LEGAL ETHICS

Based on the book

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

CHAPTER 1 - PRIMARY CHARACTERISTICS WHICH

DISTINGUISH THE LEGAL
INTRODUCTORY PROFESSION
FROM BUSINESS
Preliminary
 Legal Ethics 1. A duty of public service.
1. Branch of moral science which 2. A relation, as an ―officer of the
treats of the duties which an court‖, to the administration of
attorney owes to the court, to his justice involving thorough sincerity,
client, to his colleagues in the integrity and reliability.
profession and to the public. 3. A relation to clients with the highest
2. It is the embodiment of all degree of fiduciary
principles of morality and 4. A relation to the colleagues at the
refinement that should govern bar characterized by candor, fairness
the conduct of every member of and unwillingness to resort to
the bar current business methods of
 The law is not a trade nor a craft but a advertising and encroachment on
profession. their practice, or dealing directly
 Its basic ideal is to render public service with their clients.
and secure justice to those who seek its
aid. Definitions
 Those enrolled in its ranks should not  ―LEGAL ETHICS‖
only master its tenets and principles but o Body of all principles of morality
also accord continuing fidelity to them. and refinement that should
 Obligation not an easy task due to govern the conduct of every
commercialism in all fields of human member of the bar.
endeavor. o ―Living spirit of the profession.‖
 To fulfill obligation: o Branch of moral science which
1. Professional standards be treats of duties which an attorney
constantly inculcated among owes to the court, to his client, to
lawyers. his colleagues, and to the public.
2. ―Manual of equipment‖ – rules  Terms used to describe a member of
and ethics of the profession the legal profession:
collated, readily available to o Lawyer, Attorney, or Attorney-At-
every attorney. Law.
o Advocate, Barrister, Counsel or
 Sources of Legal Ethics: Counselor.
1. The 1987 Constitution. o Proctor, Solicitor.
2. Applicable Jurisprudence. o Spanish: Abogado.
3. Code of Professional o Filipino: Manananggol.
Responsibility.  The term refers to that class of persons
4. New Civil Code. who by license are officers of the court
5. Rules of Court. empowered to appear, prosecute, and
6. Revised Penal Code. defend.
7. Local Government Code.  A person who is a member of the
Philippine Bar who, by warrant of
ralc2011 1

another, practices law, or acts
professionally in legal formalities.
 Those who passed the Shari’a Bar not
entitled to be called ―Attorneys‖ unless
admitted to the Philippine Bar.
 Counsel de parte:
o An attorney retained by a party
litigant, usually for a fee, to
prosecute or defend his cause in
court.
o Implies freedom of choice either
on the attorney or the litigant.
 Counsel de oficio:
o Attorney appointed by the court.
o To defend an indigent defendant
in a criminal action.
o To represent a destitute party.
 Attorney of record:
o Attorney whose name, together
with his address, is entered in the
record of the case as the
designated counsel of the party
litigant.
o To whom judicial notices are
sent.
 A lawyer “of counsel” is an
experienced lawyer, who is usually a
retired member of judiciary employed
by law firms as consultant.
 Amicus Curiae is:
o An experienced and impartial
attorney invited by the court to
appear and help in the disposition
of issues submitted to it.
o It implies friendly intervention of
counsel to call the attention of
the court to some matters of law
or facts which might otherwise
escape its notice and in regard to
which it might go wrong.
o Appears in court not to represent
any particular party but only to
assist the court.
 Amicus Curiae par excellence – bar
associations who appear in court as
amici curiae or friends of the court. Acts
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
merely as a consultant to guide the
court in a doubtful question or issue
pending before it.
 “Bar” refers to the legal profession.
 “Bench” refers to the judiciary.
 Client – one who engages the services
of a lawyer for legal advice or for
purposes of prosecuting or defending a
suit in behalf and usually for a fee.
 Lawyer – this is the general term for a
person trained in the law and
authorized to advice and represent
others in legal matters
 Attorneys-At-Law – that class of
persons who are licensed officers of the
courts empowered to appear, prosecute
and defend, and upon whom peculiar
duties, responsibilities and liabilities are
developed by law as a consequence.
 Attorney in fact- simply an agent
whose authority is strictly limited by the
instrument appointing him. His
authority is provided in a special power
of attorney or general power of
attorney or letter of attorney. He is not
necessarily a lawyer.
 Bar Association – an association of
members of the legal profession like the
IBP where membership is integrated or
compulsory.
 House Counsel – one who acts as
attorney for business though carried as
an employee of that business and not
as an independent lawyer.
 Lead Counsel – the counsel on either
side of a litigated action who is charged
with the principal management and
direction of a party’s case, as
distinguished from his juniors or
subordinates.
 Practicing Lawyer – one engaged in
the practice of law who by license are
officers of the court and who are
empowered to appear, prosecute and
defend a client’s cause.
2

