Supervision & Control of the
13
Legal Profession ..................... 1
Practice of Law ....................... 1
CONCEPT.................................................................... 1
NATURE ..................................................................... 1
REQUIREMENTS FOR ADMISSION TO PRACTICE ....................... 1
QUALIFICATIONS ....................................................... 1
PRIVILEGE ...................................................................... 1
PROFESSION, NOT BUSINESS .............................................. 1
FOUR FACTORS IN DETERMINING PRACTICE OF LAW ................. 1
APPEARANCE OF NON-LAWYERS .............................. 3
LAW STUDENT PRACTICE ................................................... 3
NON-LAWYERS IN COURTS ................................................. 4
NON-LAWYERS IN ADMINISTRATIVE TRIBUNALS ...................... 4
PROCEEDINGS WHERE LAWYERS ARE PROHIBITED
FROM APPEARING ............................................................ 4
SANCTIONS FOR PRACTICE OR APPEARANCE
WITHOUT AUTHORITY ............................................... 4
PUBLIC OFFICIALS AND PRACTICE OF LAW .............. 5
PROHIBITION OR DISQUALIFICATION OF FORMER GOVERNMENT
ATTORNEYS ................................................................... 5
PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW OR WITH
RESTRICTIONS ................................................................ 5
LAWYERS AUTHORIZED TO REPRESENT THE
GOVERNMENT ........................................................... 5
LAWYER’S OATH ........................................................ 5
IMPORTANT TERMS TO REMEMBER ...................................... 5
Duties & Responsibilities of
Lawyers .................................. 6
LEGAL ETHICS ............................................................ 6
DUTIES OF A LAWYER ................................................ 6
THE FOUR-FOLD DUTIES OF A LAWYER .................... 6
LAWYER’S DUTIES TO SOCIETY ............................................ 6
LAWYER’S DUTIES TO THE LEGAL PROFESSION ....................... 6
LAWYER’S DUTIES TO THE COURTS ...................................... 6
LAWYER’S DUTIES TO THE CLIENT ........................................ 6
DUTIES TO SOCIETY .................................................... 6
RESPECT FOR LAW AND LEGAL PROCESSES ............................ 6
EFFICIENT AND CONVENIENT LEGAL SERVICES ........................ 7
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE INFORMATION ON
LEGAL SERVICES .............................................................. 9
PARTICIPATION IN THE IMPROVEMENT AND REFORMS IN LEGAL
SYSTEM ....................................................................... 10
PARTICIPATION IN LEGAL EDUCATION PROGRAM .................... 11
THE LEGAL PROFESSION .......................................... 13
STATUTORY BASIS .......................................................... 13
INTEGRATED BAR OF THE PHILIPPINES ................................
UPHOLDING THE DIGNITY AND INTEGRITY OF THE PROFESSION . 14
COURTESY, FAIRNESS AND CANDOR TOWARDS PROFESSIONAL
COLLEAGUES ................................................................ 14
NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF LAW ............ 15
THE COURTS ........................................................... 16
CANDOR, FAIRNESS AND GOOD FAITH TOWARDS THE COURTS .. 16
RESPECT FOR COURTS AND JUDICIAL OFFICERS ...................... 17
ASSISTANCE IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF
JUSTICE ...................................................................... 19
RELIANCE ON MERITS OF HIS CAUSE, NOT FROM IMPROPER
INFLUENCE UPON THE COURTS ..........................................21
THE CLIENTS ........................................................... 22
NATURE OF ATTORNEY -CLIENT RELATIONSHIP ..................... 22
AVAILABILITY OF SERVICE WITHOUT DISCRIMINATION ............. 22
CANDOR, FAIRNESS AND LOYALTY TO CLIENTS ..................... 23
CLIENT’S MONEY AND PROPERTIES .................................... 25
FIDELITY TO CLIENT’S CAUSE ............................................ 27
COMPETENCE AND DILIGENCE ........................................... 27
REPRESENTATION WITH ZEAL WITHIN LEGAL BOUNDS ............ 28
ATTORNEY’S FEES .......................................................... 29
PRESERVATION OF CLIENT’S CONFIDENCES ........................... 31
WITHDRAWAL OF SERVICES ............................................. 34
Suspension, Disbarment
& Discipline of Lawyers ......35
NATURE AND CHARACTERISTICS OF DISCIPLINARY
ACTIONS AGAINST LAWYERS .................................. 35
NATURE OF PROCEEDINGS ............................................... 35
THREE-FOLD PURPOSE OF THE CONFIDENTIALITY .................. 35
OBJECTIVES OF SUSPENSION AND DISBARMENT .................... 36
GROUNDS ............................................................... 36
PROCEEDINGS ......................................................... 37
APPLICATION OF THE DOCTRINE OF RES IPSA LOQUITOR .......... 37
AVAILABLE DEFENSES ..................................................... 37
PRESCRIPTION ............................................................. 37
DISCIPLINE OF FILIPINO LAWYERS PRACTICE IN
FOREIGN JURISDICTIONS ....................................... 37
CIVIL LIABILITY ............................................................. 37
CRIMINAL LIABILITY ....................................................... 37
COSTS OF SUIT .............................................................. 37
CONTEMPT OF COURT ..................................................... 38
KINDS OF CONTEMPT ..................................................... 38
ACTS OF A LAWYER CONSTITUTING CONTEMPT ..................... 38
POWER TO DISCIPLINE ERRANT LAWYERS ............................ 38
FORMS OF DISCIPLINARY MEASURES .................................. 38
OTHER SANCTIONS AND REMEDIES ..................................... 38
MODIFYING CIRCUMSTANCES ........................................... 38
MITIGATING CIRCUMSTANCES ........................................... 38
AGGRAVATING CIRCUMSTANCES ........................................ 39
EFFECT OF EXECUTIVE PARDON ......................................... 39
EFFECT OF SUSPENSION OR DISBARMENT ............................ 39
EFFECT OF DESISTANCE OF COMPLAINANT ........................... 39
EFFECTS OF COMPROMISE AGREEMENTS ............................. 39
EFFECT OF DEATH OF LAWYER DURING PENDENCY OF
DISCIPLINARY ACTION AGAINST HIM ................................... 39
Readmission to the Bar ..... 40
READMISSION TO THE BAR .....................................40
STATUTORY BASIS ..................................................40
LAWYERS WHO HAVE BEEN SUSPENDED ..............40
LAWYERS WHO HAVE BEEN DISBARRED ................40
LAWYERS WHO HAVE BEEN REPATRIATED ...........40
EFFECTS OF REINSTATEMENT ................................40
Mandatory Continuing
Legal Education ................. 40
PURPOSE ................................................................ 40
PURPOSE OF THE MCLE ....................................................40
REQUIREMENTS OF COMPLETION OF THE MCLE .....40
COMPLIANCE ........................................................... 41
COMPLIANCE GROUPS .................................................... 41
COMPLIANCE PERIOD OF MEMBERS ADMITTED OR READMITTED
AFTER ESTABLISHMENT OF THE PROGRAM .......................... 41
EXEMPTIONS ........................................................... 41
GOOD CAUSE FOR EXEMPTION FROM OR MODIFICATION
OF REQUIREMENT ......................................................... 41
CHANGE OF STATUS ....................................................... 41
PROOF OF EXEMPTION .................................................... 41
SANCTIONS ............................................................. 41
NON-COMPLIANCE FEE ................................................... 41
LISTING AS DELINQUENT MEMBER ..................................... 42
ACCRUAL OF MEMBERSHIP FEE ......................................... 42
Notarial Practice .................42
QUALIFICATIONS OF NOTARY PUBLIC ................... 42
TERM OF OFFICE OF NOTARY PUBLIC .................................. 42
POWERS AND LIMITATIONS .................................. 42
AUTHORITY OF THE NOTARY ............................................. 42
EFFECTS OF NOTARIZATION .............................................. 43
PUNISHABLE ACTS ......................................................... 43
NOTARIAL REGISTER ............................................. 43
ENTRIES IN THE NOTARIAL REGISTER ................................. 43
JURISDICTION OF NOTARY PUBLIC AND PLACE OF
NOTARIZATION ...................................................... 44
REVOCATION OF COMMISSION .............................. 44
COMPETENT EVIDENCE OF IDENTITY ..................... 45
SANCTIONS ............................................................ 45
Rules on Judicial Ethics .... 46
Qualities ............................. 46
INDEPENDENCE ..................................................... 46
MEMORY AID FOR SECTIONS UNDER CANON 1 ...................... 46
INDEPENDENT JUDICIAL FUNCTION.................................... 46
OUTSIDE PRESSURE ...................................................... 46
INFLUENCING OUTCOME OF LITIGATION .............................. 47
INFLUENCE ON JUDICIAL CONDUCT .................................... 47
INDEPENDENCE FROM EXECUTIVE AND LEGISLATIVE .............. 47
INDEPENDENCE FROM SOCIETY AND PARTICULAR PARTIES ...... 47
SAFEGUARDS FOR JUDICIAL INDEPENDENCE ........................ 47
PROMOTE PUBLIC CONFIDENCE ......................................... 47
iNTEGRITY .............................................................. 47
MEMORY AID FOR SECTIONS UNDER CANON 2 ...................... 47
CONDUCT ABOVE REPROACH ........................................... 48
REAFFIRM PEOPLE’S FAITH .............................................. 48
DISCIPLINARY ACTION .................................................... 48
IMPARTIALITY ........................................................ 48
MEMORY AID FOR SECTIONS UNDER CANON 3 ...................... 49
JUDICIAL DUTIES FREE FROM BIAS ..................................... 49
PROMOTE CONFIDENCE, IMPARTIALITY ............................... 49
MINIMIZE INSTANCES OF DISQUALIFICATIONS ...................... 49
PUBLIC COMMENTS; PENDING AND IMPENDING CASE ............. 49
DISQUALIFICATIONS ....................................................... 50
REMITTAL OF DISQUALIFICATIONS .................................... 50
PROPRIETY ............................................................ 50
MEMORY AID FOR SECTIONS UNDER CANON 4 ...................... 50
AVOIDANCE OF IMPROPRIETY ........................................... 51
ACCEPTANCE OF PERSONAL RESTRICTIONS ......................... 51
AVOIDANCE OF CONTROVERSY .......................................... 51
NOT PARTICIPATE IN CASES WHERE HE MAY BE IMPARTIAL ...... 51
NOT ALLOW THE USE OF HIS RESIDENCE BY OTHER LAWYERS ... 51
FREEDOM OF EXPRESSION ............................................... 51
BE INFORMED OF HIS FINANCIAL INTERESTS ......................... 52
INFLUENCE OF JUDICIAL CONDUCT ..................................... 52
CONFIDENTIAL INFORMATION .......................................... 52
ENGAGE IN OTHER ACTIVITIES ........................................... 52
PRACTICE OF PROFESSION ............................................... 53
FORM ASSOCIATIONS ...................................................... 53
GIFTS, REQUESTS, LOANS ............................................... 53
GIFTS, REQUESTS, LOANS BY STAFF ................................... 53
PERMISSIBLE TOKENS AND AWARDS .................................. 53
EQUALITY ................................................................ 53
MEMORY AID FOR SECTIONS UNDER CANON 5 ....................... 53
UNDERSTAND THE DIVERSITY IN SOCIETY ............................ 53
NOT TO MANIFEST BIAS OR PREJUDICE ............................... 54
NOT TO DIFFERENTIATE .................................................. 54
NOT TO INFLUENCE STAFF ............................................... 54
ATTITUDE TO PARTIES APPEARING IN COURT ....................... 54
COMPETENCE AND DILIGENCE ............................... 54
MEMORY AID FOR SECTIONS UNDER CANON 6 ....................... 54
DUTIES TAKE PRECEDENCE .............................................. 54
PERFORM ADMINISTRATIVE DUTIES ................................... 55
MAINTAIN PROFESSIONAL COMPETENCE ............................. 55
BE INFORMED ABOUT THE LAW ......................................... 55
PROMPT DECISION MAKING ............................................. 55
MAINTAIN ORDER IN PROCEEDINGS ................................... 55
NOT TO ENGAGE IN CONDUCT CONTRARY TO DUTIES .............. 55
Discipline of Members of the
Judiciary .............................. 56
MEMBERS OF THE SUPREME COURT ....................... 56
IMPEACHMENT ............................................................. 56

LOWER COURT JUDGES AND JUSTICES ................... 56

STATUTORY BASIS ........................................................ 56
MISCONDUCT .............................................................. 56
SERIOUS MISCONDUCT ................................................... 56
SERIOUS INEFFICIENCY ................................................... 57
ERROR OR IGNORANCE OF LAW ......................................... 57

GROUNDS ............................................................... 57

AUTOMATIC CONVERSION OF ADMINISTRATIVE

CASES AGAINST CA AND SANDIGANBAYAN JUSTICES
AND LOWER COURT JUDGES .................................. 58

IMPEACHMENT ETHICAL ASPECTS ......................... 58

SANCTIONS IMPOSED BY THE SUPREME COURT ON

ERRING MEMBERS OF THE JUDICIARY .................... 58
INSTANCES OF SERIOUS MISCONDUCT WHICH MERITED DISCIPLINE
BY THE SUPREME COURT ................................................ 58
INSTANCES OF GROSS INEFFICIENCY WHICH MERITED DISCIPLINE
BY THE SUPREME COURT ................................................ 58
CONDUCT ................................................................... 58
QUANTUM OF EVIDENCE REQUIRED .................................. 58
RULES FOR EVIDENCE ..................................................... 58
EFFECT OF WITHDRAWAL, DESISTANCE, RETIREMENT OR PARDON
................................................................................. 58

Disqualifications of Justices &

Judges ................................ 59
COMPULSORY DISQUALIFICATION ........................ 59

VOLUNTARY DISQUALIFICATION ........................... 59

Powers and Duties of Courts

& Judicial Officers .............. 59
Court Records & General
Duties of Clerk
Stenographer ...................... 61
Legal Fees ...........................63
Costs ....................................63
UP COLLEGE OF LAW
Supervision & Control
of the Legal Profession
Const. Art. VIII, sec. 5(5): The Supreme Court shall have the
following powers:
xxx
(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
under-privileged. xxx
The power of the SC to regulate the practice of law includes:
(1) Authority to define the term “practice”
(2) Prescribe the qualifications of a candidate to and the
subjects of the bar examinations
(3) Decide who will be admitted to practice
(4) Discipline, suspend or disbar any unfit and unworthy
member of the bar
(5) Reinstate any disbarred or indefinitely suspended
attorney
(6) Ordain the integration of the Phil. Bar
(7) Punish for contempt any person for unauthorized
practice of law and
(8) In general, exercise overall supervision of the legal
profession
Congress has no power to regulate the bar (admission to
practice). But in the exercise of police power it may enact
laws regulating the practice of law to protect the public. [In
Re Cunanan (1954)]
Practice of Law
CONCEPT
The practice of law is any activity, in or out of court, which
requires the application of law, legal procedure,
knowledge, training and experience. It is to give notice or
render any kind of service, which device or service requires
the use in any degree of legal knowledge or skill. [Cayetano
v. Monsod, (1991)]
NATURE
PRIVILEGE
The practice of law is a privilege bestowed only to those
who are morally fit. A bar candidate who is morally unfit
cannot practice law even if he passes the bar
examinations. [Aguirre vs Rana, (2003)]
PROFESSION, NOT BUSINESS
Lawyering is not a business; it is a profession in which duty
to public service, not money, is the primary consideration.
[Burbe vs Magulta, (2002)]
FOUR FACTORS IN DETERMINING PRACTICE OF LAW [HACA]
(1) Habituality – customarily or frequently holding one’s
self out to the public as a lawyer
(2) Application of law, legal principles, practice, or
LEGAL ETHICS BAR OPERATIONS COMMISSION
procedure – calls for legal knowledge, training and
experience
(3) Compensation – his professional services are available
to the public for compensation, as a source of his
livelihood or in consideration of his said services
(4) Attorney-client relationship – For Padilla, teaching law
or writing law books is not “practice of law” [Padilla’s
dissent in Cayetano v. Monsod]
Giving advice for compensation regarding the legal status
and rights of another and for one’s conduct with respect
thereto constitutes practice of law. [ULEP v. Legal Clinic,
(1993)]
In view of the broad definition in Cayetano v. Monsod,
lawyers, when they teach law, are considered engaged in
the practice of law…the fact of their being law professors is
inextricably intertwined with the fact that they are lawyers.
[Re: Letter of UP Law Faculty (2011)]
QUALIFICATIONS
Rules of Court, Rule 138, Sec. 1. Any person duly admitted as
a member of the bar or hereafter admitted as such in
accordance with the provisions of this rule and who is in
good and regular standing is entitled to practice law.
General Rule: Members of the Bar
Exceptions:
(1) Law students
(2) By an agent/friend
(3) By the litigant himself
REQUIREMENTS FOR ADMISSION TO PRACTICE [CRAGEBO]
(1) Citizenship
(2) Residence
(3) Age (above 21 y/o)
(4) Good Moral Character and no charges involving moral
turpitude
(5) Legal Education (pre-law, law proper)
(6) Bar Examinations
(7) Lawyer’s Oath
Citizenship
Statutory Basis
1987 Const. Art. XII, Sec. 14. The practice of all professions
in the Phils. shall be limited to Filipino citizens save in
cases prescribed by law.
Rules of Court, Rule 138, Sec. 2. Every applicant for
admission as a member of the bar must be a citizen of the
Phils.
Rationale: Citizenship ensures allegiance to the Republic
and its laws.
The loss of Filipino citizenship ipso jure terminates the
privilege to practice law in the Philippines except when
citizenship is lost by reason of naturalization and
reacquired through RA 9225. [Petition to Resume Practice
of Law of Benjamin Dacanay, (2007)]
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UP COLLEGE OF LAW
A Filipino lawyer who has lost and reacquired his
citizenship under R.A. No. 9225 is deemed not to have lost
his Philippine citizenship. However, he still needs to apply
with the Supreme Court for a license or permit to engage
in such practice after compliance with the following:
(1) Updating and payment of annual membership dues in
the IBP
(2) Payment of professional tax
(3) Completion of 36 hours of mandatory continuing legal
education
(4) Retaking of the lawyer’s oath [Sec. 5(4), R.A. No. 9225].
Residence
ROC, Rule 138, Sec. 2. Every applicant for admission as a
member of the bar must be… a resident of the Philippines.
Rationale: His/her duties to his client and to the court will
require that he be readily accessible and available.
Age
ROC, Rule 138, Sec. 2. Every applicant for admission as a
member of the bar must be … at least 21 years of age…
Rationale: Maturity and discretion are required in the
practice of law.
Good Moral Character
ROC, Rule 138, Sec. 2. Every applicant for admission as a
member of the bar must be … of good moral character…
and must produce before the SC satisfactory evidence of
good moral character, and that no charges against him,
involving moral turpitude, have been filed or are pending
in any court in the Philippines.
Good moral character is a continuing qualification required
of every member of the Bar, it is not only a qualification
precedent to the practice of law. [Narag v. Narag, (1998)]
Definitions of ‘good moral character’
Absence of a proven conduct or act which has been
historically and traditionally considered as a manifestation
of moral turpitude. The act or conduct need not amount to
a crime; and even if it does constitute an offense, a
conviction upon a criminal charge is not necessary to
demonstrate bad moral character although it may show
moral depravity. [Agpalo]
Good moral character is what a person really is, as
distinguished from good reputation or from the opinion
generally entertained of him, the estimate in which he is
held by the public in the place where he is known. [In the
matter of of Haron S. Meling, (2004)]
SC may deny lawyer’s oath-taking based on a conviction
for reckless imprudence resulting in homicide (hazing
case). But after submission of evidence and various
certifications “he may now be regarded as complying with
the requirements of good moral character…he is not
inherently of bad moral fiber.” [In Re Argosino, (1997)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Concealment of pending criminal cases constitutes lack of
good moral character (in petition to take the bar
examinations) [In the matter of Haron S. Meling (2004)]
Legal Education
Pre-Law
ROC, Rule 138, Sec. 6. A bachelor’s degree in arts or
sciences with any of the following subjects as major or field
of concentration: political science, logic, English, Spanish,
History and Economics.
Law Proper
Rules of Court, Rule 138, Sec. 5 and 6. All applicants for
admission… shall before being admitted to the
examination satisfactorily show that they have regularly
studied law for four years and successfully completed all
prescribed courses in a law school or university officially
approved and recognized by the Secretary of Education.
The applicant must have completed the following courses:
(1) Civil Law
(2) Commercial Law
(3) Remedial Law
(4) Public International Law
(5) Private International Law
(6) Political Law
(7) Labor and Social Legislation
(8) Medical Jurisprudence
(9) Taxation
(10) Legal Ethics
Graduates of foreign law schools are allowed to take the
bar examinations provided they show the ff:
(1) Completion of all courses leading to the degree of
Bachelor of Laws or its equivalent degree
(2) Recognition or accreditation of the law school by the
proper authority
(3) Completion of all the fourth year subjects in a law
school duly recognized by the Philippine Government [SC
Bar Matter 1153: Re: Letter of Atty. Estelito Mendoza (2010)]
Bar Examinations
When to file for permit
Rules of Court, Rule 138, Sec. 7 – At least 15 days before the
beginning of the examination. Applicants must submit
affidavits of age, residence, citizenship, legal education.
Notice
Rules of Court, Rule 138, Sec. 8 – Notice of applications for
admission shall be published by the clerk of the SC in
newspapers published in Filipino English and Spanish for
at least 10 days before the beginning of the examination.
Conduct of Examinations
Rules of Court, Rule 138, Sec. 10 – Questions will be in
English or Spanish, to be answered in writing by examines.
No oral examinations. If penmanship is poor, SC may allow
upon verified application the use of a noiseless typewriter.
Committee will take all precautions to prevent the
substitution of papers or commission of other frauds. No
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UP COLLEGE OF LAW LEGAL ETHICS BAR OPERATIONS COMMISSION

papers, books or notes allowed into the examination Results

rooms. Examinees shall not place their names on the Rules of Court, Rule 138, Sec. 15 – Committee must file its
examination papers. report on the results not later than February 15th after the
examination or as soon thereafter as may be practicable.
When and Where to take the Exam
Rules of Court, Rule 138, Sec. 11 – In four days designated by Flunkers
bar examiner annually in the city of Manila. Rule 138, Sec. 16 – Retakers must apply again. Candidates
who have failed the bar examinations for three times shall
Subjects [Rule 138, Sec. 9 and 11] be disqualified from taking another examination unless
Political (Constitutional Law, Public they show proof of reenrollment and successful
Corporations and Public Officers) and completion of regular fourth year review classes as well as
1st International Law (Private and Public) attended a pre-bar review course in a recognized law
day (morning) school.
Labor and Social Legislation (afternoon) The professors of the individual review subjects under this
Civil Law (morning) rule shall certify under oath that the candidates have
2nd day regularly attended classes and passed the subjects under
Taxation (afternoon) the same conditions as ordinary students and the ratings
Mercantile Law (morning) obtained by them in the particular subject.
3rd
day Criminal Law (afternoon) Discipline
Remedial Law (Civil Procedure, Criminal Rule 138, Sec. 13 - No candidate shall endeavor to influence
4th Procedure and Evidence) (morning) any member of the committee. During examination the
day Legal Ethics and Practical Exercises (in candidates shall not communicate with each other and
Pleading and Conveyancing) (afternoon) shall not give or receive any assistance.

Passing Average Violators will be punished by disqualification, counted as a

Rules of Court, Rule 138, Sec. 14 – A general average of 75% failure. Further disciplinary action, including permanent
in all subjects without falling below 50 % in any subject. disqualification, may be taken in the discretion of the court.

Relative Weights The requirements for ‘good and regular standing’ are:
(1) Membership in the IBP
Civil Law 15 % (2) Payment of IBP dues
Labor and Social Legislation 10 % (3) Payment of professional tax
(4) Compliance with the MCLE
Mercantile Law 15 % (5) Good moral character
Criminal Law 10 %
Passing the bar exam as civil service eligibility. –
Political and International Law 15 % First grade civil service eligibility for any position
Taxation 10 % Second grade civil service eligibility for position which does
not prescribe proficiency in law
Remedial Law 20 %
Legal Ethics and Practical Exercises 5% APPEARANCE OF NON-LAWYERS
LAW STUDENT PRACTICE
Who makes the Exam Rules of Court, Rule 138-A Section 1. Conditions for student
Rules of Court, Rule 138, Sec. 12 - One member of the SC practice. — A law student who has successfully completed
acts as Chairman, plus eight members of the bar who act his 3rd year of the regular four-year prescribed law
as examiners who hold office for one year. Beginning in curriculum and is enrolled in a recognized law school's
2009, there will be two examiners per subject. clinical legal education program approved by the Supreme
Court, may appear without compensation in any civil,
The Bar Confidant acts as a sort of liaison officer between criminal or administrative case before any trial court,
the court and the Bar Chairman on the other hand, and the tribunal, board or officer, to represent indigent clients
individual members of the committee on the other. He is at accepted by the legal clinic of the law school.
the same time a deputy clerk of court.
Section 2. Appearance. — The appearance of the law
The names of the members of this committee shall be student authorized by this rule, shall be under the direct
published in each volume of the official reports supervision and control of a member of the Integrated Bar
of the Philippines duly accredited by the law school. Any
and all pleadings, motions, briefs, memoranda or other
papers to be filed, must be signed by the supervising
attorney for and in behalf of the legal clinic.

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UP COLLEGE OF LAW
Rules of Court, Rule 138-A, Section 3. Privileged
communications. — The Rules safeguarding privileged
communications between attorney and client shall apply
to similar communications made to or received by the law
student, acting for the legal clinic.
Rules of Court, Rule 138-A, Section 4. Standards of conduct
and supervision. — The law student shall comply with the
standards of professional conduct governing members of
the Bar. Failure of an attorney to provide adequate
supervision of student practice may be a ground for
disciplinary action. [Circular No. 19, dated December 19,
1986].
Rules of Court, Rule 138, Section. 34. A law student may
appear in his personal capacity without the supervision of a
lawyer in inferior courts.
A law student may appear before an inferior court as an
agent or friend of a party without the supervision of a
member of the bar. [Cruz v. Mina (2007)]
NON-LAWYERS IN COURTS
Agent or Friend
Rules of Court, Rule 138, Sec. 34. In such cases, no attorney
client relationship exists; not habitual. An agent is usually
appointed or a friend chosen in a locality where a licensed
member of the bar is not available.
Civil case - a party in a civil suit may conduct his litigation
either personally or with the aid of an attorney unless the
party is a juridical person. Allowed in MTC, RTC, appellate
court.
Criminal case - in a locality where a lawyer is unavailable, a
judge may appoint a non-lawyer who is a resident of the
province, and of good repute for probity and ability to
defend the accused. Allowed up to MTC-level only.
Appearance as law student v. appearance as agent/friend. –
Appearance of a non-lawyer is allowed in inferior courts,
irrespective of whether or not he is a law student. As
succinctly clarified in Bar Matter No. 730, by virtue of
Section 34, Rule 138, a law student may appear, as an
agent or a friend of a party litigant, without the supervision
of a lawyer before inferior courts. [Cruz v. Mina, (2007)]
Self-representation
Rules of Court, Rule 138, Sec. 34. By whom litigation
conducted. In the court of a municipality a party may
conduct his litigation in person, with the aid of an agent or
friend appointed by him for that purpose, or with the aid of
an attorney. In any other court, a party may conduct his
litigation personally or by aid of an attorney, and his
appearance must be either personal or by a duly
authorized member of the bar.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rules of Court, Rule 115, Sec. 1 (c) provides that an accused
may waive his right to counsel but if he cannot protect his
rights without the assistance of a counsel, the Court
should advise him to secure a counsel de parte or appoint
a counsel de officio to represent him.
Right To Counsel: Absolute and immutable, however, the
trial court (TC) may restrict his option to retain a counsel
de parte if:
(1) the accused insists on an attorney he cannot afford
(2) chosen counsel is not a lawyer or
(3) the attorney declines to represent the accused for a
valid reason, in which case the TC will appoint his counsel
de officio to represent him.
Counsel de officio - A counsel, appointed or assigned by the
court, from among members of the Bar in good standing
who, by reason of their experience and ability, may
adequately defend the accused
Counsel de parte - A counsel employed or retained by the
party, or the accused.
NON-LAWYERS IN ADMINISTRATIVE TRIBUNALS
Appearance of non-lawyers in administrative tribunals
(e.g. NLRC, cadastral court) is allowed but only if they
represent themselves, their organization or its members.
Limitations
(1) Non-adversarial contentions
(2) Not habitually rendered
(3) Not charge for payment.
PROCEEDINGS WHERE LAWYERS ARE PROHIBITED
FROM APPEARING
Small Claims Cases
Rules of Procedure for Small Claims Cases, AM No.08-8-7,
Sec. 17. Appearance of Attorneys Not Allowed. — No
attorney shall appear in behalf of or represent a party at
the hearing, unless the attorney is the plaintiff or
defendant.
Katarungang Pambarangay
RA 7160, Sec. 415. In all katarungang pambarangay
proceedings the parties must appear in person without the
assistance of counsel or representative except for minors
and incompetents who may be assisted by their next of kin
who are not lawyers.
SANCTIONS FOR PRACTICE OR APPEARANCE
WITHOUT AUTHORITY
(1) Lawyers without authority
(2) Persons not lawyers
Shari’a Bar passers are not full-fledged Philippine Bar
members so they may only practice before Shari’a courts.
Both are counselors, but only the latter is an “attorney.”
[Alawi v. Alauya, (1997)]
REMEDIES AGAINST UNAUTHORIZED PRACTICE
(1) Petition for Injunction
(2) Declaratory Relief
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(3) Contempt of Court
(4) Disqualification and complaints for disbarment
(5) Criminal complaint for estafa against the person who
falsely represented himself as a lawyer to the damage
of another
PUBLIC OFFICIALS AND PRACTICE OF LAW
PROHIBITION OR DISQUALIFICATION
OF FORMER GOVERNMENT ATTORNEYS
Section 7 of R.A. No. 6713 generally provides for the
prohibited acts and transactions of public officials and
employees. Subsection (b)(2) prohibits them from
engaging in the private practice of their profession during
their incumbency. As an exception, a public official or
employee can engage in the practice of his or her
profession under the following conditions: first, the private
practice is authorized by the Constitution or by the law;
and second, the practice will not conflict or tend to conflict
with his or her official functions.
PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW
OR WITH RESTRICTIONS
Absolute Prohibition
(1) Judges and other officials as SC employees [Rule 148,
Sec. 35]
(2) OSG officials and employees
(3) Gov’t. prosecutors [People v. Villanueva]
(4) Pres., VP, cabinet members, their deputies and
assistants, [Const., Art. VIII Sec. 15]
(5) Constitutional Commissions Chairmen and Members
[Const. Art. IX-A, Sec. 2]
(6) Ombudsman and his deputies [Const., Art. IX, Sec. 8,
par. 2]
(7) All governors, city and municipal mayors [R.A. No.
7160, Sec. 90]
(8) Those who, by special law, are prohibited from
engaging in the practice of their legal profession
Relative Prohibition
(1) Senators and House of Representatives members
(prohibition to appear) [Const. Art VI, Sec. 14]
(2) Sanggunian Members [RA No. 7160, Sec. 91]
Special Restrictions
Retired judges [RA 910, Sec. 1, as amended]
A retired justice or judge receiving a 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 Gov’t. is accused of an offense in
relation to his office. [R.A. No. 910]
LAWYERS AUTHORIZED TO REPRESENT THE
GOVERNMENT
Any person appointed to appear for the Government of the
Philippines shall be allowed to appear in court, subject to
pertinent laws.
LAWYER’S OATH
Rules of Court, Sec. 17. An applicant who has passed the
required examination, or has been otherwise found to be
entitled to admission to the bar, shall take and subscribe
LEGAL ETHICS BAR OPERATIONS COMMISSION
before the SC an oath of office. Form 28 of the Judicial
Standard Forms prescribes the following oath to be taken
by the applicant:
I, _____, do solemnly swear that I will maintain allegiance to
the Republic of the 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 wittingly or willingly promote or sue any
groundless, false or unlawful suit nor give aid nor consent
to the same;
I will delay no man for money or malice, and will conduct
myself as a lawyer according to the best of my knowledge
and discretion with all good fidelity as well to the court as
to my clients; and
I impose upon myself this voluntary obligation, without any
mental reservation or purpose of evasion.
So help me God.
The lawyer’s oath is not a mere ceremony or formality for
practicing law. Every lawyer should at all times weigh his
actions according to the sworn promises he makes when
taking the lawyer’s oath. If all lawyers conducted
themselves strictly according to the lawyer’s oath and the
Code of Professional responsibility, the administration of
justice will undoubtedly fairer, faster and easier for
everyone concerned. [In Re: Argosino, (1997)]
IMPORTANT TERMS TO REMEMBER:
Amicus curiae
Latin for “friend of court,” a lawyer who assists the court by
giving information or advice regarding questions of law or
of fact. He does not represent any party.
Attorney
Officers of the courts, empowered to appear, prosecute
and defend, and upon whom peculiar duties,
responsibilities and liabilities are developed by law as a
consequence. [Cui v. Cui (1964)]
Bar
Refers to the whole body of attorneys and counselors,
collectively, the members of the legal profession
Barrister
In England, a person entitled to practice law as an
advocate or counsel in the superior court.
Bench
Denotes the whole body of judges
Notary Public
A public officer authorized by law to certify documents,
take affidavits, and administer oaths. Under the 2004
Rules on Notarial Practice, all notaries must be lawyers.
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Solicitor
In England, a person prosecuting or defending suits in
Courts of Chancery. In the Philippines, a Government
lawyer attached with the Office of the Solicitor General.
Duties & Responsibilities
of Lawyers
LEGAL ETHICS
It is that branch of moral science which treats of the duties
which an attorney at law owes to his clients, to the courts,
to the bar and to the public. [G.A. Malcolm, Legal and
Judicial Ethics 8, 1949]
DUTIES OF A LAWYER
Rules of Court, Rule 138, Sec. 20
(1) To maintain allegiance to the Republic of the Phils. and
to support the Constitution and obey the laws of the Phils.;
(2) To observe and maintain the respect due to the courts
of justice and judicial officers;
(3) To counsel or maintain such actions or proceedings
only as appear to him to be just, and such defenses only as
he believes to be honestly debatable under the law;
(4) To employ, for the purpose of maintaining the causes
confided to him, such means only as are consistent with
truth and honor, and never seek to mislead the judge or
any judicial officer by an artifice or false statement of fact
or law;
(5) To maintain inviolate the confidence, and at every peril
to himself, to preserve the secrets of his client, and to
accept no compensation in connection with his client's
business except from him or with his knowledge and
approval;
(6) To abstain from all offensive personality and to
advance no fact prejudicial to the honor or reputation of a
party or witness, unless required by the justice of the cause
with which he is charged;
(7) Not to encourage either the commencement or the
continuance of an action or proceeding, or delay any man's
cause, from any corrupt motive or interest;
(8) Never to reject, for any consideration personal to
himself, the cause of the defenseless or oppressed;
(9) In the defense of a person accused of 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.
THE FOUR-FOLD DUTIES OF A LAWYER
(PER THE CODE OF PROFESSIONAL RESPONSIBILITY)
LAWYER’S DUTIES TO SOCIETY
Canon 1: Promote and Respect the Law and Legal
Process
Canon 2: Provide Efficient And Convenient Legal Services
Canon 3: Information On Legal Services That Is True,
Honest, Fair And Dignified
Canon 4: Support For Legal Reforms And Administration
Of Justice
LEGAL ETHICS BAR OPERATIONS COMMISSION
Canon 5: Participate In Legal Education
Canon 6: Canons Apply to Lawyers in Government
Service
LAWYER’S DUTIES TO THE LEGAL PROFESSION
Canon 7: Uphold Dignity And Integrity In The Profession
Canon 8: Courtesy, Fairness, Candor Towards
Professional Colleagues
Canon 9: Unauthorized Practice Of Law
LAWYER’S DUTIES TO THE COURTS
Canon 10: Observe Candor, Fairness And Good Faith
Canon 11: Respect Courts And Judicial Officers
Canon 12: Assist In Speedy And Efficient Administration of
Justice
Canon 13: Refrain From Act Giving Appearance of
Influence
LAWYER’S DUTIES TO THE CLIENT
Canon 14: Service To The Needy
Canon 15: Observe Candor, Fairness, Loyalty
Canon 16: Hold In Trust Client’s Moneys And Properties
Canon 17: Trust And Confidence
Canon 18: Competence And Diligence
Canon 19: Representation With Zeal
Canon 20: Attorney’s Fees
Canon 21: Preserve Client’s Confidence
Canon 22: Withdrawal Of Services For Good Cause
DUTIES TO SOCIETY
RESPECT FOR LAW AND LEGAL PROCESSES
Canon 1. A lawyer shall uphold the constitution, obey the
laws of the land and promote respect for law of and legal
processes.
Rule 1.01. A lawyer shall not engage in unlawful, dishonest,
immoral or deceitful conduct.
Rules of Court, Rule 138, Sec 27. Attorneys removed or
suspended by Supreme Court on what grounds. — A
member of the bar may be removed or suspended from his
office as attorney by the Supreme Court for any deceit,
malpractice, or other gross misconduct in such office,
grossly immoral conduct, or by reason of his conviction of a
crime involving moral turpitude, or for any violation of the
oath which he is required to take before the admission to
practice, or for a willful disobedience of any lawful order of
a superior court, or for corruptly or willful appearing as an
attorney for a party to a case without authority so to do.
The practice of soliciting cases at law for the purpose of
gain, either personally or through paid agents or brokers,
constitutes malpractice.
Unlawful conduct
An act or omission which is against the law. Dishonesty
involves lying or cheating. [Agpalo]
When lawyers are convicted of frustrated homicide, the
attending circumstances, not the mere fact of their
conviction would demonstrate their fitness to remain in the
legal profession. [Soriano v. Dizon, (2006)]
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Immoral or deceitful conduct Rule 1.03. A lawyer shall not, for any corrupt motive or
That which is willful, flagrant or shameless and which interest, encourage any suit or proceeding or delay any
shows a moral indifference to the opinion of the good and man's cause.
respectable members of the community. [Aguirre]
Barratry or “Maintenance”
Immorality connotes conduct that shows indifference to
Inciting or stirring up quarrels, litigation or groundless
the moral norms of society. For such conduct to warrant
lawsuits
disciplinary action, the same must be grossly immoral, it
must be so corrupt and false as to constitute a criminal act
Examples:
or so unprincipled as to be reprehensible to a high degree.
(1) Volunteering advice to bring lawsuit, except in rare
[Ui v. Bonifacio (2000)]
cases where ties of blood, relationship or trust make it
his duty to do so
Moral Turpitude
(2) Hunting up defects in titles or other causes of action in
“Includes everything which is done contrary to justice,
order to be employed to bring suit or breed litigation
honesty, modesty, or good morals”. It involves an act of
baseness, vileness, or depravity in the private duties which
Ambulance Chasing
a man owed his fellowmen, or to society in general,
Accident-site solicitation of almost any kind of legal
contrary to the accepted and customary rule of right and
business by laymen employed by an attorney for the
duty between man and woman, or conduct contrary to
purpose or by the attorney himself.
justice, honesty, modesty, or good morals. [Barrios v.
(a) Supports perjury, the defrauding of innocent persons by
Martinez, (2004)]
judgments, upon manufactured causes of actions and
the defrauding of injured persons having proper causes
Examples of Crimes involving moral turpitude
of action but ignorant of legal rights and court
Murder, estafa, rape, violation of BP 22, bribery, bigamy,
procedure.
adultery, seduction, abduction, concubinage, smuggling.
A lawyer may be disciplined in his professional and private
Examples of grossly-immoral acts
capacity. The filing of multiple complaints reflects on his
(1) Wanton disregard for the sanctity of marriage as
fitness to be a member of the legal profession. His conduct
shown when respondent pursued a married woman
of vindictiveness a decidedly undesirable trait especially
and thereafter cohabited with her. [Guevarra v. Eala,
when one resorts to using the court not to secure justice
(2007)]
but merely to exact revenge warrants his dismissal from
(2) The rape of his neighbor's wife constituted serious
the judiciary. [Saburnido v. Madrono, (2001)]
moral depravity even if his guilt was not proved beyond
reasonable doubt in the criminal prosecution for rape.
[Calub v. Suller (2000)] Rule 1.04. A lawyer shall encourage his clients to avoid,
end or settle a controversy if it will admit of a fair
Examples of Acts which are NOT grossly immoral settlement.
(1) Mere intimacy between a man and a woman, both of
whom possess no impediment to marry, voluntarily The function of a lawyer is not only to conduct litigation
carried and devoid of deceit on the part of the but to avoid it where possible, by advising settlement or
respondent, even if a child was born out of wedlock of withholding suit. He must act as mediator for compromise
such relationship. It may suggest a doubtful moral rather than an instigator and conflict. [Agpalo]
character but not grossly immoral. [Figueroa v. Barranco,
(1997)] The lawyer abetted his client in using the courts to subvert
(2) Stealing a kiss from a client [Advincula v. Macabata the very ends of justice by instigating controversy and
(2007)] conflict although the client's cause is without merit. It is
every duty of a counsel to advise his client on the merit of
Rule 1.02. A lawyer shall not counsel or abet activities his case. A lawyer must resist the whims and caprices of his
aimed at defiance of the law or at lessening confidence in clients, and temper his client’s propensity to litigate.
the legal system. [Castaneda v. Ago, (1975)]

