudice to a genuine conciliation.
(c) Yes, because what Sarah did was deceitful and amounts to fraud.
(d) Yes, because as a lawyer, she is absolutely forbidden to appear in barangay conciliations.
XI
Which of the following will subject Atty. Lyndon, a Manila notary public, to sanctions under the notarial
rules?
(a) Notarizing a verification and certification against forum shopping in Manila Hotel at the request of
his Senator-client.
(b) Refusing to notarize an extra-judicial settlement deed after noting that Ambo, a friend, was delisted
as heir when he was in fact one.
(c) Performing signature witnessing involving his brother-in-law and recording it in his register.
(d) Notarizing a deed of sale for someone he knew without requiring any proof of identity.
XII
Justice Frank, a retired Court of Appeals justice, appeared before the Supreme Court on behalf of
Landbank, a government bank, in a case involving the compensable value of the property taken from
a landowner under the agrarian reform law. The landowner questioned Justice Frank's appearance in
the case, pointing out that the same is unethical and smacks of opportunism since he obviously
capitalizes on his judicial experience. Is Justice Frank's appearance in the case valid?
(a) Yes, because the law allows such appearance as long as the government is not the adverse party.
(b) No, because he cannot enjoy his retirement pay and at the same time work for a government
institution.
(c) Yes, since Landbank does not perform government function.
(d) No, he should have waited for at least a year to avoid improprieties.
XIII
On appeal, RTC Judge Rudy affirmed the MTCs conviction of Lorna for violation of the bouncing
checks law and awarded Agnes, the complainant, Php1.6 million in damages. Two years later, upon
Lornas motion and after ascertaining that her counsel never received the court's decision, Judge
Rudy recalled the entry of judgment in the case, reversed himself, and absolved Lorna of guilt.
Claiming an unjust judgment, Agnes filed an administrative complained against Judge Rudy, saying
that it is plain from the circumstances that he connived with Lorna, her counsel, and the handling
prosecutor. But she offered no further evidence. Rudy denied the charges and asserted that any error
in his judgment is correctible only by an appeal, not by an administrative suit. Should Judge Rudy be
disciplined?
(a) No, because Agnes' complaint is merely based on suspicions and speculations.
(b) No, because Agnes has yet to establish that Rudy's decision is plainly erroneous.
(c) Yes, because he gravely abused his discretion in recalling the entry of judgment.
(d) Yes, because reconsidering the judgment of conviction that the MTC and he earlier issued shows
anomaly in Judge Rudy's action.
XIV
After Atty. Benny got a P2 million final judgment in his clients favor, he promptly asked the court,
without informing his client, to allow him a charging lien over the money in the amount of P500,000,
his agreed fees, The Court issued a writ of execution for the whole judgment in Atty. Benny's name
with an order for him to turn over the excess to his client. Is Atty. Bennys action correct?
(a) No, since his fees are excessive.
(b) Yes, since he was merely asserting his right to collect his fees.
(c) Yes, since he would anyway give the excess to his client after getting his fees.
(d) No, since he did not disclose to his client the matter of getting a charging lien and a writ of
execution in his name.
 XV
On 17 April 2006 NWD, a local water district entity, hired Atty. Chito as private counsel for a year with
the consent of the Office of the Government Corporate Counsel (OGCC). Shortly after, a leadership
struggle erupted in NWD between faction A and faction B. Siding with the first, Atty. Chito filed several
actions against the members of faction B. Eventually, the court upheld Faction B which thus revoked
Atty. Chitos retainer on 14 January 2007. With OGCCs approval, NWD hired Atty. Arthur in his place.
When Atty. Arthur sought the dismissal of the actions that Atty. Chito had instituted, the latter objected
on the ground that his term had not yet expired and Atty. Arthur had no vacancy to fill up. Is Atty. Chito
right?
(a) No, because Atty. Chitos continued appearances in the cases was without authority since 14
January 2007.
(b) No, because Atty. Arthur would have violated the rule on forum shopping.
(c) Yes, because Atty. Chitos retainer and authority remained valid until 17 April 2006.
(d) No, because Atty. Chito has the duty to expose the irregularities committed by the members of
Faction B.
XVI
Noel and Emily who were involved in a road accident sued Ferdie, the driver of the other car, for
damages. Atty. Jose represented only Noel but he called Emily to testify for his client. During direct
examination, Emily claimed that her injuries were serious when Atty. Jose knew that they were not.
Still, Atty. Jose did not contest such claim. Ferdie later sued Emily for giving false testimony since her
own doctors report contradicted it. He also sued Atty. Jose for foisting a false testimony in court. Is
Atty. Jose liable?
(a) No, because he did not knowingly arrange for Emily to lie in court.
(b) Yes, because he did not advise his client to settle the case amicably.
(c) No, because Emily did not permit him to reveal the falsity to the court.
(d) Yes, because he knowingly let Emily's false testimony pass for truth.
XVII
In settling his client's claims, Atty. Cruz received from the adverse party P200,000 in cash for his
client. Which of the following is an IMPROPER way for Atty. Cruz to handle the money?
(a) Ask his client to prepare a check for his fees for swapping with the cash.
(b) Deposit the cash in his own bank account and later issue his personal check to his client, less his
fees.
(c) Turn over the cash to his client with a request that the latter pay him his fees.
(d) Tell his client about the settlement and the cash and wait for the client's instructions.
XVIII
Judge Cristina has many law-related activities. She teaches law and delivers lectures on law. Some in
the government consult her on their legal problems. She also serves as director of a stock corporation
devoted to penal reform, where she participates in both fund raising and fund management. Which of
the following statements applies to her case?
(a) She should not engage in fund raising activities.
(b) Her activities are acceptable except the part where she is involved in fund management.
(c) She can teach law and deliver lectures on law but not do the other things.
(d) All of her activities are legal.
XIX
One of the foundation principles of the Bangalore Draft of the Code of Judicial Conduct is the
importance in a modern democratic society of
(a) a judicial system that caters to the needs of the poor and the weak.
(b) public confidence in its judicial system and in the moral authority and integrity of its judiciary.
(c) the existence of independent and impartial tribunals that have the support of its government.
(d) judges who are learned in law and jurisprudence.

XX
After representing Lenie in an important lawsuit from 1992 to 1995, Atty. Jennifer lost touch of her
client. Ten years later in 2005, Evelyn asked Atty. Jennifer to represent her in an action against Lenie.
Such action involved certain facts, some confidential, to which Atty. Jennifer was privy because she
handled Lenie's old case. Can Atty. Jennifer act as counsel for Evelyn?

(a) No, but she can assist another lawyer who will handle the case.
(b) Yes, but she must notify Lenie before accepting the case.
(c) No, because her duty to keep the confidences of previous clients remains.
(d) Yes, but she cannot reveal any confidential information she previously got.

XXI

Eric, a labor federation president, represented Luisa, a dismissed WXT employee, before the NLRC.
Atty. John represented Luisa's two co-complainants. In due course, the NLRC reinstated the three
complainants with backwages and awarded 25% of the backwages as attorneys fees, 15% for Atty.
John and 10% for Eric, a non-lawyer. When WXT appealed to the Court of Appeals, Atty. John
questioned Erics continued appearance before that court on Luisas behalf, he not being a lawyer. Is
Eric's appearance before the Court of Appeals valid?

(a) Yes, for Eric has a personal stake, the fees awarded to him, in defending the NLRC's decision in
the case.
(b) No, since John can very well represent Luisa, she being in the same situation as his own clients.
(c) No, because the representation of another in courts can be entrusted only to lawyers.
(d) Yes, since that appeal is a mere continuation of the labor dispute that began at the NLRC.
XXII
In what documented act will a notary publics failure to affix the expiration date of his commission
warrant administrative sanction?
(a) In the jurat of a secretary's certificate.
(b) In the will acknowledged before him.
(c) In the signature witnessing he performed.
(d) In the document copy he certified.

XXIII

Provincial Governors and Municipal Mayors who are lawyers are MCLE exempt because

(a) they handle cases of their constituents for free.