 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
ralc2011
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:
3

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
ralc2011
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
ralc2011
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
honor of the profession.
3. Duties to the COURT – respect or
defend against criticisms, uphold
authority and dignity, obey order and
processes, assist in the administration
of justice.
4. Duties to the CLIENT – entire
devotion to client’s interest.
Public versus private and personal
duties
 PUBLIC DUTY:
o Obey the law.
o Aid in the administration of
justice.
o Cooperate whenever justice is
imperiled.
 PRIVATE DUTY:
o Faithfully, honestly, and
conscientiously represent the
interest of his client.
 PERSONAL DUTY, the obligation he
owes to himself.
 Such classification of public and
personal results from the three-fold
capacity in which attorneys operate:
o As a Faithful Assistant of the
court in search of just solution to
disputes (Public Duty).
o As a Trusted Agent of his client
(Private Duty).
o As a Self-employed Businessman
(Personal Duty).
 Rules and ethics demand that an
attorney subordinate his personal and
private duties to those which he owes
to the court and to the public.
 Where his duties to his client conflict
with those he owes to the court and the
public, the former must yield to the
latter.
 His obligations to his client take
precedence over his duties to himself.
5
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

2. A relation as officer of the court

Practice of law as a profession to the administration of justice
 The practice of law is a profession, a involving thorough sincerity,
form of public trust, the performance of integrity, and reliability.
which is entrusted only to those who 3. Relation to the client in the
are qualified to possess good moral highest degree fiduciary.
character. 4. Relation to colleagues at the bar
 The legal profession is not a trade. characterized by candor, fairness,
 To render public service and secure and unwillingness to resort to
justice to those who seek its aid. current business methods of
 It is not a business, using bargain advertising and encroachment on
counter methods to reap large profits. their practice, or dealing with
 The gaining of livelihood is not a their clients.
profession, but a secondary  These characteristics make it a noble
consideration. profession and the privilege to practice
 The Code of Professional Responsibility, it is bestowed only upon individuals who
particularly the ethical rule against are competent intellectually,
advertising or solicitation of academically, and morally.
professional employment, rests on the  A partnership in the practice of law is a
fundamental postulate that the practice mere relationship or association for
of law is a profession. such particular purpose. It is not a legal
 Profession – A calling requiring entity. It is not a partnership formed for
specialized knowledge and often the purpose of carrying on a trade or
requiring long academic preparation. business or of holding property.
 In fixing fees, remember that ―the  Even if registered with the SEC, any
profession is a branch of the lawyer practicing under a law
administration of justice and not a mere partnership is considered a solo
money-making trade.‖ practitioner who is the taxpayer and not
 Law advocacy is not capital that yields the law partnership.
profits.  Law prohibits a business or commercial
 A calling, unlike mercantile pursuits partnership or juridical entity to engage
which enjoy a greater deal of freedom in the practice of law since such cannot
from government interference, is possess nor comply with the
impressed with public interest. qualifications and requirements of a
 Attorney is also entitled to protection lawyer.
from the court against any attempt by
his client to escape payment of his just Necessity of representation by counsel
fees.  Employment of a person acquainted
 Client is also protected against exaction with the rules becomes a necessity both
by his counsel of excessive fees. to the litigant and to the court.
 Litigant is not ordinarily versed in the
 Primary Characteristics law and its intricacies.
distinguishing the Legal Profession  A court can adjudicate only in
from Business: accordance with the law and the facts
1. A duty of public service, presented pursuant to well-established
emolument is a by-product. rules of procedure and evidence.
ralc2011 6
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

