LEGAL ETHICS LEGAL ETHICS

Based on the book Based on the book

“Legal and Judicial Ethics” “Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo by Atty. Ruben E. Agpalo

CHAPTER 1 - PRIMARY CHARACTERISTICS WHICH another, practices law, or acts merely as a consultant to guide the
DISTINGUISH THE LEGAL professionally in legal formalities. court in a doubtful question or issue
INTRODUCTORY PROFESSION Those who passed the Shari’a Bar not pending before it.
FROM BUSINESS entitled to be called ―Attorneys‖ unless “Bar” refers to the legal profession.
Preliminary admitted to the Philippine Bar. “Bench” refers to the judiciary.
Legal Ethics 1. A duty of public service. Counsel de parte: Client – one who engages the services
1. Branch of moral science which 2. A relation, as an ―officer of the o An attorney retained by a party of a lawyer for legal advice or for
treats of the duties which an court‖, to the administration of litigant, usually for a fee, to purposes of prosecuting or defending a
attorney owes to the court, to his justice involving thorough sincerity, prosecute or defend his cause in suit in behalf and usually for a fee.
client, to his colleagues in the integrity and reliability. court. Lawyer – this is the general term for a
profession and to the public. 3. A relation to clients with the highest o Implies freedom of choice either person trained in the law and
2. It is the embodiment of all degree of fiduciary on the attorney or the litigant. authorized to advice and represent
principles of morality and 4. A relation to the colleagues at the Counsel de oficio: others in legal matters
refinement that should govern bar characterized by candor, fairness o Attorney appointed by the court. Attorneys-At-Law – that class of
the conduct of every member of and unwillingness to resort to o To defend an indigent defendant persons who are licensed officers of the
the bar current business methods of in a criminal action. courts empowered to appear, prosecute
The law is not a trade nor a craft but a advertising and encroachment on o To represent a destitute party. and defend, and upon whom peculiar
profession. their practice, or dealing directly Attorney of record: duties, responsibilities and liabilities are
Its basic ideal is to render public service with their clients. o Attorney whose name, together developed by law as a consequence.
and secure justice to those who seek its with his address, is entered in the Attorney in fact- simply an agent
aid. Definitions record of the case as the whose authority is strictly limited by the
Those enrolled in its ranks should not ―LEGAL ETHICS‖ designated counsel of the party instrument appointing him. His
only master its tenets and principles but o Body of all principles of morality litigant. authority is provided in a special power
also accord continuing fidelity to them. and refinement that should o To whom judicial notices are of attorney or general power of
Obligation not an easy task due to govern the conduct of every sent. attorney or letter of attorney. He is not
commercialism in all fields of human member of the bar. A lawyer “of counsel” is an necessarily a lawyer.
endeavor. o ―Living spirit of the profession.‖ experienced lawyer, who is usually a Bar Association – an association of
To fulfill obligation: o Branch of moral science which retired member of judiciary employed members of the legal profession like the
1. Professional standards be treats of duties which an attorney by law firms as consultant. IBP where membership is integrated or
constantly inculcated among owes to the court, to his client, to Amicus Curiae is: compulsory.
lawyers. his colleagues, and to the public. o An experienced and impartial House Counsel – one who acts as
2. ―Manual of equipment‖ – rules Terms used to describe a member of attorney invited by the court to attorney for business though carried as
and ethics of the profession the legal profession: appear and help in the disposition an employee of that business and not
collated, readily available to o Lawyer, Attorney, or Attorney-At- of issues submitted to it. as an independent lawyer.
every attorney. Law. o It implies friendly intervention of Lead Counsel – the counsel on either
o Advocate, Barrister, Counsel or counsel to call the attention of side of a litigated action who is charged
Sources of Legal Ethics: Counselor. the court to some matters of law with the principal management and
1. The 1987 Constitution. o Proctor, Solicitor. or facts which might otherwise direction of a party’s case, as
2. Applicable Jurisprudence. o Spanish: Abogado. escape its notice and in regard to distinguished from his juniors or
3. Code of Professional o Filipino: Manananggol. which it might go wrong. subordinates.
Responsibility. The term refers to that class of persons o Appears in court not to represent Practicing Lawyer – one engaged in
4. New Civil Code. who by license are officers of the court any particular party but only to the practice of law who by license are
5. Rules of Court. empowered to appear, prosecute, and assist the court. officers of the court and who are
6. Revised Penal Code. defend. Amicus Curiae par excellence – bar empowered to appear, prosecute and
7. Local Government Code. A person who is a member of the associations who appear in court as defend a client’s cause.
Philippine Bar who, by warrant of amici curiae or friends of the court. Acts
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Pro Se - an appearance by a lawyer in
his own behalf.
Trial Lawyer – one who personally
handles cases in court, administrative
agencies of boards which mean
engaging in actual trial work, either for
the prosecution or for the defense of
cases of clients.
Power to regulate practice of law
The Constitution [Art. VIII, Sec. 5(5)]
vests this power of control and
regulation in the Supreme Court. The
constitutional power to admit
candidates to the legal profession is a
judicial function and involves the
exercise of discretion.
Const art. XII, sec. 14.
o The practice of all professions in
the Philippines shall be limited to
Filipino citizens, save in cases
prescribed by law.
The SC acts through a Bar Examination
Committee in the exercise of its judicial
function to admit candidates to the
legal profession. Thus, the Committee is
composed of a member of the Court
who acts as Chairman and 8 members
of the bar who acts as examiners in the
8 bar subjects with one subject
assigned to each.
Practice of law is impressed with public
interest.
o Attorney takes part in one of the
most important functions of the
State – The Administration of
Justice.
o Duty of the State to control and
regulate the practice of law to
promote public welfare.
Practice of law is inseparably connected
with the exercise of its judicial power in
the administration of justice.
LEGISLATURE’S EXERCISE OF POLICE
POWER may enact laws regulating the
practice of law but may not pass a law
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
that will control the Supreme Court on
its function to decide who may enjoy
the privilege of practicing law. Could be
considered unconstitutional.
SC POWER TO REGULATE PRACTICE OF
LAW includes:
1. Authority to define that term.
2. Prescribe qualifications of a
candidate and the subjects of the
bar exams.
3. Decide who will be admitted to
the practice.
4. Discipline, suspend, or disbar any
unfit or unworthy member of the
bar.
5. Reinstate any disbarred attorney.
6. Ordain the integration of the
Philippine bar.
7. Punish for contempt any person
for unauthorized practice of law.
8. Exercise overall supervision of the
legal profession.
9. Exercise any other power as may
be necessary to elevate the
standards of the bar and preserve
its identity.
Power to regulate the practice of law is
not an arbitrary or despotic power to be
exercised at the pleasure of the court.
It is the duty of the court to exercise it
by a sound and just judicial discretion.
Nature of office of attorney
An attorney is more than a mere agent
because he possesses special powers of
trust and confidence reposed in him by
his client.
Independent as the judge.
In a limited sense, a public officer,
although not in the constitutional or
statutory meaning of the term.
Occupies a quasi-judicial office because
he is in fact an officer of the court.
The title “Attorney” is reserved to those
who has:
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1. obtained the necessary degree in
the study of law;
2. successfully taken the bar exams;
3. admitted to the IBP;
4. remain members thereof in good
standing;
5. been authorized to practice law in
the Philippines.
Membership in the bar is in the
category of a mandate of public service
of the highest order.
Lawyers are oath-bound servants of
society whose conduct are clearly
circumscribed by the inflexible norms of
law and ethics.
Primary duty is to the advancement of
the quest of truth and justice.
Privileges of an attorney
1. Privilege and right to practice law
during good behavior before any
judicial, quasi-judicial, or administrative
tribunal.
2. Attorneys enjoy the presumption of
regularity in the discharge of his duty.
(His statements, if relevant or material
to the case, are absolutely privileged
regardless of their defamatory tenor.
He can speak freely and courageously
in proceedings without the risk of
criminal prosecution.)
3. Other privileges inherent in his status
as quasi-judicial officer:
a. Passing the bar is equivalent to
First-grade Civil Service eligibility
for any position in the classified
service of the government, the
duties of which require
knowledge of law.
b. Second-grade eligibility for any
other government position not
requiring proficiency in the law.
4. The court, in admitting him to practice,
presents him to the public as worthy of
its confidence and as a person fit and
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
proper to assume and discharge the
responsibilities of an attorney.
5. Has the privilege to set the judicial
machinery in motion.
He can stand up for his right or the
right of his client even in the face of a
hostile court.
He has the right to protest, in respectful
language, any unwarranted treatment
of a witness or any unjustified delay.
The rights and privileges which they
enjoy as officers of the court are
necessary for the proper administration
of justice as for the protection of
attorney and his client.
―There can be no strong bar without
courageous and fearless attorneys.‖
As a man of law, his is necessarily a
leader in the community, looked up to
as a model citizen.
Integrity, ability, and learning often
makes him qualified to administer the
Executive Departments or the
Legislative bodies.
Duties of Attorneys (Rule 138, Sec 20)
– MEMORIZE!
It is the duty of an attorney:
1. To maintain allegiance to the
Republic of the Philippines and to
support the Constitution and obey
the laws of the Philippines;
2. To observe and maintain the respect
due to the courts of justice and
judicial officers;
3. To counsel or maintain such actions
or proceedings only as appear to him
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
4

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.
FOUR-FOLD DUTIES OF A LAWYER
1. Duties to SOCIETY – should not
violate his responsibility to society,
exemplar for righteousness, ready to
render legal aid, foster social reforms,
guardian of due process, aware of
special role in the solution of special
problems and be always ready to lend
assistance in the study and solution of
social problems.
2. Duties to the LEGAL PROFESSION –
candor, fairness, courtesy and
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
truthfulness, avoid encroachment in the
business of other lawyers, uphold the Practice of law as a profession
honor of the profession. The practice of law is a profession, a
3. Duties to the COURT – respect or form of public trust, the performance of
defend against criticisms, uphold which is entrusted only to those who
authority and dignity, obey order and are qualified to possess good moral
processes, assist in the administration character.
of justice. The legal profession is not a trade.
4. Duties to the CLIENT – entire To render public service and secure
devotion to client’s interest. justice to those who seek its aid.
It is not a business, using bargain
Public versus private and personal counter methods to reap large profits.
duties The gaining of livelihood is not a
PUBLIC DUTY: profession, but a secondary
o Obey the law. consideration.
o Aid in the administration of The Code of Professional Responsibility,
justice. particularly the ethical rule against
o Cooperate whenever justice is advertising or solicitation
imperiled. professional employment, rests on the
PRIVATE DUTY: fundamental postulate that the practice
o Faithfully, honestly, and of law is a profession.
conscientiously represent the Profession – A calling requiring
interest of his client. specialized knowledge and often
PERSONAL DUTY, the obligation he requiring long academic preparation.
owes to himself. In fixing fees, remember that ―the
profession is a branch of
Such classification of public and administration of justice and not a mere
personal results from the three-fold money-making trade.‖
capacity in which attorneys operate: Law advocacy is not capital that yields
o As a Faithful Assistant of the profits.
court in search of just solution to A calling, unlike mercantile pursuits
disputes (Public Duty). which enjoy a greater deal of freedom
o As a Trusted Agent of his client from government interference,
(Private Duty). impressed with public interest.
o As a Self-employed Businessman Attorney is also entitled to protection
(Personal Duty). from the court against any attempt by
Rules and ethics demand that an his client to escape payment of his just
attorney subordinate his personal and fees.
private duties to those which he owes Client is also protected against exaction
to the court and to the public. by his counsel of excessive fees.
Where his duties to his client conflict
with those he owes to the court and the Primary Characteristics
public, the former must yield to the distinguishing the Legal Profession
latter. from Business:
His obligations to his client take 1. A duty of public service,
precedence over his duties to himself. emolument is a by-product.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
2. A relation as officer of the court
to the administration of justice
involving thorough sincerity,
integrity, and reliability.
3. Relation to the client in the
highest degree fiduciary.
4. Relation to colleagues at the bar
characterized by candor, fairness,
and unwillingness to resort to
current business methods of
advertising and encroachment on
their practice, or dealing with
their clients.
These characteristics make it a noble
profession and the privilege to practice
it is bestowed only upon individuals who
are competent intellectually,
of academically, and morally.
A partnership in the practice of law is a
mere relationship or association for
such particular purpose. It is not a legal
entity. It is not a partnership formed for
the purpose of carrying on a trade or
business or of holding property.
Even if registered with the SEC, any
the lawyer practicing under a law
partnership is considered a solo
practitioner who is the taxpayer and not
the law partnership.
Law prohibits a business or commercial
partnership or juridical entity to engage
in the practice of law since such cannot
is possess nor comply with the
qualifications and requirements of a
lawyer.
Necessity of representation by counsel
Employment of a person acquainted
with the rules becomes a necessity both
to the litigant and to the court.
Litigant is not ordinarily versed in the
law and its intricacies.
A court can adjudicate only in
accordance with the law and the facts
presented pursuant to well-established
rules of procedure and evidence.
6

A person unlearned in the law can
neither aid litigants nor the court in that
regard.
Only a lawyer can properly and
effectively extend such assistance.
The law profession came into being as a
result of that procedural development
of the court, which created the
necessity for the attorney and made
him an essential part of the judicial
machinery.
The right of a litigant to counsel is a
recognition of the necessity that a
litigant appear by counsel.
There can be no fair hearing unless a
litigant is represented by counsel.
A court cannot compel a litigant to
prosecute or defend his cause
personally if he chose to appear by
counsel, nor can it assign a counsel de
oficio for an accused and require said
counsel to proceed with the trial when
the accused has previously manifested
his desire to secure the services of a
counsel de parte.
SC subjects the lawyer to disciplinary
action and administrative liability for his
failure to properly attend to the interest
of his client.
Need for, and right to, counsel
Party litigant needs the assistance of
counsel in al proceedings,
administrative, civil, or criminal.
Not being a lawyer, he is ignorant of
the substantive and procedural laws
which are applied to resolve disputes.
Even if he is a lawyer, his personal or
emotional involvement may adversely
affect his handling of the case. Thus,
even lawyers who are parties in a case
need the guiding hand of counsel.
The need of a person for the assistance
of counsel is felt more urgently in
criminal than in any other proceeding.
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LEGAL ETHICS LEGAL ETHICS
Based on the book Based on the book
“Legal and Judicial Ethics” “Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo by Atty. Ruben E. Agpalo
In custodial investigations, any person In Regional Trial Court and Appellate due appreciation of their responsibilities
under such for the commission of an Courts, a party to a civil suit may either to the courts, to the clients, to the bar,
offense shall have the right to be conduct his litigation personally or by and to the public
informed of his right to remain silent attorney unless the party is a juridical Supreme Court applied some of the
and to have competent and person. Canons in case of professional
independent counsel preferably of his In Administrative Proceedings, right to misconduct.
choice and any confession in violation of counsel is not indispensable to due The Integrated Bar of the Philippines
such shall be inadmissible in evidence process. If a respondent had chosen to adopted in 1980 a proposed Code of
against him. represent himself without counsel Professional Responsibility submitted to
cannot later claim denial of due the Supreme Court for approval.
Consequences of denial of right to process. In 1988, the Supreme Court
counsel Nothing in the Constitution that says promulgated the Code of Professional
The denial of such right, which may that a party in a non-criminal Responsibility.
either be the absence of assistance of proceeding is entitled to be represented The Code consists of 22 Canons and 77
counsel or the inadequate and grossly by counsel. Rules, divided into 4 Chapters:
negligent representation may have The rule applies only in Civil and 1. The Law and Society.
adverse results. Administrative cases. It does not apply 2. The Lawyer and the Legal
1. Admission of guilt without in cases involving grave and less grave Profession.
counsel, inadmissible in evidence. offenses where the accused must be 3. The Lawyer and the Courts.
2. Representation of a person represented by counsel and such right 4. The Lawyer and the Clients.
claiming to be a lawyer, is not waivable. The Code establishes the norms of
conviction shall be set aside and conduct and ethical standards for all
a new trial undertaken. Canons of professional responsibility lawyers.
3. Judgment of conviction even if A lawyer is answerable not only to his Failure to live up to any of its provisions
final and executor may still be client but also to the court of which he is ground for disciplinary action.
recalled. is an officer. Faithful observance requires a thorough
4. Gross ignorance of law and He should do nothing which may tend understanding of the Code.
procedure by counsel gives the to lessen the public confidence in the
accused another chance to fidelity, honesty, and integrity of the
present his evidence. legal profession.
5. Litigation may be reopened if the Professional standards serve as the
incompetence, ignorance, or lawyer’s chart and compass to resolve
inexperience of counsel is so difficult questions of duty and help
great and error committed is so minimize ethical delinquencies.
serious that the client is In 1917, the Philippine Bar Association,
prejudiced and denied his day in realizing that something more than the
court. Oath and Duties of a Lawyer was
needed to attain the full measure of
When appearance by counsel not public respect, adopted as its own
obligatory Canons 1 to 32 of the Canons of
In the Municipal Trial Court, a party Profession Ethics of the American Bar
may conduct his litigation in person or Association.
with the aid of an agent or friend In 1946, it again adopted as its own,
appointed by him or with an aid of an Canons 33 to 47.
attorney. Their enforcement by the courts and
observance by lawyers is indicative of a
7 ralc2011 8

CHAPTER 2 –ADMISSION
TO PRACTICE
A. JUDICIAL CONTROL
Admission to practice is a judicial
function
The power to admit applicants to the
practice of law is judicial in nature and
involves the exercise of judicial
discretion.
Traditionally exercised by the Supreme
Court as an inherent part of its judicial
power.
Rationale comes from the nature of a
judicial function and the role played by
attorneys in the administration of
justice.
The admission to the practice of law
requires:
1. Previously established Rules and
Principles. (By Constitutional
mandate, a primary responsibility
of the Supreme Court)
2. Concrete Facts, past or present,
affecting determinate individuals.
(Brought about by the applicant
for admission to the bar)
3. A Decision as to whether the facts
are governed by rules and
principles. (Involves judicial
adjudication which essentially a
function of the court)
To enable the court to properly
discharge its responsibility for the
efficient and impartial administration
and to elevate and maintain the
standard of the legal profession
requires that it must have the primary
duty to decide:
A. Who may be admitted to the bar
as one of its officers.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
B. What are the causes for
disciplinary action against him.
C. Whether he should be disciplined,
suspended, disbarred, or
reinstated.
Any legislative or executive judgment
substituting that of the Supreme Court
in the admission to the practice of law
or suspension, debarment,
reinstatement infringes upon and
constitutes as an invalid exercise of the
legislative or executive power.
Legislative power to repeal, alter, or
supplement
The 1935 and 1973 Constitutions
provide that the Supreme Court shall
have the power to promulgate rules
concerning the admission to the
practice of law but may be repealed,
altered, or supplemented by the
Batasang Pambansa.
The 1987 Constitution deleted such
provision.
The legislature may, however, enact
laws with respect to the first requisite
for the admission to the bar (Previously
established Rules and Principles) that
applicants should observe.
A. The legislature may pass a law
for additional qualifications for
candidates for admission to the
practice or filling up deficiencies
in the requirements for admission
to the bar.
B. Such law may not, however, be
given retroactive effect so as to
entitle a person, not otherwise
qualified, to be admitted.
C. Such law will not preclude the
Supreme Court from fixing other
qualifications and requirements.
Reason: Legislature has no power to
grant a layman the privilege to practice
law nor control the Supreme Court in its
9 ralc2011
responsibility to decide who may be
admitted.
The Legislature, in the exercise of its
POLICE POWER may, however, enact
laws regulating the practice of law
to protect the public and promote the
public welfare.
1. A law declaring illegal and
punishable the unauthorized
practice of law.
2. Require further examination for
any attorney desiring to practice
before any quasi-judicial or
administrative agency.
Whatever law may be passes is merely
in aid of the judicial power to regulate.
But the legislature MAY NOT pass a law
that will control the Supreme Court in
the performance of its function to
decide who may enjoy the privilege of
practicing law and any law of that kind
is unconstitutional as an invalid exercise
of legislative power.
RA 972 (the Bar Flunkers Act) aims to
admit to the Bar, those candidates who
suffered from insufficiency of reading
materials and inadequate preparation.
By its declared objective, the law is
contrary to public interest because it
qualifies 1,094 law graduates who
confessedly had inadequate preparation
for the practice of the profession, as
was exactly found by this Tribunal in
the aforesaid examinations. An
adequate legal preparation is one of the
vital requisites for the practice of law
that should be developed constantly
and maintained firmly.
Executive power in relation to practice
The Chief Executive cannot, by
executive order, admit a person to the
practice of law nor can he, by treaty
with another country, modify the rules
on the admission to the bar.
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A treaty, cannot be so interpreted as to
entitle a holder of a law degree
obtained in another country to practice
law in this country without complying
with the requirements of existing law.
Accordingly, a Filipino citizen who
obtained a law degree in another
country is not entitled to be admitted to
the Philippine Bar without complying
with the requirements.
Prescribing standards for law schools
CHED acts as an agency or in aid of the
Supreme Court in the exercise of its
primary authority to determine who
may be admitted to practice since such
authority is by Constitutional mandate
and rests and remains exclusively with
the high tribunal.
CHED merely:
1. Exercises regulatory power over
law schools or certifies as to the
satisfactory completion of the
prescribed courses of law study
by an applicant for admission to
the bar examination.
2. Assumes some responsibility for
the quality of instruction and
training required of an applicant
for membership in the bar.
Supreme Court incidental powers
(Incidental to its primary authority to
decide who may be admitted to the
bar):
1. Fixing minimum standards of
instruction for all law schools to
observe.
2. Setting up of the necessary
administrative machinery to
determine compliance therewith.
3. By way of sanction, refusal to
admit to the bar exams law
graduates from schools failing to
meet those standards. May be
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 LEGAL ETHICS LEGAL ETHICS
Based on the book Based on the book
“Legal and Judicial Ethics” “Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo by Atty. Ruben E. Agpalo

implemented through of legal principles not possessed Private practice consists of frequent and 3. Preparation and filing of a
accreditation. by ordinary layman. customary actions, more than an pleading, motion, memorandum,
3. Appearance for clients before isolated appearance. or brief.
B. WHAT CONSTITUTES PRACTICE OF public tribunals. It contemplates succession of acts of 4. Examination of witnesses and
LAW the same nature habitually and presentation of evidence.
When a person participates in a trial customarily holding oneself out to the 5. Management and control of the
Practice of Law, generally and ―advertises‖ himself as a lawyer, he public as a lawyer. proceedings in court.
General principles and doctrines laid is in the practice of law. Isolated Appearance:
down by the courts explaining the Giving advice for compensation A. A judge who is prohibited from Representation before other agencies
meaning and scope of the term: regarding the legal status and rights of engaging in private practice of Appearances before any quasi-judicial,
1. To engage in the practice of law another constitutes practice of law. law has not violated this administrative, or legislative agency
is to do any of those acts which One who renders an opinion as to the prohibition when he appeared as constituting practice of law:
are characteristic of the legal proper interpretation of a statute and counsel for his cousin pro bono in 1. Interpretation and application of
profession. receives pay for it, is to that extent, a criminal case. laws.
2. Any activity in or out of court practicing law. B. Appearance as counsel in one 2. Presentation of evidence to
which requires the application of occasion is not conclusive as establish certain facts.
law, legal principle, practice or Engaging in the practice of law determinative of engagement in 3. Representing an applicant for
procedure and calls for legal presupposes the existence of a lawyer- the practice of law. registration of trademark, trade
knowledge, training and client relationship. C. Appearance of a city attorney as name, or service mark in the
experience. (Cayetano vs Where a lawyer undertakes an activity private prosecutor not within the Philippine Patent Office.
Monsod) without any such relationship, such as prohibition. (People vs. 4. Advocating or resisting claims
3. It is not limited to the conduct of teaching law or writing law books or Villanueva) before the NLRC, BoC, or BIR.
cases in court. legal articles cannot be said to be 5. Representing before a legislative
4. Includes legal advice, counseling, engaged in the practice of his An isolated appearance may, body regarding a proposed
and the preparation of legal profession as a lawyer. however, amount to practice: legislation or ordinance.
instruments and contracts by 1. Legislator cannot appear as
which legal rights are secured, Characteristics of term “Practice of counsel before any court of Character of the service and not the
which may or may not be pending Law” justice or Electoral Tribunals, or place where it is performed is the
in court. The phrase ―practice of law‖ implies quasi-judicial and administrative decisive factor determinative of whether
5. Strictly speaking, the word customarily or habitually holding bodies even in a single instance. the service constitutes practice of law.
practice of law implies the oneself out to the public, as a lawyer, 2. A layman’s representation as Service to prepare and prosecute a just
customary or habitual holding out for compensation as a source of defense counsel in a criminal case claim before a quasi-judicial or
of oneself to the public as a livelihood or in consideration of his is invalid and the conviction of administrative body same and
lawyer and demanding service. the accused may be set aside, as legitimate as the service rendered in
compensation for his services. Holding oneself out may be shown by violative of due process. court in arguing a cause.
[People vs. Villanueva 14 acts indicative of that purpose.
SCRA 111] Thus, a layman is illegally engaged in Representation before the court Activity outside of court
the practice when he sends a circular Practice of law, as customarily Practice of law also consists of work
Three Principal Types of announcing the establishment of a law understood, means: performed outside of court:
Professional Activities: office for the general practice of law, or 1. Rendering of services to a o Giving legal advice on large
1. Legal advice and instructions to when the takes the oath of office as a person, natural or juridical, in variety of subjects.
the clients to inform them of their lawyer before a notary public and files a court on any matter through o Conveyancing and preparation
rights and obligations. manifestation with the Supreme Court various stages and in accordance and execution of legal
2. Preparation for clients of informing his intention to practice law. with rules of procedure. instruments covering an
documents requiring knowledge 2. Appearance before the court. extensive field of business and
trust and other affairs.
ralc2011 11 ralc2011 12

No valid distinction can be drawn
between part of the work involving
appearance in court and that part
involving advice and drafting of
instruments in his office.
Practice of law need not be habitual
services in litigations in court. A
person’s past work experiences as
lawyer-economist, lawyer-manager,
lawyer-entrepreneur of industry,
lawyer-negotiator of contracts, and
lawyer-legislator more than satisfy the
constitutional requirement for
appointment as Chairman of the
COMELEC that he has been engaged in
the active practice of law for at least
ten years. (Cayetano v Monsod)
ESSENTIAL CRITERIA
DETERMINATIVE
OF ENGAGING IN THE PRACTICE OF
LAW: (HACA)
1. Habituality- implies customarily or
habitually holding oneself out to the
public as a lawyer
2. Compensation- implies that one
must have presented himself to be
in the active practice and that his
professional services are available to
the public for compensation, as a
source of his livelihood or in
consideration of his said services.
3. Application of law, legal
principle, practice, or procedure
which calls for legal knowledge,
training and experience.
4. Attorney-client relationship.
C. WHO MAY PRACTICE LAW
Persons entitled to practice law,
generally
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Any person who has been duly licensed
as a member of the bar in accordance
with the statutory requirements and
who is in good and regular standing is
entitled to practice law.
Two basic statutory requirements:
1. Must have been admitted to the
bar.
2. After admission, must remain in
good and regular standing (a
continuing requirement).
Must have been admitted to the bar. A
lawyer is one who:
1. Passed the bar exams.
2. Taken the lawyer’s oath before
the Supreme Court en banc.
3. Signed in the roll of attorneys.
4. Received a certificate of license to
practice law from the Clerk of
Court of the Supreme Court.
5. Furnished satisfactory proof or
educational, moral, and other
qualifications.
After Admission he or she must:
1. Remain an IBP member in good
standing by regularly paying IBP
dues and other lawful assessments.
2. Pay annual privilege tax.
3. Faithfully observe the rules and
ethics of the legal profession.
4. Be continually subjected to judicial
disciplinary control.
Compulsory membership to the IBP is
not violative of a lawyer’s freedom of
association. Integration does not make
a lawyer a member of any group of
which he is already a member. He
became a member of the bar when he
passed the Bar Examinations. Bar
integration does not compel the lawyer
to associate with anyone. He is free to
attend or not attend the meetings of his
Integrated Bar Chapter or vote or
13
refuse to vote in its elections as he
chooses. The only compulsion to which
he is subjected is the payment of
annual dues. The Supreme Court, in
order to further the State’s legitimate
interest in elevating the quality of
professional legal services, may require
that the cost of improving the
profession in this fashion be shared by
the subjects and beneficiaries of the
regulatory program — the lawyers [In
re: Edillon A.M. 1928]
The rigid requirements and conditions
are designed to admit to its ranks only
those who are adequately prepared,
mentally and morally, to discharge the
duties of an attorney.
The purpose, in the final analysis, is to
protect the public, the court, the client,
and the bar from incompetence and
dishonesty of those who are unfit to
become members.
Only those who are competent,
honorable, and reliable may practice
law.
Right and Privilege to practice
The practice of law is not a natural,
property or constitutional right but a
mere privilege.
It is not a right granted to anyone who
demands it but a privilege to be
extended or withheld in the exercise of
sound judicial discretion.
It is in the nature of a franchise
conferred only for merit which must be
earned by hard study, learning and
good conduct.
It is a privilege accorded only to those
who measure up to certain rigid
standards of mental and moral fitness.
Those standards are neither dispensed
with nor lowered after admission.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
The attorney’s continued enjoyment of
the privilege conferred depends upon
his complying with the ethics and rules
of the profession.
But practice of law is in the nature of a
right. While the practice of law is a
privilege, a lawyer cannot be prevented
from practicing law except for valid
reasons, the practice of law not being a
matter of state’s grace or favor.
He holds office during good behavior
and can only be deprived of it for
misconduct.
The state cannot exclude an attorney
from the practice of law in a manner or
for reasons that contravene the due
process or equal protection clause of
the Constitution.
A quasi-judicial or administrative
agency cannot restrict a lawyer’s
privilege to practice law by imposing
conditions that amount to
discrimination nor limit such privilege
by requiring the passing of an
examination not sanctioned by law as a
prerequisite to appearing before such
agency.
In that sense, the practice of law is in
the nature of a right which cannot be
lightly or capriciously taken away from
him.
Practice without examination
Exceptions to the privilege afforded to
Filipino citizens who have passed the
bar exams to practice law:
A. Citizens of the United States who:
1. Before July 4, 1946, were
duly licensed members* of
the Philippine Bar.
2. In active practice in the
courts of the Philippines.
14

3. In good and regular
standing as such.
4. Took the oath of office.
*Pursuant to the comity clause of the then
Rules of Examination of Candidates for
Admission to the Practice of Law in the US
during the American Regime.
B. Filipino citizens*, in the discretion
of the Court may be admitted
without examination, who:
1. Are applicants for
admission and are enrolled
attorneys in good standing
in the Supreme Court of
the United States or in any
circuit court of Appeals or
district court therein, or in
the highest court of any
State or Territory of the
United States.
2. Can show certificates that
they have practiced before
July 4, 1946.
3. Have never been
suspended or disbarred.
*Rule 138, Sec. 4, Rules of Court.
Practice without admission
General Rule: Only those who are
licensed to practice law can appear and
handle cases in court.
Exceptions:
1. Before the MTC - a party may
conduct his case or litigation in
person with the aid of an agent or
friend appointed by him. [Sec. 34,
Rule 138]
2. Before any other court – a party
may conduct his litigation
personally. [Sec. 34, Rule 138]. He
is bound by the same rules in
conducting the trial of his case. He
cannot, after judgment, claim that
he was not properly represented.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
3. In a criminal case before the
MTC – in a locality where a duly
licensed member of the Bar is not
available, the judge may appoint a
non-lawyer who is a resident of that
province, of good repute for probity
and ability to represent the accused
in his defense. [Sec. 7, Rule 116]
4. Student Practice Rule - A law
student who has successfully
completed his 3rd year of the
regular 4-year prescribed law
curriculum and is enrolled in a
recognized law school’s clinical
legal education program approved
by the SC – may appear without
compensation in any civil, criminal
or administrative case before any
trial court, tribunal, board or officer,
to represent indigent clients
accepted by the Legal Clinic of the
school. [Sec. 1, Rule 138-A] The
student shall be under the direct
supervision and control of a member
of the IBP duly accredited by the law
school. [Sec. 2]
5. Under the Labor Code – non-
lawyers may appear before the NLRC
or any Labor Arbiter if they
(a) represent themselves;
(b)represent their organization or
members thereof [Art. 222,
PD 442]
6. A non-lawyer or layman may
represent a claimant before the
Cadastral Court [Sec. 9, Act. No.
2259]
7. Any official or other person
appointed to appear for the
Government of the Philippines in
accordance with law shall have all
the rights of a duly authorized
member of the bar in any case in
which said government has an
interest [Sec. 33, Rule 138].
15
Three Limitations in the appearance
of a layman on behalf of another:
1. Layman should confine his work
to non-adversary contentions.
Should not undertake purely legal
work such as examination of
witnesses or presentation of
evidence.
2. Services should not be habitually
rendered.
3. Should not charge or collect
attorneys’ fees.
Right of party to represent himself
In Civil Cases, individual litigant has
the right to conduct his litigation
personally.
He will still be bound by the same rules
of procedure and evidence as those
applicable to a party appearing through
counsel.
He may not be heard to complain later
that he has been deprived of the right
to the assistance of counsel.
In Criminal Cases involving grave and
less grave offenses, an accused who is
a layman must always appear by
counsel. He cannot conduct his own
defense, as his right to counsel may not
be waived without violating his right to
due process of law.
By a Juridical Person:
General Rule:Iit must always
appear in court by a duly licensed
member of the bar.
Exception: In the MTC, it may be
represented by its agent or officer
who need not be a lawyer.
Practice by Corporation
It is well settled that a corporation
CANNOT engage in the practice of law.
It may, however, hire an attorney to
attend to and conduct its own legal
business or affairs.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
But it cannot practice law directly or
indirectly by employing a lawyer to
practice for it or to appear for others for
its benefit.
Reasons:
1. Nature of the privilege and on the
confidential and trust relation
between attorney and client.
2. The corporation (a juridical
person) cannot perform the
conditions required for
membership in the bar, such as
the possession of good moral
character and other special
disqualifications, the taking of an
oath and becoming an officer of
the court, subject to its discipline,
suspension or removal.
3. The relation of trust and
confidence cannot arise where
the attorney is employed by a
corporation to practice for it, his
employer and he owing, at best,
a secondary and divided loyalty
to the clientele of his corporate
employer.
4. The intervention of the
corporation is destructive of that
confidential and trust relation and
is obnoxious to the law.
Persons authorized to represent the
government
Any official or other person appointed
or designated in accordance with law to
appear for the government of the
Philippines or any of its officials shall
have all the rights of a duly authorized
member of the bar to appear in any
case in which the government has an
interest, direct or indirect, or in which
such official is charged in his official
capacity. [Sec. 33, Rule 138].
Solicitor General, Assistant Solicitor
General, Solicitors and Trial Attorneys,
16

State Prosecutors, Special Counsel,
Special Prosecutor of the Ombudsman.
Three Instances when a lawyer cannot
practice:
1. Appearance of Parties in Person. -
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. (SEC. 415. Local
Government Code)
2. Appearance through a the government except when the
representative must be for a valid
cause. the representative of an
individual-party must not be a
lawyer, and must be related to or
next-of-skin of the individual-
party. juridical entities shall not
be represented by a lawyer in any
capacity. (A. M. No. 08-8-7-SC,
RULE OF PROCEDURE FOR SMALL
CLAIMS CASES)
3. A lawyer shall not, after leaving
government service, accept
engagement or employment in
connection with any matter in
which he had intervened while in
said service. (Rule 6.03, CANON
6)
Disability of Public Officials to practice
Appointment or Election to a
government office disqualifies one to
practice law.
1. Public office is a Public Trust.
Obliged to perform duties with
exclusive fidelity.
2. Avoid conflict of interests.
3. Assure the people of impartiality
in the performance of public
functions, thereby promote the
public welfare.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
office, agency or instrumentality
When any of the public officials are of the government is the adverse
absolutely prohibited, they cease, as a party;
general rule, to engage in private 2. Appear as counsel in any criminal
practice of law and the right to practice case wherein an officer or
is suspended during tenure of office. employee of the national or local
government is accused of an
Lawyer member of the Legislature not offense committed in relation to
absolutely prohibited. his office;
Prohibited only from appearing as 3. Collect any fee for their
counsel in: appearance in administrative
1. Any court of justice. proceedings involving the local
2. Electoral Tribunals. government unit of which he is an
3. Quasi-Judicial or Administrative official. [Sec. 90, R.A. 7160]
bodies. 4. Use property and personnel of
What is prohibited is to ―personally Sanggunian member concerned is
appear.‖ defending the interest of the
The word ―appearance‖ includes: government
1. Arguing a case before any such However, Sanggunian members may
body. practice their professions, engage in
2. Filing a pleading on behalf of a any occupation, teach in schools
client as ―by simply filing a formal except during session hours.
motion, plea or answer‖.
Neither can he allow his name to WHO MAY NOT PRACTICE LAW?
appear in such pleading by itself or as Relative Prohibition
part of a firm name under the signature 1. Senators and members of the
of another qualified lawyer because the House of Representatives
signature of an agent amounts to (prohibition to appear)
signing of a non-qualified senator or 2. Members of the Sanggunian.
congressman, the office of an attorney Absolute Prohibition
being originally of agency, and because 1. All members of the Judiciary
he will, by such act, be appearing in 2. Judges and other officials as
court or quasi-judicial or administrative employees of the Supreme Court.
body in violation of the constitutional 3. Government prosecutors.
restriction. 4. President, Vice President,
―He cannot do indirectly what the members of the cabinet.
Constitution prohibits directly‖. 5. Members of Constitutional
Commissions.
RESTRICTIONS IN THE PRACTICE OF 6. Ombudsman and his deputies.
LAW OF THE MEMBERS OF THE 7. Solicitor General and Assistant
SANGGUNIAN Solicitor General
They shall not: 8. All governors, city and municipal
1. Appear as counsel before any mayors.
court in any civil case wherein a
local government unit or any
17 ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
9. Those prohibited by special laws
– retired members of the
judiciary.
A Civil Service Officer can engage in the
practice of law only if:
1. The officer’s responsibilities do
not require his time to be fully at
the disposal of the government.
2. With written permission from the
head of the department
concerned.
A punong barangay needs to obtain
written permission from the Secretary
of the DILG to appear as counsel.
Liability for unauthorized practice
Any person prohibited from engaging in
the practice of law or assumes to be an
attorney is liable for contempt of court,
punishable by fine or imprisonment or
both.
Liable for Estafa, defrauds the litigant:
1. If such unauthorized practice
causes damage to a party.
2. False representation and
rendering service in court in
behalf of litigant.
Criminal and Administrative Liability for
government officials prohibited from
practicing law when doing such.
Remedies against unauthorized
practice
1. Injunction.
2. Declaratory Relief.
3. Contempt of Court.
4. Petition for Disqualification.
5. Complaint for Disbarment.
6. Administrative complaint for public
officer.
7. Criminal complaint for Estafa
18
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
D. QUALIFICATIONS FOR ADMISSION Public Policy demands that a person
seeking admission to the practice of law
REQUIREMENTS FOR ADMISSION TO must
THE BAR: 1. Possess the required educational
1. Citizen of the Philippines. qualifications.
2. Resident of the Philippines 2. Show a degree of learning and
3. At least 21 years old proficiency in law necessary for
4. Successfully completed all prescribed the due performance of the duties
courses. of a lawyer.
5. Passed the bar exams. To the lawyer is entrusted the
6. Production before the Supreme protection of life, liberty, property, or
Court satisfactory evidence of: honor.
a. Good moral character To approve officially one who is not
b. No charges against him, adequately prepared to such a delicate
involving moral turpitude, task is to create a social danger.
have been filed or are pending
in any court in the Philippines. Bar Examination
Subjects chosen for these exams are
Citizenship and Residence designed to eliminate any one whose
Privilege denied to foreigners. general intelligence, learning, and
Takes into account the close connection mental capacity are inadequate to
of the practice of law with the enable him to assume and discharge
administration of justice. the duties of an attorney.
An alien cannot well maintain allegiance Passing Grade: A general average of
to the Republic of the Philippines, which 75% in all subjects without falling
is required in the Oath of a Lawyer. below 50% in any subject.
In determining the average, the
Good Moral Character subjects given the following relative
Continued possession of good moral weights:
character after admission is a 1. Civil Law 15%
requirement for enjoyment of privilege 2. Labor and Social Legislation 10%
to practice. 3. Mercantile Law 15%
Moral character is what a person really 4. Criminal Law 10%
is as distinguished from good reputation 5. Political and International Law
or opinion generally entertained of him. 15%
Includes at least common honesty. 6. Taxation 10%
Opposite of immorality, which is the 7. Remedial Law 20%
indifference to the moral norms of 8. Legal Ethics and Practical
society. Exercises 5%
This requirement aims to maintain and
uphold the high moral standard and the A candidate who fails for three times is
dignity of the legal profession. disqualified from taking another
examination, unless he has shown to
Educational qualifications the satisfaction of the Court that he
has:
ralc2011 19
1. Enrolled and passed regular
fourth year review classes;
2. Attended a pre-bar review
course.
E. PROCEDURE FOR ADMISSION
Bar Examination Committee
Examinations shall be conducted by a
committee of bar examiners to be
appointed by the Supreme Court. This
committee shall be composed of:
1. A Justice of the Supreme Court,
as chairman and designated by
the court to serve for one year.
2. Eight (8) members of the
Philippine bar, who shall serve as
examiners in the 8 bar subjects
and hold office for a period of one
year.
3. Bar Confidant as liaison officer
between the Court and Chairman
and the Committee members.
Also a deputy clerk of court.
Application and supporting documents
Time for filing proof of qualifications.—
All applicants for admission shall file
with the clerk of the Supreme Court a
duly accomplished application form
together with supporting documents
concerning his qualifications at least 15
days before the beginning of the
examination.
Applicants shall also file at the same
time their own affidavits as to their age,
residence, and citizenship. (Rule 138,
Sec. 7)
Notice of applications.—Notice of
applications for admission shall be
published by the clerk of the Supreme
Court in newspapers published in
Pilipino, English and Spanish, for at
least 10 days before the beginning of
the examination. (Rule 138, sec. 8)
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
American lawyers in active practice of
law in the Philippines before July 4,
1946 or a Filipino citizen enrolled as
attorney in the United States before
July 4, 1946, who desires admission
without examination should:
1. File a petition with the Court
along with his
2. License to practice
3. Evidence that it has not been
revoked
4. Certificates of professional
standing.
Disclosure of involvement in any
criminal case
Applicant must show that no charges
against him involving moral turpitude
have been filed or pending in court in
the Philippines (Rule 138, Sec 2, Rules
of Court)
To enable the court to resolve whether
a particular crime involves moral
turpitude, applicant must disclose any
crime of which he has been charged.
If what has been concealed does not
involve moral turpitude, it is the fact of
concealment and not the commission of
the crime itself that makes him morally
unfit.
Burden of proof to show qualifications
Applicant assumes the burden of proof
to establish his qualifications to the
satisfaction of the court.
After having presented prima facie
evidence of his qualifications, any one
objecting to his admission may offer
contrary evidence to overcome such
prima facie showing. Burden of proof
shifts to the complainant.
Written examinations
Annual examination.
20

o Examinations for admission to the
bar of the Philippines shall take
place annually in the City of
Manila.
o They shall be held in four days to
be designated by the chairman of
the committee on bar examiners.
o The subjects shall be distributed
as follows:
1. 1st day: Political and
International Law
(morning), Labor and
Social Legislation
(afternoon);
2. 2nd day: Civil Law
(morning),Taxation
(afternoon);
3. 3rd day: Mercantile Law
(morning) Criminal Law
(afternoon);
4. 4th day: Remedial Law
(morning) Legal Ethics and
Practical Exercises
(afternoon). (Rule 138,
sec. 11.)
The questions shall be the same for all
examinees.
Examinees shall answer the questions
personally without help from anyone.
Upon verified application made by an
examinee stating that his penmanship
is so poor that it will be difficult to read
his answers without much loss of time,
the Supreme Court may allow such
examinee to use a noiseless typewriter.
Restrictions to insure integrity in
examination
1. An examinee is prohibited from
bringing papers, books or notes into
the examination room.
2. He is not to communicate with the
other examinees during the exam.
3. He is not to influence any member of
the committee on bar exams.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
4. To keep the examinee’s identity a
secret and thus avoid any influence
to bear upon the examiner in the
valuation of his answers:
a. The exam papers shall be
identified by numbers.
b. The name of the examinee is
written in a piece of paper and
sealed in an envelope.
5. Any candidate who violates any of
the rules concerning the conduct of
examination will be barred from
taking such and the same will be
counted as a failure against him.
The conduct of the bar exams involves
public interest.
Any charge of anomaly requires prompt
action from the Court to prevent
erosion of public faith in the bar and in
the court.
Correction and revaluation of grades
The bar examiners correct the
examination papers and submit the
grades and corrected papers to the bar
confidant.
The bar confidant tallies the individual
grades of every examinee, computes
the general average, and prepares a
comparative data showing the
percentage of passing and failing in
relation to a certain average.
Results are submitted to the
Examination Committee and to the
Court.
Any request for revaluation of the
answers and the grades given should be
made by the examinee addressed to
the Court.
Administration of Oath
21
Qualified applicants shall take and
subscribe to the Oath of Office as a
Lawyer.
A prerequisite to the admission of
practice of law and may only be taken
before the Supreme Court.
The court may deny the petition to take
the lawyer’s oath for:
o Grave misconduct;
o Pending complaint against the
applicant
LAWYER’S OATH (MEMORIZE!!)
I _____ , do solemnly swear that I will
maintain allegiance to the Republic of the
Philippines;
I will support and defend its Constitution
and obey the laws as well as the legal
orders of the duly constituted authorities
therein;
I will do no falsehood nor consent to its
commission;
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 not delay any man’s cause 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 will impose upon myself this obligation
voluntarily, 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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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, 270 SCRA 26)
By taking the lawyer’s oath, a lawyer
becomes the guardian of truth and the
rule of law and an indispensable
instrument in the fair and impartial
administration of justice. Good moral
character includes at least common
honesty. Deception and other
fraudulent acts are not merely
unacceptable practices that are
disgraceful and dishonorable, they
reveal a basic moral flaw. (Olbes vs.
Deciembre, 457 SCRA 341)
Issuance of Certificate
After taking oath, the Supreme Court
admits him as a member of the bar for
all courts of the Philippines.
An order be entered that a certificate of
such record be given him by the clerk of
court.
Such certificate is his license to practice
law.
Thereafter, he signs the roll of
attorneys, which is the official record
containing the names and signatures of
those who are authorized to practice
law.
Payment of IBP dues and privilege tax
Membership by every attorney in the
IBP is compulsory.
Obligation to support it financially.
o Every member of the Integrated
Bar shall pay such annual dues as
the Board of Governors shall
22
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
determine with the approval of CHAPTER 3 –LAWYER’S
the Supreme Court.
o Default in payment for 6 months DUTIES TO SOCIETY
shall warrant suspension.
o Default in such payment for 1
year shall be a ground for MEMORY AID FOR CANONS UNDER
removal of the name of the THIS SECTION:
delinquent member from the Roll 1. Promote and Respect the Law and Legal
of Attorneys. Process (Canon 1)
o However, no action involving 2. Provide Efficient and Convenient Legal
suspension or removal from the Services (Canon 2)
roll shall be effective without final 3. Information on Legal Services that is
approval of the Supreme Court. true, Honest, Fair and Dignified (Canon
3)
Conditions sine qua non to the privilege 4. Support for Legal Reforms and
to practice law and to the retention of Administration of Justice (Canon 4)
his name in the roll of attorneys : 5. Participate in Legal Education Program
1. Continued membership (Canon 5)
2. Regularly paying membership 6. Applies to Lawyers in Government
dues and other lawful Service (Canon 6)
assessments that it may levy.
A lawyer must comply with the CANON 1: A lawyer shall uphold the
requirement regarding payment of constitution, obey the laws of the land and
membership even though his practice is promote respect for law and legal process.
―limited.‖
The exemption from payment of Rule 1.01. A lawyer shall not
individual income taxes for senior engage in unlawful, dishonest,
citizens does not include payment of immoral or deceitful conduct.
IBP membership dues.
Rule 1.02. A lawyer shall not
counsel or abet activities aimed at
defiance of the law or at lessening
confidence in the legal profession.
Rule 1.03. A lawyer shall not, for
any corrupt motive or interest,
encourage any suit or delay any
man’s cause.
Rule 1.04. A lawyer shall encourage
his clients to avoid, end or settle a
controversy if it will admit of a fair
settlement
ralc2011 23 ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A. UPHOLDING THE CONSTITUTION
AND THE LAW
Duty to uphold the Constitution and
obey the law
First and foremost duty of a lawyer is
to:
1. Maintain allegiance to the
Republic of the Philippines;
2. Uphold the Constitution and
3. Obey the laws of the land.
Code of Professional Responsibility
underscores the primacy of such duty.
Canon 1: “A lawyer shall uphold
the Constitution, obey the laws of
the land, and promote respect for
law and legal processes.”
Role of lawyers in the community:
While the duty to uphold the
Constitution and obey the law is
an obligation imposed on every
citizen, a lawyer assumes
responsibilities well beyond the
basic requirements of good
citizenship.
As a servant of the law, a lawyer
should moreover make himself an
example for others to emulate.
Being a lawyer, he is supposed to
be a model in the community in
so far as respect for the law is
concerned.
A lawyer’s responsibilities are greater
than those of a private citizen.
He must not subvert the law by
counseling in activities which are in
defiance of the law.
He should not allow his services to be
engaged by an organization whose
members are violating the law, to
defend them when they get caught.
Duty not to engage in unlawful
conduct
24

Canon 1, Rule 1.01. A lawyer shall not
engage in unlawful, dishonest, immoral
or deceitful conduct.
As servant of the law, a lawyer should
moreover make himself an exemplar for
others to emulate.
Duty to obey the law and promote
respect for law and legal processes
demands that he shall not engage in
unlawful, dishonest, and immoral, or
deceitful conduct.
Unlawful conduct is an act or omission
which is against the law.
Dishonesty involves lying or cheating.
Immoral or deceitful conduct is that
which is willful, flagrant or shameless
and which shows a moral indifference to
the opinion of the good and respectable
members of the community.
Moral turpitude ―includes everything
which is done contrary to justice,
honesty, modesty, or good morals‖. It
involves an act of baseness, vileness, or
depravity in the private duties which a
man owed his fellowmen, or to society
in general, contrary to the accepted and
customary rule of right and duty
between man and woman, or conduct
contrary to justice, honesty, modesty,
or good morals.
Duty not to counsel illegal activities
Canon1, Rule 1.02. A lawyer shall not
counsel or abet activities aimed at
defiance of the law or at lessening
confidence in the legal profession.
A lawyer who defies a writ or
preliminary injunction has flouted his
duties as a lawyer.
He should not promote an organization
known to be violating the law nor assist
it in a scheme which he knows is
dishonest
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
He should not allow his services to be
engaged by an organization whose
member as violating the law, to defend
them when they get caught.
The Supreme Court will not denounce
criticismmade by anyone against the
Court for, if well founded, can truly
have constructive effects in the task of
the Court, but it will not countenance
any wrongdoing nor allow the erosion of
our people’s faith in the judicial system,
let alone, by those who have been
privileged by it to practise law in the
Philippines. (Estrada v.
Sandiganbayan, 416 SCRA 465
(2003))
Terrel was found guilty of malpractice
or gross misconduct for assisting in the
establishment and acting as counsel for
the Centro Bellas Artes Club, an
organization intending to evade the
practice of law. (In Re Terrel (1903))
Duty not to encourage lawsuits
Rule 1.03. A lawyer shall not, for any
corrupt motive or interest, encourage
any suit or delay any man’s cause.
Among the unprofessional acts which
come within the prohibition include the
lawyer’s:
1. Volunteering advice to bring
lawsuit, except in rare cases
where ties of blood, relationship,
or trust.
2. Hunting up defects in titles or
other causes of action.
3. Seeking out claims for personal
injuries or those having any other
grounds of action to secure them
as clients.
4. Initiating a meeting of the
members of a club and inducing
25
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
them to organize and contest a fees which are often considerably less
legislation under his guidance. when the cause is amicably settled. The
5. Purchasing notes to collect them problem of conflict of interests must be
by litigation at a profit. resolved against self-interest.
Purpose of the prohibition: To prevent Parties to an amicable settlement enjoy
ambulance chasing - solicitation of benefits better than those which can
almost any kind of legal business by legally be secured to them by judicial
laymen employed by an attorney for procedure.
the purpose or by the attorney himself. Litigation involves time, expense, and ill
feelings, which may well be avoided by
Ambulance chasing has spawned the settlement of the action.
recognized evils and is prohibited A compromise or even a confession of
because: judgment will:
1. It stirs up litigation with resulting 1. Accord respect to the just claim
burdens on courts and the public; of the other party;
2. Supports perjury. 2. Save the client additional
3. Defrauds innocent persons by expenses;
judgments, upon manufactured 3. Help prevent clogging of the
causes of actions. docket.
4. Defrauds injured persons having
proper causes of action but
ignorant of legal rights and court
procedure by means of contracts
which retain exorbitant expenses
and by settlement made for quick
returns of fees against the rights
of the injured persons.
Duty to encourage amicable
settlement
Rule 1.04. A lawyer shall encourage his
clients to avoid, end or settle a
controversy if it will admit of a fair
settlement.
The function of a lawyer is not only to
conduct litigation but to avoid it where
possible, by advising settlement or
withholding suit.
He/she must act as mediator for
compromise rather than an instigator
and conflict.
What sometimes beclouds a lawyer’s
judgment as to what is best for his
client is his/her eye on the attorney’s
ralc2011 26