(b) the Local Government Code prohibits them from practicing their profession.
(c) they are rendering public service.
(d) As experts in local governance, it may be assumed that they are updated on legal developments.
XXIV
A difficult client directed his counsel to bring up to the Supreme Court the trial courts dismissal of
their action. Counsel believes that the trial court acted correctly and that an appeal would be futile.
Which of the following options should counsel take?
(a) Withdraw from the case to temper the clients propensity to litigate.
(b) Engage a collaborating counsel who can assist in the case.
(c) Submit a new retainer proposal to the client for a higher fee.
(d) Elevate the case to the Supreme Court as directed by client.
XXV
Although not counsel in a particular case, Atty. Anthony asked Lisa, the RTC clerk of court, if the case
records have already been remanded to the MTC as the Court of Appeals directed. Lisa said no,
saying that the RTC had not yet received a certified copy of the Court of Appeals decision. When Lisa
suggested that Atty. Anthony first secure such a copy, the latter scolded her. Shamed by this, Lisa filed
a disciplinary action against him for encroaching on the work of the lawyers of record. Anthony
defends his follow-up action by claiming good faith and the possibility of entering his appearance later.
Is Anthony liable for his record follow up?
(a) Yes, because he did not inform Lisa of the basis of his interest in the case.
(b) Yes, because none of the parties to the case authorized him to do such follow up.
(c) No, because he acted in good faith with a view to a possible retainer.
(d) No, because following up the records of any case does not constitute practice of law.
XXVI
Administrative proceedings against Judges of all courts and Justices of the Court of Appeals and the
Sandiganbayan shall be
(a) private and confidential.
(b) public but subdued.
(c) private but transparent.
(d) public.
XXVII
When does the initial MCLE compliance period of a newly admitted member of the bar begin?
(a) On the first day of the month of his admission.
(b) On the tenth day of the month of his admission.
(c) On the third year after his admission as member.
(d) On the first year of the next succeeding compliance period.
XXVIII
Counsel for Philzea Mining appealed a decision of the Bureau of Mines, which was adverse to his
client, to the Environment Secretary. At about the same time, he filed a special civil action of certiorari
with the Court of Appeals for the annulment of the same decision. Did counsel commit any ethical
impropriety in his actions?
(a) Yes, since the action he filed with the Court of Appeals was barred by the pendency of a similar
action before the Environment Secretary.
(b) Yes, since he was evidently shopping for a sympathetic forum, a condemnable practice.
(c) No, since his appeal to the Environment Secretary was administrative, not judicial.
(d) No, since he has to exhaust all available remedies to serve his clients interest.
XXIX
Atty. Melissa witnessed the car accident that resulted in injury to Manny, a friend of hers. While
visiting him at the hospital, she advised him about what action he needed to take regarding the
accident. Is Atty. Melissa subject to disciplinary action if she eventually handles the case for him?
(a) No, because Melissa did not directly volunteer her services.
(b) No, because Manny happened to be a friend.
(c) Yes, she engaged in typical ambulance chasing.
(d) Yes, because she should have offered her services for free.
XXX
A Court Administrator's auditing team found that Judge Ruby used business cards which stated, in
addition to her official title as presiding judge of her court, that she is bar topnotcher, her law school s
"class valedictorian," and "one of the most sought after private law practitioners" before she joined the
judiciary, all of which are true. Asked to explain this seeming impropriety, Ruby pointed out that
business cards can include the persons "title" which is broad enough to include in her case her
standing in the bar and all the honors she earned. Did Ruby commit an impropriety?
(a) Yes, unless the cards were given to her as a gift.
(b) No, because all she stated in her business cards are true.
(c) Yes, because she showed a hunger for publicity and recognition that debases her judicial post.
(d) No, because she is free to include in her business cards details that say who she is.
XXXI
Serving as counsel de oficio, Atty. Mamerto advised John of the consequences of his plea of not
guilty to the charge. Before trial could be held, however, the presiding judge died. As it happened, Atty.
Mamerto was appointed judge and Johns case was assigned to him by raffle. John quickly moved for
the judges disqualification. Is Judge Mamerto under obligation to inhibit himself from the case?
(a) No, because his service to John was just momentary.
(b) Yes, because his knowledge of Johns case affects his judgment.
(c) No, because he was merely a counsel de oficio.
(d) Yes, because he served as John's counsel.
XXXII
Myra asked Atty. Elma to notarize her deed of sale. When Elma asked for Myra's competent evidence
of identity, she explained that she does not have any current identification document nor could she get
one soon. Instead, she presented her friend, Alex, who showed Atty. Elma his drivers license and
confirmed her Myras identity. Is Alexs identification of Myra valid?
(a) Yes, provided Alex states in the deed of sale that he knew Myra personally.
(b) No, Myra needs to produce a valid identification document of herself.
(c) No, since Alex is not himself a party to the document.
(d) Yes, since Alex had a valid identification document.
XXXIII
Atty. Eliseo represented Allan in a collection suit against the Philippine Charity Sweepstakes Office
(PCSO). After his election as sangguniang bayan member, the court rendered a decision in PCSOs
favor. Still, Atty. Eliseo appeared for Allan in the latters appeal, prompting the PCSO to question his
right to do so. In response, Atty. Eliseo claimed that the local government code authorizes him to
practice law as long it does not conflict with his duties. Is Atty. Eliseo right?
(a) No, because he cannot appear against a government instrumentality in a civil case.
(b) Yes, because his official duties do not conflict with his private practice.
(c) No, because he works on his private case at the sacrifice of public service.
(d) Yes, because he does not appear in the case as a municipal official.
XXXIV
Which of the following instances demonstrates counsels LACK of diligence in serving his client's
interest?
(a) Failing to file his clients appeal brief despite 2 extensions upon the excuse that the client did not
coordinate with him.
(b) Failing to send to client a requested legal opinion until after the latter gave him the additional
documents he requested.
(c) Failing to rehearse his client on his testimony before the trial.
(d) Updating his client about the status of his case by phone and electronic mail.
XXXV
What is the method of national inquiry into the conduct of Supreme Court magistrates?
(a) Administrative investigation.
(b) Disqualification.
(c) Impeachment.
(d) Disbarment.
XXXVI
What unhealthy attitude of mind should a judge avoid falling into?
(a) Hearing and adjudicating cases is an important job.
(b) Courts are made for litigants.
(c) Litigants are made for the courts.
(d) Courts should dispose of their cases on time.

XXXVII

After hearing in a sensational criminal case, counsel for the accused told television viewers how the
judge unfairly ruled to stop his witness from testifying fully about certain aspects of the case that
would help the accused. Counsel said that the public should know the injustice to which his client was
being subjected. Can counsel be disciplined for his utterances?

(a) Yes, because rather than defend the judicial system as was his duty, he attacked it.
(b) No, since counsel did not use obscene language.
(c) No, so long as counsel did not knowingly make false statements or act in reckless disregard of
truth.
(d) Yes, even if the judge may have actually made unfair rulings in the course of trial.

XXXVIII

Which of the following is required of counsel when withdrawing his services to a client in a case?

(a) Counsel's desire to withdraw, expressed in his motion.

(b) Payment of withdrawal fee.
(c) Opposing counsels conformity to the withdrawal.
(d) Client's written consent filed in court.
XXXIX
Which of the following demonstrates the lawyer's duty to give the court the respect it deserves?
(a) Counsel consistently appearing in court on time.
(b) Counsel obeying court's orders and processes.
(c) Woman counsel appearing in court dressed in business attire.
(d) Counsel addressing the court as "Your Honor" at all times.
XXXX
Atty. Arthur agreed to represent Patrick in a personal injury case after the latter signed a retainer
agreement for a 33% fee contingent on their winning the case. In the course of trial, Patrick dismissed
Atty. Arthur after he presented their evidence in chief and engaged Atty. Winston another lawyer. They
lost the case. What fee would Atty. Arthur be entitled to?
(a) Thirty three percent of the fee actually paid to Winston.
(b) The reasonable value of his services.
(c) A flat hourly rate for the time he invested in the case.
(d) Absolutely nothing.

XXXXI

Ronnie, a paralegal in a law firm, helped Beth in a property dispute in which she was involved by
giving her legal advice and preparing a complaint that she eventually filed in court under her own
signature. When the lawyer for the defendant learned of it, he told Ronnie to desist from practicing
law. But he disputed this, claiming that he had not practiced law since he did not receive
compensation from Beth for his help. Is Ronnie correct?

(a) Yes, because he could as a paralegal provide competent legal help to litigants.
(b) Yes, for so long as he did not sign the complaint or appeared as Beth's lawyer.
(c) No, unless Beth was ill-advised in filing her complaint in court.
(d) No, because receipt of compensation is not the sole determinant of legal practice.

XXXXII

Which of the following characteristics pertains to a charging lien?

(a) It cannot attach to judgments for delivery of real estates.