EFFICIENT AND CONVENIENT LEGAL SERVICES

The SC does not claim infallibility, it will not denounce
criticism made by anyone against the Court for, if well Canon 2: A lawyer shall make his legal services available in
founded can truly have constructive effects in the task of an efficient and convenient manner compatible with the
the Court, but will not countenance any wrong doing nor independence, integrity and effectiveness of the
allow erosion of the people's faith in the judicial system. profession.
[Estrada v. Sandiganbayan (2003)]
Rule 2.01. A lawyer shall not reject, except for valid
The promotion of organizations, with knowledge of their reasons, the cause of the defenseless or the oppressed.
objectives, for the purpose of violating or evading the laws
constitutes such misconduct in his office. [In re Terrell,
(1903)]

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Defenseless
Those who could not defend themselves for various
reasons such as poverty, ignorance or weakness
Oppressed
Those who have been subjected to cruelty, domination or
harsh treatment
Legal aid is not a matter of charity. It is a means for the
correction of social imbalance that may and often do lead
to injustice, for which reason it is a public responsibility of
the Bar. [IBP Handbook, Guidelines Governing the
Establishment and Operation of the Legal Aid Office, Art. 1,
Sec. 1]
Valid grounds for refusal [Rule 14.03]:
(1) He is in no position to carry out the work effectively or
competently
(2) He labors under a conflict of interest between him and
the prospective client or between a present client and
the prospective client.
Rules of Court, Rule 138, Sec. 3. Attorneys for destitute
litigants — A court may assign an attorney to render
professional aid free of charge to any party in a case if
upon investigation it appears that the party is destitute
and unable to employ an attorney and that the services of
counsel are necessary to secure the ends of justice and to
protect the rights of the party. It shall be the duty of the
attorney so assigned to render the required service unless
he is excused therefrom by the court for sufficient cause
shown.
The legal profession is a burdened privilege not many are
qualified to undertake. A lawyer owes fidelity to the duty
required of the legal profession. In this case, since there is
no incompatibility between the defense of the appellant’s
client and his being an election registrar, he should not
decline his appointment as counsel de oficio. [Ledesma v.
Climaco, (1974)]
Bar Matter No. 2012 (2009)
Proposed Rule on Mandatory Legal Aid Service for Practicing
Lawyers
Purpose. - to enhance the duty of lawyers to society as
agents of social change and to the courts as officers
thereof by helping improve access to justice by the less
privileged members of society and expedite the resolution
of cases involving them; To aid the efficient and effective
administration of justice especially in cases involving
indigent and pauper litigants.
Scope. - This Rule shall govern the mandatory requirement
for practicing lawyers to render free legal aid services in all
cases (whether, civil, criminal or administrative) involving
indigent and pauper litigants where the assistance of a
lawyer is needed. It shall also govern the duty of other
members of the legal profession to support the legal aid
program of the Integrated Bar of the Philippines.
(a) Practicing lawyers are members of the Phil. Bar who
LEGAL ETHICS BAR OPERATIONS COMMISSION
appear for and in behalf of parties in courts of law and
quasi-judicial agencies, including but not limited to the
National Labor Relations Commission, National
Conciliation and Mediation Board, Department of Labor
and Employment Regional Offices, Department of
Agrarian Reform Adjudication Board and National
Commission for Indigenous Peoples. The term "practicing
lawyers" shall exclude:
(i) Gov't. employees and incumbent elective officials
not allowed by law to practice;
(ii) Lawyers who by law are not allowed to appear in
court;
(iii) Supervising lawyers of students enrolled in law
student practice in duly accredited legal clinics of
law schools and lawyers of non-Gov't.al
organizations (NGOs) and peoples’ organizations
(POs) like the Free Legal Assistance Group who by
the nature of their work already render free legal
aid to indigent and pauper litigants and
(iv) Lawyers not covered under subparagraphs (i) to (iii)
including those who are employed in the private
sector but do not appear for and in behalf of parties
in courts of law and quasi-judicial agencies.
(b) Indigent and pauper litigants are those defined under
Rule 141, Section 19 of the ROC and (Algura v. The Local
Gov't. Unit of the City of Naga, 2006)
Sec. 19. Indigent litigants exempt from payment of legal
fees. – Indigent litigants
(a) whose gross income and that of their immediate family
do not exceed an amount double the monthly minimum
wage of an employee and
(b) who do not own real property with a fair market value
as stated in the current tax declaration of more than three
hundred thousand (P300,000.00) pesos shall be exempt
from payment of legal fees.
The legal fees shall be a lien on any judgment rendered in
the case favorable to the indigent litigant unless the court
otherwise provides.
To be entitled to the exemption herein provided, the
litigant shall execute an affidavit that he and his
immediate family do not earn a gross income
abovementioned, and they do not own any real property
with the fair value aforementioned, supported by an
affidavit of a disinterested person attesting to the truth of
the litigant's affidavit. The current tax declaration, if any,
shall be attached to the litigant's affidavit.
Any falsity in the affidavit of litigant or disinterested person
shall be sufficient cause to dismiss the complaint or action
or to strike out the pleading of that party, without prejudice
to whatever criminal liability may have been incurred.”
Free access to the courts and quasi-judicial bodies and
adequate legal assistance shall not be denied to any
person by reason of poverty. [Const. Art. III, Sec. 11]
Requirements
Every practicing lawyer is required to render a minimum of
sixty (60) hours of free legal aid services to indigent
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litigants in a year. Said 60 hours shall be spread within a
period of twelve (12) months, with a minimum of five (5)
hours of free legal aid services each month. He shall
coordinate with the Clerk of Court for cases where he may
render free legal aid service and shall be required to secure
and obtain a certificate from the Clerk of Court attesting to
the number of hours spent rendering free legal aid services
in a case.
Penalties
A practicing lawyer shall be required to explain why he was
unable to render the minimum prescribed number of
hours. If no explanation has been given or if the National
Committee on Legal Aid (NCLA) finds the explanation
unsatisfactory, the NCLA shall make a report and
recommendation to the IBP Board of Governors for the
erring lawyer to be declared a member of the IBP who is
not in good standing.
After acceptance of the recommendation, the lawyer shall
be declared a member not in good standing. He will be
furnished a notice that includes a directive to pay P4000
penalty which shall accrue to the special fund for the legal
aid program of the IBP.
Any lawyer who fails to comply with his duties under this
Rule for at least three (3) consecutive years shall be the
subject of disciplinary proceedings to be instituted motu
proprio by the Committee on Bar Discipline.
Rule 2.02. In such cases, even if the lawyer does not accept
a case, he shall not refuse to render legal advice to the
person concerned if only to the extent necessary to
safeguard the latter's rights.
Advice may be on what preliminary steps to take until the
client has secured the services of counsel. But he shall
refrain from giving legal advice if the reason for not
accepting the case is that there involves a conflict of
interest between him and a prospective client or between a
present client and a prospective client. [Agpalo]
Rule 2.03. A lawyer shall not do or permit to be done any
act designed primarily to solicit legal business.
The legal practice is not a business but a profession. Unlike
a businessman, the lawyer has:
(1) Relation to the administration of justice involving
sincerity, integrity and reliability as an “officer of the
court”;
(2) Duty of public service;
(3) Relation to clients with the highest degree of fiduciary;
(4) Relation to colleagues at the bar characterized by
candor, fairness and unwillingness to resort to business
methods of advertising and encroachment on their
practice, or dealing directly with their clients. [Agpalo]
Malpractice
The practice of soliciting cases at law for the purpose of
gain, either personally or through paid agents or brokers,
constitutes malpractice. A member of the bar may be
LEGAL ETHICS BAR OPERATIONS COMMISSION
disbarred or suspended from his office as attorney by the
SC for any… malpractice. [Rule 138, Sec. 27]
Rule 2.04. A lawyer shall not charge rates lower than those
customarily prescribed unless the circumstances so
warrant.
This rule prohibits the competition in the matter of
charging professional fees for the purposed of attracting
clients in favor of the lawyer who offers lower rates. The
rule does not prohibit a lawyer from charging a reduced
fee or none at all to an indigent or to a person who would
have difficulty paying the fee usually charged for such
services. [Agpalo]
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE INFORMATION ON
LEGAL SERVICES
Canon 3. A lawyer in making known his legal services shall
use only true, honest, fair, dignified and objective
information or statement of facts.
Rule 3.01. A lawyer shall not use or permit the use of any
false, fraudulent, misleading, deceptive, undignified, self
laudatory or unfair statement or claim regarding his
qualifications or legal services.
The most worthy and effective advertisement possible is
the establishment of a well-merited reputation for
professional capacity and fidelity to trust. This cannot be
forced, but must be the outcome of character and conduct.
Allowable advertisement (Exceptions to Rule 3.01)
(1) Ordinary professional card
(2) Publication in reputable law list with brief biographical
and other informative data which may include:
(a) name
(b) associates
(c) address
(d) phone numbers
(e) branches of law practiced
(f) birthday
(g) day admitted to the bar
(h) schools and dates attended
(i) degrees and distinctions
(j) public or quasi-public offices
(k) posts of honor
(l) legal authorships
(m) teaching positions
(n) associations
(o) legal fraternities and societies
(p) references and regularly represented clients
must be published for that purpose
(3) Publication of simple announcement of opening of law
firm, change of firm
(4) Listing in telephone directory but not under
designation of special branch of law
(5) If acting as an associate (specializing in a branch of
law), may publish a brief and dignified announcement
to lawyers (law list, law journal)
(6) If in media, those acts incidental to his practice and not
of his own initiative
(7) Writing legal articles
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(8) Activity of an association for the purpose of legal
representation
If entering into other businesses which are not inconsistent
with lawyer’s duties
It is advisable that they be entirely separate and apart such
that a layman could distinguish between the two
functions.
Prohibited advertisement [Sec. 27, Canon of Professional
Ethics]:
(1) Through touters of any kind whether allied real estate
firms or trust companies advertising to secure the
drawing of deeds or wills
(2) Offering retainers in exchange for executorships or
trusteeships to be influenced by the lawyer
(3) Furnishing or inspiring newspaper comments
concerning the manner of their conduct, the
magnitude of the interests involved, the importance of
lawyer’s position, and all other like self-laudation
A lawyer may not properly publish his brief biographical
and informative data in a daily paper, magazine, trade
journal or society program in order to solicit legal business.
[Khan v. Simbillo, (2003)]
It is highly unethical for an attorney to advertise his talents
or skill as a merchant advertises his wares. The law is a
profession not a business. Solicitation of cases by himself
or through others is unprofessional and lowers the
standards of the legal profession. [In re Tagorda, (1929)]
Rule 3.02. In the choice of a firm name, no false,
misleading or assumed name shall be used. The continued
use of the name of a deceased partner is permissible
provided that the firm indicates in all its communications
that said partner is deceased.
General Rule [1]: All partners in firm name must be alive.
Exception: The continued use of the name of a deceased
partner is permissible provided that the firm indicates in all
its communications that said partner is deceased. [Agpalo]
Reason for Exception: All partners by their joint efforts over
a period of years contributed to the goodwill attached to
the firm name, and the removal of the deceased partner’s
name disturbs the client goodwill built through the years.
General Rule [2]: Filipino lawyers cannot practice law under
the name of a foreign law firm.
Firms may not use misleading names showing association
with other firms to purport legal services of highest quality
and ties with multinational business enterprise especially
when such firm attached as an associate cannot legally
practice law in the Phils. [Dacanay v. Baker and McKenzie,
(1985)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rule 3.03. Where a partner accepts public office, he shall
withdraw from the firm and his name shall be dropped
from the firm name unless the law allows him to practice
law currently.
The purpose of the rule is to prevent the law firm from
using his name to attract legal business and to avoid
suspicion of undue influence. [Agpalo]
A civil service officer or employee whose duty or
responsibility does not require his entire time to be at the
disposal of the government may not engage in the private
practice of law without the written permit from the head of
the department concerned. [Agpalo]
It is unlawful for a public official or employee to, among
others: "engage in the private practice of their profession,
unless authorized by the Constitution or law, provided that
such practice will not conflict or tend to conflict with
official functions." [Samonte v. Gatdula, (1999)]
If the unauthorized practice on the part of a person who
assumes to be an attorney causes damage to a party, the
former may be held liable for estafa.
Rule 3.04. A lawyer shall not pay or give anything of value
to representatives of the mass media in anticipation of, or
in return for, publicity to attract legal business.
The purpose of this rule is to prevent some lawyers from
gaining an unfair advantage over others through the use of
gimmickry, press agentry or other artificial means.
This rule prohibits from making indirect publicity gimmick,
such as furnishing or inspiring newspaper comments,
procuring his photograph to be published in connection
with cases which he is handling, making a courtroom scene
to attract the attention of newspapermen, or arranging for
the purpose an interview with him by media people.
[Agpalo]
PARTICIPATION IN THE IMPROVEMENT AND REFORMS IN 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.
Examples
(1) Present position papers or resolutions for the
introduction of pertinent bills in Congress;
(2) Submit petitions to the SC for the amendment of the
ROC.
(3) The Misamis Oriental Chapter of the IBP promulgating
a resolution wherein it requested the IBP’s NCLA to ask
for the exemption from the payment of filing, docket
and other fees of clients of the legal aid offices in the
various IBP chapters [Re: Request Of National
Committee On Legal Aid To Exempt Legal Aid Clients
From Paying Filing, Docket And Other Fees, (2009)]
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PARTICIPATION IN LEGAL EDUCATION PROGRAM
Canon 5. A lawyer shall keep abreast of legal
developments participate in continuing legal education
programs support efforts to achieve high standards in law
schools as well as in the practical training of law students
and assist in disseminating the law and jurisprudence.
Obligations
(1) To self for continued improvement of knowledge
(2) To his profession for maintenance of high standards of
legal education
(3) To the public for social consciousness
Bar Matter No. 850 (2000)
Purpose: To ensure that lawyers throughout their career
keep abreast with law and jurisprudence, maintain the
ethics of the profession and enhance the standards of the
practice of law
Requirement:
Every 3 years at least 36 hours of legal education activities.
Legal ethics 6 hrs
Trial and pre-trial skills 4 hrs
Alternative dispute resolution 5 hrs
Updates on substantive procedural laws and
9 hrs
jurisprudence
Writing and oral advocacy 4 hrs
International law and international
2 hrs
conventions
Other subjects as may be prescribed by the
6 hrs
Committee on MCLE
Legal Education Activities
(1) Participatory
(a) Attending approved education activities like
seminars, conferences, conventions, symposia, in-
house education programs, workshops, dialogues
or round table discussion.
(b) Speaking or lecturing, or acting as assigned
panelist, reactor, commentator, resource speaker,
moderator, coordinator or facilitator in approved
education activities.
(c) Teaching in a law school or lecturing in a bar review
class.
(2) Non-Participatory
(a) Preparing, as an author or co-author, written
materials published or accepted for publication,
e.g., in the form of an article, chapter, book, or book
review which contribute to the legal education of
the author member, which were not prepared in the
ordinary course of the member’s practice or
employment.
(b) Editing a law book, law journal or legal newsletter.
(3) Other activities credited to MCLE – Rendering
Mandatory Legal Aid Services [Bar Matter No. 2012,
Sec 8]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Exemptions
(1) President, vice-president, cabinet members
(2) Members of Congress
(3) Chief Justice and incumbent and retired members of
the judiciary
(4) Chief state counsel, prosecutor and assistant
secretaries of the Department of Justice
(5) Solicitor General and assistants
(6) Gov’t. Corporate Counsel, his deputies and assistants
(7) Chairman and members of Constitutional
Commissions
(8) Ombudsman and his deputies
(9) Heads of Gov’t. agencies exercising quasi-judicial
functions
(10)Incumbent deans, bar reviewers and professors of law
who have 10 year teaching experience
(11) Officers and lecturers of the Phil. Judicial Academy
(12) Governors and mayor
(13) Those not in law practice (special exemption)
(14) Those who have retired from the law practice (special
exemption)
(15) A member may file a verified request setting forth
good cause for exemption (such as physical disability,
illness, post graduate study abroad, proven expertise in
law, etc.)
Penalty:
(1) Non-Compliance Fee of Php 1,000.00.
(2) Listing as a delinquent member of the IBP
Bar Matter No. 1922 (2008)
Practicing members of the bar are required to INDICATE in
all pleadings filed before the courts or quasi-judicial
bodies, the number and date of issue of their MCLE
Certificate of Compliance or Certificate of Exemption, as
may be applicable, for the immediately preceding
compliance period.
Penalty: Failure to disclose the required information would
cause the dismissal of the case and the expunction of the
pleadings from the records.
Canon 6. These canons shall apply to lawyers in Gov’t.
services in the discharge of their tasks.
A member of the Bar who assumes public office does not
shed his professional obligation. Lawyers in Gov’t. are
public servants who owe the utmost fidelity to the public
service. A lawyer in public service is a keeper of public faith
and is burdened with a high degree of social responsibility,
perhaps higher than her brethren in private practice.
[Vitriolo v. Dasig, (2003)]
Related Statutory Basis
RA 6713, Sec. 4 (A) or the Code of Conduct and Ethical
Standards for Public Officials and Employees.
Every public official and employee shall observe the
following as standards of personal conduct in the
discharge and execution of official duties:
(1) Commitment to public interest – uphold the public
interest over and above personal interest.
(2) Professionalism – perform and discharge their duties
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UP COLLEGE OF LAW
with the highest degree of excellence, professionalism,
intelligence and skill
(3) Justness and sincerity – not discriminate against
anyone, especially the poor and the underprivileged
(4) Political neutrality - provide service to everyone without
unfair discrimination and regardless of party affiliation
or preference
(5) Responsiveness to the public- extend prompt,
courteous, and adequate service to the public
(6) Nationalism and patriotism- be loyal to the Republic
and to the Filipino people, promote the use of locally
produced goods, resources and technology and
encourage appreciation and pride of country and
people.
(7) Commitment to democracy - commit themselves to the
democratic way of life and values, maintain the
principle of public accountability, and manifest by
deeds the supremacy of civilian authority over the
military.
(8) Simple living - lead modest lives appropriate to their
positions and income
Rule 6.01. The primary duty of a lawyer engaged in public
prosecution is not to convict but to see that justice is done.
The suppression of facts or the concealment of witnesses
capable of establishing the innocence of the accused is
highly reprehensible and is cause for disciplinary action.
A public prosecutor is a quasi-judicial officer with the two-
fold aim of which is that guilt shall not escape or
innocence suffer. he should not hesitate to recommend to
the court the accused's acquittal if the evidence in his
possession shows that the accused is innocent. [Agpalo]
It is upon the discretion of the prosecutor to decide what
charge to file upon proper appreciation of facts and
evidences. Fiscals are not precluded from exercising their
sound discretion in investigation. His primary duty is not to
convict but to see that justice is served. [People v. Pineda,
(1967)]
Rule 6.02. A lawyer in government service shall not use his
public position to promote or advance his private interests,
nor allow the latter to interfere with his public duties.
In relation to Rule 3.03, if the law allows a public official to
practice law concurrently, he must not use his public
position to feather his law practice. Moreover, he should
not only avoid all impropriety. Neither should he even
inferentially create a public image that he is utilizing his
public position to advance his professional success or
personal interest at the expense of the public. [Agpalo]
It bears stressing also that Gov't. lawyers who are public
servants owe fidelity to the public service, a public trust. As
such, Gov't lawyers should be more sensitive to their
professional obligations as their disreputable conduct is
more likely to be magnified in the public eye. [Huyssen vs
Gutierrez (2006)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rule 6.03. A lawyer shall not, after leaving Gov't. service,
accept engagement or employment in connection with any
matter in which he had intervened while in said service.
How a Gov't. Lawyer Leaves Gov't. Service:
(1) Retirement
(2) Resignation
(3) Expiration of the term of office
(4) Dismissal
(5) Abandonment
General Rule: Practice of profession allowed immediately
after leaving public service
Exceptions: If lawyer had connection with any matter
during his term, subject to
(1) One year prohibition if he had not intervened
(2) Permanent prohibition if he had intervened
One Year Prohibition
RA 3019 or the Anti-Graft and Corrupt Practices Act. Sec.
3(d) - Corrupt practices of any public officer include:
(d) Accepting or having any member of his family accept
employment in a private enterprise which has pending
official business with him during the pendency thereof or
within one year after its termination.
RA 6713 or the Code of Conduct and Ethical Standards for
Public Officials and Employees.
Sec. 7(b) - Outside employment and other activities. Public
officials and employees during their incumbency shall not:
(1) Own, control, manage or accept employment as
officer employee, consultant, counsel, broker, agent,
trustee or nominee / in any private enterprise
regulated, supervised or licensed by their office /
unless expressly allowed by law;
(2) Engage in the private practice of their profession
unless authorized by the Constitution or law,
provided that such practice will not conflict or tend
to conflict with their official functions;
(3) Recommend any person to any position in a private
enterprise which has a regular or pending official
transaction with their office.
These prohibitions shall continue to apply for a period of
one year after resignation, retirement or separation from
public office, except in case of subparagraph (2) above, but
the professional concerned cannot practice his profession
in connection with any matter before the office he used to
be with, in which case the one year prohibition shall
likewise apply.
Relative Prohibition
Retired Judges and Justices
RA 910 on retirement of justices and judges
Sec. 1. No retiring justice or judge of a court of record or city
or municipal judge during the time that he is receiving said
pension shall appear as counsel in any court in any civil
case where
(1) the Gov't. or any of its subdivisions or instrumentalities
is an adverse party
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UP COLLEGE OF LAW
(2) in a criminal case, where an officer or employee of the
Gov't. is accused of an offense related to his official
function
(3) in any administrative proceeding, cannot collect any fee
for his appearance to maintain an interest adverse to
the Gov't.
Permanent Prohibitions on matters which he had
intervened
The “matter” contemplated in this rule are those that are
adverse-interest conflicts (substantial relatedness and
adversity between the Gov't. matter and the new client’
matter in interest) and congruent-interest representation
conflicts, while the “intervention” should be significant and
substantial which can or have affected the interest of
others. [PCGG v. Sandiganbayan, (2005)]
On members of the legislature
1987 Constitution, Art. VI, Sec. 13. No member of legislature
may accept an appointment in an office which he created
or increased emoluments thereof.
THE LEGAL PROFESSION
STATUTORY BASIS
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.
INTEGRATED BAR OF THE PHILIPPINES
Statutory Basis
RA 6397. The Supreme Court may adopt rules of court to
effect the integration of the Philippine Bar under such
conditions as it shall see fit in order to raise the standards
of the legal profession improve the administration of
justice and enable the bar to discharge its public
responsibility more effectively.
Integration does not make a lawyer a member of any group
of which he is not already a member. He became a
member of the Bar when he passed the Bar examinations.
All that integration actually does is to provide an official
national organization for the well-defined but unorganized
and incohesive group of which every lawyer is already a
member. [In the matter of the Integration of the Bar of the
Philippines, (1973)]
The IBP is essentially a semi-governmental entity, a private
organization endowed with certain governmental
attributes. While it is composed of lawyers who are private
individuals, the IBP exists to perform certain vital public
functions and to assist the government particularly in the
improvement of the administration of justice, the
upgrading of the standards of the legal profession, and its
proper regulation.
General Objectives of the IBP
(1) To elevate the standards of the legal profession
(2) To improve the administration of justice
(3) To enable the Bar to discharge its public responsibility
more effectively.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Purpose of the IBP
(1) Assist in the administration of justice;
(2) Foster and maintain on the part of its members high
ideals of integrity, learning, professional competence,
public service and conduct;
(3) Safeguard the professional interest of its members;
(4) Cultivate among its members a spirit of cordiality and
brotherhood;
(5) Provide a forum for the discussion of law,
jurisprudence, law reform, pleading, practice and
procedure, and the relations of the Bar to the Bench
and to the public, and publish information relating
thereto;
(6) Encourage and foster legal education;
(7) Promote a continuing program of legal research in
substantive and adjective law, and make reports and
recommendations thereon.
The basic postulate of the IBP is that it is non-political in
character and that there shall be neither lobbying nor
campaigning in the choice of the IBP Officers. The
fundamental assumption is that the officers would be
chosen on the basis of professional merit and willingness
and ability to serve. The unseemly ardor with which the
candidates pursued the presidency of the association
detracted from the dignity of the legal profession. The
spectacle of lawyers bribing or being bribed to vote did not
uphold the honor of the profession nor elevate it in the
public’s esteem. [In re 1989 Elections of the IBP, (1989)]
Membership and Dues
Statutory Basis
Rules of Court, Rule 139-A, Section 9. Membership dues. —
Every member of the Integrated Bar shall pay such annual
dues as the Board of Governors shall determine with the
approval of the Supreme Court. A fixed sum equivalent to
ten percent (10%) of the collection from each Chapter shall
be set aside as a Welfare Fund for disabled members of
the Chapter and the compulsory heirs of deceased
members thereof.
Section 10. Effect of non-payment of dues. — Subject to the
provisions of Section 12 of this Rule, default in the payment
of annual dues for six months shall warrant suspension of
membership in the Integrated Bar, and default in such
payment for one year shall be a ground for the removal of
the name of the delinquent member from the Roll of
Attorneys.
A membership fee in the Integrated Bar is an exaction for
regulation, while the purpose of a tax is revenue. If the
Court has inherent power to regulate the Bar, it follows
that as an incident to regulation, it may impose a
membership fee for that purpose. It would not be possible
to push through an Integrated Bar program without means
to defray the concomitant expenses. The doctrine of
implied powers necessarily includes the power to impose
such an exaction. [In the matter of the Integration of the Bar
of the Philippines, (1973)]
A lawyer can engage in the practice of law only by paying
his dues, and it does not matter if his practice is “limited.”
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UP COLLEGE OF LAW
Moreover, senior citizens are not exempted from paying
membership dues. [Santos v. Llamas, (2000)]
There is nothing in the law or rules which allows exemption
from payment of membership dues [even if the lawyer is
staying abroad]. At most, as correctly observed by the IBP,
he could have informed the Secretary of the Integrated Bar
of his intention to stay abroad before he left. In such case,
his membership in the IBP could have been terminated
and his obligation to pay dues could have been
discontinued. [Letter of Atty. Cecilio Arevalo (2005)]
UPHOLDING THE DIGNITY AND INTEGRITY OF THE PROFESSION
Statutory Basis
Rule 7.01 – A lawyer shall be answerable for knowingly
making a false statement or suppressing a material fact in
connection with his application for admission to the bar.
A lawyer must be a disciple of truth. While a lawyer has the
solemn duty to defend his client’s rights and is expected to
display the utmost zeal in defense of his client’s cause, his
conduct must never be at the expense of truth.
Penalties for violations of this rule
(1) Ground for disqualification of the applicant to take the
bar – If the concealment is discovered before he takes
the bar exam
(2) Not allowed to take the lawyer’s oath – If the
concealment is discovered after the candidate has
taken the bar exam
(3) Revocation of the license to practice – If the
concealment was discovered after he has taken his
lawyer’s oath [In Re Diao (1963)]
A declaration in one's application for admission to the Bar
Examinations that the applicant was "single", when he was
in fact married, was a gross misrepresentation of a
material fact made in utter bad faith, for which the
applicant should be made answerable. It indubitably
exhibits lack of good moral character. [Leda v. Tabang
(1992)]
Rule 7.02 – A lawyer shall not support the application for
admission to the bar of any person known by him to be
unqualified in respect to character education or other
equivalent attribute
A lawyer should volunteer information or cooperate in any
investigation concerning alleged anomaly in the bar
examination so that those candidates who failed therein
can be ferreted out and those lawyers responsible therefor
can be disbarred. [In re Parazo, (1948)]
A lawyer should not readily execute an affidavit of good
moral character in favor of an applicant who has not live
up to the standard set by law. [Agpalo]
Rule 7.03 – A lawyer shall not engage in conduct that
adversely reflects on his fitness to practice law nor shall he
whether in public or private life behave in a scandalous
manner to the discredit of the legal profession.
LEGAL ETHICS BAR OPERATIONS COMMISSION
It is not necessary for a lawyer to be convicted for an
offense before a lawyer can be disciplined for gross
immorality. [Agpalo]
Some acts which adversely reflect on a lawyer’s fitness:
(1) Having adulterous relationships or keeping mistresses.
That "men by nature are polygamous" is not an excuse.
Saying that what happened was "nothing but mutual
lust and desire" shows reprehensible, amoral attitude
of the lawyer [Zaguirre v. Castillo (2003)]
(2) Siring a child with a woman other than legal wife (Id)
(3) Conviction of a crime involving moral turpitude
(4) Commission of fraud or falsehood
COURTESY, FAIRNESS AND CANDOR TOWARDS PROFESSIONAL
COLLEAGUES
Statutory Basis
Canon 8. A lawyer shall not, in his professional dealings,
use language which is abusive offensive or otherwise
improper.
DOs:
(1) Restrain client from improprieties and to terminate
relation with him/her should the latter persist.
(2) Honor the just claim of a layman against another
lawyer
DON'Ts:
(1) Take advantage of the excusable unpreparedness or
absence of counsel during the trial of a case
(2) Make use, to his or to his client’s benefit, the secrets of
the adverse party acquired thru design or inadvertence
(3) Criticize or impute ill motive the lawyer who accepts
what in his opinion is a weak case.
(4) Proceed to negotiate with the client/s of another
lawyer to waive all kinds of claim when the latter is still
handling the civil case [Camacho v. Pagulayan et al.
(2000)]
Rule 8.01. – A lawyer shall not in professional dealings use
language which is abusive offensive or otherwise improper.
A lawyer should treat the opposing counsel and his
brethren in the law profession with courtesy, dignity, and
civility. They may “do as adversaries do in law: strive
mightily but eat and drink as friends.” [Valencia v.
Cabanting (1991)]
Though a lawyer’s language may be forceful and emphatic,
it should always be dignified and respectful, befitting the
dignity of the legal profession. The use of intemperate
language and unkind ascriptions has no place in the
dignity of the judicial forum. [Barandon v. Ferrer (2003)]
Examples of Improper Language
(1) Behaving without due regard for the trial court and the
opposing counsel and threatening the court that he
would file a petition for certiorari [Bugaring v. Espanol
(2001)]
(2) Filing of a civil case against the opposing counsel
without justification but only to get a leverage in the
pending case [Reyes v Chiong (2003)]
PAGE 14
UP COLLEGE OF LAW LEGAL ETHICS
(3) Calling an adverse counsel as “bobo” or using the word
“ay que bobo” in reference to the manner of offering
evidence [Castillo v. Padilla (1984)]
The highest reward that can come to a lawyer: Esteem of
his/her brethren.
Rule 8.02. A lawyer shall not directly or indirectly, encroach
upon the professional employment of another lawyer;
however it is the right of any lawyer without fear or favor to
give proper advice and assistance to those seeking relief
against unfaithful or neglectful counsel.
DOs:
(1) Accept employment to handle a matter previously
handled by another lawyer,
(a) Provided the other lawyer has been given notice of
termination of service lest it amounts to an
improper encroachment upon the professional
employment of the original counsel [Laput v.
Remotigue (1962)]
(b) In the absence of a notice of termination from the
client, provided he has obtained the conformity of
the counsel whom he would substitute.
(c) In the absence of such conformity, a lawyer must at
least give sufficient notice to original counsel so
that original counsel has the opportunity to protect
his claim against the client.
(2) Give advice or assistance to any person who seeks relief
against an unfaithful or neglectful lawyer
nd
(3) Association as a colleague in a case: A 2 lawyer
st
should communicate with the 1 before making an
appearance as co-counsel.
st nd
(a) Should the 1 lawyer object, 2 lawyer should
st
decline association but if the 1 lawyer is relieved,
he may come into the case.
(b) Ask client to relieve him should it be impracticable
for him whose judgment has been overruled by his
co-counsel to cooperate effectively
DON'Ts:
(1) Steal the other lawyer’s client
(2) Induce client to retain him by promise of better service,
good result or reduced fees for his services.
(3) Disparage another lawyer, make comparisons or
publicize his talent as a means to further his law
practice.
(4) In the absence of the adverse party’s counsel, interview
the adverse party and question him as to the facts of
the case EVEN IF adverse party was willing to do so.
(5) Sanction the attempt of his client to settle a litigated
matter with the adverse party without the consent nor
knowledge of the latter’s counsel (cf. Canon 9).
NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF LAW
Statutory Basis
Canon 9. A lawyer shall not assist, directly or indirectly, in
the unauthorized practice of law.
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BAR OPERATIONS COMMISSION
Practice of Law
(1) Legal advice and instructions to clients to inform them
of their rights and obligations
(2) Preparation for clients of documents requiring
knowledge of legal principles not possessed by
ordinary laymen
(3) Appearance for clients before public tribunals,
whether, administrative, quasi-judicial or legislative
agency.
General Rule: Requisites to practice law
(1) Admission to the Bar
(a) Satisfactory Legal Education
(b) Passing the Bar Exams
(c) Taking the Lawyer's Oath
(d) Signing the Roll of Attorneys
(2) Be a lawyer in good and regular standing
(a) Remain a member of the IBP
(b) Regularly pay IBP dues, assessments and privilege
tax
(c) Faithfully observe rules and legal ethics
(d) Be continually subject to judicial disciplinary
control
It is the signing in the Roll of Attorneys that finally makes
one a full-fledged lawyer passing the bar is not the only
qualification to become an attorney-at-law. Two essential
requisites for becoming a lawyer still had to be performed,
namely: his lawyer’s oath to be administered by this Court
and his signature in the Roll of Attorneys. [Aguirre v. Rana
(2003)]
Exceptions: See section on Appearance of non-lawyers.
Examples of “Unauthorized Practice of Law”:
(a) Appearing as counsel even before taking lawyer’s oath
[Aguirre v. Rana (2003)].
(b) Using the title “Atty.” in his name even though he is a
Shari’a lawyer [Alawi v. Alauya (1997)]
A corporation cannot engage in the practice law directly or
indirectly. It may only hire in-house lawyers to attend to its
legal business. A corporation cannot employ a lawyer to
appear for others for its benefit. A corporation cannot
perform the conditions required membership to the Bar. In
addition, the confidential and trust relation between an
attorney and his client cannot arise if the attorney is
employed by a corporation.
Examples:
(1) Automobile club that solicits membership by
advertising that it offers free legal services of its legal
department to members
(2) Collection agency or credit exchange that exploits
lawyer's services.
(3) Bank using lawyer's name as director in advertising its
services in drawing wills and other legal documents.
Unauthorized practice of law applies to both non-lawyers
and lawyers prohibited from the private practice of law.
UP COLLEGE OF LAW LEGAL ETHICS
Lawyers in Government Service
Prohibited to engage, during their incumbency, in the
private practice of their profession.
Exceptions:
(1) Unless authorized by the constitution or law and
provided that such practice will not conflict or tend to
conflict with their official functions.
(2) Pro-bono appearances may be allowed by the Court in
special instances
Private Practice - succession of acts of the same nature of
habitually or customarily holding one’s self to the public as
a lawyer. [OCA v. Ladaga, 350 SCRA 326]
An attorney who is otherwise disqualified to practice law,
or has been disbarred or suspended from practice, can
validly prosecute or defend his own litigation, he having as
much right as that of a layman in that regard [Danforth v.
Egan (1920)]
Rule 9.01. A lawyer shall not delegate to any unqualified
person the performance of any task which by law may only
be performed by a member of the bar in good standing.
Rationale: The practice of law is limited only to individuals
who have the necessary educational qualifications and
good moral character. Moreover, an attorney-client
relationship is a strictly personal one.
Examples of tasks which may only be undertaken by a
lawyer:
(1) The computation and determination of the period
within which to appeal an adverse judgment [Eco v.
Rodriguez, 107 Phil. 612 (1960)]
(2) The examination of witnesses or the presentation of
evidence [Robinson v. Villafuerte (1911)]
A lawyer may delegate:
(1) The examination of case law
(2) Finding and interviewing witnesses
(3) Examining court records
(4) Delivering papers and similar matters
A lawyer, who is under suspension from practice of law is
not a member of the Bar in good standing. A lawyer whose
authority to practice has been withdrawn due to a change
in citizenship or allegiance to the country cannot appear
before the courts. [Guballa v. Caguioa, 78 SCRA 302]
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:
(1) 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
(2) Where a lawyer undertakes to complete unfinished
legal business of a deceased lawyer; or
(3) 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
PAGE 16
BAR OPERATIONS COMMISSION
agreement.
Rationale: Allowing non-lawyers to get attorney’s fees
would confuse the public as to whom they should consult.
It would leave the bar in a chaotic condition because non-
lawyers are also not subject to disciplinary action.
Rule 9.02(1) and Rule 9.02(2), does not apply to future
businesses of a law firm. The deceased lawyer’s estate of
his heirs cannot become partner of law firm
In Rule 9.02(3), retirement benefits represent additional
deferred wages or compensation for past services of
employees, not a division of legal fees
An agreement between a union lawyer and a layman
president of the union to divide equally the attorney’s fees
that may be awarded in a labor case violates the rule and
is illegal and immoral [Amalgamated Laborers Assn. v. CIR
(1968)]
A donation by a lawyer to a labor union of part of his
attorney’s fees taken from the proceeds of a judgment
secured by him for the labor union is improper because it
amounts to a rebate or commission [Halili v. CIR (1965)]
A contract between a lawyer and a layman granting the
latter a percentage of the fees collected from clients
secured by the layman and enjoining the lawyer not to deal
directly with said clients is null and void, and the lawyer
may be disciplined for unethical conduct [Tan Tek Beng v.
David (1983)]
Non-lawyers may appear before the NLRC or any labor
arbiter. Granted that they acted as legal representatives,
they are still not entitled to receive professional fees. The
statutory rule that an attorney shall be entitled to have and
recover from his client a reasonable compensation or
remuneration for the services they have rendered
presupposes the existence of an attorney-client
relationship. Such a relationship cannot, however, exist
when the client’s representative is a non-lawyer. [Five J
Taxi v. NLRC (1994)]
THE COURTS
CANDOR, FAIRNESS AND GOOD FAITH TOWARDS THE COURTS
Canon 10: A lawyer owes candor, fairness and good faith to
the court.
A lawyer is, first and foremost, an officer of the court.
Accordingly, should there be a conflict between his duty to
his client and that to the court, he should resolve the conflict
against the former and in favor of the latter, his primary
responsibility being to uphold the cause of justice. [Cobb
Perez v. Lantin, (1968)]
Candor in all his dealings is of the very essence of
honorable membership in the legal profession. [Cuaresma
v. Daquis, (1975)]
A lawyer’s conduct before the court should be
characterized by candor and fairness. The administration
of justice would gravely suffer if lawyers do not act with
UP COLLEGE OF LAW
complete candor and honesty before the courts. [Serena v.
Sandiganbayan (2008)]
A lawyer must be a disciple of truth. While a lawyer has the
solemn duty to defend his client’s cause, his conduct must
never be at the expense of truth [Young v Batuegas,
(2003)]
Rule 10.01. A lawyer shall not do any falsehood, nor
consent to the doing of any in Court; nor shall he mislead,
or allow the court to be misled by any artifice.
A lawyer should not conceal the truth from the court, nor
mislead the court in any manner no matter how
demanding his duties to clients may be. His duties to his
client should yield to his duty to deal candidly with the
court. For no client is entitled to receive from the lawyer any
service involving dishonesty to the courts (Comments of IBP
Committee that drafted the Code, p. 53)
Rule 10.02. A lawyer shall not knowingly misquote or
misrepresent the contents of a paper, the language or the
argument of opposing counsel, or the text of a decision or
authority, or knowingly cite as law a provision already
rendered inoperative by repeal or amendment, or assert as
a fact that which has not been proved.
Revised Penal Code, Art. 84. Any person who shall
knowingly offer in evidence a false witness or testimony in
any judicial or official proceeding shall be punished as
guilty of false testimony and shall suffer the respective
penalties provided in this section.
A lawyer who deliberately made it appear that the
quotations in his motion for reconsiderations were findings
of the Supreme Court, when they were just part of the
memorandum of the Court Administrator, and who
misspelled the name of the complainant and made the
wrong citation of authority is guilty of violation of Rule
10.02 of the Code. [COMELEC v. Noynay, (1998)]
It is the bounden duty of courts, judges and lawyers to
reproduce or copy the same word-for-word and
punctuation mark-for-punctuation mark… Only from this
Tribunal’s decisions and rulings do all other courts, as well
as lawyers and litigants, take their bearings…Ever present
is the danger that if not faithfully and exactly quoted, the
decisions and rulings of this Court may lose their proper
and correct meaning, to the detriment of other courts,
lawyers and the public who may thereby be misled. [Insular
Life Employees Co. v. Insular Life Association, (1971)]
The legal profession demands that lawyers thoroughly go
over pleadings, motions and other documents dictated or
prepared by them, typed or transcribed by their secretaries
or clerks, before filing them with the court. If a client is
bound by the acts of his counsel, with more reason should
counsel be bound by the acts of his secretary who merely
follows his orders. [Adez Realty, Inc. v. CA, 215 SCRA 301
(1992)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rule 10.03. A lawyer shall observe the rules of procedure
and shall not misuse them to defeat the ends of justice.
Related Statutory Basis
Rule 138, Sec. 20(d) Duties of attorneys. It is the duty of an
attorney:
(d) to employ, for the purpose of maintaining the causes
confided to him, such means only as are consistent with
truth and honor, and never seek to mislead the judge or
any judicial officer by an artifice or false statement of fact
of law.
Filing multiple actions constitutes an abuse of the Court’s
processes. Those who file multiple or repetitive actions
subject themselves to disciplinary action for incompetence
or willful violation of their duties as attorneys to act with
good fidelity to the courts, and to maintain only such
actions that appear to be just and consistent with truth
and honor. [Olivares v. Villalon (2007)]
A lawyer should not abuse his right of recourse to the
courts for the purpose of arguing a cause that had been
repeatedly rebuffed. [Garcia v. Francisco, (1993)]
RESPECT FOR COURTS AND JUDICIAL OFFICERS
Statutory Basis
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.
Related Statutory Basis
Rule 138, Sec. 20(b) Duties of attorneys. It is the duty of an
attorney:
(b) to observe and maintain the respect due to the courts
of justice and judicial officers
The Supreme Court of the Philippines is, under the
Constitution, the last bulwark to which the Filipino people
may resort to obtain relief for their grievances or protection
of their rights. If the people lose their confidence in the
honesty and integrity of the members of the Court and
believe that they cannot expect justice therefrom, they
might be driven to take the law into their own hands, and
disorder and perhaps chaos might be the result. Lawyers
are duty bound to uphold the dignity and authority of the
Court to promote the administration of justice. Moreover,
respect to the courts guarantees the stability of other
institutions. [In re Sotto (1949)]
If a pleading containing derogatory, offensive and
malicious statements is submitted in the same court or
judge in which the proceedings are pending, it is direct
contempt, equivalent as it is to a misbehavior committed in
the presence of or so near a court or judge as to interrupt
the administration of justice. Direct contempt is
punishable summarily. [In re letter dated 21 February 2005
of Atty. Noel S. Sorreda, (2006)]
Liberally imputing sinister and devious motives and
questioning the impartiality, integrity, and authority of the
members of the Court result in the obstruction and
PAGE 17
UP COLLEGE OF LAW
perversion of the dispensation of justice. [Estrada v.
Sandiganbayan (2000)]
Observing respect due to the courts means that a lawyer
should:
(1) Conduct himself toward judges with courtesy everyone
is entitled to expect [Paragas v Cruz (1965)]
(2) With the propriety and dignity required by the courts.
[Salcedo v Hernandez (1935)]
Rule 11.01. A lawyer shall appear in court properly attired.
Respect begins with the lawyer’s outward physical
appearance in court. Sloppy or informal attire adversely
reflects on the lawyer and demeans the dignity and
solemnity of court proceedings. (Agpalo)
Traditional attires
(1) Males: Long-sleeve Barong Tagalog or coat and tie
(2) Females: Semi-formal attires.
(3) Judges also appear in the same attire in addition to
black robes.
Courts have ordered a male attorney to wear a necktie and
have prohibited a female attorney from wearing a hat.
However, the permission of a dress with a hemline five
inches above the knee was held to be acceptable as such
“had become an accepted mode of dress even in places of
worship” [Aguirre]
A lawyer who dresses improperly may be cited with
contempt. [Agpalo]
Rule 11.02. A lawyer shall punctually appear at court
hearings.
Inexcusable absence from, or repeated tardiness in,
attending a pre-trial or hearing may subject the lawyer to
disciplinary action as his actions show disrespect to the
court and are therefore considered contemptuous
behavior. [Agpalo]
Non-appearance at hearings on the ground that the issue
to be heard has become moot and academic [prisoner has
been released in a petition for habeas corpus] is a lapse in
judicial propriety. [De Gracia v. Warden of Makati (1976)]
Rule 11.03. A lawyer shall abstain from scandalous,
offensive or menacing language or behavior before the
Courts.
A lawyer’s language should be forceful but dignified,
emphatic but respectful as befitting an advocate and in
keeping with the dignity of the legal profession. [Surigao
Mineral Reservation Board v. Cloribel, (1970)]
Lawyers may use strong language to drive home a point;
they have a right to be in pursuing a client’s cause. [The
British Co. v De Los Angeles (1975)]
BUT: The use of abusive language by counsel against the
opposing counsel constitutes at the same time a
LEGAL ETHICS BAR OPERATIONS COMMISSION
disrespect to the dignity of the court justice. Moreover, the
use of impassioned language in pleadings, more often than
not, creates more heat than light. [Buenaseda v. Flavier
(1993)]
They cannot resort to scurrilous remarks that have the
tendency to degrade the courts and destroy the public
confidence in them. [In re Almacen (1970)]
The Court does not close itself to comments and criticisms
so long as they are fair and dignified. Going beyond the
limits of fair comments by using insulting, disparaging
and, intemperate language necessitates and warrants a
rebuke from the Court. While it is expected of lawyers to
advocate their client’s cause, they are not at liberty to
resort to arrogance, intimidation and innuendo.
[Sangalang v. IAC (1988)]
Rule 11.04. A lawyer shall not attribute to a Judge motives
not supported by the record or have no materiality to the
case.
The rule allows such criticism so long as it is supported by
the record or it is material to the case. A lawyer’s right to
criticize the acts of courts and judges in a proper and
respectful way and through legitimate channels is well
recognized. [Agpalo]
The cardinal condition of all such criticism is that it shall be
bona fide, and shall not spill over the wall of decency and
propriety. (Zaldivar v. Gonzales (1989)]
Any serious accusation against a judicial officer that is
utterly baseless, unsubstantiated and unjustified shall not
be countenanced. [Go v. Abrogar, 485 SCRA 457]
Rule 11.05. A lawyer shall submit grievances against a
Judge to the proper authorities only.
Related Statutory Basis
1987 Constitution, Art. VIII, Sec. 6. The Supreme Court shall
have administrative supervision over all courts and the
personnel thereof.
The duty to respect does not preclude a lawyer from filing
administrative complaints against erring judges, or from
acting as counsel for clients who have legitimate
grievances against them.
The lawyer shall not file an administrative case until he has
exhausted judicial remedies which result in a finding that
the judge has gravely erred. [Agpalo]
Where a criminal complaint against a judge or other court
employees arises from their administrative duties, the
Ombudsman must defer action on said complaint and
refer the same to the SC for determination whether said
judges or court employees acted within the scope of their
administrative duties. Otherwise, in the absence of any
administrative action, the investigation being conducted by
the Ombudsman encroaches into the Court’s power of
administrative supervision over all courts and its personnel,
PAGE 18
UP COLLEGE OF LAW
in violation of the doctrine of separation of powers. [Maceda
v. Vasquez (1993)]
On Lawyers’ Freedom of Speech
The constitutional right to freedom of expression of
members of the Bar may be circumscribed by their ethical
duties as lawyers to give due respect to the courts and to
uphold the public’s faith in the legal profession and the
justice system. [Re: Letter of UP Faculty (2011)]
ASSISTANCE IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF
JUSTICE
Statutory Basis
Canon 12: A lawyer shall exert every effort and consider it
his duty to assist in the speedy and efficient administration
of justice.
Related Statutory Bases
1987 Constitution, Art. III, Sec 6. All persons shall have the
right to a speedy disposition of their cases before all
judicial, quasi-judicial, or administrative bodies.
Rules of Court, Rule 138, Sec 20(g). Duties of attorneys. – It
is the duty of an attorney…
g) not to encourage either the commencement or the
continuance of an action or proceeding or delay any man’s
cause from any corrupt motive or interest.
The filing of another action containing the same subject
matter, in violation of the doctrine of res judicata, runs
contrary to this Canon. [Siy Lim v. Montano (2006)]
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
preference. He should also be ready with the original
documents for comparison with the copies.
Without adequate preparation, the lawyer may not be able
to effectively assist the court in the efficient administration
of justice. Non-observance of this rule might result in:
(a) The postponement of the pre-trial or hearing, which
would thus entail delay in the early disposition of the
case
(b) The judge may consider the client non-suited or in
default
(c) The judge may consider the case deemed submitted
for decision without client’s evidence, to his prejudice.
[Agpalo]
Half of the work of the lawyer is done in the office. It is
spent in the study and research. Inadequate preparation
obstructs the administration of justice. [Martin’s Legal
Ethics, p. 47, 1988 ed.]
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint himself
with all the antecedent processes and proceedings that
have transpired in the record prior to his takeover. [Villasis
v. CA (1974)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rule 12.02. A lawyer shall not file multiple actions arising
from the same cause.
Rationale
There is an affirmative duty of a lawyer to check against
useless litigations. His signature in every pleading
constitutes a certificate by him that to the best of his
knowledge there is a good ground to support it and that it is
not to interpose for delay. The willful violation of this rule
may subject him to (1) appropriate disciplinary action or (2)
render him liable for the costs of litigation. (Agpalo)
Excessive delay causes:
(1) Hardships
(2) May force parties into unfair settlement
(3) Nurture a sense of injustice and breed cynicism about
the administration of justice
Forum Shopping
(1) Going from one court to another in the hope of
securing a favorable relief in one court, which another
court has denied
(2) Filing repetitious suits or proceeding in different courts
concerning the same subject matter after one court has
decided the suit with finality.
(3) Filing a similar case in a judicial court after receiving an
unfavorable judgment from an administrative tribunal.
There is forum shopping where there are identity of parties
or interests represented, rights asserted and relief sought
in different tribunals. [Agpalo]
Forum shopping exists where the elements of litis
pendentia are present or where a final judgment in one
case will amount to res judicata in the other. Res judicata
requires that there be a decision on the merits; by a court
of competent jurisdiction; the decision is final; and the two
actions involved identical parties, subject matter and
causes of action. If one of these elements is absent, there
is no forum shopping. [Alejandrino v CA (1998)]
Forum shopping is prohibited by Supreme Court Circular
No. 28-91, which is now integrated in the Rules of Civil
Procedure.
The plaintiff or principal party shall certify under oath in
the complaining or other initiatory pleading asserting a
claim for relief, or in a sworn certification annexed thereto
and simultaneously filed therewith that:
(1) he has not theretofore commenced any action or filed
any claim involving the same issues in any court,
tribunal or quasi-judicial agency and, to the best of his
knowledge, no such other action or claim is pending
therein; if there is such other pending action or claim, a
complete statement of the present status thereof; and
(2) if he should thereafter learn that the same or similar
action or claim has been filed or is pending, he shall
report that fact within five (5) days there from to the
court wherein his aforesaid complaint or initiatory
pleading has been filed.
Failure to comply with the foregoing requirements shall
not be curable by me
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UP COLLEGE OF LAW LEGAL ETHICS
re amendment of the complaint or other initiatory pleading
but shall cause for the dismissal of the case without
prejudice, unless otherwise provided, upon motion after
hearing. [Rules of Court, Rule 7, Sec. 5]
The submission of a false certification or non-compliance
with any of the undertakings in a certification of no forum
shopping -
(1) Shall constitute indirect contempt of court
(2) Without prejudice to the corresponding administrative
and criminal actions
If the acts of the party or his counsel clearly constitute
willful and deliberate forum shopping, the same shall be:
(1) Ground for summary dismissal with prejudice;
(2) And shall constitute direct contempt;
(3) Cause for administrative sanctions
The rule against forum shopping and the requirement that
a certification to that effect be complied with in the filing of
complaints, petitions or other initiatory pleadings in all
courts and agencies applies to quasi-judicial bodies such
as the NLRC or Labor Arbiter. [Agpalo]
Rule 12.03. A lawyer shall not, after obtaining extensions of
time to file pleadings, memoranda or briefs, let the period
lapse without submitting the same or offering an
explanation for his failure to do so.
The court censures the practice of counsels who secures
repeated extensions of time to file their pleadings and
thereafter simply let the period lapse without submitting
the pleading on even an explanation or manifestation of
their failure to do so. There exists a breach of duty not only
to the court but also to the client. [Achacoso v. Court of
Appeals, (1973)]
An attorney is bound to protect his client's interest to the
best of his ability and with utmost diligence. A failure to
file brief for his client certainly constitutes inexcusable
negligence on his part. [Ford v. Daitol (1995)]
Rule 12.04. A lawyer shall not unduly delay a case, impede
the execution of a judgment or misuse Court processes.
It is one thing to exert to the utmost one’s ability to protect
the interest of one’s client. It is quite another thing to delay
if not defeat the recovery of what is justly due and
demandable due to the misleading acts of a lawyer.
[Manila Pest Control v. WCC (1968)]
Once a judgment becomes final and executory, the
prevailing party should not be denied the fruits of his
victory by some subterfuge devised by the losing part.
Unjustified delay in the enforcement of a judgment sets at
naught the role of courts in disposing justiciable
controversies with finality. [Aguilar v. Manila Banking
Corporation (2006)]
It is part of the lawyer’s duty to inform the court, within
thirty days of the death of his client in a pending case.
PAGE 20
BAR OPERATIONS COMMISSION
Proper Behavior [Rule 12.05-12.07]
Rule 12.05. A lawyer shall refrain from talking to his
witness during a break or recess in the trial, while the
witness is still under examination.
Rationale
The purpose is to prevent the suspicion that he is coaching
the witness what to say during the resumption of the
examination; to uphold and maintain fair play with the
other party and to prevent the examining lawyer from
being tempted to coach his own witness to suit his
purpose. [Callanta]
Rule 12.06. A lawyer shall not knowingly assist a witness to
misrepresent himself or to impersonate another.
Criminal Liability
Revised Penal Code, Art. 184. The lawyer who presented a
witness knowing him to be a false witness is criminally
liable for “Offering False Testimony In Evidence”. The
lawyer is both criminally and administratively liable.
Subornation of Perjury
Subornation of perjury is committed by a person who
knowingly and willfully procures another to swear falsely
and the witness suborned does testify under circumstances
rendering him guilty of perjury. [US v. Ballena (1911)]
Rule 12.07. A lawyer shall not abuse, browbeat or harass a
witness nor needlessly inconvenience him.
Related Statutory Basis
Rules of Court, Rule 132, Sec. 3. Rights and obligations of a
witness. A witness must answer questions, although his
answer may tend to establish a claim against him.
However, it is the right of a witness:
(a) To be protected from irrelevant, improper, or insulting
questions, and from harsh or insulting demeanor;
(b) Not to be detained longer than the interests of justice
require;
(c) Not to be examined except only as to matters pertinent
to the issue;
(d) Not to give an answer which will tend to subject him to
a penalty for an offense unless otherwise provided by
law; or
(e) Not to give an answer which will tend to degrade his
reputation, unless it be to the very fact at issue or to a
fact from which the fact in issue would be presumed.
But a witness must answer to the fact of his previous
conviction for an offense.
PD1829-Penalizing Obstruction of Justice
(h) threatening directly or indirectly another with the
infliction of any wrong upon his person, honor or property
or that of any immediate member or members of his family
in order to prevent such person from appearing in the
investigation of, or official proceedings in, criminal cases,
or imposing a condition, whether lawful or unlawful, in
order to prevent a person from appearing in the
UP COLLEGE OF LAW
investigation of or in official proceedings in, criminal cases;
(i) giving of false or fabricated information to mislead or
prevent the law enforcement agencies from apprehending
the offender or from protecting the life or property of the
victim; or fabricating information from the data gathered in
confidence by investigating authorities for purposes of
background information and not for publication and
publishing or disseminating the same to mislead the
investigator or to the court.
Rule 12.08 - A lawyer shall avoid testifying in behalf of his
client, except:
(a) on formal matters, such as the mailing, authentication
or custody of an instrument, and the like; or
(b) on substantial matters, in cases where his testimony is
essential to the ends of justice, in which event he must,
during his testimony, entrust the trial of the case to
another counsel.
Rule 12.08 - A lawyer shall avoid testifying in behalf of his
client except:
(a) on formal matters such as the mailing authentication or
custody of an instrument and the like; or
(b) on substantial matters in cases where his testimony is
essential to the ends of justice in which event he must
during his testimony entrust the trial of the case to
another counsel.
Rationale
The underlying reason for the impropriety of a lawyer
acting in such dual capacity lies in the difference between
the function of a witness and that of an advocate.
(1) function of a witness - to tell the facts as he recalls then
in answer to questions
(2) function of an advocate - is that of a partisan
It is difficult to distinguish between the zeal of an advocate
and the fairness and impartiality of a disinterested witness.
The lawyer will find it hard to disassociate his relation to
his client as an attorney and his relation to the party as a
witness. [Agpalo]
When a lawyer is a witness for his client, except as to
merely formal matters, such as the attestation or custody
of an instrument and the like, he should leave the trial of
the case to other counsel. Except when essential to the
ends of justice, a lawyer should avoid testifying in court in
behalf of his client. [PNB v. Uy Teng Piao (1932)]
RELIANCE ON MERITS OF HIS CAUSE,
NOT FROM IMPROPER INFLUENCE UPON THE COURTS
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.
Rule 13.01. A lawyer shall not extend extraordinary
attention or hospitality to, nor seek opportunity for
cultivating familiarity with Judges.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Code of Professional Ethics, Canon 3. A lawyer should avoid
marked attention and unusual hospitality to a judge
uncalled for by the personal relations of the parties
because they subject him and the judge to misconceptions
of motives.
In order not to subject both the judge and the lawyer to
suspicion, the common practice of some lawyers of making
judges and prosecutors godfathers of their children to
enhance their influence and their law practice should be
avoided by judges and lawyers alike [Report of IBP
Committee, p. 70.]
It is improper for a litigant or counsel to see a judge in
chambers and talk to him about a matter related to the
case pending in the court of said judge. [Austria v.
Masaquel (1967)]
Rule 13.02. A lawyer shall not make public statements in
the media regarding a pending case tending to arouse
public opinion for or against a party.
Rationale
Newspaper publications regarding a pending or
anticipated litigation may interfere with a fair trial,
prejudice the administration of justice, or subject a
respondent or a accused to a trial by publicity and create a
public inference of guilt against him [Agpalo]
When public statements are contemptuous: The character
of the act done and its direct tendency to prevent and
obstruct the discharge of official duty.
Statements after litigation
A lawyer enjoys wider latitude to comment or criticize the
actions of the judge than pending litigation. [In re: Lozano,
(1930)]
RE: Request Radio-TV Coverage
Trial should not to be televised. The right of accused, who
is in danger of losing his life and liberty, to a fair trial,
outweighs right of public to information. Media exposure
may unduly interfere with the disposition of the trial.
Rule 13.03. A lawyer shall not brook or invite interference
by another branch or agency of the government in the
normal course of judicial proceedings.
Basis
The principle of separation of powers (Aguirre)
A lawyer should know that a "complaint" against the
justices of the Court's Second Division cannot be filed with
the Office of the President [Maglasang v. People (1990)]
Related rule
Rule 11.05. A lawyer shall submit grievances against a
Judge to the proper authorities only.
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THE CLIENTS
NATURE OF ATTORNEY-CLIENT RELATIONSHIP
(1) Strictly Personal
(2) Highly confidential
(3) Fiduciary
FORMS OF EMPLOYMENT OF THE COUNSEL
(1) Oral
(2) Written
(3) Implied
A written contract between the counsel and the client is the
best evidence to show the presence of an attorney-client
relationship. However, it is not essential for the
employment of an attorney.
AVAILABILITY OF SERVICE WITHOUT DISCRIMINATION
Services regardless of Person’s Status
Canon 14. A lawyer shall not refuse his services to the
needy.
Rule 14.01. A lawyer shall not decline to represent a person
solely on account of the latter’s race, sex, creed or status of
life, or because of his own opinion regarding the guilt of
said person.
Rationale: It is a declared policy of the State to value the
dignity of every human person and guarantee the rights of
every individual, particularly those who cannot afford the
services of counsel.(RA 9999, Free Legal Assistance Act of
2010)
Incentives for Giving Free Legal Services
A lawyer or professional partnerships rendering actual free
legal services shall be entitled to an allowable deduction
from the gross income, the amount that could have been
collected for the actual free legal services rendered or up
to 10% of the gross income derived from the actual
performance of legal profession, whichever is lower. The
free legal aid contemplated here is different from the 60-
hr mandatory legal aid services under BM 2012.(RA 9999,
Free Legal Assistance Act of 2010)
Related Rules
Rules of Court, Rule 138, Sec. 20 (i). Duties of attorneys. In
the defense of a person accused of a crime by all fair and
honorable means regardless of his personal opinion as to
the guilt of the accused to present every defense that the
law permits to the end that no person may be deprived of
life or liberty but by due process of law.
Rule 14.02. A lawyer shall not decline, except for serious
and sufficient cause, an appointment as counsel de officio
or as amici curiae, or a request from the Integrated Bar of
the Philippines or any of its chapters for rendition of free
legal aid.
Canon 2, Rule 2.01. A lawyer shall not reject except for valid
reasons the cause of the defenseless or the oppressed.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rules of Court, Rule 138, Sec. 20 (h). Duties of attorneys. It
is the duty of an attorney…never to reject for any
consideration personal to himself the cause of the
defenseless or oppressed;
Rules of Court, Rule 138, Sec. 31. Attorneys for destitute
litigants. A court may assign an attorney to render
professional aid free of charge to any party in a case if
upon investigation it appears that the party is destitute
and unable to employ an attorney and that the services of
counsel are necessary to secure the ends of justice and to
protect the rights of the party. It shall be the duty of the
attorney so assigned to render the required service unless
he is excused therefrom by the court for sufficient cause
shown.
Services as Counsel de Officio
It is clearly unworthy of membership in the Bar which
requires dedication and zeal in the defense of his client's
rights, a duty even more exacting when one is counsel de
officio. On such an occasion, the honor and respect to
which the legal profession is entitled demand the strictest
accountability of one called upon to defend an
impoverished litigant. He who falls in his obligation then
has manifested a diminished capacity to be enrolled in its
ranks. [People v. Ingco (1971)]
Counsel de Officio
A counsel, appointed or assigned by the court, from among
such members of the bar in good standing who by reason
of their experience and ability, may adequately defend the
accused.
A counsel de officio is expected to render effective service
and to exert his best efforts on behalf of an indigent
accused.
Who may be appointed
(1) a member of the bar in good standing
(2) in localities without lawyers, any person of good repute
for probity and ability
P.D. 543 (1974) authorized the designation of municipal
judges and lawyers in any branch of the government
service to act as counsel de officio for the accused who are
indigent in places where there are no available practicing
lawyers.
Appointed by court depending on:
(1) the gravity of the offense
(2) the difficulty of the questions that may arise
(3) the experience and ability of the appointee.
Amicus curiae
A “friend of the court;” a “bystander” usually a counselor
who interposes or volunteers information upon some
matter of law in regard to which the judge is doubtful or
mistaken. [Agpalo]
Experienced and impartial attorneys invited by the Court to
help in the disposition of issues submitted to it.
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In a criminal action, the court may appoint a counsel de
officio in any of the following instances:
(1) Before arraignment, the court shall inform the accused
of his right to counsel and ask him if he desires to have
one. The court must assign a counsel de officio to
defend him, unless the accused is allowed to defend
himself in person, or has employed counsel of his
choice.
(2) It is the duty of the clerk of the trial court, upon filing of
a notice of appeal, to ascertain from the appellant, if
confined in prison, whether he desires the RTC, CA or
the SC to appoint a counsel de officio.
(3) If it appears from the record that: (a) the accused is
confined in prison, (b) is without counsel de parte on
appeal, or (c) has signed the notice of appeal himself,
the clerk of CA shall designate a counsel de officio.
(Agpalo)
An appellant who is not confined in prison may, upon
request, be assigned a counsel de officio within 10 days
from receipt of the notice to file brief and he establishes his
right thereto. [Sec. 2, Rule 124, Rules of Court]
Rule 14.03 - A lawyer may refuse to accept representation
of an indigent client if:
(a) he is not in a position to carry out the work effectively or
competently
(b) he labors under a conflict of interests between him and
the prospective client or between a present client and
the prospective client.
Who is an indigent?
(a) a person who has no visible means of income or whose
income is insufficient for the subsistence of his family,
to be determined by the fiscal or judge, taking into
account the members of his family dependent upon
him for subsistence.
(b) an "indigent or low income litigant" shall include
anyone who has no visible means of support or whose
income does not exceed P300 per month or whose
income even in excess of P300 per month is insufficient
for the subsistence of his family [RA 6035]
RA 6033
All courts shall give preference to the hearing and/or
disposition of criminal cases where an indigent is involved
either as the offended party or accused.
RA 6034
Any indigent litigant may, upon motion, ask the Court for
adequate travel allowance to enable him and his indigent
witnesses to attendant the hearing of a criminal case
commenced by his complaint or filed against him. The
allowance shall cover actual transportation expenses by
the cheapest means from his place of residence to the
court and back. When the hearing of the case requires the
presence of the indigent litigant and/or his indigent
witnesses in court the whole day or for two or more
consecutive days, allowances may, in the discretion of the
Court, also cover reasonable expenses for meal and
lodging.
LEGAL ETHICS BAR OPERATIONS COMMISSION
RA 6035
A stenographer who has attended a hearing before an
investigating fiscal or trial judge or hearing commissioner
of any quasi-judicial body or administrative tribunal and
has officially taken notes of the proceeding thereof shall,
upon written request of an indigent or low income litigant,
his counsel or duly authorized representative in the case
concerned, give within a reasonable period to be
determined by the fiscal, judge, commissioner or tribunal
hearing the case, a free certified transcript of notes take by
him on the case.
For he did betray by his moves his lack of enthusiasm for
the task entrusted to him, to put matters mildly. He did
point though to his responsibility as an election registrar…
[but] there is not likely at present, and in the immediate
future, an exorbitant demand on his time. It may likewise be
assumed, considering what has been set forth above, that
petitioner would exert himself sufficiently to perform his
task as defense counsel with competence, if not with zeal,
if only to erase doubts as to his fitness to remain a member
of the profession in good standing. [Ledesma v. Climaco
(1974)]
Valid Grounds for Refusal
A lawyer shall not decline an appointment as counsel de
officio or as amicus curiae, or a request from the IBP or any
of its chapters for rendition of free legal aid except for
serious and sufficient cause. The reason is that one of the
burdens of the privilege to practice law which an attorney
voluntarily assumed when he took his oath as a lawyer is to
render, when so required by the court, free legal services to
indigent litigant.
Rule 14.04. A lawyer who accepts the cause of a person
unable to pay his professional fees shall observe the same
standard of conduct governing his relations with paying
clients.
If a lawyer volunteers his services to a client, and therefore
not entitled to attorney’s fees, nevertheless, he is bound to
attend to a client’s case with all due diligence and zeal. By
volunteering his services, he has established a client-lawyer
relationship. [Blanza v. Arcangel (1967)]
If the counsel does refuse (see above justifications), Rule 2.02
governs, which says:
Rule 2.02. In such cases, even if the lawyer does not accept
a case, he shall not refuse to render legal advice to the
person concerned if only to the extent necessary to
safeguard the latter's rights.
CANDOR, FAIRNESS AND LOYALTY TO CLIENTS
Statutory Basis
Canon 15. Observe Candor, Fairness and Loyalty in all his
Dealings and Transactions with his Clients.
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Confidentiality Rule
Privileged Communications
Rule 15.01. A lawyer, in conferring with a prospective client,
shall ascertain as soon as practicable whether the matter
would involve a conflict with another client or his own
interest, and if so, shall forthwith inform the prospective
client.
Rule 15.02. A lawyer shall be bound by the rule on
privileged communication in respect of matters disclosed
to him by a prospective client.
Related Statutory Basis
Revised Penal Code, Art. 209. Betrayal of trust by an
attorney or solicitor. - Revelation of Secrets. In addition to
the proper administrative action x x x shall be imposed
upon an attorney at law or solicitor (procurador judicial)
who, by any malicious breach of professional duty or of
inexcusable negligence or ignorance, shall prejudice his
client, or reveal any of the secrets of the latter learned by
him in his professional capacity.
Privileged Communication
An attorney cannot, without the consent of his client, be
examined as to any communication made by the client to
him or his advice given thereon in the course of
professional employment; nor can an attorney’s secretary,
stenographer, or clerk be examined, without the consent of
the client and his employer, concerning any fact the
knowledge of which has been acquired in such capacity.
Requisites of Privileged Communication
[Rule 130, Section 24 (b) of the RRC]:
(1) There is an attorney-client relationship or a kind of
consultancy requirement with a prospective client;
(2) The communication was made by the client to the
lawyer in the course of the lawyer’s professional
employment;
(3) The communication must be intended to be
confidential.
Exceptions to privilege [Aguirre]:
(1) When a lawyer is accused by the client and he needs to
reveal information to defend himself
(2) When the client discloses the intention to commit a
crime or unlawful act. (Future crime)
Doctrine of imputed knowledge is based on the assumption
that an attorney, who has notice of matter affecting his
client, has communicated the same to his principal in the
course of professional dealings. The doctrine applies
regardless of whether or not the lawyer actually
communicated to the client what he learned in his
professional capacity, the attorney and his client being one
judicial person.
For attorney-client privilege to apply, however, the period
to be considered is the date when the privileged
communication was made by the client to the attorney in
relation to either a crime committed in the past or with
respect to a crime intended to be committed in the future
(if past, privilege applies; if future, does not apply). In order
LEGAL ETHICS BAR OPERATIONS COMMISSION
that a communication between a lawyer and his client be
privileged, it must be for a lawful purpose or in the
furtherance of a lawful end. [People v. Sandiganbayan
(1996)]
Conflict of Interest
Rule 15.03. A lawyer shall not represent conflicting
interests except by written consent of all concerned given
after a full disclosure of the facts.
There is conflict of interest when a lawyer represents
inconsistent interests of two or more opposing parties. The
test is "whether or not in behalf of one client, it is the
lawyer’s duty to fight for an issue or claim, but it is his duty
to oppose it for the other client. In brief, if he argues for
one client, this argument will be opposed by him when he
argues for the other client." [Hornilla v. Salunat (2003)]
General Rule [1]: A lawyer may not represent two opposing
parties at any point in time.
A lawyer need not be the counsel-of-record of either party.
He does not have to publicly hold himself as the counsel of
the adverse party nor make efforts to advance the adverse
party’s conflicting interests of record. It is enough that the
counsel had a hand in the preparation of the pleading of one
party.
Exception: When the parties agree, and for amicable
settlement [Agpalo]
Conflict of interest
There is duty to contend for that which duty to another
client requires him to oppose.
Tests to determine conflict of interest
(1) When there are conflicting duties
(2) When the acceptance of the new relations invites or
actually lead to unfaithfulness or double-dealing to
another client
(3) When the attorney will be called upon to use against
his first client any knowledge acquired in the previous
employment
Note: The test to determine whether there is a conflict of
interest in the representation is probability, not certainty of
conflict
Effects of representing adverse interests
(1) Disqualification as counsel on new case
(2) If prejudicial to interests of latter client, a judgment
against may be set aside
(3) Administrative and criminal (for betrayal of trust)
liability
(4) Fees may not be paid
General Rule [2]: A lawyer must name the identity of all his
clients, when so demanded.
(1) The Court has a right to know that the client whose
privileged information is sought to be protected is flesh
and blood.
(2) The mantle of privileged communication begins to
exist only after the attorney-client relationship has
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been established. The privilege does not attach until