CANON 2: A lawyer shall make his legal
services available in an efficient and
convenient manner compatible with the
independence, integrity and effectiveness
of the profession.
Rule 2.01. A lawyer shall not reject,
except for valid reasons, the cause
of the defenseless or the oppressed.
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.
Rule 2.03. A lawyer shall not do or
permit to be done any act designed
to primarily solicit legal business.
Rule 2.04. A lawyer shall not
charge rates lower than those
customarily prescribed unless the
circumstances so warrant.
B. MAKING LEGAL SERVICES
AVAILABLE
Generally
A lawyer shall make his legal services
available in an efficient and convenient
manner compatible with the
independence, integrity and
effectiveness of the profession.
A lawyer who is qualified to provide
efficient legal services should make
available such services to those who are
in need thereof.
IBP Committee that drafted the Code
explained: “A person in need of legal
services should be able to find a lawyer
who is qualified to provide them. It is
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
the responsibility of the bar to make
such services available.”
A wide gap exists between the need
and its satisfaction. This has been
mainly ascribed mainly to 2 reasons:
1. Poverty and the consequent
inability to pay.
2. Ignorance not only of the need of
legal services but also of where to
find a competent and dependable
lawyer.
A lawyer shall not reject the cause of
the defenseless
Rule 2.01. A lawyer shall not reject,
except for valid reasons, the cause of
the defenseless or the oppressed.
Stems from one of the obligations
incident to the status and privileges of a
lawyer – To represent the poor and
oppressed in the prosecution of their
claims or the defense of their rights.
Even in those instances in which he
may not, for valid reasons, accept the
case, the lawyer ―shall not refuse to
render legal advice to the person
concerned if only to the extent
necessary to safeguard the latter’s
rights.‖ (Rule 2.02.)
The duty of a lawyer to accept the
cause of the defenseless and the
oppressed empowers the court to
require him to render professional
services to any party in a case, if the
party is without means to employ an
attorney and the services of a lawyer
are necessary to protect the rights of
such party or secure the ends of justice.
To designate him as counsel de oficio
for an accused if the latter is unable to
employ a counsel de parte.
The lawyer so assigned has to render
effective legal services, under the pain
of disciplinary sanction should he fail or
27
neglect to do so, until he is excused
therefrom by the court.
Every lawyer should:
1. Welcome the assignment as an
opportunity to render public
service;
2. Show that the practice of law is a
profession; and
3. Demonstrate that the efficient
discharge of his duties does not
depend upon payment or amount
of fees.
The Integrated Bar of the Philippines
through its Committee on Legal Aid has
established legal aid offices throughout
the country.
Its objective is to provide on a
nationwide basis legal services in favor
of the poor segment of society.
Their policy is that 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, which
makes it a public responsibility of the
Bar.
A lawyer shall not refuse to render
legal advice
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.
GENERAL RULE: A lawyer may refuse
to accept the cause of the defenseless
or the oppressed. A lawyer is not
obliged
to act as legal counsel for any person who
may wish to become his client.
EXCEPTIONS:
1. A lawyer shall not refuse his services
to the needy.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
2. He 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.
(Canon 14, Rule 14.01)
3. If there is serious and sufficient
cause, an appointment as counsel de
oficio or as amici curiae, or a request
from the Integrated Bar of the
Philippines or any of its chapters for
rendition of free legal aid. (Canon
14, Rule 14.02)
EXCEPTION TO THE EXCEPTION: 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. (Canon 14, Rule 14.03)
A valid reason to refuse is when the
lawyer is not in a position to carry out
the work effectively and competently.
However he shall still render legal
advice (such as those pertaining to
preliminary steps a person can take).
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).
In the case mentioned above, rendering
legal advice to the prospective client
will establish an attorney-client
relationship between them and this will
constitute a violation of the rule
prohibiting a lawyer from representing
conflicting interests. (Canon 15, Rule
15.03)
28

Participating in legal development
CANON 5: A lawyer shall keep abreast of
legal developments, participate in
continuing legal education programs,
support efforts to achieve highest
standards in law schools as well as in the
practical training of law students and assist
in disseminating information regarding law
and jurisprudence.
It is the bounden duty of counsel in the
active practice to keep abreast of
decisions of the Supreme Court and
changes in the law.
It is imperative that judges should be
conversant with basic legal principles
and with the changes in the law and
with the latest decisions and
precedents.
For service in the judiciary and being in
the active practice of law require
continuous study and research on the
law from beginning to end.
Legal education should be a continuing
concern.
After admission to practice, a lawyer
incurs a three-fold obligation:
1. He owes it to himself to continue
improving his knowledge of the
law.
2. He owes it to his profession to
take an active interest in the
maintenance of high standards of
legal obligation.
3. He owes it to the lay public to
make the law a part of its social
consciousness.
Mandatory Continuing Legal Education
(MCLE)
Members of the IBP, except those
exempt under Rule 7 of Bar Matter No.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
850 (Mandatory Continuing Legal
Education), are required every 3 years
to complete at least 36 hours of
continuing legal education activities,
with appropriate penalties for failure to
do so.
C. APPLICABILITY OF CODE TO
GOVERNMENT LAWYERS
CANON 6. These Canons shall apply to
lawyers in government service in the
discharge of their official duties.
Rule 6.01. The primary duty of a
lawyer 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.
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.
Rule 6.03. A lawyer shall not, after
leaving government service, accept
engagement or employment in
connection with any matter in which
he had intervened while in said
service.
Code is applicable to government
lawyers
Canon 6 makes the Code of Professional
Responsibility applicable to lawyers in
government service in the discharge of
their official duties.
29
The reason for the rule is that a lawyer
does not shed his professional
obligations upon assuming public office.
In fact, his professional obligations
should make him more sensitive to his
official obligations because a lawyer’s
disreputable conduct is more likely to
be magnified in the public eye.
As government counsel, they have the
added duty to abide by the policy of the
State to promote a high standard of
ethics in public service.
As part of the government bureaucracy,
it is incumbent upon lawyers to perform
and discharge their duties with the
highest degree of professionalism,
intelligence, and skill, and to extend
prompt, courteous, and adequate
service to the public.
Fundamental principle in public law:
Public office is a public trust.
A public servant owes utmost fidelity to
the public service.
Norms of conduct required of public
officials:
1. Uphold the public interest over
and above personal interest.
2. Discharge their duties with the
highest degree of excellence,
professionalism, intelligence, and
skill.
3. Act with justness and sincerity.
4. Provide service without
discrimination.
5. Extend prompt, courteous, and
adequate service to the public.
6. Be loyal to the Republic.
7. Commit themselves to democratic
way of life and values.
8. Live modest lives.
A prosecutor shall see to it that justice
is done
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Rule 6.01. The primary duty of a
lawyer 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 who represents, not an ordinary
party to a controversy, but sovereignty.
This sovereignty has its obligation to
govern impartially. Therefore, the
interest in a criminal prosecution is not
that it shall win a case but that justice
shall be done.
A public prosecutor should not hesitate
to recommend to the court the acquittal
of the accused if the evidence in his
possession shows that the accused is
innocent.
If he finds no legal basis to sustain a
conviction, he should not hesitate to
recommend that the accused be
acquitted.
For “his finest hour is not when he wins
a case with the conviction of the
accused. His finest hour is still when,
overcoming the advocate’s natural
obsession for victory, he stands up
before the court and pleads not for the
conviction of the accused but for his
acquittal. For indeed, his noble task is
to prosecute only the guilty and to
protect the innocent.”
Restrictions on the functions of public
prosecutor
Public prosecutors should not allow
giving the impression that their noble
office is being used, wittingly or
unwittingly, for political ends or other
purposes alien to the basic objective of
serving the interests of justice
30

evenhandedly, without fear or favor to
any and all litigants, whether rich or
poor, weak or strong, powerless or
mighty.
It is his duty to refrain from improper
methods calculated to produce a
wrongful conviction.
He should not offer as proof of the guilt
of the accused which is illegally seized.
Nor suppress facts or conceal witnesses
capable of establishing the innocence of
the accused.
It is improper for a public prosecutor
to:
1. Assist in the escape of a prisoner.
2. Institute a criminal action to force
settlement of a case.
3. Agree to refrain from prosecuting
a person in consideration of some
reward.
4. Receive money for dismissing a
complaint.
5. Induce an accused to plead
guilty.
6. Willfully fail to prosecute
violations of law.
7. Have a secret partner with whom
he divides the attorney’s fees.
In appeals, the Solicitor General has
control
GENERAL RULE: The Solicitor General
shall represent the People in criminal
actions brought to the Court of Appeals
and the Supreme Court.
EXCEPTION: In all cases elevated to the
Sandiganbayan and from there to the
Supreme Court, the Office of the
Ombudsman, through its special
prosecutor, shall represent the People.
9RA 8249)
EXCEPTION TO THE EXCEPTION: Cases
filed pursuant to Executive Order Nos.
1, 2, 14, and 14-A issued in 1986.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Role of the private prosecutor
GENERAL RULE: Where the civil action
for recovery of civil liability is instituted
in the criminal action, the offended
party may intervene by counsel in the
prosecution of the offense. (Rule 110,
Sec. 16. Rules of Court)
EXCEPTIONS: Public prosecutor has
direction and control of the prosecution:
1. Where from the nature of the
crime and the law defining and
punishing it, no civil liability
arises in favor of a private
offended party.
2. In cases where from the nature of
the offense, the offended party is
entitled to civil indemnity arising
therefrom but he has:
a. Waived the civil action or
b. Expressly reserved the
right to institute it
separately from the
criminal action.
The role of the private prosecutor in
criminal actions is to represent the
private offended party with respect to
the civil action for the recovery of civil
liability arising from the offense.
His sole purpose is to enforce the civil
liability and not to demand the
punishment of the accused.
Intervention by private lawyer is
subject to prosecutor’s control
The intervention of the private
prosecutor in the criminal prosecution is
always subject to the direction and
control of the public prosecutor.
Public prosecutor is duty bound to take
charge of the prosecution until its
termination.
While he may allow the private
prosecutor to actively handle the
31
conduct of the trial, his duty to direct
and control requires that:
1. He must be present during the
proceedings.
2. He must at any time, take over
the conduct of the trial from the
private prosecutor.
Where the prosecutor turned over the
active conduct of the trial to the private
prosecutor who presented testimonial
evidence even when the public
prosecutor was absent during the trial,
the evidence presented could not be
considered as valid evidence of the
People of the Philippines.
However, it applies only to courts which
are provided by law with their own
prosecutors, and not to Municipal Trial
Courts which have no trial prosecutors.
A private prosecutor taking over a
criminal action cannot take a stand
different from or opposed to that of the
public prosecutor or cannot adopt a
stand inconsistent with that of the
Solicitor General, otherwise it would be
tantamount to giving him the direction
and control of the criminal proceedings,
contrary to law and settled rules on the
matter.
When the public prosecutor should
take over handling of the case
A public prosecutor should not allow the
trial in the hands of a private
prosecutor to degenerate into a private
prosecution.
The administration of criminal law
should never be for the accomplishment
of a private gain or advantage nor it be
a vehicle of oppression for the
gratification of private malice.
A lawyer shall not use his public
position to promote his private
interest
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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.
If the law allows a public official to
practice law concurrently, he must not
use his public position to feather his law
practice.
Neither should he accept any private
legal business in which his duty to his
client will or may conflict with his
official duties, and if some unforeseen
conflict with his official duties arises he
should terminate his professional
relationship.
A public official should see to it that his
private activity does not interfere with
the discharge of his official functions.
He should avoid all impropriety and the
appearance of impropriety.
Neither should he 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.
RA 6713 (Code of Conduct and Ethical
Standards for Public Officials and
Employees.
Sec. 7(b). In addition to acts and
omissions of public officials and employees
not prescribed in the Constitution and
existing laws, the following shall constitute
prohibited acts and transactions of any
public official and employee and are
hereby declared to be
unlawful:
(b) Outside employment and other
activities related thereto.—Public officials
and employees during their incumbency
shall not:
1. Own, control, manage or accept
employment as officer employee,
32

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; or
3. Recommend any person to any
position in a private enterprise which
has a regular or pending official
transaction with their office.
Former official may not accept certain
employment
Rule 6.03. A lawyer shall not, after
leaving government service, accept
engagement or employment in
connection with any matter in which he
had intervened while in said service.
The restriction covers ―engagement and
employment,‖ which means that he
cannot accept any work or employment
from anyone that will involve or relate
to the matter in which he intervened as
a public official, except on behalf of the
body or authority which he served
during his public employment.
PCGG v. Sandiganbayan, 455 SCRA
526 (2005)):
PCGG seeks to disqualify Atty. Estelito
Mendoza as counsel for the Lucio Group of
Companies in the suit involving the
sequestration of shares of stock of the LGC
as alleged ill-gotten wealth, on the ground
that as former Solicitor General, he
intervened in the matter of the liquidation
of Genbank, which was subsequently
purchased by LGC.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
The Court ruled that ATty Mendoza could
not be disqualified from representing the
LGC. The Court explained:
The key to unlock Rule 6.03 lies in
comprehending.
1. The meaning of ―matter‖
referred to in the rules.
2. The metes and bounds of the
―intervention‖ made by the
former government lawyer on
the ―matter.‖
The American Bar Association, in its
Formal Opinion 342, defined ―matter‖
as:
o Any discrete, isolatable act as
well as identifiable transaction
and not merely an act of
drafting, enforcing or
interpreting government or
agency procedures,
regulations or laws, or briefing
abstract principles of law.
The ―matter‖ or the act of Atty.
Mendoza as Solicitor General is
―advising the Central Bank on how to
proceed with Genbank’s liquidation is
held not to be the ―matter‖
contemplated by Rule 6.03.
Clearly, ABA Formal Opinion 342
stresses that Atty. Mendoza’s acts did
not fall within the scope of the term
―matter.‖
It is given that respondent Mendoza
had nothing to do with the decision of
the Central Bank to liquidate Genbank
and did not even participate in the sale
of Genbank to Allied Bank.
The ―matter‖ which he got himself
involved was informing the Central
bank on the procedure by law to
liquidate Genbank.
It is not the same as the subject
―matter‖ of the civil case of
sequestration of stocks owned by Tan in
Allied Bank on the alleged ground that
33
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
they are ill-gotten. This case does not
involve the liquidation of Genbank.
Whether the shares of stock of Allied
Bank are ill-gotten is far removed from
the issue of the dissolution and
liquidation of Genbank.
―Intervention‖ is interference that may
affect the interest of and influence others.
Intervention must not be insubstantial and
insignificant.
―Substantial responsibility‖ is required by
the prohibition.
In interpreting Rule 6.03, the Court also
cast a harsh eye on its use as a litigation
tactic to harass opposing counsel as well
as deprive his client of competent legal
representation.
In the case at bar, the new attempt to
disqualify respondent Mendoza has long
been a dead issue, resuscitated after the
lapse of many years and only after PCGG
has lost many legal incidents in the hands
of the respondent.
It is also submitted that the Court should
apply Rule 6.03 in all its strictness for it
correctly disfavors lawyers who ―switch
sides‖ and intended to avoid conflict of
loyalties. It is claimed that ―switching
sides‖ carries the danger that former
government employee may compromise
confidential official information in the
process.
The act of respondent Mendoza in
informing the Central Bank on the
procedure how to liquidate Genbank is a
different matter from the subject matter of
Civil Case No. 0005 which is about
sequestration of the shares of respondents
Tan in Allied Bank. There is no switching
sides for no two sides are involved.
ralc2011 34

CHAPTER 4: THE LAWYER’S
DUTIES
TO THE LEGAL PROFESSION
A. UPHOLDING INTEGRITY OF
PROFESSION
Canon 7: A lawyer shall at all times
uphold the integrity and dignity of the legal
profession and support the activities of the
integrated bar.
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.
Rule 7.02. A lawyer shall not
support the application for admission
to the bar of any person known by
him to be unqualified in respect to
character, education, or other
relevant attribute.
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.
Generally
Canon 7: A lawyer shall at all times
uphold the integrity and dignity of the
legal profession and support the
activities of the integrated bar.
Maintenance of a high standard of legal
proficiency and fair dealing is a
prerequisite to making the bar an
effective instrument in the proper
administration of justice.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
It is necessary that lawyers strive to
uphold the honor and maintain dignity
of the profession and to improve the
law and the administration of justice.
The respect of the public to the legal
profession is enhanced by the faithful
performance of the lawyer’s duties to
the court, to society, to his brethren in
the profession, and to his client.
Such respect is diminished whenever a
member betrays the trust and
confidence reposed in him by his client.
Public confidence in law and lawyers
may be eroded by the irresponsible and
improper conduct of a member of the
bar.
Thus, every lawyer should act in a
manner that would promote public
confidence in the integrity of the
profession.
A lawyer should also involve in and
actively support the activities of the
IBP.
A person shall make no false
statement in his application for
admission to the bar
Rule 7.01. A lawyer shall be
answerable for knowingly making a
false statement or suppressing a
material fact in connection with his
application for admission to the bar.
Observance of the duties and
responsibilities of a lawyer begins even
as a law student. A student’s failure to
live up to them may be a ground for SC
to refuse admission to practice or for
disbarment should SC learn later on
about his/her transgressions.
A person seeking to be admitted to the
bar must show that he has all the
qualifications and none of the
disqualifications prescribed by law.
A lawyer shall not support unqualified
applicant to the bar
35
Rule 7.02. A lawyer shall not support
the application for admission to the bar
of any person known by him to be
unqualified in respect to character,
education, or other relevant attribute.
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.
He should volunteer information or
cooperate in any investigation
concerning alleged anomaly in the bar
examination. This is to help guard the
profession from candidates who are
unfit or unqualified.
He should expose without fear or favor
before the SC corrupt or dishonest
conduct in the profession and should
not hesitate to accept professional
employment against a lawyer who has
wronged his client.
A lawyer shall always conduct himself
ethically and morally
The best way a lawyer can uphold the
integrity and dignity of the profession is
not to 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. (Rule 7.03.)
He should endeavor to conduct himself
in such a way as to give credit to the
legal profession and to inspire the
confidence, respect, and trust of his
clients and the community.
Acts which adversely reflect on the
lawyer’s fitness to practice law, which
justify suspension:
1. Gross immorality.
2. Conviction of a crime involving
moral turpitude.
3. Fraudulent transactions.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Gross immorality reflective of
unfitness to practice
Acts of personal immorality in his
private relation with the opposite sex.
Gross immorality of the act, not merely
immorality, to justify suspension or
disbarment.
Grossly Immoral Act
1. One that is so corrupt and false
as to constitute a criminal act.
2. Unprincipled or disgraceful as to
be reprehensible to a high
degree.
Acts of gross immorality, justifying
denial of application to take the
lawyer’s oath or suspension or
disbarment :
1. Living an adulterous life with a
married woman.
2. Maintaining illicit relations with a
niece.
3. Abandonment of his lawful wife to
live with another woman.
4. Contracting marriage while first
marriage still subsisting.
5. Seducing a woman to have carnal
knowledge with her on the basis
of misrepresentation that he is
going to marry her, that he is
single, or that they are already
married upon signing a mere
application for marriage license.
6. Carnal knowledge with a student
by taking advantage of his
position.
However, mere intimacy between man
and woman either of whom possess no
legal impediment to marry, voluntarily
carried on and devoid of any deceit on
the part of the lawyer, is not corrupt or
unprincipled to warrant disciplinary
action as member of the bar. Even if
the relationship results in the woman
giving birth to a child so long as he
admits paternity and agrees to support
the child.
36

Cohabitation per se is not grossly
immoral.
o Whether a lawyer’s sexual
congress with a woman not his
wife should be characterized as
grossly immoral will depend upon
the surrounding circumstances.
Even if the evidence is not sufficient to
hold a lawyer liable for gross
immorality, may nonetheless be
reprimanded where such evidence
shows failure on his part to comply with
the rigorous standards of conduct.
Conviction of a crime involving moral
turpitude
Moral turpitude:
o Anything which is done contrary
to justice, honesty, modesty, or
good morals.
o Any act of vileness, baseness, or
depravity in the private and social
duties a man owes his fellowmen
or to society, contrary to the
accepted rule of right and duty
between man and woman.
o In general, all crimes which fraud
or deceit is an element.
Lawyers convicted of such crime are
either suspended or disbarred.
Commission of fraud or falsehood
Commission of such may badly reflect
on his fitness to practice law.
He may be administratively disciplined.
Acts of misconduct calling for
disciplinary actions:
1. Falsely stating in a deed of sale
that the property is free from
liens or encumbrances.
2. Knowingly taking part in a false
and simulated transaction.
3. Making it appear that a vendor,
long dead, executed a document
of sale in his favor.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
4. Concealing in an information
sheet required by law in
connection with his employment
the fact that he was charged with
or convicted of a crime.
5. Borrowing money as a guardian
for his benefit upon the ward’s
property as collateral without the
court’s approval.
6. Encashing a check payable to his
deceased cousin by signing the
latter’s name.
7. Falsifying a power of attorney and
using it to collect the money due
the principal and converting it to
his benefit.
8. Misappropriating money
belonging to his employer.
37
B. LAWYER’S RELATION WITH OTHER
LAWYERS
Canon 8. A lawyer shall conduct himself
with courtesy, fairness, and candor toward
his professional colleagues, and shall avoid
harassing tactics against opposing counsel.
Rule 8.01. A lawyer shall not, in
professional dealings, use language
which is abusive, offensive or
otherwise improper.
Rule 8.02. A lawyer shall not,
directly or indirectly, encroach upon
the professional employment of
another lawyer; however, it is the
right of any lawyer, without fear or
favor, to give proper advice and
assistance to those seeking relief
against unfaithful or neglectful
counsel.
Generally
Membership in the bar imposes upon
lawyers certain obligations to one
another.
What makes the practice of law a
profession:
o Observance of honorable, candid,
and courteous dealings with other
lawyers.
o Fidelity to known and recognized
customs and practices of the bar.
Candor, fairness, and truthfulness
should characterize relations
The Court reminds parties and counsels
to:avoid further squabbles and
unnecessary filing of administrative
cases against each other.
Mutual bickering and unjustified
recriminations between attorneys
detract from the dignity of the legal
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
profession and will not receive
sympathy from the Court.
Duty of lawyer to restrain his client
from improprieties and to terminate his
relation with him if the latter persists in
his wrongdoing.
A lawyer should not use, to his or his
client’s benefit, the secrets of the
adverse party acquired through design
or inadvertence.
A lawyer who thinks a case is weak may
not criticize the lawyer who accepts it,
much less should he attribute to him
evil motive for taking up the client’s
cause.
It is not, however, improper for a
lawyer to accept employment to compel
another lawyer to honor the just claim
of a layman. His action toward such
end, as writing a letter of demand to
the lawyer, is not unethical since it is
mere honest effort to serve the interest
of the client.
A lawyer should use temperate
language
Rule 8.01. A lawyer shall not, in
professional dealings, use language
which is abusive, offensive or otherwise
improper.
His arguments, written or oral, should
be gracious to both the court and the
opposing counsel.
Should be of such words as may be
properly addressed by one gentleman
to another.
―Do as adversaries do in law: strive
mightily but eat and drink as friends.‖
Whatever may be the ill-feelings
between the clients should not influence
counsel in their conduct and demeanor
toward each other.
They should scrupulously avoid all
personalities and personal history or
personal peculiarities and idiosyncrasies
of the other.
38

A lawyer shall not encroach upon
business of another
Rule 8.02. A lawyer shall not, directly
or indirectly, encroach upon the
professional employment of another
lawyer; however, it is the right of any
lawyer, without fear or favor, to give
proper advice and assistance to those
seeking relief against unfaithful or
neglectful counsel.
A lawyer should not steal the other
lawyer’s client nor induce the latter to
retain him by promise of better service,
good result or reduced fees for his
services. Neither should he disparage
another, make comparisons or publicize
his talent as a means to further his law
practice.
It is, however, the right of a lawyer,
without fear or favor, to give proper
advice to those seeking relief against
unfaithful or neglectful counsel.
He may accept employment to handle a
matter previously handled by another
lawyer, provided that the other lawyer
has been given notice of termination of
service. Without such notice, he shall
only appear once he has obtained
conformity or has, at the very least,
given sufficient notice of contemplated
substitution.
A lawyer’s appearance in the case
without notice to the first lawyer
amounts to an improper encroachment
upon the professional employment of
the original counsel.
Negotiation with opposite party
Canon 9 of the Canons of Professional
Ethics provides that a ―lawyer shall not
in any way communicate upon the
subject of controversy with a party
represented by counsel, much less
should he undertake to negotiate or
compromise the matter with him, but
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
should deal only with his counsel. It is
incumbent upon the lawyer most
particularly to avoid everything that
may tend to mislead a party not
represented by counsel, and he should
not undertake to advise him as to the
law.‖
A lawyer should not, 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 the
adverse party was willing to do so.
Neither should he 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.
Association as a colleague in a case
A client’s proffer of assistance of
additional counsel should not be
regarded as evidence of want of
confidence but the matter should be left
to the determination of the client.
The 2nd lawyer should communicate
with the 1st before making an
appearance. Should the 1st lawyer
object, he should decline association
but if the 1st lawyer is relieved, he may
come into the case.
When there is conflict of opinions
between two lawyers jointly associated
in a case, the client should decide. The
decision should be accepted unless the
nature of the difference makes it
impracticable for the lawyer whose
judgment has been overruled to
cooperate effectively. In this event, it is
his/her duty to ask client to relieve
him/her.
C. PREVENTING UNAUTHORIZED
PRACTICE OF LAW
39
Canon 9. A lawyer shall not, directly or
indirectly, assist in the unauthorized
practice of law.
Rule 9.01. A lawyer shall not
delegate to any unqualified person
the performance of any task which
by law may only be performed by a
member of the Bar in good standing.
Rule 9.02. A lawyer shall not divide
or stipulate to divide a fee for legal
services with persons not licensed to
practice law, except:
1. there is a pre-existing agreement
with a partner or associate that,
upon the latter’s death, money shall
be paid over a reasonable period of
time to his estate or to persons
specified in the agreement; or
2. Where a lawyer undertakes to
complete unfinished or 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 profit-
sharing arrangement.
Duty to prevent unauthorized practice
of law
Canon 9. A lawyer shall not, directly or
indirectly, assist in the unauthorized
practice of law.
Public policy requires that the practice
of law be limited to those individuals
found duly qualified in education and
character.
The permissive right conferred on the
lawyer is an individual and limited
privilege subject to withdrawal if he
fails to maintain proper standards of
moral and professional conduct.
Purpose is to protect the public, the
court, the client, and the bar from
incompetence and dishonesty of those
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
unlicensed to practice law and not
subject to the disciplinary control of the
court.
The law makes it a misbehavior on the
part of the lawyer to aid a layman in
the unauthorized practice of law.
A person not admitted to the bar may
not hold himself out to the public as
engaged in the practice of law, either
alone or as associated with a practicing
attorney under a firm name. (US v.
Ney (1907))
He may not form a partnership with a
lay accountant to specialize in income
tax work unless he ceases to hold
himself out as a lawyer and strictly
confine his activities to such as are
open to lay accountants.
Intervention of intermediary not
allowed
Prohibition on intermediary to intervene
in the performance of lawyer’s
professional obligations.
Lawyer’s relation to client is personal
and responsibility is direct.
Intervention of lay agency between
lawyer and the client is forbidden.
It is thus improper for a lawyer to
accept employment from an automobile
club which, in soliciting membership,
offers free services of it legal
department to members.
Employment should not include the
rendering of legal services to members
of such an organization in respect to
their individual affairs.
A charitable society rendering aid to the
indigent is not, however, an
intermediary within the meaning of the
rule.
A lawyer shall not delegate legal work
to non-lawyers
Rule 9.01. A lawyer shall not delegate
to any unqualified person the
40
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
performance of any task which by law The third exception to the rule does not
may only be performed by a member of involve, strictly speaking, a division of
the Bar in good standing. legal fees with non-lawyer employees.
He should not delegate to a layman any The retirement benefits in the form of
work which involves the application of pension represent additional deferred
law, such as: wages or compensation for past
1. The computation and services of the employees
determination of the period within Impropriety arises where the effect of
which to appeal and adverse the arrangement is to make the estate
judgment. or heir a member of the partnership
2. Examination of witnesses. along with the surviving partners, or
3. Presentation of evidence. where the estate or heir is to receive a
Can employ secretaries, investigators, percentage of fees that may be paid
detectives, researches as long as they from future business of the deceased
are not involved in the practice of law lawyer’s clients. Such fees no longer
(e.g., not ―writing‖ pleadings, appearing represent compensation for past
in court, etc.) services of the deceased lawyer.
An agreement between a union lawyer
A lawyer shall not divide fees with and a layman president of the union to
non-lawyers divide equally the attorney’s fees that
Rule 9.02. A lawyer shall not divide or may be awarded in a labor case violates
stipulate to divide a fee for legal the rule.
services with persons not licensed to
practice law.
Exceptions: D. SOLICITATION AND ADVERTISING
1. Where there is a pre-existing
agreement with a partner or A lawyer shall not solicit legal
associate that, upon the latter’s business
death, money shall be paid over a The law prohibits lawyers from soliciting
reasonable period of time to his cases for the purpose of gain, either
estate or to persons specified in the personally, or through paid agents or
agreement. brokers, and makes the act
2. Where a lawyer undertakes to malpractice. (Rule 138, Sec. 27, Rules
complete unfinished or legal or Court)
business of a deceased lawyer. Sec. 27. Attorneys removed or
3. Where a lawyer or law firm includes suspended by Supreme Court on what
non-lawyer employees in a grounds. - A member of the bar may be
retirement plan, even if the plan is removed or suspended from his office
based in whole or in part, on as attorney by the Supreme Court for
profitsharing arrangement. any deceit, malpractice, or other gross
misconduct in such office, grossly
The first two exceptions to the rule immoral conduct, or by reason of his
represent compensation for legal conviction of a crime involving moral
service rendered by the deceased turpitude, or for any violation of the
lawyer during his lifetime, which is paid oath which he is required to take before
to his estate or heirs. admission to practice, or for a wilfull
ralc2011 41
disobedience of any lawful order of a
superior court, or for corruptly or
wilfully appearing as an attorney for a
party to a case without authority so to
do. The practice of soliciting cases at
law for the purpose of gain, either
personally or through paid agents or
brokers, constitutes malpractice.
Rule 2.03. A lawyer shall not do or
permit to be done any act designed to
primarily solicit legal business.
Among those that fall under the
prohibition:
1. A lawyer who recommends
employment of himself,
partner, associate, or member of
his legal staff to a non-lawyer
who has not sought his advice
regarding employment of
lawyer.
2. A lawyer who compensates and
gives anything of value to a
person or organization
recommend or secure
employment of a client.
3. A lawyer who gives a reward for
having made a recommendation
resulting in his employment by a
client.
A lawyer shall not charge lower rates
to attract business
An unethical practice of indirect
solicitation of legal business.
Rule 2.04. A lawyer shall not charge
rates lower than those customarily
prescribed unless the circumstances so
warrant.
What the rule prohibits is the
competition in the matter of charging
professional fees for the purpose of
attracting clients in favor of a lawyer
with lower rates.
The rule does not prohibit the charging
of a reduced fee or none at all, to an
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
indigent or a person having difficulty
paying the usual fee.
A lawyer cannot advertise his talent;
reasons therfor
General rule: A lawyer cannot advertise
his talent as a shopkeeper advertises
his wares.
Restriction originated from practices in
the Inns of Court of England.
Young men studying to become
barristers regarded the law as primarily
a form of public service in which the
gaining of a livelihood was but a
his secondary consideration.
A lawyer is a member of an honorable
profession whose primary purpose is to
render public service and help secure
a justice and in which remuneration is a
mere incident.
To allow a lawyer to advertise his talent
or skill is to commercialize the practice
to of law, lower the profession in public
his confidence and lessen its ability to
render efficiently that high character of
service to which every member of the
bar is called.
If competitive advertising were
permitted, the conscientious and ethical
lawyers will unavoidably be at the
mercy of the braggart.
Proper or permissible advertising or
solicitation
Not all advertising or solicitation are
prohibited.
What makes solicitation improper is:
1. the employment of such methods
as are incompatible with the
traditional dignity of a lawyer and
maintenance of correct
professional standards or
2. the use of artificial means to
augment the publicity that
normally results from what a
lawyer does.
42

Best advertising for a lawyer: A well-
merited reputation for professional
capacity and fidelity to trust.
Good and efficient service to a client as
well as to the community has a way of
publicizing itself and catching public
attention.
That publicity is a normal by-product of
effective service.
A good and reputable lawyer needs no
artificial stimulus to generate it and to
magnify his success.
EXCEPTIONS:
1. Those which are expressly
allowed.
2. Those which are necessarily
implied from the restrictions.
publication in reputable law list with
brief biographical and other
informative data which may include
name, associates, address, phone
numbers, branches of law practised,
birthday, day admitted to the bar,
schools and dates attended, degrees
and distinctions, authorships,
teaching positions, associations,
legal fraternities and societies,
references and regularly represented
clients must be published for that
purpose;
an ordinary, simple professional
card;
publication of simple announcement
of opening of law firm, change of
firm;
telephone directory (but not under
designation of special branch of
law);
if acting as an associate (specialising
in a branch of law), may publish a
brief and dignified announcement to
lawyers (law list, law journal);
seeking a public office (which can be
filled only by a lawyer);
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
full time position as corporate
counsel;
if in media, those acts incidental to
his practice (i.e., not his own
initiative);
write articles for publication giving
information upon the law (and not
individual rights or advising through
column/ TV broadcast, lest such be
considered indirect advertising);
if entering into other businesses
(which are not inconsistent with
lawyer’s duties) then it is advisable
that they be entirely separate and
apart such that a layman could
distinguish between the two
functions.
Writing legal articles
An attorney ―may with propriety write
articles for publications in which he
gives information upon the law; but he
should not accept employment from
such publications to advise inquiries in
respect to their individual rights.‖
(Canon 40, Code of Professional Ethics)
A lawyer may properly write and sell for
publication, articles of general nature
on legal subjects in a law journal.
What should be guarded against is the
violation of the ethical principles
concerning:
1. Improper advertising by a lawyer.
2. Giving of legal advice to one with
whom no attorney-client
relationship exists.
3. Aiding of a layman to engage in
unauthorized practice of law.
Engaging in business or other
occupation
It is not uncommon to see lawyers
combining law practice with some other
lawful occupation.
43
The fact that he is a lawyer does not
preclude him from engaging in
business.
Impropriety arises when the nature and
manner of business is inconsistent with
the duties of the lawyer such as when it
is used as a cloak for indirect
solicitation on his behalf.
It is necessary that the lawyer keeps
any business in which he is engaged,
entirely separate and apart from his
practice.
He shall make it clear to his client in
what capacity he is acting.
Businesses closely associated with the
practice of law:
o Collection agency.
o Real estate brokerage.
o Insurance agency.
o Mortgage service.
o Tax service and consultancy.
A lawyer shall make clear whether he
is acting in another capacity
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.
The reason is that certain ethical
considerations governing the attorney-
client relationship may be operative in
one and not in the other.
Lawyer shall not use false statement
regarding his qualification or service
CANON 3: A lawyer in making known
his legal services shall use only true,
honest, fair, dignified and objective
information or statement of facts.
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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
regarding his qualifications or legal
services.
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.
Similarly, he should not resort to
indirect advertisements, such as
furnishing or inspiring newspaper
comments, or procuring his photograph
to be published.
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.
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.
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 concurrently.
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.
44

It is highly unethical for an attorney to
advertise his talents or skill as a
merchant advertises his wares. The law
is a profession and not a business. The
lawyer may not sell or obtain
employment himself or through others
for to do so would be unprofessional. It
is destructive of the honor of a great
profession. It lowers the standards of
that profession. It works against the
confidence of the community and it
results in needless litigation. (In Re:
Tagorda, 53 Phil 37 (1929))7
Tagorda was suspended for soliciting
business. Before Tagorda’s election to
the provincial board of Isabela, he used
a card offering services as an attorney
and a notary public free. The card also
stated that he was a candidate for the
provincial board. After his election, he
wrote a letter to the barrio lieutenant
informing him that he would continue
his practice as lawyer and asking that
the lieutenant transmit this information
to the barrio.
Examples of improper advertising:
o Distribution of a diary which has
an attorney’s card printed in the
cover.
o Procuring a lawyer’s name to be
written in an automobile
insurance policy with direction to
the insured to contact the
attorney in case of accident.
A lawyer shall not use false or
misleading firm name
Law partnership among lawyers for the
general practice of law is common.
Such partnership is a mere association
of lawyers for such purpose and is a
non-legal entity.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
It is not a business partnership under
the Civil Code.
No person should be admitted or held
out as a member who is not a lawyer.
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.
The reason for allowing the continued
use of the name of a deceased partner
is that all the partners, by their joint
efforts over a period of time,
contributed to the goodwill attached to
the firm name, and this goodwill is
disturbed by a change in firm name
every time a partner dies.
Filipino lawyers cannot practice law
under the name of a foreign law firm,
as the latter cannot practice law in the
Philippines.
The use of the foreign law firm in the
country is unethical:
o The respondent’s use of the firm
name constitutes a published in connection with
representation that being
associated with Baker and
McKenzie they could ―render legal
services to the highest quality to
multinational business enterprises
and others engaged in foreign
trade and investment.‖ This is
unethical because Baker & CORPORATE
McKenzie is not authorized to
practice law here. (Dacanay v.
Baker and McKenzie, 136
SCRA 349 (1985))
A partner who accepts public office
should withdraw from the firm;
exception
Rule 3.03. Where a partner accepts
public office, he shall withdraw from the
firm and his name shall be dropped
45
from the firm name unless the law
allows him to practice law concurrently.
The purpose of the rule is to prevent
the law firm from using his name to
attract legal business and to avoid
suspicion of undue influence.
A lawyer shall not seek media
publicity
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.
Media publicity, as a normal by-product
of efficient legal service, is not
improper.
What is improper is for a lawyer to
resort to propaganda to secure media
publicity for the purpose of attracting
legal business.
The purpose of the rule is to prevent
some lawyers from gaining unfair
advantage over others through the use
of gimmickry.
o Procuring his photograph to be
cases he is handling.
o Making a courtroom scene to
attract the attention of
newspapermen.
o Arranging for the purpose an
interview with him by media
people.
E. THE INTEGRATED BAR OF THE
PHILIPPINES
Integration of the bar
The official unification of the entire
lawyer population.
Requires membership and financial
support of every attorney as a condition
sine qua non to the practice of law.
Bar integration signifies the setting up
by the government authority of a
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national organization of the legal
profession based on the recognition of
the lawyer as an officer of the court.
Integration fosters cohesion among
lawyers and ensures the promotion of
the objectives of the legal profession
pursuant to the principle of maximum
bar autonomy with minimum
supervision by the Supreme Court.
Power to integrate the bar
The Constitution vests upon the
Supreme Court the power to integrate
the Philippine bar.
Such power is an inherent part of the
Court’s constitutional authority over the
bar.
―Supreme Court may adopt rules of
court to effect the integration of the
Philippine Bar.‖ (RA 6397 AN ACT
PROVIDING FOR THE INTEGRATION OF
THE PHILIPPINE BAR)
However, RA 6397 neither confers a
new power nor restricts the Court’s
inherent power but is a mere legislative
declaration that the integration will
promote public interest or will raise the
standard of the legal profession.
January 16, 1973, Supreme Court
ordained the integration of the
Philippine Bar.
Presidential Decree 181
(CONSTITUTING THE INTEGRATED BAR
OF THE PHILIPPINES INTO A BODY
AND PROVIDING
GOVERNMENT ASSISTANCE THERETO
FOR THE ACCOMPLISHMENT OF ITS
PURPOSES) constituted the Integrated
Bar into a corporate body.
Constitutionality of integration
Constitutionality hinges on the effects
of bar integration on the lawyer’s
constitutional rights of freedom of
association and freedom of speech and
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“Legal and Judicial Ethics” “Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo by Atty. Ruben E. Agpalo

on the nature of the dues exacted from as an exercise of the police it should become 2. Foster and maintain, on the
him. power of the State. unconstitutional for the bar part of its members, high
In upholding the constitutionality of The inherent power of the to use the member’s dues ideals of integrity, learning,
integration, the Supreme Court quoted Supreme Court to regulate to fulfill the very purposes professional competence,
approvingly the report of the the bar includes the for which it was public service and conduct;
Commission on Bar Integration on the authority to integrate the established.‖ 3. Safeguard the professional
matter as follows: bar. o Fair to all lawyers – ―Bar interests of its members;
o Freedom of Association – ―To o Regulatory fee – For the Court to integration is not unfair to 4. Cultivate among its
compel a lawyer to be a member prescribe dues does not mean lawyers already practicing members a spirit of
of an integrated bar is not that the Court levies a tax. because although the cordiality and brotherhood;
violative of his constitutional A membership fee is an requirement to pay dues is a new 5. Provide a forum for the
freedom to associate (or the exaction for regulation, regulation. It will give the discussion of law,
corollary right not to associate).‖ while the purpose of a tax member a new system which jurisprudence, law reform,
―Integration does not make is revenue. they hitherto have not had, and pleading, practice and
a lawyer a member of any An integrated bar program through which, by proper work, procedure, and the
group of which he is not would not be possible to they will receive benefits they relations of the Bar to the
already a member. He push through without have not hereto enjoyed. Bench and to the public,
became a member of the means to defray the Because it will apply equally to all and publish information
bar when he passed the bar concomitant expenses. lawyers. Because it is a new relating thereto;
exams. All that integration The public interest regulation in exchange for new 6. Encourage and foster legal
does is to provide an promoted by integration far benefits, it is not retroactive, education; and
official national outweighs the unequal, or unfair.‖ 7. Promote a continuing
organization for the well- inconsequential program of legal research
defined but unorganized inconvenience to a member Purposes and objectives of the in substantive and
and incohesive group of that might result from his Integrated Bar adjective law, and make
which every lawyer is required payment of annual By-laws Integrated Bar Philippines reports and
already a member.‖ dues. Sec. 2. Objectives and purposes. - The recommendations thereon.
―Bar integration does not o Freedom of Speech – ―A lawyer is following are the general objectives of
compel the lawyer to free, as he has always been, to the Integrated bar: The purposes of an integrated Bar, in
associate with anyone. He voice his views on any subject in o to elevate the standards of the general, are:
is free to attend or not any manner he wishes, even legal profession, 1. Assist in the administration of
attend the meetings.‖ though such views be opposed to o to improve the administration of justice;
―The compulsion to which positions taken by the unified justice; and 2. Foster and maintain on the part
he is subjected is the bar.‖ o to enable the Bar to discharge its of its members high ideals of
payment of annual dues.‖ ―For the Integrated Bar to public responsibilities more integrity, learning, professional
The issue, therefore, is a use a member’s dues to effectively. competence, public service and
question of compelled promote measures to which o The purposes of the Integrated conduct;
financial support of group said member is opposed, Bar include, without being limited 3. Safeguard the professional
activities, not involuntary would not nullify or to, those specified in the per interests of its members;
membership in any other adversely affect his curiam Resolution of the Supreme 4. Cultivate among its members a
aspect. freedom of speech.‖ Court dated January 9, 1973 spirit of cordiality and
Assuming that bar ―Since a State may ordaining the integration of the brotherhood;
integration does compel a constitutionally condition Philippine Bar, to wit: 5. Provide a forum for the discussion
lawyer to be a member, the right to practice law 1. Assist in the administration of law, jurisprudence, law reform,
such compulsion is justified upon membership, it is of justice; pleading, practice and procedure,
difficult to understand why and the relations of the Bar to the
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“Legal and Judicial Ethics” “Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo by Atty. Ruben E. Agpalo