(b) It involves documents placed in the lawyer's possession by reason of the retainer.
(c) It does not need any notice to the client to make it effective.
(d) It may be exercised before judgment or execution.
XXXXIII
To whom may the Supreme Court refer complaints against lawyers for investigation?
(a) Integrated Bar of the Philippines.
(b) Office of the Bar Confidant.
(c) Judicial and Bar Council.
(d) Office of the Court Administrator.
XXXXIV
After several years as a private practitioner, Ben got appointed as Regional Trial Court judge. Five
years after his appointment, he received summons directing him to answer a disbarment complaint
that pertained to a document he notarized more than 10 years ago from appointment date. He sought
the dismissal of the complaint arguing that the cause of action has prescribed. Must the complaint be
dismissed?
(a) No, because such complaints do not prescribe.
(b) Yes, because the complaint creates a chilling effect on judicial independence.
(c) No, but the complaint should be verified to ensure transparency.
(d) Yes, because actions on contracts prescribe in 10 years.
XXXXV
On November 28 Atty. Patrick wrote in a newspaper column that the Supreme Court already decided
in favor of the validity of the Executive Order that created the Truth Commission upon a vote of 13-2.
But, as it turned out, the Court actually rendered an adverse decision only on December 7, and upon
a vote of 10-5. Asked to explain his misleading article, Patrick said that his constitutionally protected
right to free expression covered what he wrote. Can the Court cite Patrick for contempt?
(a) Yes, because his article obstructs and degrades the administration of justice.
(b) No, because the right to free expression occupies a high rank in the hierarchy of cherished rights.
(c) No, because courts must simply ignore public opinion and the media when rendering decisions.
(d) Yes, because he wrote a lie in his column.
XXXXVI
Atty. Ramon borrowed his client's (Menchu) land title. After eight months, Menchu demanded its return
but he failed to comply and changed his residence. After Menchu tracked him down, she confronted
him about the title. He then offered to just buy the property and gave her five checks for it but these
bounced. Charged with malpractice, Atty. Ramon answered that his license to practice law cannot be
in issue. He merely incurred civil liability for a failed transaction. Will the malpractice action prosper?
(a) No, because his failure to pay his obligation only makes him civilly liable.
(b) No, since Menchu did not transact business with Atty. Ramon as a lawyer.
(c) Yes, because it is professionally reprehensible for a lawyer to be unavailable to a person in need.
(d) Yes, he having taken advantage of Menchu who was not fully protected and had no independent
advice.
XXXXVII
Atty. Alfredo Prado appeared in a case as legal officer of the Land Registration Authority (LRA). His
opponent, Atty. Armando, knew an Atty. Alfredo Prado from his province who had been dead for years.
When Atty. Armando checked with the Supreme Court, only one Alfredo Prado was in the roll of
attorneys. What action can Atty. Armado take against Vicente who had taken a dead lawyers identity?
(a) File direct contempt action against Vicente for deceiving the court.
(b) Criminally prosecute Vicente for estafa for making money upon false pretense.
(c) Criminally prosecute Vicente for theft of Alfredo's identity and law practice.
(d) Institute a disbarment case against Vicente for misrepresenting himself as lawyer.

XXXXVIII

After the prosecution cross-examined Shiela, a witness for the accused, Judge Pedro asked her ten
additional questions that were so intense they made her cry. One question forced Sheila to admit that
her mother was living with another man, a fact that weighed on the case of the accused. This
prompted the latters counsel to move to expunge the judges questions for building on the
prosecution's case. Judge Pedro denied the motion, insisting that bolstering a partys case is
incidental to the courts desire to be clarified. Did Pedro commit an impropriety?

(a) No, his ten questions could not be considered an undue intervention.
(b) No, because the judge is free to inquire into any aspect of the case that would clarify the evidence
for him.
(c) Yes, because he effectively deprived the defense of its right to due process when he acted both as
prosecutor and judge.
(d) Yes, because nothing connects his desire to be clarified with the questions he asked.
 XXXXIX
Administrative penalties imposed on judges are
(a) curative.
(b) punitive.
(c) corrective.
(d) both punitive and corrective.

L
Which of the following demonstrates a lawyers fidelity to known practices and customs of the bar
regarding a case he is handling?
(a) Treating his clients disclosures as confidential but not the documents he submits for review.
(b) Meeting with his clients opponent over lunch to discuss settlement without telling his client.
(c) Accepting a tough case although he is new in practice, trusting that his diligence would make up
for lack of experience.
(d) Inviting the judge hearing the case to dinner with no purpose to discuss the case with him.

I
Enumerate the instances when a Notary Public may authenticate documents without requiring the
physical presence of the signatories. (2%)
II
Atty. Y, in his Motion for Reconsideration of the Decision rendered by the National Labor Relations
Commission (NLRC), alleged that there was connivance of the NLRC Commissioners with Atty. X for
monetary considerations in arriving at the questioned Decision. He insulted the Commissioners for
their ineptness in appreciating the facts as borne by the evidence presented.
Atty. X files an administrative complaint against Atty. Y for using abusive language.
Atty. Y posits that as lawyer for the down-trodden laborers, he is entitled to express his righteous
anger against the Commissioners for having cheated them; that his allegations in the Motion for
Reconsideration are absolutely privileged; and that proscription against the use of abusive language
does not cover pleadings filed with the NLRC, as it is not a court, nor are any of its Commissioners
Justices or Judges.
Is Atty. Y administratively liable under the Code of Professional Responsibility? Explain. (3%)
III
Atty. XX rented a house of his cousin JJ on a month-to-month basis. He left for a 6-month study in
Japan without paying his rentals and electric bills while he was away despite JJs repeated demands.
Upon his return to the Philippines, Atty. XX still failed to settle his rental arrearages and electric bills,
drawing JJ to file an administrative complaint against Atty. XX.
Atty. XX contended that his non-payment of rentals and bills to his cousin is a personal matter which
has no bearing on his profession as a lawyer and, therefore, he did not violate the Code of
Professional Responsibility.
(a) Is Atty. XXs contention in order? Explain. (3%)

(b) Cite two (2) specific Rules in the Code of Professional Responsibility, violation of which subjects
a lawyer to disciplinary action by the Supreme Court although the acts complained of are purely
personal or private activities that do not involve the practice of law. (2%)