 A person unlearned in the law can  In custodial investigations, any person

neither aid litigants nor the court in that under such for the commission of an
regard. offense shall have the right to be
 Only a lawyer can properly and informed of his right to remain silent
effectively extend such assistance. and to have competent and
 The law profession came into being as a independent counsel preferably of his
result of that procedural development choice and any confession in violation of
of the court, which created the such shall be inadmissible in evidence
necessity for the attorney and made against him.
him an essential part of the judicial
machinery. Consequences of denial of right to
 The right of a litigant to counsel is a counsel
recognition of the necessity that a  The denial of such right, which may
litigant appear by counsel. either be the absence of assistance of
 There can be no fair hearing unless a counsel or the inadequate and grossly
litigant is represented by counsel. negligent representation may have
 A court cannot compel a litigant to adverse results.
prosecute or defend his cause 1. Admission of guilt without
personally if he chose to appear by counsel, inadmissible in evidence.
counsel, nor can it assign a counsel de 2. Representation of a person
oficio for an accused and require said claiming to be a lawyer,
counsel to proceed with the trial when conviction shall be set aside and
the accused has previously manifested a new trial undertaken.
his desire to secure the services of a 3. Judgment of conviction even if
counsel de parte. final and executor may still be
 SC subjects the lawyer to disciplinary recalled.
action and administrative liability for his 4. Gross ignorance of law and
failure to properly attend to the interest procedure by counsel gives the
of his client. accused another chance to
present his evidence.
Need for, and right to, counsel 5. Litigation may be reopened if the
 Party litigant needs the assistance of incompetence, ignorance, or
counsel in al proceedings, inexperience of counsel is so
administrative, civil, or criminal. great and error committed is so
 Not being a lawyer, he is ignorant of serious that the client is
the substantive and procedural laws prejudiced and denied his day in
which are applied to resolve disputes. court.
 Even if he is a lawyer, his personal or
emotional involvement may adversely When appearance by counsel not
affect his handling of the case. Thus, obligatory
even lawyers who are parties in a case  In the Municipal Trial Court, a party
need the guiding hand of counsel. may conduct his litigation in person or
 The need of a person for the assistance with the aid of an agent or friend
of counsel is felt more urgently in appointed by him or with an aid of an
criminal than in any other proceeding. attorney.

ralc2011 7
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

 In Regional Trial Court and Appellate due appreciation of their responsibilities

Courts, a party to a civil suit may either to the courts, to the clients, to the bar,
conduct his litigation personally or by and to the public
attorney unless the party is a juridical  Supreme Court applied some of the
person. Canons in case of professional
 In Administrative Proceedings, right to misconduct.
counsel is not indispensable to due  The Integrated Bar of the Philippines
process. If a respondent had chosen to adopted in 1980 a proposed Code of
represent himself without counsel Professional Responsibility submitted to
cannot later claim denial of due the Supreme Court for approval.
process.  In 1988, the Supreme Court
 Nothing in the Constitution that says promulgated the Code of Professional
that a party in a non-criminal Responsibility.
proceeding is entitled to be represented  The Code consists of 22 Canons and 77
by counsel. Rules, divided into 4 Chapters:
 The rule applies only in Civil and 1. The Law and Society.
Administrative cases. It does not apply 2. The Lawyer and the Legal
in cases involving grave and less grave Profession.
offenses where the accused must be 3. The Lawyer and the Courts.
represented by counsel and such right 4. The Lawyer and the Clients.
is not waivable.  The Code establishes the norms of
conduct and ethical standards for all
Canons of professional responsibility lawyers.
 A lawyer is answerable not only to his  Failure to live up to any of its provisions
client but also to the court of which he is ground for disciplinary action.
is an officer.  Faithful observance requires a thorough
 He should do nothing which may tend understanding of the Code.
to lessen the public confidence in the
fidelity, honesty, and integrity of the
legal profession.
 Professional standards serve as the
lawyer’s chart and compass to resolve
difficult questions of duty and help
minimize ethical delinquencies.
 In 1917, the Philippine Bar Association,
realizing that something more than the
Oath and Duties of a Lawyer was
needed to attain the full measure of
public respect, adopted as its own
Canons 1 to 32 of the Canons of
Profession Ethics of the American Bar
Association.
 In 1946, it again adopted as its own,
Canons 33 to 47.
 Their enforcement by the courts and
observance by lawyers is indicative of a
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.
ralc2011
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