Bench and to the public, and the country so that the poor may not employee of the Integrated Bar, or an practice of law shall, not later
publish information relating lack competent legal service; officer or employee of any Chapter than December 31, 1974, register
thereto; 9. Distribute educational and therof shall be considered ipso facto in the Integrated Bar as
6. Encourage and foster legal informational materials that are resigned from his position as of the hereunder required, at the
education; difficult to obtain in many of our moment he files his certificate of national office or at the office of
7. Promote a continuing program of provinces; candidacy for any elective public office his Chapter.
legal research in substantive and 10. Devise and maintain a or accepts appointment to any judicial,
adjective law, and make reports program of continuing legal quasi-judicial, or prosecutory office in Every person admitted to the
and recommendations thereon; education for practising attorneys in the Government or any political practice of law after these by-
and order to elevate the standards of the subdivision or instrumentality thereof. laws become effective shall
8. Enable the Bar to discharge its profession throughout the country; register in like manner not later
public responsibility effectively. 11. Enforce rigid ethical The election of IBP officers is required than sixty days after such
standards, and promulgate minimum to be conducted on a non-political admission.
Integration of the Bar will, among other fees schedules; basis. Partisan politics may thus
things, make it possible for the legal 12. Create law centers and invalidate the elections. Registration shall be
profession to: establish law libraries for legal Partisan political activities of candidates accomplished by signing and
1. Render more effective assistance in research; for IBP positions, such as setting up filing in duplicate the prescribed
maintaining the Rule of Law; 13. Conduct campaigns to campaign headquarters, island-hopping registration form containing such
2. Protect lawyers and litigants against educate the people on their legal to solicit votes of chapter presidents, information as may be required
the abuse of tyrannical judges and rights and obligations, on the made a political circus of the by the Board of Governors,
prosecuting officers; importance of preventive legal proceedings and tainted the whole including the following:
3. Discharge, fully and properly, its advice, and on the functions and election process. The candidates a. Full name, sex and civil
responsibility in the disciplining duties of the Filipino lawyer; and violated the IBP by-laws and of the status;
and/or removal of incompetent and 14. Generate and maintain ethics of the legal profession. b. Month, date, year and
unworthy judges and prosecuting pervasive and meaningful country- place of birth;
officers; wide involvement of the lawyer Membership, resignation, retirement, c. Office address(es);
4. Shield the judiciary, which population in the solution of the and reinstatement d. Residence address(es);
traditionally cannot defend itself multifarious problems that afflict the By-laws Integrated Bar Philippines e. Occupation(s) or
except within its own forum, from nation. (In re Integration of the o Sec. 18. Membership. - The employment;
the assaults that politics and self- Bar of the Philippines) following persons are, f. Name of law school and
interest may level at it, and assist it automatically and without year of graduation;
to maintain its integrity, impartiality Non-political bar exception members of the g. Year of admission to the
and independence; By-laws Integrated Bar Philippines Integrated Bar of the Philippines: Bar; and
5. Have an effective voice in the Sec. 4. Non-political bar. - The a. All lawyers whose names h. Field(s) of specialization in
selection of judges and prosecuting Integrated Bar is strictly non-political, were in the Roll of law, if any.
officers; and every activity tending to impair this Attorneys of the Supreme
6. Prevent the unauthorized practice of basic feature is strictly prohibited and Court as of January 16, It shall be the duty of the Secretary
law, and break up any monopoly of shall be penalized accordingly. No 1973; and of every Chapter to promptly
local practice maintained through lawyer holding an elective, judicial, b. All lawyers whose names forward a copy of each accomplished
influence or position; quasi-judicial, or prosecutory office in were included or are registration form to the national
7. Establish welfare funds for families the Government or any political entered therein after the office.
of disabled and deceased lawyers; subdivision or instrumentality thereof said date.
8. Provide placement services, and shall be eligible for election or o Sec. 19. Registration. - Unless o Sec. 20. Members in good
establish legal aid offices and set up appointment to any position in the he has already previously standing. - Every member who
lawyer reference services throughout Integrated Bar or any Chapter thereof. registered, every member has paid all membership dues
A Delegate, Governor, officer or heretofore admitted to the and all authorized special
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assessments, plus surcharges
owing thereon, and who is not
under suspension from the
practice of law or from
membership privileges, is a
member in good standing.
o Sec. 21. Voluntary termination of
membership; reinstatement. - A
member may terminate his
membership by filing a verified
notice to that effect with the
Secretary of the Integrated Bar,
who shall immediately bring the
matter to the attention of the
Supreme Court. Forthwith, he
shall cease to be a member and
his name shall be stricken from
the Roll of Attorneys.
Reinstatement may be made in
accordance with rules and
regulations prescribed by the
Board of Governors and approved
by the Court.
o Sec. 22. Retirement;
reinstatement. - Any member in
good standing who shall have
attained the age of seventy-five
years, or who shall have been
forty years as lawyer shall, by
reason of physical disability or
judicially adjudged mental
incapacity, be unable to engage
in the practice of Law, may be
retired from the Integrated Bar
upon verified petition to the
Board of Governors. Retired
members shall not practice law or
be required to pay dues.
A retired member may be
reinstated to active membership
upon written application to and
approval by the Board.
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Membership dues and effect of
nonpayment thereof
Sec. 23. Membership dues. - On or
before the 31st day of December, every
member of the Integrated Bar shall pay
annual dues for the ensuing fiscal year
in the amount of FIVE HUNDRED PESOS
at the National Office or at the office of
his Chapter, to take effect on January
1, 1995.
Subject to approval by the Supreme
Court, the Board of Governors may
increase the annual membership dues,
or modify the apportionment thereof.
All lawyers shall indicate in all
pleadings, motions and papers
signed and filed by them in any
court in the Philippines - and in the
case of government lawyers, in all
official documents issued by them -
the number and date of their official
receipt indicating payment of their
annual membership dues to the
Integrated Bar of the Philippines for
the current year, or in the case of
life members, their life membership
roll number. (As amended pursuant
to Bar Matter No. 668).
Sec. 24. Effect of non-payment of
dues. - Except for the fiscal year
1974- 1975, any member who has
not paid his membership dues for
any given fiscal year on or before
the last day (June 30) of the
immediately preceding fiscal year
shall be considered as dues-
delinquent members. For the fiscal
year 1974-1975 any member who
has not paid the annual dues on or
before November 30, 1974 shall be
considered a dues-delinquent. If the
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delinquency continues until the
following December 31, the Board of
Governors shall by Resolution
forthwith suspend all his
membership privileges other than
the practice of law.
Sec. 25. Remission or lifting of
sanctions. - The Board of Governors
may, for justifiable reasons, remit or
lift sanctions already imposed and
authorize the retroactive
reinstatement of the member
concerned. However, sanctions
imposed or approved by the
Supreme Court may be remitted or
lifted only by the Court.
Organizational Setup
Sec. 47. National Officers. - The
Integrated Bar of the Philippines shall
have a President and Executive Vice
President to be chosen by the Board of
Governors from among nine (9)
regional governors, as much as
practicable, on a rotation basis. The
governors shall be ex officio Vice
President for their respective regions.
There shall also be a Secretary and
Treasurer of the Board of Governors to
be appointed by the President with the
consent of the Board. (As amended
pursuant to Bar Matter 491).
The deliberative body is the House of
Delegates.
Sec. 30. Composition of the House.
- The Integrated Bar shall have a House
of Delegates composed of not more
than one hundred and twenty members
apportioned among all the Chapters.
On or before December 31, 1974, and
every two years thereafter, the Board
of Governors shall make a members of the Integrated Bar;
reappointment of Delegates among all
the Chapters as nearly as may be
according to the number of their
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respective members, but each Chapter
shall have at least one Delegate.
At the local level are the Chapter
officials.
Sec. 26. Chapters. - A Chapter of the
Integrated Bar shall be organized in
every province existing on the date of
the effectivity of the Integration Rule.
Except as hereinbelow provided, every
city shall be considered part of the
province within which it was
geographically situated prior to its
creation as a city.
National officers
Sec. 50. Duties of officers. - (a)
President: The President shall be
the chief executive of the Integrated
Bar, and shall preside at all meetings
of the Board of Governors.
(b) Executive Vice President: The
Executive Vice President shall
exercise the powers and perform the
functions and duties of the President
during the absence or inability of the
latter to act, and shall perform such
other functions and duties as are
assigned to him by the President and
the Board of Governors.
(c) Governors: In addition to his
duties as a member of the Board of
Governors, each elective Governor
shall act as representative of his
Region in the Board. He shall
promote, coordinate and correlate
activities of the Chapters within his
Region.
(d) Secretary: The Secretary shall
attend all meetings of the Board of
Governors, and keep a record of all
the proceedings thereof; prepare
and maintain a register of all
notify national officers as well as
members of national committees of
their election or appointments;
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cause to be prepared the necessary
official ballots for the election of
Governors; and perform such other
duties as are assigned to him by
these By-Laws, by the President and
by the Board of Governors.
(e) Treasurer: The Treasurer shall
collect, receive, recorder and
disburse ad funds of the Integrated
Bar;
Sec. 49. Terms of office. - The
President and the Executive Vice
President shall hold office for a term
of two years from July 1 following
their election until June 30 of their
second year in office and until their
successors shall have been duly
chosen and qualified.
Board of Governors
Sec. 39. Nomination and election of the
Governors. - At least one (1) month
before the national convention the
delegates from each region shall elect
the governor for their region, the choice
of which shall as much as possible be
rotated among the chapters in the
region.
The Integrated bar is governed by a
Board of Governors consisting 9
Governors from the 9 regions.
The President and the Executive Vice
President, if chosen by the Governors
from outside themselves, shall ipso
facto become members of the board.
Sec. 38. Term of office. - The
Governors shall hold office for a term of
two years from July 1 immediately
following their election to June 30 of
their second year in office and until
their successors shall have been duly
chosen and qualified.
Sec. 41. Functions of the Board. -
The Board of Governors shall have
general charge of the affairs and
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activities of the Integrated Bar. It shall
have authority, inter alia, to:
a. Fix the date, time and place of every
convention of the House of Delegates;
b. Make appropriations and authorize
disbursements from the funds of the
Integrated Bar;
c. Engage the services of employees,
define their duties and fix their
compensation;
d. Receive, consider and act on reports
and recommendations submitted by the
House of Delegates or its committees;
e. Provide for the publication of the
Journal of the Integrated Bar;
f. Administer the Welfare Fund;
g. Fill vacancies, however arising in the
positions of officers of the Integrated
Bar;
h. Subject to the approval of the Supreme
Court, promulgate Canons of
Professional Responsibility for all
members of the Integrated Bar;
i. Promulgate rules and regulations for
the establishment and maintenance of
lawyer referral services throughout the
Philippines;
j. Subject to the approval of the Supreme
Court, impose special assessments for
specific national purposes, and impose,
or recommend sanctions for non-
payment or delinquency in the payment
thereof;
k. Prescribe such rules and regulations as
may be necessary and proper to carry
out the objectives and purposes of the
Integrated Bar; and
l. Perform such other functions as may be
necessary or expedient in the interest
of the Integrated Bar.
In the discharge of its duties, the Board
of Governors is assisted by national
committees.
o Committee on Chapter Affairs.
53
o Committee on Legal Aid.
o Committee on Administration of
Justice.
o Committee on Legal Education
and Bar Admissions.
o Committee on Professional
Responsibility, Discipline and
Disbarment.
o Committee on Research Services.
o Committee on Legislation.
o Committee on Public Services.
o Committee on Inter-Professional
and Business Relations.
o Committee on Books and
Publications.
o Committee on Unauthorized
Practice of Law.
o Committee on Law Reporting.
o Budget committee.
House of Delegates
The deliberative body of the IBP is the
House of delegates.
Sec. 30. Composition of the House.
- The Integrated Bar shall have a House
of Delegates composed of not more
than one hundred and twenty members
apportioned among all the Chapters.
On or before December 31, 1974, and
every two years thereafter, the Board
of Governors shall make a The following are the general objectives
reappointment of Delegates among all
the Chapters as nearly as may be
according to the number of their
respective members, but each Chapter
shall have at least one Delegate.
Sec. 31. Membership. - The
membership of the House of Delegates
shall consist of all the Chapter
Presidents and in the case of Chapters
entitled to more than one Delegate
each, the Vice Presidents of the
Chapters and such additional Delegates
as the Chapters are entitled to. Unless
the Vice President is already a
Delegate, he shall be an alternate
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Delegate. Additional Delegates and
alternates shall in proper cases be
elected by the Board of Officers of the
Chapter. Members of the Board of
Governors who are not Delegates shall
be members ex oficio of the House,
without the right to vote.
Sec. 34. Special convention. -
Special conventions of the House may
be called by the Board of Governors
motu proprio, or upon written petition
therefor filed with the Secretary of the
Integrated Bar signed by not less than
thirty Delegates.
Sec. 33. (b) The President and
Executive Vice President of the IBP shall
be the Chairman and Vice-Chairman,
respectively, of the House of Delegates.
The Secretary, Treasurer, and
Sergeant-at-Arms shall be appointed by
the President with the consent of the
House of Delegates.
Chapter Government
The fundamental objective of the
Chapter is to administer the affairs of
the IBP within its territorial jurisdiction
under the general direction and
supervision of the Board of Governors.
Sec. 2. Objectives and purposes. -
of the Integrated bar:
o to elevate the standards of the
legal profession,
o to improve the administration of
justice; and
o to enable the Bar to discharge its
public responsibilities more
effectively.
Each chapter has its own government.
The chapter government is vested in a
Board of Officers composed of a
President, a Vice-President, a
Secretary, a Treasurer, and five
Directors who shall be elected at the
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biennial meeting and shall hold office
for a term of 2 years.
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CHAPTER 5: LAWYER’S
DUTIES TO COURTS
A. LAWYER OWES CANDOR AND
FAIRNESS TO THE COURTS
Canon 10. A Lawyer owes candor, fairness and
good faith to the Court.
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 an artifice.
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.
Rule 10.03. A lawyer shall observe the
rules of procedure and shall not misuse
them to defeat the ends of justice.
Lawyer’s duties to court, generally
A lawyer is, first and foremost, an
officer of the court.
His duties to the court are more
significant than those which he owes to
his client.
His first duty is not to his client but to
the administration of justice.
Client’s success is wholly subordinate.
His conduct ought to be scrupulously
observant of the law and ethics of the
profession.
Should there be conflict between his
duty to his client and that to the court,
he should resolve such conflict in favor
of the latter.
Primary responsibility being to uphold
the cause of justice.
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A lawyer should be candid and truthful
to the court
Canon 10. A Lawyer owes candor, fairness
and good faith to the Court.
He is an officer of the court exercising a
privilege, which is indispensable in the
administration of justice.
If he were to act other than candidly,
fairly, and truthfully, the administration
of justice will suffer as a result thereby.
Supreme Court aptly underscored
reasons:
o He is an officer of the court
exercising privileges
indispensable to the
administration of justice.
o Courts are entitled to expect only
complete honesty from lawyers
appearing before them.
o Like the court itself, he is an
instrument to advance its ends –
the speedy, efficient, and
impartial adjudication of cases.
It is thus unprofessional to deal other
than candidly with the facts in taking
statements of witnesses, in drawing
affidavits, and other documents, and in
the presentation of causes.
A lawyer, however, though an officer of
the court, is not an umpire but an
advocate.
His personal belief in the soundness of
his cause or of the authorities
supporting it is irrelevant.
A lawyer shall do no falsehood
Rule 10.01. A lawyer shall not do any
falsehood, nor consent to the doing of any in
Court, nor shall he mislead or allow the Court
to be misled by an artifice.
He swore, upon his admission to the
practice, that will do no falsehood and
conduct himself according to the best of
his knowledge and discretion with all
good fidelity to the court and to his
client; never to seek to mislead the
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courts by an artifice or false statement lawyers to reproduce or copy the same
of fact or law. word for word and punctuation mark by
The oat embodies the fundamental punctuation mark.
duties of a lawyer, which he must honor Only from the Supreme Court’s rulings
as there would be a great detriment to, do all other courts, as well as lawyers
if not a failure of, the administration of and litigants, take their bearing.
justice if courts could not rely on the New Civil Code, Article 8. Judicial
representations of the lawyers in the decisions applying or interpreting the
handling of their cases. laws or the Constitution shall form a part
A lawyer should not conceal the truth of the legal system of the Philippines.
from the court, nor mislead the court in Thus, ever present is the danger that if
not faithfully and exactly quoted, the
any manner no matter how demanding
his duties to his client may be. decisions and rulings of the Supreme
No client is entitled to receive from the Court may lose their proper and correct
lawyer any service involving dishonesty meaning, to the detriment of other
to the courts. courts, lawyers, and the public who
A lawyers should neither endeavor by may be misled.
dishonest means to mislead the court or If inferior courts and members of the
the adverse party nor make false bar meticulously check and recheck
allegations in a pleading. their citations of authorities, appellate
It is improper for counsel of the courts will be precluded from acting on
accused to ask him to plead guilty to an misinformation and save precious time
offense which counsel knows his client in finding out whether the citations are
did not commit. correct.
A lawyer shall not misuse rules of
procedure
A lawyer should not misquote nor Rule 10.03. A lawyer shall observe the rules
misrepresent of procedure and shall not misuse them to
defeat the ends of justice.
Rule 10.02. A lawyer shall not knowingly
misquote or misrepresent the contents of a Rules of procedure offer innumerable
paper, the language or the argument of opportunities and means for delay and
opposing counsel, or the text of a decision or to defeat the ends of justice.
authority, or knowingly cite as law a provision
Procedural rules are instruments in the
already rendered inoperative by repeal or
speedy and efficient administration of
amendment, or assert as a fact that which
justice. They should be used to achieve
has not been proved.
such end and not to derail it.
A lawyer who deliberately made it
Filing of multiple petitions constitutes
appear that the quotations in his motion
abuse of the court’s processes.
for reconsideration were findings of the
He should not use his knowledge of law
Supreme Court, when they were just
as an instrument to harass a party.
part of the memorandum of the Court
While a lawyer owes fidelity to the
Administrator, and who misspelled the
cause of his client, it should not be at
name of the complainant and made the
the expense of truth and administration
wrong citation of authority.
of justice.
In signing the Court’s decisions, it is the
bounden duty of courts, judges, and
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A judicious study of the facts and the
law should advise him when a case
should not be filed, as it would only
clutter the dockets.
B. OBSERVING AND MAINTAINING
RESPECT DUE THE COURTS AND
JUDICIAL OFFICERS
Canon 11. A lawyer shall observe and maintain
the respect due to the courts and judicial officers
and should insist on similar conduct by others.
Obeying court orders
Rule 11.01. A lawyer shall appear in
court properly attired.
Rule 11.02. A lawyer shall punctually
appear at court hearings.
Rule 11.03. A lawyer shall abstain from
scandalous, offensive or menacing
language or behavior before the courts.
Rule 11.04. A lawyer shall not attribute
to a Judge motives not supported by the
record or have no materiality to the case.
Rule 11.05. A lawyer shall submit
grievances against a Judge to the proper
authorities only.
Respect due the courts
Canon 11. A lawyer shall observe and
maintain the respect due to the courts and
judicial officers and should insist on similar
conduct by others.
This canon should constantly remind
lawyers that second only to the duty of
maintaining allegiance to the Republic,
and to support the Constitution, and
obey the laws of the land, it is the duty
of all attorneys to observe and maintain
the respect due to the courts of justice
and judicial officers.
Respect of courts helps build the high
esteem and regard toward them, which
is essential to the proper administration
of justice.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A lawyer violates Canon 11 of the code
when:
o He threatens the judge with the
filing of an administrative charge
if his motion is not granted.
o Berating the researcher of the
court in his pleading is
disrespectful to the court itself.
o A lawyer who openly defied the
temporary restraining order
issued by the Court of Appeals.
Lawyers are particularly called upon to
obey court orders and processes. They
should stand foremost in complying
with the court’s directives and
instructions.
Disrespect to judicial incumbents is
disrespect to that branch of the
government to which they belong as
well as to the State which has instituted
the judicial system.
It may happen that counsel possesses
greater knowledge of the law than the
judge who presides. It may also happen
that since no court claims infallibility,
judges may grossly err in their
decisions. Nevertheless, discipline and
self-restraint on the part of the
members of the bar even under these
adverse conditions are necessary to the
orderly administration of justice.
Obedience to lawful orders of the court
is underscored by the fact that a willful
disregard thereof may subject the
lawyer not only to punishment for
contempt but to disciplinary action as
an officer of the court.
The word ―willful‖ conveys the idea of
flagrant misconduct such as would
indicate a disposition on the part of a
lawyer so refractory in character as to
affect his qualifications and standing for
the further exercise of his profession.
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A lawyer who gives a clearly
unsatisfactory explanation as to why he
failed to comply with a lawful order
commits an act within the meaning of
the term ―willful disobedience.‖
Defending judges from unjust
criticism
It is the attorney’s duty as an officer of
the court to defend a judge from
unfounded criticism or groundless
personal attack.
This requires of him not only to refrain
from subjecting the judge to wild and
groundless accusation but also to
discourage other people from so doing.
By the very nature of his position as
judge, he lacks the power, outside of
his court, to defend himself against
unfounded criticism and it is the
attorney who can better more
appropriately support the judiciary.
A lawyer shall appear in proper attire
Rule 11.01. A lawyer shall appear in court
properly attired.
Should be a Barong Tagalog or a coat
and tie, either of which is the
recognized formal attire in the country.
Respect to the court must begin 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 the court
proceedings.
If he dresses improperly, he may be
cited for contempt.
Lawyers shall be punctual
A lawyer shows respect to the court by
appearing during the trial punctually
and in proper attire.
He owes it to his client, to the court,
and to the public.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Inexcusable absence from, or repeated
tardiness in attending a pre-trial or
hearing may subject the lawyer to
disciplinary action and may prejudice
his client who may be declared in
default.
A lawyer shall abstain from offensive
language or behavior
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.
His arguments should be gracious to
both the court and opposing counsel
and be of such words as may be
properly addressed by one gentleman
to another.
The use of abusive language by counsel
against the opposing counsel
constitutes at the same time, a
disrespect to the dignity of the court.
Rule 11.03. A lawyer shall abstain from
scandalous, offensive or menacing language
or behavior before the courts.
While he should so abstain from using
such language, he may use strong
language to drive home a point. He has
the right to be assiduous and zealous in
the prosecution or defense of the
client’s cause.
He should be courageous enough to
point out errors, arbitrariness, and
injustice of the courts and judges. The
fear of provoking displeasure of the
offended judges must not deter him
from complying with this duty to object
to illegal or erroneous judicial decisions.
He should be allowed some latitude of
remark or comment in the furtherance
of the causes he upholds.
It must never be forgotten that a lawyer pleads;
he does not dictate. He should be courageous, fair,
and circumspect, not petulant, combative, or
bellicose in his dealings with the court.
A lawyer should not assail, without basis, the
personal integrity of a judge and accuse him of
59
misfeasance in an attempt to hide his own
inadequacies and omissions to escape criticism of
his client.
Rule 11.04. A lawyer shall not attribute to a
Judge motives not supported by the record or
have no materiality to the case.
Disrespectful, abusive, and abrasive
language, offensive personalities,
unfounded accusations, or intemperate
words tending to obstruct, embarrass,
or influence the court have no place in a
pleading.
Neither does the mistake of a judge in some of his
rulings warrant the use of offensive language.
In championing the cause of his client, a lawyer
should not resort to insulting or disparaging
language amounting to disrespect toward the
court.
A judge should be courteous to the lawyer to
merit respect
The duty to observe and maintain respect is not a
one-way duty from a lawyer to a judge. A judge
should also be courteous to counsel, especially
those who are young and inexperienced.
Upholding court’s authority and dignity
As an officer of the court, a lawyer
should uphold the dignity and authority
of the court and not promote distrust in
the administration of justice (Canon
10).
He should seek to preserve faith in the
courts and help build and not destroy
the high esteem and regard toward
them.
He should prevent anybody from
harboring and encouraging discontent.
A lawyer shall not attribute to a judge
improper motives
A judge may commit errors, he may abuse his
discretion in the resolution of issues before him.
They do not, however, justify a lawyer to
―attribute to a Judge, motives not
supported by the record or have no
materiality to the case.‖ (Rule 11.04).
He should not make hasty accusation against the
judge without any cogent and valid ground existing
in the record.
The rule allows criticism so long as it is supported
by the record or is material to the case.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
His right to criticize the acts of courts and judges
in a proper and respectful way and through
legitimate channels is well recognized.
A lawyer shall submit grievances to proper
authorities
The duty to support the judge does not, however,
preclude a lawyer from filing administrative
complaints against erring judges.
Rule 11.05. A lawyer shall submit grievances
against a Judge to the proper authorities only.
That they be filed with the Supreme Court
which has administrative supervision over all
courts and the power to discipline judges of
lower courts.
Constitution Article VIII Section 6.
The Supreme Court shall have
administrative supervision over all
courts and the personnel thereof.
Constitution Article VIII Section
11.
xxx
The Supreme Court en banc shall have
the power to discipline judges of lower
courts, or order their dismissal by a
vote of a majority of the Members who
actually took part in the deliberations
on the issues in the case and voted
thereon.
A lawyer may prefer charges against a judge
only after proper circumspection and without
the use of disrespectful language or offensive
personalities.
A lawyer may not file administrative
complaints against judges until he has
exhausted judicial remedies which result in a
finding that the judge has gravely erred.
C. ASSISTING THE COURT IN SPEEDY AND
EFFICIENT ADMINISTRATION OF JUSTICE
Canon 12. A lawyer shall exert every effort and
consider it his duty to assist in the speedy and efficient
administration of justice.
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.
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Rule 12.02. A lawyer shall not file multiple
actions arising from the same cause.
Rule 12.03. A lawyer shall not, after obtaining
extensions of time to file pleadings,
memoranda or briefs, let the period lapse
without submitting to the same or offering an
explanation for his failure to do so.
Rule 12.04. A lawyer shall not unduly delay a
case, impede the execution of a judgment or
misuse court processes.
Rule 12.05 A lawyer shall refrain from talking
to his witness during the break or recess in the
trial, while the witness is still under
examination.
Rule 12.06 A lawyer shall not knowingly assist
a witness to misrepresent himself or to
impersonate another.
Rule 12.07 A lawyer shall not abuse,
browbeat or harass a witness nor needlessly
inconvenience him.
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.
Duty to assist in the administration of
justice, generally
Being an officer of the court, he is an
instrument to advance its ends – the
speedy, efficient, impartial, correct, and
inexpensive adjudication of cases and
the prompt satisfaction of final
judgments.
Canon 12. A lawyer shall exert every effort and
consider it his duty to assist in the speedy and
efficient administration of justice.
He is first and foremost an officer of the
court. His duties to the court are more
significant than those which he owes to
his client.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A lawyer should come to court
adequately prepared
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.
Rule 18.02 - A lawyer shall not handle
any legal matter without adequate
preparation.
Canon 18 - A lawyer shall serve his
client with competence and diligence.
Without adequate preparation, the lawyer may not
be able to effectively assist the court in the
efficient administration of justice. Nonobservance
of this rule might result in:
1. The postponement of the pre-trial or
hearing, which would thus entail delay in
the early disposition of the case,
2. The judge may consider the client
nonsuited or in default or
3. The judge may consider the case deemed
submitted for decision without client’s
evidence, to his prejudice.
A lawyer shall not file multiple actions
Litigation must end and terminate
sometime and somewhere.
Once a judgment has become final, the
winning party be not deprived of that
verdict.
For this reason, a lawyer should not file
several actions arising from the same
cause or seeking substantially identical
reliefs as those that had already been
finally disposed of.
A lawyer violates his oath when he
prostitutes judicial process to secure for
his client what is not justly and validly
due him such as improper steps taken
as a means of draining the resources of
the proper party.
A lawyer shall not resort to forum
shopping
Rule 12.02. A lawyer shall not file multiple actions
arising from the same cause.
61
He is prohibited from filing a petition
with the Court of Appeals or the
Regional Trial Court where a similar
petition has been filed or pending with
the Supreme Court, and vice versa.
Section 5, Rule 7 of the Rules of
Court:
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:
a) that 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;
b) if there is such other pending action or claim, a
complete statement of the present status thereof;
and
c) 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 5 days therefrom to
the court wherein his aforesaid complaint or
initiatory pleading has been filed.
Failure to comply with the foregoing requirements
shall not be curable by mere amendment of the
complaint or other initiatory pleading but shall
cause for the dismissal of the case without
prejudice, unless otherwise provided, upon motion
after hearing. The submission of false certification
or non-compliance with any of the undertaking
therein shall constitute indirect contempt of court,
without prejudice to the corresponding
administrative and criminal actions. If the acts of
the party or his counsel clearly constitute willful
and deliberate forum shopping, the same shall be
ground for summary dismissal with prejudice and
shall constitute direct contempt, as well as a cause
for administrative sanctions.
Forum shopping is the improper
practice of going from one court to
another in the hope of securing a
favorable relief in one court which
another court has denied or the filing of
repetitious suits or proceedings in
different courts concerning substantially
the same subject matter.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Duty to disclose pending case
Every party filing an initiatory pleading
is required to swear under oath that he
has not and will not commit forum
shopping.
This requires disclosure of any pending
case at the time the initiatory pleading
is filed.
The fact that the initiatory pleading is
not based on the same cause of action
as the pending case is not a valid
excuse for non-compliance with the
disclosure requirement.
Verification must be signed by the
party, not his counsel; exception
The certification against forum shopping
must be signed by the party himself as
he has personal knowledge of the facts
therein stated. It should not be
executed by his counsel.
Exceptions:
o Where there are two or more
parties, all of them must sign the
verification and non-forum
certification, unless the one who
signs, has been authorized to
execute the same on behalf of
the petitioner.
o Where the joint parties are
husband and wife involving their
property, only the husband may
sign the verification.
o If the party is a juridical person
(corporation, partnership), the
certification must be executed by
a corporate officer or agent duly
authorized by its board of
directors.
o A non-forum certification
executed by counsel of the party
is fatally defective, unless the
counsel certifies in the
certification that he has personal
knowledge of the facts therein
stated and gives justifiable
62

reason why the party himself
cannot sign.
The reason is that only the party
himself has actual knowledge of
whether or not he has initiated similar
actions in different courts or agencies.
Test to determine forum shopping
The test in determining is whether the
elements of litis pendentia (a pending
suit) are present or whether final
judgment in one case will amount to res
judicata in the other.
Res judicata – a doctrine which
precludes parties from re-litigating
issues actually litigated and determined
by a prior and final judgment. It requires:
o That there be a decision on the
merits;
o By a court of competent jurisdiction;
o The decision is final;
o And the two actions involved identical
parties, subject matter, and causes of
action.
If any one of these elements is absent, there is no
forum shopping.
There is forum shopping where there are identity
of parties or interest, rights asserted, and reliefs
sought in different tribunals.
EXCEPTION:
The filing of a civil case in court does not
preclude the filing of a criminal action arising
from the same set of facts on which the civil
action is based, as the law allows it. There is
no forum-shopping in such instances.
Rules of Court, Rule 111, Section 1: Institution
of criminal and civil actions (a) When a
criminal action is instituted, the civil action for
the recovery of civil liability arising from the
offense charged shall be deemed instituted
with the criminal action unless the offended
party waives the civil action, reserves the right
to institute it separately, or institutes the civil
action prior to the civil action.
Section 3: When civil action may proceed
independently. – In the cases provided in
Articles 32, 33, 34, and 2176 of the Civil Code
of the Philippines, the independent civil action
may be brought by the offended party. It shall
proceed independently of the criminal action
and shall require only a preponderance of
evidence. In no case, however, may the
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
offended party recover damages twice for the
same act or omission charged in the criminal
action.
Sanctions for violation
Failure to file the certification against forum
shopping is fatal to the complaint or petition.
Subsequent filing of the certification does not cure
the fatal defect.
Rules of Court, Rule 7, Section 5, paragraph 2:
Failure to comply with the foregoing requirement
shall not be curable by mere amendment of the
complaint or other initiatory pleading, but shall be
cause for the dismissal of the case without
prejudice, unless otherwise provided, upon motion
and after hearing. The submission of a false
certification or non-compliance with any of the
undertakings therein shall constitute indirect
contempt of court, without prejudice to the
corresponding administrative and criminal actions.
If the acts of the party or his counsel clearly
constitute willful and deliberate forum shopping,
the same shall be ground for dismissal with
prejudice and shall constitute direct contempt, as
well as cause for administrative sanctions.
Lawyer to temper client’s propensity to litigate
It is the duty of the lawyer to resist the
whims and caprices of his client and to
temper the client’s inclination to
litigate.
Rules of Court, Rule 7, Section 3,
paragraph 2: The signature of counsel
constitutes a certificate by him that he
has read the pleading; that to the best
of his knowledge, information, and
belief, there is good ground to support
it; and that it is not interposed for
delay.
This rule imposes upon a lawyer the
affirmative duty to check useless
litigations, willful violation of which may
subject him to disciplinary action, or
render him liable for costs of litigation.
A litigant may seek his legal assistance
for reasons other than to vindicate a
legal wrong or other than to prosecute
a valid cause.
The purpose may either be:
o To harass a party or injure the
opposite party or work oppression
or wrong.
63
o To pre-empt the initiative of an
honest claimant by filing the suit
to delay the payment of a just
claim.
o To drain the resources of the
poorer party by way of
compelling him to submit out of
sheer exhaustion.
While a client may withhold facts from
his counsel or give him false
information to attain unlawful ends, a
lawyer can easily see through the
client’s action. When that purpose
becomes evident, the lawyer should not
allow himself to be a party to its
realization or even withdraw from the
case.
A lawyer shall file his pleadings within
the period
Rule 12.03. A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda or
briefs, let the period lapse without submitting to
the same or offering an explanation for his failure
to do so.
Pressure of work or the need for more
time to finish the job often constrains a
lawyer to ask the court for an extension
of time to file a pleading,
memorandum, or brief. The lawyer’s
failure to make an explanation
constitutes discourtesy to the court.
Where a lawyer’s motion for extension of time to
file a pleading, memorandum or brief has remained
unacted by the court, the least that is expected of
him is to file it within the period asked for.
Duty to inform client’s death and change of
counsel’s address
Rules of Court, Rule 3, Section 16: Death of
party; duty of counsel: Whenever a party to a
pending action dies, and the claim is not thereby
distinguished, it shall be the duty of his counsel to
inform the court within thirty (30) days after such
death of the fact thereof, and to give the name
and address of his legal representative or
representatives. Failure of counsel to comply with
this duty shall be a ground for disciplinary action.
If no such notice is made, the court will
proceed to conclusion as if the party is
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
alive and its decision is binding upon
the heirs of the deceased client.
Similarly, it is his duty to inform the
court of any change of his address.
Although his failure to do so will not
prevent any notice sent to his address
of record to be effective, his conduct
may delay the disposition of the case
and prejudice the interest of his client.
A lawyer shall not delay or impede the
execution of judgment
Rule 12.04. A lawyer shall not unduly delay a
case, impede the execution of a judgment or
misuse court processes.
The law makes it the lawyer’s duty to
delay no man for money or malice.
Rules of Court, Rule 7, Section 3,
paragraph 2: The signature of counsel
constitutes a certificate by him that he
has read the pleading; that to the best
of his knowledge, information, and
belief, there is good ground to support
it; and that it is not interposed for
delay.
For where a lawyer insisted on the
client’s patently unmeritorious case or
interposed an appeal merely to delay
litigation or thwart the prompt
satisfaction of the prevailing party’s just
and valid claim, the court may adjudge
the lawyer liable to pay treble costs.
Procedural rules are precisely designed
to accomplish the purpose of rendering
justice to the parties to a lawsuits free
from the ―law’s delays.‖
A lawyer should use those rules for the
purpose and not for its frustration.
Litigation is not a game of technicalities
in which one, more deeply schooled and
skilled in the subtle art of movement
and position, entraps and destroys the
other. It is rather a contest in which
each contending party fully and fairly
lays before the court the facts in issue
64

and then asks that justice be done upon
the merits.
A lawyer should not hide behind a maze
of technicalities to delay if not defect
the recovery of what is justly due and
demandable.
Lawyer to discourage appellate review
If a lawyer is honestly convinced of the
futility of an appeal in a civil suit, he
should not hesitate to inform his
disappointed client that most likely the
verdict would not be altered.
He should advise his client to accept the
judgment of the trial court and thus
accord respect to the just claim of the
opposite party.
He should temper his client’s desire to
seek appellate review of such decision.
Unless he could sufficient cause for
reversal, he would only succeed in
planting false hopes in his client’s mind,
increase the burden on appellate
tribunals, prolong litigation
unnecessarily, and expose his client to
useless expenses of suit.
It has also been held that the failure of
counsel to file an appeal is negligent in
the performance of his duties to his
client. If the lawyer does not hear from
the client, he should perfect an appeal
within the period.
A lawyer shall not talk to a witness
during recess
Rule 12.05 A lawyer shall refrain from talking to
his witness during the break or recess in the trial,
while the witness is still under examination.
The purpose of the rule is to avoid any
suspicion that he is coaching the
witness of what to say during the
resumption of the examination.
A lawyer shall not assist a witness to
misrepresent
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Rule 12.06 A lawyer shall not knowingly assist a
witness to misrepresent himself or to impersonate
another.
While he may interview witnesses in
advance of trial or attend to their needs
if they have no adequate means of
defraying their own expenses, the
lawyer should avoid any such action as
may be misinterpreted as an attempt to
influence the witness as to what to say
in court.
A lawyer who presents a witness whom
he knows will give a false testimony
may be subjected to disciplinary action.
Lawyers shall not harass a witness
Rule 12.07 A lawyer shall not abuse, browbeat or
harass a witness nor needlessly inconvenience
him.
Duty to always treat adverse witnesses
with fairness and due consideration.
Rules of Court, Rule 138, Section 20:
(f) 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;
A lawyer shall avoid testifying for a
client
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.
The rule prohibits the practice of the
lawyer taking the witness stand and
asking questions to him and answering
them as a witness.
65
While the law does not disqualify a
lawyer from being a witness and an
advocate at the same time in a case,
the practice is violative of the rule on
professional conduct.
It would also be improper for a lawyer
to accept employment in a case where
it would be his duty to attack the
testimony to be given by his partner on
behalf of the opposite side.
The underlying reason for the
impropriety of a lawyer acting in such
dual capacity:
o The function of a witness is to tell
the facts.
o The 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.
It is hard to disassociate his relation to
his client as an attorney and his relation
to the party as a witness.
D. AVOIDING IMPROPRIETY THAT
TENDS TO INFLUENCE THE COURT
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.
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.
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.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A lawyer should rely on the merits of
his case
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.
Improper acts lessen the confidence of
the public in the impartial
administration of justice and should be
avoided.
A lawyer shall not extend hospitality
to a judge
Rule 13.01 - A lawyer shall not extend
extraordinary attention or hospitality to, nor seek
opportunity for cultivating familiarity with Judges.
The unusual attention may subject both
the judge and the lawyer to suspicion.
o The common practice of some lawyers
making judges and prosecutors godfathers
of their children to enhance their influence
and their law practice should be avoided by
judges and lawyers alike.
o A lawyer should not see a judge in
chamber and talk to him about a case he is
handling and pending in the judge’s court.
o A lawyer should not communicate to the
judge the merits of a pending case.
A lawyer shall not publicly discuss
pending cases
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.
Newspaper publications by a lawyer
concerning pending litigation may
interfere with a fair trial and prejudice
the impartial administration of justice.
The restriction, however, does not
prohibit issuance of statements made
by public officials charged with the duty
of prosecuting or defending actions in
court.
However, such statements should avoid
any statement of fact likely to create an
adverse attitude in the public mind.
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Criticism of pending and concluded
lititation
The right of a lawyer to comment on a
pending litigation or to impugn the
impartiality of a judge to decide it is
much circumscribed.
What he can ordinarily say against a
concluded litigation the manner the
judge handed down the decision therein
may not be generally said to a pending
action.
The court, in a pending litigation, must
be shielded from embarrassment or
influence in its duty of deciding the
case.
On the other hand, once a litigation is
concluded, the judge is subject to the
same criticism as any other public
official. A lawyer enjoys wider latitude
of comment or criticism.
Limitations on right to criticize
The right of a lawyer to comment is not
unlimited. It is the cardinal condition of
all such criticism that it shall be bona
fide and shall not spell over the walls of
decency and propriety.
Unfair criticism is a gross violation of
the lawyer’s duty to respect the courts.
Right and duty of lawyer to criticize
the courts
The rule is not, however, intended to
prevent criticism of the judicial acts. For
the guarantees of free speech and free
press include the right to criticize the
judicial conduct.
Whether the law was wisely or badly
enforced is a fit subject for proper
comment.
If the people cannot criticize a judge
the same as any other public official,
public opinion will be effectively
muzzled.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A lawyer is expected to consider it his
duty to expose the shortcomings and
indiscretions of courts and judges.
In the prosecution of appeals, for
example, he points out the errors of
lower courts.
In articles written for law journals, he
dissects with detachment the doctrinal
pronouncement of courts and fearlessly
lays bare for all to see the flaws and
inconsistencies of the doctrines.
A lawyer shall not invite judicial
interference
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.
It endangers the independence of the
judiciary.
67
CHAPTER 6: NATURE AND CREATION OF
ATTORNEY-CLIENT RELATIONSHIP
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.
Rule 14.02. A lawyer shall not decline,
except for serious and sufficient cause, an
appointment as counsel de oficio or as
amici curiae, or a request from the
Integrated Bar of the Philippines or any of
its chapters for rendition of free legal aid.
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.
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.
A. NATURE OF RELATION
Nature of client relationship, generally
Historically, the nature of lawyer-client
relationship is premised on the Roman Law
concepts of location conduction operarum
(contract of lease of services) and mandato
(contract of agency)
In modern day, an attorney is more than a
mere agent or servant because he possesses
special powers of trust and confidence
reposed on him by his client.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
The lawyer is also as independent as a judge,
with powers entirely different from and
superior to those of an ordinary agent.
Moreover, he is an officer of the court.
The relation of attorney and client is strictly
personal and highly confidential.
Its creation breathes life to the rules and
ethics of the legal profession and requires of
an attorney who accepts a retainer a high
standard of conduct and an appreciation of
his duties to his client, to the court, to the
bar, and to the public.
Relation as strictly personal
The relationship involves mutual trust and
confidence to the highest degree.
The personal character of the relation
prohibits its delegation in favor of another
attorney without the client’s consent.
What may not be delegated: The relationship
itself.
It also terminates upon the death of either
the client or the attorney.
The deceased attorney’s personal
representative has no right to assign pending
cases to a counsel of his choice. Such matter
is for the client to decide.
A client can terminate the relationship at any
time with or without cause.
An attorney, however, being an officer of the
court, enjoys no similar right. He may be
permitted to withdraw from the case only with
the consent of the client or that of the court.
Only a proper sense of detachment will
enable the attorney to adequately serve the
interest of his client.
The personal relation does not require an
attorney to adopt as his own, the troubles of
his client for he is likely to lose his composure
and equanimity.
It is advisable for a lawyer who is a party
litigant not to appear for himself or for a close
relative.
His personal involvement may blur his sense
of duty and purpose and affect his
performance, to his or the client’s detriment.
In that situation, he should ask another
lawyer who can act with more detachment
and less emotional involvement to undertake
the active prosecution or defense of the case.
Relation as fiduciary and confidential
68

The relation is highly fiduciary in nature and
of a very delicate, exacting, and confidential
character.
It demands undivided allegiance, a high
degree of good faith, disinterestedness,
candor, fairness, loyalty, fidelity, and absolute
integrity in all his dealings with his clients and
utter renunciation of every personal
advantage conflicting with the interest of his
client.
His responsibilities to his client should,
however, be reconciled with his duties to the
court. Each of them requires fidelity and
loyalty in varying degrees within limits.
Deviation from such limits may invite the
exercise of disciplinary power by the court.
Rules protective of relation
The preservation and protection of that
relation will encourage a client to entrust his
legal problems to an attorney, which is of
paramount importance to the administration
of justice.
Rules promulgated, in the nature of
injunctions peculiarly addressed to an
attorney:
1. To exert his best effort and learning in
the protection of the interest of his
client;
2. To promptly account for any fund or
property entrusted by or received for
his client;
3. Not to purchase or acquire, any
property or interest of is client in
litigation;
4. To forever keep inviolate his client’s
secrets or confidence, and not to
abuse them;
5. Not to represent a party whose
interest is adverse to that of his client
even after the termination of the
relation.
The Supreme Court requires strict obedience
to those rules and subjects the attorney to
discipline and administrative liability for
inexcusable breach thereof to protect the
public, the court, and the client from
dishonesty and incompetence of unfaithful
lawyers.
B. RETAINER OR EMPLOYMENT
Concept of term “retainer”
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
The term “retainer” may refer to either of 2
concepts:
1. The act of the client engaging the
services of an attorney to render legal
advice or defend or prosecute his
cause in court.
a. General Retainer – its purpose
is to secure beforehand, the
services of an attorney for any
legal problem that may
afterward arise.
b. Special Retainer – has
reference to a particular case or
service only.
2. The retaining fee which a client pays
to an attorney when the latter is
retained.
o It is a preliminary fee paid to
insure and secure his future
services.
o To remunerate him for being
deprived of the opportunity of
rendering services to the other
party by being retained by one
party.
o It is apart from what the client
has agreed to pay for the
services which he has retained
him to perform.
Its purpose: To prevent undue hardship on
the part of the attorney based on the rule
forbidding him from acting as counsel for the
other party after he has been retained by or
has given professional advice to the opposite
party.
Necessity of retainer
An attorney has no power to act as counsel or
legal representative for a person without
being retained.
He may not appear in court for a party
without being employed, unless by leave of
court.
Rules of Court, Rule 138, Sec. 21.
….
An attorney willfully appearing in court for a
person without being employed, unless by
leave of the court, may be punished for
contempt as an officer of the court who has
misbehaved in his official transactions.
Neither the purported client nor the adverse
party may be bound by his appearance unless
69
the former ratifies or is stopped to deny the
assumed authority.
Sufficiency of professional employment
The essential feature of the relation is the fact
of employment.
While a written agreement for professional
services is the best evidence to show the
relation, formality is not an indispensable
element of the employment of an attorney.
It is not necessary that a retainer should have
been paid, promised, or charged.
Nor is it material that the attorney who was
consulted does not afterward undertake the
case.
The absence of a written contract will not
preclude a finding that there is a professional
relationship.
The contract may be express or implied.
An acceptance is implied when the attorney
acts in pursuance of a request.
There is an implied contract of professional
employment where an attorney appears on
behalf of a party without the latter
interposing any objection to it.
To establish professional relation, it is
sufficient that the advice and assistance of an
attorney is sought and received in any matter
pertinent to his profession.
If a person consults with an attorney in his
professional capacity with the view of
obtaining professional advice or assistance,
and the attorney voluntarily permits or
acquiesces in such consultation as when he
listens and gives advice, the professional
employment is regarded as established.
Circumstances which do not establish an
attorney client relationship:
o That an attorney for buyer wrote
letters to tenants giving them a period
to exercise their preferential right to
buy the land, that he prepared the
deed of sale in favor of the buyer, and
that he charged the seller the fees for
such services do not make the
attorney the counsel for the seller as
those matters were wrapped up in the
sale, and could have been done as
counsel for the buyer in the
furtherance of the latter’s interests.
o By helping an appellant perfect his
appeal but without entering his
appearance or signing a pleading.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
o Signing a pleading for and on behalf of
another counsel of record.
In the absence of a written retainer, the
establishment of the attorney-client
relationship depends upon the circumstances
of the case.
The employment or authority to employ an
attorney need not be proved in writing; such
fact could be inferred from circumstantial
evidence.
The moment complainant approached the
then receptive respondent to seek legal
advice, a veritable lawyer-client relationship
evolved between the two. Such relationship
imposes upon the lawyer certain restrictions
circumscribed by the ethics of the profession.
To keep inviolate, confidential information
acquired or revealed during legal
consultations. The fact that one is not inclined
to handle the client’s case, at the end of the
day, is hardly of consequence. Of little
moment is the fact that no formal
professional engagement follows the
consultation. (Hadjula vs Madianda)
Employment of law firm
The employment of a law firm is equivalent to
the retainer of the member even though only
one of them is consulted.
Conversely, the employment of one member
is generally considered as employment of the
law firm.
When a client employs the services of a law
firm, he employs the entire law firm and not
the lawyer assigned to personally handle the
case.
In the event that the counsel appearing for
the client resigns or dies, the firm is bound to
provide a replacement.
Reason for the rule: Information obtained
from a client by a member of the law firm is
information imparted on the firm.
The member acts in the name and interest of
the firm.
Death of the member does not extinguish the
lawyer-client relationship. The responsibility
to continue representation devolves upon the
remaining lawyers of the firm until they have
withdrawn from the case.
Who can employ an attorney
70
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Generally, any person who has the legal
capacity to contract can employ an attorney.
A person suffering from some legal disability
cannot retain a lawyer to appear for him in
court.
Only a general guardian ad litem has the
authority to employ an attorney to represent
a minor or incompetent.
However, the appearance of a lawyer as
authorized by a relative of the minor or
incompetent is intrusive and will have no
effect, except to show the attorney’s good
faith in appearing in court.
An agent clothed by his principal with the
power to deal with the principals’ property or
interest has the authority to engage the
services of an attorney as counsel for the
principal.
The agent’s authority to employ an attorney
for his principal need not be in writing. It may
be inferred from circumstantial evidence.
General Rule: A wife has the authority to
engage the services of counsel even without
her husband’s consent in any of the instances
where she may prosecute or defend an action
without the necessity of joining her husband
as a party litigant.
o Exception: She cannot, however, bind
the conjugal partnership for the
payment of the fees of her lawyer
without the husband’s authority.
o Exception to the exception: In a suit
between her and her husband, which
she is compelled to institute or resist
to protect her rights.
General Rule: In a corporation, only the board
of directors has the authority to employ an
attorney to sue or defend an action for the
corporation as the power to sue and be sued
is lodged in them.
o Exceptions:
Such power to employ an
attorney may be delegated in
favor of any of its corporate
officers, expressly or impliedly.
A single stockholder may
institute a derivative suit on
behalf of a corporation and
employ an attorney for that
purpose.
ralc2011
C. ETHICAL NORMS AND RESTRICTIONS
Canon 15. A lawyer shall observe candor,
fairness and loyalty in all his dealings and
transactions with his clients.
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.
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.
Rule 15.04. A lawyer may, with the
written consent of all concerned, act as
mediator, conciliator or arbitrator in
settling disputes.
Rule 15.05. A lawyer when advising his
client shall give a candid and honest
opinion on the merits and probable results
of the client’s case, neither overstating
nor understanding the prospects of the
case.
Rule 15.06. A lawyer shall not state or
imply that he is able to influence any
public official, tribunal or legislative body.
Rule 15.07. A lawyer shall impress upon
his client compliance with the laws and
the principles of fairness.
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
Generally
A lawyer may only be as successful in the
practice as he has enough paying clientele.
71 ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Without clients, a lawyer may not be able to
make a name as a practitioner though how
talented he may be.
On the other hand, a lawyer cannot just
accept any case nor can he employ business
methods to solicit professional employment or
to advertise his talent and skill to attract
prospective clients.
Lawyer shall ascertain 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.
It is the duty of a lawyer to disclose and
explain to a prospective client all
circumstances of his relations to the parties,
and any interest in connection with the
controversy, which in his honest judgment,
might influence the client in the selection of a
counsel.
The disclosure is more for the protection of
the lawyer than that of the client.
If a lawyer conceals the fact that the adverse
party used to be his client, the new client
may have reason to suspect, in case of an
unfavorable judgment, that the circumstance
prevented him from the full discharge of his
duty.
Concealment of facts material to employment
may cause his client to lose confidence in
him.
Duty to decline employment
A lawyer should decline professional
employment even though how attractive the
fee may be if its acceptance will involve a
violation of any of the rules of the legal
profession.
After giving advice to a plaintiff concerning a
claim, the lawyer may not thereafter accept
retainer from the defendant to defeat that
claim.
He may not accept employment from another
in a matter adversely affecting any interest of
his former client with respect to which,
confidence has been reposed.
Nor may he handle a case to nullify a contract
which he prepared.
72

He should not accept employment as an
advocate in any matter in which he had
intervened while in the government service.
This canonical injunction is based upon the
necessity that professional integrity and
public confidence in that integrity be
maintained.
He may not accept employment from an
organization to render legal services to
members thereof concerning questions
submitted by the members, the answers to
which are printed for circulation.
He may not accept employment as a
columnist to answer inquiries for advice as to
individual rights through the medium of a
newspaper column.
Nor may he accept employment from a
collection agency which solicits business to
collect its claims.
EXCEPTIONS: Rule 14.03. A lawyer may
refuse to accept representation of an indigent
client if:
o He is not in a position to carry out the
work effectively or competently;
o He labors under a conflict of interests
between him and the prospective
client or between a present client and
the prospective client.
A lawyer shall preserve the secrets of a
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.
Matters disclosed by a prospective client to a
lawyer are protected by the rule on privileged
communications even if the prospective client
does not thereafter retain the lawyer or the
lawyer declines the employment.
Reason: To make the prospective client
discuss freely whatever he wishes with the
lawyer without fear that what he discloses will
not be divulged nor used against him and for
the lawyer to be equally free to obtain
information from such prospective client.
Ethical considerations in taking a bad case
“How can a lawyer take a case which he does
not believe in?”
The classical answer to the question is the
familiar dialogue ―Boswell: But what do you
think of supporting a cause which you know
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
to be bad? Johnson: Sir, you do not know it
to be good or bad till the judge determines
it..
It is his business to judge; and you are not to
be confident in your opinion that a cause is
bad, but to say all you can for your client.‖
A lawyer certainly knows whether a case is
good or bad because it is not only his function
but his duty to find out.
In a criminal action, it is the ―right of the
lawyer to undertake the defense of a person
accused of crime, regardless of his personal
opinion as to the guilt of the accused;
otherwise, innocent persons, victims only of
suspicious circumstances, might be denied
proper defense.‖
It is improper for a lawyer to assert in
argument his personal belief in his client’s
innocence or in the justice of his cause.
In a civil action, the rules and ethics of the
profession enjoin a lawyer from taking a bad
case.
o Firstly, the signature of counsel
constitutes a certificate by him that he
has read the pleading; that to the best
of his knowledge, information, and
belief there is good ground to support
it; and that it is not interposed for
delay.
Counsel who deliberately files an
unsigned pleading, or signs a pleading
in violation of this Rule, or alleges
scandalous or indecent matter therein,
or fails to promptly report to the court
a change of his address, shall be
subject to appropriate disciplinary
action. (Rule 7, Section 3, Rules of
Court)
o Secondly, it is the duty of an attorney:
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; (Rule 138, Section 20
(c), Rules of Court)
o Thirdly, it is the duty of an attorney:
Not to encourage either the
commencement or the continuance of
an action or proceeding, or delay any
man's cause, from any corrupt motive
73
or interest; (Rule 138, Section 20
(g), Rules of Court)
o Finally, he ―must decline to conduct a
civil cause or to make a defense when
convinced that it is intended merely to
harass or injure the opposite party or
to work oppression or wrong.‖
If a lawyer were to take a bad civil suit
against a defendant, it will either be to exert
his best efforts toward a compromise or, if
unsuccessful, to advice his client to confess
judgment.
The reason why laymen often ask the ethical
question – how can a lawyer take a case
which he does not believe in? – is due partly
to unfamiliarity with the rules and ethics of
the legal profession and partly to a lack of
appreciation of the rights of an accused.
D. LAWYER MAY NOT REFUSE HIS SERVICES
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.
Rule 14.02. A lawyer shall not decline, except
for serious and sufficient cause, an
appointment as counsel de oficio or as amici
curiae, or a request from the Integrated Bar of
the Philippines or any of its chapters for
rendition of free legal aid.
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.
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.
Lawyer as advocate, generally
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
The primary task of a lawyer, as an advocate,
is to represent a party litigant in court, either
as counsel for plaintiff or for defendant, or as
a public prosecutor or as defense counsel.
1. General Rule: A private practitioner is
not obligated to act as counsel for any
person who may wish to become his
client. He has the right to decline
employment.
2. Exception: Public prosecutor who
cannot choose cases to prosecute.
Canon 14: Duty of a lawyer to accept
employment insofar as the needy and poor
are concerned. Refusal to accept being made
the exception. Two reasons:
1. The poor and the needy need most the
services of a lawyer but hesitate to
secure such because they cannot
afford to pay or fear refusal for their
inability to compensate the lawyer.
2. IBP objective to make legal services
available for those who need them.
Requires a lawyer should not lightly
decline employment.
A lawyer shall not decline to represent
unpopular clients
Rule 138, sec. 20 (h-i). Duties of attorneys.—
It is the duty of an attorney: (h) Never to
reject, for any consideration personal to
himself, the cause of the defenseless or
oppressed.
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.
Regardless of his personal feelings, a lawyer
should not decline representation just
because a client or a cause is unpopular or
community reaction is adverse.
History is replete with instances of
distinguished and sacrificial services by
lawyers who had represented unpopular
clients and causes, and received accolade for
such services from peers in the bar.
It is his duty not to decline to represent the
accused regardless of his opinion as to his
guilt.
74