2010 IV
When is professional incompetence a ground for
disbarment under the Rules of Court? Explain. (3%)
V
Atty. Monica Santos-Cruz registered the firm name "Santos- Cruz Law Office" with the Department of
Trade and Industry as a single proprietorship. In her stationery, she printed the names of her husband
and a friend who are both non-lawyers as her senior partners in light of their investments in the firm.
She allowed her husband to give out calling cards bearing his name as senior partner of the firm and
to appear in courts to move for postponements.
Did Atty. Santos-Cruz violate the Code of Professional Responsibility? Why? (3%)
VI
Atty. Candido commented in a newspaper that the decision of the Court of Appeals was influenced by
a powerful relative of the prevailing party. The appellate court found him guilty of indirect contempt.
Does this involve moral turpitude? Explain. (3%)
VII
For services to be rendered by Atty. Delmonico as counsel for Wag Yu in a case involving 5,000
square meters (sq.m.) of land, the two agreed on a success fee of P50,000 plus 500 sq.m. of the land.
The trial court rendered judgment in favor of Wag Yu which became final and executory.
After receiving P50,000, Atty. Delmonico demanded the transfer to him of the promised 500 sq.m.
Instead of complying, Wag Yu filed an administrative complaint charging Atty. Delmonico with violation
of the Code of Professional Responsibility and Article 1491(5) of the Civil Code for demanding the
delivery of a portion of the land subject of litigation.
Is Atty. Delmonico liable under the Code of Professional Responsibility and the Civil Code? Explain.
(5%)
VIII
Is the defense of Atty. R in a disbarment complaint for immorality filed by his paramour P that P is
in pari delicto material or a ground for exoneration? Explain. (3%)
IX
Allison hired Atty. X as his counsel in his complaint for Collection of Sum of Money. Upon receipt on
March 20, 2009 of the Notice of Pre-Trial which was scheduled on May 24, 2009, Allison noted that at
that time he would still be in a two-week conference in St. Petersburg. He thus asked Atty. X to
represent him during the pre-trial.
Prepare the necessary document that Atty. X should submit to the court to enable him to represent
Allison during Pre-Trial. (5%)
X
After passing the Philippine Bar in 1986, Atty. Richards practiced law until 1996 when he migrated to
Australia where he subsequently became an Australian citizen in 2000. As he kept abreast of legal
developments, petitioner learned about the Citizenship Retention and Re-Acquisition Act of 2003
(Republic Act No. 9225), pursuant to which he reacquired his Philippine citizenship in 2006. He took
his oath of allegiance as a Filipino citizen at the Philippine embassy in Canberra, Australia. Jaded by
the laid back life in the outback, he returned to the Philippines in December 2008. After the holidays,
he established his own law office and resumed his practice of law.
Months later, a concerned woman who had secured copies of Atty. Richards naturalization papers
with consular authentication, filed with the Supreme Court an anonymous complaint against him< for
illegal practice of law.
(a) May the Supreme Court act upon the complaint filed by an anonymous person? Why or why not?
(3%)
(c)
(b) Is respondent entitled to resume the practice of law? Explain. (5%)
XI
Rebeccas complaint was raffled to the sala of Judge A. Rebecca is a daughter of Judge As wife by a
previous marriage. This is known to the defendant who does not, however, file a motion to inhibit the
Judge.
Is the Judge justified in not inhibiting himself from the case? (3%)
XII
Reacting to newspaper articles and verbal complaints on alleged rampant sale of Temporary
Restraining Orders by Judge X, the Supreme Court ordered the conduct of a discreet investigation by
the Office of the Court Administrator.
Judges in the place where Judge X is assigned confirmed the complaints.
(a) What administrative charge/s may be leveled against Judge X? Explain. (3%)
(c)
(b) What defense/s can Judge X raise in avoidance of any liability? (2%)
XIII
Farida engaged the services of Atty. Garudo to represent her in a complaint for damages. The two
agreed that all expenses incurred in connection with the case would first be shouldered by Atty.
Garudo and he would be paid for his legal services and reimbursed for all expenses which he had
advanced out of whatever Farida may receive upon the termination of the case. What kind of contract
is this? (2%)
XIV
Rico, an amiable, sociable lawyer, owns a share in Marina Golf Club, easily one of the more posh golf
courses. He relishes hosting parties for government officials and members of the bench.
One day, he had a chance meeting with a judge in the Intramuros golf course. The two readily got
along well and had since been regularly playing golf together at the Marina Golf Club.
(a) If Atty. Rico does not discuss cases with members of the bench during parties and golf games, is
he violating the Code of Professional Responsibility? Explain. (3%)
(c)
(b) How about the members of the bench who grace the parties of Rico, are they violating the Code
of Judicial Conduct? Explain. (3%)
XV
Judge L is assigned in Turtle Province. His brother ran for Governor in Rabbit Province. During the
election period this year, Judge L took a leave of absence to help his brother conceptualize the
campaign strategy. He even contributed a modest amount to the campaign kitty and hosted lunches
and dinners.
Did Judge L incur administrative and/or criminal liability? Explain. (3%)
XVI
Judge X was invited to be a guest speaker during the annual convention of a private organization
which was covered by media. Since he was given the liberty to speak on any topic, he discussed the
recent decision of the Supreme Court declaring that the President is not, under the Constitution,
proscribed from appointing a Chief Justice within two months before the election.
In his speech, the judge demurred to the Supreme Court decision and even stressed that the decision
is a serious violation of the Constitution.
(a) Did Judge X incur any administrative liability? Explain. (3%)
(c)
(b) If instead of ventilating his opinion before the private organization, Judge X incorporated it, as
an obiter dictum, in one of his decisions, did he incur any administrative liability? Explain. (3%)
XVII
Judges of the first and second level courts are allowed to receive assistance from the local
government units where they are stationed. The assistance could be in the form of equipment or
allowance.
Justices at the Court of Appeals in the regional stations in the Visayas and Mindanao are not
necessarily residents there, hence, they incur additional expenses for their accommodations.
Pass on the propriety of the Justices receipt of assistance/allowance from the local governments.
(3%)
XVIII
Arabella filed a complaint for disbarment against her estranged husband Atty. P on the ground of
immorality and use of illegal drugs.
After Arabella presented evidence and rested her case before the Investigating Commissioner of the
IBP Committee on Bar Discipline, she filed an Affidavit of Desistance and motion to dismiss the
complaint, she and her husband having reconciled for the sake of their children.
You are the Investigating Commissioner of the IBP. Bearing in mind that the family is a social
institution which the State is duty-bound to preserve, what will be your action on Arabella s motion to
dismiss the complaint? (3%)
XIX
On the proposal of Judge G, which was accepted, he and his family donated a lot to the city of Gyoza
on the condition that a public transport terminal would be constructed thereon. The donation was
accepted and the condition was complied with.
The family-owned tracts of land in the vicinity of the donated lot suddenly appreciated in value and
became commercially viable as in fact a restaurant and a hotel were soon after built.
Did the Judge commit any violation of the Code of Judicial Conduct? (2%)
XX
A retired member of the Judiciary is now engaged in private practice. In attending hearings, he uses
his car bearing his protocol plate which was issued to him while still in the service.
Pass on the ethical aspect of the judges use of the protocol plate. (2%)
(c)

TRUE or FALSE. Answer TRUE if the statement is true, or FALSE if the statement is false. Explain
your answer in not more than two (2) sentences. (5%)

I
The Bangalore Draft, approved at a Roundtable Meeting of Chief Justices held at The Hague, is now
the New Code of Judicial Conduct in the Philippines.
An attorney ad hoc is a lawyer appointed by the court to represent an absentee defendant in a suit in
which the appointment is made.
A charging lien, as distinguished from a retaining lien, is an active lien which can be enforced by
execution.
A lawyer cannot refuse to divulge the name or identity of his client.
A notary public is disqualified from performing a notarial act when the party to the document is a
relative by affinity within the 4th civil degree.

II
(a) What is the object of the bar examinations? Explain. (2%)
2009
(b) What are the three (3) tests to determine
conflict of interest for practicing lawyers? Explain each briefly. (3%)
(c)
(d) May a party appear as his own counsel in a criminal or in a civil case? Explain. (3%)
(e)

(f) What is the student practice rule? (2%)

(g)
III
In a case for homicide filed before the Regional Trial Court (RTC), Presiding Judge Quintero issued
an order for the arrest of the accused, granted a motion for the reduction of bail, and set the date for
the arraignment of the accused. Subsequently, Judge Quintero inhibited himself from the case,
alleging that even before the case was raffled to his court, he already had personal knowledge of the
circumstances surrounding the case. Is Judge Quinteros inhibition justified? Explain. (3%)

IV
After being diagnosed with stress dermatitis, Judge Rosalind, without seeking permission from the
Supreme Court, refused to wear her robe during court proceedings. When her attention was called,
she explained that whenever she wears her robe she is reminded of her heavy caseload, thus making
her tense. This, in turn, triggers the outbreak of skin rashes. Is Judge Rosalind justified in not wearing
her judicial robe? Explain. (3%)

V
Cliff and Greta were law school sweethearts. Cliff became a lawyer, but Greta dropped out. One day,
Cliff asked Greta to sign a marriage contract. The following day, Cliff showed Greta the document
already signed by an alleged solemnizing officer and two witnesses. Cliff then told Greta that they
were already married and Greta consented to go on a honeymoon. Thereafter, the couple cohabited
and begot a child. Two years later, Cliff left Greta and married a Venezuelan beauty. Incensed, Greta
filed a disbarment complaint against Cliff. Will the case prosper? Explain. (4%)

VI
Atty. Sabungero obtained a notarial commission. One Sunday, while he was at the cockpit, a person
approached him with an affidavit that needed to be notarized. Atty. Sabungero immediately pulled out
from his pocket his small notarial seal, and notarized the document. Was the affidavit validly
notarized? Explain. (3%)

VII
Atty. Manuel is counsel for the defendant in a civil case pending before the RTC. After receiving the
plaintiffs Pre-Trial Brief containing the list of witnesses, Atty. Manuel interviewed some of the
witnesses for the plaintiff without the consent of plaintiffs counsel.
Did Atty. Manuel violate any ethical standard for lawyers? Explain. (3%)
Will your answer be the same if it was the plaintiff who was interviewed by Atty. Manuel without the
consent of plaintiffs counsel? Explain. (2%)

VIII
Court of Appeals (CA) Justice Juris was administratively charged with gross ignorance of the law for
having issued an order "temporarily enjoining" the implementation of a writ of execution, and for
having issued another order for the parties to "maintain the status quo" in the same case. Both orders
are obviously without any legal basis and violate CA rules. In his defense, Justice Juris claims that the
challenged orders were collegial acts of the CA Division to which he belonged. Thus, he posits that
the charge should not be filed against him alone, but should include the two other CA justices in the
Division. Is the contention of Justice Juris tenable? Explain. (3%)

IX
Alexander Sison, resident of 111 Libertad St., Sampaloc, Manila, engages your services as lawyer. He
tells you that a certain Mr. Juan Jamero of 222 Juan Luna St., Tondo, Manila, owes him
P1,000,000.00; that the debt is long overdue; and that, despite repeated demands, Jamero has failed
to comply with his obligation. He also shows you a promissory note, executed on January 3, 2008,
wherein Jamero promises to pay the amount of P1,000,000.00, with 12% interest per annum, within
one (1) year from date of note. Sison agrees to pay you attorneys fees in the amount of P75,000.00,
and a fee of P3,000.00 for every appearance in court.
As Sisons lawyer, prepare the complaint that you will file in court against Juan Jamero. (10%)
Given the same facts in No. IX above, assume that summons had been served on Jamero, but no
responsive pleading was filed within the reglementary period.