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.
ralc2011
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
10
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

implemented through of legal principles not possessed

accreditation.
B. WHAT CONSTITUTES PRACTICE OF
LAW
Practice of Law, generally
 General principles and doctrines laid
down by the courts explaining the
meaning and scope of the term:
1. To engage in the practice of law
is to do any of those acts which
are characteristic of the legal
profession.
2. Any activity in or out of court
which requires the application of
law, legal principle, practice or
procedure and calls for legal
knowledge, training and
experience. (Cayetano vs
Monsod)
3. It is not limited to the conduct of
cases in court.
4. Includes legal advice, counseling,
and the preparation of legal
instruments and contracts by
which legal rights are secured,
which may or may not be pending
in court.
5. Strictly speaking, the word
practice of law implies the
customary or habitual holding out
of oneself to the public as a
lawyer and demanding
compensation for his services.
[People vs. Villanueva 14
SCRA 111]
 Three Principal Types of
Professional Activities:
1. Legal advice and instructions to
the clients to inform them of their
rights and obligations.
2. Preparation for clients of
documents requiring knowledge
by ordinary layman.
3. Appearance for clients before
public tribunals.
 When a person participates in a trial
and ―advertises‖ himself as a lawyer, he
is in the practice of law.
 Giving advice for compensation
regarding the legal status and rights of
another constitutes practice of law.
 One who renders an opinion as to the
proper interpretation of a statute and
receives pay for it, is to that extent,
practicing law.
 Engaging in the practice of law
presupposes the existence of a lawyer-
client relationship.
 Where a lawyer undertakes an activity
without any such relationship, such as
teaching law or writing law books or
legal articles cannot be said to be
engaged in the practice of his
profession as a lawyer.
Characteristics of term “Practice of
Law”
 The phrase ―practice of law‖ implies
customarily or habitually holding
oneself out to the public, as a lawyer,
for compensation as a source of
livelihood or in consideration of his
service.
 Holding oneself out may be shown by
acts indicative of that purpose.
 Thus, a layman is illegally engaged in
the practice when he sends a circular
announcing the establishment of a law
office for the general practice of law, or
when the takes the oath of office as a
lawyer before a notary public and files a
manifestation with the Supreme Court
informing his intention to practice law.