The law presumes the accused innocent, and
entitled to acquittal unless his guilt is proved
beyond reasonable doubt. If the rule were
otherwise, innocent persons, victims of
suspicious circumstances, might be denied
proper defense.
A lawyer shall not decline appointment by
the court or by the IBP
The relation of attorney and client may be
created not only by voluntary agreement but
also by appointment as counsel de oficio for a
poor or indigent litigant.
Rule 138, sec. 31 Attorney’s 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.
In a criminal action, the court may appoint a
counsel de oficio in the following instances:
1. Duty of court to inform accused of his
right to counsel.—Before arraignment,
the court shall inform the accused of
his right to counsel and ask him if he
desires to have one. Unless the
accused is allowed to defend himself in
person or has employed counsel of his
choice, the court must assign a
counsel de oficio to defend him. (Rule
116, Sec. 6, Rules of Court)
2. It shall be the duty of the clerk of the
trial court, upon filing a notice of
appeal, to ascertain from the
appellant, if confined in prison,
whether he desires the Regional Trial
Court, Court of Appeals, or the
Supreme Court to appoint a counsel de
oficio to defend him and to transmit
with the record on a form to be
prepared by the clerk of court of the
appellate court, a certification of
compliance with this duty and the
response of the appellant to his
inquiry. (Rule 122, Sec. 13, Rules of
Court)
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
3. Appointment of counsel de oficio for
the accused.—If it appears from the
record of the case transmitted 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 court of
the CA shall designate a
counsel de oficio.
An appellant who is not confined in prison
may, upon request, be assigned a counsel de
oficio within the 10 days from receipt of the
notice to file brief and he establishes his right
thereto by affidavit. (Rule 124, Sec. 2, Rules
of Court)
The court may not assign a counsel de oficio
to defend an accused when he previously
manifested his desire to secure the services
of a counsel de parte. If the court does so, it
violates the defendant’s right to counsel, and
his conviction may be set aside on that
ground. If a counsel de oficio is appointed, he
must protest such appointment.
Where a counsel de oficio has been assigned
to an accused and such counsel has acted
without objection from the accused, the
conviction cannot be set aside on the sole
ground that said counsel was not the choice
of the accused.
Frequent appointment of same counsel
discouraged
The burden of regular practice and the
possibility of compensation as counsel de
oficio as a regular source of income should
caution a court from frequently appointing the
same lawyer.
The overburdened counsel may have too little
time to spare for his de oficio cases or may be
eager to finish such cases to be able to collect
his fees within the earliest possible time.
The accused stands to suffer, denied effective
assistance.
A lawyer may refuse to represent indigent
on valid grounds
GENERAL RULE: A lawyer is not obliged to act
as counsel for any person who may wish to
75
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
become his client. He has the right to decline Amount of attorney’s fees or client’s financial
employment. capability to pay should not serve as a test to
EXCEPTIONS: determine the extent of the lawyer’s devotion
1. A lawyer shall not refuse his services to to his client’s cause.
the needy or indigent.
2. He 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. (Canon 14, Rule 14.01)
3. If there is serious and sufficient cause, an
appointment as counsel de oficio or as
amici curiae, or a request from the
Integrated Bar of the Philippines or any of
its chapters for rendition of free legal aid.
(Canon 14, Rule 14.02)
A government lawyer called upon to represent
the government, any agency, or any officer in
his official capacity either as plaintiff or
defendant in a case, may not generally
decline the assignment.
o Exception: He is disqualified to act as
counsel.
The Solicitor General is the principal law
officer and legal defender of the Government.
o Has discretion in choosing whether to
prosecute or not, or to abandon a
prosecution already started.
o To take a position adverse to the
people of the Philippines in a criminal
case or to that of a government
agency or official when he believes
that justice will be served by taking a
different stand.
o But cannot refrain from performing his
duty as lawyer of the government.
o Mandamus will lie to compel him to
perform if refusal is based on flimsy
grounds.
A lawyer shall observe the same standard
for all clients
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.
The purpose of the legal profession is to
render public service and secure justice for
those who seek its aid.
The gaining of a livelihood is only a secondary
consideration.
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CHAPTER 7 – LAWYER’S
DUTIES IN HANDLING
CLIENT’S CAUSE
Canon 15. A lawyer shall observe candor,
fairness and loyalty in all his dealings and
transactions with his clients.
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.
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.
Rule 15.04. A lawyer may, with the
written consent of all concerned, act as
mediator, conciliator or arbitrator in
settling disputes.
Rule 15.05. A lawyer when advising his
client shall give a candid and honest
opinion on the merits and probable results
of the client’s case, neither overstating
nor understanding the prospects of the
case.
Rule 15.06. A lawyer shall not state or
imply that he is able to influence any
public official, tribunal or legislative body.
Rule 15.07. A lawyer shall impress upon
his client compliance with the laws and
the principles of fairness.
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.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
A. ENTIRE DEVOTION WITHIN THE LAW
Generally
No lawyer is obliged to act as advocate for
every person who may wish to secure his
services. He has the right to decline
employment.
No fear of judicial disfavor or public
unpopularity should restrain him from the full
discharge of his duty.
In the judicial forum, the client is entitled to
the benefit of any and every remedy and
defense that is authorized by law, and he may
expect his lawyer to assert every such
remedy or defense.
Once he agrees to take up the cause of a
client, the lawyer owes fidelity to such cause
and must always be mindful of the trust and
confidence reposed in him.
He must serve the client with competence
and diligence, and champion the latter’s
cause with whole-hearted fidelity, care, and
devotion.
A lawyer who performs his duty with diligence
and candor not only protects the interest of
his client; he also serves the ends of justice,
does honor to the bar, and helps maintain the
respect of the community to the legal
profession. (Aromin v. Atty. Boncavil)
Every case a lawyer accepts deserves his full
attention, diligence, skill, and competence
regardless of its importance and whether he
accepts it for a fee or free. Certainly, a
member of the Bar who is worth his title
cannot afford to practice the profession in a
lackadaisical fashion. A lawyer’s lethargy is
both unprofessional and unethical (Jardin v.
Atty. Villar)
The court as guardian of the legal profession
expects a lawyer to employ all the energies at
his command. It demands of him the most
scrupulous performance of his duty.
Negligence thereof will cause delay in the
administration of justice or prejudice the
litigant’s rights.
77
Public interest requires that an attorney exert
his best efforts in the prosecution or defense
of his client’s cause.
A lawyer shall perform duty within the law
Rule 15.07. A lawyer shall impress upon his
client compliance with the laws and the
principles of fairness.
Duties of attorneys. - It is the duty of an
attorney: (c) 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. (Rule 138, Sec. 20, Rules of Court)
Duty to secure for the client, through
honorable means, only what is justly due him.
A lawyer is required to represent his client
within the bounds of the law. The CPR enjoins
him to employ only fair and honest means to
attain the lawful objectives of his client and
warns him not to allow his client to dictate
procedure in handling the case. He may use
arguable construction of the law or rules
which are favorable to his client. But he is not
allowed to knowingly advance a claim or
defense that is unwarranted under existing
law.
The trust confided to an attorney must be
performed within the bounds of law.
His office does not permit violation of law or
any manner of fraud or chicanery.
He swore, upon his admission to the practice,
to uphold the cause of justice, obey the law,
and do no falsehood.
There is nothing in the duty to a client which
makes it necessary for a lawyer to swear to
that which is false, to disregard the truth and
defy the clear purpose of the law, or to obtain
for his client something to which he is not
justly and fairly entitled.
To permit lawyers to resort to unscrupulous
practices for the protection of the supposed
rights of their clients is to defeat the
administration of justice.
When rendering any improper service or
advice, the lawyer invites stern and just
condemnation.
He must also observe and advise his client to
observe the statute law, though until a
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
statute shall have been construed and
interpreted by competent jurisdiction, he is
free and is entitled to advice as to its validity
and as to what he conscientiously believes to
its just meaning and extent.
But above all a lawyer will find his highest
honor in a deserved reputation for fidelity to
private trust and to public duty, as an honest
man and as a patriotic and loyal citizen.
A lawyer shall give candid advice on merits
of case
A lawyer should endeavor to obtain full
knowledge of his client's cause before
advising thereon.
Rule 15.05. A lawyer when advising his
client shall give a candid and honest opinion
on the merits and probable results of the
client’s case, neither overstating nor
understanding the prospects of the case.
It is incumbent upon a lawyer to give his
client an honest opinion on the probable
results of the case, with the end vie of
promoting respect for the law and legal
processes.
As officers of the court, counsels are under
obligation to advice their clients against
making untenable and inconsistent claims.
If a lawyer finds his client’s contemplated civil
suit totally devoid of merit or wholly
defenseless, he should inform his client and
dissuade him from filing or to compromise
rather than traverse the incontrovertible.
If, on the other hand, he finds that his client’s
cause is fairly meritorious and ripe for judicial
adjudication, he should refrain from making
bold and confident assurances of success.
Rule 15.06. A lawyer shall not state or imply
that he is able to influence any public official,
tribunal or legislative body.
The miscarriages to which justice is subject,
by reason of surprises and disappointments in
evidence and witnesses, through mistakes
and errors of courts, even though only
occasional, admonish lawyers to beware of
bold and confident assurances to clients,
78

especially where the employment may
depend upon such assurance.
Duty to comply with client’s lawful request
A lawyer should endeavor to seek instruction
from his client on any substantial matter
concerning the litigation, which may require
decision on the part of the client, such as
whether to compromise the case or to appeal
an unfavorable judgment.
He should give his client sound advice on any
similar matters and comply with the client’s
lawful instructions.
He should resist and should never follow any
unlawful instruction of his client.
In matters of law, it is the client who should
yield to the lawyer.
Rule 19.03. A lawyer shall not allow his
client to dictate the procedure in handling the
case.
He should not act like an errand boy at the
beck and call of his client, ready and eager to
do his bidding.
He must obey his own conscience and not
that of his client.
The responsibility for advising as to
questionable defenses is the lawyer's
responsibility. He cannot escape it but urging
as an excuse that he is only following his
client's instructions.
A lawyer who files a pleading which contains
contemptuous allegations cannot evade
responsibility by saying that he is merely the
―mouthpiece‖ of his client and that his client
verified the same.
He is not just an instrument of his client.
While he owes devotion to him, he cannot
overstep the bounds set by his responsibility
as a lawyer. For his duty to the court is not
secondary to that of his client.
As to incidental matters pending trial, not
affecting the merits of the cause, or working
substantial prejudice to the rights of the
client, such as forcing the opposite lawyer to
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
trial when he is under affliction or
bereavement; forcing the trial on a particular
day to the injury of the opposite lawyer when
no harm will result from a trial at different
time; agreeing to an extension of time for
signing a bill of exceptions, cross
interrogatories and the like
No client has a right to demand that his
counsel shall be illiberal, or that he does
anything therein repugnant to his own sense
of honor and propriety.
Duty to restrain client from impropriety
A lawyer should use his best efforts to
restrain and to prevent his clients from doing
those things which the lawyer himself ought
not to do, particularly with reference to their
conduct towards courts, judicial officers,
jurors, witnesses and suitors. If a client
persists in such wrongdoings the lawyer
should terminate their relation.
A lawyer shall not undertake influence-
peddling
Rule 15.06. A lawyer shall not state or imply
that he is able to influence any public official,
tribunal or legislative body.
Influence peddling is highly unethical and
may constitute violation of the Anti-Graft and
Corrupt practices Act.
B. EMPLOYMENT OF HONORABLE MEANS
Duty to employ honorable means only
Rule 19.01. A lawyer shall employ only fair
and honest means to attain the lawful
objectives of his client and shall not present,
participate in presenting or threaten to
present unfounded criminal charges to obtain
an improper advantage in any case or
proceeding.
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
79
officer by an artifice or false statement of fact
or law.
(c) 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;
(f) 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;
It is improper for a lawyer to assert in
argument his personal belief in his client's
innocence or in the justice of his cause.
1. The lawyer’s personal belief has no
real bearing on the case.
2. If expression of belief were permitted,
it would give improper advantage to
the older and better known lawyer
whose opinion would carry more
weight.
3. If such were permitted, omission to
make such assertion might be taken
as an admission of the lack of belief in
the soundness of his client’s cause.
Technical defense
Some defenses, when employed to defeat
clearly valid claims, may raise questions
of propriety.
Some hold the view that the defenses of
infancy or lack of capacity to be sued,
statute of frauds, and statute of
limitations may not, in the absence of
some other defense, be properly raised to
frustrate honest and just demands.
Much can be said against the soundness of
that view.
The fact that those defenses have been
provided by law shows that a litigant may
avail of them and his counsel may assert
and make them effective.
The statute of fraud is designed to prevent
fraud and the law denies relief to a party
who sleeps on his rights.
The negative defense of lack of knowledge
or information as permitted by the rules
must be availed of with sincerity and in
good faith. It must not be employed to
delay the litigation.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Prosecuting or defending matrimonial
cases
Civil Code, Art. 52. Marriage is not a mere
contract but an inviolable social
institution.
Civil Code, Art. 88. No judgment annulling
a marriage shall be promulgated upon a
stipulation of facts or by confession of
judgment.
Civil Code, Art. 101. No decree of legal
separation shall be promulgated upon a
stipulation of facts or by confession of
judgment.
Art. 222. No suit shall be filed or
maintained between members of the same
family unless it should appear that earnest
efforts toward a compromise have been
made.
In annulment and legal separation
proceedings, the circumstance that the
State is vitally interested in the
maintenance of the marriage relation does
not make improper the lawyer’s
appearance in securing for his client what
is due him under the law.
What is unethical is the lawyer’s
participation in any collusion between the
parties such as:
o By encouraging the commission of
a matrimonial offense.
o Fabricating evidence of such
offense not actually committed.
o Suppressing evidence of a valid
defense.
A lawyer should also avoid any act which
may raise suspicion of collusion.
A lawyer should always incline the scale of
his decision in favor of that solution which
will serve best all his loyalties, by
declining the professional employment or
terminating a professional relationship.
A lawyer shall rectify 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.
80

When a lawyer discovers that some fraud or
deception has been practiced, which was
unjustly imposed upon the court or party, he
should endeavor to rectify it; at first by
advising his client, and if his client refuses to
forego the advantage thus unjustly gained, he
should promptly inform the injured person or
his counsel, so that they may take
appropriate steps. (Canon 41, Code of
Professional Ethics)
Canon 41 may collide with the lawyer’s duty
to keep the client’s confidence inviolate,
which may be the reason why the Code of
Professional Responsibility merely requires
the lawyer to terminate his relationship with
the client in the event the latter fails or
refuses to rectify the fraud.
C. WHAT ARE REQUIRED TO PROTECT
CLIENT’S INTERESTS
Generally
Canon 18. A lawyer shall serve his client with
competence and diligence.
By accepting a retainer, a lawyer impliedly
represents that:
a. He possesses requisite degree of
learning, skill, ability which is
necessary to the practice of his
profession and which other similarly
situated possess;
b. He will exert his best judgment in the
prosecution or defense of the litigation
entrusted to him;
c. He will exercise reasonable and
ordinary care and diligence in the use
of his skill and in the application of his
knowledge to his client’s cause;
d. He will take such steps as will
adequately safeguard his client’s
interest. A client may reasonably
expect that counsel will make good his
representations.
Rule 18.03. A lawyer shall not neglect a
legal matter entrusted to him, and his
negligence in connection therewith shall
render him liable.
A lawyer who delayed filing an action to
revive a judgment and thereafter filed a
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
defective complaint that it did not suspend
the prescriptive period to file an action
betrayed his client’s trust and did not
champion his cause.
Duration and extent of a lawyer’s duty to
safeguard client’s interest
The attorney’s duty to safeguard the client’s
interest commences from his retainer until his
effective release from the case.
During that period, he is expected to take
such reasonable steps and such ordinary care
as his client’s interests may require.
The failure of his client to pay him his fees
does not warrant his abandoning the case.
A lawyer shall render service only when
qualified to do so
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.
A lawyer shall not handle a case without
adequate preparation
Rule 18.02. A lawyer shall not handle any
legal matter without adequate preparation.
Lawyer should safeguard his client’s rights
and interests by:
1. Thorough study and preparation;
2. Mastering applicable law and facts
involved in a case, regardless of the
nature of the assignment; and
3. Keeping constantly abreast of the
latest jurisprudence and developments
in all branches of the law.
Inadequate preparation spawns adverse
effects that go far beyond the personal
interest of the client.
When the merits of one side of a case are not
properly presented because of inadequate
legal presentation, the court may be misled
by looking at the case in an uneven light.
Careless preparation may cast doubt upon the
lawyer’s intellectual honesty.
81
Thorough study and preparation will not
ensure winning the litigation, but there is
deep satisfaction of having lost a case but
won the esteem and respect of his client and
the approbation of the court in the manner he
espoused his client’s cause with skill,
diligence, ability, and candor.
Preparation of pleadings
A lawyer’s pleading:
o Shows the extent of his study and
preparation;
o Articulates his ideas as an officer of
the court;
o Mirrors his personality and reflects his
conduct and attitude toward the court,
the opposing party and his counsel.
o Is a document embodying the result of
his work and furnishing the basis on
which to judge his competence.
All of the above considerations emphasize the
need for utmost care in the preparation of a
pleading.
A pleader should bear in mind the substantive
and procedural requirements of the pleading
to be filed in the court.
He should not suppress or distort material
and vital facts nor omit relevant documents
which bear on the merit or lack of merit of his
petition.
Honesty toward the court to enable it to
better appraise its merit or deficiency.
The Rules of Court prescribe the procedural
requirements, such as in the verification and
in the certification against forum shopping.
Rule 7, Sec. 4., Rules of Court: Verification.
Except when otherwise specifically required
by law or rule, pleadings need not be under
oath, verified or accompanied by affidavit.
A pleading is verified by an affidavit that the
affiant has read the pleading and that the
allegations therein are true and correct of his
knowledge and belief.
In the verified certification against forum
shopping, it is signed only by the party
himself and not his lawyer, and it may only be
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
executed by a corporate officer who has been
duly authorized by its board of directors. If
there are two or more parties, all of them
should sign.
o Except:
When one has been duly
authorized to do so by his co-
party.
Where the petitioners are
husband and wife involving
their property, in which case
only one of them may sign.
In verifying a pleading, the certification of the
notary public must state that the affiant
personally appeared before him, that the
affiant is personally known to the notary
public or that the affiant exhibited to him an
official identification issued by a government
agency showing his picture and signature. As
required by the notarial law and rule issued
by the Supreme Court.
If a lawyer fails to comply with these
requirements, the complaint may be
dismissed or his client may lose the case.
―The client is bound by the action of his
counsel, as well as by his mistake or
negligence,‖ and may even subject the lawyer
to disciplinary action.
Interviewing witnesses
A lawyer may interview a witness in advance
of trial to guide him in the management of
litigation.
A witness is the human instrumentality
through which the law and the judges and
lawyers, endeavor to ascertain the truth and
to dispense justice to the contending parties.
An attorney violates no ethical rule when he
ascertains from a witness what the latter
know and does not know about the facts in
controversy.
What is unethical is to tell the witness to say
something which is false.
A lawyer may properly interview any witness
or prospective witness for the opposing side
in any civil or criminal action without the
consent of opposing counsel or party. In
doing so, however, he should scrupulously
avoid any suggestion calculated to induce the
witness to suppress or deviate from the truth,
or in any degree to affect his free and
82

untrammeled conduct when appearing at the
trial or on the witness stand.
A lawyer may properly obtain statements
from witnesses whose names were furnished
by the opposing counsel or interview the
employees of the opposing party even though
they are under subpoena to appear as
witnesses for the opposite side.
If after trial resulting in defendant’s
conviction, his counsel has been advised that
a prosecution witness committed perjury, it is
the lawyer’s duty to endeavor honorably to
obtain such witness’ retraction.
An adverse party, though he may be used as
a witness, is not a witness within the meaning
of the rule permitting a lawyer to interview
the witness of the opposing party.
A lawyer should not in any way communicate
upon the subject of controversy with a party
represented by counsel, much less should he
undertake to negotiate or compromise the
matter with him, but should deal only with his
counsel.
What to do in case of conflict of trial dates
Two or more cases set for trial in different
courts and on the same date without the
lawyer’s previous knowledge should ask for
postponement of the latter cases as he should
not give undue preference for the work in one
against the other.
o Except: In favor of that case wherein
the court has served warning in view
of previous repeated postponements
Motion for postponement should be presented
at such time as practicable to prevent the
adverse party from coming to court with his
witnesses on the date of trial as to spare
unnecessary expense.
A lawyer should not assume that his motion
for postponement will be granted even if the
adverse party conforms since the court is not
bound thereby.
When the motion for postponement has been
denied or the case has been set for trial for
the last time, the lawyer must take
precautionary measures such as notifying the
court or asking his clients to secure the
services of another lawyer or requesting
another attorney to appear for him.
Adoption of a system to insure receipt of
mails
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Rule 13, Sec. 10. Rules of Court
Completeness of service.
Service by ordinary mail is complete upon the
expiration of ten (10) days after mailing,
unless the court otherwise provides.
Service by registered mail is complete upon
actual receipt by the addressee, or after five
(5) days from the date he received the first
notice of the postmaster, whichever date is
earlier.
This rule imposes upon a lawyer the duty to
maintain a system that will insure his prompt
receipt of notices and communications sent to
him by mail at his address of record.
The failure or refusal of a lawyer to claim
registered mails addressed to him may prove
prejudicial to his client’s interests, as when as
a consequence thereof, he fails to attend a
hearing, to file a responsive pleading on time,
pay the docket fee, or appeal an adverse
judgment.
Circumstances that will not warrant reopening
of the litigation nor prevent the service by
registered mail from being effective after 5
days’ notice:
1. That a lawyer could not afford to hire a
regular clerk to claim his mail.
2. That his clerk failed to call his
attention to it.
3. That the demands of his work required
him to be in different places.
4. That he changed his address without
notice to the court thereof.
Notice of change of address
Without his address being recorded in the
case, a lawyer will not be entitled to be
served with judicial notice.
Without informing the court in writing of such
change, a notice served at the attorney’s
original address is binding upon the client.
Insofar as the court is concerned, the last
address on record is the place where all
notices shall be served until the court is
officially informed to the contrary.
Notice of death of client
Rule 3, Sec. 16. Rules of Court: Death of
party; duty of counsel:
83
Whenever a party to a pending action dies,
and the claim is not thereby extinguished, it
shall be duty of his client to inform the court
within 30 days after such death of the fact
thereof, and to give the name and address of
his legal representative or representatives.
Failure of counsel to comply with this duty
shall be a ground for disciplinary action.
The legal representatives can be substituted
as parties.
The failure of giving such notice binds his
client as well as the heirs of any judgment.
The court does not take judicial notice of the
death of a party and will render decision as if
the party is alive.
Requiring clerk of court to do his duty
Rule 20, Section 1. Rules of Court: Calendar
of cases.
The clerk of court, under the direct
supervision of the judge, shall keep a
calendar of cases for pre-trial, for trial, those
whose trials were adjourned or postponed,
and those with motions to set for hearing.
If the clerk of court is negligent, it is the
lawyer’s duty to call the attention of the court
to that fact so that the administration of
justice will not suffer any delay.
While an appellant may expect the clerk of
court to do his duty, it does not discharge the
counsel from the responsibility of seeing that
the record on appeal and evidence are
elevated to the appellate court.
Duty to keep client fully informed
Duty to advise promptly the client of any
important information.
Notify client of an adverse decision within the
period to appeal to enable the client to decide
whether to seek appellate review.
Keeping the client fully informed of important
developments of his case will minimize
occasions for misunderstanding or loss of
trust and confidence.
The client should not, however, sit idly by. It
is also the client’s duty to make proper
inquiries from his counsel concerning his
case.
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LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
What is required when moving from time to
file pleading or to postpone hearing
Pressure of work or some unavoidable
reasons may constrain a lawyer to file a
motion for extension of time to file pleadings.
A lawyer should not assume that such motion
will be granted.
A lawyer should inquire from the clerk of
court the court’s action thereon.
He runs the risk of time running out on him.
Where a motion for extension has remained
unacted, the least that is expected of a
lawyer in the meanwhile is to file it within the
time asked for.
When there is failure after the lapse of the
period, he should nonetheless file it with a
motion for leave to admit it, stating the
reasons for the delay.
Rule 12.03. A lawyer shall not, after
obtaining extensions of time to file pleadings,
memoranda or briefs, let the period lapse
without submitting to the same or offering an
explanation for his failure to do so.
Rule 12.04. A lawyer shall not unduly delay
a case, impede the execution of a judgment
or misuse court processes.
The court frowns upon the lawyers’ practice of
repeatedly seeking extensions and thereafter
simply letting the period lapse without
submitting any pleading or even explanation
for their failure.
Postponement is not a matter of right but of
sound judicial discretion.
Diligence in handling case
A lawyer must exercise ordinary diligence or
that reasonable degree of care and skill
having reference to the character of the
business he undertakes to do.
He is not, however, bound to exercise
extraordinary diligence.
What amounts to carelessness or negligence
depends upon the circumstances of the case.
There is want of diligence where:
1. The lawyer failed, without sufficient
justification, to bring an action
immediately.
2. Failure to file the answer to the
complaint within the reglementary
period.
3. Failure to notify his client of the date
of the hearing.
84

4. Failure to attend the scheduled pre-
trial conference or hearing.
5. Failure to prosecute the action for a
reasonable period.
6. Failure to inform the client of an
adverse judgment within the
reglementary period to appeal.
7. Failure to take steps to have the
adverse decision reconsidered or
appealed.
8. Failure to ascertain the correct date of
receipt of the decision.
9. Failure to acquaint himself with what
has happened to the litigation.
10. Failure to pay the docket fee on
appeal.
11. Failure to claim judicial notices sent to
him by mail.
12. Failure to file the appellant’s brief.
A new counsel, who enters his appearance in
midstream, has the duty not only to
thoroughly study the case but also to inquire
as to the status of the case. Failure to do so
prevents him from taking required steps and
may adversely affect his client’s interests.
Rule 18, Sec. 4, Rules of Court: Appearance
of Parties.
It shall be the duty of the parties and their
counsel to appear at the pre-trial.
The non-appearance of a party may be
excused only if a valid cause is shown
therefor or if a representative shall appear in
his behalf fully authorized in writing to enter
into an amicable settlement, to submit to
alternative modes of dispute resolution, and
to enter into stipulations or admissions of
facts and of documents.
Pressure and large volume of legal work
provide no excuse for the lawyer’s inability to
exercise due diligence in the performance of
his duty to take the necessary legal steps to
protect his client’s interest.
A lawyer who finds it impracticable to
continue representing a client should inform
the latter of his predicament and ask that he
be allowed to withdraw from the case to
enable the client to engage the services of
another counsel who can study the situation
and work out a solution.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Where the client refuses to cooperate or is
nowhere to be found, a lawyer should ask
that he be discharged or should apply to the
court that he be released.
Retirement from the case should be made on
record. His impending release from
professional obligation does not excuse him
from the non-performance thereof.
D. STANDARD OF DUTY IN CRIMINAL
ACTIONS
Duty to render effective legal service
The lawyer must decline to conduct a civil
cause or to make a defense when convicted
that it is intended merely to harass or to
injure the opposite party or to work
oppression or wrong.
It is the right of the lawyer to undertake the
defense of a person accused of crime,
regardless of his personal opinion as to the
guilt of the accused.
The right of an accused to counsel finds
substance in the performance by the lawyer
of his sworn duty of fidelity to his client. It
means an efficient and truly decisive legal
assistance and not simply a perfunctory
representation.
Rule 138, Sec. 20 (i) 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.
A lawyer may not cause the transfer, through
misrepresentation, of a case pending in one
sala to another of the same court without the
knowledge and consent of the judge taking
cognizance of said case for the purpose of
obtaining from the second sala a more
satisfactory remedy.
A lawyer, in seeking reversal of a lower
court’s conviction of his client, may not
attribute to the trial judge personal motives
or attacking him acrimoniously behind his
back in his appeal brief.
The interest of the public requires that every
verdict be rendered only upon the issues
raised and evidence presented, uninfluenced
85
by pleas of counsel to passion, prejudice, or
distorted sense of justice.
It is a disgrace to the bar and an affront to
the court for a lawyer to plead that, on behalf
of an accused charged with killing a person
for monetary consideration, that his accused
client was a ―poor, ignorant man blinded by
the promise of wealth,‖ and it was too great a
temptation to resist.
It is improper for a lawyer to assert in
argument his personal belief in his client's
innocence or in the justice of his cause. The
lawyer is bound, by all fair and honorable
means, to present every defense that the law
of the land permits, to the end that no person
may be deprived of life or liberty but by due
process of law.
What is required of counsel de oficio
He is expected to render effective service and
to exert his best efforts on behalf of an
indigent accused.
He has the bounden duty to exert utmost
efforts to defend his client and protect his
rights, no matter how guilty or evil he
appears to be.
The performance of his duty is all the more
imperative because the life of the accused
hangs in the balance.
He failed in the performance of such duty as
counsel for the accused:
o Where he refused to cross-examine
the offended party in a rape case
because he believed she was telling
the truth and did not present evidence
for the accused.
o Where barely days after accused client
pleaded ―not guilty‖ he filed a
manifestation in open court that his
client was changing his plea to that of
―guilty.‖
The court requires strict accountability in the
performance of a lawyer’s duty to the
impoverished client.
A counsel de oficio ought not to ask to be
excused from his responsibility for any trivial
reason.
Nor does his appointment as an election
registrar justify his release from his
responsibility as counsel de oficio unless on
valid grounds.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
Duty of defense counsel when accused
intends to plead guilty
Plea of guilty: An admission by the accused of
his guilt of a crime as charged in the
information and of the truth of the facts
alleged, including the qualifying and
aggravating circumstances.
The imposition of sentence proceeds from a
plea that is truthful and made voluntarily by
the accused with full awareness of its
consequences and of his rights.
It is the duty of defense counsel when his
client desires to enter a plea of guilty, to:
1. Fully acquaint himself with the records
and surrounding circumstances of the
case;
2. Confer with the accused and obtain
from him his account of what had
happened;
3. Advise him of his constitutional rights;
4. Thoroughly explain to him the import
of a guilty plea and the inevitable
conviction that will follow; and
5. See to it that the prescribed procedure
which experience has shown to be
necessary to the administration of
justice is strictly followed and
disclosed in the court records.
In grave offenses, after the plea of guilty, the
prudent and proper course to follow is for the
trial court to require the taking of testimony
of the accused so as to establish the precise
degree of his culpability and leave no room
for doubt that there is no mistake or
misunderstanding as to the nature of the
charges.
The review by the Supreme Court of a lower
court’s judgment would permit judicial inquiry
as to the extent a defense counsel has
performed his duty to an accused who
pleaded guilty to a capital offense and would
minimize the denial of an accused’s right to
an effective assistance of counsel.
Taking of testimony after a plea of guilty
could also prevent the imposition of an
incorrect penalty.
The guilty plea system is not conducive to a
sound attorney-client relationship.
It has been asserted that there are some
―professional writrunners and pleaders‖ –
lawyers who handle large volume of cases for
86

less than spectacular fees by advising,
influencing, cajoling, or even coercing clients
to plead guilty, irrespective of their guilt or
innocence.
A lawyer who has been thrice appointed
counsel de oficio, cautions the courts from
frequently appointing the same attorney to
prevent the possibility of having the
compensation for services rendered as a
regular source of income, as the counsel
might be inordinately eager to finish the
cases to be able to collect his fees at the
earliest possible time.
And the quickest and easiest way to
accomplish that purpose is to ask an accused
to plead guilty even when counsel knows his
client did not commit the offense.
The guilty plea system puts even the most
reputable lawyer into a trying situation.
Where a guilty plea would be an advantage in
view of the evidence of guilt and the
prosecutions’ offer to charge him with a lesser
offense, notwithstanding the accused insisting
his innocence.
If he were to advise his client to enter a plea
of not guilty, he may be less than true to his
duty of extending the best legal assistance to
the accused.
On the other hand, if he were to advise a
guilty plea to the lesser offense, a problem
arises as to the correctness of the step taken
especially when evidence is adduced, the
accused appears to be innocent.
There appears to be no immediate solution in
sight to the ethical and economic problems
posed by the guilty plea system.
Such problems underscore the need for a
defense counsel to be conscientious and
diligent in the discharge of his duties to the
accused.
E. CONSEQUENCES OF FAILURE TO
PERFORM DUTIES
Generally
Failure of the lawyer may render him
administratively liable, which may be a
reprimand, warning, suspension from the
practice of law, and even disbarment
depending upon the circumstances and
prejudice caused to the client.
ralc2011
LEGAL ETHICS Legal&and&Judicial&Ethics&Reviewer&
Based on the book
Chap%8%to%Chap%19&
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
CHAPTER&VIII&
LAWYER’S&FIDUCIARY&
Consequences to a client for lawyer’s breach
of trust
OBLIGATIONS&
The client may lose his case due to the & more"than"a"token"or"modest"amount""
negligence or misconduct of his counsel A.&EFFECTS&OF&FIDUCIARY&RELATION&
because the client is generally bound by his GENERALLY:)
lawyer’s omission or mistake. !"Atty."–"client"relationship"is"highly"fiduciary"
and"strictly"confidential"requiring"utmost"
good"faith,"loyalty,"fidelity"and"
disinterestedness"on"the"part"of"the"atty"for"
the"protection"of"the"client"
" professional"employment"from"anyone"other"
!"principles"of"justice"and"expediency"require"
that"the"atty"must"not"derive"any"advantage"
from"such"act"when"done"by"him"as"may"
operate"to"the"prejudice"of"his"client"and"that"
ALL"advantages"arising"there"from"must"inure"
to"the"client’s"benefit"
" ! Whatever&a&lawyer&receives&from&the&
DEALINGS)SUBJECT)TO)SCRUTINY)
! fiduciary"relation"exists"as"a"matter"of"
law"which"requires"all"dealings"to"be"
subject"to"the"closest"judicial"scrutiny"
! court’s"duty"to"guard"and"protect"
clients"from"any"undue"consequences"
! measure"of"good"faith"required"from"
atty"is"much"higher"compared"to"
what"is"required"in"business"dealings"
! no"presumption"of"innocence"or"
improbability"of"wrong"doing"is"
considered"in"atty’s"favour"
! dealings"must"be"characterized"with"
utmost"honesty"and"good"faith"
! it"is"upon"the"lawyer"to"prove"that"
the"transaction"was"FAIR"
" matter"he"is"handling"for"the"client.”"
ABUSE)OF)CONFIDENCE)
“A"lawyer"should"refrain"from"any"action"
whereby"for"his"personal"benefit"or"gain"he"
abuses"or"takes"advantage"of"the"confidence"
reposed"in"him"by"his"client.”"
" ! violation"of"oath"of"good"fidelity"to"
! a"lawyer"may"not"retain"money"of"
client"to"force"settlement"of"a"
disputed"claim"
! cannot"obtain"money"thru"false"
pretense"or"misrepresentation"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
87 San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! Undue"influence"in"the"preparation"of"
the"will""shown"by"persuasive"
circumstances"such"as"preferential"
treatment"and"inclusion"of"a"bequest"
"
REBATES)AND)COMMISSIONS)
“A"lawyer"shall"not"without"the"full"
knowledge"and"consent"of"the"client,"accept"
any"fee,"reward,"costs"commission"interest,"
rebate"or"forwarding"allowance"or"other"
compensation"whatsoever"related"to"his"
than"the"client."“"
"
! to"secure"the"wholehearted"fidelity"
to"the"client’s"cause"and"prevent"him"
from"full"discharge"of"duty"to"his"
client"
opposite&party&in&the&service&of&his&
client&belongs&to&the&client,&in&the&
absence&of&the&client’s&consent&made&
after&the&full&disclosure&of&the&facts"
&
A)LAWYER)SHALL)NOT)BORROW)MONEY)
FROM)THE)CLIENT)
“…unless"the"client’s"interests"are"fully"
protected"by"the"nature"of"the"case"or"by"
independent"advice…”"
(borrowing"allowed"if"under"this"exception"
but"should"not"abuse"by"delaying"payment)"
"
AND)LEND)MONEY)TO)HIM)
“…except,"when"in"the"interest"of"justice"he"
has"to"advance"necessary"expenses"in"a"legal"
! intended"to"assure"the"lawyer’s"
independent"professional"judgment"
for"if"there"is"financial"interest"the"
free"exercise"of"his"judgment"may"be"
affected"
client"and"make"lawyering"a"money"
making"venture" Client may not be in the position to say
"no"
"
B.ACCOUNTING&OF&CLIENT’S&FUNDS&
A.Y.&2013T2014&
 Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
Canon"16:"“a"lawyer"shall"hold"in"trust"all"
moneys"and"properties"of"his"client"that"may"
come"into"his"possession.”"
"Rule"16.01"“a"lawyer"shall"account"for"all"the"
money"or"property"collected"or"received"for"
or"from"the"client.”"
" private"funds,"nor"use"the"client’s"
! a"lawyer"may"receive"money"for"or"
from"the"client"in"the"course"of"his"
employment"which"he"holds"in"trust"
and"under"the"obligation"to"make"an"
accounting"thereof."
Such"money"may"include:"
" SUBJECT)TO)HIS)LIEN)
1."money"collected"in"pursuance"of"a"
judgment"in"favour"of"his"client"
2."money"of"client"not"used"for"the"
purpose"for"which"it"was"entrusted"
3."any"property"redeemed"with"the"
client’s"money"and"registered"in"the"
lawyer’s"name"
4."any"fund"received"from"a"judgment"
creditior"as"consideration"to"desist"
from"participating"in"a"public"sale"
" fees"and"the"application"of"the"
! if"there"is"failure"to"accomplish"a"
specific"purpose"for"which"money"
given"by"the"client"was"to"paid,"the"
atty"must"return"such"money"
immediately"to"the"client"
! “..failure%to%return%such%money%upon%
demand%give%rise%to%the%presumption%
that%he%misappropriated%it%for%his%
own%use%and%to%the%prejudice%of%and%
in%violation%of%the%trust%reposed%in%
him%by%his%client.%It%is%a%gross%violation%
The lawyer must return
everything that comes to his of%general%morality,%professional%
possession and if the client
refuses to pay for his legal fees, ethics%and%impairs%public%confidence%
the lawyer may file a suit for the
collection.
in%the%legal%profession.”"(Celaje"v."
Soriano)""
! also"applies"even"without"atty!client"
relationship"
! may"retain"part"of"money"if"
authorized"by"the"client"
" ! moral"obligation"of"the"atty"to"refrain"
A)LAWYER)SHALL)NOT)COMMINGLE)CLIENT’S)
FUNDS)
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
“A"lawyer"shall"keep"the"funds"of"each"client"
separate"and"apart"from"his"own"and"those"of"
others"kept"by"him.”"
" litigation"
! not"commingle"money"of"client"with"
that"of"other"clients"and"with"his"
money"for"personal"purposed"
without"the"client’s"consent"
! promptly"report"money"of"his"client"
coming"to"his"possession"
" ! purchase"or"lease"in"favour"of"a"
A)LAWYER)SHALL)DELIVER)FUNDS)TO)CLIENT,)
Rule"16.03:"“A"lawyer"shall"deliver"the"funds"
and"property"of"his"client"when"due"or"upon"
demand."However"he"shall"have"a"lien"over"
the"funds"and"may"apply"so"much"thereof"as"
may"be"necessary"to"satisfy"his"lawful"fees"
and"disbursements,"giving"notice"promptly"
thereafter"to"his"client.”"
"
If the client declines, then the lawyer
must respect such.
! assumes"that"the"client"agrees"with"
the"lawyer"as"to"the"amount"of"atty’s"
client’s"funds"to"pay"such"fees"
! without"the"consent,"lawyer"cannot"
apply"the"money"for"his"fees,"but"
should"instead"return"money"to"the"
client"without"prejudice"to"filing"a"
case"for"the"recovery"of"his"fees"
" thereof"
C.&RESTRICTION&AGAINST&BUYING&CLIENT’S&
PROPERTY&
PURCHASE)OF)PROPERTY)IN)LITIGATION)
! prohibits"lawyer"from"purchasing"
even"at"auctions,"either"in"person"or"
through"the"mediation"of"another,"
any"property"or"interest"involved"in"
any"litigation"in"which"he"may"take"
part"by"virtue"of"his"profession"
! rests"on"public"policy"and"interests"
! such"prohibition"is"ABSOLUTE"AND"
PERMANENT"
from"placing"himself"in"a"position"
which"excites"conflict"between"self"
interest"and"integrity" The lawyer may not be able to handle the
case objectively.
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
ELEMENTS:"
" a."atty!client"relationship"exists"
" b."property"or"interest"of"client"in"
" c."atty"takes"part"as"counsel"in"such"
case"
" d."atty"by"himself"or"through"another"
purchases"such"property"or"interest"
during"pendency"of"litigation"
" CHAPTER&IX&
Applies"even"when:"
partnership"of"which"the"counsel"is"a"
partner"
! purchase"by"atty’s"wife"of"an"interest"
belonging"to"estate"of"the"decedent"
! acquisition"of"guardian’s"lawyer"of"
the"ward’s"property"
! property"in"litigation"deeded"in"
favour"of"atty"for"payment"of"fees"
and"the"value"of"such"is"greatly"more"
than"the"worth"of"the"atty’s"services"
! transfer"of"right"over"a"parcel"of"land"
in"a"pending"litigation"as"atty’s"fees"
(malpractice)"
"
Not"applicable"in"the"ff:"
! property"not"in"litigation"
! sale"took"place"prior"to"litigation"
! purchaser"was"a"corporation"even"
though"the"atty"was"an"officer"
! sale"after"termination"of"the"litigation"
! atty"bidding"on"behalf"of"his"client"at"
the"auction"of"client’s"property"
! contingent"fee"contract"unless"
unreasonable"
" written"consent"of"his"client,"give"information"
PURCHASE)IN)VIOLATION)OF)THIS)RULE)IS)
NULL)AND)VOID)AB)INITIO)
! It"is"definite,"permanent"and"cannot"
be"ratified.""
) Rule"21.04"!"A"lawyer"may"disclose"the"affairs"of"a"
PURCHASE)OF)CHOSES)IN)ACTION)
! prohibition"applies"
! if"allowed,"lawyer"becomes"a"
voluntary"litigant"for"profit"which"is"
improper"conduct"
Choses in Actions - they are
promissory notes, outstanding
obligations or where creditors will CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
assign to lawyers
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! also"improper"to"buy"judgment"noted"
or"other"choses"for"much"less"their"
face"value"with"intent"to"collect"them"
at"large"profit"
Exception:"
! if"acquired"not"in"his"professional"
capacity"but"as"a"LEGITIMATE" Anything that has to do
that makes lawyering a
INVESTMENT" business is prohibited
"
LAWYER’S&DUTY&TO&PRESERVE&
CLIENT’S&CONFIDENCE&
&
A.&PRESERVATION&OF&CLIENT’S&CONFIDENCE&
Canon"21:"“a"lawyer"shall"preserve"the"
confidence""and"secrets"of"his"client"even"
after"the"atty!client"relationship"is"
terminated.”"
"
! applicable"to"matters"disclosed"by"
prospective"clients"
"
Rule"21.01"!"A"lawyer"shall"not"reveal"the"
confidences"or"secrets"of"his"client"except;"
(a)"When"authorized"by"the"client"after"
acquainting"him"of"the"consequences"of"the"
disclosure;"
(b)"When"required"by"law;"
(c)"When"necessary"to"collect"his"fees"or"to"defend"
himself,"his"employees"or"associates"or"by"judicial"
action."
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"own"advantage"or"that"of"a"
third"person,"unless"the"client"with"full"knowledge"
of"the"circumstances"consents"thereto."
Rule"21.03"!"A"lawyer"shall"not,"without"the"
from"his"files"to"an"outside"agency"seeking"such"
information"for"auditing,"statistical,"bookkeeping,"
accounting,"data"processing,"or"any"similar"
purpose."
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"
A.Y.&2013T2014&
 Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

services"are"utilized"by"him,"from"disclosing"or" ! work"product"of""lawyer"such"as"his" “"A"lawyer"shall"not"reveal"that"he"has"been" ! mere"relation"of"atty"and"client"does"

using"confidences"or"secrets"of"the"clients." effort,"research"and"thought"and"the" consulted"about"a"particular"case"except"to"avoid" not"raise"presumption"of"
Rule"21.06"!"A"lawyer"shall"avoid"indiscreet" records"of"his"client"are"Privileged" possible"conflict"of"interest.”" confidentiality"
conversation"about"a"client's"affairs"even"with" matters" ) ! the"client"must"intend"the"
members"of"his"family." ! applies"to"matters"disclosed"by"
! neither"the"lawyer,"his"heir"or"legal" communication"to"be"confidential"
Rule"21.07"!"A"lawyer"shall"not"reveal"that"he"has" prospective"client"because"the"
been"consulted"about"a"particular"case"except"to"
representatives"disclose"the"contents" and"for"the"purpiose"of"seeking"legal"
of"such"files"without"client’s" disclosure"creates"atty!client" advice"
avoid"possible"conflict"of"interest."
" permission" relationship"even"though"the"atty" ! Confidential"information!"transmitted"
) ) does"not"eventually"accept"the" by"voluntary"act"of"disclosure"
DURATION)OF)DUTY) ) employment) between"atty"and"client"in"confidence"
! perpetual,"continues"even"after" )A)LAWYER)MAY)DISCLOSE)AFFAIRS)OF) ! lawyer"should"ascertain"as"soon"as" and"by"means"which"so"far"as"the"
The heirs may enforce
the obligation of the client’s"death& CLIENT)TO)PARTNERS) practicable"whether"there"is"conflict" client"is"aware,"discloses"the"
lawyer to keep the secret
of their clients after death ! he"may"not"do"anything"which"will" ! employment"of"a"law"firm"is" of"interest"and"inform"the" information"to"no"third"person"other"
injuriously"affect"his"former"client& equivalent"to"retainer"of"the" prospective"client"that"he"cannot" than"one"reasonably"necessary"to"
! nor"at"any"time"disclose"or"use" members"thereof" accept"employment"on"such"ground) accomplish"the"purpose"for"which"it"
against"him"any"knowledge"or" ! employment"of"one"member"of"a"law" & was"given."
information"acquired"by"virtue"of"the" firm"is"considered"as"employment"of" B.&SCOPE&OF&ATTYT&CLIENT&PRIVILEGE& ! a"third"person"who"overheard"
professional"relationship& the"law"firm" & privilege"communication,"privilege"
! some"privileged"communication"may" ! partners"and"associates"are"not" REQUISITES) rule"does"not"apply"
lose"privileged"nature"by"some" considered"third"persons"because" (Mercado"v."Vitriolo)" )
supervening)act"done"pursuant"to" they"are"considered"as"one"person" Evidentiary"privilege"(all"must"concur):" FORM)OR)MODE)OF)COMMUNICATION)
the"purpose"of"the"communication& " 1."legal"advice"of"any"kind"is"sought" !oral,"written,"actions,"signs"and"other"means"
) A)LAWYER)SHALL)ADOPT)MEASURES) 2."from"a"professional"legal"adviser"in"his" of"communication"intended"to"be" Itandincludes files, records, letters
pleadings from the lawyer

REASON)FOR)THE)RULE) AGAINST)DISCLOSURES)OF)CLIENT’S)SECRETS) capacity"as"such" confidential"by"the"client" (until such time it is sent to its

recipient)

! encourage"full"disclosure"of"facts"to" “A"lawyer"shall"adopt"such"measures"as"may"be" 3."the"communications"relating"to"such" !no"particular"mode"required"for"the"privilege"

atty."and"place"unrestricted" required"to"prevent"those"whose"services"are" purpose" rule"to"attach"
utilized"by"him,"from"disclosing"or"using" 4."made"in"confidence"" "
confidence"in"him"in"matters"
confidences"or"secrets"of"the"clients.”" 5."by"the"client" PERSONS)ENTITLED)TO)CLAIM)PRIVILEGE)
affecting"his"rights"and"obligations" "
! preserve"the"confidential"and"trust" 6.are"at"his"instance"permanently"protected" ! generally"extends"to"the"atty,"his"
! employment"of"secretaries," 7."from"disclosure"by"himself"or"by"the"atty"
relation"between"atty"and"client" client"as"well"as"to"the"atty’s"
stenographers,"messengers,"clerks" 8."except"if"the"protection"is"waived"
) secretary,"stenographer,"or"clerk."
etc"is"allowed"and"client’s"secrets" "
A)LAWYER)SHALL)NOT)USE)CLIENT’S)SECRETS) ! interpreter"or"messenger"
learned"by"these"persons"In"the" ! the"person"from"whom"legal"advice"is"
WITHOUT)HIS)CONSENT) transmitting"the"communication"
performance"of"their"services"to"the" sought"must"be"an"atty.""
”"A"lawyer"shall"not,"to"the"disadvantage"of"his" ! experts"such"as"accountant,"physician"
lawyer"or"his"client"are"privileged" ! applies"if"person"poses"as"a"lawyer"
client,"use"information"acquired"in"the"course"of" etc"hired"either"by"client"or"atty"for"
communications" for"some"ulterior"purpose"and"client"
employment,"nor"shall"he"use"the"same"to"his"own" consultation"
advantage"or"that"of"a"third"person,"unless"the"
" confides"in"him" ! for"protection"of"client"
client"with"full"knowledge"of"the"circumstances" A)LAWYER)SHALL)AVOID)INDISCREET) ! communication"of"client"for"purpose" ! may"be"asserted"by"client’s"assignee,"
consents"thereto.”" CONVERSATION)ABOUT)CLIENT’S)AFFAIRS) other"than"on"account"of"the"atty! heir"or"legal"representative"
" “…even"with"members"of"his"family.”" client"relation"is"NOT"privileged" )
A)LAWYER)SHALL)NOT)GIVE)INFORMATION) ! may"result"in"prejudice"to"client"and" ! communication"must"be"for"a"lawful" APPLICATION)OF)RULE)
FROM)HIS)FILES) lessen"respect"due"to"the"legal" purpose"or"lawful"end" ! lawyer"may"be"compelled"to"disclose"
“"A"lawyer"shall"not,"without"the"written"consent" profession" ! client"who"asserts"the"existence"of" unprivileged"communication"but"he"
of"his"client,"give"information"from"his"files"to"an" ! " atty!client"relation"has"burden"of" cannot"volunteer"such"information"
outside"agency"seeking"such"information"for" A)LAWYER)SHALL)NOT)REVEAL)HIS)HAVING) proving"such"fact"
auditing,"statistical,"bookkeeping,"accounting,"
for"his"own"benefit"to"the"prejudice"
CONSULTED) "
data"processing,"or"any"similar"purpose.”" of"his"client"
"
CONFIDENTIALITY) "