X
Prepare a motion to declare Jamero in default. (4%)

XI
TRUE or FALSE. Answer TRUE if the statement is true, or FALSE if the statement is false. Explain
your answer in not more than two (2) sentences. (5%)
(a) The duty of a lawyer to his client is more paramount than his duty to the Court.
(b) It is ethical for a lawyer to advise his client to enter a plea of guilty in a criminal case if the lawyer is
personally convinced that he cannot win the case for his client.
(c) There is no presumption of innocence or improbability of wrongdoing in an attorneys favor when
he deals with his client concurrently as lawyer and as businessman.
The satisfaction of a judgment debt does not, by itself, bar or extinguish the attorneys liens, except
when there has been a waiver by the lawyer, as shown by his conduct or his passive omission.
A companion or employee of the judge who lives in the judges household is included in the definition
of the "judges family."

XII
Write the complete text of the attorneys oath. (5%)

XIII
Atty. Hyde, a bachelor, practices law in the Philippines. On long weekends, he dates beautiful
actresses in Hong Kong. Kristine, a neighbor in the Philippines, filed with the Supreme Court an
administrative complaint against the lawyer because of sex videos uploaded through the internet
showing Atty. Hydes sordid dalliance with the actresses in Hong Kong.
In his answer, Atty. Hyde (1) questions the legal personality and interest of Kristine to institute the
complaint and (2) insists that he is a bachelor and the sex videos relate to his private life which is
outside public scrutiny and have nothing to do with his law practice.
Rule on the validity of Atty. Hydes defenses. (5%)

XIV
Marlyn, a widow, engaged the services of Atty. Romanito in order to avert the foreclosure of several
parcels of land mortgaged by her late husband to several creditors. Atty. Romanito advised the widow
to execute in his favor deeds of sale over the properties, so that he could sell them and generate
funds to pay her creditors. The widow agreed. Atty. Romanito did not sell the properties, but paid the
mortgage creditors with his own funds, and had the land titles registered in his name. Atty. Romanito
succeeds in averting the foreclosure. Is he administratively liable? Reasons. (3%)

XV
Atty. Wilmar represented Beatriz in a partition case among heirs, and won. When Wilmar demanded
payment of attorneys fees, Beatriz refused to pay. Wilmar sued Beatriz for the unpaid attorneys fees
and obtained a favorable judgment. Thereafter, Beatriz filed an administrative complaint against
Wilmar claiming that he lied when he stated in his claim for attorneys fees that the subject of the
partition case involved the entire estate of the deceased when, in fact, it covered only 50% thereof.
Wilmar set up the defenses that (1) Beatriz filed the complaint only to delay the execution of the
judgment ordering her to pay attorneys fees and (2) Beatriz engaged in forum-shopping. Are the
defenses of Atty. Wilmar tenable? Explain. (4%)

VI
Atty. Simeon persuaded Armando, Benigno and Ciriaco to invest in a business venture that later went
bankrupt. Armando, Benigno and Ciriaco charged Atty. Simeon with estafa. Simultaneously, they filed
an administrative complaint against the lawyer with the Supreme Court.
If Simeon is convicted of estafa, will he be disbarred? Explain. (3%)
If Simeon is acquitted of the estafa charge, will the disbarment complaint be dismissed? Explain. (3%)

XVII
When Atty. Romualdo interviewed his client, Vicente, who is accused of murder, the latter confessed
that he killed the victim in cold blood. Vicente also said that when he takes the witness stand, he will
deny having done so. Is Atty. Romualdo obliged, under his oath as lawyer, to inform the judge that [a]
his client is guilty and [b] his client will commit perjury on the witness stand? Explain. (4%)

XVIII
On a Saturday, Atty. Paterno filed a petition for a writ of amparo with the Court of Appeals (CA).
Impelled by the urgency for the issuance of the writ, Atty. Paterno persuaded his friend, CA Justice
Johnny de la Cruz, to issue the writ of amparo and the notice of hearing without the signature of the
two other Justices-members of the CA division. Are Atty. Paterno and Justice de la Cruz guilty of
unethical conduct? Explain. (4%)

XIX
Romeo Hacendero wants to authorize Juanito Ahente to sell, on cash basis, for a price not lower than
P500,000.00, a parcel of land, situated in Muoz, Nueva Ecija, and covered by Transfer Certificate of
Title No. 123456, in the Register of Deeds of Nueva Ecija. Prepare a Special Power of Attorney
granting such authority. (4%)

XX
From the affidavits and the death certificate submitted during the preliminary investigation, the
following facts are established: At 6:00 oclock in the evening of September 13, 2009, at the corner of
Dapitan and Dos Castillas Sts., Sampaloc, Manila, Edgar Bastonero, alias Bugoy, and Carlos
Tirador, alias Pogi, accosted Johnny Escolar, a student, and demanded the latters cellular phone and
wrist watch. Because Johnny resisted, Bastonero pulled out a knife and stabbed Johnny several times
in the chest, causing instantaneous death. Bastonero and Tirador then ran away. The affidavits were
executed by William Tan and Henry Uy, classmates of Johnny, who witnessed the entire incident. The
death certificate was issued by Dr. Jose Cabra who conducted the autopsy on Johnny.
As Assistant City Prosecutor in Manila, prepare the appropriate criminal information to be filed in
court. (10%)

I
Christine was appointed counsel de oficio for Zuma, who was accused of raping his own daughter.
Zuma pleaded not guilty but thereafter privately admitted to Christine that he did commit the crime
charged.
In light of Zumas admission, what should Christine do? Explain. (3%)
Can Christine disclose the admission of Zuma to the court? Why or why not? (2%)
Can Christine withdraw as counsel of Zuma should he insist in going to trial? Explain. (3%)

II
In 1998, Acaramba, a telecommunications company, signed a retainer agreement with Bianca &
Sophia Law Office (B & S) for the latters legal services for a fee of P2,000 a month. From 1998 to
2001, the only service actually performed by B & S for Acaramba was the review of a lease

2008
agreement and representation of Acaramba as a complainant in a bouncing checks case. Acaramba
stopped paying retainer fees in 2002 and terminated its retainer agreement with B & S in 2005. In
2007, Temavous, another telecommunications company, requested B & S to act as its counsel in the
following transactions: (a) the acquisition of Acaramba; and (b) the acquisition of Super-6, a company
engaged in the power business.
In which transactions, if any, can Bianca & Sophia Law Office represent Temavous? Explain fully. (7%)

III
Dumbledore, a noted professor of commercial law, wrote an article on the subject of letters of credit
which was published in the IBP Journal.
Assume he devoted a significant portion of the article to a commentary on how the Supreme Court
should decide a pending case involving the application of the law on letters of credit. May he be
sanctioned by the Supreme Court? Explain. (4%)
Assume Dumbledore did not include any commentary on the case. Assume further after the Supreme
Court decision on the case had attained finality, he wrote another IBP Journal article, dissecting the
decision and explaining why the Supreme Court erred in all its conclusions. May he be sanctioned by
the Supreme Court? Explain. (3%)

IV
Chester asked Laarni to handle his claim to a sizeable parcel of land in Quezon City against a well-
known property developer on a contingent fee basis. Laarni asked for 15% of the land that may be
recovered or 15% of whatever monetary settlement that may be received from the property developer
as her only fee contingent upon securing a favorable final judgment or compromise settlement.
Chester signed the contingent fee agreement.
Assume the property developer settled the case after the case was decided by the Regional Trial
Court in favor of Chester for P1 Billion. Chester refused to pay Laarni P150 Million on the ground that
it is excessive. Is the refusal justified? Explain. (4%)
Assume there was no settlement and the case eventually reached the Supreme Court which
promulgated a decision in favor of Chester. This time Chester refused to convey to Laarni 15% of the
litigated land as stipulated on the ground that the agreement violates Article 1491 of the Civil Code
which prohibits lawyers from acquiring by purchase properties and rights which are the object of
litigation in which they take part by reason of their profession. Is the refusal justified? Explain. (4%)
The vendor filed a case against the vendee for the annulment of the sale of a piece of land.
Assume the vendee obtained a summary judgment against the vendor. Would the counsel for the
defendant vendee be entitled to enforce a charging lien? Explain. (4%)
Assume, through the excellent work of the vendees counsel at the pre-trial conference and his wise
use of modes of discovery, the vendor was compelled to move for the dismissal of the complaint. In its
order the court simply granted the motion. Would your answer be the same as in question (a)?
Explain. (3%)