there is a client.
(3) The privilege pertains to the subject matter of the
relationship.
(4) Due process considerations require that the opposing
party should know his adversary. (Metaphor: He cannot
be obliged to grope in the dark against unknown
forces.)
Exception: He may refuse to divulge the name or identity of
his client
(1) Where a strong probability exists that revealing the
client’s name would implicate the client in the very
activity for which he sought the lawyer’s advice.
(2) Where disclosure would open the client to civil liability.
(3) Where the government’s lawyers have no case against
an attorney’s client unless by revealing the client’s
name, i.e., the said name would furnish the only link
that would form the chain of testimony necessary to
convict an individual of a crime.
Information relating to the identity of the client may fall
within the ambit of the privilege when the client’s name
itself has an independent significance, such that disclosure
would then reveal client confidences. [Regala v.
Sandiganbayan (1996)]
Rule 15.06. A lawyer shall not state or imply that he is able
to influence any public official tribunal or legislative body.
This rule protects against influence peddling. Some
prospective clients secure the services of a particular
lawyer or law firm precisely because he can exert a lot of
influence on a judge and some lawyers exact big fees for
such influence [Agpalo]
Compliance with Laws
Rule 15.07. A lawyer shall impress upon his client
compliance with the laws and the principles of fairness.
Related Statutory Basis
Civil Code, Art. 19. Every person must in the exercise of his
rights and in the performance of his duties act with justice
give everyone his due and observe honesty and good faith.
Concurrent Practice of another Profession
Rule 15.08. A lawyer who is engaged in another profession
or occupation concurrently with the practice of law shall
make clear to his client whether he is acting as a lawyer or
in another capacity.

Rule 15.04. A lawyer may, with the written consent of all General Rule: Exercise of dual profession is not prohibited
concerned, act as mediator, conciliator or arbitrator in but a lawyer must make it clear when he is acting as a
settling disputes. lawyer and when he is otherwise, especially in occupations
related to the practice of law.
Reason: certain ethical considerations may be operative in
An attorney’s knowledge of the law and his reputation for
one profession and not in the other. [Agpalo]
fidelity may make it easy for the disputants to settle their
differences amicably. However, he shall not act as counsel
A lawyer is not barred from dealing with his client but the
for any of them. [Agpalo]
business transaction must be characterized with utmost
honesty and good faith. Business transactions between an
Generally an attorney is prohibited from representing
attorney and his client are disfavored and discouraged by
parties with contending positions.
policy of law because by virtue of a lawyer’s office, he is an
easy position to take advantage of the credulity and
However at a certain stage of the controversy, before it
ignorance of his client. Thus, there is no presumption of
reaches the court, a lawyer may represent conflicting
innocence or improbability of wrongdoing in favor of lawyers.
interests with the consent of the parties. [Dee v. CA (1989)]
[Nakpil v. Valdez, 286 SCRA 758 (1998)]
Candid and Honest Advice to Clients
CLIENT’S MONEY AND PROPERTIES
Rule 15.05. A lawyer, when advising his client shall give a
Canon 16: A lawyer shall hold in trust all moneys and
candid and honest opinion on the merits and probable
properties of his client that may come into his possession.
results of the client’s case, neither overstating nor
understanding the prospects of the case.
Related Statutory Basis
Related Statutory Basis Civil Code, Art. 1491. “The following persons cannot acquire
or purchase even at public or judicial auction either in
Code of Professional Ethics, Canon 8. Before answering his
person or through the mediation of another:
client’s question a lawyer should endeavor to obtain full
(5) lawyers with respect to the property and rights which
knowledge of his client’s cause. It is only after he shall have
may be the object of any litigation in which they take part
studied the case that he should advise his client on the
by virtue of their profession.”
matter.
(a) Attorney-client relationship
A lawyer is bound to give candid and honest opinion on the
(b) Property or interest is in litigation
merit or lack of merit of client’s case, neither overstating
(c) Attorney takes part as counsel in the case
nor understating the prospect of the case. He should also
(d) Purchase, acquisition by attorney, by himself or
give an honest opinion as to the probable results of the
through another, during pendency of litigation
case, with the end in view of promoting respect for the law
and the legal processes. [Agpalo]

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Prohibition includes mortgage of property in litigation to
the lawyer. In this case, acquisition is merely postponed
until foreclosure but effect is the same. It also includes
assignment of property [Ordonio v. Eduarte (1992)]
The purchase by a lawyer of the property in litigation from
his client is categorically prohibited by Article 1491,
paragraph (5) of the Philippine Civil Code, and that
consequently, plaintiff's purchase of the property in
litigation from his client (assuming that his client could sell
the same since as already shown above, his client's claim
to the property was defeated and rejected) was void and
could produce no legal effect, by virtue of Article 1409,
paragraph (7) of our Civil Code which provides that
contracts “expressly prohibited or declared void by law' are
"inexistent and that “These contracts cannot be ratified.
Neither can the right to set up the defense of illegality be
waived.” x x x Article 1491 of our Civil Code (like Article 1459
of the Spanish Civil Code) prohibits in its six paragraphs
certain persons, by reason of the relation of trust or their
peculiar control over the property… [Rubias v. Batiller (1973)]
Article 1491 is not applicable:
(1) When attorney is not counsel in case involving the
same property at the time of acquisition.
(2) When purchaser is a corporation, even if the attorney
was an officer [Tuazon v. Tuazon, 88 Phil. 42]
(3) When sale took place after termination of litigation,
except if there was fraud or abuse of confidential
information or where lawyer exercised undue influence.
(4) Where property in question is stipulated as part of
attorney’s fees, provided that, the same is contingent
upon the favorable outcome of litigation and, provided
further, that the fee must be reasonable.
Fiduciary Relationship
Rule 16.01. A lawyer shall account for all money or property
collected or received for or from the client.
A lawyer, under his oath, pledges himself not to delay any
man for money or malice and is bound to conduct himself
with all good fidelity to his clients. He is obligated to report
promptly the money of his clients that has come into his
possession (otherwise a violation of Sec. 25, Rule 138 of
ROC). He should not commingle it without his client’s
consent. He should maintain a reputation for honesty and
fidelity to private trust. The fact that a lawyer has a lien for
fees on money in his hands would not relieve him from the
duty of promptly accounting for the funds received. [Daroy
v. Legaspi (1975)]
Money collected by a lawyer in pursuance of a judgment in
favor of his clients is held in trust and must be immediately
turned over to them. [Busiños v. Ricafort (1997)]
Co-Mingling of Funds
Rule 16.02. A lawyer shall keep the funds of each client
separate and apart from his own and those of others kept
by him.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Delivery of Funds
Rule 16.03 - A lawyer shall deliver the funds and property
to his client when due or upon demand. However,
(a) he shall have a lien over the funds and
(b) may apply so much thereof as may be necessary to
satisfy his lawful fees and disbursements,
(c) giving notice promptly thereafter to his client. He shall
also have a lien to the same extent on all judgments
and executions he has secured for his client as
provided for in the Rules of Court.
Related statutory basis
Rules of Court, Rule 138, Sec. 37. Attorney’s liens. An
attorney shall have a lien upon the funds documents and
papers of his client which have lawfully come into his
possession and may retain the same until his lawful fees
and disbursements have been paid and may apply such
funds to the satisfaction thereof.
Money collected by a lawyer in pursuance of a judgment in
favor of his clients is held in trust and must be immediately
turned over to them. [Businos v. Ricafort (1997)]
The failure of an attorney to return the client’s money upon
demand gives rise to the presumption that he has
misappropriated it for his own use to the prejudice of and
in violation of the trust reposed in him by the client.
Retaining lien. — A right merely to retain the funds,
documents and papers of his client which have lawfully
come into his possession and may retain the same until his
lawful fees and disbursements have been paid.
The requisites for validity of a retaining lien. –
(1) Attorney-client relationship
(2) Lawful possession by lawyer of the client’s funds,
documents and papers in his professional capacity
(3) Unsatisfied claim for attorney’s fees or disbursements
Charging lien. — An equitable right to have the fees and
lawful disbursements due a lawyer for his services, secured
to him out of a money judgment.
The requisites for validity of a charging lien. —
(1) Attorney-client relationship
(2) Attorney has rendered services
(3) Money judgment favorable to the client has been
secured in the action
(4) Attorney has a claim for attorney’s fees or advances
statement of his claim has been duly recorded in the
case with notice thereof served upon the client and
adverse party
Every lawyer has the responsibility to protect and advance
the interests of his client such that he must promptly
account for whatever money or property his client may
have entrusted to him. As a mere trustee of said money or
property, he must hold them separate from that of his own
and make sure that they are used for their intended
purpose. If not used, he must return the money or property
immediately to his client upon demand, otherwise the
lawyer shall be presumed to have misappropriated the
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same in violation of the trust reposed on him. A lawyer’s
conversion of funds entrusted to him is a gross violation of
professional ethics. [Arellano University, Inc. v. Mijares III
(2009)]
Borrowing or Lending
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.
The relation of attorney and client is highly fiduciary in
nature and is of a very delicate, exacting and confidential
character. A lawyer is duty-bound to observe candor,
fairness and loyalty in all his dealings and transactions
with his clients. The profession, therefore, demands of an
attorney an absolute abdication of every personal
advantage conflicting in any way, directly or indirectly, with
the interest of his client. [Barnachea v. Quicho (2003)]
FIDELITY TO CLIENT’S CAUSE
Statutory Basis
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.
When a lawyer takes a client’s cause, he thereby covenants
that he will exert all effort for its protection until its final
conclusion. The failure to exercise due diligence and the
abandonment of a client’s cause make such a lawyer
unworthy of the trust which the client has reposed on him.
[Cantilller v. Potenciano (1989)]
No lawyer is obliged to act either as adviser or advocate for
every person who may wish to become his client. He has
the right to decline employment, except as prescribed in
Canon 14 of the Code of Professional Responsibility. But
once he agrees to take up the cause of the client…No fear
or judicial disfavor or public unpopularity should restrain him
from the full discharge of his duty. [Santiago v. Fojas (1995)]
COMPETENCE AND DILIGENCE
Statutory Basis
Canon 18: Serve client with competence and diligence.
Adequate Protection
Rule 18.02. A lawyer shall not handle any legal matter
without adequate preparation.
Lawyer should safeguard his client’s rights and interests by
thorough study and preparation; mastering applicable law
and facts involved in a case, regardless of the nature of the
assignment; and keeping constantly abreast of the latest
jurisprudence and developments in all branches of the law.
[Agpalo]
A lawyer should give adequate attention, care and time to
his cases. This is the reason why a practicing lawyer should
accept only so many cases he can handle. Once he agrees to
LEGAL ETHICS BAR OPERATIONS COMMISSION
handle a case, he should undertake the task with
dedication and care. If he should do any less then he is not
true to his oath as a lawyer. [Legarda v. CA, (1991)]
Negligence
Rule 18.03. A lawyer shall not neglect a legal matter
entrusted to him, and his negligence in connection
therewith shall render him liable.
If by reason of the lawyer’s negligence, actual loss has been
caused to his client, the latter has a cause of action against
him for damages. However, for the lawyer to be held liable,
his failure to exercise reasonable care, skill and diligence
must be proximate cause of the loss. [Callanta]
Every case a lawyer accepts deserves his full attention,
diligence, skill and competence, regardless of its
importance or whether he accepts for a fee or free. By
agreeing to be someone’s counsel, he represents that he
will exercise ordinary diligence or that reasonable degree
of care and skill demanded of the business he undertakes
to do, to protect the client’s interests and take all steps or
do all acts necessary thereof [Uy v Tansinin, AC No. 8252
(2009)].
A client is entitled to the benefit of any and every remedy
and defense authorized by law, and is expected to rely on
the lawyer to assert every such remedy or defense [Garcia
V. Bala (2005)].
Lawyers’ Negligence
General Rule: Client is bound by attorney’s conduct,
negligence and mistake in handling case or in
management of litigation and in procedural technique,
and he cannot be heard to complain that result might have
been different had his lawyer proceeded differently.
Exceptions:
(1) Where it results in outright deprivation of client’s liberty
or property or where interest of justice so requires
(2) Where error by counsel is purely technical which does
not affect substantially client’s cause
(3) Ignorance, incompetence or inexperience of lawyer is so
great and error so serious that client, who has good
cause is prejudiced and denied a day in court
(4) Gross negligence of lawyer
(5) Lack of acquaintance with technical part of procedure.
Some examples of negligence of attorneys. —
(1) Failure of counsel to ask for additional time to answer a
complaint resulting in a default judgment against his
client [Mapua v. Mendoza (1993)].
(2) Failure to bring suit immediately. When the belated
suit was filed, the defendant had already become
insolvent and recovery could no longer be had. The
lawyer was declared liable to the client [Filinvest Land
v. (1990)]
(3) Failure to ascertain date of receipt from post office of
notice of decision resulting in the non-perfection of the
appellant’s appeal [Joven-De Jesus v. PNB (1964)].
(4) Failure to file briefs within the reglementary period
[People v. Cawili (1970)]. Failure to attend to trial
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without filing a motion for postponement or without
requesting either of his two partners in the law office to
take his place and appear for the defendants [Gaerlan
v. Bernal (Jan. 28, 1952)]. Failure to appear at pre-trial
[Agravante v. Patriarca (1990)].
(5) Failure of counsel to notify clients of the scheduled trial
which prevented the latter to look to another lawyer to
represent them while counsel was in the hospital
[Ventura v. Santos (1993)].
(6) Failure to appear simply because the client did not go
to counsel’s office on the date of the trial as was
agreed upon [Alcoriza v. Lumakang, Adm. Case No.
249, (1978)].
(7) Failure to pay the appellate docket fee after receiving
the amount for the purpose [Capulong v. Alino (1968)].
Instances where the client is not bound by counsel’s
negligence
(1) In the case of an irresponsible lawyer who totally forgot
about the case and failed to inform his client of the
decision, the Supreme Court held that the client should
not be bound by the negligence of the counsel.
[Republic v. Arro (1987)]
(2) A party is not bound by the actions of his counsel in
case the gross negligence of the counsel resulted in the
client’s deprivation of his property without due process
[Legarda v. CA (1991)].
(3) “Where there is something fishy and suspicious about
the actuations of the former counsel of petitioners in
the case at bar, in the case he did not give any
significance at all to the processes of the court, which
has proven prejudicial to the rights of said clients,
under a lame and flimsy explanation that the courts
processes just escaped his attention, it is held that the
said lawyer deprived his clients of their day in court
[PHHC v. Tiongco (1964)].
(4) Application of the rule, “results in the outright
deprivation of one’s property through a technicality.”
[Escudero v. Dulay (1988)]
(5) In the case of an irresponsible lawyer who totally forgot
about the case and failed to inform his client of the
decision, the Supreme Court held that the client should
not be bound by the negligence of the counsel.
[Republic vs. Arro, et al.,(1987)]
Collaborating Counsel
Rule 18.01. A lawyer shall not undertake a legal service
which he knows or should know that he is not qualified to
render. However he may render such service if, with the
consent of his client, he can obtain as collaborating
counsel a lawyer who is competent on the matter.
When a lawyer accepts a case, whether for a fee or not, his
acceptance is an implied representation:
(1) That he possess the requisite degree of academic
learning, skill and ability in the practice of his
profession;
(2) That he will exert his best judgment in the prosecution
or defense of the litigation entrusted to him;
(3) That he will exercise reasonable and ordinary care and
diligence in the pursuit or defense of the case; and
(4) That he will take steps as will adequately safeguard his
client’s interests. [Islas v. Platon, 47 Phil. 162]
LEGAL ETHICS BAR OPERATIONS COMMISSION
However, whatever good intentions he may have, a lawyer
cannot ask another lawyer to collaborate with him in a
particular case without the consent of the client. The
fiduciary nature of attorney-client relationship prohibits
this. [Aguirre]
Some cases involve specialized fields of law and require
special training. A lawyer should not accept an undertaking
in specific area of law which he knows or should know he is
not qualified to enter. [Agpalo]
Duty to Apprise Client
Rule 18.04. A lawyer shall keep the client informed of the
status of his case and shall respond within a reasonable
period of time to the client’s request for information.
It was unnecessary to have complainants wait, and hope,
for six long years on their pension claims. Upon their
refusal to co-operate, respondent should have forthwith
terminated their professional relationship instead of keeping
them hanging indefinitely. [Blanza v. Arcangel (1967)]
REPRESENTATION WITH ZEAL WITHIN LEGAL BOUNDS
Canon 19: A lawyer shall represent his client with zeal
within the bounds of law.
In the discharge of his duty of entire devotion to the client’s
cause, a lawyer should present every remedy or defense
authorized by law in support of his client’s cause
regardless of his personal views. [Legarda v. CA (1991)]
Use of Fair and Honest Means
Rule 19.01. A lawyer shall employ only fair and honest
means to attain the lawful objectives of his client and shall
not present, participate in presenting or threaten to
present unfounded criminal charges to obtain an improper
advantage
Rules of Court, Rule 138, Sec. 20(d). Duties of attorneys. It is
the duty of an attorney: to employ for the purpose of
maintaining the causes confided to him such means only
as are consistent with truth and honor and never seek to
mislead the judge or any judicial officer by an artifice or
false statement of fact or law.
Under this Rule, a lawyer should not file or threaten to file
any unfounded or baseless criminal case or cases against
the adversaries of his client designed to secure a leverage
to compel adversaries to yield or withdraw their own cases
against the lawyer’s client. [Pena v Aparicio (2007)]
Client’s Fraud
Rule 19.02. A lawyer who has received information that his
client has, in the course of the representation, perpetuated
a fraud upon a person or tribunal, shall promptly call upon
the client to rectify the same, and failing which he shall
terminate the relationship with such client in accordance
with the Rules of Court.
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Related Rule
Canon 21. A lawyer should not allow his client to
perpetuate fraud. However, the lawyer shall not volunteer
the information about the client’s commission of the fraud
to anyone for that will run counter to his duty to maintain
at all times the client’s confidences and secrets.
This rule merely requires the lawyer to terminate his
relationship with the client in the event the latter fails or
refuses to rectify the fraud. [Agpalo]
Procedure in Handling the Case
Rule 19.03. A lawyer shall not allow his client to dictate the
procedure in handling the case.
Rules of Court, Rule 138, Sec. 23. Authority of attorneys to
bind clients. Attorneys have authority to bind their clients
in any case by any agreement in relation thereto made in
writing and in taking appeals and in all matters of ordinary
judicial procedure. But they cannot, without special
authority, compromise their client's litigation or receive
anything in discharge of a client's claim but the full
amount in cash.
As to substantial matter
Employment itself confers upon the attorney no implied or
apparent authority to bind the client on substantial
matters which the attorney may not impair, novate,
compromise, settle, surrender or destroy without the
client’s consent or authority:
(1) Cause of action,
(2) Claim or demand sued upon
(3) Subject matter of the litigation
As to matters of law
In matters of law, the client should yield to the lawyer (not
the lawyer to the client) for the lawyer is better trained and
skilled in law. Also, proceedings to enforce remedies are
within the exclusive control of the attorney.
A lawyer should seek instruction from his client on any
substantial matter concerning the litigation which requires
decision on the part of the client (i.e. whether to
compromise the case or to appeal an unfavorable
judgment). In procedural matters, the client must yield to
the lawyer. [Agpalo]
ATTORNEY’S FEES
Acceptance Fees
Canon 20: A lawyer shall charge only fair and reasonable
fees.
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rules of Court, Rule 138, Sec. 24. Compensation of
attorneys. An attorney shall be entitled to have and recover
from his client no more than a reasonable compensation
for his services with a view to the importance of the subject
matter of the controversy the extent of the services
rendered and the professional standing of the attorney. No
court shall be bound by the opinion of attorneys as expert
witnesses as to the proper compensation but may
disregard such testimony and base its conclusion on its
own professional knowledge. A written contract for
services shall control the amount to be paid therefore
unless found by the court to be unconscionable or
unreasonable.
Right to compensation
In the absence of an express contract [for attorney’s fee],
payment of attorney’s fees may be justified by virtue of the
innominate contract of facio ut des (I do and you give)
which is based on the principle that “no one shall enrich
himself at the expense of another” [Corpuz v. CA (1980)]
The Counsel if worthy of his hire, is entitled to be fully
recompensed for his services. With his capital consisting
solely of his brains and his skill, acquired at tremendous cost
not only in money but in the expenditure of time and energy,
he is entitled to the protection of any judicial tribunal
against any attempt on the part of a client to escape
payment of his fees. [Albano v. Coloma (1967)]
Rule 20.01 - A lawyer shall be guided by the following
factors in determining his fees:
(1) Time spent and the extent of the services rendered or
required
(2) Importance of the subject matter
(3) Novelty and difficulty of the questions involved;
(4) Skill demanded;
(5) Probability of losing other employment as a result of
acceptance of the professed case;
(6) Professional standing of the lawyer;
(7) Amount involved in the controversy and the benefits
resulting to the client from the service
(8) Customary charges for similar services and the
schedule of fees of the IBP Charter to which he
belongs; and
(9) Contingency or certainty of compensation;
(10) Character of the employment, whether occasional or
established.
(11) Capacity of the client to pay.
Contingency Fee Arrangements
Quantum Meruit
Means “as much as a lawyer deserves”. Its essential
requisite is acceptance of the benefits by one sought to be
charged for services rendered under circumstances as
reasonably to notify him that lawyer expects
compensation.
Quantum Meruit is authorized in the following instances.—
(1) There is no express contract for attorney’s fees agreed
upon between the lawyer and the client;
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UP COLLEGE OF LAW LEGAL ETHICS BAR OPERATIONS COMMISSION

(2) When although there is a formal contract of attorney’s

fees, the stipulated fees are found unconscionable or
unreasonable by the court; Retaining Charging
(3) When the contract for attorney’s fees is void due to Nature
purely formal matters or defects of execution;
(4) When the counsel, for justifiable cause, was not able to Passive lien. It cannot be Active lien. It can be enforced
finish the case to its conclusion; actively enforced. It is a by execution. It is a special
(5) When lawyer and client disregard the contract of general lien. lien.
attorney’s fees
Basis
(6) When there is a contract but no stipulation as to
attorney’s fees Lawful possession of funds, Securing of a favorable
papers, documents, property money judgment for client
Guides in Determining Attorney’s Fees in Quantum Meruit belonging to client
Basis. –
(1) Time spent and Extent of the Services Rendered – A Coverage
lawyer is justified in fixing higher fees when the case is Covers only funds, papers, Covers all judgments for the
so complicated and requires more time and efforts to documents, and property in payment of money and
finish it. the lawful possession of the executions issued in
(2) Importance of Subject Matter – The more important the attorney by reason of his pursuance of such judgment
subject matter or the bigger value of the interest or professional employment
property in litigation, the higher is the attorney’s fee.
(3) Novelty and Difficulty of Questions Involved – When the Effectivity
questions in a case are novel and difficult, greater As soon as the lawyer gets As soon as the claim for
efforts, deeper study and research, are bound to burn possession of the funds, attorney’s fees had been
the lawyer’s time and stamina considering that there papers, documents, property entered into the records of
are no local precedents to rely upon. the case
(4) Skill demanded of the Lawyer – The totality of the
lawyer’s experience provides him the skill and Notice
competence admired in lawyers. Client need not be notified to Client and adverse party
make it effective need to notified to make it
Champertous Contract effective
One where the lawyer stipulates with his client the
Applicability
prosecution of the case that he will bear all the expenses
for the recovery of things or property being claimed, and May be exercised before Generally, it is exercisable
the latter pays only upon successful litigation. Void for judgment or execution, or only when the attorney had
being against public policy. regardless thereof already secured a favorable
judgment for his client
Contingent Contract
It is an agreement in which the lawyer’s fee, usually a fixed Fees and Controversies with Clients
percentage of what may be recovered in the action, is
Rule 20.03. A lawyer shall not, without the full knowledge
made to depend upon the success in the effort to enforce
and consent of the client, accept any fee, reward, costs,
or defend the client’s right. It is a valid agreement. It is
commission, interest, rebate or forwarding allowances or
different from a champertous contract in that the lawyer
other compensation whatsoever related to his professional
does not undertake to shoulder the expenses of the
employment from any one other than the client.
litigation.
Related Statutory Basis
Contingent Champertous
Rules of Court, Rule 138, Sec. 20(e). Duties of attorneys. It is
Contingent fee is payable in Payable in kind only the duty of an attorney… to accept no compensation in
cash connection with his client's business except from him or
with his knowledge and approval.
Lawyers do not undertake to Lawyers undertake to pay all
pay all expenses of litigation expenses of litigation Rationale
Not prohibited Void This ensures protection of lawyers in collection of fees. It is
also designed to secure the lawyer’s wholehearted fidelity
Attorney’s Liens to the client’s cause and to prevent that situation in which
the receipt by him of a rebate or commission from another
Rule 20.02. A lawyer shall, in case of referral, with the in connection with the client’s cause may interfere with the
consent of the client, be entitled to a division of fees in full discharge of his duty to the client. The amount received
proportion to the work performed and responsibility by lawyer from opposite party or third persons in the
assumed. service of his client belongs to the client except when the
latter has full knowledge and approval of lawyer’s taking
Note: This is not in the nature of a broker’s commission [Agpalo]