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
 Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
A)LAWYER)SHALL)NOT)REVEAL)CLIENT’S)
CONFIDENCE)
“A"lawyer"shall"not"reveal"the"confidences"or"
secrets"of"his"client"except;"
(a)"When"authorized"by"the"client"after"
acquainting"him"of"the"consequences"of"the"
disclosure;"
(b)"When"required"by"law;"
(c)"When"necessary"to"collect"his"fees"or"to"defend"
himself,"his"employees"or"associates"or"by"judicial"
action.”"
" against"his"atty"or"by"refusing"to"pay"atty’s"
! lawyer"may"not"disclose"client’s"funds"to"
creditor"to"enable"attachment"of"such"
funds"
! lawyer"cannot"reveal"the"commission"of"a"
matrimonial"offence"committed"by"client"
contemplating"the"filing"for"legal"
separation"
! lawyer"who"acquires"knowledge"of"past"
wrongful"acts"of"a"corporate"client"may"
disclose"them"to"the"directors"but"not"to"
others"
! when"lawyer"discovers"fraud"committed"
by"client,"endeavour"to"rectify"it"by"
advising"client"and"informing"person"
injured""
! breach"of"duty"by"lawyer"(art"209"of"RPC)"
o prision"correccional"or"a"fine"
200!1000"pesos"
)
C.&EXCEPTIONS&TO&THE&RULE&ON&PRIVILEGE&
A"lawyer"shall"not"reveal"the"confidences"or"
secrets"of"his"client"except;"
(a)"When"authorized"by"the"client"after"
acquainting"him"of"the"consequences"of"the"
disclosure;"
Example would be not revealing
(b)"When"required"by"law;" the whereabouts of a client at large
(c)"When"necessary"to"collect"his"fees"or"to"
To justify the defend"himself,"his"employees"or"associates"
legal fees
being or"by"judicial"action."
collected
!"in"addition"to"these,"when"it"refers"to"the"
commission&of&a&contemplated&crime&or&
perpetuation&of&fraud&
&
CLIENT’S)WAIVER)OF)THE)PRIVILEGE)
!""only"client"can"waive"except:"
" >"when"the"person"to"be"examined"
the""
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
" atty’s"secretary,"stenographer"or"
clerk,""
" the"consent"of"the"atty"is"also"
necessary"
!"client"may"waive"personally""
!"or"through"counsel"except:"
>"controversy"involves"atty!client"
relation"as"in"cases"of"breach"of"
confidence"
!""client"waives"privilege"by"filing"a"complaint"
fees"
!""waives"cannot"be"made"partially"
!"partial"waiver"is"equivalent"to"a"waiver"in"
whole"
" present"one"and"the"prospective."
DISCLOSURE)TO)PROTECT)ATTY’S)RIGHTS)
! privilege"cannot"be"used"as"shield"for"
wrongdoing"nor"can"it"be"employed"
to"deny"a"lawyer"the"right"to"protect"
himself"against"abuse"by"the"client"or"
false"charges"by"third"persons"
! if"atty"is"accused"of"misconduct"by"his"
client,"he"may"disclose"the"truth"
necessary"only"to"protect"his"rights"
! avoid"any"disclosure"not"necessary"to"
protect"his"rights"
" • "A"lawyer"should"decline"professional"
*read"People"v"Sandiganbayan""p.%291"(275"
SCRA"505)"
& its"acceptance"will"involve"violation"of"
CHAPTER&X&
Lawyer’s&Duties&of&Fair&Dealings&
and&Avoiding&Conflict&of&Interests&
& while"in"the"government"service.&
A. FAIRNESS&IN&DEALING&WITH&CLIENT&
Duty&to&be&candid,&fair&and&loyal&in&all&
dealings&with&client,&generally&
• Canon&15&–&lawyer"shall"observe"
candor,"fairness"and"loyalty"in"all"
dealings"with"client."
• Generally,"the"relation"of"attorney"
and"client"is"strictly&personal&and&
highly&confidential&and&fiduciary.&
• Highly&Confidential&
o Trust""
o "Confidence"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• Fiduciary&
o Absolute"Integrity"&
o Undivided"Allegiance&
A&lawyer&shall&ascertain&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.%
• The"disclosure"is"more"for"the"
protection"of"the"lawyer"than"that"of"
the"client."%
• Concealment"of"facts"material"to"the"
employment"may"cause"his"client"to"
lose"confidence"in"him"and"may"even"
affect"hi"fee.%
• A"client"may"presume"from"an"
attorney’s"failure"to"disclose"matters"
material"to"his"employment"that"the"
attorney"has"no"interest"which"will"
interfere"with"his"devotion"to"the"
cause"confided"to"him."%
&
Duty&to&decline&employment&
employment"even"though"how"
attractive"the"fee"offered"may"be"if"
any"of"the"rules"of"legal"profession."&
• Lawyer"should"not"accept"
employment"as"an"advocate"in"any"
matter"in"which"he"had"intervened"
• Reason:"Necessity"that"
professional"integrity"and"public"
confidence"in"that"integrity"be"
maintained."&
• Lawyer"should"not"accept"
employment"the"nature"of"which"
might"easily"be"used"as"a"means"of"
advertising"his"professional"service"or"
his"skills."&
• While"there"is"no"statutory"restriction"
for"a"lawyer"to"be"an"advocate"and"a"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
witness"for"a"client"in"a"case,"the"
canons"of"the"profession"forbid"him"
from"acting"in"that"double"capacity"as"
he"will"find"it"difficult"to"disassociate"
his"relation"to"the"client"as"a"lawyer"
and"his"relation"to"the"litigant"as"a"
witness."&
• GR:"A"lawyer"shall"not"refuse"his"
services"to"the"needy.&
Exceptions:""
! He"is"not"in""a"position"to"carry"it"
out"effectively"or"competently"
! He"labors"under"a"conflict"of"
interest"between"him"and"
prospective"client"or"between"a"
A&lawyer&shall&preserve&the&secrets&of&a&
prospective&client&(even"if"such"client"does"
not"retain"the"lawyer"or"latter"declines"
employment)"
Rule%15.02%Lawyer%is%bound%by%the%rule%on%
privileged%communication%in%respect%of%
matters%disclosed%to%him%by%a%prospective%
client.%"
Reason:&"To"make"the"prospective"client"free"
to"discuss"whatever"he"wishes""with"the"
lawyer"without"fear"that"what"he"tells"the"
lawyer"will"not"be"divulged"nor"used"against"
him,"and"for"the"lawyer"to"be"equally"free"to"
obtain"information"from"the"prospective"
client.""
A&lawyer&may&act&as&mediator&
Rule%15.04%A%lawyer,%with%written%consent%of%
all%concerned,%may%act%as%a%mediator,%
conciliator%or%arbitrator%in%settling%disputes.%
• However,"a"lawyer"shall"not"act"as"
counsel"for"any"of"them,"otherwise"
the"rule"prohibiting"representation"of"
conflicting"interests"will"apply."%
&
B.&REPRESENTING&CONFLICTING&INTERESTS&
A&lawyer&shall&not&represent&conflicting&
interest&
Rule%15.03%A%lawyer%shall%not%represent%
conflicting%interest%except%by%written%consent%
of%all%concerned%given%after%full%disclosure%of%
the%facts.%
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

• The"rule"covers"not"only"cases"in" • It"is"improper"for"a"lawyer"to"appear" • For"this"reason,"it"is"improper"for"a" &

which"confidential"communications" as"counsel"for"one"party"against"the" lawyer"to"continue"representing"a" Where&client&knowingly&consent&&
have"been"confided"but"also"those"in" adverse"party"who"is"his"client"in"a" client"in"a"suit"against"a"party"even" • "Generally,"a"lawyer"may"at"a"certain"
which"no"confidence"has"been" related"suit,"as"a"lawyer"is"prohibited" with"the"clients"consent"after"a" stage"of"the"controversy"and"before"it"
bestowed"or"will"be"used."" from"representing"conflicting" lawyer"brings"a"suit"in"his"own"behalf" reaches"the"court"represent"
• Test"of"inconsistency"of"interest":" interest." against"the"same"defendant"if"it"is" conflicting"interest"with"the"express"
Whether"the"acceptance"of"a"new" • Even"though"the"opposing"clients," uncertain"whether"such"defendant" written"consent"of"all"parties"
client"will"prevent"an"attorney"from" after"full"disclosure"of"facts,"consent" will"be"able"to"satisfy"both"the" concerned"given"after"full"disclosure"
the"full"discharge"of"his"duty"of" to"the"lawyer’s"dual"representation," judgments."& of"the"facts."&
undivided"fidelity"and"loyalty"to"his" the"lawyer"when"his"clients"cannot" & • This"rule"is"only"applicable"when"one"
client"or"invite"suspicion"of" see"their"way"clear"to"settling"their" Rule&applicable&to&Law&Firms& client"is"a"former"client"and"not"when"
unfaithfulness"and"whether"the" controversy"amicably,"retire"from"the" • Where"a"lawyer"is"disqualified"or" both"clients"are"current/present"
acceptance"of"the"new"relation"will" case."" forbidden"from"appearing"as"counsel" clients"in"the"case,"where"each"
require"the"attorney"to"do"anything" & in"a"case"because"of"conflicting"of" asserts"an"interest"adverse"to"that"of"
which"will"injuriously"affect"his"first" Opposing&clients&in&unrelated&suits& interests,"the"law"firm"of"which"he"is" the"other."&
client"in"any"matter"in"which"he" • A"lawyer"cannot"appear"as"counsel" a"member"as"well"as"any"member," • In"this"situation"the"lawyer"cannot"
represents."" for"one"party"against"the"adverse" associate,"or"assistant"therein"is" represent"both"clients"at"the"same"
Reason&for&the&prohibition:&"Relationship"of"a" party"who"is"his"client"in"another" similarly"disqualified"from"so"acting."" time,"even"if"they"give"written"
lawyer"and"a"client"is"one"of"trust"and" totally"unrelated"action.& • It"is"corollary"to"the"rule"that"the" consent","for"it"is"not"only"awkward"
confidence"of"the"highest"degree."" • The"lawyer"in"that"situation"will"not" employment"of"one"member"of"a"law" for"him"to"sustain"the"claim"of"one"
" be"able"to"pursue"with"vigor"and"zeal" firm"is"considered"as"an"employment" and"oppose"the"same"in"favor"of"the"
Effect&of&termination&of&relation& the"client"claims"against"the"other"to" of"the"law"firm"and"that"the" other"but"it"is"also"highly"unethical."&
• "The"termination"of"the"relation" properly"represent"the"latter"in"the" employment"of"a"law"firm"is" • A"lawyer"may"not"represent"
provides"no"justification"for"a"lawyer" unrelated"action;"or"if"he"can"do"so"it" equivalent"to"the"retainer"of"the" conflicting"interest"even"though"
to"represent"an"interest"adverse"to"or" would"invite"suspicion.& members"thereof."" parties"agree"to"dual"representation"
in"conflict"with"the"former"client."& & • A"lawyer"may"not,"therefore," where"conflict"is"between"the"
Reason:&"Clients"confidence"once"reposed" New&client&against&former&client& represent"a"client"whose"interest"are" attorney’s"interest"and"that"of"client,"
cannot"be"divested"by"the"expiration"of"the" • A"lawyer"is"forbidden"from" adverse"to"those"of"the"employer"of"a" because"the"lawyer"should"yield"to"
professional"employment." representing"a"subsequent"client" member"of"the"firm."" client’s"interest,"or"between"a"private"
" against"a"former"client"only"when"the" & client’s"interest"and"that"of"the"
Materiality&of&confidential&information& subject"matter"of"the"preset"case"is" Limitation&on&General&Rule& government"by"reason"of"public"
• The"bare"attorney!client"relationship" related,"directly"or"indirectly,"to"the" • GR:&"Lawyer"may"not"represent" policy"and"interest."&
with"a"client"precludes"a"lawyer"from" subject"matter"of"the"previous" conflicting"interests." "
accepting"professional"employment" litigation"in"which"he"appeared"for" • Limitations:"" "
from"the"clients"adversary"in"the" the"former"client."& o No"conflict"of"interest"exists" Where&no&true&attorneyTclient&relationship&
same"case"or"difference"case"but" " o Client"knowingly"consents"to" exists&
related"action.& Conflicting&duties&& the"dual"representation"" &
& • "A"lawyer"may"not"undertake"to" o No"true"attorney!client" • "The"rule"forbidding"a"lawyer"from"
Foundation&of,&&&reason&for,&the&rule& discharge"conflicting"duties"any"more" relationship"is"attendant" representing"an"interest"adverse"to"
• The"stern"rule"against"representation" than"may"he"represent"antagonistic" & that"of"the"former"client"assumes,"as"
of"conflicting"interests"is"founded"on" interests.& Where&no&conflicting&interest&exists& a"general"proposition,"that"a"true"
principles"of"Public"Policy"&"Good" & • A"lawyer"may"properly"represent"a" client!attorney"relationship"existed."&
Taste."& Attorneys&interest&versus&client’s&interest& subsequent"client"against"a"former" • Consequently"the"absence"of"such"
" • "A"lawyer"should"not"put"himself"in"a" client"in"a"matter"which"is"not,"in"any" relationship"either"with"the"lawyer"of"
& position"where"self!interest"tempts" way,"related"to"the"previous" law"firm"of"which"he"is"a"member"
Opposing&clients&in&same&or&related&suits& him"to"do"less"than"his"best"for"his" controversy"in"which"he"appeared"for" makes"the"prohibition"inapplicable.&
client."& the"former"client.""

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• A"public"prosecutor"may"ethically"
sustain"an"information"against"an"
accused"who"is"the"complainant"in"
another"information"filed"by"the"
same"prosecutor"because"the"latter"
represents"not"the"private"
complainants"but"the"people"of"the"
Philippines"as"the"real"offended"
party."&
• The"lawyer’s"secretary,"stenographer,"
or"clerk"who,"in"such"capacity,"has"
acquired"confidential"information"
from"the"attorney’s"client"may"not"
accept"employment"or"after"
becoming"a"member"of"the"bar,"
represent"an"interest"adverse"to"that"
of"the"lawyer’s"client.&
• The"general"prohibition"applies"to"
such"person,"notwithstanding"the"
absence"of"attorney"client"
relationship"at"the"time"the"
confidential"information"was"
acquired"because"of"the"nature"of"the"
work."&
" • GR:"Negligence"or"mistake"of"the"
Effects&of&representation&of&Conflicting&
Interest&
1. Subjects"the"lawyer"to"disciplinary"
action.&
2. The"attorney"may"be"disqualified"
from"representing"the"new"client"
upon"petition"of"his"former"client."&
3. Where"the"representation"of"
conflicting"interest"is"unknown"and"
works"prejudice"to"the"new"client,"
the"judgment"against"the"new"client"
may"on"that"ground,"set"aside.&
4. Lawyers"right"to"be"paid"for"his"
services"rendered"in"favor"of"the"
former"client"may"be"affected"only"if"
the"two"matters"are"related"and"the"
former"client"objected"to"the"
representation."&
& agency"and"the"general"rules"of"
CHAPTER&XI&
Authority&of&Attorney&
&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
A. IN&GENERAL&
& court"is,"however,"more"than"an"
Power&to&bind&the&client,&generally&
• "A"lawyer"must"perform"his"duties"to"
his"client"within"the"scope"of"his"
authority.&
• Within"hi"scope"of"authority,"a"lawyer"
may"bind"the"client"for"any"acts"
performed"by"him"in"pursuant"
thereto.&
& all"steps"necessary"to"collect"it,"such"
&Two&Types&of&Lawyer’s&Authority&
1. General"and"Implied"Authority&
• Professional"employment"of"an"
attorney"confers"upon"him"this"
authority"to"do"on"behalf"of"the"
client"such"acts"as"are"necessary"
or"incidental"to"the"prosecution"
or"management"of"the"suit"
entrusted"to"him."&
• Refers"to"ordinary"procedure."&
2. Special"Authority"
• Authority"granted"by"the"client"to"
bind"him"on"substantial"matter.""
counsel"binds"the"client,"based"on"the"
rule"that"any"act"done"by"the"lawyer"
within"the"scope"of"his"authority"
binds"the"client.""
• Employment"by"itself"confers"upon"
the"lawyer"no"special"authority"to"
bind"the"client"upon"substantial"
matters.""
• The"cause"of"action"or"claim"which"is"
the"subject"matter"of"the"litigation"
are"substantial"matters"which"the"
lawyer"cannot"impair,"novate,"
compromise"and"settle"without"
clients"consent.""
" an"agent"or"officer"in"this"country"
Attorney&as&agent&of&client&&
• The"relationship"of"attorney"and"
client"is"in"many"respect"one"of"
ordinary"agency"apply"to"such"
relation."&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• An"attorney"representing"a"client"in"
agent"and"has"powers"different"from"
and"superior"to"those"of"an"ordinary"
agent,"he"being"an"officer"of"the"
court."&
" him"by"the"client"to"another"lawyer"
Collection&of&Claims&
• "An"attorney"retained"by"a"creditor"to"
enforce"a"claim"has"authority"to"take"
as"sending"a"letter"of"demand"
requiring"payment"or"filing"the"
corresponding"action"in"court"if"the"
debtor"refuses"to"pay."&
• A"lawyer"without"special"authority"
discharge"his"clients"claim"for"less"
than"the"amount"thereof"or"for"the"
full"amount"in"kind."&
" express"agreement"with"the"client"to"
Acceptance&of&Service&of&Summons&
• A"lawyer"has"no"power"to"receive"or"
accept"on"behalf"of"his"client"the"
service"of"summon"in"his"bare"
professional"capacity.""&
• He"is"not"an"agent"within"the"
meaning"of"the"rule"authorizing"
service"of"summons"upon"an"agent"of"
corporation.&
• Exception:""Lawyer"may"be"regarded"
as"an"agent"upon"whom"service"of"
summons"may"be"made"and"binding"
to"the"latter,"where"there"are"
circumstances"showing"that"he"has"
been"conferred"or"exercising"
additional"powers"that"what"is"
implied"from"the"professional"
employment."&
• Thus,"a"foreign"corporation"without"
other"than"its"counsel"who"is"also"the"
sole"representative"for"setting"claims,"
the"service"made"upon"such"counsel"
binds"the"foreign"corporation"
because"being"the"sole"
representative,"it"is"presumed"that"he"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
has"communicated"to"his"client"the"
service"of"process"upon"him.&
&
Delegation&of&Authority&
• The"lawyer"cannot"delegate"the"
confidence"and"authority"reposed"to"
because"of"the"fiduciary"relationship.&
Exception:""Consent"of"the"client,"express"or"
implied."
• Client"may"also"ratify"the"
unauthorized"delegation.&
"
Delegation&of&legal&work&
• A"lawyer"has"the"implied"power"to"
delegate"to"his"associate"or"assistant"
attorney"under"his"supervision"and"
responsibility,"part"or"whole"of"his"
legal"work,"in"the"absence"of"an"
the"contrary.&
• He"may"authorize"another"lawyer"on"
his"behalf"to"appear"in"court"and"such"
lawyer"is"presumed"to"be"
empowered"to"act"as"such.&
• The"fact"of"the"delegation"of"legal"
work"does"not"create"an"attorney!
client"relationship"between"the"other"
lawyer"and"the"client."&
• A"lawyer"may"not"however"delegate"
to"a"layman"any"work"which"involves"
the"study"of"law"or"its"application"
such"as"computation"&"
determination"of"period"to"appeal."&
"
B. AUTHORITY&TO&APPEAR&
"
Generally&
• A"lawyer"without"being"retained"or"
authorized"by"the"court"may"not"
represent"another"in"court."&
• GR:"The"authority"of"the"attorney"
continues"until"the"termination"of"the"
litigation.&
Exception:"Unless"sooner"revoked"or"
withdrawn"by"the"client.""
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• No"written"authority"from"the"client"
is"required"to"enable"a"lawyer"to"
represent"him"in"court."&
" special"appearance."&
Appearance&
• Coming"into"court"as"party"either"as"a"
plaintiff"or"as"a"defendant"and"asking"
relief"therefrom.&
• Appearance"by"counsel"is"a"voluntary"
submission"to"the"court’s"jurisdiction"
by"a"lawyer"professionally"engaged"to"
represent"the"cause"of"another"such"
as"by"actual"physical"appearance"or"
filing"of"a"pleading."&
• The"orderly"conduct"of"judicial"
proceedings"requires"the"counsel"for"
a"party"to"file"with"the"court"his"
formal"written"appearance"in"the"
case."&
• Without"such"formal"appearance,"
counsel"is"not"generally"entitled"to"
notice."&
" first"attorney"has"been"withdrawn,"it"
General&&&Special&Appearance&
• General"Appearance&
• Any"action"on"the"part"of"the"
defendant"or"his"counsel,"except"
to"object"solely"on"the"
jurisdiction"of"the"court"over"the"
person"of"the"defendant,"
constitutes"such"appearance."&
• Amounts"to"voluntary"submission"
to"the"court’s"jurisdiction."&
• Special"Appearance&
• One"which"seeks"to"contest"solely"
the"jurisdiction"of"the"court"over"
the"person"of"the"defendant"and"
which"seeks"no"relief"other"than"
the"dismissal"of"the"action"
exclusively"on"that"ground.&
• Does"not"operate"as"voluntary"
submission."&
• It"also"refers"to"the"failure"of"a"
counsel"to"appear,"another"
lawyer"appears"on"his"behalf"for"
a"particular"purpose.&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• As"amended"by"the"1997"Rules"of"
Procedure,"there"is"no"longer"a"
distinction"between"general"and"
• Now,"defendant"may"file"a"motion"to"
dismiss"not"only"on"the"ground"of"
lack"of"jurisdiction"over"his"person"
but"also"on"some"other"grounds"
without"waiving"the"jurisdiction"of"
the"court"over"his"person.&
" • If"the"unauthorized"appearance"is"
Presumption&of&Authority&
• "An"attorney"is"presumed"to"be"
properly"authorized"to"represent"any"
cause"in"which"he"appears"in"all"stage"
of"the"litigation"and"no"written"
authority"is"required"to"authorize"him"
to"appear."&
• The"fact"that"a"second"attorney"has"
entered"his"appearance"on"behalf"of"
a"litigant"does"not"authorize"a"
presumption"that"the"authority"of"the"
merely"means"that"the"litigant"has"
employed"an"additional"counsel.&
• This"presumption"only"applies"to"
ordinary"procedures"and"not"with"
respect"to"substantial"matters."&
" concurrence"of"the"requirements:&
Presumption&disputable&
• The"presumption"that"an"attorney"is"
duly"authorized"to"manage"a"
litigation"is"a"disputable"one"and"may"
be"overcome"by"a"clear"evidence"to"
the"contrary."&
" aware"of"the"representation"by"
Disclosure&of&Authority&
• Notwithstanding"the"fact"that"an"
attorney"is"presumed"to"be"duly"
authorized"to"represent"a"party,"the"
presiding"judge"may"On"motion"of"
either"party&and"on"reasonable"
grounds"being"shown"require"him"to"
produce"or"prove"his"authority"and"to"
disclose"whenever"pertinent"to"the"
issue"the"name"of"the"person"who"
employed"him.&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&
• Trial"&"Appellate"court,"motu"proprio" • Generally,"a"client"may"waive,"
and"on"valid"grounds,"may"also" surrender,"dismiss"or"compromise"
require"him"to"show"authority.& any"of"his"rights"involved"in"the"
" litigation"in"favor"of"the"other"party"
Effects&of&unauthorized&appearance& even"without"or"against"the"consent"
• A"party"who"has"not"authorized"the" of"his"attorney"
lawyer"to"represent"him"is"not"bound" • An"attorney"can"bind"his"client"as"to"
by"the"lawyer’s"appearance"in"the" such"substantial"matters"only"with"his"
case"nor"the"judgment"rendered" clients"express"or"implied"consent."""
therein."& Reason:"Designed"to"safeguard"the"client’s"
interest"against"malicious"actions"of"his"
willful"the"lawyer""may"be"cited"for" lawyer.""
contempt"and"be"disciplined"for" "
professional"conduct."& Determination&of&Procedural&Questions&
" • "A"lawyer"who"has"been"retained"to"
Ratification&of&aunathorized&Appearance& prosecute"or"defend"an"action"has"an"
• Unauthorized"appearance"of"an" implied"authority"to"determine"what"
attorney"may"be"ratified"by"party" procedural"steps"to"take"which,"in"his"
expressly"or"impliedly.& judgment"will"best"serve"the"interest"
• Ratification"retroacts"to"the"date"of" of"his"client,&
the"attorney’s"first"appearance"and" • Such"as"what"pleadings"hould"be"
validates"his"actions."& filed,"where"&"when"to"file"it"and"
• Express"ratification& what"defenses"to"raise."&
• Categorical"assertion"by"the" "
client"that"he"has"authorized"the" Making&admissions&
attorney"of"that"he"is"confirming" • The"authority"of"the"lawyer"to"
the"authority"to"represent"him.& manage"the"clients"cause"includes"
• Implied"ratification&requires"the" the"power"to"make"admission"of"facts"
for"the"purpose"of"litigation.""
1. That"the"party"represented"by" • No"need"of"special"authority"from"
lawyer"is"of"age"or"competent," client."
otherwise,"he"must"have"a"duly" • It"may"be"express"or"implied.""
appointed"guardian"or"legal" • Admissions"made"by"counsel"are"
representative."& imputed"to"and"conclusive"against"
2. That"the"party"or"guardian"is" the"client""except"if""there"is"a"
showing"of"palpable"mistake."
the"lawyer.& • GR:"Authority"to"make"admissions"is"
3. The"he"fails"to"promptly" limited"to"the"action"which"he"is"
repudiate"the"assumed"authority."& retained;"Admissions"made"by"him"on"
• The"absence"of"any"of"the"requisites" behalf"of"a"client"in"one"case"are"not"
renders"the"ratification"inoperative."& binding"upon"the"same"client"in"
& another"suit.""
C. CONDUCT&OF&LITIGATION& Exception:"If"lawyer"has"been"expressly"
" authorized"to"make"such"admission"or"if"the"2"
Generally& cases"are"related.""
" • Admission"which"operated"as"a"
waiver"or"surrender"of"the"clients"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
cause"is"beyond"the"scope"of"the"
lawyer’s"authority.""
" authority"from"his"client."&
Entering&into&stipulations&
• A"lawyer"has"an"implied"authority"to"
agree"or"stipulate"upon"the"facts"
involved"in"the"litigation"even"
without"prior"knowledge"or"consent"
of"his"client."&
• GR:"Such"Stipulations"are"binding"to"
the"client.&
Exceptions:"
1. If"he"is"allowed"to"withdraw"
therefrom"with"the"consent"of"
the"adverse"party."&
2. When"the"court,"upon"showing"of"
palpable"mistake,"permits"him"to"
withdraw&
3. When"what"the"lawyer"agreed"is"
that"a"witness,"if"presented"in"
court,"would"testify"as"stated"by"
the"adverse"party."&
" • Client"may"ratify"the"unauthorized"
Agreement&as&to&what&witness&would&testify&
• Agreement"as"to"the"truth"of"what"a"
witness","if"presented,"would"testify".&
• Generally"binding"to"the"client&
• Agreement"as"to"what"a"witness"
would"testify"as"that"stated"by"the"
adverse"party".&
• Not"binding."&
• It"deprives"the"court"of"the"
benefit"of"reflection"as"to"the"
intelligence"and"veracity"of"the"
witness"which"can"only"arise"
through"the"process"of"
examination"in"court.&
• &
&Compromise&of&cause&of&action&
• Compromise"&
o Contract"whereby"the"
parties,"by"making"reciprocal"
concessions,"avoid"litigation"
or"put"an"end"to"one"already"
commenced."&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• Lawyer"is"not"authorized"to"enter"into"
compromise"without"special"
• The"approval"by"the"court"of"the"
compromise"is"not"essential"to"the"
validity"except"if"it"is"a"class"suit"or"
executed"on"behalf"of"a"minor"or"
incompetent"or"an"absentee."&
" action&
Effect&of&Want&of&Special&Authority&
• "A"compromise"by"the"lawyer"without"
special"authority"by"the"client"does"
not"bind"the"latter."&
• It"amounts"to"a"fraud"against"the"
client."&
• A"compromise"entered"into"without"
such"authority"is"an"unenforceable"
contract."&
• Judgment"based"on"such"compromise"
may"be"set"aside"or"reopened."&
" • The"client’s"right"to"settle"his"actions"
Ratification&of&unauthorized&compromise&
compromise,"expressly"or"impliedy."&
• Implied"ratification"may"take"many"
forms"such"as"silence"or"acquiescence"
by"acts"showing"approval."&
" in"a"manner"that"is"contrary"to"law,"
Confession&of&Judgment&
• A"confession"of"judgment"stands"on"
the"same"footing"as"a"compromise."
• Hence,"a"lawyer"may"not"confess"
judgment"against"his"client"except"
with"the"knowledge"and"at"the"
instance"of"the"client.""
" jurisdiction"of"courts.&
Dismissal&of&action&or&withdrawal&of&appeal&
• A"lawyer"has"no"authority"to"dismiss"
his"client’s"case"with"prejudice"or"an"
adjudication"upon"the"merits"which"
constitutes"res"judicata,""even"if"he"
does"not"believe"that"his"client"is"
entitled"to"prevail"in"the"action.&
• He"has"however"an"implied"power"to"
dismiss"the"client’s"case"without"
prejudice,"that"step"not"being"a"legal"
obstacle"to"refilling,"whenever"he"is"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
convinced"that"it"is"to"the"client’s"
interest."&
• He"has"no"implied"power"to"waive"his"
client’s"right"to"appeal"nor"withdraw"
a"pending"without"a"special"authority,"
but"it"may"be"ratified"by"the"client."&
" &
&Client’s&right&to&dismiss&or&compromise&
• The"right"of"a"lawyer"for"
compensation"for"services"rendered"
cannot"have"a"higher"standing"than"
the"right"of"the"client"to"dismiss"his"
cause"or"settle"his"litigation."&
• Nor"can"such"right"of"counsel"work"as"
an"obstacle"to"the"approval"by"the"
court"of"the"settlement"effected"by"
client."&
" • The"doctrine"applies"whether"or"not"
&Limitations&on&client’s&right&
is"not"absolute."&
• The"dismissal"or"compromise"by"the"
client"of"his"cause"may"not"defeat"the"
attorney’s"right"to"just"compensation"
for"his"services."&
• The"client"cannot"exercise"such"right"
public"policy,"order"morals"or"good"
customs"or"prejudicial"to"third"person"
with"a"right"recognized"by"law."&
• He"cannot"compromise"civil"status."
Validity"of"marriage"or"legal"
separation,"future"legitime,"ground"of"
legal"separation,"future"support"and"
" • Lawyer"to"whom"the"service"of"notice"
Authority&after&judgment&
• The"power"of"attorney"after"
judgment"is"more"restricted."&
• In"the"absence"of"a"greater"authority"
expressly"conferred,"an"attorney"has"
only"the"power"to"take"such"steps"as"
are"necessary"to"make"the"judgment"
fully"effective"or"to"sustain"it,"or"to"
relieve"his"client"from"its"effects"if"it"is"
adverse."&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• An"attorney"has"authority"to"bind"his"
client""in"taking"an"appeal,"it"being"a"
procedural"measure"to"relieve"the"
client"to"adverse"effect"of"judgment.&
"
D. MATTERS&IMPUTED&TO&CLIENT&
Knowledge&acquired&by&attorney&
• Knowledge"acquired"by"attorney"
during"the"time"that"he"is"acting"
within"the"scope"of"his"authority"is"
imputed"to"the"client."&
• Doctrine"of"Imputed"Knowledge"is"
based"on"the"assumption"that"the"
attorney,"who"has"notice"of"matters"
affecting"his"client,"communicated"
the"same"to"his"principal"in"the"
course"of"employment."&
he"actually"communicated"it"to"his"
client,"the"lawyer"and"his"client"being"
in"legal"contemplation,"one"juridical"
person."&
"
Notice&to&counsel&as&notice&to&client&
• The"law"requires"that"service"of"any"
written"notice"upon"a"party"who"has"
appeared"by"attorney/s"shall"be"
made"upon"his"attorney"or"one"of"
them,"unless"service"upon"the"party"
himself"is"ordered"by"the"court."&
• A"notice"sent"to"party"who"has"
appeared"by"counsel"is"not"a"notice"in"
law."&
• Purpose:"Maintain"a"uniform"
procedure.&
is"to"be"made"refers"to"the"counsel"of"
record"or"one"who"in"writing"has"
entered"a"formal"appearance."&
• Where"no"notice"of"withdrawal"or"
substitution"of"counsel"is"shown,"
notice"to"counsel"of"record"is"for"all"
purposes"notice"to"client."&
• The"right"to"be"notified"through"
counsel"may"be"waived"either"by"
attorney"or"his"client.&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
& 1. "Personal"Service"&
Notice&to&one&as&notice&to&other&counsels;&
Exceptions&
• If"a"party"appears"by"2"or"more"
counsel"of"record,"notice"to"one"of"
the,"is"notice"to"others"as"well"as"to"
the"client,"even"though"the"one"upon"
whom"the"service"is"made"in"only"a"
deputy"of"the"other."&
• The"Solicitor"General"(SG)"is"the"
lawyer"of"the"Republic"and"its"officials"
sued"in"their"official"capacities."&
• When"the"SG"has"deputized"
government"lawyer,"he"remains"the"
principal"counsel"and"service"of"
notice"on"him"of"legal"processes"and"
not"on"the"deputized"lawyers"is"
decisive.&
• Notice"to"such"deputized"lawyers"is"
not"binding&
• However,"if"an"agency"of"the"
government"appears"by"its"own"
internal"counsel,"not"as"a"deputized"
lawyer"by"the"SG,"notice"to"such"
counsel"is"deemed"notice"to"SG."&
• EXCEPTIONS&to&the&rules:&
1. Either"by"agreement"or"proper"
manifestation"one"of"the"lawyers"
is"expressly"designated"as"one"to"
whom"service"is"to"be"made."&
2. Instances"when"it"is"admittedly"
clear"that"one"is"the"leading"
counsel"and"the"rest"are"mere"
helpers,"as"when"the"adverse"
party"and"the"court"consider"one"
of"the"lawyers"as"the"principal"
counsel."&
" • Instances"where"mistakes"are"binding"
Exceptions&to&rule&that&notice&to&counsel&is&
notice&to&client&
1. Strict"application"might"foster"
dangerous"collusion"to"the"detriment"
of"justice.""
2. If"service"upon"the"party"himself"is"
ordered"by"the"court.""
" asking"for"postponement&
Mode&of&Service&of&Notice&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• Completed"upon"actual"delivery&
2. Ordinary"Mail&
• Completed"upon"expiration"of"10"
days"after"mailing,"unless"court"
otherwise"provides."&
3. Registered"Mail&
• Completed"upon"actual""receipt"
by"the"addressee"or"after"5"days"
from""the"date"he"received"the"
first"notice"of"postmaster"
whichever"is"earlier.&
" outright"deprivation"of"the"
Personal&service&preferred;&explanation&
required&
• Sec.11,"Rul2"13"or"ROC"“"Whenever"
practicable,"the"service"and"filing"of"
pleadings"and"other"papers"shall"be"
done"personally."Except"with"respect"
to"papers"emanating"from"the"court,"
a"resort"to"other"modes"must"be"
accompanied"by"a"written"
explanation"why"the"service"or"filing"
was"not"done"personally."A"violation"
of"this"may"be"cause"to"consider"the"
paper"as"not"filed."&
" to"clients"conviction&
Mistake&or&negligence&of&counsel&binding&
upon&client&
• "GR:"Client"is"bound"by"his"counsel’s"
conduct,"negligence"and"mistake"in"
handling"the"case.&
• The"mistake"of"counsel"in"the"
conduct"of"the"proceedings"as"a"
result"of"his"ignorance,"inexperience"
or"incompetence"does"not"constitute"
a"ground"for"a"new"trial."&
to"client:&
o Failure"to"file"responsive"
pleading"within"reglementary"
period"&
o Failure"to"appear"at"the"
scheduled"hearing"due"to"
another"engagement"without"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&
o Failure"to"present"additional" CHAPTER&XII&
evidence"and"submitting"the"
case"on"evidence"already"
TERMINATION&OF&ATTORNEY’S&
adduced& AUTHORITY&AND&CHANGE&OF&
o Failure"to"file"appellant’s" COUNSEL&
brief"due"to"political"activities"& &
o Failure"to"notify"his"client" A.&Termination&of&Counsel’s&Authority&
regarding"an"adverse" &
judgment.& GENERALLY:&
& The"relation"of"atty"and"client"may"be"
• Exceptions:& terminated"by:"
1. Adherence"thereto""will"result"to" ! the"client"
! the"lawyer"
client’s"liberty"or"property& ! the"court"
2. Interests"of"justice"so"require& ! reason"beyond"the"control"of"the"
3. Gross"or"palpable"mistake"or" parties"
negligence"of"the"counsel" A"client"has"an"absolute"right"to"discharge"his"
depriving"the"client"of"due" atty"at"any"time"with"or"without"cause"or"
process"and"law."& even"against"consent."The"existence"of"just"
" cause"is"only"important"in"determining"the"
& right"of"the"atty"to"a"just"compensation."The"
• Instances"of"gross/palpable"mistake:& right"of"the"client"to"terminate"the"retainer"is"
o Lawyer"to"attend"hearing"of" an"implied"term"in"every"professional"
criminal"case,"his"failure"to" employment."
advise"his"client"that"he"was" "
going"abroad"which"resulted" LIMITATIONS&ON&CLIENT’S&RIGHT&
! The"discharge"or"substitution"of"
o Counsel’s"erroneous" an"atty"without"just"cause"does"
contrived"strategy"which" not"negate"his"right"to"full"
prevented"the"accused"from" payment"of"compensation"as"
presenting"an"important" agreed"in"writing"or"in"the"
evidence,"which"if"presented" absence"of"a"retainer,"to"a"
would"possibly"result"to"his" reasonable"amount"based"on"
acquittal,"even"if"such" quantum%meruit"
judgment"has"become"final.& "
o Failure"to"counsel"to"file"the" NECESSITY&OF&NOTICE&OF&DISCHARGE&
appellants"brief"without" ! as"between"client"and"his"atty:"no"
cause"attributable"to"client," notice"required;"any"act"of"the"
which"resulted"to"his" client"indicating"purpose"to"
conviction& terminate"the"relation"is"
o Failure"of"counsel"to"appear" sufficient"
in"the"hearing"which"resulted" ! however"appearance"of"another"
to"the"accused’s"conviction& counsel"to"file"a"motion"to"
" dismiss"or"other"pleading"does"
" not"operate"as"an"implied"
" revocation"of"the"authority"of"the"
" original"lawyer"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
! as"between"the"court"and"the"
party:"there"must"be"notice"of"
discharge"or"a"manifestation"
clearly"indicating"that"purpose"
filed"with"the"court"and"a"copy"
served"on"adverse"party"
! atty"must"file"a"notice"of"
withdrawal""
! without"such"notice"any"process"
served"on"original"counsel"is"
binding"upon"the"party"
" conduct"in"connection"
EFFECT&OF&DISCHARGE&
! authority"of"atty"to"represent"
ceases&
! however"there"are"some"cases"
when"the"atty"may"be"required"
by"the"court"to"continue"
representation"to"prevent"failure"
or"miscarriage"of"justice&
& o due"to"mental"or"physical"
DEATH&OR&INCAPACITY&OF&CLIENT&
! terminates"the"relation"between"
atty"and"client,"hence"atty"may"
not"represent"the"client"in"court"
unless"he"is"retained"by"the"
administrator"or"heirs"of"the"
client’s"estate"or"the"client’s"
guardian"(if"client"becomes"
incapacitated"or"incompetent"
during"the"pendency"of"the"case)&
! it"is"the"duty"of"the"atty"to"inform"
the"court"of"the"client’s"death"or"
incapacity"and"to"give"the"name"
of"the"administrator,"executor"or"
the"guardian"as"the"case"may"be&
& 1."If"without"client’s"consent,"file"petition"for"
LAWYER&MAY&WITHDRAW&ONLY&FOR&A&
GOOD&CAUSE&
! atty"may"withdraw"before"the"
final"judgment"with"the"client’s"
written"consent"or"the"court’s"
approval"of"his"petition"to"
withdraw"
! approval"of"court"not"necessary"if"
withdrawal"is"with"conformity"of"
client"and"is"accompanied"with"
the"appearance"of"new"counsel,"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
however"if"no"new"counsel"has"
entered"appearance"court"may"
require"the"atty’s"withdrawal"in"
abeyance"until"another"lawyer"
appears"for"the"party"
! atty"may"withdraw"without"
client’s"consent"but"must"be"with"
approval"of"the"court"and"only"for"
a"good"cause"namely:"
o client"pursues"illegal"or"
immoral"course"of"
with"the"case"he"is"
handling"
o client"insists"the"lawyer"
pursue"conduct"violative"
of"the"canons"and"ethics"
o inability"to"work"with"co!
counsel"will"not"promote"
interest"of"the"client"
incapacity"
o client"deliberately&fails"to"
pay"fee"for"services"or"
comply"with"the"retainer"
agreement"
o lawyer"is"elected"or"
appointed"to"a"public"
office"
o other"similar"causes"(i.e."
client"stops"contact,"
client"refuses"
cooperation)"
" ! verbal"substitution"not"allowed"
PROCEDURE&FOR&WITHDRAWAL&
" which"does"not"comply"with"the"
withdrawal"in"court."
2."Serve"copy"of"the"petition"upon"client"and"
the"adverse"party"at"least"3"days"before"the"
date"set"for"hearing.""
3."Present"the"petition"in"advance"of"the"trial"
of"the"action"to"allow"his"client"to"secure"the"
services"of"another"lawyer."
4."The"court"may"grant"or"deny"depending"on"
circumstances."
5."The"lawyer"must"still"appear"on"the"date"of"
hearing"until"there"is"a"withdraw"of"record."
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&
" counsel"before"entering"his"
! lawyer"has"no"right"to"presume" appearance"
that"his"petition"will"be"granted." &
he"remains"counsel"of"record"
CHAPTER&XIII&
until"his"petition"is"approved"
& &COMPENSATION&OF&ATTORNEY&
DEATH&OF&ATTY& &
! terminates"atty!client" A. RIGHT&TO&ATTORNEY’S&FEES&
relationship& &
! death"of"a"partner"in"a"law"firm" Generally&
does"not"severe"the"professional" • Two&concepts&of&Attorney’s&Fees&
employment"between"law"firm" o Ordinary"Concept&
and"the"client,"the"remaining" • Reasonable"compensation"paid"
partners"continue"to"assume" to"a"lawyer"by"his"client"for"the"
professional"responsibility& legal"services"he"has"rendered"
& the"latter."&
ACCEPTANCE&OF&INCOMPATIBLE&OFFICE& o Second"Concept&
! terminates"atty!client" • Amount"of"damages"which"the"
relationship" court"may"award"to"be"paid"by"
! notice"must"be"given"to"the"court" the"losing"party"to"the"prevailing"
because"it"will"not"take"judicial" party"&
notice"of"the"same,"without"such" ! The"award"of"
notice,"process"served"upon"such" damages"belong"to"
counsel"is"still"binding"on"client" the"client,"unless"the"
" lawyer"&"the"client"
B.&CHANGE&OR&SUBSTITUTION&OF&COUNSEL& have"agreed"that"
REQUIREMENTS:& whatever"attorneys"
a."written"application"for"substation" fee"awarded"by"the"
b."written"consent"of"client" court"when"the"client"
c."written"consent"of"atty"to"be"substituted" prevails"in"the"action"
d."proof"of"service"of"notice"of"the"application" shall"belong"to"the"
upon"atty"to"be"substituted" lawyer"as"part"of"his"
" compensation.&
• The"rule"that"the"practice"of"law"is"a"
! defective"substitution"or"one" profession"and"not"a"money!making"
trade"does"not"operate"as"to"deny"
requirement"will"not"terminate" the"lawyer"the"right"to"attorney’s"
the"original"counsel’s"authority" fees"for"his"professional"service."&
but"will"still"recognize"the" • He"has"a"right"to"have"and"recover"
appearance"of"the"new"counsel" from"his"client"a""fair"and"reasonable"
(both"will"be"considered"counsel" compensation"for"his"services,"except"&
of"record)" 1."where"he"has"agreed"to"render"his"services"
! client"may"employ"as"many" gratuitously"or""
counsel"as"he"pleases"but" 2.&&he&has"been"appointed"as"counsel"de"
professional"courtesy"requires" officio."
that"new"counsel"should" • The"compensation"of"a"lawyer"should"
communicate"with"the"original" be"a"mere"incident"of"the"practice"of"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
law,"the"primary"purpose"of"which"is"
to"render"public"service."&
" fees"stipulated"are"found"
Right&to&protection&of&counsel’s&fees&
• A"lawyer"is"much"entitled"to"judicial"
protection"against"injustice,"
imposition"or"fraud"on"the"part"of"his"
client"as"his"client"on"the"part"of"his"
counsel."&
• The"duty"of"the"court"is"not"alone"to"
see"that"a"lawyer"acts"in"proper"and"
lawful"manner,"it"is"also"its"duty"to"
see"that"lawyer"is"paid"for"his"
services."&
Requisites&for&right&to&accrue:&
1. Existence"of"Attorney!client"
relationship"
2. Rendition"of"a"lawyer"of"legal"services"
" •
• A"lawyer"who"rendered"professional"
services"in"favor"but"over"the"
objection"of"the"party"is"not"entitled"
to"fees"even"though"the"services"
redounded"to"the"benefit"of"the"
party.""
" • GR:"Only"the"client"who"engaged"the"
Written&Agreement&
• A"written"agreement"is"not"necessary"
to"establish"a"client’s"obligation"to"
pay"attorney’s"fees."
• The"client’s"obligation"to"pay"
attorney’s"fees"arises"from"the"
inanimate"contrat"of"facius%ut%des%(I"
do"and"you"give)"which"is"based"on"
the"principle"that"no"one"shall"
unjustly"enrich"himself"at"the"
expense"of"another.""
" representation"impliedly"agrees"to"
Quantum&meruit&(QM)&&
• "It"means"as"much"as"the"lawyer"
deserves"or"such"amount"which"his"
services"merit."&
• Recovery"of"attorney’s"fees"on"the"
basis"of"QM"is"authorized:&
1. No"express"contract"for"payment"
of"attorney’s"fees&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
2. Although"there"is"a"formal"
contract"for"attorney’s"fees,"the"
unreasonable"or"unconscionable"
by"the"court&
3. Contract"for"attorney’s"fees"is"
void"due"to"purely"formal"defects"
of"execution"&
4. When"the"lawyer,"for"justifiable"
cause,"was"not"able"to"finish"the"
case"to"its"conclusion"&
5. When"the"lawyer"and"the"client"
disregard"the"contract"for"
attorney’s"fees.&
6. Client"dismissed"his"counsel"
before"the"termination"of"the"
case"or"the"latter"withdrew"
therefrom"for"valid"reasons."&
QM"is"a"device"to"prevent"undue"
enrichment"based"on"equitable"
postulate"that"it"is"unjust"for"a"person"
to"retain"benefit"without"paying"for"
it."&
& &
Who&is&liable&for&attorney’s&fees&
services"of"counsel"either"personally"
or"through"an"authorized"is"liable"for"
attorney’"fees."&
• A"party"who"is"not"a"privy"to"the"
employment"contract"or"who"did"not"
authorize"the"lawyer’s"retainer"is"
generally"speaking"not"liable"for"such"
fees."&
• The"exceptions"on"this"rule"rest"on"
the"equitable"principle"that"a"person"
who"accepts"the"benefits"of"the"legal"
pay"the"attorney’s"fees"for"he"may"
not"unjustly"enrich"himself"at"the"
expense"of"the"lawyer."&
" but"also"by"the"non!union"members"
Liability&of&persons&benefited&by&counsel’s&
service&
• GR:""A"person"who"had"no"knowledge"
of"or"objected"to,"the"lawyer’s"
representation"may"not"be"held"liable"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
for"attorney’s"fees"even"though"it"has"
redounded"to"his"benefit."&
• The"objection"to"the"lawyer’s"
appearance"should"be"raised"before"
and"not"after"beneficial"services"shall"
have"been"rendered"by"the"lawyer,"
otherwise"such"party"who"benefited"
from"the"representation"may"be"
required"to"pay"counsel"fees."&
• "The"liability"is"based"on"equity.&
• If"the"legal"representation"redounded"
to"the"benefit"of"the"party"concerned,"
the"retention"/acceptance"of"the"
benefit"cure"the"defect"of"lack"of"
authority"on"the"part"of"the"agent"to"
retain"the"lawyer."&
Exception:"Employment"of"private"lawyer"to"
represent"the"government"entity"by"an"
official"who"has"no"authority"in"law"to"do"so,"
since"the"benefits"secured"by"the"legal"
representation"cannot"take"the"place"of"the"
law"and"will"not"create"an"obligation"on"the"
part"of"the"government"entity"to"pay"fees.""
& employed"by"a"receiver"to"help"him"in"
Liability&of&Assignee&
• Since"an"assignee"of"all"interests"pent"
elite"usually"steps"into"shoes"of"the"
assignor"and"acquires"all"of"the"
latters"rights"and"obligations"in"the"
action,"the"assignee"may"be"held"
liable"for"atty’s"fees"from"out"of"the"
proceeds"of"favorable"judgment."&
& receivership"or"of"the"plaintiff"who"
Liability&in&Labor&Cases"
• A"lawyer"who"represents"a"union"and"
its"members"and"with"whom"he"has"a"
retainer"for"payment"for"a"fixed"
percentage"amounts"recovered"from"
the"company"is"entitled"to"be"paid"his"
fees"not"only"by"the"union"members"
as"well"those"who"derive"benefits"
from"his"services.%
• It"is"just"and"fair"that"the"lawyer"who"
represented"the"struggling"members"
of"the"union"to"secure"benefits"for"all"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
employees"be"paid"just"fees"by"all"
those"who"received"benefits."%
• Attorney’s"fees"in"labor"cases"may"
not"be"more"than"what"the"law"
provides"and"they"may"not"be"
checked"off"from"any"amount"due"the"
employees"without"their"written"
consent."%
&
Liability&in&derivative&suits&
• Where"in"derivative"suit,"the"services"
of"counsel"who"instituted"the"action"
upon"the"request"of"stockholder"are"
beneficial"to"the"corporation,"the"
counsel"fees"may"be"properly"
charged"against"corporate"funds.")
• Any"stockholder"may"intervene"and"
oppose"the"grant"of"such"fees"as"
charge"against"funds"of"the"
corporation.)
"
Liability&in&receivership&proceedings&
• The"assets"under"receivership"may"be"
liable"for"the"fees"of"a"lawyer"
the"discharge"of"his"duties.)
• However,"attorney’s"fees"of"the"
counsel"for"a"defendant"in"a"
receivership"proceeding"are"personal"
obligations"of"the"defendant"and"may"
not"be"paid"out"of"the"assets"in"the"
hands"of"receiver,"unless"it"
redounded"to"the"benefit"of"the"
asked"for"the"appointment"of"
receiver.)
&
Liability&in&trusteeship&or&guardianship&
proceeding&
• Trustee"may"be"indemnified"out"of"
the"trust"estate"for"his"expenses"in"
rendering"and"proving"his"accounts"
and"for"the"counsel"fees"in"
connection"therewith."&
• The"court"may"determine"whether"or"
not"a"trustee"may"be"allowed"
expenses"for"attorney’s"fees"and"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
permitted"to"charge"the"same"against"
the"trust"estate."&
• The"property"of"the"ward"may"
lawfully"answer"for"the"lawyer’s"fees"
of"the"lawyer"employed"by"the"
guardian,"provided"there"is"prior"
approval"of"the"guardianship"court."&
" •
Liability&in&estate&proceedings&
• Fees"of"lawyer"appointed"by"executor"
or"administrator"to"assist"him"in"the"
execution"of"his"trust"are"not"
chargeable"against"estate"of"the"
deceased"since"the"services"are"
rendered"to"the"executor.&
• Liability"for"payment"rests"on"the"
executor"or"administrator"who"may,"
if"the"services"are"beneficial"to"the"
estate,"either"seek"reimbursement"
from"the"estate"if"he"has"already"paid"
them"or"include"them"in"his"account"
with"due"notice"to"all"parties"
interested."&
• Ultimately,"the"estate"will"answer"for"
the"fees"of"the"lawyer"whose"services"
are"beneficial"to"the"estate.&
• If"the"assets"have"been"distributed,"
the"distributees"or"heirs"will"have"to"
contribute"their"share"for"the"
payment"of"the"fees"as"the"obligation"
of"the"estate"follows"the"assets,"
except"in"the"hands"of"purchaser"in"
good"faith."&
" practice"law"nor"should"he"do"so"
Who&are&entitled&to&or&the&share&in&
attorney’s&fees&
• The"lawyer"who"has"been"engaged"by"
a"client"is"the"one"entitled"to"recover"
the"fees."&
• However,"if"more"than"one"lawyer"
have"been"employed"by"a"client,"the"
question"of"fess"may"arise."&
• GR:"Lawyers"who"jointly"represent"a"
common"client"for"a"given"fee,"in"the"
absence"of"an"agreement"as"to"
division"of"fees,"share"equally"as"they"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
are"special"partners"for"special"
purpose/""
• Partners"in"law"firm"share"in"the"
profits"according"with"their"
partnership"agreement"even"though"
only"one"of"them"actually"rendered"
the"service.""
Lawyer"shall"in"cases"of"referral,"with"
the"consent"of"the"client,"or"those"
lawyers"who"rendered"services"at"one"
time"or"another"in"the"action,"be"
entitled"to"a"division"of"fees"in"
proportion"to"the"work"actually"
performed"and"responsibility"
assumed.""
& constitutional"restriction"against"
NonTLawyer&not&entitled&to&lawyer’s&fees&&
• The"statutory"rule"that"an"attorney"
shall"be"entitle"to"have"and"recover"
from"his"client"reasonable"
compensation"requires"an"attorney!
client"relationship"as"a"condition"for"
the"recovery"of"attorney’s"fees."&
• A"non!lawyer"cannot"therefore"
recover"attorney’s"fees"even"if"there"
is"a"law"authorizing"him"to"represent"
a"litigant"in"court."&
" may"order"that"a"counsel"de"oficio"be"
Restrictions&on&some&lawyers&to&charge&fees&
• "A"lawyer"who"is"absolutely"
disqualified"from"engaging"in"the"
private"practice"of"law"by"reason"of"
his"government"position"may"neither"
illegally,"charge"attorney’s"fees"for"
such"services."&
• The"prohibition"does"not"apply"to"the"
collection"of"fees"for"services"
rendered"before"the"lawyer"qualified"
for"the"public"office"even"though"
payment"thereof"is"made"thereafter."&
• A"lawyer,"as"a"government"official"
charge"with"the"duty"of"extending"
legal"services"to"indigent"litigants"
may"not"collect"attorney’s"fees."&
• An"executor"or"administrator"is"
prohibited"from"charging"the"estate"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
under"his"administration"of"
professional"fees"for"services"
rendered"by"him"as"a"lawyer."&
Reason:"Legal"maxim"that"the"one"acting"in"
fiduciary"capacity"must"not"place"himself"in"
such"a"position"as"to"make"his"interests"
antagonistic"with"his"principal."
& •
& discharge"of"his"duties"does"not"also"
Right&of&counsel&de&oficio&to&fees&
• In"the"absence"of"a"law"allowing"
compensation,"a"counsel"de"officio"
cannot"charge"the"government"nor"
the"indigent"litigant"for"his"services."&
• It"is"not"a"violation"of"the"
taking"of"property"w/o"remuneration"
or"due"process&
Reason:"It"is"one"of"the"obligations"which"an"
attorney"willingly"assumed"when"he"took"his"
oath"as"a"lawyer"is"to"render"free"legal"
services"whenever"required"by"the"court"to"
do.""
• The"ROC"provides"a"token"
compensation"for"counsel"de"oficio,"
subject"to"the"availability"of"the"funds"
as"may"provided"by"law"the"court"
compensated"in"such"sum"as"court"
may"reasonably"fix"which"shall"NOT:"
a. Be"less"than"P30"nor"more"than"
P50"in"light"felony"
b. P100"in"less"grave"felonies"
c. P200"grave"felonies"other"than"
capital"felonies"
d. P500"for"capital"offenses""
• "Compensation"for"counsel"de"oficio"
is"not"intended"as"a"source"of"regular"
income.""
Attorney’s&conduct&affecting&his&right&to&fees&
• Right"of"a"lawyer"to"recover"
attorney’s"fees"may"be"affected"or"
negated"by"misconduct"on"his"part"
such"as:&
o Carelessness&&
o Negligence"in"the"discharge"
of"duties&
o Misrepresentation"&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
o Abuse"of"clients"confidence"&
o Unfaithfulness"in"
representing"his"client’s"
cause"&
• The"adverse"result"of"the"litigation"
does"not"deprive"a"lawyer"of"his"right"
to"attorney’s"fees.&
A"mere"honest"mistake"in"the"
defeat"his"right"to"fees."&
&&
Withdrawal&of&counsel&from&the&case&
• Lawyer’s"unceremonious"withdrawal"
or"abandonment"of"the"action"which"
prejudices"the"client"negates"his"right"
to"attorney’s"fees/"&
• This"constitutes"as"a"breach"of"his"
implied"undertaking"to"prosecute"or"
defend"the"client’s"cause"until"
termination"of"the"litigation."&
• If"the"withdrawal"is"with"the"client’s"
written"conformity,"it"is"presumed"in"
the"absence"of"evidence"to"contrary,"
that"he"and"his"client"have"mutually"
agreed"to"terminate"the"services"and"
to"compensate"him"for"such"services"
up"to"the"termination"of"their"
relation."&
• The"lawyer"must"refund"to"the"client"
such"part"of"the"retainer"as"has"not"
been"clearly"earned."&
&
Representation&of&Adverse&Interests&
• Representation"of"conflicting"
interests"without"written"consent"of"
the"client"as"to"the"dual"
representation"made"after"full"
disclosure"of"facts"negates"the"
lawyers"right"to"receive"
compensation"from"both"of"them."&
"
Lawyer’s&right&unaffected&by&clients&conduct&
• A"client"cannot,"in"the"absence"of"
lawyer’s"fault,"consent"or"by"a"waiver,"
deprive"the"lawyer"of"his"just"fees"
already"earned."&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• While"a"client"has"the"right"to"
discharge"his"lawyer"at"any"time,"
dismiss"or"settles"his"action"he"cannot"
by"taking"such"step"deprive"the"
lawyer"of"what"is"justly"due"to"him"
unless"the"lawyer"by"his"actions,"
waives"or"forfeits"his"right."&
" "
Attorney’s&discharge&by&client&
• "The"discharge"of"a"lawyer"by"his"
client"without"a"valid"cause"before"
the"conclusion"of"the"litigation"does"
not"negate"the"lawyer’s"right"to"just"
fees."&
• However,"the"discharge"may"or"may"
not"affect"the"amount"of"fees"
depending"upon"the"existence"or"
absence"of"a"valid"written"contract"
for"professional"service"and"nature"of"
that"contract.&
1. No"express"written"agreement"as"
to"fees&
! Lawyer"may"only"be"entitled"
to"recover"the"reasonable"
value"of"his"services"up"to"the"
date"of"his"dismissal."&
!"this"rule"applies"if"there"is"an"express"
understanding"of"payment"of"fees"but"it"is"not"
reduced"to"writing"except"if"the"dismissal"was"
made"after"the"termination"of"the"case,"in"
which"case"the"lawyer"is"entitled"to"full"
amount"agreed."
2."If"there"is"a"written"agreement"and"fee"
stipulated"is"reasonable"and"absolute"
!"a"lawyer"discharged"without"valid"cause"
shall"be"entitled"to"the"full"amount"agreed.""
!"If"the"fee"stipulated"is"contingent,"and"
dismissal"was"made"before"termination"of"
case,"he"shall"be"entitled"to"fees"for"services"
thus"rendered."BUT"if"the"contingency"occurs"
or"the"client"prevents"its"occurrence"by"
dismissing"or"settling"his"cause,"lawyer"is"
entitled"to"the"full"amount"agreed."
!"The"lawyer"should"question"his"discharge"to"
entitle"him"to"the"amount"agreed"upon"
otherwise"the"quantum"meruit"applies"as"the"
basis"of"payment.""
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• The"discharge"of"a"lawyer"for"valid"
cause"does"not"deprive"the"lawyer"of"
his"right"to"just"fees.""
• He"may"only"be"deprived"of"such"
right"IF"the"cause"for"his"dismissal"
constitutes"in"itself"an"obstacle"for"
recovery.""
Clients&dismissal&of&action&
• Client"may"dismiss"his"cause"or"action"
with"or"without"his"lawyers"counsel.&
• But"this"should"not"deprive"the"
lawyer"of"his"right"to"attorney’s"fees"
in"the"absence"of"waiver"by"the"
lawyer."&
• If"dismissal"of"action"was"made"in"
good"faith,"the"lawyer"is"entitled"to"
such"reasonable"fees"for"the"services"
rendered.&
• If"the"dismissal"was"made"with"the"
intention"to"defraud"the"lawyer"with"
respect"to"his"fees,"he"shall"be"
entitled"to"the"full"amount"agreed"or"
in"absence"of"agreement,"a"
reasonable"value"of"his"services"
based"on"QR.&
• A"lawyer’s"consent"to"the"dismissal"
does"not"negate"his"right"unless"
under"the"circumstances"it"
constitutes"as"a"waiver."&
" ! Fee"paid"to"a"lawyer"to"
Clients&compromise&of&action&&
• A"lawyer’s"right"to"just"compensation"
does"not"give"him"a"superior"right"as"
to"preclude"the"client"from"settling"
his"case."&
• Compromise"does"not"also"deprive"
the"lawyer"of"such"right."&
**"Same"rule"sa"dismissal"of"action"with"
respect"of"the"intention"of"the"client.""
" lawyer.&
B. CONTRACT&FOR&ATTORNEY’s&FEES&
& of"a"lawyer"to"render"service"to"other"parties.""
Generally&
• A"contract"of"professional"services"
may"either"be"Oral&or"Written.&"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• Fee"stipulated"may"be"Absolute&or"&
Contingent."It"may"be"a":"
o Fixed"percentage"of"the"
amount"recovered"in"the"
action."
o May"provide"a"fee"per"
appearance,"per"piece"of"
work"or"an"hourly"basis."
o Combination"of"these"
arrangements.""
• A"written"retainer"has"distinct"
advantages"over"an"oral"contract."
o In"case"of"controversy"as"to"
question"of"fees,"a"written"
contract"generally"controls"
the"amount"thereof."
o Event"of"lawyer’s"dismissal"by"
the"client"before"conclusion"
of"the"litigation"without"
justifiable"cause,"attorney"
may"be"entitled"to"the"full"
amount"agreed.""
o Without"written"agreement,"
he"may"only"recover"the"
reasonable"worth"of"his"
services"rendered"up"to"the"
date"of"his"dismissal.""
& Effect&of&Unconscionability&of&amount&
Kinds&of&Retainer:&General&&&Special&
• General"Retainer"or"retaining"fee&
secure"his"future"services"as"a"
general"counsel"for"any"
ordinary"legal"problem"that"
may"arise"in"the"routinary"
business"of"the"client"and"
referred"to"him"for"legal"
action."&
! Fees"are"paid"whether"or"not"
there"cases"referred"to"the"
Reason:"Compensation"for"a"lost"opportunity"
• Special"Retainer&
! A"fee"for"specific"case"
handled"or"special"service"
rendered"by"a"lawyer"for"a"
client."&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
&
Validity&of&Contract&
• General"rules"governing"the"validity"
of"an"ordinary"contract"apply"to"an"
agreement"for"professional"services.&
• It"must"not"be"contrary"to"law,"good"
morals,"public"policy,"public"order"
and"good"customs."&
"
Effect&of&Nullity&of&Contract&
• Nullity"of"a"professional"contract"
which"results"from"the"illegality"of"
the"object"sought"to"be"achieved"
precludes"a"lawyer"from"recovering"
his"fees"for"such"services."&
• However,"if"nullity"is"due"to"want"of"
authority"on"the"part"of"one"of"
contracting"parties"or"irregularity"in"
its"formal"execution"or"to"
unreasonable"amount"of"fees"fixed"
therein"–"lawyer"is"entitled"to"recover"
what"is"justly"due"to"him"on"the"basis"
of"QR.&
• In"this"case"the"object"is"legitimate"
and"contract"will"not"be"enforced"
because"of"its"formal"defects."&
"
• Written"contract"of"service"shall"
control"the"amount"to"be"paid"unless"
found"by"the"court"to"be"
unconscionable"or"unreasonable."&
• Unconscionability"of"the"amount"
renders"the"contract"invalid."&
• However"it"will"not"preclude"
recovery,"it"will"only"justify"the"court"
to"fix"the"reasonable"worth"of"his"
services"based"on"QR."&
"
Contingent&Fee&Contract&&
• It"is"an"agreement"in"writing"in"which"
the"fee,"usually"a"fixed"percentage"of"
what"may"be"recovered"in"the"action,""
is"made"to"depend"upon"the"success"
in"the"effort"to"enforce"or"defend"a"
supposed"right."&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
• The"lawyer"gets"paid"only"if"he"wins"
the"case"UNLESS"the"client"prevents"
the"successful"prosecution"or"defense"
of"the"action,"in"which"case"lawyer"is"
entitled"to"fees"based"on"QR;"or"to"
the"full"amount"agreed"if"client"acted"
in"bad"faith."&
• Absolute"fee"on"the"other"hand,"
entitles"a"lawyer"to"get"paid"for"his"
efforts"regardless"of"the"outcome"of"
the"litigation.&
• Contingent"fee"contract"is"subject"to"
supervision"and"scrutiny"of"court"to"
protect"client"from"unjust"charges."&
• The"court"may"reduce"the"amount"of"
unconscionable"contingent"fee"to"a"
reasonable"sum,"even"if"client"
consented"thereto.&
• Unconscionable"fee"–"amount"which"
according"to"the"circumstances"of"the"
case,"constitutes"an"over"
exaggeration"of"the"worth"of"the"
services"of"a"lawyer."&
• It"depends"upon"an"express"contract"
without"which,"lawyer"may"only"
recover"only"on"the"basis"of"QR.&
• It"applies"even"if"initial"fees"are"paid"
before"or"during"the"progress"of"
litigation"as"long"as"the"bulk"of"the"
fees"depends"on"the"success"of"the"
lawyer."&
• It"is"applicable"to"Civil"and"Criminal"
actions.&
• It"is"the"only"way"by"which"a"poor"
litigant"may"have"his"rights"enforced"
or"protected"by"a"lawyer""&
" • This"rule"applies"whether"the"fee"
Validity&of&Contingent&Fee&
• In"this"jurisdiction,"it"is"not"prohibited"
by"law"&"is"impliedly"sanctioned."&
• Its"validity"DEPENDS"upon"the"
reasonableness"of"the"amount"fixed"
as"contingent"fee"under"the"
circumstances"of"the"case."&
• Generally,"Valid"and"Binding"UNLESS"
obtained"by"FRAUD,"IMPOSITION,"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
SUPPRESSION"OF"FACTS""OR"
EXCESSIVE"FEES."#&
" 3. Importance"of"subject"matter&
Effect&of&Agreement&to&pay&litigation&
expenses&
• "The"rule"of"the"profession"forbid"a"
lawyer"from"agreeing"to"pay"or"bear"
the"expenses"of"litigation.&
• He"may"HOWEVER,"in"good"faith,"
advance"the"expenses"as"matter"of"
convenience"but"subject"to"
reimbursement."&
REASON:"To"prevent"lawyer"from"acquiring"
any"interest"in"the"litigation"&"avoid"conflict"
of"interests"between"them."
• This"agreement"is"known"as"
CHAMPERTRY."#""
" 9. Character"of"employment","
Construction&of&Professional&Contract&&
• GR:"To"adopt"such"construction"as"
would"be"more"favorable"to"the"client"
even"if"it"is"prejudicial"to"the"lawyer"
#&
Reason:"Inequality"of"situation"between"the"
lawyer,"who"knows"the"technicalities"of"the"
law"and"the"client"who"is"ignorant"of"such"and"
also"because"of"the"lawyer’s"status"as"officers"
of"court.""
& of"facts","it"requires"evidence"to"
C. MEASURE&OF&COMPENSATION&
& &
Amount&fixed&in&valid&contract&
• The"amount"attorney’s"fees"due"is"
stipulated"in"the"written"retainer"
agreement"which"is"conclusive"as"to"
amount"of"lawyer’s"compensation&
contracted"for"is"absolute"or"
contingent."&
" professional"capacity"&"fidelity"to"
Factors&taken&into&account&
• In"determining"the"amount"of"fess"
which"a"lawyer"may"charge"his"client"
the"following"factors"are"considered"
as"provided"in"Rule"20.01"of"the"Code"
namely:&
1. The"time"spent"and"extent"of"
services"rendered"or"required."&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
2. The"novelty"and"difficulty"of"
questions"involved."&
4. Probability"of"losing"other"
employment"as"a"result"of"
acceptance"of"the"case&
5. Skill"demanded&
6. Customary"charges"for"similar"
services"and"the"schedule"of"fess"
of"the"IBP"charter"to"which"he"
belongs&
7. Amount"involved"in"the"
controversy"and"the"benefits"
resulting"to"the"client"from"the"
service&
8. Contingency"or"certainty"of"
compensation&
whether"occasional"or"
established&
10. Professional"standing"of"the"
lawyer."&
• These"factors,"not"one"of"which"is"
controlling"are"mere"guides"in"
ascertaining"the"real"value"of"a"
lawyer."&
• Determination"of"attorney’s"fees"
based"on"these"factors"are"question"
prove"the"amount"of"fees."&
"Nature&of&Services&
• The"value"of"the"lawyer’s"service"is"in"
large"measure"determined"by"the"
nature,"quality"&"quantity"of"such"
services."&
" that"the"lawyer"not"accepted"
Skill&&&Standing&of&a&lawyer&
• A"lawyer"acquires"a"reputation"for"
trust"through"years"of"hard"labor"and"
devotion"to"duty"evidenced"by"the"
quality"of"his"works.&
• Such"lawyer"with"high"reputation"also"
acquires"persuasive"ability"in"the"
pleadings"he"makes.&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• Ability,"skill"&"competence"of"a"
lawyer"are"not"measured"by"his"
income."&
• Neither"is"the"length"of"time"a"lawyer"
has"practiced"a"safe"criterion"of"his"
character"and"quality"of"his"work.&
"
&
Value&of&interest&involved&
• Generally,"the"bigger"the"size"or"value"
of"the"interest"or"property"involved"in"
a"litigation"the"higher"the"attorney’s"
fees."&
Reason:""The"higher"the"stakes"the"more"the"
case"is"hotly"litigated"and"the"greater"efforts"
the"lawyer"exerts.""
• But"in"a"million"peso"litigation,"the"
percentage"fee"contingent"upon""
recovery"becomes"smaller"as"the"
amount"of"recovery"gets"bigger."
(INVERSE"PROPORTION"RULE)"
Reason:"""based"on"the"assumption"that"the"
amount"of"work"required"remains"the"same"
even"though"the"interest"in"the"action"
exceeds"several"million"pesos.""
"
Loss&of&opportunity&for&other&employment&
• Two"ways"which"a"lawyer"may"loss"
opportunity"for"employment:&
1. The"acceptance"will"preclude"a"
lawyer"from"appearing"for"others"
in"cases"likely"to"arise"out"of"the"
transaction"in"view"of"prohibition"
against"representation"of"adverse"
interests."&
2. There"is"a"reasonable"expectation"
employed"by"other"clients."&
&
&Difficulty&of&issues&involved&
• It"includes"the"preparation,"study"and"
research"put"into"the"case"by"the"
lawyer,"to"convince"the"court"as"to"
the"soundness"of"the"clients’"cause.&
"
&
&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
Test&Case&
• Where"several"actions"or"possible"
disputes,"such"as"in"insurance,"tax"or"
labor,""involve"an"identical"question"
and"one"case"is"litigated"as"a"test"
case,"the"value"in"controversy"in"all"
the"actions"should"bear"its"
appropriate"proportion"to"the"
amount"due"as"fees"to"the"lawyer"
who"prosecuted"the"test"case."&
• "A"test"case"is"usually"litigated"with"
energy"and"diligence"even"if"the"
actual"amount"is"insignificant"
because"the"resolution"of"the"other"
actions"which"involve"large"sums"of"
money"is"made"to"depend"on"the"
favorable"outcome"of"the"test"case."&
" Fees&in&case&of&Referral&
Results&secured&
• "The"fact"that"a"lawyer"failed"to"
secure"for"his"clients"what"he"desires"
does"not"deprive"him"of"the"right"to"
recover"compensation"for"his"services"
except"when"the"fee"agreed"upon"is"
contingent."&
• "A"different"rule"would"mean"that"
every"professional"fee"is"contingent"
fee"and"for"every"litigated"case,"it"is"
only"the"lawyer"in"the"winning"side"
will"get"paid"for"his"services."&
• If"that"were"the"rule,"the"practice"of"
law"will"cease"to"be"a"dignified"and"
honorable"profession."&
" consent%of%the%client,%accept%fee,%
Statutory&limitation&as&to&fees&
• "Legislature,"in"the"exercise"of"police"
power"may"by"law"prescribe"the"limit"
of"the"amount"of"attorney’s"fees."&
• Art."111"of"Labor"Code"provides"“"it"
shall"be"unlawful"for"any"person"to"
demand"or"accept"in"any"judicial"or"
administrative"proceedings"for"the"
recovery"of"wages,"attorney’s"fees"
which"exceed"10%"of"the"amount"of"
wage"recovered”&
• Art."222"of"the"same"Code"“"No"
attorney’s"fees"xxx"arising"from"any"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
collective"bargaining"negotiations""
shall"be"imposed"on"any"individual"
member"of"a"contracting"union:"
Provided"however,"the"attorney’s"fee"
may"be"charged"against"the"union"
fund"in"an"amount"agreed"upon"by"
the"parties."Any"contract"to"the"
contract"is"void&
• Art."203"of"the"same"Code"“"No"
agent,"Attorney"xxx"pursuing"or"in"
charge"of"the"preparation"or"filing"of"
any"claim"under"Employee"
Compensation&"State"Insurance"Fund"
shall"demand"or"charge"his"services"
any"fee,"stipulations"to"the"contrary"
are"void."&
" • "Canon"16,"Rule"16.03,"a"lawyer"may"
• "It"is"improper"for"a"lawyer"to""receive"
compensation"for"merely"
recommending"another"lawyer"to"his"
client"for"if"such"practice"is"
permitted,"it"would"tend"to"develop"
the"evils"of"commercialism."&
• It"is"only"when,"in"addition"to"referral"
,"he"performs"legal"service"or"
assumes"responsibility"in"the"case"
that"he"will"be"entitled"to"a"fee.&
" may"not"arbitrarily"apply"the"funds"in"
&A&lawyer&shall&not&receive&from&another&
without&clients&consent&
• Rule%20.03%of%the%Code%“%A%lawyer%
shall%not,%without%full%knowledge%&%
reward,%commission,%interest%or%other%
compensation%related%to%his%
employment%from%another%person%
other%than%his%client”&
• "This"rule"is"designed"to"secure"the"
fidelity"to"the"client’s"cause"and"to"
prevent"room"of"suspicion"on"the"
part"of"the"client."&
• Corollary"to"this"rule"is"the"principle"
that"whatever"a"lawyer"receives"from"
the"opposite"party"in"the"service"of"
his"client"belongs"to"the"client.&
" claim"for"compensation.&&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
A&lawyer&shall&avoid&controversies&with&
client&concerning&his&fees&
• %Rule%20.4%of%this%Code%“%a%lawyer%
should%avoid%controversies%with%
clients%concerning%his%compensation%
and%to%resort%to%judicial%action%only%to%
prevent%imposition,%injustice%or%fraud.%&
• He"may"take"judicial"action"to"protect"
his"fees"either"in"the"main"action"he"
rendered"his"services"or"an"
independent"civil"suit"against"his"
client."&
" to"client&
D. PROCEDURE&TO&RECOVER&FEES&
" BUT"the"determination"as"to"
Lawyer’s&application&to&pay&his&fees&
apply"so"much"of"the"clients"funds"
that"come"into"his"possession"as"may"
be"necessary"to"satisfy"his"fees"and"
disbursements,"giving"notice"
promptly"to"his"clients."&
• This"provision"assumes""that"the"
client"agrees"with"the"lawyer"as"to"
the"amount"of"the"fees."&
• In"case"of"disagreement"or"when"
client"disputes"the"amount"claimed"
for"being"unconscionable,"the"lawyer"
his"possession"for"payment"of"his"fees"
for"it"is"violative"of"their"trust"
relationship.&
• The"lawyer"should"file"the"necessary"
action"in"court"to"fix"and"recover"the"
amount"of"his"fees."&
" independent"civil"action"in"ff"cases:&
Petition&as&incident&of&main&action&
• A"lawyer"may"enforce"his"right"to"fees"
by"filing"the"necessary"petition"as"an"
incident"of"the"main"action"in"which"
his"services"were"rendered"only"when"
something"is"due"the"client"in"the"
action"from"which"the"fee"is"to"be"
paid;Or"when"the"client"settles"or"
waives"his"cause"in"favor"of"the"
adverse"party"in"fraud"of"the"lawyers"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• The"remedy"cannot"be"availed"of"if"
the"client"recovers"nothing"in"the"
main"action."&
Reason:"Question"of"fees"cannot"be"
determined"until"after"the"main"action"has"
been"decided"&"subject"of"recovery"is"at"the"
disposition"of"the"court.""
• The"petition"may"be"filed"with"the"
court:&
! before"the"judgment"in"favor"
of"the"client"is"satisfied"or"
proceeds"thereof""delivered"
! before"judgment"is"rendered"
the"propriety"of"fees"will"
have"to"await"the"outcome"of"
the"litigation,"at"which"time"
the"issue"as"to"fee"may"be"
tried"with"notice"given"to"
interested"parties.&
• Court"may"not"order"client"to"pay"
fees"before"judgment"is"rendered,"
there"being"nothing"from"which"they"
be"paid"except"if"it"is"certain"that"
there"is"something"due"the"client"
such"as"in"estate"proceedings;"or"
when"client"dismissed"the"services"of"
the"lawyer"before"termination"of"the"
action,"and"funds"therefor"are"
available.&
"
Independent&civil&action&
• Lawyer"may"enforce"his"right"to"
reasonable"compensation"in"an"
1. If"the"court"trying"the"main"action"
dismissed"the"cllient’s"action"or"
nothing"is"awarded"to"him"#&
2. The"court"deciding"the"main"
action"has"no"jurisdiction"over"
the"action"or"has"already"lost"it.&
3. The"person"liable"for"attorney’s"
fee"is"not"party"to"main"action&
4. The"court"reserved"to"the"lawyer"
the"right"to"file"a"separate"action"&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
5. The"services"for"which"the"lawyer"
seeks"payment"refers"to"matters"
not"related"to"the"main"action.&
6. Court"rendered"judgment"in"the"
main"action"without"ordering"
payment"of"attorney’s"fees"and"
such"become"final.&
& "
Remedies&in&Estate&Proceedings&
• The"procedure"for"collection"of"fees"
in"an"estate"proceeding"is"for"the"
lawyer"to"ask"the"administrator"or"
executor"to"pay"him"his"fees."&
• If"the"administrator"or"executor"
refuses"or"fails"to"do"so,"lawyer"has"
two"remedies:&
1. File"an"independent"civil"action"
against"administrator"or"executor"
in"his"personal"capacity"&"should"
judgment"be"secured"and"latter"
pays,"the"latter"may"include"the"
amount"in"his"account"file"with"
the"probate"court."&
2. File"a"petition"with"the"probate"
court"praying,"after"due"notice"to"
all"persons"interested,"allow"his"
claim"&"direct"the"
administrator/executor"to"pay"his"
fees"as"expenses"of"
administration."&
• If"administrator/executor"dies"before"
payment"of"fees,"he"may"file"a"claim"
against"the"estate"of"the"deceased"
administrator/executor"or"a"petition"
for"allowance"of"fees"with"probate"
court.&
• A"lawyer"may"enforce"his"right"with"
the"probate"court"at"any"time"before"
the"estate"proceeding"is"definitely"
closed."
Afterwards,"his"remedy"is"to"pursue"
an"independent"action"against"the"
administrator"in"his"personal"capacity"
or"the"distributees"of"the"assets"of"
the"estate.&
& by"him"prosecuting"
Court&Jurisdiction&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• The"court"having"jurisdiction"to"try"
the"main"action"in"which"the"lawyer"
rendered"services"has"also"
jurisdiction"to"pass"upon"the"question"
of"fees"even"though"the"total"sum"
thereof"is"less"than"the"jurisdictional"
amount"cognizable"by"the"court."&
Necessity&of&Hearing&
• "A"petition"for"recovery"of"attorney’s"
fees"has"to"be"prosecuted"and"the"
allegations"therein"established"as"any"
other"money"claim.&
• The"persons"entitle"to"or"must"pay"
the"fees"have"the"right"to"be"heard"
upon"the"question"of"the"propriety"of"
the"amount."&
• Burden"of"proof"is"upon"the"lawyer"to"
establish"his"allegations.&
" facto"justify"their"award"in"favor"of"
Defenses&
• Action"for"recovery"of"attorney’s"fees"
is"subject"to"usual"defenses"in"
ordinary"action"such"as"res"judicata,"
prescription,"nullity"of"contract"or"
lack"of"attorney!client"relationship."&
& 1. When"there"is"agreement"of"
&Execution&
• "The"final"award"of"attorney’s"fees"
may"be"enforced"by"execution.&
• It"may"be"enforced"against"any"
property"of"the"client"including"the"
proceeds"of"the"judgment"secured"for"
the"client"in"main"action/&
" 4. Criminal"cases"of"malicious"
E. ATTORNEY’S&FEES&AS&DAMAGES&
& 5. Action"is"clearly"unfounded&
Two&concepts&of&attorney’s&fees&compared&
Attorney’s&fees&as& Attorney’s&fees&as&
Damages& compensation&
Awarded"by"the" Amount""to"be"paid"
court"to"the" by"the"client"to"the"
successful"party""as" lawyer"for"the"
an"indemnity"for" services"rendered"by"
damages"sustained" the"latter.""
or"defending,"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&
through"counsel,"his" 11. When"at"least"double"cost"is"
cause."" awarded"in"cases"of"frivolous"
Belong"to"the"client" "Payable"to"the" action"or"appeal."&
unless"there"is"an" lawyer."" 12. Court"deem"it"just"&"equitable"&
agreement"between" 13. Special"law"so"authorizes."&
the"lawyer"&"client" "
that"whatever" &
attorney’s"fees""that" &
the"court"may"award" &
shall"belong"to"the" Right&to&private&counsel&a&precondition&
lawyer"as" • To"entitle"a"party"to"recover"
compensation"or"in" attorney’s"fees"as"an"item"of"
addition"thereto."" damages,"he"must"not"only"show"that"
& the"case"falls"under"any"of"the"
Fee&as&damages&not&recoverable&–&General& exceptions"that"may"warrant"the"
Rule& award"thereof;"he,"including"public"
• GR:""Attorney’s"fees"as"damages"are" litigant,"MUST"show"his"right"to"
not"recoverable."& employ"a"private"counsel."&
• An"adverse"decision"does"not"ipso" • A"successful"litigant"who"prosecuted"
his"action"without"the"assistance"of"a"
the"winning"party.& private"counsel"is"not"entitled"to"
• Public"policy"requires"that"no"penalty" awards"of"attorney’s"fees."&
be"placed"on"the"right"to"litigate.& "
" Award&of&attorney’s&fee&Discretionary&
Fee&as&damages&recoverableT&Exception&to& • "Award"of"attorney’s"fees"is"
the&rule.& discretionary"on"the"part"of"the"court.&
• "But"the"exercise"of"such"discretion,"
payment"of"such"fees"in"the" must"be"based"on"facts"appearing"on"
event"of"suit"to"enforce"a" the"text"of"the"decision."&
contract& • The"decision"must"state"the"reason"
2. When"exemplary"damages"are" for"the"award"of"such"fees,"unless"the"
awarded& text"thereof"plainly"shoes"the"case"
3. Defendant’s"action"or"omission" comes"within"the"exceptions."&
compelled"plaintiff"to"litigate."& • The"appellate"court"may"award"
attorney’s"fees"or"increase"or"reduce"
prosecution& the"amount"thereof"whenever"the"
law"or"circumstances"require."&
6. Defendant"acted"in"gross"&" "
evident"bad"faith& Pleading&and&Practice&
7. "Actions"for"support& • The"claim"for"attorney’s"fees"as"
8. Cases"of"recovery"of"wage& damages"and"the"ground"relied"upon"
9. Actions"for"indemnity"under" must"be"pleaded."&
workmen’s"compensation"and" • In"the"absence"of"such"allegation,"it"
employer’s"liability"laws& will"not"be"granted."&
10. Separate"civil"action"arising"from" • It"must"be"proved"and"specifically"
a"crime& prayed"for."&
&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