V
Atty. Abigail filed administrative cases before the Supreme Court against Judge Luis. Thereafter, Atty.
Abigail filed a Motion for Inhibition praying that Judge Luis inhibit himself from trying, hearing or in any
manner acting on all cases, civil and criminal, in which Atty. Abigail is involved and handling.
Should Judge Luis inhibit himself as prayed for by Atty. Abigail? Explain fully. (6%)

VI
In need of legal services, Niko secured an appointment to meet with Atty. Henry of Henry & Meyer
Law Offices. During the meeting, Niko divulged highly private information to Atty. Henry, believing that
the lawyer would keep the confidentiality of the information. Subsequently, Niko was shocked when he
learned that Atty. Henry had shared the confidential information with his law partner, Atty. Meyer, and
their common friend, private practitioner Atty. Canonigo. When confronted, Atty. Henry replied that
Niko never signed any confidentiality agreement, and that he shared the information with the two
lawyers to secure affirmance of his legal opinion on Nikos problem. Did Atty. Henry violate any rule of
ethics? Explain fully. (7%)

VII
State, with a brief explanation, whether the lawyer concerned may be sanctioned for the conduct
stated below.
Filing a complaint that fails to state a cause of action, thereby resulting in the defendant succeeding in
his motion to dismiss. (3%)
A suspended lawyer working as an independent legal assistant to gather information and secure
documents for other lawyers during the period of his suspension. (3%)
A suspended lawyer allowing his non-lawyer staff to actively operate his law office and conduct
business on behalf of clients during the period of suspension. (3%)
Keeping money he collected as rental from his clients tenant and remitting it to the client when asked
to do so. (3%)
Refusing to return certain documents to the client pending payment of his attorneys fees. (3%)
An unwed female lawyer carrying on a clandestine affair with her unwed male hairdresser. (3%)
Not paying the annual IBP dues. (3%)
Refusing to inhibit himself although one of the lawyers in the case is his second cousin. (3%)
Deciding a case in accordance with a Supreme Court ruling but adding that he does not agree with
the ruling. (3%)
Dictating his decision in open court immediately after trial. (3%)

VIII
Ian Alba owns a house and lot at No. 9 West Aguila, Green Cross Subdivision, Quezon City, which he
leased to Jun Miranda for a term of two years starting May 1, 2006, at a monthly rental of P50,000.
Jun defaulted in the payments of his rentals for six (6) months, from January 1, 2007 to June 30,
2007.
Prepare a demand letter as lawyer of Ian Alba addressed to Jun Miranda preparatory to filing an
ejectment case. (3%)

IX
Assume Jun Miranda did not heed your demand letter. Draft a complaint for ejectment. (Omit
verification and affidavit of non-forum shopping). (9%)
X
Draft a complete deed of donation of a piece of land in accordance with the form prescribed by the
Civil Code. (8%)

I
What are the duties of an attorney? (10%)

II
C engages the services of attorney D concerning various mortgage contracts entered into by her
husband from whom she is separated, fearful that her real estate properties will be foreclosed and of
impending suits for sums of money against her. Attorney D advised C to give him her land titles

2007
covering her lots so he could sell them to enable her to pay her creditors. He then persuaded her
execute deeds of sale in his favor without any monetary or valuable consideration, to which C agreed
on condition that he would sell the lots and from the proceeds pay her creditors. Later on, C came to
know that attorney D did not sell her lots but instead paid her creditors with his own funds and had her
land titltes registered in his name.
Did attorney D violate the Code of Professional Responsibility? Explain. (10%)

III
Attorney M. accepted a civil case for the recovery of title and possession of land in behalf of N.
Subsequently, after the Regional Trial Court had issued a decision adverse to N, the latter filed an
administrative case against attorney M for disbarment. He alleged that attorney M caused the adverse
ruling against him; that attorney M did not file an opposition to the Demurrer to Evidence filed in the
case, neither did he appear at the formal hearing on the demurrer, leading the trial court to assume
that plaintiff's counsel (attorney M) appeared convinced of the validity of the demurer filed; that
attorney M did not even file a motion for reconsideration , causing the order to become final and
executory; and that even prior to the above events and in view of attorney M's apparent loss of
interest in the case, he verbally requested attorney M to withdraw, but attorney M refused.
Complainant N further alleged that attorney M abused his client's trust and confidence and violated
his oath of office in failing to defend his client's cause to the very end.
Attorney M replied that N did not give him his full cooperation; that the voluminous records turned over
to him were in disarray, and that appeared for N, he had only half of the information and background
of the case; that he was assured by N's friends that they had approach the judge; that they requested
him (M) to prepare a motion for reconsideration which he did and gave to them; however these friends
did not return the copy of the motion.
Will the administrative case proper? Give reasons for your answer. (10%)

IV
When is recovery of attorney's fees based on quantum meruit allowed? (10%)

V
During the hearing of an election protest filed by his brother, Judge E sat in the area reserved for the
public, not beside his brother's lawyer. Judge E's brother won the election protest. Y, the defeated
candidate for mayor, filed an administrative case against Judge E for employing influence and
pressure on the judge who heard and decided the election protest.
Judge E explained that the main reasons why he was there in the courtroom were because he wanted
to observe how election protest are conducted as he has never conducted one and because he
wanted to give moral support to his brother.
Did Judge E commit an act of impropriety as a member of the judiciary? Explain? (10%)

VI
A and B are accused of Estafa by C, the wife of Regional Trial Court Judge D. Judge D testified as a
witness for the prosecution in the Estafa case. Did Judge D commit an act of impropriety? Give
reasons for your answer. (5%)
What qualities should an ideal judge possess under the New Code of Judicial Conduct for the
Philippine Judiciary? (5%)

VII
What evidence of identity does the 2004 Rules on Notarial Practice require before a notary public can
officially affix his notarial seal on and sign a document presented by an individual whom the notary
public does not personally know? (5%)
When can Judges of the Municipal Trial Courts (MTC) and Municipal Circuit Trial Courts (MCTC)
perform the function of notaries public ex officio, even if the notarization of the documents are not in
connection with the exercise of their official function and duties? (5%)
 I
Why is law a profession and not a trade? (2.5%)
Why is an attorney considered an officer of the court? (2.5%)

II
Is there a distinction between "practicing lawyer" and "trial lawyer"? (2.5%)
Enumerate the instances when a law student may appear in court as counsel for a litigant. (2.5%)

III
The Supreme Court suspended indefinitely Atty. Fernandez from the practice of law for gross
immorality. He asked the Municipal Circuit Trial Court Judge of his town if he can be appointed
counsel de oficio for Tony, a childhood friend who is accused of theft. The judge refused because Atty.
Fernandez's name appears in the Supreme Court's List of Suspended Lawyers. Atty. Fernandez then
inquired if he can appear as a friend for Tony to defend him.
If you were the judge, will you authorize him to appear in your court as a friend for Tony? (5%)
Supposing Tony is a defendant in a civil case for collection of sum of money before the same court,
can Atty. Fernandez appear for him to conduct his litigation? (5%)

IV
Atty. Oldie, 80 years old, refuses to pay his IBP
2006 dues. He argues he is a senior citizen and semi-
retired from the practice of law. Therefore, he
should be exempt from paying IBP dues.
Is his argument correct? (3%)
For the same reasons, Atty. Oldie also insist that he should be exempt from the Mandatory Continuing
Legal Education (MCLE) requirements.
Should he be exempt? (3%)

V
Myrna, petitioner in case for custody of children against her husband, sought advice from Atty.
Mendoza whom she met at a party. She informed Atty. Fernandez that her lawyer, Atty. Khan, has
been charging her exorbitant appearance fees when all he does move for postponements which have
unduly delayed the proceedings; and that recently, she learned that Atty. Khan approached her
husband asking for a huge amount in exchange for the withdrawal of her Motion for issuance of Hold
Departure Order so that he and his children can leave for abroad.
Is it ethical for Atty. Mendoza to advise Myrna to terminate the services of Atty. Khan and hire him
instead for a reasonable attorney's fees? 5%
What should Atty. Mendoza do about the information relayed to him by Myrna that Atty. Khan
approached her husband with an indecent proposal? (5%)