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Rule 20.04. A lawyer shall avoid controversies with clients
concerning his compensation and shall resort to judicial
action only to prevent imposition, injustice or fraud.
Judicial actions to recover attorney’s fees
(1) File an appropriate motion or petition as an incident in
the main action where he rendered legal services;
(2) File a separate civil action for collection of attorney’s
fees.
Suits to collect fees should be avoided and only when the
circumstances imperatively require should a lawyer resort
to lawsuit to enforce payment of fees. This is but a logical
consequence of the legal profession not primarily being for
economic compensation. [Agpalo]
An attorney-client relationship can be created by implied
agreement, as when the attorney actually rendered legal
services for a person who is a close friend. The obligation of
such a person to pay attorney’s fees is based on the law of
contracts’ concept of facio ut des (no one shall unjustly
enrich himself at the expense of others. [Corpuz v. CA
(1980)]
Concept of Attorney’s Fees
Ordinary Concept
An attorney’s fee is the reasonable compensation paid to a
lawyer for the legal services he has rendered to a client.
The basis of this compensation is the fact of employment by
the client.
Extraordinary Concept
An attorney’s fee is an indemnity for damages ordered by
the court to be paid by the losing party to the prevailing
party in a litigation. The basis of this is any of the cases
authorized by law and is payable not to the lawyer but to
the client – unless they have agreed that the award shall
pertain to the lawyer as additional compensation or as part
thereof. [Traders Royal Bank Employees Union-Independent
v. NLRC (1997)]
Factors of the value [Rule 138, Sec, 24]
(1) Importance of the subject matter of controversy;
(2) Extent of the services rendered; and
(3) Professional standing of the attorney.
Additionally, the court is not bound by the opinion of
attorney’s as expert witness as to proper compensation
and that written contract shall control the amount paid
unless found by the court to be unconscionable or
reasonable.
According to jurisprudence, the court may also take into
consideration the client’s capacity to pay.
Modes of payment
(1) A fixed or absolute fee which is payable regardless of
the result of the case
(2) A contingent fee that is conditioned to the securing of a
favorable judgment and recovery of money or property
and the amount of which may be on a percentage basis
(3) A fixed fee payable per appearance
LEGAL ETHICS BAR OPERATIONS COMMISSION
(4) A fixed fee computed by the number of hours spent
(5) A fixed fee based on a piece of work
(6) A combination of any of the above stipulated fees.
Compensation to which Lawyer is Entitled Depending on
His Capacity
Counsel de Parte – He is entitled to a reasonable attorney’s
fees agreed upon or in the absence thereof, on quantum
meruit basis.
Counsel de Officio – The counsel may not demand from the
accused attorney’s fees even if he wins the case. He may
however collect from the government funds if available
based on the amount fixed by the court.
Rule 138, Sec. 32. Compensation for attorneys de officio.
Subject to availability of funds as may be provided by law
the court may, in its discretion, order an attorney employed
as counsel de officio to be compensated in such sum as the
court may fix in accordance with section 24 of this rule.
Whenever such compensation is allowed, it shall not be
less than P30 in any case, nor more than the following
amounts:
(a) P50 in light felonies;
(b) P100 in less grave felonies;
(c) P200 in grave felonies other than capital offenses;
(d) P500 in capital offenses.
Amicus Curiae – not entitled to attorney’s fees.
Counsel Cannot Recover Full Amount despite Written
Contract
(1) When the services were not performed, and the lawyer
withdrew before the case was finished, he will be
allowed only reasonable fees
(2) When there is justified dismissal of an attorney, the
contract will be nullified and payment will be on
quantum meruit basis
(3) When the stipulated fees are unconscionable
(4) When the stipulated fees are in excess of what is
expressly provided by law
(5) When the lawyer is guilty of fraud or bad faith in the
manner of his employment
(6) When the counsel’s services are worthless because of
negligence
(7) When the contract is contrary to laws, morals, and
good policies
The mere fact that an agreement had been reached
between attorney and client fixing the amount of the
attorney's fees, does not insulate such agreement from
review and modification by the Court where the fees clearly
appear to be excessive or unreasonable. [Tanhueco v. De
Dumo (1989)]
PRESERVATION OF CLIENT’S CONFIDENCES
Canon 21. A lawyer shall preserve the confidence and
secrets of his client even after the attorney client
relationship is terminated.
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UP COLLEGE OF LAW
Rules of Court, Rule 138, 20(e). Duties of attorneys.—It is the
duty of an attorney:
(e) To maintain inviolate the confidence and at every peril
to himself to preserve the secrets of his client and to
accept no compensation in connection with his client's
business except from him or with his knowledge and
approval;
Rules of Court, Rule 130, Sec. 21(b). Privileged
communication. —An attorney cannot, without the consent
of his client, be examined as to any communication made
by the client to him or his advice given thereon in the
course of professional employment; nor can an attorney's
secretary stenographer or clerk be examined without the
consent of the client and his employer concerning any fact
the knowledge of which has been acquired in such
capacity.
Revised Penal Code, Art. 209. Betrayal of trust by an
attorney or solicitor—Revelation of secrets.—In addition to
the proper administrative action, the penalty of prision
correccional in its minimum period, or a fine ranging from
200 to 1,000 pesos, or both, shall be imposed upon any
attorney-at-law or solicitor (procurador judicial) who, by
any malicious breach of professional duty or of inexcusable
negligence or ignorance, shall prejudice his client, or reveal
any of the secrets of the latter learned by him in his
professional capacity.
The same penalty shall be imposed upon an attorney-at-
law or solicitor (procurador judicial) who, having
undertaken the defense of a client or having received
confidential information from said client in a case, shall
undertake the defense of the opposing party in the same
case, without the consent of his first client.
Duty to preserve client's confidence
(1) Neither attorney nor client nor anyone who stands in a
peculiar relation of confidence with either of them can
be compelled to disclose any privileged
communication.
(2) This canon also applies to prospective clients.
Formerly, in order that a communication shall be
privileged, the attorney-client relationship should exist
at the time of communication. But at present,
communication made by prospective client is covered
for as long as it is made to the lawyer in his
professional capacity.
Duration of duty
The lawyer’s duty to maintain inviolate his client’s
confidence is perpetual. It outlasts even the lawyer’s
employment. He may not do anything which will injuriously
affect his former client nor may he at any time disclose or
use against him any knowledge or information acquired by
virtue of professional relationship. Neither does not cease
with the termination of the litigation nor is it affected by
the party’s ceasing to employ the attorney and retaining
another, or by any other change of relation between them.
It even survives the death of the client. [Genato v. Silapan
(2003)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
The work product of the lawyer, including his effort and
researches, contained in his files is confidential even after
his death. Contents of lawyer’s files may not be disclosed
without a client’s consent.
Exceptions:
(1) Some privileged communications lose their privileged
character by some supervening act done pursuant to
the purpose of the communication (e.g. a
communication intended by the client to be sent to a
third person through his attorney loses confidential
character once it reached the third party).
(2) The privilege against disclosure of confidential
communications or information is limited only to
communications which are legitimately and properly
within the scope of a lawful employment of a lawyer. It
does not extend to those made in contemplation of a
crime or perpetration of a fraud. It is not within the
profession of a lawyer to advise a client as to how he
may commit a crime. Thus, the attorney-client privilege
does not attach, there being no professional
employment in the strict sense.
Reason for the rule
(1) This duty exists because unless the client knows that
his attorney cannot be compelled to reveal what is told
to him, he will suppress what he thinks to be
unfavorable and the advice which follows will be
useless if not misleading.
(2) The purpose of the attorney-client privilege is to
encourage a client to make full disclosure to his
attorney and to place unestricted confidence in him in
matters affecting his rights or obligations.
Confidentiality
(1) A confidential communication refers to information
transmitted by voluntary act of disclosure between
attorney and client in confidence and by means which
so far as the client is aware, discloses the information
to no third person other than one reasonably necessary
for the transmission of the information or the
accomplishment of the purpose for which it was given.
(2) There is a difference between confidences and secrets
of clients. While confidences refer to information
protected by attorney-client privilege under the
Revised Rules of Court (information pertinent to the
case being handled), secrets are those other
information gained in the professional relationship that
the client has requested to be held inviolate or the
disclosure of which would be embarrassing or would
likely be detrimental to client (information not exactly
pertinent to case).
(3) The intent of client to make communication
confidential must be apparent. But once conveyed to
lawyer, confidentiality attaches not only to statements
but also to other forms of communication.
(4) Embraces not only oral or written statements but
actions, signs or other means of communications.
(5) Communication may be transmitted by any form of
agency, such as a messenger, an interpreter or any
other form of transmission. It is immaterial whether the
agent is the agent of the attorney, the client or both.
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UP COLLEGE OF LAW LEGAL ETHICS
Requisites for Privileged Communication to Attach
(1) The person to whom information is given is a lawyer.
No attorney-client relation when person is not a lawyer,
even if such person undertakes to perform legal
services. Exception: if a person is pretending to be a
lawyer and client discloses confidential
communications, the attorney-client privilege applies.
(2) There is legal relationship existing (may be disregarded
for prospective clients)
(3) Legal advice must be sought from the attorney in his
professional capacity with respect to communications
relating to that purpose. Not privileged if advice is not
within lawyer’s professional capacity
(4) Some privileged communication may lose privileged
character. Client must intend the communication be
confidential.
(5) Question of privilege determined by court. The burden
of proof is on the party who asserts the privilege.
Persons Entitled to claim Privilege
(1) Generally, the attorney-client privilege covers the
lawyer, client and third persons who by reason of their
work have acquired information about the case being
handled. This includes the following:
(a) attorney’s secretary, stenographer and clerk;
(b) interpreter, messengers, or agents transmitting
communication
(c) an accountant, scientist, physician, engineer who
has been hired for effective consultation.
(2) Assignee of the client's interest may claim the privilege
as far as the communication affects the realization of
the assigned interest.
(3) Identification of client privilege extends when the ff are
not present:
(a) commencement of litigation on behalf of the client,
rd
(b) identification relating to employment of 3 person,
(c) employment of attorney with respect to future
criminal/ fraudulent transaction,
(d) prosecution of a lawyer for a criminal offense
(4) This rule does not cover those kept for custodial
purposes only nor contracts relating to attorney’s fees
Examples of privileged matters
(1) work product of lawyer (his effort, research and
thought contained in his file)
(2) a report of a physician, an accountant, an engineer or a
technician, whose services have been secured by a
client as part of his communication to his attorney or
by the attorney to assist him render effective legal
assistance to his client
(3) records concerning an accident in which a party is
involve
(4) consultation which has to do the preparation of a client
to take the witness stand
When Allowed
Rule 21.01. A lawyer shall not reveal the confidence or
secrets of his client except:
(a) When authorized by the client after acquainting him of
the consequences of the disclosure;
(b) When required by law;
(c) When necessary to collect his fees or to defend himself,
his employees or associates or by judicial action.
PAGE 33
BAR OPERATIONS COMMISSION
A lawyer becomes familiar with all the facts connected
with his client’s case. Such knowledge must be considered
sacred and must be guarded with care to ensure the
confidence of the client is not abused. Only when client
consents will a lawyer be allowed to make use of said
information. Use of said information, whether privileged or
not, is prohibited if it is to the:
(1) disadvantage of the client;
(2) lawyer’s advantage;
(3) advantage of third persons.
(a) A lawyer may not disclose any information concerning
the client’s case, which he acquired from the client in
confidence, other than what may be necessary to
prosecute or defend his client’s cause.
(b) In fact, loyalty to the court may not override this
privilege as said loyalty involves steadfast maintenance
of principles which the courts themselves have evolved
for the effective administration of justice; one of these
principles is that of preservation of client’s confidence
communicated to lawyer in his professional capacity.
Breach of this fidelity is sufficient to warrant
disciplinary sanction against the lawyer.
(c) If a lawyer manages to acquire information regarding
the opposing party’s cause, he must withdraw
(d) Client may not make communications to opposing
counsel to silence him (such communication is not
privileged)
(e) If corporate client, secret of 1 corporate officer may be
disclosed to directors but not to others
(f) Involves a balancing of loyalties (e.g. client committed
perjury, should lawyer disclose?)
The Exceptions to the General Rule. –
(These exceptions to the general rule are found in Rule 21.01.)
(1) When authorized by the client after acquanting him of
the consequences of the disclosure
(a) A waiver of the privilege must be made in entirety.
A client may waive protection of privilege through
lawyer except where the controversy involves the
attorney’s relation with his client. In such case, only
the client may waive privilege.
(b) Consent given by client to lawyer’s secretary
(staff/employees) will not give him/her the right to
reveal confidences. Lawyer’s consent is necessary.
(2) When required by law
(a) A lawyer may disclose commission of contemplated
crimes or perpetuation of fraud considering that
professional relationship should only be for lawful
purposes. A person who is committing a crime or is
about to commit a crime can have no privileged
witness. For the application of the privilege to
attach, the period to be considered is the date
when the privileged communication was made by
the client to the attorney in relation to either a
crime committed in the past or with respect to a
crime intended to be committed in the future.
(3) When necessary to collect attorney's fees or to defend
himself, his employees or associates or by judicial
action
UP COLLEGE OF LAW
(a) In case client files complaint against his lawyer or
unreasonably refuses to pay his fees, client waives
privilege in favor of lawyer who may disclose so
much of client’s confidences as may be necessary
to protect himself or to collect fees. It must be
noted that a client may not be permitted to take
advantage of the attorney-client relation to defeat
the just claim of his lawyer.
Prohibited Disclosures and Use
Rule 21.02. A lawyer shall not, to the disadvantage of his
client, use information acquired in the course of
employment nor shall he use the same to his advantage or
that of a third person unless the client with full knowledge
of the circumstances consents thereto.
A lawyer must have the fullest confidence of his client. If
confidence is abused, as by the use by the lawyer of the
client's secrets against his client, the profession will suffer
by the loss thereof.
Rule 21.03. A lawyer shall not, without the written consent
of his client, give information from his files to an outside
agency seeking such information for auditing, statistical,
bookkeeping, accounting, data processing, or any similar
purpose.
(a) The reason for the rule is that the work and product of
a lawyer, such as his effort, research, and thought, and
the records of his client, contained in his files are
privileged matters.
(b) Neither the lawyer nor, after his death, his heir, or legal
representative may properly disclose the contents of
such file cabinet without client’s consent
Rule 21.04. A lawyer may disclose the affairs of a client of
the firm to partners or associates thereof unless prohibited
by the client.
Rule 21.05. A lawyer shall adopt such measures as may be
required to prevent those whose services are utilized by
him from disclosing or using confidences or secrets of the
client.
(a) Professional employment of a law firm is equivalent to
retainer of the members thereof even though only one
partner is consulted. When one partner tells another
about the details of the case, it is not considered as
disclosure to third persons because members of a law
firm are considered as one entity.
(b) The client’s secrets which clerical aids of lawyers learn
of in the performance of their services are covered by
privileged communication. It is the duty of lawyer to
ensure that this is being followed. The prohibition
against a lawyer from divulging the confidences and
secrets of his clients will become futile exercise if his
clerical aids are given liberty to do what is prohibited of
the lawyer. (EX. Signing of confidentiality contract)
LEGAL ETHICS BAR OPERATIONS COMMISSION
Rule 21.06. A lawyer shall avoid indiscreet conversation
about a client’s affairs even with members of his family.
A lawyer must not only preserve the confidences and
secrets of his clients in his law office but also outside
including his home. He should avoid committing
calculated indiscretion, that is, accidental revelation of
secrets obtained in his professional employment. Reckless
or imprudent disclosure of the affairs of his clients may
jeopardize them. Not every member of the lawyer’s family
has the proper orientation and training for keeping client’s
confidences and secrets.
Rule 21.07 – A lawyer shall not reveal that he has been
consulted about a particular case except to avoid possible
conflict of interests.
Rule 15.01. A lawyer, in conferring with a prospective client,
shall ascertain as soon as practicable whether the matter
would involve a conflict with another client or his own
interest, and if so, shall forthwith inform the prospective
client.
Rule 14.03. A lawyer may refuse to accept representation of
an indigent client if:
(c) he is not in a position to carry out the work effectively or
competently
(d) he labors under a conflict of interests between him and
the prospective client or between a present client and the
prospective client.
This rule clarifies that privilege communication applies even
to prospective clients. The disclosure and the lawyer's
opinion thereon create an attorney-client relationship,
even though the lawyer does not eventually accept the
employment or the prospective client did not thereafter
actually engage the lawyer. By the consultation, the lawyer
already learned of the secrets of prospective client. It is not
fair if he will not be bound by the rule on privileged
communication in respect of matters disclosed to him by a
prospective client. This rule, of course, is subject to
exception of representation of conflicting interests.
In relation to conflict of interest, the lawyer should
ascertain as soon as practicable whether the matter would
involve a conflict of interest with his other client or with his
own.
A lawyer shall not reveal the confidence or secrets of his
client except:
(a) When authorized by the client after acquainting him of
the consequences of the disclosure;
(b) When required by law;
(c) When necessary to collect his fees or to defend himself,
his employees or associates or by judicial action.
WITHDRAWAL OF SERVICES
Canon 22. A lawyer shall withdraw his services only for
good cause and upon notice appropriate in the
circumstances.
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UP COLLEGE OF LAW
Termination of Attorney-Client Relation
(1) Withdrawal of lawyer under Rule 22.01
(2) Death of the lawyer
(3) Disbarment or suspension of the lawyer from the
practice of law
(4) Declaration of presumptive death of lawyer
(5) Conviction of a crime and imprisonment of lawyer
(6) Discharge or dismissal of the lawyer by the client
(7) Appointment or election of a lawyer to a government
position which prohibits private practice of law
(8) Death of client
(9) Intervening incapacity or incompetence of the client
during pendency of case
(10) Full termination of the case
General Rule: The client has the right to terminate at any
time with or without just cause.
Limitations
(1) Client cannot deprive counsel of right to be paid services
if dismissal is without cause
(2) Client cannot discharge counsel as an excuse to secure
repeated extensions of time
(3) Notice of discharge is required for both court and
adverse party
Although a lawyer may withdraw his services when the
client deliberately fails to pay the fees for the services,
withdrawal is unjustified if client did not deliberately fail to
pay [Montano v. IBP (2001)]
Rule 22.01. A lawyer may withdraw his services in any of the
following case:
(1) When the client pursues an illegal or immoral course of
conduct in connection with the matter he is handling;
(2) When the client insists that the lawyer pursue conduct
violative of these canons and rules;
(3) When his inability to work with co-counsel will not
promote the best interest of the client;
(4) When the mental or physical condition of the lawyer
renders it difficult for him to carry out the employment
effectively;
(5) When the client deliberately fails to pay the fees for the
services or fails to comply with the retainer agreement;
(6) When the lawyer is elected or appointed to public
office; and
(7) Other similar cases.
Rule 22.02. A lawyer who withdraws or is discharged shall,
subject to a retainer lien, immediately turn over all papers
and property to which the client is entitled, and shall
cooperate with his successor in the orderly transfer of the
matter, including all information necessary for the proper
handling of the matter.
Conditions for the Substitution of Counsel
(1) Written request for substitution
(2) Written consent of client
(3) Written consent of the attorney to be substituted or in
the absence, proof of service of notice of said motion to
the attorney to be substituted
LEGAL ETHICS BAR OPERATIONS COMMISSION
At the discretion of the court, a lawyer who has been
dismissed by a client is allowed to intervene in a case in
order to protect the client’s rights. [Obando v. Figueras
(2000)]
Suspension, Disbarment
& Discipline of Lawyers
NATURE AND CHARACTERISTICS OF DISCIPLINARY
ACTIONS AGAINST LAWYERS
(a) Sui Generis
(b) Prescription
DISCIPLINARY PROCEEDINGS AGAINST LAWYERS ARE SUI GENERIS:
neither purely civil nor purely criminal. It is not—and does
not involve—a trial of an action or a suit, but is rather an
investigation by the Court in the conduct of its officers. Not
being intended to inflict punishment, it is no sense a
criminal prosecution. Accordingly, there is neither a
plaintiff nor a prosecutor. x x x Public interest is its primary
objective, and the real question for determination is
whether or not the attorney is still a fit person to be
allowed the privileges as such. [In Re: Almacen, supra]
The withdrawal of complaints CANNOT divest the Court of
its jurisdiction… The Court’s interest in the affairs of the
Judiciary is of paramount concern. For sure, public interest
is at stake in the conduct and actuations of officials and
employees of the Judiciary. [Chan v. Algeria (2010)]
It bears to stress that a case of suspension or disbarment is
sui generis not meant to grant relief to a complainant in a
civil case but is intended to cleanse the ranks of the legal
profession of its undesirable members in order to protect the
public and the courts. [Itong v. Florenido, (2011)]
NATURE OF PROCEEDINGS
Neither a civil action nor a criminal proceeding;
(1) Sui generis, it is a class of its own since it is neither civil
nor criminal, but rather are investigations by the Court
into the conduct of one of its officers
(2) Confidential in nature
THREE-FOLD PURPOSE OF THE 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 of disgruntled,
vindictive, and irresponsible persons or clients by
prohibiting the publication of such charges pending
their final resolution [Albano v. Coloma, AC No. (1967)]
(3) To deter the press from publishing the charges or
proceedings based thereon for even a verbatim
reproduction of the complaint against an attorney in a
newspaper may be actionable
The confidentiality of the proceedings is a privilege which
MAY BE WAIVED by the lawyer in whom and for the
protection of whose personal and professional reputation it
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UP COLLEGE OF LAW LEGAL ETHICS
is vested, as by presenting the testimony in a disbarment
case or using it as impeaching evidence in a civil suit
[Villain v. IAC (1986)]
(a) Defense of double jeopardy is not available
(b) Can be initiated by the SC, motu propio, or by the IBP.
It can be initiated without a complaint
(c) Can proceed regardless of interest of the complainants
(d) Imprescriptible
(e) It is itself due process of law
(f) In pari delicto rule is not applicable
(g) No prejudicial question in disbarment proceedings
(h) Penalty in a disbarment case cannot be in the
alternative
(i) Monetary claims cannot be granted except restitution
and return of monies and properties of the client given
in the course of the lawyer-client relationship
OBJECTIVES OF SUSPENSION AND DISBARMENT
(1) To compel the attorney to deal fairly and honestly with
the court and his client, requiring him to be competent,
honorable, and reliable;
(2) To remove from the profession a person whose
misconduct has proven himself unfit for the duties and
responsibilities belonging to the office of an attorney;
(3) To punish the lawyer;
(4) To set an example or warning for the other members of
the bar;
(5) To safeguard the administration of justice from
dishonest and incompetent lawyers;
(6) To protect the public and the court from the
misbehavior of its officers
GROUNDS
Rules of Court, Rule 138, Section 27. Attorneys removed or
suspended by Supreme Court on what grounds. — A
member of the bar may be removed or suspended from his
office as attorney by the Supreme Court for any deceit,
malpractice, or other gross misconduct in such office,
grossly immoral conduct, or by reason of his conviction of a
crime involving moral turpitude or for any violation of the
oath which he is required to take before the admission to
practice or for a willful disobedience of any lawful order of
a superior court or for corruptly or willful appearing as an
attorney for a party to a case without authority so to do.
The practice of soliciting cases at law for the purpose of
gain, either personally or through paid agents or brokers,
constitutes malpractice.
Grounds for Disbarment
Rule 138, Sec. 27, Revised Rules of Court
(1) Deceit - fraudulent and deceptive misrepresentation,
artifice, or device used by one or more persons to
deceive and trick another. There must be false
representation as a matter of fact.
(2) Malpractice, or other gross misconduct in office
Legal Malpractice - consists of failure of an attorney to use
such skill, prudence, and diligence as lawyers of ordinary
skill and capacity commonly possess and exercise in the
performance of tasks which they undertake, and when
such failure proximately causes damage, it gives rise to an
action in tort [Tan Tek Beng v. David, AC No. 1261]
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BAR OPERATIONS COMMISSION
Gross Misconduct - any inexcusable, shameful, or flagrant
unlawful conduct on the part of the person concerned in
the administration of justice which is prejudicial to the
rights of the parties or to the right determination of a
cause, a conduct that is generally motivated by a
predetermined, obstinate, or intentional purpose [Yumol v.
Ferrer Sr.(2005)]
(3) Grossly immoral conduct (See Chapter 1)
(4) Conviction of a crime involving moral turpitude
There must be a conviction. Hence, the mere existence of
criminal charges against the lawyer cannot be a ground for
his disbarment or suspension
(5) Violation of lawyer’s oath
(6) Willful disobedience of any lawful order of a superior
court
(7) Corruptly or willfully appearing as an attorney for a
party to case without an authority to do so
Other Statutory Grounds
(1) Acquisition of an interest in the subject matter of the
litigation, either through purchase or assignment [Art
1491, New Civil Code]
(2) Breach of professional duty, inexcusable negligence, or
ignorance, or for the revelation of the client’s secrets
[Art. 208, Revised Penal Code]
(3) Representing conflicting interests [Art. 209, Revised
Penal Code]
The statutory enumeration of the grounds for disbarment
or suspension is not to be taken as a limitation on the
general power of courts to suspend or disbar a lawyer. The
inherent power of the court over its officers cannot be
restricted. [Quingwa v. Puno (1967)]
Lawyer’s Misconduct in his Private Capacity
A lawyer may be disbarred for any misconduct, whether in
his professional or private capacity. Any interested person
or the court motu propio may initiate disciplinary
proceedings. [Marcelo v. Javier, A.C. No. 3248, (1992)]
Misconduct Before or Incident to Admission
The fact that he lacked any of the qualifications for
membership in the bar as the time he took his oath is a
ground for his disbarment [Lim v. Antonio, (1971)]
Misconduct Committed Outside Philippine Jurisdiction
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 [Agpalo]
Officers Authorized to Investigate Disbarment Cases
(1) Supreme Court
(2) IBP through its Commission on Bar Discipline or
authorized investigators
(3) Office of the Solicitor General
All charges against Justices of the Court of Appeals and
the Sandiganbayan, and Judges of the Court of Tax
UP COLLEGE OF LAW
Appeals and lower courts, even if lawyers are jointly
charged with them, shall be filed with the Supreme Court.
If filed with the IBP, it shall immediately be forwarded to
the Supreme Court
The power to DISBAR a lawyer is exclusively vested in the
Supreme Court
Complaints for disbarment may not lie against
impeachable officers of the government during their
tenure. They may only be removed from office by
impeachment for and conviction of certain offenses.
Disbarment should not be decreed where any punishment
less severe such as reprimand, suspension or fine would
accomplish the end desired. [Amaya v. Tecson, 450 SCRA
510]
Suspension and Disbarment of Lawyers Holding Government
Offices
General 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.
Exception: If the misconduct of the government official is of
such a character as to affect his qualification as a lawyer or
to show moral delinquency, then he may be disciplined as
a member of the Bar upon such ground.
Quantum of Proof; Applicability of Presumption of Innocence
The Court has consistently held that in suspension or
disbarment proceedings against lawyers, the lawyer enjoys
the presumption of innocence, and the burden of proof
rests upon the complainant. The evidence required in the
suspension or disbarment proceedings is preponderance of
evidence. In case the evidence of the parties are equally
balanced, the equipoise doctrine mandates a decision in
favor of the defendant. (Siao Aba et al v. Atty. De Guzman
Jr et al (2011))
PROCEEDINGS
PROCEDURE FOR SUSPENSION OR DISBARMENT OF ATTORNEYS BY
THE IBP PROCEDURE FOR SUSPENSION OR DISBARMENT OF
ATTORNEYS (RULE 139-B) BY THE SUPREME COURT MOTU PROPIO
By division – one year or less
Suspension
En banc – more than one year
Division – P10,000 or less
Fine
En banc – more than P10,000
Suspension En banc - If suspension exceeds 1 year
and Fine OR fine exceeds P10,000
In case of two or more suspensions: Service will be
successive, not simultaneous
An investigating judge cannot dismiss a case. The
investigating judge’s authority is only to investigate, make
a report and recommendation on the case to be submitted
to the SC for final determination [Garciano v. Sebastian
(1994)]
LEGAL ETHICS BAR OPERATIONS COMMISSION
APPLICATION OF THE DOCTRINE OF RES IPSA LOQUITOR
This principle applies to both judges and lawyers. Judges
had been dismissed form the service without the need of a
formal investigation because based on the records, the
gross misconduct or inefficacy of the judges clearly
appears [Uy v. Mercado (1987)]
The same principle applies to lawyers… when it appears
that the lawyer conducted himself in a manner which
exhibits his blatant disrespect to the court, or his want of
good moral character… may be disbarred or suspended
without need of a trial-type proceeding. [Prudential Bank v.
Castro, (1986)]
AVAILABLE DEFENSES
The purpose and nature of disbarment proceedings make
the number of defenses available in civil and criminal cases
INAPPLICABLE in disciplinary proceedings. The Statute of
Limitations is NOT a defense therein.
PRESCRIPTION
The two year prescriptive period for initiating a suspension
or disbarment proceeding against a lawyer should be
construed to mean two years from date of discovery of the
professional misconduct [Isenhardt v. Atty. Real, (2012)]
DISCIPLINE OF FILIPINO LAWYERS PRACTICE IN
FOREIGN JURISDICTIONS
The rule is that a Philippine lawyer may practice law only in
the country. He may, however, be admitted to the bar in a
foreign country, where he practices law in both countries. If
he commits a misconduct outside Philippine jurisdiction,
which is also a ground for disciplinary action under
Philippine law, he may be suspended or disbarred in this
country.
CIVIL LIABILITY
(1) Client is prejudiced by lawyer’s negligence and
misconduct.
(2) Breach of fiduciary obligation
(3) Civil liability to third persons
(4) Libelous words in pleadings; violation of
communication privilege
(5) Liability for costs of suit (treble costs) – when lawyer is
made liable for insisting on client’s patently
unmeritorious case or interposing appeal merely to
delay litigation
CRIMINAL LIABILITY
(1) Prejudicing client through malicious breach of
professional duty
(2) Revealing client secrets
(3) Representing adverse interests
(4) Introducing false evidence
(5) Misappropriating client’s funds (estafa)
(6) Libel except if statements are connected with the
relevant, pertinent, and material to the cause in hand
or the subject of the inquiry
COSTS OF SUIT
General Rule: Losing client and not the lawyer is liable for
costs, since the lawyer is not a party-litigant
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UP COLLEGE OF LAW
Exception: When the lawyer insisted on client’s patently
unmeritorious case the court may adjudge lawyer to pay
treble costs of suit
CONTEMPT OF COURT
It is exercised on preservative and not on vindictive
principles and on corrective rather than the retaliatory idea
of punishment. It is criminal in nature.
The power to punish for contempt is inherent in all courts.
It is essential in the observance of order in judicial
proceedings and to enforce judgment, orders and writs.
KINDS OF CONTEMPT
(1) Direct Contempt - Consists of misbehavior in the
presence of or near a court or judge as to interrupt or
obstruct the proceedings before the court or the
administration of justice.
(2) Indirect or Constructive Contempt - One committed
away from the court involving disobedience of or
resistance to a lawful writ, process, order, judgment or
command of the court, tending to belittle, degrade,
obstruct, interrupt or embarrass the court.
(3) Civil contempt - Failure to do something ordered by the
court which is for the benefit of the party.
(4) Criminal contempt - Consists of any conduct directed
against the authority or dignity of the court.
ACTS OF A LAWYER CONSTITUTING CONTEMPT
(1) Misbehavior as officer of court
(2) Disobedience or resistance to court order
(3) Abuse or interference with judicial proceedings
(4) Obstruction in administration of justice
(5) Misleading courts
(6) Making false allegations, criticisms, insults, veiled
threats against the courts
(7) Aiding in unauthorized practice of law (suspended or
disbarred)
(8) Unlawful retention of client’s funds
(9) Advise client to commit contemptuous acts
POWER TO DISCIPLINE ERRANT LAWYERS
Rules of Court, Rule 138, Sec. 27. A member of the bar may
be removed or suspended from his office as attorney by the
Supreme Court for any deceit, malpractice. or other gross
misconduct in such office, grossly immoral conduct, or by
reason of his conviction of a crime involving moral
turpitude, or for any violation of the oath which he is
required to take before the admission to practice or for a
willful disobedience of any lawful order of a superior court
or for corruptly or willful appearing as an attorney for a
party to a case without authority so to do. The practice of
soliciting cases at law for the purpose of gain either
personally or through paid agents or brokers constitutes
malpractice.
Rules of Court, Rule 139 B, Sec. 16. Suspension of attorney
by the Court of Appeals or a Regional Trial Court.
The Court of Appeals or Regional Trial Court may suspend
an attorney from practice for any of the causes named in
Rule 138, Section 27 until further action of the Supreme
Court in the case.
LEGAL ETHICS BAR OPERATIONS COMMISSION
FORMS OF DISCIPLINARY MEASURES
(1) Warning – an act or fact of putting one on his guard
against an impending danger, evil consequences or
penalties.
(2) Admonition – a gentle or friendly reproof, mild rebuke,
warning or reminder, counseling, on a fault, error or
oversight; an expression of authoritative advice.
(3) Reprimand – a public and formal censure or severe
reproof, administered to a person in fault by his
superior officer or a body to which he belongs. It is
imposed on a minor infraction of the lawyer’s duty to
the court or client
(4) Suspension – a temporary withholding of a lawyer’s
right to practice his profession as a lawyer for a certain
period or for an indefinite period of time.
(a) Definite
(b) Indefinite – qualified disbarment; lawyer
determines for himself for how long or how short
his suspension shall last by proving to court that he
is once again fit to resume practice of law.
(5) Censure – official reprimand.
(6) Disbarment – the act of the Philippine Supreme Court
in withdrawing from an attorney the privilege to
practice law. The name of the lawyer is stricken out
from the roll of attorneys.
(7) Interim Suspension – the temporary suspension of a
lawyer from the practice of law pending imposition of
final discipline. It includes:
(a) Suspension upon conviction of a serious crime.
(b) Suspension when the lawyer’s continuing conduct
is likely to cause immediate and serious injury to a
client or public.
(8) Probation – a sanction that allows a lawyer to practice
law under specified conditions.
OTHER SANCTIONS AND REMEDIES
(1) Restitution
(2) Assessment of costs
(3) Limitation upon practice
(4) Appointment of a receiver
(5) Requirement that a lawyer take the bar examination or
professional responsibility examination
(6) Requirement that a lawyer attend continuing
education courses
(7) Other requirements that the supreme court or
disciplinary board deems consistent with the purposes
of sanctions
MODIFYING CIRCUMSTANCES
Extent of disciplinary action depends on attendance of
mitigating or aggravating circumstance.
(1) The presence of mitigating circumstances may justify
suspension instead of disbarment, and censure or
reprimand instead of suspension.
(2) Inverse rule applies where aggravating circumstances
are present.
MITIGATING CIRCUMSTANCES
(1) Absence of a prior disciplinary record
(2) Absence of a dishonest or selfish motive;
(3) Personal or emotional problems;
PAGE 38
UP COLLEGE OF LAW LEGAL ETHICS
(4) Timely good faith effort to make restitution or to rectify
consequences of misconduct;
(5) Full and free disclosure to disciplinary board or
cooperative attitude toward proceedings;
(6) Inexperience in the practice of law;
(7) Character or reputation;
(8) Physical or mental disability or impairment;
(9) Delay in disciplinary proceedings;
(10) Interim rehabilitation;
(11) Imposition of other penalties or sanctions;
(12) Remorse;
(13) Remoteness of prior offenses. (IBP Guidelines 9.32)
(14) Others:
(a) Good Faith;
(b) Want of intention to commit a wrong;
(c) Lack of material damage to the complaining
witness;
(d) Desistance of complainant;
(e) Error in judgment;
(f) Honest and efficient service in various government
positions;
(g) Ready admission of the infraction coupled with
explanation and plea for forgiveness;
(h) Clean record of professional service in the past;
(i) Rendered professional services out of pure
generosity;
(j) Punished in another capacity for a misconduct for
which he now faces a disbarment proceeding;
(k) Old Age & long membership (may also be an
aggravation depending on the circumstance);
AGGRAVATING CIRCUMSTANCES
(1) Prior disciplinary offenses;
(2) Dishonest or selfish motive;
(3) A pattern of misconduct;
(4) Multiple offenses;
(5) Bad faith obstruction of the disciplinary proceeding by
intentionally failing to comply with rules or orders of
the disciplinary agency;
(6) Submission of false evidence, false statements, or
other deceptive practices during the disciplinary
process;
(7) Refusal to acknowledge wrongful nature of conduct;
(8) Vulnerability of victim;
(9) Substantial experience in the practice of law;
(10) Indifference to making restitution. (IBP Guidelines 9.22)
(11) Others:
(a) Abuse of authority or of attorney-client
relationship;
(b) Sexual intercourse with a relative;
(c) Making the institution of marriage a mockery;
(d) Charge of gross immorality;
(e) Previous punishment as member of the bar;
(f) Defraud upon the government;
(g) Use of knowledge or information, acquired in the
course of a previous professional employment,
against a former client.
EFFECT OF EXECUTIVE PARDON
(1) Conditional – The disbarment case will not be
dismissed on the basis thereof.
(2) Absolute, before conviction – The disbarment case will
be dismissed. Absolute pardon by the President may
PAGE 39
BAR OPERATIONS COMMISSION
wipe out conviction as well as offense itself and the
grant thereof in favor of a lawyer is a bar to a
proceeding for disbarment against him based solely on
commission of such offense.
(a) The reason is that the respondent lawyer, after the
absolute pardon, is as guiltless and innocent as if
he never committed the offense at all.
(3) Absolute, after conviction – If absolute pardon is given
to lawyer after being disbarred for conviction of a
crime, it does not automatically entitle him to
reinstatement to the bar. It must be shown by evidence
aside from absolute pardon that he is now a person of
good moral character and fit and proper person to
practice law. In case of a conditional pardon, there will
be a remission of unexpired period of sentence.
EFFECT OF SUSPENSION OR DISBARMENT
(1) Cannot practice law without being held liable for
contempt of court
(2) Disbarred for violation of the suspension order
(3) If holding a government office which requires
membership in the bar, dismissal from such office but
this rule does not apply to impeachable officials
However, the suspended or disbarred lawyer may appear
as counsel for himself, the same not being practice of law
but the exercise of a right.
A judgment of suspension or disbarment is always subject
to change or modification by the court.
EFFECT OF DESISTANCE OF COMPLAINANT
The complaint is not dismissed except if the reason of the
withdrawal or desistance is the insufficiency of evidence.
Neither does desistance or withdrawal of the charges
deprive the court of the authority to proceed or determine
the matter.
EFFECTS OF COMPROMISE AGREEMENTS
Dismissal of the administrative case is not warranted
despite a compromise agreement or of the fact that a
complainant forgave a respondent lawyer.
Rationale:
(1) The Court’s disciplinary authority is not dependent on
or cannot be frustrated by the private arrangements
entered into by the parties; otherwise, the prompt and
fair administration of justice, as well as the discipline of
court personnel, will be undermined.
(2) Public interest is at stake in the conduct and actuations
of the officials and employees of the Judiciary.
(3) The Court’s interest in the affairs of the Judiciary is a
paramount concern that bows to no limits. [Benigno
Reas v. Carlos Relacion, (2011)]
EFFECT OF DEATH OF LAWYER DURING PENDENCY OF DISCIPLINARY
ACTION AGAINST HIM
(1) Action rendered moot and academic.
(2) Court may still resolve the case on its merit in order to
clear publicly the name of the lawyer.
UP COLLEGE OF LAW LEGAL ETHICS BAR OPERATIONS COMMISSION