& account"due"to"the" presupposes"that"a" Property&to&which&Lien&Attaches& • However,"the"court"may"require"the"

& attorney"from"his" favorable"judgment" • Retaining"Lien"attaches"to"all" surrender"thereof"upon"the"client’s"
CHAPTER&XIV& client"for"services" has"been"secured"for" property,"papers,"books,"documents" posting"of"an"adequate"bond"or"
rendered"in"all" the"client"in"the"case."" or"securities"of"the"client"that"may" security"to"guarantee"the"payment"of"
ATTORNEY’S&LIEN&
matters"which"he" " have"lawfully"come"to"the"lawyer" fees."
&
may"have"handled"for" professionally"or"in"the"course"of"his" "
A. IN&GENERAL&
the"client,"regardless" professional"employment,"not" Extinguishment&of&Retaining&Lien&
Generally&
of"outcome." necessarily"in"connection"with"a" • The"lien"is"dependent"upon"
• "Rule%22.02%“%A%lawyer%who%withdraws%
"It"does"not"require" A"written"notice" particular"case"handled"for"the"client."" possession"and"does"not"attach"to"
or%is%discharged%shall,%subject%to%a%
notice"thereof"upon" thereof"to"his"client" • It"also"attaches"to"money"which" anything"not"in"possession"of"lawyer."&
retaining%lien,%immediately%turn%over%
the"client"and"the" and"to"adverse"party" comes"into"his"possession"by"way"of" • It"expires"when"the"possession"
the%paper%and%property%to%which%the%
adverse"party"to"be" is"necessary"to"be" writ"of"execution"ordered"by"the" lawfully"ends,"as"when"the"lawyer"
client%is%entitled%and%shall%cooperate%
effective."" effective."" court."" voluntarily"parts"with"the"funds"etc"of"
with%his%successor%in%the%orderly%
"It"is"dependent"upon" "It"covers"only" • It"does"not"include"funds"or" the"client"OR"offers"them"in"evidence"
transfer%of%the%matter,%including%all%
and"takes"effect"from" services"rendered"by" properties"which"come"into" in"court."&
information%necessary%for%the%proper%
the"time"of"lawful" an"attorney"in"the" possession"of"the"lawyer"in"another" • If"the"properties"were"illegally"taken"
handling%of%the%matter.”"
possession." action"in"which"the" capacity"other"than"his"professional" from"the"custody"of"the"lawyer"the"
• Rule%16.03%of%the%Code%“%A%lawyer%
judgment"was" capacity,"such"as"an"agent"or"trustee."" lien"is"not"lost"UNLESS"by"his"act"or"
shall%a%lien%over%the%funds%of%his%client%
obtained"and"takes" • The"lien"does"not"extend"to" omission"he"waives"his"right"thereto.&
and%may%apply%so%much%thereof%as%
effect"only"after"he" properties"of"the"clients"principal,"or" • Mandamus"will"lie"to"restore"
may%be%necessary%to%satisfy%his%lawful%
shall"have"caused"a" those"adjudge"by"the"court"in"favor"of" possession"of"the"documents"
fees%and%disbursements%and%giving%%
statement"of"his" the"client’s"adversary.& unlawfully"taken"from"him&
notice%promptly%thereafter%to%his%
claim"entered"upon" Reason:""Lien"may"only"be"enforced"against" "
client.%He%shall%also%have%a%lien%to%
the"record"of"the" the"properties"belonging"to"the"client"and"not" Satisfaction&of&Lien&
same%extent%on%all%judgments%and%
particular"case."" to"those"of"his"adversary"or"belonging"to"third" • Unless"the"client"voluntarily"pays"him"
executions%he%has%secured%for%his%
& persons."" his"fees"the"lawyer"still"has"to"file"the"
client%as%provided%in%ROC”"
B. RETAINING&LIEN& • It"also"does"not"attach"to"documents" necessary"action"to"recover"what"is"
• The"rules"are"designed"to"insure"the"
& introduced"as"exhibits"in"court,"they" due"to"him"from"his"client.&
payment"of"the"lawyer’s"fees"and"
Nature&and&essence&of&retaining&lien& being"subject"to"court’s"control.& • The"lawyer"need"not"file"an"action"in"
reimbursement"of"his"lawful"
• Retaining"lien"is"a"passive"right"and" " court"to"enforce"his"retaining"lien"and"
disbursements"in"keeping"with"his"
cannot"be"actively"enforced."& When&Lien&Attaches& recover"his"fees"if"the"client"does"not"
dignity"as"an"officer"of"the"court.""
• It"amounts"to"a"mere"right"to"retain" • The"retaining"lien"attached"from"the" dispute"his"claim"for"attorney’s"fees."&
"
the"funds,"documents"&"paper"as" moment"the"attorney"lawfully" • In"such"case,"lawyer"may"apply"the"
Retaining&and&Charging&Liens&Distinguished&
against"the"client"until"the"lawyer"is" obtains"and"retains"possession"of"the" clients’"funds"in"satisfaction"of"his"
Retaining&Lien& Charging&Lien&&
fully"paid"for"his"fees."& properties"of"client."& claim"and"send"an"accounting"to"his"
Right"of"an"attorney" Right"which"the"
• The"inconvenience"that"may"cause" • The"fact"that"the"client"transfers"the" client"and"remit"the"balance,"if"any,"
to"retain"the"funds," attorney"has"upon"all"
the"client"as"a"result"of"the"retaining" property"evidenced"by"a"document"or" to"the"client."&
documents"&"papers" judgments"for"the"
lien"is"the"reason"and"essence"of"the" title"in"the"lawful"possession"of"the" • But"if"the"client"questions"his"claim"or"
of"his"client"which" payment"of"money"&"
lien.& attorney"does"not"defeat"the"lien."& the"amount"of"fees,"the"lawyer"
have"lawfully"come" executions"issued"in"
Requisites&for&Validity& & cannot"apply"the"funds."His"remedy"is"
into"his"possession"" pursuance"thereof,"
a. Attorney!client"Relationship" Bond&for&return&of&Documents& to"file"the"necessary"action."&
until"his"lawful"fees"&" secured"in"favor"of"
b. Lawful"Possession"by"the"lawyer"of" • The"retaining"line,"once"it"has"lawfully" &
disbursement"have" the"client.""
the"client’s"funds,"documents"and" attached"to"funds"etc."of"the"client,"is" C. CHARGING&LIEN&
been"paid"&"to"apply"
papers"in"his"professional"capacity" uncontestable,"and"the"court"may"not" &
such"funds"to"the"
c. Unsatisfied"claim"for"attorney’s""fees" compel"him"to"surrender"them" Nature&and&essence&of&Charging&Lien&
satisfaction"thereof.""
or"disbursements."" without"prior"proof"that"his"fees"are" • Abstract"and"potential"right"until"it"is"
General"lien"for"the" Special"lien"in"a"
& already"paid." made"active"and"operative"by:&
balance"of"the" particular"case"&"

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
a. recording"a"statement"of"claim"in"
the"case"and;&
b. "serving"notice"thereof"upon"the"
client"and"adverse"party."&
• It"gives"the"lawyer"the"same"right"and"
power"as"the"client"over"such"
judgment"&"execution"to"enforce"his"
right"and"secure"payment."""&
• Based"on"natural"equity"that"a"client"
should"not"be"allowed"to"appropriate"
the"whole"judgment"in"his"favor"
without"paying"the"services"of"his"
lawyer"in"obtaining"the"judgment.&
• It"is"a"personal"claim"enforceable"by"
writ"of"execution."It"does"not"attach"
to"the"property"in"litigation.&
• It"is"LIMITED"ONLY"to"money"
judgments"and"not"to"any"other"kinds"
of"judgments"such"as"judgment"for"
annulment"of"contract"or"delivery"of"
real"property."&
& concern"of"the"client."&
Requisites&for&Validity&of&Charging&Lien&&
a. Attorney!client"Relationship"&
b. Attorney"has"rendered"services"&
c. A"money"Judgment"favorable"to"
the"Client"has"been"secured"in"
the"action&
d. Attorney"has"claim"for"attorney’s"
fees"or"advances&
e. Statement"of"his"claim"has"been"
duly"recorded"in"the"case"with"
notice"thereof"served"upon"to"the"
parties."&
• The"lawyer"asserting"the"lien"need"
not"be"the"one"who"successfully"
concluded"the"action"for"the"client.&
• It"is"sufficient"that"he"has"rendered"
some"service"at"any"stage"of"the"
proceeding."&
& acquire"a"charging"lien"in"the"action."&
Recordal&and&Notice&of&lien&
• The"recordal"to"be"valid,"should"be"
effected"while"the"court"has"
jurisdiction"over"the"case"before"the"
full"satisfaction"of"the"judgment.&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• The"notice"is"to"give"the"client"an"
opportunity"to"object"to"the"lien"or"
amount"claimed"by"the"lawyer."&
• If"the"client"dispute"it"the"court"
should"hear"the"parties"and"
determine"from"evidence"submitted"
by"them"the"lawyer’s"right"to"the"lien"
as"well"as"to"the"amount"of"fees."&
• If"the"client"fails"to"contest"the"claim"
he"shall"be"liable"for"the"claim"even"if"
it"is"unjust.&
• The"notice"to"the"adverse"party"is"to"
bind"him"as"to"the"charging"lien,"once"
recorded,"being"a"stranger"to"the"
contract"between"the"lawyer"and"his"
client."&
• Otherwise,"the"adverse"party"may"
not"be"held"liable"under"the"charging"
lien."&
• The"adverse"party"cannot"contest"the"
validity"of"the"lien"that"being"the"
& fees.&
To&what&charging&lien&attaches&
• The"lien,"once"recorded,"attaches"to"
the"judgment"for"the"payment"of"
money"and"the"execution"issued"in"
pursuance"of"such"judgment."&
• It"also"attaches"to"the"proceeds"of"
the"judgment"in"favor"of"client"and"
proceeds"of"compromise"settlement."&
• It"does"not"attach"to"property"or"land"
in"litigation."&
• It"is"restricted"to"the"amount"
awarded"to"the"client"by"final"
judgment."&
• Since"a"charging"lien"presupposes"a"
favorable"judgment"has"been"
obtained"for"the"client,"the"lawyer"for"
the"losing"party"in"a"suit"does"not"
• A"lawyer"as"a"private"prosecutor"
cannot"claim"a"charging"lien"upon"the"
judgment"of"dismissal"entered"in"a"
criminal"case;"his"remedy"being"a"
separate"civil"action.&
& and"administratively"liable"if"he"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
Effects&of&Charging&Lien&
• It"partakes"of"a"nature"of"collateral"
security"or"a"lien"on"real"or"personal"
property.""
• It"follows"the"proceeds"of"the"
judgment"wherever"they"may"be"and"
whoever"received"them."""
• The"lien"survives"the"death"of"the"
client"and"need"not"be"enforced"in"
the"proceeding"for"the"settlement"of"
the"client’s"estate.""
& • "The"lien"may"be"enforced,"upon"
& proper"motion,"by"execution."&
Extinguishment&of&Charging&Lien&
• A"charging"lien"which"has"been"
recorded"before"the"case"has"been"
decided"is"extinguished"when"the"
client"loses"the"action"as"it"can"only"
be"enforced"against"the"judgment"or"
execution"thereof."&
• The"remedy"of"lawyer"is"to"file"a"
separate"civil"action"for"recovery"of"
• A"client"cannot"defeat"the"lien"by"an"
adverse"action"on"his"part"such"as"
terminating"the"service"of"lawyer,"
dismissing"the"case"or"waiving"the"
cause"in"favor"of"the"adverse"party,"
unless"by"the"actions"of"lawyer"he"is"
deemed"to"have"waived"it.""
&
Assignment&of&Charging&Lien&
• Attorney’s"Charging"lien"may"be"
assigned"or"transferred"without"the"
preference"thereof"being"
extinguished"except"when"the"
assignment"carries"with"it"breach"of"
attorney’s"duty"to"preserve"his"
client’s"confidence"inviolate."&
• The"assignee"steps"into"the"shoes"of"
the"lawyer"and"enjoys"all"the"rights"
which"the"latter"has"in"the"charging"
lien."&
"
Satisfaction&of&Judgment&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
• The"satisfaction"of"Judgment"in"favor"
of"the"client"does"not"by"itself"
extinguish"the"charging"lien."&
• The"satisfaction"may"only"extinguish"
the"lien"when"there"has"been"a"
waiver"of"the"right"thereto"either"by"
the"attorney’s"active"conduct"or"by"
his"passive"omission."&
"
&
Enforcement&
• It"may"be"enforced"against"the"client"
who,"for"receiving"the"proceeds"of"
the"judgment"without"paying"the"
services"of"his"lawyer,"holds"so"much"
thereof"in"trust"of"the"lawyer."&
• It"may"also"be"enforced"against"the"
judgment"debtor"who,"for"
disregarding"the"charging"lien"
properly"served"on"him,"becomes"
liable"to"the"extent"of"the"lawyers"
claim.&
"
CHAPTER&XV&
LIABILITIES&OF&ATTORNEY&
&
A.&LIABILITY&FOR&DAMAGES&
&
Degree&of&care&required&
! degree"of"vigilance"and"care"
expected"of"a"good"father"of"a"
family"or"such"degree"of"care"and"
ordinary"diligence"as"any"
member"of"the"bar"similarly"
situated"is"expected"to"exercise&
&
Civil&liability&
! may"recover"damages"from"atty"if"
client"is"prejudiced"by"the"atty’s"
negligence"or"misconduct"
! atty"not"liable"for"mere"error"of"
judgment"unless"such"error"or"
misconduct"is"gross"or"patent"
! may"become"civilly,"criminally"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
fails"to"return"client’s"money"or"
property"upon"demand,"such"
failure"gives"rise"to"the"
presumption"that"he"
misappropriated"the"same"
! third"party"cannot"file"
counterclaim"against"the"atty"
because"the"atty"is"not"a"party"
litigant"in"a"case"except"if"there"is"
fraudulent"conspiracy"between"
him"and"his"client,"the"judge"or"
some"other"person"which"
frustrate"the"administration"of"
justice"
" established"beyond"reasonable"
Libellous&words&in&pleadings;&privileged&
communication&
! generally"lawyers"are"exempted"
from"liability"for"libel"or"slander"
for"defamatory"words"used"in"the"
course"of"judicial"proceedings"
provided"such"statements"are"
relevant"or"material"to"the"cause"
at"hand&
! the"doctrine"of"privileged""
communication"allows"lawyers"to"
speak"their"minds"freely"and"
exercise"their"functions"without"
incurring"the"risk"of"criminal"
prosecution&
! matter"alleged"must"be"
legitimately"related"or"so"
pertinent"to"the"subject"of"the"
controversy&
! privilege"does"not"cover"
irrelevant"matter"that"is"libellous&
" preservative"and"not"on"the"
Liability&for&costs&of&suit&
! may"be"held"liable"for"costs"if"atty"
insists"on"the"client’s"patently"
unmeritorious"case"or"interposed"
appeal"merely"to"delay"litigation&
" ! direct"or"indirect&
B.&CRIMINAL&LIABILITY&
& o Direct!"punished"
Two&acts&penalized:&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
a."causing"prejudice"to"client"through"
malicious"breach"of"professional"duty"or"
inexcusable"negligence"or"ignorance"
b."revealing"client’s"secrets"learned"in"the"
lawyer’s"professional"capacity"
" the"court"involving"
! “malicious”"implies"deliberate"
intent"or"sinister"design"on"the"
part"of"the"lawyer&
! “inexcusable”"signifies"manifest"
injustice"which"cannot"be"
explained"by"a"reasonable"
interpretation&
! lawyer’s"guilt"must"be"
doubt"to"hold"him"criminally"
liable&
& o
Other&acts&which&may&result&in&criminal&
liability:&
! representing"adverse"interests&
! using"or"introducing"false"
evidence&
! misappropriating"client’s"funds"
(estafa)&
& &
C.&CONTEMPT&OF&COURT&
& ! misbehaviour"in"the"performance"
Nature&and&purpose&
! power"to"punish"for"contempt"is"
inherent"in"all"courts"and"is"
essential"in"the"observance"of"
order"in"judicial"proceedings"and"
to"the"enforcement"of"
judgments,"orders"and"writs&
! should"be"exercised"on"the"
vindictive"principle,"and"on"the"
corrective"rather"than""retaliatory"
idea"of"punishment&
& ! unlawful"retention"of"client’s"
Kinds&of&contempt:&
! criminal"or"civil&
summarily"and"consists"
of"misbehaviour"in"the"
presence"or"so"near"the"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
court"or"judge"as"to"
interrupt"proceedings;"no"
formal"charge"required&
o Indirect&or&constructive!"
committed"away"from"
disobedience"of"or"
resistance"to"a"lawful"
writ,"process,"order"or"
command"or"tending"to"
belittle,"degrade,"
obstruct"or"embarrass"
the"court;"requires"filing"
of"a"formal"charge"in"
writing""and"an"
opportunity"for"person"to"
be"heard&
Civil"–"failure"to"do"
something"ordered"by"
the"court"which"is"for"the"
benefit"of"one"party&
o Criminal"–"consists"of"any"
conduct"directed"against"
the"authority"or"dignity"f"
the"court&
Acts&constituting&contempt&
of"duties&
! advising"client"to"commit"
contempt&
! disobedience"to"an"order"of"the"
court&
! publication"tending"to"impede"or"
embarrass"the"court"constitutes"
criminal"contempt&
! misleading"the"court"by"making"
false"allegation"or"introducing"
false"evidence&
! unauthorized"practice"of"law&
funds&
& the"processes"or"proceedings"of"a"court"not"
RULE"71"
CONTEMPT"
Section"1."Direct"contempt"punished"summarily.""
A"person"guilty"of"misbehavior"in"the"presence"of"
or"so"near"a"court"as"to"obstruct"or"interrupt"the"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
proceedings"before"the"same,"including"disrespect"
toward"the"court,"offensive"personalities"toward"
others,"or"refusal"to"be"sworn"or"to"answer"as"a"
witness,"or"to"subscribe"an"affidavit"or"deposition"
when"lawfully"required"to"do"so,"may"be"
summarily"adjudged"in"contempt"by"such"court"
and"punished"by"a"fine"not"exceeding"two"
thousand"pesos"or"imprisonment"not"exceeding"
ten"(10)"days,"or"both,"if"it"be"a"Regional"Trial"
Court"or"a"court"of"equivalent"or"higher"rank,"or"
by"a"fine"not"exceeding"two"hundred"pesos"or"
imprisonment"not"exceeding"one"(1)"day,"or"both,"
if"it"be"a"lower"court."
Sec."2."Remedy"therefrom.""
The"person"adjudged"in"direct"contempt"by"any"
court"may"not"appeal"therefrom,"but"may"avail"
himself"of"the"remedies"of"certiorari"or"
prohibition."The"execution"of"the"judgment"shall"
be"suspended"pending"resolution"of"such"petition,"
provided"such"person"files"a"bond"fixed"by"the"
court"which"rendered"the"judgment"and"
conditioned"that"he"will"abide"by"and"perform"the"
judgment"should"the"petition"be"decided"against"
him."
Sec."3."Indirect"contempt"to"be"punished"after"
charge"and"hearing.""
After"a"charge"in"writing"has"been"filed,"and"an"
opportunity"given"to"the"respondent"to"comment"
thereon"within"such"period"as"may"be"fixed"by"the"
court"and"to"be"heard"by"himself"or"counsel,"a"
person"guilty"of"any"of"the"following"acts"may"be"
punished"for"indirect"contempt:"
(a)"Misbehavior"of"an"officer"of"a"court"in"the"
performance"of"his"official"duties"or"in"his"official"
transactions;"
(b)"Disobedience"of"or"resistance"to"a"lawful"writ,"
process,"order,"or"judgment"of"a"court,"including"
the"act"of"a"person"who,"after"being"dispossessed"
or"ejected"from"any"real"property"by"the"judgment"
or"process"of"any"court"of"competent"jurisdiction,"
enters"or"attempts"or"induces"another"to"enter"
into"or"upon"such"real"property,"for"the"purpose"
of"executing"acts"of"ownership"or"possession,"or"in"
any"manner"disturbs"the"possession"given"to"the"
person"adjudged"to"be"entitled"thereto;"
(c)"Any"abuse"of"or"any"unlawful"interference"with"
constituting"direct"contempt"under"section"1"of"
this"Rule;"
(d)"Any"improper"conduct"tending,"directly"or"
indirectly,"to"impede,"obstruct,"or"degrade"the"
administration"of"justice;"
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Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
(e)"Assuming"to"be"an"attorney"or"an"officer"of"a"
court,"and"acting"as"such"without"authority;"
(f)"Failure"to"obey"a"subpoena"duly"served;"
(g)"The"rescue,"or"attempted"rescue,"of"a"person"
or"property"in"the"custody"of"an"officer"by"virtue"
of"an"order"or"process"of"a"court"held"by"him."
But"nothing"in"this"section"shall"be"so"construed"as"
to"prevent"the"court"from"issuing"process"to"bring"
the"respondent"into"court,"or"from"holding"him"in"
custody"pending"such"proceedings."
Sec."4."How"proceedings"commenced.""
Proceedings"for"indirect"contempt"may"be"
initiated"motu"proprio"by"the"court"against"which"
the"contempt"was"committed"by"an"order"or"any"
other"formal"charge"requiring"the"respondent"to"
show"cause"why"he"should"not"be"punished"for"
contempt."
In"all"other"cases,"charges"for"indirect"contempt"
shall"be"commenced"by"a"verified"petition"with"
supporting"particulars"and"certified"true"copies"of"
documents"or"papers"involved"therein,"and"upon"
full"compliance"with"the"requirements"for"filing"
initiatory"pleadings"for"civil"actions"in"the"court"
concerned."If"the"contempt"charges"arose"out"of"
or"are"related"to"a"principal"action"pending"in"the"
court,"the"petition"for"contempt"shall"allege"that"
fact"but"said"petition"shall"be"docketed,"heard"and"
decided"separately,"unless"the"court"in"its"
discretion"orders"the"consolidation"of"the"
contempt"charge"and"the"principal"action"for"joint"
hearing"and"decision."
Sec."5."Where"charge"to"be"filed.""
Where"the"charge"for"indirect"contempt"has"been"
committed"against"a"Regional"Trial"Court"or"a"
court"of"equivalent"or"higher"rank,"or"against"an"
officer"appointed"by"it,"the"charge"may"be"filed"
with"such"court."Where"such"contempt"has"been"
committed"against"a"lower"court,"the"charge"may"
be"filed"with"the"Regional"Trial"Court"of"the"place"
in"which"the"lower"court"is"sitting;"but"the"
proceedings"may"also"be"instituted"in"such"lower"
court"subject"to"appeal"to"the"Regional"Trial"Court"
of"such"place"in"the"same"manner"as"provided"in"
section"2"of"this"Rule."
Sec."6."Hearing;"release"on"bail.""
If"the"hearing"is"not"ordered"to"be"had"forthwith,"
the"respondent"may"be"released"from"custody"
upon"filing"a"bond,"in"an"amount"fixed"by"the"
court,"for"his"appearance"at"the"hearing"of"the"
charge."On"the"day"set"therefor,"the"court"shall"
proceed"to"investigate"the"charge"and"consider"
such"comment,"testimony"or"defense"as"the"
respondent"may"make"or"offer."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
Sec."7."Punishment"for"indirect"contempt.""
If"the"respondent"is"adjudged"guilty"of"indirect"
contempt"committed"against"a"Regional"Trial"
Court"or"a"court"of"equivalent"or"higher"rank,"he"
may"be"punished"by"a"fine"not"exceeding"thirty"
thousand"pesos"or"imprisonment"not"exceeding"
six"(6)"months,"or"both."If"he"is"adjudged"guilty"of"
contempt"committed"against"a"lower"court,"he"
may"be"punished"by"a"fine"not"exceeding"five"
thousand"pesos"or"imprisonment"not"exceeding"
one"(1)"month,"or"both."If"the"contempt"consists"
in"the"violation"of"a"writ"of"injunction,"temporary"
restraining"order"or"status"quo"order,"he"may"also"
be"ordered"to"make"complete"restitution"to"the"
party"injured"by"such"violation"of"the"property"
involved"or"such"amount"as"may"be"alleged"and"
proved."
The"writ"of"execution,"as"in"ordinary"civil"actions,"
shall"issue"for"the"enforcement"of"a"judgment"
imposing"a"fine"unless"the"court"otherwise"
provides."
Sec."8."Imprisonment"until"order"obeyed.""
When"the"contempt"consists"in"the"refusal"or"
omission"to"do"an"act"which"is"yet"in"the"power"of"
the"respondent"to"perform,"he"may"be"imprisoned"
by"order"of"the"court"concerned"until"he"performs"
it."
Sec."9."Proceeding"when"party"released"on"bail"
fails"to"answer.""
When"a"respondent"released"on"bail"fails"to"
appear"on"the"day"fixed"for"the"hearing,"the"court"
may"issue"another"order"of"arrest"or"may"order"
the"bond"for"his"appearance"to"be"forfeited"and"
confiscated,"or"both;"and,"if"the"bond"be"
proceeded"against,"the"measure"of"damages"shall"
be"the"extent"of"the"loss"or"injury"sustained"by"the"
aggrieved"party"by"reason"of"the"misconduct"for"
which"the"contempt"charge"was"prosecuted,"with"
the"costs"of"the"proceedings,"and"such"recovery"
shall"be"for"the"benefit"of"the"party"injured."If"
there"is"no"aggrieved"party,"the"bond"shall"be"
liable"and"disposed"of"as"in"criminal"cases."
Sec."10."Court"may"release"respondent.""
The"court"which"issued"the"order"imprisoning"a"
person"for"contempt"may"discharge"him"from"
imprisonment"when"it"appears"that"public"interest"
will"not"be"prejudiced"by"his"release."
Sec."11."Review"of"judgment"or"final"order;"bond"
for"stay.""
The"judgment"or"final"order"of"a"court"in"a"case"of"
indirect"contempt"may"be"appealed"to"the"proper"
court"as"in"criminal"cases."But"execution"of"the"
judgment"or"final"order"shall"not"be"suspended"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
until"a"bond"is"filed"by"the"person"adjudged"in"
contempt,"in"an"amount"fixed"by"the"court"from"
which"the"appeal"is"taken,"conditioned"that"if"the"
appeal"be"decided"against"him"he"will"abide"by"
and"perform"the"judgment"or"final"order."
Sec.12."Contempt"against"quasi!judicial"entities.""
"
Unless"otherwise"provided"by"law,"this"Rule"shall"
apply"to"contempt"committed"against"persons,"
entities,"bodies"or"agencies"exercising"quasi!
judicial"functions,"or"shall"have"suppletory"effect"
to"such"rules"as"they"may"have"adopted"pursuant"
to"authority"granted"to"them"by"law"to"punish"for"
contempt."The"Regional"Trial"Court"of"the"place"
wherein"the"contempt"has"been"committed"shall"
have"jurisdiction"over"such"charges"as"may"be"
filed"therefor."
"
CHAPTER&XVI&
SUSPENSION&AND&DISBARMENT&
& disbar"a"lawyer"but"may"
Generally&
Practice"of"law"is"a"privilege"burdened"with"
conditions:"
! adherence"to"rigid"standards"of"
mental"fitness"
! maintenance"of"highest"degree"of"
morality"
! faithful"compliance"with"rules"of"
the"legal"profession""
! regular"payment"of"IBP"fees"
! any"breach"of"this"makes"him"
unworthy"of"the"trust"and"confidence"
the"courts"and"clients"repose"in"him"
! misconduct"justifies"disciplinary"
action"against"him"or"withdrawal"of"
the"privilege"to"practice"law"
" Administrative&cases&against&lawyers&a&class&
Authority&to&discipline&
! Supreme"Court"has"the"ultimate"
disciplinary"power"over"attys&
! authority"stems"from"its"
constitutional"prerogative"to"
regulate"the"practice"of"law"and"
the"admission"of"persons"to"
engage"therein&
! incidental"to"the"proper"
administration"of"justice"and"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
essential"to"an"orderly"discharge"
of"its"judicial"functions&
! power"to"discipline"must"not"be"
exercised"in"an"arbitrary"or"
despotic"manner;"must"exercise"
sound"and"just"judicial"discretion&
! it"is"not"only"the"courts"duty"to"
discipline"those"guilty"but"also"to"
protect"the"reputation"of"those"
maliciously"or"frivolously"charged"
by"summarily"dismissing"an"
unfounded"complaint&
! CA"and"RTC"may"also"exercise"
disciplinary"power"over"attys"
appearing"before"them"but"can"
impose"suspension"or"a"lesser"
sanction"after"giving"the"atty"the"
opportunity"to"be"heard"on"
reasonable"notice;"they"cannot"
recommend"such"to"the"SC&
&
Purpose&of&disciplinary&proceedings&
! to"make"sure"that"lawyers"are"
competent,"honourable"and"
reliable&
! deter"other"lawyers"from"similar"
misconduct&
! safeguard"the"administration"of"
justice&
! preserve"purity"of"legal"
profession"by"removing"those"
who"are"unworthy&
! protect"the"court"and"the"public"
from"misbehaviour"of"its"officers&
&
of&their&own&
! such"cases"are"distinct"from"and"
may"proceed"independently"of"
civil"and"criminal"cases&
! a"finding"of"liability"in"a"criminal"
case"will"not"necessarily"result"in"
liability"in"an"administrative"case&
! neither"will"a"favourable"
disposition"in"a"civil"case"absolve"
the"lawyer"from"administrative"
liability&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