VI
In his petition for certiorari filed with the Supreme Court, Atty. Dizon alleged that Atty. Padilla, a legal
researcher in the Court of Appeals, drafted the assailed Decision; that he is ignorant of the applicable
laws; and that he should be disbarred.
Can Atty .Dizon, in castigating Atty .Padilla, be held liable for unethical conduct against the Court of
Appeals? (5%)

VII
Provincial Prosecutor Bonifacio refused to represent the Municipality of San Vicente in a case for
collection of taxes. He explained that he cannot handle the case with sincerity and industry because
he does not believe in the position taken by the municipality.
Can Prosecutor Bonifacio be sanctioned administratively? (5%)

VIII
Prosecutor Coronel entered his appearance on behalf of the State before a Family Court in a case for
declaration of nullity of marriage, but he failed to appear in all the subsequent proceedings. When
required by the Department of Justice to explain, he argued that the parties in the case were ably
represented by their respective counsels and that his time would be better employed in more
substantial prosecutorial functions, such as investigations, inquests and appearances in court
hearings.
Is Atty .Coronel's explanation tenable? (5%)

IX
Atty. Marie consulted Atty. Hernandez whether she can successfully prosecute her case for
declaration of nullity of marriage she intends to file against her husband. Atty. Hernandez advised her
in writing that the case will not prosper for the reasons stated therein. Atty. Marie, however, decided to
file the case and engaged the services of another lawyer, Atty. Pe. Her husband, Noel, having learned
about the opinion of Atty. Hernandez, hired him as his lawyer.
Is Atty .Hernandez's acquiescence to be Noel's counsel ethical? (3%)

X
In the course of a drinking spree with Atty. Holgado who has always been his counsel in business
deals, Simon bragged about his recent sexual adventures with socialites known for their expensive
tastes. When Atty. Holgado asked Simon how he manages to finance his escapades, the latter
answered that he has been using the bank deposits of rich clients of Banco Filipino where he works
as manager.
Is Simon's revelation to Atty. Holgado covered by the attorney-client privilege? (5%)

XI
The contract of attorney's fees entered into by Atty. Quintos and his client, Susan, stipulates that if a
judgment is rendered in her favor, he gets 60% of the property recovered as contingent fee. In turn, he
will assume payment of all expenses of the litigation.
Is the agreement valid? (2.5%)
May Atty. Quintos and Susan increase the amount of the contingent fee to 80%? (2.5%)

XII
What is "assumpsit" and when is it proper? (2%)

XIII
Give 4 instances when a client may validly refuse to pay his lawyer the full amount of attorney's fees
stipulated in their written contract. (4%)

XIV
Give 4 instances when a client may validly refuse to pay his lawyer the full amount of attorney's fees
stipulated in their written contract. (4%)
 XV
Atty. Perez was admitted as a member of the New York Bar. While in Manhattan, he was convicted of
estafa and was disbarred.
Does his disbarment in New York a ground for his automatic disbarment in the Philippines? (2.5%)

XVI
Which of the following acts does not constitute a ground for disbarment? Explain. (2.5%)

(a) Gross misconduct

(b) Fraudulent misrepresentation
(c) Grossly immoral conduct
(d) Violation of the Lawyer's Oath
(e) Willful disobedience to a lawful order of the Supreme Court
(f) Malpractice
(g) Appearance of a non-lawyer as an attorney for a litigant in a case

(1) Which of the following need not be verified?

(a) Petition for Certiorari;

(b) Interpleader;
(c) Petition for Habeas Corpus;
(d) Answer with compulsory counterclaim;
(e) All pleadings under the Rules on
(f) Summary Procedure. (2%)
(2.) Which of the following statements is false?
(a) All administrative cases against Justices of appellate courts and judges of lower courts fall
exclusively within the jurisdiction of the Supreme Court.
(b) Administrative cases against erring Justices of the Court of Appeals and Sandiganbayan, judges,
and lawyers in the government service are not automatically treated as disbarment cases.
(c) The IBP Board of Governors may, motu proprio, or upon referral by the Supreme Court or by a
Chapter Board of Officers, or at the instance of any person, initiate and prosecute proper charges
against erring lawyers including those in the government service.
(d) The filing of an administrative case against the judge is not a ground for disqualification/inhibition.
(e) Trial courts retain jurisdiction over the criminal aspect of offenses committed by justices of
appellate courts and judges of lower courts. (2%)
(3.) On which of the following is a lawyer proscribed from testifying as a witness in a case he is
handling for a client:

(a) On the mailing of documents;

(b) On the authentication or custody of any instrument;

2005
(c) On the theory of the case;
(d) On substantial matters in cases where his testimony is essential to the ends of justice. (2%)

II
Mike Adelantado, an aspiring lawyer, disclosed in his petition to take the 2003 Bar Examinations that
there were two civil cases pending against him for nullification of contract and damages. He was thus
allowed to conditionally take the bar, and subsequently placed third in the said exams.

(g)
In 2004, after the two civil cases had been resolved, Mike Adelantado filed his petition to take the
Lawyers Oath and sign the Roll of Attorneys before the Supreme Court. The Office of the Bar
Confidant, however, had received two anonymous letters: the first alleged that at the time Mike
Adelantado filed his petition to take the bar, he had two other civil cases pending against him, as well
as a criminal case for violation of Batas Pambansa (B.P.) Bilang 22; the other letter alleged that Mike
Adelantado, as SangguniangKabataan (SK) Chairperson, had been signing the attendance sheets of
(SK) meetings as Atty. Mike Adelantado.

(a) Having passed the bar, can Mike Adelantado already use the appellation attorney? Explain your
answer. (3%)

(b) Should Mike Adelantado be allowed to take his oath as a lawyer and sign the Roll of Attorneys?
Explain your answer. (3%)

III
Atty. Kuripot was one of Town Banks valued clients. In recognition of his loyalty to the bank, he was
issued a gold credit card with a credit limit of P250,000.00. After two months, Atty. Kuripot exceeded
his credit limit, and refused to pay the monthly charges as they fell due. Aside from a collection suit,
Town Bank also filed a disbarment case against Atty. Kuripot.

In his comment on the disbarment case, Atty. Kuripot insisted that he did not violate the Code of
Professional Responsibility, since his obligation to the bank was personal in nature and had no
relation to his being a lawyer.

(a) Is Atty. Kuripot correct? Explain your answer. (3%)

(b) Explain whether Atty. Kuripot should be held administratively liable for his refusal to settle his credit
card bill. (3%)

IV
You had just taken your oath as a lawyer. The secretary to the president of a big university offered to
get you as the official notary public of the school. She explained that a lot of students lose their
Identification Cards and are required to secure an affidavit of loss before they can be issued a new
one. She claimed that this would be very lucrative for you, as more than 30 students lose their
Identification Cards every month. However, the secretary wants you to give her one-half of your
earnings therefrom.

Will you agree to the arrangement? Explain. (5%)

V
Judge Horacio would usually go to the cockpits on Saturdays for relaxation, as the owner of the
cockpit is a friend of his. He also goes to the casino once a week to accompany his wife who loves to
play the slot machines. Because of this, Judge Horacio was administratively charged. When asked to
explain, he said that although he goes to these places, he only watches and does not place any bets.

Is his explanation tenable? Explain. (5%)

VI
A businessman is looking for a new retainer. He approached you and asked for your schedule of fees
or charges. He informed you of the professional fees he is presently paying his retainer, which is
actually lower than your rates. He said that if your rates are lower, he would engage your services.

Will you lower your rates in order to get the client? Explain. (5%)

VII
(a) Judge Segotier is a member of Phi Nu Phi Fraternity. Atty. Nonato filed a motion to disqualify
Judge Segotier on the ground that the counsel for the opposing party is also a member of the Phi Nu
Phi Fraternity. Judge Segotier denied the motion. Comment on his ruling. (5%)

(b) In an intestate proceeding, a petition for the issuance of letters of administration in favor of a
Regional Trial Court Judge was filed by one of the heirs. Another heir opposed the petition on the
ground that the judge is disqualified to become an administrator of the estate as he is the brother-in-
law of the deceased. Rule on the petition. (5%)

VIII
Due to the number of cases handled by Atty. Cesar, he failed to file a notice of change of address with
the Court of Appeals. Hence, he was not able to file an appellant s brief and consequently, the case
was dismissed. Aggrieved, Atty. Cesar filed a motion for reconsideration of the resolution dismissing
the appeal and to set aside the entry of judgment on the ground that he already indicated in his
Urgent Motion for Extension of Time to File Appeal Brief his new address and that his failure to file
a notice of change of address is an excusable negligence.