Readmission to the Bar (5) The Sworn Statement shall be considered as proof of
respondent’s compliance with the order of suspension.
xxx [Maniago v. De Dios, (2010)]
READMISSION TO THE BAR
It is the restoration in disbarment proceedings to a LAWYERS WHO HAVE BEEN DISBARRED
disbarred lawyer the privilege to practice law. Guidelines in resolving requests for judicial clemency of
disbarred laywers
The sole object of the court is to determine whether or not (1) There must be proof of remorse and reformation.
the applicant has satisfied and convinced the court by These include testimonials of credible institutions and
positive evidence that the effort he has made toward the personalities.
rehabilitation of his character has been successful. [In re (2) Sufficient time must have lapsed from the imposition
Rusiana,(1974)] of the penalty to ensure a period of reformation.
(3) The age of the person asking for clemency must show
STATUTORY BASIS that he still has productive years ahead of him that can
be put to good use by giving him a chance to redeem
1987 Constitution, Art. VIII, Sec. 5(5). The Supreme Court
himself.
shall have the following powers: …
(4) There must be a showing of promise (intellectual
(5) Promulgate rules concerning the protection and
aptitude, contribution to legal scholarship, etc), and
enforcement of constitutional rights, pleading, practice
potential for public service.
and procedure in all courts, the admission to the practice
(5) Other relevant factors to justify clemency. [Re: Letter of
of law, the integrated bar and legal assistance to the
Judge Diaz (2007)]
under-privileged. Such rules shall provide a simplified and
inexpensive procedure for the speedy disposition of cases
A previously disbarred lawyer who is given absolute pardon
shall be uniform for all courts of the same grade and shall
by the President is not automatically reinstated, he must
not diminish, increase, or modify substantive rights. Rules
still file a petition for reinstatement with the SC.
of procedure of special courts and quasi-judicial bodies
shall remain effective unless disapproved by the Supreme
Court. LAWYERS WHO HAVE BEEN REPATRIATED
Lawyers who reacquire their Philippine citizenship should
apply to the SC for license or permit to practice their
In order that there is reinstatement, the following must be
profession. [Sec. 5(4), RA 9225]
taken into consideration:
(1) The applicant’s character and standing prior to
EFFECTS OF REINSTATEMENT
disbarment;
(1) Recognition of moral rehabilitation and mental fitness
(2) The nature or character of the misconduct for which he
to practice law;
is disbarred;
(2) Lawyer shall be subject to same law, rules and
(3) His conduct subsequent to disbarment [Cui v. Cui,
regulations as those applicable to any other lawyer;
1964]
(3) Lawyer must comply with the conditions imposed on
(4) His efficient government service [In Re: Adriatico,(1910)]
his readmission.
(5) The time that has elapsed between disbarment and
the application for reinstatement and the
Note: Good moral character is not only a condition
circumstances that he has been sufficiently punished
precedent to admission to the practice of law but is a
and disciplined [Prudential Bank v. Benjamin Grecia,
continuing requirement.
(1986)]
(6) Applicant’s appreciation of significance of his
dereliction and his assurance that he now possesses
the requisite probity and integrity;
(7) Favorable endorsement of the IBP and local
government officials and citizens of his community,
Mandatory Continuing
pleas of his loved ones [Yap Tan v. Sabandal, 1989] Legal Education
LAWYERS WHO HAVE BEEN SUSPENDED
GUIDELINES FOR LIFTING THE ORDER OF SUSPENSION
PURPOSE
PURPOSE OF THE MCLE
xxx
(3) Upon expiration of the period of suspension, Continuing legal education is required to ensure that,
respondent shall file a Sworn Statement with the throughout their career, members of the Integrated Bar
Court, through the Office of the Bar Confidant, stating will:
therein that he or she has desisted from the practice of (1) Keep abreast with law and jurisprudence
law and has not appeared in any court during the (2 Maintain the ethics of the profession
period of his or her suspension; (3) Enhance the standards of the practice of law (Rule 1,
(4) Copies of the Sworn Statement shall be furnished to Section 1)
the Local Chapter of the IBP and to the Executive
Judge of the courts where the respondent has pending REQUIREMENTS OF COMPLETION OF THE MCLE
cases handled by him or her, and/or where he or she Members of the IBP not exempt under Rule 7 shall
has appeared as counsel; complete every three (3) years at least thirty-six (36) hours

PAGE 40
UP COLLEGE OF LAW LEGAL ETHICS BAR OPERATIONS COMMISSION

of continuing legal education activities approved by the The initial compliance period after admission or
MCLE Committee. The 36 hours shall be allocated readmission shall begin on the first day of the month of
according to the following: admission or readmission and shall end on the same day
as that of all other members in the same Compliance
Group.
Subject Number of Hours
Legal Ethics At least six (a) Where four (4) months or less remain of the initial
(6) hours compliance period after admission or readmission, the
member is not required to comply with the program
Trial and Pretrial Skills At least four (4) hours requirement for the initial compliance.
Alternative Dispute At least five (5) hours (b) Where more than four (4) months remain of the initial
Resolution compliance period after admission or readmission, the
member shall be required to complete a number of
Updates on Substantive and At least nine (9) hours hours of approved continuing legal education activities
Procedural Law, and equal to the number of months remaining in the
Jurisprudence compliance period in which the member is admitted or
Legal Writing and Oral At least four (4) hours readmitted. Such member shall be required to
Advocacy complete a number of hours of education in legal
ethics in proportion to the number of months
International Law and At least two (2) hours remaining in the compliance period. Fractions of hours
International Conventions shall be rounded up to the next whole number. (Rule 3,
Such subjects as may be Six (6) hours Section 3)
prescribed by the MCLE
Committee EXEMPTIONS
Some members of the Bar such as the President, Vice
[Statutory Basis: Bar Matter 850, Rule 2, Section 2] President, Senators, Members of the House of
Representatives, justices of the Supreme Court, among
COMPLIANCE others, are exempted from the MCLE requirement. (See
INITIAL COMPLIANCE PERIOD Rule 7, Sec. 1)
The initial compliance period shall begin not later than
three (3) months from the adoption of Bar Matter 850. OTHER PARTIES EXEMPTED FROM THE MCLE
The following Members of the Bar are likewise exempt:
Except for the initial compliance period for members (a) Those who are not in law practice, private or public.
admitted or readmitted after the establishment of the (b) Those who have retired from law practice with approval
program, all compliance periods shall be for thirty-six (36) of the IBP Board of Governors. (Rule 7, Section 2)
months and shall begin the day after the end of the
previous compliance period. (Rule 3, Section 1) GOOD CAUSE FOR EXEMPTION FROM OR MODIFICATION
OF REQUIREMENT
COMPLIANCE GROUPS A member may file a verified request setting forth good
Members of the IBP not exempt from the MCLE cause for exemption (such as physical disability, illness,
requirement shall be divided into three (3) compliance post graduate study abroad, proven expertise in law, etc.)
groups, namely: from compliance with or modification of any of the
(a) Compliance Group 1. - Members in the National Capital requirements, including an extension of time for
Region (NCR) or Metro Manila are assigned to compliance, in accordance with a procedure to be
Compliance Group 1. established by the MCLE Committee. (Rule 7, Section 3)
(b) Compliance Group 2. - Members in Luzon outside NCR
are assigned to Compliance Group 2. CHANGE OF STATUS
(c) Compliance Group 3. - Members in Visayas and The compliance period shall begin on the first day of the
Mindanao are assigned to Compliance Group 3. month in which a member ceases to be exempt under
Sections 1, 2, or 3 of this Rule and shall end on the same
Nevertheless, members may participate in any legal day as that of all other members in the same Compliance
education activity wherever it may be available to earn Group. (Rule 7, Section 4)
credit unit toward compliance with the MCLE requirement.
(Rule 3, Section 2) PROOF OF EXEMPTION
Applications for exemption from or modification of the
COMPLIANCE PERIOD OF MEMBERS ADMITTED OR READMITTED MCLE requirement shall be under oath and supported by
AFTER ESTABLISHMENT OF THE PROGRAM documents. (Rule 7, Section 5)
Members admitted or readmitted to the Bar after the
establishment of the program shall be assigned to the SANCTIONS
NON-COMPLIANCE FEE
appropriate Compliance Group based on their Chapter
membership on the date of admission or readmission. A member who, for whatever reason, is in non-compliance
at the end of the compliance period shall pay a non-
compliance fee. (Rule 13, Section 1)

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LISTING AS DELINQUENT MEMBER
A member who fails to comply with the requirements after
the sixty (60) day period for compliance has expired, shall
be listed as a delinquent member of the IBP upon the
recommendation of the MCLE Committee.
The investigation of a member for non-compliance shall be
conducted by the IBP's Commission on Bar Discipline as a
fact-finding arm of the MCLE Committee. (Rule 13, Section
2)
ACCRUAL OF MEMBERSHIP FEE
Membership fees shall continue to accrue at the active rate
against a member during the period he/she is listed as a
delinquent member. (Section 3)
Note: Bar Matter No. 1922 - Re: Recommendation of the
Mandatory Continuing Legal Education (MCLE) Board to
Indicate in All Pleadings Filed with the Courts the Counsel's
MCLE Certificate of Compliance or Certificate of Exemption.
(1) Due to the diminishing interest of the members of the
Bar in the MCLE requirement program as noted in the
Letter of Justice Eduardo Nachura, the Court resolved,
upon the recommendation of the Committee on Legal
Education and Bar Matters, to REQUIRE practicing
members of the bar to INDICATE in all pleadings filed
before the courts of quasi-judicial bodies, the number
and date of issue of their MCLE Certificate of Compliance
or Certificate of Exemption, as may be applicable, for
the immediately preceding compliance period.
(2) Failure to disclose the required information would cause
the dismissal of the case and the expunction of the
pleadings from the records.
Notarial Practice
Notary Public or a notary is any person commissioned to
perform official acts
(1) Acknowledgements;
(2) Oaths and affirmations;
(3) Jurats;
(4) Signature witnessing;
(5) Copy certifications; and
(6) Any other act authorizes in the rules
Purpose: To verify the personal appearance of affiant and
the genuineness of signature
To authenticate document and verify due execution,
making document admissible in evidence without proof of
authenticity
Notarization is not an empty, meaningless, routinary act. It
is invested with substantive public interest, such that only
those who are qualified or authorized may act as notaries
public…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
acknowledgement executed by a notary public. [Baylon v.
Almo, (2008)]
PAGE 42
BAR OPERATIONS COMMISSION
QUALIFICATIONS OF NOTARY PUBLIC
(1) Citizen of the Philippines
(2) Over 21 years of age
(3) Philippine resident for at least 1 year and maintains a
regular place of work or business in the city or province
where the commission is to be issued
(4) Member of the Philippine Bar in good standing, with
clearances from the Bar Confidant of the SC and the
IBP
(5) No conviction in the first instance for any crime
involving moral turpitude
Note: When there are no persons with the necessary
qualifications OR where there are qualified persons but
they refuse appointment, a notary public does NOT have to
be a lawyer. The following persons may be appointed as
notaries:
(1) Those who have passed the studies of law in a
reputable university
(2) A clerk or deputy clerk of court for a period of not less
than two years
TERM OF OFFICE OF NOTARY PUBLIC
A notarial commission is granted by an executive judge
after petition of the lawyer, and is good for two years
st
commencing on the 1 day of January of the year in which
the commission is made UNLESS earlier revoked or the
notary public has resigned according to these Rules and the
Rules of Court. [Rule III, Sec. 11].
Every petition undergoes a hearing and approved after:
(1) Petition is proven sufficient in form and substance
(2) Petitioner proves allegations in petition
(3) Petitioner establishes to the satisfaction of the court
that he has read and understood the Rules on Notarial
Practice
POWERS AND LIMITATIONS
AUTHORITY OF THE NOTARY
What can be notarized: A notary can notarize any
document, upon request of affiant.
Sec. 1. Powers. – A notary public is
(a) Empowered to perform the following material acts:
(1) Acknowledgments;
(2) Oaths and affirmations;
(3) Jurats;
(4) Signature witnessings;
(5) Copy certifications; and
(6) Any other act authorized by these rules
(b) Authorized to certify the affixing of a signature by
thumb or mark on an instrument or document
presented for notarization if:
(1) The thumb or other mark is affixed in the presence
of the notary public and two (2) disinterested and
unaffected witnesses to the instrument or
document;
(2) Both witnesses sign their own names in addition of
the thumb or other mark;
(3) The notary public writes below the thumb or other
mark: “Thumb or Other Mark affixed by (name and
addresses of witnesses) and undersigned notary
UP COLLEGE OF LAW LEGAL ETHICS BAR OPERATIONS COMMISSION

public”; and (e) That they acknowledged personally before him that
(4) The notary public notarizes the signature by thumb they voluntarily and freely executed the same
or other mark through an acknowledgement, jurat, (2) Converts a private document into a public one and
or signature witnessing renders it admissible in court without further proof of
(c) Authorized to sign on behalf of a person who is its authenticity
physically unable to sign or make a mark on an (3) Documents enjoy a presumption of regularity. It
instrument or document if: constitutes prima facie evidence of facts which give rise
(1) The notary public is directed by the person unable to their execution and of the date of said execution, but
to sign or make a mark to sign on his behalf; not of the truthfulness of the statements
(2) The signature of the notary public is affixed in the
presence of two disinterested and unaffected Reason: The law assumes that the act which the officer
witnesses to the instrument or document; witnessed and certified to or the date written by him is not
(3) Both witnesses sign their own names; shown to be false since notaries are public officers
(4) The notary public writes below his signature:
PUNISHABLE ACTS
“Signature affixed by notary in presence of (names
and addresses of person and two (2) witnesses)” ; The Executive Judge shall cause the prosecution of any
and person who:
(5) The notary public notarizes his signature by (1) Knowingly acts or otherwise impersonates a notary
acknowledgement or jurat public
(2) Knowingly obtains, conceals, defaces, or destroys the
seal, notary register, or official records of a notary
Irregularity in person
public
Disqualifications
(3) Knowingly solicits, coerces, or in any way influences a
(1) If notary is personally a party to the instrument [Villarin
notary public to commit official misconduct [Rule XII,
v Sabate, AC No. 3224, Feb. 2000]
Sec. 1]
(2) If he will receive as an indirect and direct result any
commission, fee, advantage, right, title, interest, cash,
By respondent’s reckless act of notarizing the Deed of
property, or other consideration in excess of what is
Absolute Sale without ascertaining the vendors signatories
provided in these rules
thereto were the very same persons who executed it and
(3) If notary is a spouse, common-law partner, ancestor,
personally appeared before him to attest to the contents
descendant, or relative by affinity or consanguinity of
and the truth of what were stated therein. [Aquino v.
the principal up to the fourth degree [Rule IV, Sec. 3]
Manese (2003)]
Mandatory refusal to notarize
Respondent notarized the Special Power of Attorney,
(1) If the transaction is unlawful or immoral
purportedly bearing the signature of Benitez, on Jan. 4,
(2) If the signatory shows signs that he does not
2001 or more than two months after the latter’s death.
understand consequences of the act, per the notary’s
Clearly, the respondent lied and intentionally perpetuated
judgment
an untruthful statement. [Sicat v Ariola (2005)]
(3) If the signatory appears not to act of his own free will,
per the notary’s judgment
Respondent antedated a document in order to exculpate
(4) If the document or instrument to be notarized is
someone from being convicted of the Anti-Dummy Law,
considered as an improper document by these Rules
which is a violation of Rule 1.01 of Canon 1 of the Code of
Professional Responsibility as well as the 2004 Rules on
Note: Improper Instrument/Document is a blank or
Notarial Practice. [Mondejar v. Rubia (2006)]
incomplete instrument or document without appropriate
notarial certification [Rule IV, Sec. 6]
NOTARIAL REGISTER
A chronological official notarial register of notarial acts
Citing Albano v. Mun. Judge Gapusan, A.M. No. 1022-MJ,
consisting of a permanently bound book with numbered
(1976), the Court ruled that a notary public should not
pages. There must only be one active register ay any given
facilitate the disintegration of marriage and the family by
time.
encouraging the separation of the spouses and
extrajudicially dissolving the conjugal partnership through
ENTRIES IN THE NOTARIAL REGISTER
the notarization of a “Kasunduan Ng Paghihiwalay.”
(1) The following:
[Espinosa v. Omaña (2011)]
(a) Entry number and page number;
(b) Date and time of day of the notarial act;
EFFECTS OF NOTARIZATION
(c) Type of notarial act; the title or description of the
(1) The notary in effect proclaims to the world:
instrument, document or proceeding;
(a) That all parties therein personally appeared before
(d) The name and address of each principal;
him
(e) The competent evidence of identity as defined by
(b) That they are personally known to him
these Rules if the signatory is not personally known
(c) That they are the same persons who executed the
to the notary;
instrument
(f) The name and address of each credible witness
(d) That he inquired into the voluntariness of the
swearing to or affirming the person's identity;
execution of the instrument; and

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(g) The fee charged for the notarial act;
(h) The address where the notarization was performed
if not in the notary's regular place of work or
business; and
(i) Any other circumstance the notary public may
deem of significance or relevance.
(2) Circumstances of any request to inspect or copy an
entry in the notarial register, including
(a) The requester's name,
(b) Address
(c) Signature
(d) Thumb mark or other recognized identifier, and
(e) Evidence of identity.
The reasons for refusal to allow inspection or copying of a
journal entry shall also be recorded.
(3) 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.
(4) 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.
(5) In case of a protest of any draft, bill of exchange or
promissory note, the notary public shall
(a) Make a full and true record of all proceedings in
relation thereto and
(b) 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 not,
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.
(6) 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.
(7) A certified copy of each month's entries and a duplicate
original copy of any instrument acknowledged before
the notary public shall, within the first ten (10) days of
the month following, be forwarded to the Clerk of
Court and shall be under the responsibility of such
officer. If there is no entry to certify for the month, the
notary shall forward a statement to this effect in lieu of
certified copies herein required.
Official signature – signed by hand, not by facsimile stamp
or printing device, and at the time of the notarization
LEGAL ETHICS BAR OPERATIONS COMMISSION
Official seal – two-inch diameter seal with the words
“Philippines”, attorney’s name at the margin and the roll of
attorney’s number.
For vendors, the sale of the seal may only be upon judicial
authority, for a period of 4 years.
For buyers, a certified copy of the commission is necessary
for purchase. One seal per certificate.
The act of a lawyer notarizing a Special Power of Attorney
knowing that the person who allegedly executed it is dead is
a serious breach of the sacred obligation imposed upon
him by the Code of Professional Responsibility, specifically
Rule 1.01 of Canon 1. [Sicat v. Arriola, (2005)]
A lawyer is guilty of misconduct in the performance of his
duties if he fails to register in his notarial register the
affidavits-complaints which were filed in an administrative
case before the Civil Service Commission. [Aquino v.
Pascua, (2007)]
JURISDICTION OF NOTARY PUBLIC AND PLACE OF
NOTARIZATION
In any place within the territorial jurisdiction of the
commissioning court for a period of two (2) years
commencing the first day of January of the year in which the
commissioning is made, unless earlier revoked or the
notary public has resigned under these Rules and the
Rules of Court.
General Rule: Notarization of document must be at the
notary public’s regular place of work.
Exceptions:
(1) In public offices, convention halls and other places
where oaths of office are administered, public function
areas in hotels and similar areas used for the signing of
instruments or documents requiring notarization
(2) Hospitals and other medical institutions where a part
to an instrument is confined for treatment
(3) Any place where a party to the instrument requiring
notarization is under detention
REVOCATION OF COMMISSION
RULE XI Sec. 1. Revocation and Administrative Sanctions. –
(a) The Executive Judge shall revoke a notarial commission
for any ground on which an application for a
commission may be denied.
(b) In addition, the Executive Judge may revoke the
commission of, or impose appropriate administrative
sanctions upon, any notary public who:
(1) fails to keep a notarial register;
(2) fails to make the proper entry or entries in his
notarial register concerning his notarial acts;
(3) fails to send the copy of the entries to the Executive
Judge within the first ten (10) days of the month
following;
(4) fails to affix to acknowledgments the date of
expiration of his commission;
(5) fails to submit his notarial register, when filled, to
the Executive Judge;
(6) fails to make his report, within a reasonable time, to
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the Executive Judge concerning the performance of
his duties, as may be required by the judge;
(7) fails to require the presence of a principal at the
time of the notarial act;
(8) fails to identify a principal on the basis of personal
knowledge or competent evidence;
(9) executes a false or incomplete certificate under
Section 5, Rule IV;
(10) knowingly performs or fails to perform any other
act prohibited or mandated by these Rules; and
(11) commits any other dereliction or act which in the
judgment of the Executive Judge constitutes good
cause for revocation of commission or imposition of
administrative sanction.
(5) In either case, the aggrieved party may appeal the
decision to the Supreme Court for review. Pending
the appeal, an order imposing disciplinary
sanctions shall be immediately executory, unless
otherwise ordered by the Supreme Court.
(d) The Executive Judge may motu proprio initiate
administrative proceedings against a notary public,
subject to the procedures prescribed in paragraph (c)
above and impose the appropriate administrative
sanctions on the grounds mentioned in the preceding
paragraphs (a) and (b).

COMPETENT EVIDENCE OF IDENTITY

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

Notaries public must observe utmost care in complying

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

A lawyer commissioned as notary public is mandated to

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

SANCTIONS
RULE XI Sec. 1. Revocation and Administrative Sanctions. –
xxx
(c) Upon verified complaint by an interested, affected or
aggrieved person, the notary public shall
(1) be required to file a verified answer to the
complaint.
(2) If the answer of the notary public is not satisfactory,
the Executive Judge shall conduct a summary
hearing.
(3) If the allegations of the complaint are not proven,
the complaint shall be dismissed.
(4) If the charges are duly established, the Executive
Judge shall impose the appropriate administrative
sanctions.