! burden"of"proof"in"these"cases" power"of"the"SC"to"suspend"or" o asking"client"to"plead" ! introducing"false"evidence&

are"different;"in"criminal"–"proof" disbar"lawyers& guilty"to"crime"he"did"not" o testifying"falsely&
beyond"reasonable"doubt,"in" ! Rule"138"of"the"Rules"of"Court" commit& o introducing"false"
administrative"–"clearly" Sec.%27.%Attorneys%removed%or% o instructing"witness"not"to" document&
preponderant"evidence& suspended%by%Supreme%Court%on% appear"in"court& Requisites:"
! no"prejudicial"question"in"these" what%grounds.%S%%A%member%of%the% o prosecuting"clearly" $ evidence"must"be"
cases& bar%may%be%removed%or% frivolous"cases"on"appeal& spurious"and"
! “Disbarment"proceedings"are" suspended%from%his%office%as% ! misleading"the"court& lawyer"knows"
undertaken"solely"for"public" attorney%by%the%Supreme%Court% o knowingly"making"false" such"infirmity&
welfare"and"the"sole"question"for" for%any%deceit,%malpractice,%or% allegations& $ "despite"such"
determination"is"whether"a" other%gross%misconduct%in%such% o misquoting"texts"in"a" knowledge"atty"
member"of"a"bar"is"fit"to"be" office,%grossly%immoral%conduct,% document& presents"it"to"
allowed"the"privilege"or"not."The" or%by%reason%of%his%conviction%of%a% o suppressing"material"and" court&
complainant"or"the"person"who" crime%involving%moral%turpitude,% vital"facts& o presenting"a"coached"
called"the"attention"of"the"court" or%for%any%violation%of%the%oath% o failing"to"inform"courts"of" witness"to"give"false"
is"in"no"sense"a"party,"and" which%he%is%required%to%take% any"subsequent" testimony&
generally"has"no"interest"in"the" before%admission%to%practice,%or% developments"in"the"case" o any"such"act"require"
outcome"except"as"all"good" for%a%wilfull%disobedience%of%any% which"may"render"case" discipline"irrespective"of"
citizens"may"have"in"the"proper" lawful%order%of%a%superior%court,% moot"and"academic& the"materiality"or"
administration"of"justice.”& or%for%corruptly%or%wilfully% o attributing"to"a"judge"a" immateriality"of"the"
& appearing%as%an%attorney%for%a% statement"which"he"did" untruthful"statement&
B.&GROUNDS&FOR&DISCIPLINE& party%to%a%case%without%authority% not"make& o Lawyer"owes"entire"
!"""grounds"for"disbarment"or" so%to%do.%The%practice%of%soliciting% o altering"factual"findings& devotion"to"his"client"but"
suspension"consist"of"acts"of" cases%at%law%for%the%purpose%of% o asserting"facts"which"he" not"at"the"expense"of"
misconduct"committed"BEFORE"and" gain,%either%personally%or%through% merely"expects"or"hopes" truth"because"his"first"
AFTER"admission"to"the"bar" paid%agents%or%brokers,% to"accomplish& duty"is"not"to"the"client"
o Requisites"that"must"concur" constitutes%malpractice.% ! forum"shopping& but"to"the"administration"
before"lawyer"may"be"suspended" " o constitutes"direct" of"justice.&
of"disbarred"for"acts"commited" Misconduct&committed&outside&Philippine& contempt"and"makes"atty" o lack"of"intent"to"deceive"
BEFORE"admission"to"practice:" jurisdiction& administratively"liable& in"the"presentation"of"the"
1. act"imputed"must"be"so" ! may"be"suspended"or"disbarred" ! filing"false"charges& false"evidence"will"still"
corrupt"and"false"as"to" in"this"country"if"the"act" o violation"of"lawyer’s"oath& subject"atty"to"liability"for"
constitute"a"criminal"act"or"so" committed"is"also"a"ground"for" o filing"a"groundless"charge" failure"to"exercise"care"
unprincipled"as"to"be" disciplinary"action"under" against"a"judge"despite" and"prevent"confusion"
reprehensible"to"a"high" Philippine"law& admonition"by"the"SC" and"delay"in"the"
degree" ! judgment"of"foreign"court"merely" violates"Canons"10!12& disposition"of"the"case&
2. act"must"established"by"a" constitutes"prima"facie"evidence" o to"warrant"disciplinary" ! Blackmail"–"extortion"of"money"
clearly"preponderant" of"unethical"acts"of"a"lawyer& action"it"must"be"shown" from"a"person"by"threats"of"
evidence" *Read"Velez"vs."De"Vera"p.%492% that:& accusation"or"exposure""or"
o Examples:"cheating"in"the"bar" & $ charges"were" opposition"in"the"public"prints&
exams,"securing"an"unauthorized" C.&BREACH&OF&DUTIES&TO&COURT& false"and"the"atty" o Violation"of"Canon"19"
reevaluation"of"his"bar"exam" Acts&constituting&such&breach:& knows"them"to" and"rule"19.01"of"the"
answers" ! obstruction"of"justice"and"abuse" be"so& Code"of"Professional"
" of"the"legal"process"& $ atty"still"filed"the" Responsibility&
! grounds"enumerated"are"not" o advising"client"to"escape" case"despite" CANON)19)L)A)LAWYER)SHALL)
REPRESENT)HIS)CLIENT)WITH)ZEAL)
exclusive"because"they"do"not" from"prison& knowing"such& WITHIN)THE)BOUNDS)OF)THE)
constitute"a"limitation"on"the" $ there"is"malice"or" LAW.Rule%19.01%S%A%lawyer%shall%
employ%only%fair%and%honest%means%to%
bad"faith& attain%the%lawful%objectives%of%his%

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

client%and%shall%not%present,% for"the"client,"there"is" ! cooperating"in"the"illegal"practice" 4. for"contracting"second"marriage"

participate%in%presenting%or%threaten%
to%present%unfounded%criminal% pending"litigation"and"the" of"law& while"first"marriage"was"still"
charges%to%obtain%an%improper% client’s"property"or" o forms"law"partnership" subsisting"
advantage%in%any%case%or%proceeding.%
interest"is"involved" with"a"layman& 5. carrying"an"illicit"affair"with"a"married"
! wilfully"disobeying"court"orders"
therein" o notarizes"oath"of"office" woman"
and"disrespect"to"courts&
o good"faith"is"not"a" as"a"lawyer"of"a"person" 6. for"raping"neighbor’s"wife"
o “wilfull”"conveys"the"idea"
defense"but"may"mitigate" who"failed"in"the"bar" "
of"a"flagrant"misconduct"
liability" exams& Conviction&of&a&crime&involving&moral&
such"as"would"indicate"a"
disposition"on"the"part"of" ! failing"to"account"or" o permits"non!lawyer"to" turpitude&
a"lawyer"so"refractory"in" misappropriating"client’s" sign"pleading"on"his" Moral"turpitude"means"anything"which"is"
property" behalf& done"contrary"to"justice,"honesty,"modesty"or"
its"character"as"to"affect"
! collecting"unreasonable"fees" ! non!payment"of"IBP"dues& good"morals"or"any"act"of"vileness"or"
his"qualification"and"
o applying"client’s"money" & depravity"in"the"private"and"social"duties"that"
standing"for"the"further"
to"pay"his"unreasonable" F.&OTHER&GROUNDS&FOR&DISCIPLINE& a"man"owes"his"fellowmen"or"to"society,"
exercise"of"his"office"as"
claim"for"work"done" NonTprofessional&misconduct,&generally& contrary"to"the"accepted"rule"of"right"and"
an"atty&
without"consent" ! lawyer"may"not"be"suspended"or" duty"between"man"and"man.""
! using"vicious"and"disrespectful"
o refusing"to"return"what" disbarred""and"the"court"may"not" ! in"general,"all"crimes"which"fraud"
language&
he"collected"as"payment" ordinarily"assume"jurisdiction"for" or"deceit"is"an"element"or"those"
! continuing"practice"even"after"
for"services"which"he"did" misconduct"in"his"non! inherently"contrary"to"the"riles"of"
suspension&
not"render" professional"or"private"capacity" right"conduct"involve"moral"
&
! acting"without"authority" unless"the"misconduct"is"so"gross" turpitude"
D.&BREACH&OF&DUTIES&TO&CLIENT&
o may"be"disciplined"for" a"character"as"to"show"him"to"be" o estafa,"swindling,"
Acts&constituting&breach&of&duties&to&client:&
compromising,"settling," morally"unfit"for"the"office"and" falsification"of"public"
! negligence"in"the"performance"of"
dismissing,"waiving"or" unworthy"of"the"privilege"which" document,"smuggling,"
duties"so"gross"in"character"and"
disposing"of"a"client’s" his"license"and"the"law"confer"on" bribery,"murder,"bigamy,"
causes"prejudice"to"client"
cause,"property"or" him& abduction,"seduction,"
o violates"canon"18"which"
interest"without"prior"or" ! lawyer"must"always"be"a"person" concubinage"and"
requires"lawyer"to"serve"
subsequent"authority" of"good"moral"character& violation"of"BP"22"
with"competence"and"
diligence" from"the"client" & o conviction"for"homicide"
o ignorance"of"the"law"is"a" ! wilfully"appearing"without"being" Gross&immorality& may"or"may"not"involve"
retained" Immoral"conduct"is"that"conduct"which"is"so" moral"turpitude"
ground"for"discipline"but"
" wilful,"flagrant"or"shameless"as"to"show" depending"on"the"facts"of"
not"for"an"honest"mistake"
E.&BREACH&OF&DUTIES&TO&THE&BAR& indifference"to"the"opinion"of"good"and" the"case"(read"Soriano"vs."
or"error"
Generally& responsible"members"of"the"community." Dizon"p.550)"
o pressure"and"large"
! unethical"conduct"is"that"which" Grossly"immoral"conduct"was"found"in"the" Other&acts:&
volume"of"work"in"not"an"
violates"the"rules"or"ethical"code" following"cases:" ! promoting"to"violate"or"violating"
excuse""
of"the"legal"profession"or"which"is" 1. Living"adulterously"with"another" penal"laws&
*Read"Jardin"vs."Villar,"Jr."
unbecoming"of"a"member"of"the" woman"after"abandoning"legal"wife" ! misconduct"as"public"officer&
p.%524%
bar& 2. having"carnal"knowledge"of"a"woman" ! misconduct"as"notary"public&
" !""employment"of"unlawful"means"
Acts&that&may&be&disciplined:& under"promise"of"marriage"and" o notarizing"document"
" !"defrauding"client"
! defaming"fellow"lawyers& urging"her"to"have"an"abortion"and" permitting"husband"to"
" !"representing"adverse"interests"and"
! communicating"with"adverse" thereafter"marrying"another"woman" take"a"concubine&
revealing"client’s"secrets"(takte"paulit"ulit"na"to"
alam"nyo"na"yan!)" party"(violates"Canon"9)& 3. misrepresenting"that"he"was"single" o authorizing"each"spouse"
" !"purchasing"client’s"property"in" ! encroaching"upon"business"of" when"in"fact"he"was"married"and" to"remarry&
litigation" another& succeeding"in"having"intercourse"with" o notarizing"in"the"absence"
o constitutes"malpractice" ! soliciting"business& her"and"thereafter"faking"a"marriage" of"the"affiant&
o requisites:"at"the"time"he" ! advertising& between"the"woman"and"his"son"
acquires,"he"is"counsel"

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

o for"not"disclosing"that"the" o deter"the"press"from" o ex"parte"investigation"is" within"15"days"from"

person"who"signed"is"an" publishing"charges"or" allowed"only"if" receipt"of"ruling&
authorized"agent& proceedings& respondent"fails"appear" o if"IBP"ruling"is"for"
o notarizing"a"fictitious" ! confidentiality&may&be&WAIVED& despite"notice& suspension"or"
document& by&the&lawyer& o if"not"meritorious,"may" disbarment,"it"shall"be"
! not"paying"a"just"debt"and"issuing" & be"dismissed"by"the" transmitted"to"the"SC"for"
bouncing"checks& Who&and&how&instituted& Board"of"Governors"and"a" final"action."The"SC"will"
& ! by"the"SC"motu"proprio& copy"of"the"resolution"of" decide"the"case"either"by"
CHAPTER&XVII& ! by"the"IBP& dismissal"furnished"the" Division"or"En"Banc"in"
! upon"a"verified"complaint"of"any" complainant"and"the"SC& accordance"with"the"
PROCEDURE&FOR&DISCIPLINE&AND& person& o SC"may"review"the"case" following:&
REINSTATEMENT& ! All"charges"against"justices"of"CA" motu"proprio"or"upon" $ Suspension"for"1"
& and"Sandiganbayan"and"judges"of" timely"appeal"of"15"days" year"or"less"–"
! Suspension"or"disbarment"is" CTA""and"lower"courts"shall"be" from"notice& Division&
sometimes"described"as"a" filed"with"the"SC,"IBP"has"no" ! Report&of&investigator&and& $ more"than"1"year"
punishment,"as"a"necessary" jurisdiction& decision&of&the&Board& –"En"banc&
consequence"of"its"primary" ! must"allege"SPECIFIC"facts"which" o not"later"than"30"days" $ Fine"of"10,000"or"
object,"which"is"not"so"much"to" constitute"the"particular"breach" from"the"termination"of" less"–"Division&
punish"the"individual"atty"himself" or"violation"of"law"or"the"Code"of" the"investigation,"a" $ More"than"
as"to"safeguard"the" professional"responsibility& report"containing"the" 10,000"–"en"banc&
administration"of"justice"by" ! After&filing&of&complaint:& findings"of"facts"and" $ In"case"both"
protecting"the"court"and"the" o IBP"grievance" recommendations"shall" suspension"and"
public"from"the"misconduct"of" investigator"or"if"required" be"submitted"to"the"IBP" fine"are"involved,"
officers"and"to"remove"those" a"panel"of"3"investigators" Board"together"with" En"banc"if"
persons"who"are"unfit"to" will"ascertain"if"complaint" stenographic"notes," suspension"is"
continue"discharging"the"trust" is"meritorious& transcript"and"all"the" more"than"1"year"
reposed"in"them"as"members"of" o if"meritorious,"copy"to"be" evidence"presented"& and"fine"exceeds"
the"law.& served"upon"respondent" $ he"may" 10,000&
! an"investigation"by"the"court"into" requiring"him"to"answer" recommend" $ In"case"of"2"or"
the"misconduct"of"its"officer"or"an" within"15"days"from"date" exoneration," more"
examination"of"his"character& of"service& admonition," suspensions"of"
! desistance"or"withdrawal"of" o answer"shall"be"verified& reprimand,"fined," the"lawyer,"
complainant"does"not"exonerate" o original"and"5"copies"filed" suspension"or" service"of"the"
respondent& with"the"investigator"with" disbarment"as" same"is"
! a"complaint"for"disbarment"or" proof"of"service"on" the"evidence"may" successive"and"
suspension"is"imprescriptible& complainant"or"his" warrant& not"
& counsel& o the"decision"of"the"IBP" simultaneous.&
Proceedings&are&confidential&until&its&final& o upon"joinder"of"issues"or" Board"shall"be""in"writing"" o Maronilla"vs."Jorda"
determination.& failure"of"respondent"to" and"clearly"and"distinctly" "The"decision"of"the"IBP"only"
! Three"fold"purpose:& answer,"investigator"shall" state"facts"and"reasons" takes"effect"upon"its"
o to"enable"the"court"to" proceed"with"the" on"which"it"is"based& affirmation"or"modification"
make"its"investigation" investigation"of"the"case;" o complainant"may"file" by"the"SC"because"the"
free"from"any"extraneous" investigation"shall" motion"for" inherent"power"to"discipline"
influence"or"interference& terminate"within"3" reconsideration"with"the" members"of"the"Bar"belongs"
o to"protect"the"personal" months"unless"extended" IBP"board& to"the"SC"and"not"the"IBP."It"is"
and"professional" for"good"cause"by"the" o Petition"for"review"may" a"matter"of"routine"that"
reputation"of"attys"from" Board"upon"prior" be"filed"with"the"SC" decisions"of"the"IBP"are"
baseless"charges& application& automatically"elevated"to"the"

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
SC"for"review"and"there"is"no"
need"for"a"petition"to"be"filed"
within"15"days"for"the"SC"to"
acquire"jurisdiction"over"the"
matter."
! there"must"be"clear,"convincing"
and"satisfactory"proof"and"he"
who"asserts"must"prove"
" of"the"case"and"discretion"of"the"
Proceedings&in&the&SC&and&other&courts&
! may"refer"investigation"to"the"SC"
or"to"any"officer"of"the"court"or"
judge"of"lower"court"
! pending"final"resolution,"SC"may"
suspend"the"respondent"from"the"
practice"of"law"
! CA"or"RTC"may"suspend"an"atty"
after"due"notice"and"opportunity"
to"be"heard,"until"further"action"
by"the"SC"
! failure"of"atty"to"submit"the"
required"explanation"constitutes"
waiver"of"the"right"to"be"heard"
! res"ipsa"loquitur"applies;"trial"
type"hearing"is"not"necessary"if"
facts"of"record"sufficiently"
provide"basis"for"determination"
of"the"liability"
" o explanation"and"plea"of"
Defenses&
! should"not"resort"to"technicalities"
when"the"facts"are"clear"and"
undisputed&
! deny"complainant’s"claim"only"if"
in"good"faith&
! should"accept"misdeeds"and"ask"
for"leniency"to"mitigate"liability&
& o was"previously"
Executive&pardon&
! absolute"pardon"is"a"bar"to"a"
proceeding"for"disbarment"based"
solely"on"the"commission"of"the"
offense"because"lawyer"is"
considered"as"innocent"and"
guiltless,"but"if"disbarment"is"not"
based"upon"the"commission"of"
the"pardoned"offense,"then"
disciplinary"action"will"still"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
prosper"against"the"atty"because"
the"pardon"relieves"him"of"penal"
consequences"but"does"not"
restore"his"character&
! if"absolute"pardon"granted"
subsequent"to"disbarment,"
reinstatement"not"automatic"and"
depends"upon"the"circumstances"
court&
! conditional"pardon"does"not"
operate"as"bar"to"disbarment"
proceedings&
& ! Disbarment"is"a"juridical"act"of"
Modifying&circumstances&
! Mitigating:&
o good"faith&
o lack"of"material"damage&
o desistance"of"
complainant&
o youth"and"inexperience&
o error"in"judgment&
o honest"and"efficient"
service"in"various"govt"
positions&
o being"first"offense&
o admitting"mistake"and"
expressing"apologies&
forgiveness&
o clean"record"in"the"past&
! Aggravating:&
o abuse"of"authority&
o having"sex"with"the"
lawyer’s"relative&
o making"marriage"a"
mockery&
disciplined&
o defrauding"the"govt&
& indispensable"qualification&
Dismissal&of&the&case&
! in"the"absence"of"clearly"
preponderant"evidence,"it"should"
be"dismissed&
! any"doubt"should"be"resolved"in"
atty’s"favour&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
! death"of"the"atty"during"the"
pendency"of"the"case"renders"the"
action"moot"and"academic,"but"
the"court"may"still"resolve"to"
clear"the"atty’s"name&
& ! such"reinstatement"does"not"
Disciplinary&sanctions;&basic&considerations&
! discretionary"upon"the"court&
! exercised"on"the"preservative"and"
not"on"the"vindictive"principle&
! Censure"or"reprimand"is"usually"
meted"out"for"an"isolated"act"of"
misconduct"of"lesser"nature."&
withdrawing"the"privilege"to"
practice"law,"is"the"most"severe"
sanction.&
! Suspension"is"correctional"in"
nature"and"may"be"for"a"definite"
or"indefinite"period."Suspension"
for"an"indefinite"period"is"actually"
a"qualified"disbarment,"meted"
out"for"a"specific"purpose"
desired."&
! Fine"is"a"sort"of"warning"that"a"
lawyer"should"be"more"careful"in"
the"discharge"of"his"duties.&
! Admonition"is"a"gentle"and"
friendly"reproof,"a"mild"rebuke,"a"
warning.&
& "
Effects&of&suspension&or&disbarment&
! self!executory"but"lawyer"may"
still"appear"to"defend"himself"
because"this"is"not"considered"as"
practice"of"law"but"an"exercise"of"
a"right&
! may"result"in"dismissal"from"govt"
office"which"requires"
membership"in"the"bar"as"an"
! judgment"always"subject"to"
change"or"modification"of"the"
court"regardless"of"period"that"
has"lapsed&
! legislative"and"executive"branch"
cannot"modify"the"sanction"
meted"out"by"the"court&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
&
Reinstatement&
! SC"has"exclusive"authority"to"
reinstate"disbarred"or"indefinitely"
suspended"lawyer&
become"final"as"it"may"be"
reopened"or"reconsidered"by"the"
SC"upon"proper"petition"and"
satisfactory"evidence&
! rests"on"sound"discretion"of"the"
court&
! in"a"petition"for"reinstatement,"
the"petitioner"must"allege"and"
prove"that"he"is"of"such"good"
moral"character"acquired"through"
positive"efforts"and"moral"
reformation"as"to"be"fit"and"
proper"person"to"practice"law,"
and"that"he"possesses"such"
mental"qualifications"as"to"enable"
him"to"discharge"his"duties"
properly&
! quantum"necessary"for"
reinstatement"is"same"as"that"for"
admission&
! the"court"in"reinstating"the"
lawyer"may"impose"certain"
conditions"on"his"re!admission&
"
CHAPTER&XVIII&
NEW&CODE&OF&JUDICIAL&CONDUCT&
"
Preliminary"
Administrative"Order"No."162"
! issued"by"the"DOJ"on"Aug."1,"1946"
! promulgated" the" canons" of"
judicial"ethics"
"
1987"Constitution"
! vested" in" the" Supreme" Court" the"
administrative" supervision" over"
all"judges."
! The" Supreme" Court" adopted" the"
Code" of" Judicial" Conduct"
(Effective:"Oct."20,"1989)"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

! Later" replaced" by" the" New" Code" ! Admnistration"of"justice"us"a"joint" the" statutes" and" procedural" for" a" suspected" drug" queen" and"
of" Judicial& Conduct& for& the& responsibility" of" the" judge" and" rules." interfered"with"her"prosecution."
Philippine& Judiciary" which" took" the"lawyer."" ! They" must" know" the" laws" and" ! A" judge" should" not" only" be"
effect"on"June&1,&2004." ! Their" relations" should" be" based" apply"them"properly"and"in"good" impartial," independent" and"
" on" mutual" respect" and" on" deep" faith." honest" but" should" also" be"
New&Code&of&Judicial&Conduct" appreciation"by"one"of"the"duties" ! He"must"be"conservant"with"basic" perceived"as"such."
! See" Agpalo" book" for" the" codal" of"the"other." legal" principles" and" well!settled" ! Fraternizing" with" litigants"
provisions"of"the"Canons" ! Upon" his" assumption" to" office," a" and"authoritative"doctrines." tarnishes"his"appearance."
" judge" becomes" a" visible" ! With" regard" to" his" fellow" judges," "
DEFINITIONS& representation" of" the" law" and" they" owe" each" other" utmost" A&judge&should&exhibit&the&cold&neutrality&of&
& more"importantly,"of"justice." respect" impartial&judge"
Court& Staff& !" & includes" the" personal" staff" of" " ! He" is" the" head" of" the" office" (his" ! While" a" judge" should" possess"
the"judge"including"the"law"clerks." Who&is&a&judge" sala)" tasked" with" supervising" the" proficiency"in"law"in"order"that"he"
" ! employed" to" designate" a" public" employees" who" by" their" can" competently" construe" and"
Judge&!"any"person"exercising"judicial"power," officer"selected"to"preside"and"to" functions"are"to"assist"him"in"the" enforce" the" law," it" is" more"
however"designated." administer" law" in" a" court" of" performance" of" his" judicial" important"that"he"should"act"and"
" justice." duties." behave"in"such"a"manner"that"the"
Judge’s&family&!"includes"judge’s"spouse,"son," ! He" bears" himself" in" the" ! He"should"organize"his"court"with" parties" before" him" should" have"
daughter," son!in!law," daughter!in!law," and" community" with" friends" but" a"view"to"prompt"and"convenient" confidence"in"his"impartiality."
any"other"relative"by"consanguinity"or"affinity" without"famiiars." dispatch" of" its" business" and" ! He" should," in" the" performane" of"
within"the"sixth&civil&degree,"or"person"who"is" ! He" is" a" symbol" of" rectitude" and" should" not" tolerate" abuses" and" his"functions,"avoid"side"remarks,"
a" companion" or" employee" of" the" judge" and" propriety," comporting" himself" in" neglect" of" clerks," sheriffs," or" hasty" conclusions," loose"
who"lives"in"the"judge’s"household." a" manner" that" will" receive" no" other"assistants."" statements" or" gratuitous"
" doubt" whatsoever" about" his" ! The" conduct" and" behavior" of" utterances" that" could" form" the"
• In" case" of" deficiency" or" absence" of" honesty." everyone" connected" with" the" basis" for" erroneous" impressions"
specific" provisions" in" this" New" Code,& ! He" is" a" public" officer" who," by" dispensation" of" justice" should" be" in" the" mind" of" those" who" hear"
the&Canons&of&Judicial&Ethics&and&the& virtue" of" his" office," is" clothed" circumscribed" with" the" heavy" them"and"who"may"conclude"that"
Code& of& Judicial& conduct& shall& be& with" judicial" authority" to" decide" burden"of"responsibility." he" is" prejudging" the" case" or" the"
applicable&in&a&suppletory&character." litigated" questions" according" to" ! Implicit% limits" include" accepted" issues" that" come" before" him" in"
" law." legal"values"and"the"explicit%limits" the"exercise"of"his"jurisdiction."
A. UPHOLDING&THE&INTEGRITY&AND& " are" substantive" and" procedural" ! He" should" refrain" from" doing"
INDEPENDENCE&OF&THE&JUDICIARY" What&a&judge&should&be,&generally& rules"of"law." essentially" police" work" that" may"
" ! a" judge" should" be" conscientious," " involve" prosecution" of" crimes"
Generally& studious," thorough," courteous," B. AVOIDING&IMPROPRIETY&OR& which" he" may" have" to" hear" and"
! The" preamble" of" the" Code" of" patient," punctual," just," impartial," APPEARANCE&THEREOF& decide."
Judicial" Conduct" capsulizes" what" fearless" of" public" clamor," and" & ! In"a"special&proceeding,"the"judge"
the"judiciary"should"be." regardless" of" private" influence," A&judge&should&be&free&from&impropriety&and& whose" order" is" under" attack" in"
! The" 5" canons" and" implementing" should" administer" justice" appearane&thereof"(Canon&2)" the"CA"is"merely"a"nominal&party."
rules" of" the" Code" require" what" according"to"law" ! Judges" may" conduct" themselves" "
judges"ought"and"ought"not"to"do" ! He" should" not" allow" outside" in"such"manner"that"they"give"no" Judge’s&demeanor&in&social&functions"
in" their" official" and" private" matter" or" his" private" interests" ground"for"reproach."They"should" ! A" judge" should" still" continue" to"
conduct," so" as" to" have" an" interfere" with" the" prompt" and" maintain" high" ethical" principles" mingle" in" social" intercourse," and"
honorable," competent" and" proper"performance"of"his"office." and"a"sense"of"propriety." that" he" should" not" discontinue"
independent"judiciary"and"enable" ! Judges" are" expected" to" keep" ! A"Justice"of"the"CA"did"not"live"up" his" interest" in" or" appearance" at"
them" to" achieve" its" ultimate" aim" abreast"of"all"laws"and"prevailing" to" these" expectations" when," meetings"of"members"of"the"bar."
–" to& promote& justice& by& jurisprudence." through" indiscretions," he" had" He" should," however," in" pending"
administering& it& fairly,& ! They" should" exhibit" more" than" been" mentioned" in" the" or" prospective" litigation" before"
impartially,&and&promptly." just" cursory" acquaintance" with" newspapers" of" having" lawyered" him," be" scrupulously" careful" to"

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
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avoid" such" action" as" may"
reasonably" tend" to" waken" the"
suspicion" that" his" social" or"
business" relations" or" friendships"
constitute" an" element" in"
determining"his"judicial"action."
! A" judge" who" yields" to" the"
strength" of" the" “spirits”" and" acts"
like" an" uninhibited" drunkard" in" a"
public" place" demeans" his" judicial"
office."
" ! A" judge" who" is" gulty" of" sexual"
C. PERFORMANCE&OF&DUTIES&
& unbecoming"of"a"judge."
Generally&
! A" judge" should" be" attentive,"
impartial" and," since" he" is" to"
administer"the"law"and"apply"it"to"
the" facts," he" should" be" studious"
of" the" principles" of" law,"
knowledgeable" in" procedural"
rules" and" diligent" in" endeavoring"
to"ascertain"the"fatcs."
! He" mut" also" decide" cases" in" a"
manner" free" from" any" suspicion"
as" to" fairness" and" impartiality"
and"as"to"his"integrity."
! His" language," both" written" and"
spoken," must" be" guarded" and"
measured," lest" the" best" of"
intentions"be"misconstrued."
" proceedings,"distract"the"witness,"
A&judge&should&be&a&man&of&learning&
! A"judge"owes"it"to"the"public"and"
to" the" legal" profession" to" know"
the" very" law" he" is" supposed" to"
apply"to"a"given"controversy."
! He" should" be" studious" of" the"
principles" of" law" and" diligent"
endeavoring" to" ascertain" the"
facts."
! The" learning" process" in" law" does"
not" stop" upon" graduation" from"
college"and"admission"to"the"Bar."
It"is"a"continuing"process."
" ! He" should" be" considerate" of"
A&judge&should&be&a&visible&representation&of&
law&and&justice&
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! A"judge"must"be"the"first"to"abide"
the" law" and" weave" an" example"
for" the" others" to" follow." He"
should," therefore," be" studiously"
careful" himself" and" avoid" even"
the"slightest"infraction"of"the"law,"
lest"it"be"a"demoralizing"example"
to"others."
! A"judge"who"solemnizes"marriage"
without" a" marriage" license"
deserves"administrative"sanction."
harassment" or" unjust" vexation" is"
" behavior" has" no" place" in"
Fitting&dignity&and&decorum"
! This" norm" of" conduct" demands"
that" a" judge" should" show" no"
shortness" of" temper" which"
merely" detracts" from" the"
equanimity" and" judiciousness"
that" should" be" the" constant"
marks"of"a"dispenser"of"justice."
! A" judge" should" not" permit" the"
taking" of" pictures" in" the" court"
room," during" sessions" of" the"
court" or" recesses" in" between"
sessions,"and"the"broadcasting"or"
televising" of" court" proceedings"
for" the" detracts" from" the"
essential" dignity" of" the"
degrade" the" court," and" create"
misconceptions" with" respect"
thereto"in"the"mind"of"the"public."
" clarify" obscure" and" incomplete"
Attitude& toward& lawyers,& litigants& or&
witnesses&
! A" judge" should" be" courteous" to"
counsel," especially" to" those" who"
are"young"and"inexperienced"and"
also"to"all"those"others"appearing"
or" concerned" in" the"
administration" of" justice" in" the"
court."
witnesses" and" others" in"
attendance"upon"his"court."
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! He" should" not" interrupt" counsel"
in" their" arguments" except" to"
clarify" his" mind" as" to" their"
positions."
! He" may" utilize" his" opportunities"
to" criticize" and" correct"
unprofessional" conduct" of"
attorneys," brought" to" his"
attention," but" he" may" not" do" so"
in"an"insulting"manner."
& "
Judge& should& not& resort& to& intemperate&
language"
! High!strung" and" belligerent"
government" service" where"
government" personnel" must" act"
with" self!restraint" and" civility" at"
all"times."
! He" should" refrain" from" conduct"
that" demeans" his" office" and"
remember" that" courtesy" begets"
courtesy."
! In" cases" where" a" judge" is"
required" to" file" his" comment" by"
the" Supreme" Court," he" should"
not" employ" derogatory" or"
disrespect"language"to"emphasize"
a"point."
" counsel"within"the"fourth"degree,"
Questioning&witnesses"
! A" judge" may" properly" intervene"
in" the" presentation" of" evidence"
to" expedite" and" prevent"
unnecessary" waste" of" time" and"
details" after" the" witness" has"
given" direct" testimony" or" in" the"
course"thereof."
! But"the"judge"should"limit"himself"
to" asking" clarificatory" questions"
and"the"right"should"be"sparingly"
and"judiciously"used,"for"the"rule"
is" that" the" court" should" stay" out"
of"it"as"much"as"possible."
! A" judge" may" examine" or" cross!
examine"a"witness."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! While" ex% parte" hearing" of"
applications" for" provisional"
remedies" should" be" discouraged,"
a" judge" may" act" upon" such"
application" only" where" the"
necessity"or"quick"action"is"clearly"
shwon" and" only" when" the" judge"
has" endeavored" to" counteract"
the" effect" the" ansence" of" a"
counsel."
Undue&interference&in&questioning&witnesses"
! What" is" proscribed" is" undue"
interference" by" proppunding"
questions"to"the"witnesses"which"
will"have"the"effect"of"or"will"tend"
to" build" or" bolster" the" case" for"
one"of"the"parties."
"
Compulsory&disqualification&of&a&judge"
! Sec& 1,& Rule& 137& of& the& Rules& of&
Court:" “No" judge" or" judicial"
officer" shall" sit" in" every" case" in"
which" he," or" his" wife" or" child," is"
pecuniarily" interested" as" heir,"
legatee,"creditor,"or"otherwise,"or"
in" which" he" is" related" to" either"
party" within" the" sixth" degree" of"
consanguinity" or" affinity," or" to"
computed" according" to" the" rules"
of"the"civil"law,"or"in"which"he"has"
been" executor," administrator,"
guardian," trustee," or" counsel," or"
in" which" he" has" presided" in" any"
inferior" court" when" his" ruling" or"
decision" is" the" subject" of" review,"
without"the"written"consent"of"all"
the" parties" in" interest," signed" by"
them" and" entered" upon" the"
record.”"
! “A" judge" may," in" the" exercise" of"
his" sound" discretion," disqualify"
himself"from"sitting"in"a"case,"for"
just" or" valid" reasons" other" than"
those"mentioned"above.”"
! His" continuing" with" the" case,"
without"the"written"consent"of"all"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
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the" parties," has" the" following"
effects:"
o The" judge" is" deprived" of"
his" authority" to" continue"
to" hear" and" decide" the"
case." It" does" not,"
however,"divest"the"court"
of"jurisdiction."
o A"judge"who"continues"to"
hear"a"case"in"which"he"is"
disqualified" under" any" of"
those" enumerated"
grounds" may" be" held"
administratively" liable"
therefor," except" where"
all" the" parties" concerned"
have" given" their" consent"
thereto."
" official"is"disqualified"from"sitting"
Voluntary&disqualification"
! In" 1962," the" Supreme" Court"
allowed" judges" to" voluntarily"
inhibit"themselves"to"sit"in"a"case"
because" of" being" related" to" the"
lawyer"of"one"of"the"litigants,"and"
stated" that" the" law" on"
compulsory" disqualification" does"
not" preclude" cases" of" voluntary"
inhibition" based" on" good," sound"
or"ethical"grounds."
! A" judge" may" not" be" legally"
prohibited" from" itting" in" a"
litigation."But"when"suggestion"is"
made"of"record"that"he"might"be"
induced" to" act" in" favor" of" one"
party" or" with" bias" or" prejudice"
against" a" litigant" arising" of"
circumstances" reasonably"
capable" of" inciting" such" state" of"
mind," he" should" conduct" a"
careful"self!examination."
! However," his" decision" to"
disqualify" himself" is" not"
conclusive," and" his" competency"
may" be" determined" on"
application" for" mandamus" to"
compel"him"to"act."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! Bias" and" lack" of" objectivity" as" a"
ground" for" disqualification" of" a"
judge"has"to"be"proved."
! The" mere" filing" of" an"
administrative" case" against" a"
judge" is" not" a" ground" for"
disqualifying" him" from" hearing"
the"case."
! The"fact"alone"that"the"judge"is"a"
next!door" neighbor" of" the"
complainant" in" a" case" is" not" a"
ground" for" his" mandatory" or"
voluntary" disqualification" to" sit"
on"the"case."
" pending" cases" which" have" not"
Procedure&for&disqualification"
! Sec&2&of&Rule&137&of&the&Rules&of&
Court:" “If" it" be" claimed" that" an"
as" above" provided," the" party"
objecting"to"his"competency"may,"
in"writing,"file"with"the"official"his"
objection," stating" the" grounds"
therefor," and" the" official" shall"
thereupon"proceed"with"the"trial,"
or" withdraw" therefrom" in"
accordance" with" his"
determination" of" the" question" of"
his" disqualification." His" decision"
shall" be" forthwith" made" in"
writing" and" filed" with" the" other"
papers"in"the"case,"but"no"appeal"
or" stay" shall" be" allowed" from," or"
by"means"of,"his"decision"in"favor"
of"his"own"competency,"until"final"
judgment"in"tha"case.”"
! The"provision"applies"to"both"civil"
and"criminal"cases."
" a"faithful"compliance"with"the"set"
Prompt&disposition&of&cases"
! A"judge"should"organize"his"court"
with" a" view" to" prompt" and"
convenient" dispatch" of" business,"
be" punctual" in" the" performance"
of" his" duties," exhibit" an" industry"
and" application" commensurate"
with" the" duties" imposed" upon"
him" and" be" prompt" in" disposing"
A.Y.&2013T2014&
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all" matters" submitted" to" him,"
especially" those" cases" which" the"
law" requires" to" be" expeditiously"
heard"and"decided."
! Read" Art.& VIII,& Sec.& 15& of& the&
1987&Constitution"
! If" for" some" valid& reason" a" judge"
cannot" decide" a" case" within" the"
period," he" must" request" the"
Supreme" Court" for" an" extension"
of"time"to"resolve"it."
! The" requirement" that" judges"
should" execute" certificates" of"
service" stating" that" they" have" no"
been" resolved" after" 90" days" is" a"
pre!requisite" to" paying" them"
their"salary."
! A"judge"who"fails"to"decide"cases"
within" the" required" period" and"
continues" to" collect" his" salaries"
upon"his"certification"that"he"has"
no" pending" matter" to" resolve"
beyond" the" required" period,"
transgresses" the" constitutional"
right" of" the" people" to" a" speedy"
disposition" of" cases." It" also"
warrants" the" imposition" of"
administrative" sanction" against"
him."
! What" the" Constitution" prohibits"
are" unreasonable" delays,"
arbitrary" and" oppressive" delays"
which"render"rights"nugatory."
! The" duty" to" dispose" of" the" court"
business" promptly" and" to" decide"
cases" withing" the" prescribed"
periods"should"be"consistent"with"
of"procedures"laid"down"therefor."
& just" as" he" should" not" close" his"
Adjudication&of&cases"
! A" judge" should" endeavor"
diligently" to" ascertain" the" facts"
and"the"applicable"law"unswayed"
by"partisan"or"personal"interests,"
public"opinion"or"fear"of"criticism."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! If" he" feels" that" a" law" or" doctrine"
enunciated"by"the"Supreme"Court"
is"against"his"way"of"reasoning"or"
his" conscience," he" may" state" his"
personal" opinion" on" the" matter"
but" should" decide" the" case" in"
accordance" with" the" law" or"
doctrine" and" not" with" his"
personal" views." Once& the&
Supreme& Court& has& spoken,& all&
other& courts& must& be& guided& by&
its&decision."
! A" judge" who" disregards" a"
temporary" restraining" order" of"
the" Supreme" Court" is" not" only"
ignorant" of" the" rule" but," in" a"
larger" sense," commits" abuse" of"
authority," misconduct" and"
conduct"prejudicial"to"the"proper"
administration"of"justice."
! A" judge" should" adopt" the" usual"
and" traditional" method" of" doing"
justice" which" requires" that" he"
should" hear" both" sides" with"
patience" and" understanding"
before"he"renders"a"decision."
! If"a"judge’s"order"is"challenged"in"
an" appellate" court," he" does" not"
have" to" file" any" answer" or" take"
active" part" in" the" proceeding"
unless"pexpressly"directed"by"the"
appellate" court." He" is" merely" a"
nominal"party"to"the"case."
"
Dispensation&of&criminal&justice"
! The" judge’s" action" must" not"
impair" the" substantial" rights" of"
the"State"and"the"offended"party"
to" due" process" of" law," to" enable"
the" guilty" to" escape" unpunished,"
eyes" to" weak" evidence" to" bring"
about" the" conviction" of" the"
innocent."
! “It" ia" better" that" ten" guilty"
persons" escape" than" one"
innocent"suffer.”"
"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
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Rendition&of&judgment"
! In" disposing" of" controverted"
cases,"a"judge"should"indicate"the"
reasons"for"his"action"in"opinions"
showing" that" he" has" not"
disregarded" or" overlooked"
serious"arguments"of"counsel."
! He" should" state" clearly" the" facts"
and" the" law" on" which" the"
judgment"is"based."
! In" formulating" the" dispositive"
portion"of"the"decision,"he"should"
spell" out" clearly," distinctly" and"
unequivocally"the"adjudication"of"
the" rights" and" obligations" of" the"
parties" and" the" disposition" made"
as" well" as" the" directives" and"
instructions" given," leaving"
absolutely& no& room& for& dispute,&
debate,& or& interpretation&
thereof,"because"it"is"this"portion"
that" is" to" be" executed" once" the"
decision"becomes"final."
" Personal&or&private&relations,&generally"
Judgment" !" the" decision" or" sentence" of" the"
law" given" by" a" court" or" othre" tribunal" as" the"
result" of" proceedings" instituted" therein" and"
based"on"evidence"presented."
! It" is" a" judicial" act" which" settles"
the" issues," fixes" the" rights" and"
liabilities" of" the" parties," and"
determines"the"proceedinf,"and"is"
regarded" as" the" sentence" of" the"
law" pronounced" by" the" court" on"
the"action"or"question"before"it."
! A"judgment"or"decision"that"does"
not" comply" with" the"
Constitutional" requirements" of"
stating" the" facts" and" law" on"
which"it"is"based"may"violate"the"
right"of"the"affected"party"to"due"
process" and" to" be" informed" of"
how"the"case"was"decided."
! The" purpose" of" the" requirement"
is" to" inform" the" party" of" the"
reason/s" for" the" decision" so" that"
if" any" of" them" appeals," he" can"
point" out" to" the" appellate" court"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
the"finding"of"facts"or"the"rulings"
on" points" of" law" with" which" he"
disagrees." More" than" that," the"
requirement" is" an" assurance" to"
the" parties" that," in" reaching"
judgment," the" judge" did" so"
through" the" processes" of" legal"
reasoning."
" ! The" rights," duties," privileges" and"
Promulgation" !" signifies" that" on" the" date"
the" decision" was" made," " judge/s" who" signed"
the"decision"continued"to"support"it."
! If" at" the" time" of" the"
promulgation," a" judge" or" a"
member" of" the" collegiate" court"
has"already"vacated"his"office,"his"
vote"is"automatically"withdrawn."
! If" this" rule" is" not" followed," the"
decision"is"not&valid."
" because" that" might" create" an"
D. ACTIVITIES&OTHER&THAN&DISCHARGE&
OF&JUDICIAL&FUNCTIONS"
" with" the" judge" and" in"
! A" judge" should" not" accept"
inconsistent" duties," nor" incur"
obligations," pecuniary" or"
otherwise," which" will" in" any" way"
interfere"with"his"devotion"to"the"
expeditious" and" proper"
administration" of" his" official"
functions."
! He"should"avoid"giving"ground"for"
any" reasonable" suspicion" that" he"
is" utilizing" the" power" or" prestige"
of" his" office" to" enhance" his"
personal" self!interest" or" to"
persuade" to" coerce" others" to"
patronize"or"contribute,"either"to"
the" success" of" private" business"
ventures," or" to" charitable"
enterprises."
! He" should" not," in" any" event,"
engage" in" provate" business"
without"the"written"permission"of"
the"Supreme"Court."
! He" should" not" willfully" refuse" to"
pay"his"debt."
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
Judge&should&not&practice&law"
! Sec.&35,&Rule&138&of&the&Rules&of&
Court" prohibits" a" judge" from"
engaging"in"provate"practice"as"a"
member" of" the" bar" or" giving"
professional"advice"to"clients."
! The" prohibitopn" is" based" on"
sound"reasons"of"public"policy."
functions" of" the" office" of" an"
attorney!at!law" are" so" inherently"
incompatible" with" the" high"
judicial"functions,"duties,"powers,"
discretions" and" privileges" of" a"
judge."
! A" judge" should" not" permit" a" law"
firm,"of"which"he"was"formerly"an"
active" member," to" continue" to"
carry" his" name" in" the" firm" name"
impression" that" the" firm"
possesses" an" improper" influence"
consequence," tend" to" impel"
those" in" need" of" legal" services" in"
connection" with" matters" before"
him"to"employ"the"law"firm."
! As" a" general" rule," the"
appointment" or" election" of" an"
attorney" to" a" government" office"
disqualifies"him"from"engaging"in"
the" private" practice" of" law." The"
disqualification" is" intended" to"
preserve" the" public" trust" in" a"
public" office," avoid" conflict" of"
interests" and" assure" the" people"
of"impartiality."
" approval"of"their"office."
Personal&investments"
! A" judge" should" abstain" from"
making" personal" investments" in"
enterprises" which" are" apt" to"
beinvolved" in" litigation" in" his"
court," and" after" accession" to" the"
bench,"he"should"not"retain"such"
investments" previously" made,"
longer"than"a"period"sufficient"to"
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enable" him" to" dispose" of" them"
without"serious"loss."
! A" judge" violates" the" rules" by"
posting" advertisements" for" the"
restaurant" personnel" on" the"
court" bulletin" board," using" his"
court" address" to" receive"
applications" for" employment" in"
the" family" business," and"
screening" applications" in" his"
court," as" they" constitute"
involvement" of" private" business."
This" violation" merits" dismissal" of"
the"judge"from"the"service."
! He" violates" the" canon" where" he"
lends" money" at" unconscionable"
interests" and" files" suit" for"
collection" at" the" place" where" he"
is" a" judge," to" enable" him" to" take"
advantage" of" his" position." Such"
action"merits"a"reprimand."
"
Prohibited&acts&and&transactions"
! Sec&7&of&RA&6713"prohibits"public"
officers" from" undertaking" certain"
business" transactions" or" doing"
certain" acts" which" may"
compromise" his" position" as" a"
public" official." This" provision" also"
applies"to"judges."
o Financial% and% material%
interest" –" Public" officials"
and" employees" shall" not,"
directly" or" indirectlym"
have" any" financial" or"
material" interest" in" any"
transaction" requiring" the"
o Outside% employment% and%
other% activities% related%
thereto" –" Public" officials"
and" employees" during"
their" incumbency" shall"
not:"
$ Own," control,"
manage" or"
accept"
employment" as"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)& Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