Will the motion prosper? Explain. (5%)

IX
Darius is charged with the crime of murder. He sought Atty. Francias help and assured the latter that
he did not commit the crime. Atty. Francia agreed to represent him in court. During the trial, the
prosecution presented several witnesses whose testimonies convinced Atty. Francia that her client is
guilty. She confronted his client who eventually admitted that he indeed committed the crime. In view
of his admission, Atty. Francia decided to withdraw from the case.

Should Atty. Francia be allowed to do so? Explain. (5%)

X
Atty. Yabang was suspended as a member of the Bar for a period of one (1) year. During the period of
suspension, he was permitted by his law firm to continue working in their office, drafting and preparing
pleadings and other legal documents but was not allowed to come into direct contact with the firms
clients. Atty. Yabang was subsequently sued for illegal practice of law.
Would the case prosper? Explain. (5%)

XI
Atty. Japzon, a former partner of XXX law firm, is representing Kapuso Corporation in a civil case
against Kapamilya Corporation whose legal counsel is XXX law firm. Atty. Japzon claims that she
never handled the case of Kapamilya Corporation when she was still with XXX law firm.

Is there a conflict of interest? Explain. (5%)

XII
Pending before the sala of Judge Magbag is the case of CDG versus JQT. The legal counsel of JQT
is Atty. Ocsing who happens to be the brother of Atty. Ferreras, a friend of Judge Magbag. While the
case was still being heard, Atty. Ferreras and his wife celebrated their wedding anniversary. They
invited their friends and family to a dinner party at their house in Forbes Park. Judge Magbag
attended the party and was seen conversing with Atty. Ocsing while they were eating at the same
table.

Comment on the propriety of Judge Magbags act. (5%)

I
Under the Code of Professional Responsibility, what is the principal obligation of a lawyer towards:

(a) The legal professional and the Integrated Bar

(b) His professional colleagues
(c) The development of the legal system
(d) The administration of justice
(e) His client
II
In the course of a judicial proceeding, a conflict of opinion as to a particular legal course of action to
be taken arose between AB and CD, two lawyers hired by Mr. XX, a party litigant, to act jointly as his
counsel.
How should such problem be resolved, and whose opinion should prevail? What can AB, the lawyer
whose opinion was not followed, do when she honestly believes that the opinion of CD, the other
counsel, is not legally and factually well-grounded as her opinion is? Explain briefly.

III
2004
On the eve of the initial hearing for the reception of
evidence for the defense, the defendant and his counsel had a conference where the client directed
the lawyer to present as principal defense witnesses two persons whose testimonies were personally
known to the lawyer to have been perjured. The lawyer informed his client that he refused to go along
with the unwarranted course of action proposed by the defendant. But the client insisted on his
directed, or else he would not pay the agreed attorneys fees.
When the case was called for hearing the next morning, the lawyer forthwith moved in open court that
he be relieved as counsel for the defendant. Both the defendant and the plaintiffs counsel objected to
the motion.

(a) Under the given facts, is the defense lawyer legally justified in seeking withdrawal from the case?
Why or why not?
(b) Was the motion for relief as counsel made by the defense lawyer in full accord with the
procedural requirements for a lawyers withdrawal from a court case? Explain briefly.
(c)
IV
Upon opening session of his court, the Presiding Judge noticed the presence of television cameras
set up at strategic places in his courtroom and the posting of media practitioners all over his sala with
their video cameras. The Judge forthwith issued an order directing the exclusion from the courtroom
of all television paraphernalia and further instructing the reporters inside the hall not to operate their
video cameras during the proceedings. The defense lawyers objected to the court s order, claiming
that it was violative of their clients constitutional right to a public trial.

(a) In issuing the questioned order, did the Judge act in violation of the rights of the accused to a
public trial?

(b) Did the Judge act in derogation of press freedom when he directed the exclusion of the television
paraphernalia from the courtroom and when he prohibited the news reporters in the courtroom
from operating their video cameras during the proceedings?

V
Primo, Segundo, and Tercero are co-accused in an information charging them with the crime of
homicide. They are respectively represented by Atty. Juan Uno, Juan Dos, and Pablo Tres. During the
pre-trial conference, Attys. Uno and Dos manifested to the court that their clients are invoking alibi as
their defense. Atty. Tres made it known that accused Tercero denies involvement and would testify
that Primo and Segundo actually perpetrated the commission of the offense charged in the
information.
In one hearing during the presentation of the prosecutions evidence in chief, Atty. Uno failed to
appear in court. When queried by the Judge if accused Primo is willing to proceed with the hearing
despite his counsels absence, Primo gave his consent provided Attys. Dos and Tres would be
designated as his joint counsel de oficio for that particular hearing. Thereupon, the court directed
Attys. Dos and Tres to act as counsel de officio of accused Primo only for purposes of the scheduled
hearing.
Atty. Dos accepted his designation, but Atty. Tres refused.

(a) Is there any impediment to Atty. Dos acting as counsel de oficio for accused Primo?

(c)

(b) May Atty. Tres legally refuse his designation as counsel de oficio of accused Primo?
VI
Atty. DDs services were engaged by Mr. BB as defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB was an agnostic and a homosexual. By reason thereof,
Atty. DD filed a motion withdraw as counsel without Mr. BBs express consent.
Is Atty. DDs motion legally tenable? Reason briefly.

VII
Assume that your friend and colleague, Judge Peter X, Mahinay, a Regional Trial Court judge
stationed at KL City, would seek your advice regarding his intention to ask the permission of the
Supreme Court to act as counsel for and thus represent his wife in the trial of a civil case for damages
pending before the Regional Trial Court of Aparri, Cagayan.
What would be your advice to him? Discuss briefly.

VIII
Upon learning from newspaper reports that bar candidate Vic Pugote passed the bar examinations,
Miss Adorably immediately lodged a complaint with the Supreme Court, praying that Vic Pugote be
disallowed from taking the oath as a member of the Philippine Bar because he was maintaining illicit
sexual relations with several women other than his lawfully wedded spouse. However, from
unexplained reasons, he succeeded to take his oath as a lawyer. Later, when confronted with Ms.
Adorables complaint formally Pugote moved for its dismissal on the ground that it is already moot
and academic.
Should Miss Adorables complaint be dismissed or not?

IX
Alleging that Atty. Malibu seduced when she was only 16 years old, which resulted in her pregnancy
and the birth of a baby girl, Miss Magayon filed a complaint for disbarment seven years after the
alleged seduction was committed.
Atty. Malibu contended that, considering the period of delay, the complaint filed against him can no
longer be entertained much less prosecuted because the alleged offense has already prescribed.
Is Atty. Malibus contention tenable or note? Reason briefly.

X
A disbarment complaint against a lawyer was referred by the Supreme Court to a Judge of the
Regional Trial Court for investigation, report, and recommendation. On the date set for the hearing of
the complaint, the Judge had the case called for trial in open court and proceeded to receive evidence
for the complainant. What would you have done if you were the counsel for the respondent lawyer?
Why? Reason briefly.

XI
Atty. Jarazo filed a civil suit for damages against his business associates. After due trial, Judge
Dejado rendered judgment dismissing Atty. Jarazons complaint. Atty. Jarazo did not appeal from the
decision rendered by Judge Dejado, thereby rendering the judgment final and executory. Thereafter,
Atty. Jarozo lodged a criminal complaint accusing Judge Dejado of rendering a manifestly unjust
judgment before the Office of the Ombudsman. Will Atty. Jarazos complaint against Judge Dejado
prosper? Why or why not?

XII
Judge Aficionado was among the several thousands of spectators watching a basketball game at
Rizal Memorial Coliseum who saw the stabbing of referee Maykiling by player Baraccoin the course of
the game. The criminal case correspondingly filed against Baracco for the stabbing of Maykiling was
raffled to the RTC branch presided over by Judge Aficionado. Should Judge Aficionado sit in judgment
over and try the case against Barraco?

XIII
Atty. Walasunto has been a member of the Philippine Bar for 20 years but has never plied his
profession as a lawyer. His sole means of livelihood is selling and buying real estate. In one of his
transactions as a real estate broker, he issued a bouncing check. He was criminally prosecuted and
subsequently convicted for violating BP 22. In the disbarment proceedings filed against him, Atty.
Walasunto contended that his conviction for violation of BP 22 was not a valid ground for disciplinary
action against a member of the bar. He further argued that his act in issuing the check was done in
relation to his calling as a real estate broker and not in relation to the exercise of the profession of a
lawyer.
Are the contentions of Atty. Walasunto meritorious or not?

(c)
2014