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Rules on Judicial Ethics
(1) New Code of Judicial Conduct for the Philippine
Judiciary (Bangalore Draft)
(2) Code of Judicial Conduct
JUDICIAL ETHICS
Branch of moral science which treats of the right and
proper conduct to be observed by all judges and
magistrates in trying and deciding controversies brought
to them for adjudication which conduct must be
demonstrative of impartiality, integrity, competence,
independence and freedom from improprieties.
JUDGE
A public officer who, by virtue of his office, is clothed with
judicial authority, a public officer lawfully appointed to
decide litigated questions in accordance with law.
DE JURE JUDGE
One who is exercising the office of judge as a matter of
right; an officer of a court who has been duly and legally
appointed, qualified and whose term has not expired.
DE FACTO JUDGE
An officer who is not fully invested with all the powers and
duties conceded to judges, but is exercising the office of a
judge under some color of right.
QUALIFICATIONS OF SC MEMBERS
(a) Natural born citizen
(b) At least 40 years of age
(c) Must have been for at least 15 years a judge of a lower
court or engaged in the practice of law [Sec. 7 (1), Art.
VIII, 1987 Constitution]
QUALIFICATIONS OF RTC JUDGES
(a) Filipino citizenship (natural born or naturalized)
(b) At least 35 years of age
(c) For at least 10 years has been engaged in the practice
of law in the Philippines or has held public office
requiring admission to the practice of law as an
indispensable requisite
QUALIFICATIONS OF MTC JUDGES
(a) Filipino citizenship (natural born or naturalized)
(b) At least 30 years of age;
(c) For at least five years has been engaged in the practice
of law in the Philippines or has held public office
requiring admission to the practice of law as an
indispensable requisite.
NEW CODE OF JUDICIAL CONDUCT (BANGALORE
DRAFT)
Independence
Integrity
Impartiality
Propriety
Equality
Competence and Diligence
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
Qualities
INDEPENDENCE
Canon 1. Judicial independence is a prerequisite to the rule
of law and a fundamental guarantee of a fair trial. A judge
shall therefore uphold and exemplify judicial
independence in both its individual and institutional
aspects.
MEMORY AID FOR SECTIONS UNDER CANON 1:
(a) Independent judicial function (Sec. 1)
(b) Outside pressure (Sec. 2)
(c) Influencing outcome of litigation (Sec. 3)
(d) Influence on judicial conduct (Sec. 4)
(e) Independence from executive and legislative (Sec. 5)
(f) Independence from society and particular parties (Sec.
6)
(g) Safeguards for judicial independence (Sec. 7)
(h) Promote Public confidence (Sec. 8)
INDEPENDENT JUDICIAL FUNCTION
Sec. 1 Judges shall exercise the judicial function
independently on the basis of their assessment of the facts
and in accordance with a conscientious understanding of
the law, free of any extraneous influence, inducement,
pressure, threat or interference, direct or indirect, from any
quarter or for any reason.
A judge found defendants guilty beyond reasonable doubt
of the crime of Rape with Homicide. However, he
sentenced the accused with reclusion perpetua instead of
the death, as unequivocally required by RA 7659. A court of
law is no place for a protracted debate on the morality or
propriety of the sentence, where the law itself provides for the
sentence of death as a penalty in specific and well-defined
instances. [People v. Veneracion (1995)]
Mass media has its duty to fearlessly but faithfully inform
the public about events and persons. However, when a case
has received wide and sensational publicity, the trial court
should be doubly careful not only to be fair and impartial but
also to give the appearance of complete objectivity in its
handling of the case. [Go v. CA, 206 SCRA 165]
OUTSIDE PRESSURE
Sec. 2. In performing judicial duties, Judges shall be
independent from judicial colleagues in respect of
decisions which the judge is obliged to make
independently.
The discretion of the Court to grant bail must be based on
the Court’s determination as to whether or not the
evidence of guilt is strong.
This discretion may be exercised only after the evidence
has been submitted at the summary hearing conducted
pursuant to Sec. 7 of Rule 114 of the Rules. Respondent’s
admission that he granted bail to an accused upon the
request of a Congressman, despite his belief that the
evidence of guilt against said is strong, is indeed
reprehensible. [Tahil v. Eisma (1975)]
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INFLUENCING OUTCOME OF LITIGATION
Sec. 3. Judges shall refrain from influencing in any manner
the outcome of litigation or dispute pending before
another court or administrative agency.
Interference by members of the bench in pending suits
with the purpose of influencing the course or the result of
the litigation subvert the independence of the judiciary.
[Sabitsana, Jr. v. Villamor, 202 SCRA 445 (1991)]
INFLUENCE ON JUDICIAL CONDUCT
Sec. 4. Judges shall not allow family, social or other
relationships to influence judicial conduct or judgment.
The prestige of judicial office shall not be used or lent to
advance the private interests of others, nor convey or
permit others to convey the impression that they are in a
special position to influence the judge.
“Judge’s family” includes a judge’s spouse, son, daughter,
son-in-law, daughter-in-law, and any other relative by
consanguinity or affinity within the sixth civil degree, or
person who is a companion or employee of the judge and
who lives in the judge’s household. [Definitions, Bangalore
Draft]
Constant company with a lawyer tends to breed intimacy
and camaraderie to the point that favors in the future may
be asked from respondent judge which he may find hard to
resist. The actuation of respondent Judge of eating and
drinking in public places with a lawyer who has pending
cases in his sala may well arouse suspicion in the public
mind, thus tending to erode the trust of the litigants in the
impartiality of the judge. [Padilla v. Zantua (1994)]
INDEPENDENCE FROM EXECUTIVE AND LEGISLATIVE
Sec. 5. Judges shall not only be free from inappropriate
connections with and influence by the executive and
legislative branches of government but must also appear
to be free therefrom to a reasonable observer.
While it is true that Justice Sabio could not have possibly
known prior to his brother's call that his brother intended
to speak to him about the Meralco-GSIS case, the fact
remains that Justice Sabio continued to entertain a call
from his brother, who also happens to be an officer of the
executive branch, despite realizing that the conversation
was going to involve a pending case. Justice Sabio asks the
Court if he should have immediately slammed the phone
on his brother. Certainly, such boorish behavior is not
required. However, as soon as Justice Sabio realized that
his brother intended to discuss a case pending before him
or in his division, Justice Sabio should have respectfully but
firmly ended the discussion….That Justice Sabio did not do
as his brother asked is of no moment. Section 5, Canon 1 of
the Code of Judicial Conduct maintains such a high bar of
ethical conduct that actual influence is not a prerequisite
before a violation is deemed committed. If a magistrate's
actions allow even just the appearance of being influenced,
it is deemed a violation. [Re: Letter of Presiding Justice
Conrado M. Vasquez, Jr. A.M. No. 08-8-11-CA]
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
INDEPENDENCE FROM SOCIETY AND PARTICULAR PARTIES
Sec. 6. Judges shall be independent in relation to society in
general and in relation to the particular parties to a
dispute which he or she has to adjudicate.
[Respondent’s] act of sending a member of his staff to talk
with complainant and show copies of his draft decisions,
and his act of meeting with litigants outside the office
premises beyond office hours violate the standard of
judicial conduct required to be observed by members of
the Bench. [Tan v. Rosete (2004)]
SAFEGUARDS FOR JUDICIAL INDEPENDENCE
Sec. 7. Judges shall encourage and uphold safeguards for
the discharge of judicial duties in order to maintain and
enhance the institutional and operational independence of
the judiciary.
The Code of Judicial Conduct mandates judges to
administer justice without delay and directs every judge to
dispose of the court’s business promptly within the period
prescribed by the law and the rules… Delay ultimately
affects the image of the judiciary. Failure to comply with
the mandate of the Constitution and of the Code of Judicial
Conduct constitutes serious misconduct, which is
detrimental to the honor and integrity of a judicial office.
Inability to decide a case despite the ample time
prescribed is inexcusable, constitutes gross inefficiency,
and warrants administrative sanction of the defaulting
judge. [Salud v. Alumbres, (2003)]
PROMOTE PUBLIC CONFIDENCE
Sec. 8. Judges shall exhibit and promote high standards of
judicial conduct in order to reinforce public confidence in
the judiciary which is fundamental to the maintenance of
judicial independence.
[A judge] should always be imbued with a high sense of
duty and responsibility in the discharge of his obligation to
promptly and properly administer justice. He must view
himself as a priest for the administration of justice is akin
to a religious crusade. [Dimatulac et al v. Villon, (1998)]
INTEGRITY
Canon 2. Integrity is essential not only to the proper
discharge of the judicial office but also to the personal
demeanor of judges.
MEMORY AID FOR SECTIONS UNDER CANON 2
(a) Conduct above reproach (Sec. 1)
(b) Reaffirm people’s faith (Sec. 2)
(c) Disciplinary action (Sec. 3)
While the 1989 Code grouped the values of integrity and
independence together, the New Code of Judicial Conduct
has separated them, emphasizing the need for judges to
maintain a life of personal and professional integrity in
order to properly carry out their judicial functions.
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CONDUCT ABOVE REPROACH
Sec. 1. Judges shall ensure that not only is their conduct
above reproach, but that it is perceived to be so in the view
of a reasonable observer.
[W]e have repeatedly admonished our judges to adhere to
the highest tenets of judicial conduct. They must be the
embodiment of competence, integrity and independence.
The exacting standards of conduct demanded from judges
are designed to promote public confidence in the integrity
and impartiality of the judiciary because the people's
confidence in the judicial system is founded not only on the
magnitude of legal knowledge and the diligence of the
members of the bench, but also on the highest standard of
integrity and moral uprightness they are expected to
possess. When a judge becomes the transgressor of any
law which he is sworn to apply, he places his office in
disrepute, encourages disrespect for the law and impairs
public confidence in the integrity and impartiality of the
judiciary itself. It is therefore paramount that a judge's
personal behavior both in the performance of his duties
and daily life, be free from any appearance of impropriety
as to be beyond reproach. [Tan v. Rosete (2004)]
Judges have been penalized for:
(a) Demanding and/or accepting bribes
(b) Fraternizing with litigants and/or lawyers
(c) Altering orders
(d) Delay in rendering
(e) Sexual harassment of employees
(f) Ignorance of the law
(g) Keeping and/or flaunting a mistress
(h) Inebriated behavior
(i) Frequenting casinos and cock fights
(j) Incompetence
(k) Conducting hearings in their residence
(l) Using intemperate language
Ignorance of the law is a mark of incompetence
When the inefficiency springs from a failure to consider so
basic and elemental a rule, a law or principle in the
discharge of his duties, a judge is either too incompetent
and undeserving of the position and title he holds, or he is
too vicious that the oversight or omission was deliberately
done in bad faith and in grave abuse of judicial authority.
In both instances, the judge's dismissal is in order.
[Macalintal v. Teh (1997)]
REAFFIRM PEOPLE’S FAITH
Sec. 2. The behavior and conduct of judges must reaffirm
the people's faith in the integrity of the judiciary. Justice
must not merely be done but must also be seen to be
done.
"Justice must not merely be done but must also be seen to
be done”
This phrase emphasizes the importance of the public
perception of the judiciary, not because the judicial
department intends to be influenced thereby, but because
it is essential that public confidence is always reposed in
the judicial systems and processes.
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[A] judge's official conduct and his behavior in the
performance of judicial duties should be free from the
appearance of impropriety and must be beyond reproach.
One who occupies an exalted position in the
administration of justice must pay a high price for the
honor bestowed upon him, for his private as well as his
official conduct must at all times be free from the
appearance of impropriety. Because appearance is as
important as reality in the performance of judicial
functions, like Caesar's wife, a judge must not only be pure
but also beyond suspicion. A judge has the duty to not only
render a just and impartial decision, but also render it in
such a manner as to be free from any suspicion as to its
fairness and impartiality, and also as to the judge's
integrity. * * * It is obvious, therefore, that while judges
should possess proficiency in law in order that they can
competently construe and enforce the law, it is more
important that they should act and behave in such a
manner that the parties before them should have
confidence in their impartiality. [Sibayan-Joaquin v.
Javellana (2001]
A judge must not only be honest but also appear to be so;
not only be a good judge, but also a good person. [Dawa v.
De Asa (1998)]
A judge must be free of a whiff of impropriety not only with
respect to his performance of his judicial duties, but also to
his behavior outside his sala and as a private individual.
There is no dichotomy of morality: a public official is also
judged by his private morals. [Castillo v. Calanog (1991)]
DISCIPLINARY ACTION
Sec. 3. Judges should take or initiate appropriate
disciplinary measures against lawyers or court personnel
for unprofessional conduct of which the judge may have
become aware.
Oftentimes…leniency provides the court employees the
opportunity to commit minor transgressions of the laws
and slight breaches of official duty ultimately leading to
vicious delinquencies. The respondent judge should
constantly keep a watchful eye on the conduct of his
employees. He should realize that big fires start small. His
constant scrutiny of the behavior of his employees would
deter any abuse on the part of the latter in the exercise of
their duties. Then, his subordinates would check that any
misdemeanor will not remain unchecked. The slightest
semblance of impropriety on the part of the employees of
the court in the performance of their official duties stirs
ripples of public suspicion and public distrust of the
judicial administrators. The slightest breach of duty by and
the slightest irregularity in the conduct of court officers
and employees detract from the dignity of the courts and
erode the faith of the people in the judiciary. [Buenaventura
v. Benedicto (1971)]
IMPARTIALITY
Canon 3. Impartiality is essential to the proper discharge of
the judicial office. It applies not only to the decision itself
but also to the process by which the decision is made.
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MEMORY AID FOR SECTIONS UNDER CANON 3
(a) Judicial duties free from bias (Sec. 1)
(b) Promote confidence, impartiality (Sec. 2)
(c) Minimize instances of disqualification (Sec. 3)
(d) Public comments; pending and impending case (Sec.
4)
(e) Disqualifications (Sec. 5)
(f) Remittal of disqualifications (Sec.6)
JUDICIAL DUTIES FREE FROM BIAS
Sec. 1. Judges shall perform their judicial duties without
favor, bias or prejudice.
To sustain a claim of bias or prejudice, the resulting
opinion must be based upon an extrajudicial source: that is,
some influence other than the facts and law presented in
the courtroom. In the United States, this is known as the
Extra-Judicial Source Rule.
Because allegations of bias are quite serious, the person
bringing the allegation must prove bias sufficient to
require inhibition (also called recusal or disqualification)
with clear and convincing evidence. Bare allegations of
partiality and prejudgment will not suffice. [Dimo Realty &
Dev. Inc. v. Dimaculangan (2004)]
A judge's conduct must be clearly indicative of
arbitrariness and prejudice before it can be stigmatized as
biased and partial. [Cruz v. Iturralde, (2003)]
PROMOTE CONFIDENCE, IMPARTIALITY
Sec. 2. Judges shall ensure that his or her conduct both in
and out of court, maintains and enhances the confidence
of the public, the legal profession and litigants in the
impartiality of the judge and of the judiciary.
This provision is designed to maintain and improve public
confidence in the entire judiciary as an impartial dispenser
of justice.
The intendment of the above provision of the Rules of
Court is not difficult to find. Its rationale is predicated in
the long standing precept that no judge should handle a
case in which he might be perceived, rightly or wrongly, to
be susceptible to bias and impartiality. His judgment must
not be tainted by even the slightest suspicion of improbity
or preconceived interest. The rule is aimed at preserving at
all times the faith and confidence in courts of justice by any
party to the litigation. [Urbanes, Jr. v.CA (2001)]
A judge should behave at all times in a way that promotes
public confidence in the integrity and impartiality of the
judiciary. The appearance of bias or prejudice can be as
damaging to public confidence and the administration of
justice as actual bias or prejudice. [Montemayor v. Bermejo,
Jr. (2004)]
In disposing of a criminal case, a judge should avoid
appearing like an advocate for either party. It is also
improper for the judge to push actively for amicable
settlement against the wishes of the complainant. A
judge’s unwelcome persistence makes the judge
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
vulnerable to suspicions of favoritism. [Montemayor v.
Bermejo, Jr. (2004)]
MINIMIZE INSTANCES OF DISQUALIFICATIONS
Sec. 3. Judges shall, so far as is reasonable, so conduct
themselves as to minimize the occasions on which it will be
necessary for them to be disqualified from hearing or
deciding cases.
Judges may, in their exercise of sound discretion, restrict
themselves voluntarily from sitting in a case, but such a
decision should be based on good, sound or ethical
grounds, or for just and valid reasons. It is not enough that a
party casts some tenuous allegations of partiality at the
judge. No less than imperative is that it is the judge's
sacred duty to administer justice without fear or favor.
The majority view is that the rule of disqualification of
judges must yield to demands of necessity. Simply stated,
the rule of necessity means that a judge is not disqualified
to sit in a case if there is no other judge available to hear and
decide the case. For example, members of the Supreme
Court were entitled to adjudicate the validity of a statue
placing a limit of 5 percent in the costs of living increase
for judges, where it was apparent that all state judges had
at least an involuntarily financial interest in the case…
Actual disqualification of a member of a court of last resort
will not excuse the member from performing his official
duty if failure to do so would result in a denial of a litigant's
constitutional right to have a question, properly presented
to the court, adjudicated. In other words, when all judges
would be disqualified, disqualification will not be
permitted to destroy the only tribunal with power in the
premises. The doctrine operates on the principle that a
basic judge is better than no judge at all. Under such
circumstances, it is the duty of the disqualified judge to
hear and decide the controversy, however disagreeable it
may be. [Parayno v. Meneses, (1994)]
PUBLIC COMMENTS; PENDING AND IMPENDING CASE
Sec. 4. Judges shall not knowingly, while a proceeding is
before or could come before them, make any comment
that might reasonably be expected to affect the outcome
of such proceeding or impair the manifest fairness of the
process. Nor shall judges make any comment in public or
otherwise that might affect the fair trial of any person or
issue.
This Section warns judges against making any comment
that might reasonably be expected to affect the outcome
of the proceedings before them or "impair the manifest
fairness of the process.”
Judges should avoid side remarks, hasty conclusions, loose
statements or gratuitous utterances that suggest they are
prejudging a case. Judges should be aware that the media
might consider them a good and credible source of opinion
or ideas, and therefore should refrain from making any
comment on a pending case. Not only is there danger of
being misquoted, but also of compromising the rights of the
litigants in the case.
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The Supreme Court has recently held that judges and
justices are not disqualified from participating in a case
simply because they have written legal articles on the law
involved in the case. [Chavez v. Public Estates Authority
(2003)]
DISQUALIFICATIONS
Sec. 5. Judges shall disqualify themselves from
participating in any proceedings in which they are unable
to decide the matter impartially or in which it may appear
to a reasonable observer that they are unable to decide the
matter impartially. Such proceedings include, but are not
limited to, instances where:
(a) The judge has actual bias or prejudice concerning a
party or personal knowledge of disputed evidentiary
facts concerning the proceedings;
(b) The judge previously served as a lawyer or was a
material witness in the matter in controversy;
(c) The judge, or a member of his or her family, has an
economic interest in the outcome of the matter in
controversy;
(d) The judge served as executor, administrator, guardian,
trustee or lawyer in the case or matter in controversy,
or a former associate of the judge served as counsel
during their association, or the judge or lawyer was a
material witness therein;
(e) The judge's ruling in a lower court is the subject of
review;
(f) The judge is related by consanguinity or affinity to a
party litigant within the sixth civil degree or to counsel
within the fourth civil degree; or
(g) The judge knows that his or her spouse or child has a
financial interest, as heir, legatee, creditor, fiduciary, or
otherwise, in the subject matter in controversy or in a
party to the proceeding, or any other interest that could
be substantially affected by the outcome of the
proceedings
Grounds for Disqualification and Inhibition of Judges under
the Rules of Court
Mandatory or Compulsory Disqualification [Rule 131, ROC]
(a) He or his wife or his child is pecuniarily interested as
heir, legatee, creditor or otherwise;
(b) Relation to either party within the sixth degree of
consanguinity or affinity or to counsel within the 4th
civil degree
(c) When he has been an executor, guardian,
administrator, trustee or counsel;
(d) When he has presided in an inferior court where his
ruling or decision is subject to review.
Voluntary Inhibition
A judge may, in the exercise of his sound discretion
disqualify himself, for just and valid reasons other than
those mentioned above. [Rule 137, Section 1]
This leaves the discretion to the judge to decide for himself
questions as to whether he will desist from sitting in case
for other just and valid reasons with only his conscience to
guide him, unless he cannot discern for himself his inability
to meet the test of the cold neutrality required of him, in
which event the appellate court will see to it that he
disqualifies himself.
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
A decision to disqualify himself is not conclusive and his
competency may be determined on application for
mandamus to compel him to act. Judge’s decision to
continue hearing a case in which he is not legally
prohibited from trying notwithstanding challenge to his
objectivity may not constitute reversible error.
The filing of an administrative case against a judge does
not disqualify him from hearing a case. The court has to be
shown other than the filing of administrative complaint, act
or conduct of judge indicative of arbitrariness or prejudice
before the latter being branded as the stigma of being
biased or partial. [Lorenzo v. Marquez (1988)]
Disqualification Inhibition
Basis
Specific and Exclusive No specific grounds BUT
there is a broad basis for
such, i.e. good, sound ethical
grounds
Role of the Judicial Order
Judicial officer has no The matter is left to the
discretion to sit or try the sound discretion of the judge
case
REMITTAL OF DISQUALIFICATIONS
Sec. 6. A judge disqualified as stated above may, instead of
withdrawing from the proceeding, disclose on the records
the basis of disqualification. If based on such disclosure,
the parties and lawyers independently of the judge's
participation, all agree in writing that the reason for the
inhibition is immaterial or unsubstantial, the judge may
then participate in the proceeding. The agreement signed
by all parties and lawyers shall be incorporated in the
record of the proceedings.
The decision to continue hearing the case, despite the
existence of reasons for disqualification should be:
(a) coupled with a bona fide disclosure to the parties-in-
litigation; and
(b) subject to express acceptance by all the parties of the
cited reason as not material or substantial. Absent such
agreement, the judge may not continue to hear the case.
PROPRIETY
Canon 4. Propriety and the appearance of propriety are
essential to the performance of all the activities of a.
Judge.
MEMORY AID FOR SECTIONS UNDER CANON 4
(a) Avoidance of Impropriety (Sec. 1)
(b) Acceptance of Personal Restrictions (Sec. 2)
(c) Avoidance of Controversy (Sec. 3)
(d) Not participate in cases where he may be impartial
(Sec. 4)
(e) Not to allow the use of his residence by other lawyers
(Sec. 5)
(f) Freedom of Expression (Sec. 6)
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(g) Be informed of his financial interests (Sec. 7)
(h) Influence of Judicial Conduct (Sec. 8)
(i) Confidential Information (Sec. 9)
(i) Engage in other activities (Sec. 10)
(k) Practice of Profession (Sec. 11)
(l) Form associations (Sec. 12)
(m) Gifts, Requests, Loans (Sec. 13)
(n) Gifts, Requests, Loans by staff (Sec. 14)
(o) Permissible tokens and awards (Sec. 15)
AVOIDANCE OF IMPROPRIETY
Sec. 1. Judges shall avoid impropriety and the appearance
of impropriety in all of their activities.
The requirement that judges be free from impropriety or
any appearance thereof is closely related to the
maintenance of integrity and promotion of confidence in
the judiciary.
By prohibiting not only impropriety but even the
appearance of impropriety, the Code recognizes that even
acts that are not per se improper can nevertheless be
perceived by the larger community as such. This is so
because the community holds judges to higher standards
of integrity and ethical conduct than attorneys and other
persons not invested with public trust.
Acts done by a judge which are not illegal but are still
violations of the Code of Judicial Ethics
(a) Hearing cases on a day when the judge was supposed
to be on official leave
(b) Hearing a motion while on vacation, in the judge’s
room dressed in a polo jacket
(c) Photos showing the judge and one of his subordinates
coming out of a hotel together, despite absence of
clear evidence of sexual congress
(d) Making a joking remark to a litigant suggesting that
the latter prove he harbored no ill feelings towards the
judge
(e) Making a comment after conducting a marriage
ceremony that the bride and groom should sexually
satisfy each other so that they will not go astray
Whatever the motive may have been, the violent action of
the respondent in a public place constitutes serious
misconduct and the resultant outrage of the community
[Arban v. Borja (1989)]
It was highly improper for a judge to have wielded a high-
powered firearm in public and besieged the house of a
perceived defamer of character and honor in warlike
fashion and berated the object of his ire, with his firearm
aimed at the victim [Saburnido v. Madrono (2001)]
ACCEPTANCE OF PERSONAL RESTRICTIONS
Sec. 2. As a subject of constant public scrutiny, judges
must accept personal restrictions that might be viewed as
burdensome by the ordinary citizen and should do so freely
and willingly. In particular, judges shall conduct
themselves in a way that is consistent with the dignity of
the judicial office.
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
While judges are only human, their acceptance of the
judicial position means that more is expected from them
than from ordinary citizens, as their acts, both public and
private, color the public’s perception of the judiciary as a
whole. [Re: Anonymous Complaint Against Judge Edmundo
T. Acuña A.M. No RTJ-04-189, (2005)]
Dignified conduct is best described as conduct befitting
men and women possessed of temperance and respect for
the law and for others.
AVOIDANCE OF CONTROVERSY
Sec. 3. Judges shall, in their personal relations with
individual members of the legal profession who practice
regularly in their court, avoid situations which might
reasonably give rise to the suspicion or appearance of
favoritism or partiality.
Essential to the avoidance of impropriety and its
appearance is the maintenance of cold neutrality and
impartiality. This section is squarely directed at bolstering
this principle as it requires judges to scrupulously guard
against any act that may be construed as an expression of
bias in favor of a litigant.
A judge is commanded at all times to be mindful of the
high calling of a dispassionate and impartial arbiter
expected at all times to be a “cerebral man who
deliberately holds in check the tug and pull of purely
personal preferences which he shares with his fellow
mortals. [Office of the Court Administrator v. Paderanga,
A.M. No. RTJ-01-1660 (2005)]
NOT PARTICIPATE IN CASES WHERE HE MAY BE IMPARTIAL
Sec. 4. Judges shall not participate in the determination of
a case in which any member of their family represents a
litigant or is associated in any manner with the case.
This rule rests on the principle that no judge should
preside in a case in which the judge is not wholly free,
disinterested, impartial and independent. A judge has both
the duty of rendering a just decision and the duty of doing
it in a manner completely free from suspicion as to fairness
and integrity. The purpose is to preserve the people’s faith
and confidence in the courts of justice. (PhilJa)
NOT ALLOW THE USE OF HIS RESIDENCE BY OTHER LAWYERS
Sec. 5. Judges shall not allow the use of their residence by
a member of the legal profession to receive clients of the
latter or of other members of the legal profession.
The rationale for this section is the same as that of Section
3.
FREEDOM OF EXPRESSION
Sec. 6. Judges, like any other citizen, are entitled to
freedom of expression, belief, association and assembly,
but in exercising such rights, they shall always conduct
themselves in such a manner as to preserve the dignity of
the judicial office and the impartiality and independence of
the judiciary.
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While judges are not expected to live a hermit-like
existence or cease functioning as citizens of the Republic,
they should remember that they do not disrobe themselves
of their judicial office upon leaving their salas. In the exercise
of their civil liberties, they should be circumspect and ever
mindful that their continuing commitment to upholding
the judiciary and its values places upon them certain
implied restraints to their freedom. [Sison v. Caoibes, Jr.
(2004)]
A judge was admonished for the appearance of engaging
in partisan politics when he participated in a political rally
sponsored by one party, even though he only explained the
mechanics of block voting to the audience. [Macias v. Arula
(1982)]
BE INFORMED OF HIS FINANCIAL INTERESTS
Sec. 7. Judges shall inform themselves about their personal
fiduciary and financial interests and shall make reasonable
efforts to be informed about the financial interests of
members of their family.
This section of the New Code of Judicial Conduct should be
read in conjunction with Section 7 of the Republic Act 6713,
which prohibits certain personal fiduciary and financial
conflicts.
“[A] judge shall refrain from financial and business
dealings that tend to reflect adversely on the court's
impartiality, interfere with the proper performance of
judicial activities, or increase involvement with lawyers or
persons likely to come before the court.” [Catbagan v.
Barte (2005)]
INFLUENCE OF JUDICIAL CONDUCT
Sec. 8. Judges shall not use or lend the prestige of the
judicial office to advance their private interests, or those of
a member of their family or of anyone else, nor shall they
convey or permit others to convey the impression that
anyone is in a special position improperly to influence
them in the performance of judicial duties.
This rule has two parts:
(a) A judge may not use judicial office to advance private
interests
(b) A judge may not give the impression that he or she can
be influenced to use the judicial office to advance the
private interests of others
Ticket-fixing
Misconduct in which judges impermissibly take advantage
of their position to avoid traffic violations.
CONFIDENTIAL INFORMATION
Sec. 9. Confidential information acquired by judges in their
judicial capacity shall not be used or disclosed for any
other purpose related to their judicial duties.
When a judge released a draft of her decision to a party,
that conduct was found to be not just a simple breach of
confidentiality but a scheme to make the party “negotiate”
for increases in the monetary awards to be given by the
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
judge. [Centrum Agri-Business Realty Corp. v. Katalbas-
Moscardon (1995)]
A judge's act of personally furnishing a party copies of
orders issued, without passing them through the court
docket, was considered to be highly irregular, giving rise to
the suspicion that the judge was partial to one of the
parties in the case. [Co v. Calimag (2000)]
It is improper for a judge to allow his wife to have access to
court records which are necessarily confidential, as this
practice may convey the impression that she is the one
who can influence the judge's official functions. [Gordon v.
Lilagan (2001)]
Where respondent appellate justice announced on
television that he lost a confidential draft of an order and
publicly asked the National Bureau of Investigation to
investigate, he was held by the Supreme Court to have
been guilty of conduct unbecoming a judge. [In Re Justice
Anacleto Badoy (2003)]
ENGAGE IN OTHER ACTIVITIES
Sec. 10. Subject to the proper performance of judicial
duties, judges may
(a) Write, lecture, teach and participate in activities
concerning the law, the legal system, the
administration of justice or related matters;
(b) Appear at a public hearing before an official body
concerned with matters relating to the law, the legal
system, the administration of justice or related matters;
(c) Engage in other activities if such activities do not
detract from the dignity of the judicial office or
otherwise interfere with the performance of judicial
duties.
This section allows the judge to participate in legal
academia and public discourse on legal matters with the
proviso that there shall be no interference in the
performance of the judge’s primary functions with respect
to his or her jurisdiction.
In dealing with the media, the Philippine Judicial Academy
suggests that a judge or court should avoid acrimonious
debate with reporters and the public, for a knee jerk reaction
from the court or judge may only provoke negative follow-
up reports and articles.
This section’s tolerance of judicially-related activities is
limited by Section 12, Article VIII of the Constitution, which
prohibits judges from being “designated to any agency
performing quasi judicial or administrative functions.”
This declaration does not mean that RTC judges should
adopt an attitude of monastic insensibility or unbecoming
indifference to the Province/City Committee on Justice. As
incumbent RTC judges, they form part of the structure of
government…Even as non-members…RTC judges should
render assistance to said Committees to help promote the
laudable purposes for which they exist, but only when such
assistance may be reasonably incidental to the fulfillment
of their judicial duties. [In Re: Designation of Judge Rodolfo
U. Manzano, (1988)]
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PRACTICE OF PROFESSION
Sec. 11. Judges shall not practice law whilst the holder of
judicial office.
This prohibition is based on the inherent incompatibility of
the rights, duties and functions of the office of an attorney
with the powers, duties and functions of a judge. [Carual v.
Brusola (1999)]
While municipal judges can administer oaths or execute
certificates on matters related to their official functions,
they cannot notarize private documents. [Tabao v. Asis
(1996)]
However, it should be noted that judges assigned to
municipalities and circuits may act as notaries public
provided that: (1) all notarial fees charged be to the
government’s account, and (2) certification be made in the
notarial documents attesting to the lack of lawyers or notary
in the municipality or circuit. [Doughlas v. Lopez Jr. (2000)]
FORM ASSOCIATIONS
Sec. 12. Judges may form or join associations of judges or
participate in other organizations representing the
interests of judges.
This rule also recognizes the difference between
membership in associations of judges and membership in
associations of other legal professionals. While attendance
at lavish events hosted by lawyers might create an
appearance of impropriety, participation in judges-only
organizations does not. (PhilJa)
GIFTS, REQUESTS, LOANS
Sec. 13. Judges and members of their families shall neither
ask for, nor accept, any gift, bequest, loan or favor in
relation to anything done or to be done or omitted to be
done by him or her in connection with the performance of
judicial duties.
This section should be read in conjunction with Section
7(d) of R.A. 6713 which prohibits public officials from
soliciting or accepting gifts.
Receiving money from a party litigant is the kind of gross
and flaunting misconduct on the part of the judge, who is
charged with the responsibility of administering the law
and rendering justice. [Ompoc v. Torre (1989)]
GIFTS, REQUESTS, LOANS BY STAFF
Sec. 14. Judges shall not knowingly permit court staff or
others subject to their influence, direction or authority, to
ask for, or accept, any gift, bequest, loan or favor in relation
to anything done or to be done or omitted to be done in
connection with their duties or functions.
This section complements the previous section and assures
that what the judge cannot do directly, may not be done
indirectly through the use of employees or staff members.
PERMISSIBLE TOKENS AND AWARDS
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
Sec. 15. Subject to law and to any legal requirements of
public disclosure, judges may receive a token gift, award or
benefit as appropriate to the occasion on which it is made,
provided that such gift, award or benefit might not be
reasonably perceived as intended to influence the judge in
the performance of official duties or otherwise give rise to
an appearance of partiality.
General Rule: Judges and members of their families cannot
accept gifts, etc.
Exception: Subject to legal requirements like public
disclosure, may accept gifts provided that it might not
reasonably be perceived as intended to influence judge.
Section 7(d) of R.A. 6713 allows the following:
(a) Gift of nominal value tendered and received as a
souvenir or mark of courtesy
(b) Scholarship or fellowship grant or medical treatment
(c) Travel grants or expenses for travel taking place
entirely outside the Philippines (such as allowances,
transportation, food and lodging) of more than
nominal value if such acceptance is appropriate or
consistent with the interest of the Philippines, and
permitted by the head office, branch or agency to
which the judge belongs.
EQUALITY
Canon 5. Ensuring equality of treatment to all before the
courts is essential to the due performance of the judicial
office.
MEMORY AID FOR SECTIONS UNDER CANON 5
(a) Understand the diversity in society (Sec. 1)
(b) Not to manifest bias or prejudice (Sec. 2)
(c) Not to differentiate (Sec. 3)
(d) Not to influence staff (Sec. 4)
(e) Attitude to parties appearing in court (Sec. 5)
This is a new Canon not found in the previous two
Philippine Codes of Judicial Conduct. It expands the
measures to promote equality required by international
human rights agreements. Those agreements advocate a
universal application of law and non-discrimination
between the sexes. (PhilJa)
UNDERSTAND THE DIVERSITY IN SOCIETY
Sec. 1. Judges shall be aware of and understand diversity in
society and differences arising from various sources,
including, but not limited to, race, color, sex, religion,
national origin, caste, disability, age, marital status, sexual
orientation, social and economic status, and other like
causes.
To render substantial justice and maintain public
confidence in the judicial system, judges are expected to
be aware of the diversity in society that results from an
increased worldwide exchange of people and ideas. Judges
must be able to avoid the infiltration of preconceptions
into their decisions. They should be mindful of the various
international instruments and treaties ratified by the
Philippines, which affirm the equality of all human beings
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and establish a norm of non-discrimination without
distinction as to race, sex, language or religion.
NOT TO MANIFEST BIAS OR PREJUDICE
Sec. 2. Judges shall not, in the performance of judicial
duties, by words or conduct, manifest bias or prejudice
towards any person or group on irrelevant grounds.
Rule 137, Sec. 1 of the Rules of Court expressly states that no
judge shall sit in any case which he has been counsel (for a
party) without the written consent of all parties in interest,
signed by them and entered upon the record. The
prohibition is not limited to cases in which a judge hears
the evidence but includes as well cases where he acts by
resolving motions, issuing orders and the like. [In Re Judge
Rojas (1998)]
NOT TO DIFFERENTIATE
Sec. 3. Judges shall carry out judicial duties with
appropriate consideration for all persons, such as the
parties, witnesses, lawyers, court staff and judicial
colleagues, without differentiation on any irrelevant
ground, immaterial to the proper performance of such
duties.
This provision is taken from Canons 1, 9 and 10 of the
Canons of Judicial Ethics and Rule 3.04, Canon 3 of the
1989 Code of Judicial Conduct.