officer," Restriction& against& accepting& certain& outside" the" Philippines" interfere" with" the" discharge" of"
employee," employment" (such" as" allowances," his"official"functions."
consultant," ! A" lawyer" shall" not," after" leaving" transportations,"food"and" "
counsel," broker," the" government" service," accept" lodging)" of" more" than" Financial&disclosure&and&divestment"
agent," trustee" or" engagement" or" employment" in" nominal" value" if" such" ! Read"Secs.&8&&&9&of&RA&6713."
nominee" in" any" connection" with" any& matter" in" acceptance" is" o Public" officials" have" an"
private" which"he&had&intervened"while"in" appropriate"or"consistent" obligation" to" accomplish"
enterprise" said"service." with" the" interest" of" the" and" submit" declarations"
related," ! Read" PCGG% v.% Sandiganbayan% Philippines," and" under" oath" their" assets,"
supervised" or" and% Mendoza% G.R.% Nos.% 151800S permitted"by"the"head"of" liabilities," net" worth" and"
licensed" by" their" 12,%April%12,%2005." office," branch" or" agency" financial" business"
office" unless" " to"which"he"belongs." interests" including" those"
expressly"allowed" Prohibition&against&soliciting&gifts" ! The" rules" does" not" intend" to" of" their" spouses" and" of"
by"law." ! A" judge" should" not" accept" any" restrict" or" prohibit" any" unmarried"children"under"
$ Engage" in" the" presents" or" favors" from" litigants" educational," scientific" or" cultural" 18" years" of" age" living" in"
private" practice" or"from"lawyers"practicing"before" exchange" programs" subject" to" their"households."
of" their"" him." national"security"requirements." ! The" documents" shall" contain"
profession" unless" ! Sec.& 7(d)& of& RA& 6713:" “Public" ! A" judge" violates" the" above" information"on"the"following:"
authorized"by"the" officials"and"employuees"shall"not" provision" when" he" accepts" the" o Real" property;" its"
Constitution" or" solicit" or" accept," directly" or" free"use,"for"a"year,"of"a"car,"and" improvements,"
by" law," provided" indirectly," any" gift," gratuity," his" availment" for" free" of" battery" acquisition" costs,"
that" such" favor," entertainment," loan" or" recharging"services"of"the"shop"of" assessed" value" and"
practice" will" not" anything"of"money"value"fron"any" a"litigant"who"has"a"pending"case" current"fair"market"value"
conflict" or" tend" person" in" the" course" of" their" before"him." o Personal" property" and"
to" conflict" with" official" duties" or" in" connection" " acquisition"cost"
their" official" with" any" operation" being" Restriction& against& using& public& office& to& o All" other" assets" such" as"
functions"or;" regulated" by," or" any" transaction" promote&private&interest" investments," cash" on"
$ Recommend" any" which" may" be" affected" by" the" ! This" restriction" particularly" hand" or" in" banks," stocks,"
person" to" any" functions"of"their"office." applies"to"lawyers"in"government" bonds"and"the"like"
position" in" a" ! The"Congress"consents"to:" service," who" are" allowed" by" law" o Liabilities"
private" o The" acceptance" and" to" engage" in" private" law" o All"business"interests"and"
enterprise" which" retention" by" a" public" practiceand" to" those" who," financial"connections"
has" a" regular" or" official" or" employee" of" a" though"prohibited"from"engaging" ! The"documents"must"be"filed:"
pending" official" gift" of" nominal" calue" in"the"practice"of"law,"like"judges," o Within" 30" days" after"
transaction" with" tendered"and"received"as" have" friends," former" associates" assumption"of"office"
their"office." a" souvenir" or" mark" of" and" relatives," who" are" in" the" o On" or" before" April" 30" of"
! These" prohibitions" shall" continue" courtesy" active"practice"of"law." every"year"thereafter"
to" apply" for" 1& year" after" o The" acceptance" by" a" ! Since" the" law" does" not" allow" a" o Within" 30" days" after"
resignation," retirement," or" public" official" or" judge" to" practice" his" profession," separation"from"service."
separation" from" public" office," employee" of" a" gift" in" the" he"should"not"do"so"indirectly"by" o They" shall" also" execute,"
except" in" the" case" of" nature"of"a"scholarship"or" being" a" silent" partner" in" a" law" within" 30" days" from" the"
subparagraph& (b)(2)" above," but" fellowship" grant" or" firm" or" by" securing" a" legal" date" of" their" assumption"
the" professional" concerned" medical"treatment" business" for" a" friend" or" former" of" office," the" necessary"
cannot" practice" his" profession" in" o The" acceptance" by" a" associate"in"the"active"practice"of" authority" in" favor" of" the"
connection" with" any" matter" public" official" or" law" and" receiving" a" share" in" the" Ombudsman" to" obtain"
before"the"office"he"used"to"be"in" employee"of"travel"grants" attorney’s"fees"for"his"efforts." from" all" the" appropriate"
which"case"the"1"year"prohibition" or" expenses" for" travel" ! A"public"official"shall"see"to"it"that" government" agencies,"
shall"likewise"apply." taking" place" entirely" his" private" activity" does" not" including" the" BIR," such"

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
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Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
documents" as" may" show"
theirs" assets," liabilities,"
net" worth," and" also" their"
business" interests" and"
financial" connections" in"
previous"years,"including,"
if"possible,"the"year"when"
they" first" assumed" any"
office"in"the"Government."
! Husband" and" wife" who" are" both"
public"officials"or"employees"may"
file" the" required" statements"
jointly"or"separately."
! SALN" and" Disclosure" of" Business"
Interests" and" Financial"
Connections"shall"be"filed"by:"
o Constitutional" and"
national" elective" officials"
with" the" national" office"
of"the"Ombudsman"
o Senators" and"
Congressmen," with" the"
Secretaries" of" the" Senate"
and" the" House" of"
Representatives,"
respectively;" Justices,"
with"the"Clerk"of"Court"of"
the" Supreme" Court;"
Judges" with" the" Court"
Administrator;" and" all"
national" executive"
officials"with"the"Office"of"
the"President"
o Regional" and" local"
officials" and" employees,"
with" the" Deputy"
Ombudsman" in" their"
respective"regions"
o Officers" of" the" armed"
forces" from" the" rank" of"
colonel" or" naval" captain,"
with" the" Office" of" the"
President," and" those"
below" said" ranks," with"
the" Deputy" Ombudsman"
in" their" respective"
regions"
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& By&Ruben&E.&Agpalo&
o All" other" public" officials"
and" employees," defined"
in"RA"3019,"with"the"Civil"
Service"Commission."
! It" shall" be" unlawful" for" any"
person" to" obtain" or" use" any"
statement"for:"
o Any" purpose" contrary" to"
morals"or"public"policy"
o Any" commercial" purpose"
other" than" by" news" and"
communication" media"
for" dissemination" to" the"
general"public."
! A"public"official"or"employee"shall"
avoid" conflict" of" interest" at" all"
times."When"a"conflict"of"interest"
arises," he" shall" resign" from" his"
position" in" any" private" business"
enterprise" within" 30" days" from"
his" assumption" of" office" and/or"
divest" himself" of" his"
shareholdings" or" interest" within"
60"days"from"such"assumption."
! The" same" rule" shall" apply" where"
the" public" official" or" employee" is"
a"partner"in"a"partnership."
! The" requirement" of" divestment"
shall& not" apply" to" those" who"
serve" the" Government" in" an"
honorary"capacity"nor"to"laborers"
and"casual"temporary"workers."
" civil"service,"except"those"holding"
ExtraTjudicial&appointments"
! A" judge" shall" not" accept"
appointment"or"designation"to"an"
agency" performing" quasi!judicial"
or" administrative" functions." (Art"
VIII,"Sec"12"of"the"Constitution)"
! QuasiTjudicial" –" term" applied" to"
the" actions" or" discretions" of"
public" administrative" officers" or"
bodies" required" to" investigate"
facts," or" ascertain" the" existence"
of" facts," hold" hearings," and" draw"
conclusions"from"them,"as"a"basis"
for" their" official" action," and" to"
A.Y.&2013T2014&
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Chap%8%to%Chap%19&
exercise" discretion" of" a" judicial"
nature."
! QuasiTjudicial& body& !" " organ" of"
government" other" than" a" court"
and" other" than" a" legislature"
which" exercises" adjudicative"
power" affecting" the" rights" of"
private"persons."
! A" judge’s" acceptance" of" the"
position"will"operate"to"vacate"his"
position"as"a"judge."
! Administrative& functions!" those"
which" involve" the" regulation" and"
control" over" the" conduct" and"
affairs"of"individuals"for"their"own"
welfare" and" the" promulgation" of"
rules" and" regulations" to" better"
carry" out" the" policy" of" the"
legislature" or" such" as" are"
developed" upon" the"
administrative" agency" by" the"
organic"law"of"its"creation."
" for" or" seeking" an" elective" public"
Prohibition& against& partisan& political&
activities"
! The" 1987" Constitution" provides"
that" “no" officer" or" employee" in"
the" civil" service" shall" engage,"
directly" or" indirectly," in" any"
electioneering" or" partisan"
political"activity.”"
! “Any" officer" or" employee" in" the"
political" officers," any" officer,"
employee," or" member" of" the"
Armed" Forces" of" the" Philippines,"
or" any" police" officer," special"
forces," home" defense" forces,"
barangay" self!defense" units" and"
all" other" para!military" units" that"
now"exist"or"which"may"hereafter"
be" organized" who," directly" or"
indirectly," intervenes," in" any"
election" campaign" or" engages" in"
any" political" activity," except" to"
vote" or" to" preserve" public" order,"
if" he" is" a" peace" officer”" shall" be"
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liable" for" commission" of" an"
election"offense."
! The" 1987" Administrative" Code"
exempts" from" the" prohibition" a"
public" officer" or" employee" “from"
expressing" his" views" on" current"
political" problems" or" issues" or"
from" mentioning" the" names" of"
candidates" for" public" office"
whom" he" supports.”" However,"
solicitation" of" votes," such" as"
distributing" handbills" for" a"
particular" candidate," is"
electioneering" proscribed" by" the"
Omnibus"Election"Code."
! Election& campaign& or& partisan&
political& activity" –" an" act"
designed"to"promote"the"election"
or" defeat" of" a" particular"
candidate" or" candidates" to" a"
public"office."
! Candidate" –" any" person" aspiring"
office," who" has" filed" a" certificate"
of" candidacy" by" himself" or"
through" an" accredited" political"
party," aggroupment," or" coalition"
of"parties."
! Political& offices" –" those" offices"
which" are" not" connected"
immediately" with" the"
administration" of" justice," or" the"
execution" of" mandates" of" a"
superior" officer" –" as" the"
President" or" secretaties" or" heads"
of" departments" in" the" executive"
department." They" also" include"
national," provincial," city" and"
municipal"elective"positions."
&
Municipal&Judge&acting&as&notary&public"
! Municipal"judges"may"not"engage"
in" notarial" work" except" as"
notaries"public"exSofficio."
! While" the" Judiciary" Act" as"
amended" by" RA" 6031" permitted"
them" to" pursue" any" other"
occupation" or" calling" after" office"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
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hours," such" authorization"
excluded"engaging"in"the"work"of"
a"regular"notary"public."
! As"notaries"public"exSofficio,"they"
may" engage" only" in" the"
notarization" of" documents"
connected" with" the" exercise" of"
their"official"functions."
! In" far!flung" municipalities" which"
have" neither" lawyers" or" notaries"
public,"municipal"judges"assigned"
to" those" municipalities" or" cicuits"
may,"in"their"capacity"as"notaries"
public"exSofficio,"perform"any"act"
within" the" competence" of" a"
regular" notary" public" provided"
that:"
o All" notarial" fees" charged"
be"for"the"account"of"the"
Government" and" turned"
over" to" the" municipal"
treasurer"
o A"certification"be"made"in"
the" notarized" documents"
attesting" to" the" lack" of"
any" lawyer" or" notary"
public" in" such"
municipality"or"circuit"
" presumption"of"good"faith."
CHAPTER&XIX&
LIABILITIES&OF&JUDGES&
&
A. IN&GENERAL&
&
Judges&are&not&liable,&generally&
! The"general"rule"is"that"a"judge"is"
not" liable" administratively," civilly"
or"criminally"when"he"acts"within"
his"legal"powers"and"jurisdiction."
! He" may" not" be" held" liable" for"
every" erroneous" order" or"
decision"he"renders."
! He"may"only"be"held"accountable"
where"his"error"is"gross"or"patent,"
deliberate" and" malicious," or" is"
incurred"with"evident"bad"faith."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
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& By&Ruben&E.&Agpalo&
! This"judicial"immunity"rests"upon"
considerations"of"public"policy,"its"
purpose" being" to" free" the" judge"
from" apprehension" of" personal"
consequences" to" himself" and" to"
preserve" the" integrity" and"
independence"of"the"judiciary."
! The" remedy" of" the" aggrieved"
party" is" to" elevate" the" error" to"
the" higher" court" for" review" and"
correction."
! A" judge" may" be" held" criminally,"
civilly" or" administratively" liable"
for" malfeasance" or" misfeasance"
in"office."
" directly" or" indirectly"
B. CIVIL&LIABILITY&
& violating" or" in" any"
When&civilly&liable,&generally"
! A"judge"is"not"personally"liable"to"
one"injured"in"consequence"of"an"
act" performed" withtin" the" scope"
of" his" official" authority," and" in"
line"of"his"official"duty."
! He" is" not" liable" for" damages" for"
wht" he" does" in" th" exercise" of" his"
judicial"functions."
! His" acts" are" protected" by" the"
! He"is"presumed"to"have"regularly"
performed"his"duties."
! It" is" upon" him" who" alleges" the"
contrary"that"the"burden"of"proof"
lies"
" and" conscious" doing" of" a" wrong,"
Statutory&basis&of&civil&liability"
! The" statutory" bases" of" civil"
liability"are"the"following:"
o Administrative% Code% od%
1987:" He" may" be" held"
liable" only" where" it" is"
shown" that" he" acted"
willfully" and" maliciously"
and" with" the" express"
purpose"of"inflictin"injury"
upon"the"plaintiff."
o Art" 27," Civil" Code:" Any"
person" suffering" material"
A.Y.&2013T2014&
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or" moral" loss" because" a"
public" servant" or"
employee" refuses" or"
neglects," without" just"
cause" to" perform" his"
official" duty" may" file" an"
action" for" damages" and"
other" relief" against" the"
latter," without" prejudice"
to" any" disciplinary"
administrative" action"
that"may"be"taken."
o Art% 32,% Civil% Code:" A"
public" officer" is" civilly"
liable" for" damages" for"
obstructing," defeating,"
manner" impeding" or"
impairing" civil" liberties"
guaranteed" by" the"
Constitution."
" "
Liability&arising&from&bad&faith"
! Acts"done"in"bad"faith"are"outside"
the"judge’s"scope"of"authority."
! If" he" exceeds" the" power"
conferred" on" him" by" law," he"
cannot" shelter" himself" by" the"
plea" that" he" is" a" public" agent"
acting" under" color" of" his" office,"
and"not"personally."
! Bad& faith" –" imputes" a" dishonest"
purpose" or" some" moral" obliquity"
a" breach" of" sworn" duty" through"
some" motive" or" intent" or" ill!will;"
partakes" the" nature" of" fraud."
Evident" bad" faith" connotes" a"
manifest" deliberate" intent" to" do"
wrong"or"cause"damage."
! There" must" be" an" allegation" in"
the" complaint" and" proof" that"
such" official" has" maliciously" and"
in" bad" faith" acted" outside" the"
scope"of"his"official"authority."
" frequent"travels"abroad."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
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& By&Ruben&E.&Agpalo&
Immunity& of& state& from& suit,& as& defense& of&
public&official"
! The"state"cannot"be"sued"without"
its"consent."
! The"principle"is"based"on"the"very"
essence" of" sovereignty," and" on"
the" practical" ground" that" there"
can" be" no" legal" right" as" against"
the"authority"that"makes"the"law"
on"which"the"right"depends."
! A" public" officer" who" is" sued" in"
connection"with"the"performance"
of" his" duties" may" properly" invike"
the" doctrine," when" the" suit" is" on"
its" face" against" a" government"
officer" but" the" case" is" such" that"
ultimate" liability" will" belong" not"
to" the" officer" but" to" the"
government."
! The" doctrine" of" state" immunity"
does" not" apply" where" the" officer"
has"exceeded"his"authority."
Liability&for&unexplained&wealth"
! Under" RA& 1379," whenever" any"
public" officer" or" employee" has"
acquired" during" his" incumbency"
an" amount" of" property" which" is"
manifestly" out" of" proportion" to"
his" salary" and" to" his" other" lawful"
income," said" property" shall" be"
presumed" prima% facie" to" have"
been" unlawfully" acquired," and"
the"Solicitor"General"shall"file"the"
petition" and" prosecute" the" case"
(civil"action"in%rem)."
! RA& 3019" takes" into" account" in"
determining" whether" there" is"
unxplained"wealth"the"properties"
in" the" name" of" the" spouse" and"
dependents," including" bank"
deposits,"the"acquisition"of"which"
cannot" be" explained"
satisfactorily;"as"well"as"excessive"
expenditures" or" ostentatious"
display" of" wealth," including"
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! "Where"a"public"officer"is"sued"for"
unexplianed" wealth," his" bank"
deposits" as" well" as" those" bank"
deposits" held" by" other" persons"
for"him"may"be"inquired"into"and"
subpoenaed" from" the" banks," a"
exception" to" the" bank& secrecy&
rule."
" indeed"unjust."
C. CRIMINAL& LIABILITIES& UNDER& THE&
REVISED&PENAL&CODE"
" ! Any" judge" who," by" reason" of"
Criminal&liability,&generally&
! For" the" purpose" of" applying" the"
provisions" of" the" Revised" Penal"
Code," the" term" public& officer" is"
any" person" who," by" direct"
provisions" of" the" law," popular"
election" or" appointment" by"
competent" authority," shall" take"
part"in"the"performance"of"public"
functions" in" the" Government" or"
shall"perform"in"said"Government"
or" in" any" of" its" branches" public"
duties" as" an" employee," agent" or"
subordinate" official," of" any" rank"
or"class."
" "
Knowingly&rendering&unjust&judgment"
! Any" judge" who" shall" knowingly"
render"an"unjust"judgment"in"any"
case" submitted" to" him" for"
decision," shall" be" punished" by"
prision% mayor) and" perpetual" and"
absolute"disqualification."
! Judge" –" term" employed" to"
designate" a" public" officer"
selected" to" preside" and" to"
administer" the" law" in" a" court" of"
justice."
! To" hold" a" judge" criminally" liable"
for" rendering" an" unjust"
judgment," it" must" be" shown"
beyond"a"reasonable"doubt"that:"
o The"judgment"is"unjust"or"
one" which" is" contrary" to"
law" or" is" not" supported"
by"the"evidence."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
o The" judge" rendered" it"
with" conscious" and"
deliberate"intent"to"do"an"
injustice."
! Good"faith"is"a"deense."
! There" must" first" be" a" final" and"
authoritative" judicial" declaration"
that" the" decision" or" order" is"
" delay"in"the"disposition"of"
Judgment&rendered&through&negligence"
inexcusable" negligence" or"
ignorance," shall" render" a"
manifestly" unjust" judgment" in"
any" case" submitted" to" him" for"
decision" shall" be" punished" by"
arresto% mayor% and" temporary"
special"disqualification."
! To"hold"a"judge"liable,"it"must"be"
shown" that" although" he" has"
acted"without"malice,"he"failed"to"
observe"in"the"performance"of"his"
duty," that" diligence," prudence"
and"care"which"the"law"is"entitled"
to" exact" in" the" rendering" of" any"
public"service."
Unjust&interlocutory&order"
! A" judge" who" shall" knowingly"
render" an" unjust" interlocutory"
order" or" decree" shall" suffer" a"
penalty" of" arresto% mayor" in" its"
minimum"period"and"suspension;"
but" if" he" shall" have" acted" by"
reason" of" inexcusable" negligence"
or" ignorance" and" the"
interlocutory" order" or" decree" be"
manifestly" unjust," the" penalty"
shal"be"suspension."
! Art." 206" of" the" Revised" Penal"
Code"
! Interlocutory& order" –" order" that"
is" provisional" and" leaves"
substantial" proceeding" to" be" had"
in"connection"with"its"subject."
" ! If" the" object" for" which" the" gift"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
Malicious& delay& in& the& administration& of&
justice"
! The" penalty" of" prision%
correccional" in" its" minimum"
period"shall"be"imposed"upon"any"
judge" guilty" of" malicious" delay" in"
the"administration"of"justice."
! The"elements"are:"
o There" is" unreasonable"
the" case" far" beyond" the"
period"mandated"by"law"
o The" judge" was" actuated"
with" malice" or" with"
deliberate" intent" to"
prejudice" a" party" in" the"
case."
" gift"or"promise"
Direct&bribery"
! Any"public"officer"who"shall"agree"
to" perform" an" act" constituting& a&
crime," in" connection" with" the"
performance"of"his"official"duties,"
in" consideration" of" any" offer,"
promise," gift" or" present" received"
by" such" officer," personally" or"
through" the" mediation" of"
another,"shall"suffer"the"penaltyu"
of" prision% mayor" in" its" medium"
and" minimum" periods" and" a" fine"
of" not" less" that" three" times" the"
value" of" the" gift," in" addition" to"
the"penalty"corresponding"to"the"
crime."
! If" the" gift" was" accepted" by" the"
officer" in" consideration" of" the"
execution" of" an" act" which" does"
not& constitute& a& crime," and" the"
officer" executed" the" said" act," he"
shall" sufer" the" same" penalty" and"
if" said" act" shall" not" have" been"
accomplished," the" officer" shall"
suffer" the" penalties" of" prision%
correccional"in"its"medium"period"
and" a" fine" of" not" less" than" twice"
the"value"of"the"gift."
was"received"or"promised"was"to"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
make" the" officer" refrain" from"
doing"something"which"it"was"his"
official"duty"to"do,"he"shall"suffer"
the" penalties" of" prision%
correccional" in" its" maximum"
period" to" prision% mayor" in" its"
minimum"period"and"a"fine"of"not"
less"that"three"times"the"value"of"
such"gift."
! The" culprit" shall" also" suffer" the"
penalty" of" special" temporary"
disqualification."
! The" elements" of" direct" bribery"
are:"
o Accused"is"a"public"officer"
o He" received" directly" or"
through" another" some"
o That"such"gift"or"promise"
has" been" given" in"
consideration" of" his"
commission" of" some"
crime," or" any" act" not"
constituting" a" crime," or"
to" refrain" from" doing"
something" which" it" is" his"
official"duty"to"do"
o That" the" crime" or" act"
relates" to" the" exercise" of"
his" functions" as" a" public"
officer"
! The"promise"of"a"public"officer"to"
perform" an" act" or" refrain" from"
doing" it" may" be" express& or"
implied."
! A" mere" affidavit" that" bribed"
money"was"demanded"by"a"judge"
in" exchange" for" dismissal" of" a"
criminal"charge"is"not"sufficient."
"
Indirect&bribery"
! penalized" by" prision% correccional%
in" its" medium" and" maximum"
periods," suspension" and" public"
censure."
! The"elements"if"the"crime"are:"
o That" the" accused" is" a"
public"officer"
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o He"accepts"a"gift"
o The" gift" is" given" to" him,"
or" he" accepts" it," by"
reason"of"his"office"
! Acceptance"of"a"gift"given"him"in"
appreciation" of" his" services" a"
public" officer" or" as" a" reward" for"
his" work" may" constitute" indirect"
bribery."
" the" scope" of" jurisdiction" of" the"
Infidelity&in&the&custody&of&documents"
! Art" 226" of" the" Revised" Penal"
Code"
! Prision% mayor" and" a" fine" not"
exceeding" P1,000" whenever"
serious" damage" shall" have" been"
caused" to" a" third" party" or" to" the"
public"interest"
! Prision% correccional" in" its"
minimum" and" medium" periods"
and" a" fine" not" exceeding" P1,000"
whenever" the" damage" caused" to"
a" third" party" or" the" public"
interest" shall" not" have" been"
serious"
! In" either" case," the" additional"
penalty" of" temporary" special"
disqualification" in" its" maximum"
period" to" perpetual" special"
disqualification"shall"be"imposed."
! The"elements"are:"
o The" offender" be" a" public"
officer"
o That" there" be" a"
document" abstracted,"
destroyed,"or"concealed"
o That" the" document"
destroyed" or" abstracted"
be" entrusted" to" such"
public" officer" by" reason"
of"his"office"
o That"damage"or"prejudice"
to" the" public" interest" or"
to" that" of" a" third" person"
be" caused" by" the"
removal," destruction" or"
concealment" of" the"
document."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! 3" ways" of" committing" the" crime:"
removal," destruction" and"
concealment."
" punished" in" its" minimum" and"
Open&disobedience"
! A"judicial"officer"who"shall"openly"
refuse" to" execute" the" judgment"
or" decision" or" order" of" any"
superior" authority" made" within"
latter"and"issued"with"all"the"legal"
formalities," shall" suffer" the"
penalties" of" arresto% mayor" in" its"
medium" period" to" prision%
correccional" in" its" minimum"
period," temporary" special"
disqualification" in" its" maximum"
period" and" a" fine" not" exceeding"
P1,000."
" of" the" Government," either" by"
Prolonging& performance& of& duties& and&
powers"
! Any" public" officer" who" shall"
continue" to" exercise" the" duties"
and" powers" of" his" office,"
employment" or" commission,"
beyond" the" period" provided" by"
law," regulations" or" special"
provisions"applicable"to"the"case,"
shall" suffer" the" penalties" of"
prision% correccional" in" its"
minimum" period," special"
temporary" disqualification" in" its"
minimum" period" and" a" fine" not"
exceeding"P500."
" minimum"period."
Abandonment&of&office&or&position"
! Any" public" officer" who," before"
the"acceptance"of"his"resignation,"
shall" abandon" his" office" to" the"
detriment" of" public" service" shall"
suffer" the" penalty" of" arresto%
mayor"
! If" such" office" have" been"
abandoned"in"order"to"evade"the"
discharge" of" the" duties" of"
preventing," prosecuting," or"
punishing" any" of" the" crimes"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
falling" within" Title" One," and"
Chapter"One"of"Title"III"of"Book"2"
of" the" RPC," the" offender" shall" be"
medium" periods," and" by" arresto%
mayor" if" the" purpose" of" such"
abandonment" is" to" evade" the"
duty" of" preventing," prosecuting,"
or"punishing"any"other"crime."
& decision,"or"with"respect"to"which"
Usurpation&og&legislative&powers"
! The" penalties" of" prision%
correccional" in" its" minimum"
period," temporary" special"
disqualification" and" a" fine" not"
exceeding" P1,000" shall" be"
imposed" upon" any" public" officer"
who" shall" encroach" upon" the"
powers" of" the" legislative" branch"
making" general" rules" and"
regulations" beyond" the" scope" of"
his"authority"or"by"attempting"to"
repeal" a" law" or" suspending" the"
execution"thereof."
" handwriting,"signature"or"
Usurpation&of&executive&fucntions&
! Abt" judge" who" shall" assume" any"
power" pertaining" to" the"
executive" authorities" or" shall"
obstruct" the" latter" in" the" lawful"
exercise" of" their" powers," shall"
suffer" the" penalty" of" arresto%
mayor" in" its" medium" period" to"
prision% correccional% in" its"
" statement" other" than"
Disobeying&request&for&disqualification&
! Any" public" officer" who," before"
the" questuin" of" jurisdiction" is"
decided," shall" continue" any"
proceeding" after" having" been"
lawfully" required" to" refrain" from"
so" doing," shall" be" punished" by"
arresto% mayor" and" a" fine" not"
exceeding"P500."
" its"meaning"
Abuses&against&chastity"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! The" penalties" of" prision%
correccional" in" its" medium" and"
maximum"periods"and"temporary"
special" disqualification" shall" be"
imposed" against" any" public"
officer" who" shall" solicit" or" make"
immoral"or"indecent"advances"to"
a" woman" interested" in" matters"
pending" before" such" officer" for"
he"is"required"to"submit"a"report"
to" or" consult" with" a" superior"
officer."
"
Falsification& by& public& officer,& employee,& or&
notary&or&ecclesiastical&minister"
! Penalty" or" prision% mayor" and" a"
fine"not"to"exceed"P5,000"shall"be"
imposed" upon" any" public" officer"
who," taking" advantage" of" his"
official" position," shall" falsify" a"
document" by" committing" any" of"
the"following"acts:"
o Counterfeiting" or"
imitating" any"
rubric"
o Causing" it" to" appear" that"
persons" have"
participated"in"any"act"or"
proceeding" when" they"
did" not" in" fact" so"
participate"
o Attributing" to" persons"
who" have" participated" in"
any" act" or" proceeding"
thise" in" fact" made" by"
them"
o Making" untruthful"
statements" in" narration"
of"facts"
o Altering"true"dates"
o Making" any" alteration" or"
intercalation"in"a"genuine"
document"which"changes"
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Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
o Issuing" in" an"
authenticated" form" a"
document" purporting" to"
be" a" copy" of" an" original"
document" when" no" such"
original" exists," or"
including" in" such" copy" a"
statement"contrary"to,"or"
different" from," that" of"
the"genuine"original"
o Intercalating" any"
instrument" or" note"
relative" to" the" issuance"
thereof" in" a" protocol,"
registry"or"official"book."
! The" principal" thing" punished" is"
the" violation" of" public" faith" and"
the" destruction" of" truth" as"
therein"solemnly"proclaimed."
! The"elements"of"falsification"by"a"
public"officer"are:"
o The" act" was" committed"
by"the"public"officer"with"
grave" abuse" of" his" office,"
that" is," in" deeds"
instruments," indentures,"
certificates," etc." in" the"
execution" of" which" he"
participates" by" reason" of"
his"office"
o Malicious"intent"to"injure"
a"third"person"and"in"the"
case" of" untruthful"
statements"in"a"narration"
of" facts," there" is" legal"
obligation" to" disclose" the"
truth."
" depending" on" the" gravity" of" the"
D. CRIMINAL& LIABILITY& UNDER& THE&
ANTITGRAFT&ACT&
" heavier"penalty"under"the"law,"he"
! See"RA"3019"
& latter"state."
E. OTHER&CRIMES&OF&PUBLIC&OFFICERS&
" prohibited" acts" and" transactions,"
Crime&of&plunder"
! RA"7080"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! Any" public" officer" who," by"
himself" or" in" connivance" with"
members" of" his" family," relatives"
by" affinity" or" consangunity,"
business"associates,"subordinates"
or" other" person," amasses,"
accumulates" or" acquires" ill!
gotten" wealth" through" a"
combination"or"series"of"overt"or"
criminal" acts" in& the& aggregate&
amount&or&total&value&of&at&least&
P75M& shall& be& guilty& and&
punished&with&life&imprisonment&
with& perpetual& absolute&
disqualification"from"holding"any"
public"office.""
! The" amassed" properties" shall" be"
forfeited"in"favor"of"the"State"
! IllTgotten& wealth" –" any" asset,"
property," business" enterprise" or"
material" possession" of" any"
person" acquired" by" himself"
directly" or" indirectly" through"
dummies," nominees," agents,"
subordinates" and/or" business"
associates" through" various"
schemes"
" acquired" property" shall" be"
Violation& of& the& Code& of& Conduct& for& Public&
Officials"
! punishes" any" public" official" or"
employee," regardless" of" type" of"
employment," who" violates" the"
provisions"of"the"Code"with"a"fine"
not"exceeding"the"equivalent"of"6&
months& salary& or" a" suspension&
not&exceeding&1&year,"or"removal"
offense"
! If"the"violation"is"punishable"by"a"
shall" be" prosecuted" under" the"
! Violations" of" the" provisions" on"
on"statements"and"disclosures,"or"
divestment" shall" be" punishable"
with" imprisonment& not&
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
exceeding& 5& years& or& a& fine& not&
exceeding&P5,000&or&both."
" a" national" or" international" non!
Violation&of&PD&46"
! punishes" any" public" official" or"
employee," whether" of" the"
national" of" local" governments,"
who" receives," directly" or"
indirectly,"and"for"private"persons"
who" gives," or" offers" to" give," any"
gift," present," or" other" valuable"
thing" on" any" occasion," including&
Christmas," when" such" gift,"
present,"or"other"valuable"thing"is"
given" by" reason" of" his" official"
position."
! PD& 749" grants" immunity" from"
prosecution" to" givers" of" brides"
and" other" gifts" and" to" their"
accomplices" in" bribery" and" other"
graft"cases"against"public"officers,"
under" the" conditions" therein"
provided."
" o Intervention" of" public"
Transfer&of&unlawfully&acquired&property"
! Any" public" officer" who" shall"
transfer"or"convey"any"unlawfully"
repressed" with" imprisonment" for"
a"term"not&exceeding&5&years"or"a"
fine" not& exceeding& P10,000" or"
both." The" same" repression" shall"
be" imposed" upon" any" person"
who" shall" knowingly" accept" such"
transfer"or"conveyance."
" impeachment."
Violation&of&right&to&counsel"
! Any"public"officer"or"employee"or"
anyone"acting"under"his"orders"or"
in" his" place," who" shall" obstruct,"
prohibit,"or"otherwise"prevent"an"
attorney" entitled" to" practice" in"
the"courts"of"the"Philippines"from"
visiting" and" conferring" privately"
with"a"person"arrested,"or"at"any"
hour" of" the" day," or" in" urgent"
cases," of" the" night," said" visit" and"
conference" being" requested" by"
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
the" person" arrested" or" by"
another"acting"in"his"behalf,"or"by"
governmental" organization" duly"
accredited" by" the" Office" of" the"
President," shall" be" punished" by"
prision%correccional."
"
Election&offenses"
! The" following" public" officers" and"
employees" shall" be" guilty" of" the"
following"election"offense:"
o Coercion"of"subordinates"
o Appointmrnt" of" new"
employees" –" 45" days"
beofre" a" regular" election"
and" 30" days" before" a"
special" election;" includes"
increase" in" salary" or"
remuneration"or"privilege"
o Transfer" of" officers" and"
employees" in" the" civil"
service"
officers" and" employees" –"
except" those" holding"
political"offices"
"
F. ADMINISTRATIVE&LIABILITY&
"
Generally&
! Sec" 2," Art" XI" of" the" 1987"
Constitution" provides" that"
Justices" of" the" SC" may" be"
removed" from" office," on"
! All"other"Justices"and"judges"from"
the"CA"to"the"lowest"level"may"be"
removed" from" office" as" provided"
by"law,"but"not&by&impeachment."
"
Authority&to&discipline&
! SC"has"administrative"supervision"
over" all" courts" and" personnel"
thereof."
! SC" can" oversee" compliance" with"
the" law" and" the" Rules" of" Court"
and" take" proper" administrative"
A.Y.&2013T2014&
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Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo& Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

action"against"Justices"and"judges" o Bribery,"direct"of"indirect" o Untruthful" statements" in" the" Sandiganbayan" may" be"

if" they" commit" any" violation" o Dishonesty"and"violations" the"certificate"of"service" instituted"motu%proprio"by"the"SC"
thereof." of"Anti!Graft"and"Corrupt" o Simple" misconduct" or" or" upon" a" verified" complaint"
! The" Ombudsman" has" no" power" Practices"Law"(RA"3019)" inefficiency" supported" by" affidavits" of"
to" entertain" and" investigate" o Gross" misconduct" ! Light" charges" –" from" admonition" persons" who" have" personal"
administrative"complaints"against" constituting" violations" of" with" a" warning" to" a" fine" not" knowledge" of" the" facts" alleged"
judges"and"court"personnel." the" Code" of" Judicial" exceeding"P10K" therein" or" by" documents" which"
" Conduct" ! Repeated" violation" may" render" a" may"substantiate"said"allegations,"
Administrative&charges,&generally" o Knowingly" rendering" an" judge" liable" for" less" serious" or" or" upon" anonymous" complaint,"
! Malfeasance" –" performance" of" unjust"judgment"or"order" even"serious"charges" supported" by" public" records" of"
some" act" which" ought" not" to" be" as" determined" by" a" o Vulgar" and" unbecoming" indubitable"integrity."
done" competent" court" in" an" conduct" ! The" complaint" shall" be" in" writing"
! Misfeasance& –" improper" appropriate"proceeding" o Gambling"in"public" and" shall" state" clearly" and"
performance" of" some" act" which" o Conviction" of" a" crime" o Fraternizing" with" lawyers" concisely" the" acts" and" omissions"
might"lawfully"be"done." involving"moral"turpitude" and" litigants" with" constituting" violations" of"
! Nonfeasance&–"omission"of"an"act" o Willful" failure" to" pay" a" pending"cases"in"his"court" standards" of" conduct" precribed"
which"ought"to"be"performed" just"debt" o Undue" delay" in" the" for" judges" by" law," the" Rules" of"
! There"are"two"general"categories" o Borrowing" money" or" submission" of" month" Court," or" the" Code" of" Judicial"
of"the"grounds""for"suspension"or" property" from" lawyers" reports" Conduct."
dismissal:" and" litigants" in" a" case" ! The" list" is" not" exclusive." Other" ! The" SC" does" not," as" a" rule,"
o Those" related" to" the" pending"before"the"court" analogous" acts" may" be" grounds" entertain" anonymous" complaints"
discharge" of" functions" of" o Immorality" for"discipline." against" judges" except" in" cases" in"
the" office" concerned" –" o Gross" ignorance" of" the" " which" the" charges" could" be" fully"
may" be" the" object" of" law"or"procedure" Resort&to&judicial&remedies&required,&in&some& borne" by" public" records" of"
administrative" action" o Partisan"political"activies" administrative&cases" indubitable"integrity."
even" if" it" does" not" o Alcoholism" and/or" ! It" is" only" after" the" available" ! Administrative" complaints" for"
amount" to" a" crime." If" it" vicious"habits" judicial" remedies" against" the" disbarment" and" discipline" must"
amounts" to" a" crime," ! Less" serious" charges" –" fine" not" rulings" or" acts" performed" in" the" be" filed" with" the" SC," and" if" filed"
conviction" by" final" exceeding" P20K" to" suspension" exercise" of" their" judicial" power" with" the" IBP," the" latter" has" no"
judgment" is" not" from" service" of" not" more" than" 3" have" been" exhausted" and" the" jurisdiction" to" act" on" such"
necessary" months" appellate" tribunals" have" spoken" complaint,"except"to"forward"the"
o Not" related" to," or" o Undue"delay"in"rendering" with" finality," that" the" door" to" an" same" to" the" SC" for" appropriate"
connected" with," the" a" decision" or" order," or" in" inquiry"into"their"criminal,"civil"or" action."
functions" of" the" office" –" transmitting" the" records" adminstrative" liability" may" be" "
act" or" omission" should" of"a"case" said"to"have"opened"or"closed." Action&on&the&complaint"
amount" to" a" crime" and" o Frequent" and" unjustified" ! An" administrative" complaint" is" ! If" the" complaint" is" sufficient" in"
conviction" by" final" absences" without" leave" not" the" appropriate" remedy" for" form" and" substance," a" copy"
judgment" of" the" crime" of"habitual"tardiness" every" act" of" a" judge" deemed" thereof" shall" be" served" upon" the"
involving"moral"turpitude" o Unauthorized" practice" of" aberrant" or" irregular" where" a" respondent," and" he" shall" be"
or"disqualification"to"hold" law" judicial" remedy" exists" and" is" required" to" comment" within" 10&
office," to" be" subject" to" o Violation" of" the" Supreme" available." days" from" the" date" of" service."
disciplinary"action." Court" rules," directive," " Otherwise," the" same" shall" be"
" and"circulars" G. ADMINISTRATIVE&PROCEDURE& dismissed."
Classifications& of& charges& in& serious,& less& o Receiving" additional" or" " ! If"the"charges"do"not"merit"action"
serious&and&light&charges" double" compensation" How&proceedings&are&instituted& or" of" the" answer" shows" to" the"
! Serious"charges"–"from"a"fine"not" unless" specifically" ! Proceedings" for" the" discipline" of" satisfaction" of" the" SC" that" the"
exceeding"P40K"to"dismissal"from" authorized"by"law" judges" of" regular" and" special" charges" are" not" meritorious," the"
service" courts"and"justices"of"the"CA"and" same"shall"be"dismissed."

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.& CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014& San&Beda&College&of&Law& A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
! The"administrative"case"shall"also"
be" considered" a" disciplinary"
action" against" the" respondent" as"
a"member"of"the"Bar."
! Judgment" in" both" respects" may"
be" incorporated" in" one" decision"
or"resolution."
" where"the"charges"are"so"serious"
By&whom&complaint&investigated"
! Upon" the" filing" of" the"
respondent’s" comment," or" upon"
the"expiration"of"the"time"of"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& SC," if" the"
respondent&is&a&Justice&of&the&CA&
and" the" Sandiganbayan," or" to" a"
Justice& of& the& CA," if" the"
respondent" is" a" judge" of" a"
Regular& Trial& Court& or& a& special&
court& of& equivalent& rank," or" to" a"
judge" of" the" RTC" if" the"
respondent" is" a" judge& of& an&
inferior&court."
" retirement" benefits" of" the"
Hearing"
! The"investigation"justice"or"judge"
shall"set"a"day"for"the"hearing"and"
send" notice" thereof" to" both"
parties."
! At" such" hearing," parties" may"
present" oral" and" documentary"
evidence."
! If" after" due" notice" the"
respondent" fails" to" appear," the"
investigation" shall" proceed" ex%
parte"
! The" withdrawal" of" the" complaint"
does" not" divest" the" SC" of" the"
authority" to" order" the"
investigation" of" the" charges," nor"
result"in"its"dismissal."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! The" abolition" of" a" respondent"
judge’s" judicial" position" does" not"
necessarily" render" the"
administrative" case" for" acts"
committed" moot" and" academic,"
not" preclude" his" being" liable" in"
his" present" judicial" position,"
that" affect" his" competency" and"
integrity"as"a"judge."
! The" resignation" or" retirement" of"
a"judge"who"is"a"respondent"in"an"
administrative" case" does" not"
necessarily"render"the"case"moot"
nor" deprive" the" SC" of" the"
authority" to" pronounce" his"
guilt/innocence."
! The" death" of" a" respondent" may"
render" the" administrative"
complaint" moot" and" academic."
However," if" he" dies" pending"
resolution" of" the" administrative"
charges" against" him," and" was"
found" guilty" and" the" court"
administrator" recommended" his"
dismissal,"the"Court,"inspite"of"his"
death,"may"decide"to"resolve"the"
case" on" the" merits" and," if" such"
recommendation" is" affirmed,"
impose" forfeiture" of" death" and"
respondent."
! The"investigating"Justice"or"judge"
shall" terminate" the" investigation"
within" 90& days" from" the" date" of"
its" commencement" or" within"
such" extension" as" the" SC" may"
grant."
& intent"is"based."
Report&and&Recommendation"
! Within" 30& days" from" the"
termination" of" the" investigation,"
the" investigating" Justice/Judge"
shall" submit" to" the" SC" a" report"
containing"his"findings"of"fact"and"
recommendation."
! The" report" shall" be" accompanied"
by" the" record" containing" the"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer&
Chap%8%to%Chap%19&
evidence" and" the" pleadings" filed"
by"the"parties."
! The" report" shall" be" confidential"
and"for"exclusive"use"of"the"Court"
" the" benefits" as" may" be"
Quantum&of&evidence&required"
! The" quantum" of" evidence" may"
depend" on" the" nature" of" the"
charge" in" light" of" the"
classifications" of" the" charges"
(serious,"less"serious,"and"light)"
! If" the" administrative" offense"
involves" a" violation" of" a" criminal"
law," which" if" proved" will" require"
dismissal"of"a"judge"from"service,"
the" quantum" of" evidence"
required" to" hold" him" liable" is"
proof&beyond&reasonable&doubt."
! Where" the" charge" is" less" serious"
or" acts" that" does" not" require"
dismissal" from" service,"
preponderance& of& evidence& is"
necessary."
! Where" the" charge" is" light," mere&
substantial& evidence" may" be"
required."
" 1" nor" more" than" 3"
Res)ipsa)loquitur%
! The" Court" may" impose" its"
authority" upon" erring" judges"
whose" actuations," on" their" face,"
would"show"gross"incompetence,"
gross" ignorance" of" the" law," or"
grave"misconduct."
! The" res% ipsa% loquitur" doctrine"
does" not" dispense" with" the"
necessity" of" proving" the" facts"
from" which" the" inference" of" evil"
" in% administrative% cases," it& would&
Decision;&sanction"
! The" Court" shall" take" such" action"
on"the"report"as"the"facts"and"the"
law" may" warrant," which" may" be"
dismissing" the" complaint" or"
holding" the" judge" liable" and"
imposing" the" corresponding"
penalty"against"him."
CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law&
& Legal&and&Judicial&Ethics&(2009&ed.)&
& By&Ruben&E.&Agpalo&
! Sanctions"which"may"imposed"for"
serious"charge:"
o Dismissal" from" servic,"
forfeiture"of"all"or"part"of"
determined" by" the" Court"
and" disqualification" from"
reinstatement" or"
appointment" to" any"
public" office," including"
GOCCs." Provided,%
however," that" the"
forfeiture" of" benefits"
shall" in" no" case" include"
accrued"leave"benefits"
o Suspension" from" office"
without" salary" and" other"
benefits" for" more" than" 3"
but" not" exceeding" 6"
months"
o A"fine"of"more"than"P20K"
but"not"exceeding"P40K."
! Less"serious"charge:"
o Suspension" from" office"
without" salary" and" other"
benefits" for" not" less" that"
months"
o A"fine"of"more"than"P10K"
but"not"exceeding"P20K"
! Light"charges:"
o A"fine"of"not"less"that"P1K"
but" not" exceeding" P10K"
and/or"
o Censure"
o Reprimand"
o Admonition" with" a"
warning"
! While%double%jeopardy%dies%not%lie%
be& contrary& to& equity& and&
substantial& justice" to" penalize" a"
judge" a" second" time" for" an" act,"
the"penalty"of"which"had"already"
been"served"by"him."
! "
&
Confidentiality&of&proceedings"
A.Y.&2013T2014&
Legal&and&Judicial&Ethics&Reviewer& & Legal&and&Judicial&Ethics&(2009&ed.)&
Chap%8%to%Chap%19& & By&Ruben&E.&Agpalo&

! The" confidential" character" of" the" ! The" SC" has" reinstated" dismissed"
proceedings" during" their" judges"to"their"former"position."In"
pendency" has" a" three!fold" this"sense,"the&decision&of&the&SC&
purpose." dismissing& a& judge& from& service&
o To"enable"the"SC"to"make" does& not& become& final,& as& the&
its" investigation" free" Court& may& still& reinstate& him& to&
from" any" extraneous" his&former&position&or&reduce&the&
influence"or"interference" pecuniary&penalties.""
o To" protect" the" personal" ! A"judge"who"has"been"previously"
and" professional" dismissed" from" the" service" for"
reputation"of"the"Justices" manifestly" erroneous" decision" in"
and"Judges"from"baseless" a" criminal" case" through" gross"
charges" of" disgruntled," incompetence" and" gross"
vindictive" and" ignorance" of" the" law" may" be"
irresponsible" persons" or" reinstated" where" there& is& no&
litigants" by" prohibiting" clear& indication& that& he& was&
the" publication" of" such" inspired&by&corrupt&motives&or&a&
charges" pending" their" reprehensible&purpose&to&set&the&
final"resolution" plainly&guilty&free."
o To" deter" the" press" from" "
publishing"the"charges"or"
proceedings" based"
thereon" for" even" a"
verbatim"reproduction"of"
the" complaint" against" a"
Judge" in" a" newspaper"
may"be"actionable"
! The" confidentiality" of" the"
proceedings"is"a"privilege"or"right"
which" may& be& waived& by& the&
judge."
! After" the" SC" shall" have" rendered"
its" decision," a" copy" thereof" is"
attached" to" the" record" of" the"
respondent" in" the" Office" of" the"
Court" Administrator." The"
proceeding" then" ceases& to& be&
confidential,& and& the& decision&
become& a& public& document,& just&
like& any& other& decisions& of& the&
Court."
&
Reinstatement& of& a& judge& previously&
dismissed"
! Reinstatement" is" essentially" an"
act" of" appointment" of" a" judgem"
which" may" only" be" extended" by"
the"President"of"the"Philippines."

CHING,&Catherine&Anna&A.&||&ESPIRITU,&Maria&Nikka&N.&||&Guzman,&Anne&Clarisse&A.&
San&Beda&College&of&Law& A.Y.&2013T2014&