NOT TO INFLUENCE STAFF
Sec. 4. Judges shall not knowingly permit court staff or
others subject to his or her influence, direction or control to
differentiate between persons concerned, in a matter
before the judge, on any irrelevant ground.
Judges should organize their courts to ensure the prompt
and convenient dispatch of business and should not
tolerate misconduct by clerks, sheriffs and other assistants
who are sometimes prone to expect favors or special
treatment due to their professional relationship with the
judge. [Canons of Judicial Ethics, 8; 1989 Code of Judicial
Conduct, Canon 3, Rule 3.09]
ATTITUDE TO PARTIES APPEARING IN COURT
Sec. 5. Judges shall require lawyers in proceedings before
the court to refrain from manifesting, by words or conduct,
bias or prejudice based on irrelevant grounds, except such
as are legally relevant to an issue in proceedings and may
be the subject of legitimate advocacy.
Judges should conduct proceedings in court with dignity
and in a manner that reflects the importance and
seriousness of proceedings. They should maintain order
and proper decorum in the court. [1989 Code of Judicial
Conduct, Canon 3, Rule 3.03]
Judges have the duty to prevent lawyers from abusing
witnesses with unfair treatment.
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
Rights and Obligations of Witnesses [Rule 132, Section 3 of
the Revised Rules of Court]:
(a) To be protected from irrelevant, improper or insulting
questions and from a harsh or insulting demeanor;
(b) Not to be detained longer than the interests of justice
require
(c) Not to be examined except as to matters pertinent to
the issues before the court;
(d) Not to give an answer which will tend to subject him to
a penalty for an offense unless otherwise provided by
law;
(e) Not to give an answer which will tend to degrade the
witness’ reputation, but a witness must answer the fact
of any previous final conviction for a criminal offense.
Women appearing as witnesses or litigants have found
themselves subjected to inappropriate, overly familiar and
demeaning forms of address, comments on their personal
appearance, sexist remarks, “jokes” and unwelcome
advances. As courts are expected to ensure equality, any
lawyer who makes an insensitive or demeaning comment
in court should be admonished. (PhilJa)
The action of the judge in seizing the witness, Alberto
Angel, by the shoulder and turning him about was
unwarranted and an interference with that freedom from
unlawful personal violence to which every witness is entitled
while giving testimony in a court of justice. Against such
conduct the appellant had the right to protest and to
demand that the incident be made a matter of record. That
he did so was not contempt, providing protest and demand
were respectfully made and with due regard for the dignity
of the court. [In Re: Aguas (1901)]
COMPETENCE AND DILIGENCE
Canon 6. Competence and diligence are prerequisites to
the due performance of judicial office.
MEMORY AID FOR SECTIONS UNDER CANON 6
(a) Duties take precedence (Sec. 1)
(b) Perform administrative duties (Sec. 2)
(c) Maintain professional competence (Sec. 3)
(d) Be informed about the law (Sec. 4)
(e) Prompt decision making (Sec. 5)
(f) Maintain order in proceedings (Sec. 6)
(g) Not to engage in conduct contrary to duties (Sec. 7)
Judicial office demands competence and diligence.
“The administration of justice is a sacred task ... and [u]pon
assumption to office, a judge ceases to be an ordinary
mortal. He becomes the visible representation of the law
and more importantly, of justice.” [Office of the Court
Administrator v. Gines (1993)]
DUTIES TAKE PRECEDENCE
Sec. 1. The judicial duties of a judge take precedence over
all other activities.
“Though a judge has a duty to not sit where disqualified, a
judge has an equally strong duty not to recuse himself
when the circumstances do not require recusal.” [ABA
Annotated Model Code of Judicial Conduct (2004),
Commentary, Canon 3B(1), citing Laird v. Tatum, (1972)]
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PERFORM ADMINISTRATIVE DUTIES
Sec. 2. Judges shall devote their professional activity to
judicial duties, which include not only the performance of
judicial functions and responsibilities in court and the
making of decisions, but also other tasks relevant to the
judicial office or the court’s operations.
In the instant case, respondent judge impeded the speedy
disposition of cases by his successor on account of missing
records of cases. This fact reflects an inefficient and
disorderly system in the recording of cases assigned to his
sala. Proper and efficient court management is as much the
judge's responsibility for the Court personnel are not the
guardians of a Judge's responsibilities. A judge is expected
to ensure that the records of cases assigned to his sala are
intact. There is no justification for missing records save
fortuitous events. The loss of not one but eight records is
indicative of gross misconduct and inexcusable negligence
unbecoming of a judge. [Longboan v. Polig (1990)]
MAINTAIN PROFESSIONAL COMPETENCE
Sec. 3. Judges shall take reasonable steps to maintain and
enhance their knowledge, skills and personal qualities
necessary for the proper performance of judicial duties,
taking advantage for this purpose the training and other
facilities which should be made available, under judicial
control, to judges.
Judges are regarded as persons learned in the law and it is
in part their masterful grasp of the law that sustains public
trust in their work and in the confidence of the people and
the legal profession in the administration of justice.
Even in the remaining years of his stay in the judiciary, he
should keep abreast with the changes in the law and with
the latest decisions and precedents. Although a judge is
nearing retirement, he should not relax in his study of the
law and court decisions. [Abad v. Bleza (1986)]
Judges are not, however, expected to be infallible; not
every error or irregularity committed by judges in the
performance of official duties is subject to administrative
sanction. In the absence of bad faith, fraud, dishonesty, or
deliberate intent to do injustice, incorrect rulings do not
constitute misconduct and may not give rise to a charge of
gross ignorance of the law. [Cruz v. Iturralde (2003)]
To constitute gross ignorance of the law, an error or
irregularity on the part of the judge in the application or
interpretation of the law “must not only be contrary to
existing law and jurisprudence but … motivated by bad
faith, fraud, dishonesty and corruption.” [Duduaco v.
Laquindanum (2005)]
Now, the established doctrine and policy is that
disciplinary proceedings and criminal actions against
Judges are not complementary or suppletory of, nor a
substitute for, these judicial remedies, whether ordinary or
extraordinary. Resort to and exhaustion of these judicial
remedies … are prerequisites for the taking of other
measures against the persons of the judges concerned,
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whether of civil, administrative, or criminal nature. It is only
after the available judicial remedies have been exhausted
and the appellate tribunals have spoken with finality that the
door to an inquiry into his criminal, civil, or administrative
liability may be said to have opened, or closed. [Maquiran v.
Grageda (2005)]
BE INFORMED ABOUT THE LAW
Sec. 4. Judges shall keep themselves informed about
relevant developments of international law, including
international conventions and other instruments
establishing human rights norms.
PROMPT DECISION MAKING
Sec. 5. Judges shall perform all judicial duties, including
the delivery of reserved decisions, efficiently, fairly and with
reasonable promptness.
The essence of the judicial function is expressed in Section
1, Rule 124 of the Revised Rules of Court which provides that
“[j]ustice shall be impartially administered without
unnecessary delay.” This principle permeates the whole
system of judicature, and supports the legitimacy of the
decrees of judicial tribunals.
MAINTAIN ORDER IN PROCEEDINGS
Sec. 6. Judges shall maintain order and decorum in all
proceedings before the court and be patient, dignified and
courteous in relation to litigants, witnesses, lawyers and
others with whom the judge deals in an official capacity.
Judges shall require similar conduct of legal
representatives, court staff and others subject to their
influence, direction or control.
The respondent judge was guilty of committing acts
unbecoming of a judge and abuse of authority when he
shouted invectives and threw a chair at the complainant,
resulting in wrist and other injuries to the complainant.
[Briones v. Ante, Jr. (2002)]
The respondent judge was found guilty of serious
misconduct and inefficiency by reason of habitual
tardiness. He was fined and suspended for judicial
indolence. [Yu-Asensi v. Villanueva (2000)]
NOT TO ENGAGE IN CONDUCT CONTRARY TO DUTIES
Sec. 7. Judges shall not engage in conduct incompatible
with the diligent discharge of judicial duties.
A judge neglected his duty when he failed to exercise extra
care in ensuring that records of the cases and official
documents in his custody were intact. The Supreme Court
reiterated that “judges must adopt a system of record
management and organize their dockets in order to bolster
the prompt and efficient dispatch of business. [Beso v.
Daguman (2000)]
By issuing orders indefinitely postponing the hearing of
election protest, the judge in De la Cruz v. Pascua
manifested inefficiency in the disposition of an election
protest case and thus overtly transgressed basic
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mandatory rules for expeditious resolution of cases. [De la
Cruz v. Pascua (2001)]
Discipline of Members
of the Judiciary
MEMBERS OF THE SUPREME COURT
IMPEACHMENT
Statutory Basis
1987 Constitution, Art. X, Section 2. The President, the Vice-
President, the Members of the Supreme Court, the
Members of the Constitutional Commissions, and the
Ombudsman may be removed from office on
impeachment for, and conviction of, culpable violation of
the Constitution, treason, bribery, graft and corruption,
other high crimes, or betrayal of public trust. All other
public officers and employees may be removed from office
as provided by law, but not by impeachment.
Ethical Lessons from Former Chief Justice Corona
Overview of Chief Justice Corona’s impeachment
December 12, 2011. The House of Representatives voted to
impeach CJ Corona. They charged him with eight articles
of impeachment alleging (1) betrayal of public trust; (2)
graft and corruption; and (3) culpable violation of the
Constitution
Articles of Impeachment Filed by the House of
Representatives
Article I: Partiality and subservience in cases involving the
Arroyo administration
Article II: Failure to disclose to the public his Statement of
Assets and Liabilities
Article III: Flip-flopping decisions in final and executory
cases, creating excessive entanglement with Former
President Arroyo, and discussing with litigants regarding
the cases pending before the Supreme Court
Article IV: Irregularities in issuing a quo-ante order against
the HoR in the impeachment of then Ombudsman
Merceditas Gutierrez
Article V: Gerrymandering in the case of the 16-newly
created cities and promotion of Dinagat into a province
Article VI: Improper investigation in the plagiarism case of
Associate Justice Mariano del Castillo
Article VII: Granting a temporary restraining order to Former
President Arroyo and husband Mike Arroyo after the DOJ
prevented them to go out of the country
Article VIII: Graft and corruption when he failed and refused
to account for the judiciary development fund and special
allowance for the judiciary collections
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(a) January 16, 2012. The Senate, sitting as an
impeachment court began the trial.
(b) The prosecution dropped articles I, IV, V, VI, VII, VIII,
leaving only Articles II and III as their grounds for
impeachment.
(c) May 29, 2012. The Senate found CJ Corona guilty under
Article II of the Articles of impeachment for his failure to
declare his true statements of assets, liabilities and net
worth. After 20 senators voted in favor of impeachment
under this ground, the Senate no longer voted under
Article III. Three senators voted to acquit Corona on that
ground.
Quantum of Evidence Used
The impeachment is sui generis, it is neither purely political
or criminal so it does not require proof beyond reasonable
doubt. In the course of the impeachment trial, the senator-
judges expressed differing views. Some argued that it
requires “clear and convincing proof,” while some argued
that it needs “preponderance of evidence.”
Yale professor Charles Black however wrote that “the
Senate has traditionally left the choice of the applicable
standard of proof to each individual senator.”
Public Proceedings
All proceedings of the impeachment trial are public
because of the national interest involved in the issue. The
people through their representatives are to decide for the
outcome of the impeachment. [Bag-ao]
LOWER COURT JUDGES AND JUSTICES
STATUTORY BASIS
1987 Constitution, Art. VIII, Section 11. The members of the
Supreme Court and judges of lower courts shall hold office
during a good behavior until they reach the age of seventy
years or become incapacitated to discharge the duties of
their office. The Supreme Court en banc shall have the
power to discipline judges of lower courts, or order their
dismissal by a vote of majority of the Members who
actually took part in the deliberations on the issues in the
case and voted thereon.
General Rule: A judge is not liable administratively, civilly or
criminally when he acts within his power and jurisdiction.
This frees the judge from apprehension of personal
consequences to himself and to preserve the integrity and
independence of the judiciary.
Exception: Serious misconduct; inefficiency; gross and
patent, or deliberate and malicious error; bad faith
MISCONDUCT
Wrongful intention and not mere error in judgment
[Raquiza vs. Castaneda (1978)]
SERIOUS MISCONDUCT
Exists when the judicial act complained of is corrupt or
inspired by an intention to violate the law or a persistent
disregard of well-known legal rules. [Galangi v. Macli-ing,
Adm. Matter No. 75-DJ (1978)]
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SERIOUS INEFFICIENCY
An example is negligence in the performance of duty, if
reckless in character [Lapena v. Collado, (1977)]
ERROR OR IGNORANCE OF LAW
Error or mistake must be gross or patent, malicious,
deliberate or in bad faith.
Must act fraudulently, corruptly or with gross ignorance.
Caveat: Not every error or mistake of a judge in the
performance of his duties makes him liable. To hold the
judge administratively accountable for every erroneous
ruling or decision he renders, assuming he has erred,
would be nothing short of harassment and would make his
position unbearable. [Secretary of Justice v. Marcos, (1977)]
Misconduct implies malice or a wrongful intent, not a mere
error of judgment. “For serious misconduct to exist, there
must be a reliable evidence showing that the judicial acts
complained of were corrupt or were inspired by an
intention to violate the law, or were in persistent disregard
of well-known legal rules.” [In re: Impeachment of Horilleno,
(1922)]
Inefficiency implies negligence, ignorance and
carelessness. A judge would be inexcusably negligent if he
failed to observe in the performance of his duties that
diligence, prudence and circumspection which the law
requires in the rendition of any public service. [In re:
Climaco, (1974)]
RULE 140: DISCIPLINE OF JUDGES OF REGULAR AND SPECIAL
COURTS AND JUSTICES OF THE COURT OF APPEALS AND THE
SANDIGANBAYAN
Sec. 1. How instituted. – Proceedings for the discipline of
judges of regular and special courts and Justices of the
Court of Appeals and the Sandiganbayan may be
instituted motu proprio by the Supreme Court or upon a
verified complaint, supported by affidavits of person who
have personal knowledge of the facts alleged therein or by
documents which may substantiate said allegations, or
upon an anonymous complaint, supported by public
records of indubitable integrity. The complaint shall be in
writing and shall state clearly and concisely the acts and
omissions constituting violations of standards of conduct
prescribed for Judges by law, the Rules of Court, or the
Code of Judicial Conduct.
Sec. 2. Action on the complaint. – If the complaint is
sufficient in form and substance, a copy thereof shall be
served upon the respondent, and he shall be required to
comment within ten (10) days from the date of service.
Otherwise, the same shall be dismissed.
Sec. 3. By whom complaint investigated. – Upon the filing
of the respondent’s comment, or upon the expiration of the
time for filing the same and unless other pleadings or
documents are required, the Court shall refer the matter to
the Office of the Court Administrator for evaluation, report,
and recommendation or assign the case for investigation,
report, and recommendation to a retired member of the
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
Supreme Court, if the respondent is a Justice of the Court
of Appeals and the Sandiganbayan, or to a Justice of the
Court of Appeals, if the respondent is a Judge of a
Regional Trial Court or of a special court of equivalent
rank, or to a Judge of the Regional Trial Court if the
respondent is a Judge of an inferior court
Sec. 4. Hearing. – The investigating Justice or Judge shall
set a day of the hearing and send notice thereof to both
parties. At such hearing the parties may present oral and
documentary evidence. If, after due notice, the respondent
fails to appear, the investigation shall proceed ex parte.
The Investigating Justice or Judge shall terminate the
investigation within ninety (90) days from the date of its
commencement or within such extension as the Supreme
Court may grant.
Sec. 5. Report. – Within thirty (30) days from the
termination of the investigation, the investigating Justice
or Judge shall submit to the Supreme Court a report
containing findings of fact and recommendation. The
report shall be accompanied by the record containing the
evidence and the pleadings filed by the parties. The report
shall be confidential and shall be for the exclusive use of
the Court.
Sec. 6. Action. – The Court shall take such action on the
report as the facts and the law may warrant.
Sec. 12. Confidentiality of proceedings. – Proceedings
against Judges of regular and special courts and Justices
of the Court of Appeals and the Sandiganbayan shall be
private and confidential, but a copy of the decision or
resolution of the court shall be attached to the record of
the respondent in the Office of the Court Administrator.
GROUNDS
Sec. 7. Classification of charges. – Administrative charges
are classified as serious, less serious, or light.
Sec. 8. Serious charges. – Serious charges include:
(1) Bribery, direct or indirect;
(2) Dishonesty and violations of the Anti-Graft and Corrupt
Practices Law (R.A. No. 3019);
(3) Gross misconduct constituting violations of the Code of
Judicial Conduct;
(4) Knowingly rendering an unjust judgment or order as
determined by a competent court in an appropriate
proceeding;
(5) Conviction of a crime involving moral turpitude;
(6) Willful failure to pay a just debt;
(7) Borrowing money or property from lawyers and litigants
in a case pending before the court;
(8) Immorality;
(9) Gross ignorance of the law or procedure;
(10) Partisan political activities; and
(11) Alcoholism and/or vicious habits.
Sec. 9. Less Serious Charges. – Less serious charges
include:
(1) Undue delay in rendering a decision or order, or
in transmitting the records of a case;
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(2) Frequently and unjustified absences without leave or
habitual tardiness;
(3) Unauthorized practice of law;
(4) Violation of Supreme Court rules, directives, and
circulars;
(5) Receiving additional or double compensation unless
specifically authorized by law;
(6) Untruthful statements in the certificate of service; and
(7) Simple Misconduct.
Sec. 10. Light Charges. – Light charges include:
(1) Vulgar and unbecoming conduct;
(2) Gambling in public;
(3) Fraternizing with lawyers and litigants with pending
case/cases in his court; and
(4) Undue delay in the submission of monthly reports.
AUTOMATIC CONVERSION OF ADMINISTRATIVE
CASES AGAINST CA AND SANDIGANBAYAN JUSTICES
AND LOWER COURT JUDGES
Administrative cases against CA, Sandiganbayan justices,
and lower court judges where the charges constitute
misconduct for members of the Bar, shall also be
considered as disciplinary action against the judge. The
respondent shall be required to comment or show cause
why he should not be suspended, disbarred or sanctioned
as a member of the Bar. [A.M. NO. 02-9-02 SC]
IMPEACHMENT ETHICAL ASPECTS
Chief Justice Corona was the first justice of the Supreme
Court to be impeached and convicted. He was found guilty
for culpable violation of the Constitution and/or betrayal of
public trust for not correctly declaring his Statements of
Assets, Liabilities and Net worth (SALN).
The prosecution alleges that he inaccurately declared his
peso and dollar deports, and real estate properties.
The defense argues that CJ Corona did not declare his
dollar deposits (around $2.4M) and peso deposits (P105 M)
because of the banking secrecy and foreign currency
deposit units laws. Corona also said that some undeclared
assets are also co-mingled funds that he does not own
solely.
SANCTIONS IMPOSED BY THE SUPREME COURT ON
ERRING MEMBERS OF THE JUDICIARY
Sec. 11. Sanctions. –
(A) If the respondent is guilty of a serious charge, any of the
following sanctions may be imposed:
(1) Dismissal from the service, forfeiture of all or part
of the benefits as the Court may determine, and
disqualification from reinstatement or appointment
to any public office, including government-owned
or controlled corporations. Provided, however, that
the forfeiture of benefits shall in no case include
accrued leave credits;
(2) Suspension from office without salary and other
benefits for more than three (3) but not exceeding
six (6) months; or
(3) A fine of more than P20,000.00 but not exceeding
P40,000.00
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
(B) If the respondent is guilty of a less serious charge, any
of the following sanctions shall be imposed:
(1) Suspension from office without salary and other
benefits for not less than one (1) nor more than
three (3) months; or
(2) A fine of more than P10,000.00 but not exceeding
P20,000.00.
(C) If the respondent is guilty of a light charge, any of the
following sanctions shall be imposed:
(1) A fine of not less than P1,000.00 but not exceeding
P10,000.00 and/or
(2) Censure;
(3) Reprimand;
(4) Admonition with warning.
INSTANCES OF SERIOUS MISCONDUCT WHICH MERITED DISCIPLINE
BY THE SUPREME COURT:
(a) Failure to deposit funds with the municipal treasurer or
produce them despite his promise to do so
[Montemayor v. Collado (1981)]
(b) Misappropriation of fiduciary funds (proceeds of cash
bail bond) by depositing the check in his personal
account, thus converting the trust fund into his own
use [Barja v. Beracio (1976)].
(c) Extorting money from a party-litigant who has a case
before his court [Haw Tay v. Singayao (1988)].
(d) Solicitation of donation for office equipment [Lecaroz v.
Garcia (1981)].
(e) Frequent unauthorized absences in office [Municipal
Council of Casiguruhan, Quezon v. Morales (1974)].
INSTANCES OF GROSS INEFFICIENCY WHICH MERITED DISCIPLINE BY
THE SUPREME COURT
(a) Delay in the disposition of cases in violation of the
Canon that a judge must promptly dispose of all
matters submitted to him. With or without the
transcripts of stenographic notes, the 90-day period for
deciding cases or resolving motions must be adhered
to [Balagot v. Opinion (1991)].
(b) Unduly granting repeated motions for postponement
of a case [Araza v. Reyes (1975)].
(c) Unawareness of or unfamiliarity with the application of
the Indeterminate Sentence Law and the duration and
graduation of penalties [In re: Paulin (1980)].
(d) Reducing to a ridiculous amount (P6,000.00) the bail
bond of the accused in a murder case thus enabling
him to escape the toils of the law [Soriano v. Mabbayad
(1975)].
(e) Imposing the penalty of subsidiary imprisonment on a
party for failure to pay civil indemnity in violation of
R.A. 5465 [Monsanto v. Palarca (1983)].
CONDUCT:
Administrative cases against lower court judges and
justices are automatically treated as disbarment cases
QUANTUM OF EVIDENCE REQUIRED: Beyond reasonable doubt.
RULES FOR EVIDENCE: Same rules as in criminal trials
EFFECT OF WITHDRAWAL, DESISTANCE, RETIREMENT OR PARDON
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The withdrawal of the case by the complainant, or the filing
of an affidavit of desistance or the complainant’s loss of
interest does not necessarily cause the dismissal thereof.
Reason: To condition administrative actions upon the will
of every complainant who for one reason or another,
condones a detestable act is to strip the Supreme Court of
its supervisory power to discipline erring members of the
judiciary. [Anguluan v. Taguba, (1979)]
Desistance will not justify the dismissal of an
administrative case if the records will reveal that the judge
had not performed his duties. [Espayos v. Lee (1979)]
Disqualifications
of Justices & Judges
COMPULSORY DISQUALIFICATION
[Section 1 (1), Rule 137, ROC]
No judge or judicial officer shall sit in any case in which:
(a) He, or his wife or child, is pecuniarily interested as heir,
legatee, creditor or otherwise; or
(b) 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
(c) He has been executor, administrator, guardian, trustee
or counsel; or
(d) 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.
The relationship of the judge with one of the parties may
color the facts and distort the law to the prejudice of a just
decision. Where this is probable or even only possible, due
process demands that the judge inhibit himself, if only out
of a sense of delicadeza. [Javier v. Commission on Elections
(1996)]
The rationale behind Sec. 1, Rule 137 on disqualification of
judges is to preserve public faith in the judiciary’s fairness
and objectivity to ally suspicions and distrust as to a
possible bias and prejudice in favor or a party coming into
play. [Hacienda Benito, Inc. v. Court of Appeals (1987)]
VOLUNTARY DISQUALIFICATION
[Section 1 (2), Rule 137, ROC]
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.
A judge may not be legally prohibited from sitting in a
litigation, but when circumstances appear that will induce
doubt as to his honest actuations and probity in favor of
either party, or incite such state of mind, he should
conduct a careful examination. He should exercise his
discretion in a way that people’s faith in the Courts of
Justice is not impaired. The better course for the judge
under such circumstances is to disqualify himself.
[Borromeo-Herrera v. Borromeo (1987)]
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
Intimacy or friendship between a judge and an attorney of
record of one of the parties to a suit is no ground for
disqualification. That one of the counsels in a case was a
classmate of the trial judge is not a legal ground for the
disqualification of the said judge. To allow it would
unnecessarily burden other trial judges to whom the case
would be transferred… But if the relationship between the
judge and an attorney for a party is such that there would
be a natural inclination to prejudice the case, the judge
should be disqualified in order to guaranty a fair trial.
[Query of Executive Judge Estrada (1987)]
Powers and Duties
of Courts & Judicial Officers
NATURE OF OFFICE OF THE JUDGE
Justices and judges must ever realize that they have no
constituency, serve no majority or minority but serve only
the public interest as they see it in accordance with their
oath of office, guided only by the Constitution and their
own conscience and honor. [Galman v. Sandiganbayan
(1986)]
PROMPT AND IMPARTIAL ADMINISTRATION OF
JUSTICE
[Sec. 1, Rule 135 ROC]
General Rule: Courts of justice shall always be open for the
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. Justice shall be impartially
administered without necessary delay.
Exception: Legal holidays
Art. VIII, Sec. 15, 1987 Constitution
(1) All cases or matters filed after the effectivity of this
Constitution must be decided or resolved within
twenty-four months from date of submission for the
Supreme Court, and, unless reduced by the Supreme
Court, twelve months for all lower collegiate courts,
and three months for all lower courts.
xxx
(3) Upon expiration of the corresponding period, a
certification to this effect signed by the Chief Justice or
the presiding judge shall forthwith be issued and a
copy thereof attached to the record of the case or
matter, and served upon the parties. The certification
shall state why a decision or resolution has not been
rendered or issued within said period.
(4) Despite the expiration of the applicable mandatory
period, the court, without prejudice to such
responsibility as may have incurred in consequence
thereof, shall decide or resolve the case or matter
submitted thereto for determination, without further
delay.
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Judges should decide cases even if the parties failed to
submit memoranda within the given period. Non-
submission of memoranda is not a justification for failure
to decide cases. [Salvador v. Salamanca (1986)]
PUBLICITY OF PROCEEDINGS AND RECORDS
The sitting of every court of justice shall be public, but any
court may, in its discretion, exclude the public when the
evidence to be adduced is of such nature as to require their
exclusion in the interest of morality or decency. The
records of every court of justice shall be public records and
shall be available for the inspection of any interested
person, at all proper business hours, under the supervision
of the clerk having custody of such records, unless the
court shall, in any special case, have forbidden their
publicity, in the interest of morality or decency. [Sec. 2, Rule
135 ROC]
PROCESS OF SUPERIOR COURTS
Process issued from a superior court in which a case is
pending to bring in a defendant, or for the arrest of any
accused persons, or to execute any order or judgment of
the court, may be enforced in any part of the Philippines.
[Sec. 3, Rule 135 ROC]
PROCESS OF INFERIOR COURTS
[Sec. 4, Rule 135 ROC]
General Rule: The process of inferior courts shall be
enforceable within the province where the municipality or
city lies. It shall not be served outside the boundaries of the
province in which they are comprised
Exceptions:
(1) Except with the approval of the judge of first instance
of said province; and
(2) Only in the following cases:
(a) An order for the delivery of personal property lying
outside the province is to be complied with;
(b) An attachment of real or personal property lying
outside the province is to be made
(c) The action is against two or more defendants
residing in different provinces; and
(d) 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.
Writs of execution issued by inferior courts may be
enforced in any part of the Philippines without any
previous approval of the judge of first instance.
Criminal process may be issued by a justice of the peace or
other inferior court, to be served outside his province, when
the district judge, or in his absence the provincial fiscal,
shall certify that in his opinion the interests of justice
require such service.
INHERENT POWERS OF THE COURTS
Every court shall have power:
(a) To preserve and enforce order in its immediate
presence
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
(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. [Sec. 5, Rule 135 ROC]
MEANS TO CARRY JURISDICTION INTO EFFECT
When by law jurisdiction is conferred on a court or judicial
officer, all auxiliary writs, processes and other means
necessary to carry it into effect may be employed by such
court or officer; and if the procedure to be followed in the
exercise of such jurisdiction is not specifically pointed out
by law or by these rules, any suitable process or mode of
proceeding may be adopted which appears conformable to
the spirit of said law or rules. [Sec. 6, Rule 135 ROC]
TRIALS AND HEARINGS; ORDERS IN CHAMBERS
All trials upon the merits shall be conducted in open court
and so far as convenient in a regular court room. All other
acts or proceedings may be done or conducted by a judge
in chambers, without the attendance of the clerk or other
court officials. [Sec. 7, Rule 135 ROC]
INTERLOCUTORY ORDERS OUT OF PROVINCE
A judge of first instance shall have power to hear and
determine, when within the district through without his
province, any interlocutory motion or issue after due and
reasonable notice to the parties. On the filing of a petition
for the writ of habeas corpus or for release upon bail or
reduction of bail in any CFI, the hearings may be had at
any place in the judicial district which the judge shall deem
convenient. [Sec. 8, Rule 135 ROC]
SIGNING JUDGMENTS OUT OF PROVINCE
Whenever a judge appointed or assigned in any province or
branch of a Court of First Instance in a province shall leave
the province by transfer or assignment to another court of
equal jurisdiction, or by expiration of his temporary
assignment, without having decided a case totally heard
by him and which was argued or an opportunity given for
argument to the parties or their counsel, it shall be lawful
for him to prepare and sign his decision in said case
anywhere within the Philippines. He shall send the same
by registered mail to the clerk of the court where the case
was heard or argued to be filed therein as of the date when
the same was received by the clerk, in the same manner as
if he had been present in court to direct the filing the of the
judgment. If a case has been heard only in part, the
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UP COLLEGE OF LAW
Supreme Court, upon petition of any of the parties to the
case and the recommendation of the respective district
judge, may also authorize the judge who has partly heard
the case, if no other judge had heard the case in part, to
continue hearing and to decide said case notwithstanding
his transfer or appointment to another court of equal
jurisdiction. [Sec. 9, Rule 135 ROC]
Court Records & General
Duties of Clerk Stenographer
ARMS AND GREAT SEAL OF THE SUPREME COURT
[Sec. 1, Rule 136 ROC]
Arms - Paleways of two pieces azure and gules
superimposed a balance or center with two tablets
containing the commandments of God or on either side; a
chief argent with three mullets or equidistant from each
other; in point of honor, ovoid argent over all the sun,
rayonnant or with eight major and minor rays.
Great Seal - Circular in form, with the arms as described
above and a scroll argent with the following inscription: Lex
Populesque, and surrounding the whole a garland of laurel
leaves in or; around the garland the text Supreme Court,
Republic of the Philippines.
ARMS AND SEAL OF THE COURT OF APPEALS
Same as that of the Supreme Court; only difference is that
the seal shall bear around the garland the text Court of
Appeals, Republic of the Philippines.
ARMS AND SEAL OF THE COURT OF FIRST INSTANCE
Same as that of the Supreme Court; only difference is that
the seal shall bear around the garland the text Court of
First Instance, the name of the province, Republic of the
Philippines.
STYLE OF PROCESS
Process shall be under the seal of the court from which it
issues, be styled Republic of the Philippines, Province or
City of _____________ to be signed by the clerk and bear date
that day it actually issued. [Sec. 2, Rule 136 ROC]
CLERK’S OFFICE
The clerk’s office, with the clerk or his deputy in
attendance, shall be open during business hours on all days
except Sundays and legal holidays. The clerk of the
Supreme Court and that of the Court of Appeals shall keep
office at Manila and all papers authorized or required to be
field, therein shall be filed at Manila. [Sec. 3, Rule 136 ROC]
ISSUANCE BY CLERK OF PROCESS
The clerk of a superior court shall 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; and
may, under the direction of the court or judge, make out
and sign letters of administration, appointments of
guardians, trustees, and receivers, and all writs and
process issuing from the court. [Sec. 4, Rule 136 ROC]
JUDICIAL ETHICS BAR OPERATIONS COMMISSION
DUTIES OF THE CLERK IN THE ABSENCE OR BY
DIRECTION OF THE JUDGE
In the absence of the judge, the clerk may perform all the
duties of the judge in receiving applications, petitions,
inventories, reports, and the issuance of all orders and
notices that follow as a matter of course under these rules,
and may also, when directed so to do by the judge, receive
the accounts of executors, administrators, guardians,
trustees, and receivers, and all evidence relating to them,
or to the settlement of the estates of deceased persons, or
to guardianships, trusteeships, or receiverships, and
forthwith transmit such reports, accounts, and evidence to
the judge, together with his findings in relation to the
same, if the judge shall direct him to make findings and
include the same in his report. [Sec. 5, Rule 136 ROC]
CLERK SHALL RECEIVE PAPERS AND PREPARE
MINUTES
The clerk of each superior court shall receive and file all
pleadings and other papers properly presented, endorsing
on each such paper the time when it was filed, and shall
attend all of the sessions of the court and enter its
proceedings for each day in a minute book to be kept by
him. [Sec. 6, Rule 136 ROC]
SAFEKEEPING OF PROPERTY
The clerk shall safely keep all records, papers, files, exhibits
and public property committed to his charge, including the
library of the court, and the seals and furniture belonging
to his office. [Sec. 7, Rule 136 ROC]
GENERAL DOCKET
The clerk shall keep a general docket, each page of which
shall be numbered and prepared for receiving all the
entries in a single case, and shall enter therein all cases,
numbered consecutively in the order in which they were
received, and, under the heading of each case and a
complete title thereof, the 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. [Sec. 8, Rule 136
ROC]
JUDGMENT AND ENTRIES BOOK
The clerk shall keep a judgment book containing a copy of
each judgment rendered by the court in order of its date,
and a book of entries of judgments containing at length in
chronological order entries of all final judgments or orders
of the court. [Sec. 9, Rule 136 ROC]
EXECUTION BOOK
The clerk shall keep an execution book in which he or his
deputy shall record at length in chronological each
execution, and the officer’s return thereon, by virtue of
which real property has been sold. [Sec. 10, Rule 136 ROC]
CERTIFIED COPIES
The clerk shall 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. [Sec.
11, Rule 136 ROC]
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UP COLLEGE OF LAW JUDICIAL ETHICS
OTHER BOOKS AND DUTIES
The clerk shall keep such other books and perform such
other duties as the court may direct. [Sec. 12, Rule 136 ROC]
INDEX
The general docket, judgment book, entries book and
execution book shall 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. [Sec. 13, Rule 136 ROC]
TAKING OF RECORD FROM THE CLERK’S OFFICE
[Sec. 14, Rule 136 ROC]
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.
Exception: The Solicitor General or any of his assistants,
the provincial fiscal or his deputy, and the attorneys de
officio shall be permitted, upon proper receipt, to withdraw
from the clerk’s office the record of any cases in which they
are interested.
UNPRINTED PAPERS
All unprinted documents presented to the superior courts
of the Philippines shall be written on paper:
(a) Of good quality
(b) 12 and 3/8 inches long
(c) 8 ½ inches wide
(d) Not less than 1 ½ inch top and left-hand side margins
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.
Documents written with ink shall not be of more than
twenty-five lines to one page.
Typewritten documents shall be written double-spaced.
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 to facilitate the formation
of the expediente, and they must not be doubled. [Sec. 15,
Rule 136 ROC]
PRINTED PAPERS
All papers required by these rules to be printed shall be
printed with:
(a) Black ink
(b) On unglazed paper
(c) Pages 6 inches wide, 9 inches
(d) In pamphlet form
The type used shall not be smaller than 12 pts.
The paper used shall be of sufficient weight to prevent the
printing upon one side from being visible upon the other.
[Sec. 16, Rule 136 ROC]
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BAR OPERATIONS COMMISSION
STENOGRAPHER
It shall be the duty of the stenographer who has attended
a session of a court either in the morning or in the
afternoon, to deliver to the clerk of court, immediately at
the close of such morning or afternoon session, all the
notes he has taken, to be attached to the record of the
case; and it shall likewise be the duty of the clerk to
demand that the stenographer comply with said duty. The
clerk of court shall stamp the date on which such notes are
received by him. When such notes are transcribed the
transcript shall be delivered to the clerk, duly initialed on
each page thereof, to be attached to the record of the case.
Whenever requested by a party, any statement made by a
judge of First Instance, or by a commissioner, with
reference to a case being tried by him, or to any of the
parties thereto, or to any witness or attorney, during the
hearing of such case, shall be made of record in the
stenographic notes. [Sec. 17, Rule 136 ROC]
DOCKET AND OTHER RECORDS OF INFERIOR
COURTS.
Every municipal and city judge shall keep a well-bound
book labeled docket, in which he shall enter for each case:
(a) The title of the case including the names of all the
parties;
(b) The nature of the case, whether civil or criminal, and if
the latter, the offense charged;
(c) The date of issuing preliminary and intermediate
process including orders of arrest and subpoenas, and
the date and nature of the return thereon;
(d) The date of the appearance or default of the
defendant;
(e) The date of presenting the plea, answer, or motion to
quash, and the nature of the same;
(f) The minutes of the trial, including the date thereof and
of all adjournments;
(g) The names and addresses of all witnesses;
(h) The date and nature of the judgment, and, in a civil
case, the relief granted;
(i) An itemized statement of the costs
(j) The date of any execution issued, and the date and
contents of the return thereon;
(k) The date of any notice of appeal filed, and the name of
the party filing the same.
A municipal (or city) judge may keep two dockets, one for
civil and one for criminal cases. He shall also keep all the
pleadings 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. [Sec. 18, Rule 136 ROC]
ENTRY ON DOCKET OF INFERIOR COURTS.
[Sec. 19, Rule 136 ROC]
Each municipal (or city) judge shall, at the beginning and
in front of all his entries in his docket, make and subscribe
substantially the following entry:
UP COLLEGE OF LAW JUDICIAL ETHICS BAR OPERATIONS COMMISSION

A docket of proceedings in cases before

, municipal judge (or city judge) of the
municipality (or city) of , in the
province of
Philippines.
, Republic of the
Costs
Witness my signature, RECOVERY OF COSTS [RULE 142]
PREVAILING PARTY
Unless otherwise provided in these rules, costs shall be
Municipal Judge allowed to the prevailing party as a matter of course, but
(or City Judge) the court shall have power, for special reasons, adjudge
that either party shall pay the costs of an action, or that the
same be divided, as may be equitable. No costs shall be
allowed against the Republic of the Philippines unless

Legal Fees otherwise provided by law. [Sec. 1, Rule 142 ROC]

DISMISSED APPEAL OR ACTION

MANNER OF PAYMENT If an action or appeal is dismissed for want of jurisdiction
Upon filing of the pleading or other application which or otherwise, the court nevertheless shall have the power
initiates an action or proceeding, the fees prescribed to render judgment for costs, as justice may require. [Sec.
therefor shall be paid in full. [Sec. 1, Rule 141 ROC] 2, Rule 142 ROC]

FEES IN LIEN FRIVOLOUS APPEAL

Where the court in its final judgment awards a claim not
alleged, or a relief different from, or more than that
claimed in the pleading, the party concerned shall pay the
additional fees which shall constitute a lien on the
judgment in satisfaction of said lien. The clerk of court
shall assess and collect the corresponding fees. [Sec. 2,
Rule 141 ROC]
PERSONS AUTHORIZED TO COLLECT LEGAL FEES
[Sec. 3, Rule 141 ROC]
Except as otherwise provided in this rule, the officers and
persons hereinafter mentioned, together with their
assistants and deputies, may demand, receive, and take
the several fees hereinafter mentioned and allowed for any
business by them respectively done by virtue of their
several offices, and no more. All fees so collected shall be
forthwith remitted to the Supreme Court. The persons
herein authorized to collect legal fees shall be accountable
officers and shall be required to post bond in such amount
as prescribed by the law.
Where an action or an appeal is found to be frivolous,
double or treble costs may be imposed on the plaintiff or
appellants, which shall be paid by his attorney, if so
ordered by the court. [Sec. 3, Rule 142 ROC]
FALSE ALLEGATIONS
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. [Sec.
4, Rule 142 ROC]
NON-APPEARANCE OF WITNESS
If a witness fails to appear at the time and place specified
in the subpoena issued by any inferior court, the costs 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. [Sec. 12, Rule 142 ROC]

(a) Clerks of the Supreme Court, CA, CTA, and

Sandiganbayan (Sec.4)
(b) Clerks of RTCs (Sec. 7)
(c) Clerks of Court of First Level Courts (Sec. 8)
(d) Sheriffs, Process Servers and other persons serving
processes (Sec. 10)
(e) Stenographers (Sec. 11)
(f) Notaries (Sec. 12)
(g) Other officers taking depositions (Sec. 13)

It is not simply the filing of the complaint or appropriate

initiatory pleading, but the payment of the prescribed
docket fee, that vests a trial court with jurisdiction over the
subject matter or nature of the action. 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. [Sun Life
Insurance Office LTD., v. Asuncion (1989)]

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