ralc2011 11

 Private practice consists of frequent and
customary actions, more than an
isolated appearance.
 It contemplates succession of acts of
the same nature habitually and
customarily holding oneself out to the
public as a lawyer.
 Isolated Appearance:
A. A judge who is prohibited from
engaging in private practice of
law has not violated this
prohibition when he appeared as
counsel for his cousin pro bono in
a criminal case.
B. Appearance as counsel in one
occasion is not conclusive as
determinative of engagement in
the practice of law.
C. Appearance of a city attorney as
private prosecutor not within the
prohibition. (People vs.
Villanueva)
 An isolated appearance may,
however, amount to practice:
1. Legislator cannot appear as
counsel before any court of
justice or Electoral Tribunals, or
quasi-judicial and administrative
bodies even in a single instance.
2. A layman’s representation as
defense counsel in a criminal case
is invalid and the conviction of
the accused may be set aside, as
violative of due process.
Representation before the court
 Practice of law, as customarily
understood, means:
1. Rendering of services to a
person, natural or juridical, in
court on any matter through
various stages and in accordance
with rules of procedure.
2. Appearance before the court.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
3. Preparation and filing of a
pleading, motion, memorandum,
or brief.
4. Examination of witnesses and
presentation of evidence.
5. Management and control of the
proceedings in court.
Representation before other agencies
 Appearances before any quasi-judicial,
administrative, or legislative agency
constituting practice of law:
1. Interpretation and application of
laws.
2. Presentation of evidence to
establish certain facts.
3. Representing an applicant for
registration of trademark, trade
name, or service mark in the
Philippine Patent Office.
4. Advocating or resisting claims
before the NLRC, BoC, or BIR.
5. Representing before a legislative
body regarding a proposed
legislation or ordinance.
 Character of the service and not the
place where it is performed is the
decisive factor determinative of whether
the service constitutes practice of law.
 Service to prepare and prosecute a just
claim before a quasi-judicial or
administrative body same and
legitimate as the service rendered in
court in arguing a cause.
Activity outside of court
 Practice of law also consists of work
performed outside of court:
o Giving legal advice on large
variety of subjects.
o Conveyancing and preparation
and execution of legal
instruments covering an
extensive field of business and
trust and other affairs.
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
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
 When any of the public officials are
absolutely prohibited, they cease, as a
general rule, to engage in private
practice of law and the right to practice
is suspended during tenure of office.
 Lawyer member of the Legislature not
absolutely prohibited.
 Prohibited only from appearing as
counsel in:
1. Any court of justice.
2. Electoral Tribunals.
3. Quasi-Judicial or Administrative
bodies.
 What is prohibited is to ―personally
appear.‖
 The word ―appearance‖ includes:
1. Arguing a case before any such
body.
2. Filing a pleading on behalf of a
client as ―by simply filing a formal
motion, plea or answer‖.
 Neither can he allow his name to
appear in such pleading by itself or as
part of a firm name under the signature
of another qualified lawyer because the
signature of an agent amounts to
signing of a non-qualified senator or
congressman, the office of an attorney
being originally of agency, and because
he will, by such act, be appearing in
court or quasi-judicial or administrative
body in violation of the constitutional
restriction.
 ―He cannot do indirectly what the
Constitution prohibits directly‖.
RESTRICTIONS IN THE PRACTICE OF
LAW OF THE MEMBERS OF THE
SANGGUNIAN
 They shall not:
1. Appear as counsel before any
court in any civil case wherein a
local government unit or any
17

office, agency or instrumentality
of the government is the adverse
party;
2. Appear as counsel in any criminal
case wherein an officer or
employee of the national or local
government is accused of an
offense committed in relation to
his office;
3. Collect any fee for their
appearance in administrative
proceedings involving the local
government unit of which he is an
official. [Sec. 90, R.A. 7160]
4. Use property and personnel of
the government except when the
Sanggunian member concerned is
defending the interest of the
government
 However, Sanggunian members may
practice their professions, engage in
any occupation, teach in schools
except during session hours.
WHO MAY NOT PRACTICE LAW?
 Relative Prohibition
1. Senators and members of the
House of Representatives
(prohibition to appear)
2. Members of the Sanggunian.
 Absolute Prohibition
1. All members of the Judiciary
2. Judges and other officials as
employees of the Supreme Court.
3. Government prosecutors.
4. President, Vice President,
members of the cabinet.
5. Members of Constitutional
Commissions.
6. Ombudsman and his deputies.
7. Solicitor General and Assistant
Solicitor General
8. All governors, city and municipal
mayors.
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

D. QUALIFICATIONS FOR ADMISSION
REQUIREMENTS FOR ADMISSION TO
THE BAR:
1. Citizen of the Philippines.
2. Resident of the Philippines
3. At least 21 years old
4. Successfully completed all prescribed
courses.
5. Passed the bar exams.
6. Production before the Supreme
Court satisfactory evidence of:
a. Good moral character
b. No charges against him,
involving moral turpitude,
have been filed or are pending
in any court in the Philippines.
Citizenship and Residence
 Privilege denied to foreigners.
 Takes into account the close connection
of the practice of law with the
administration of justice.
 An alien cannot well maintain allegiance
to the Republic of the Philippines, which
is required in the Oath of a Lawyer.
Good Moral Character
 Continued possession of good moral
character after admission is a 1. Civil Law 15%
requirement for enjoyment of privilege
to practice.
 Moral character is what a person really
is as distinguished from good reputation
or opinion generally entertained of him.
 Includes at least common honesty.
 Opposite of immorality, which is the
indifference to the moral norms of
society.
 This requirement aims to maintain and
uphold the high moral standard and the
dignity of the legal profession.
Educational qualifications
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
 Public Policy demands that a person
seeking admission to the practice of law
must
1. Possess the required educational
qualifications.
2. Show a degree of learning and
proficiency in law necessary for
the due performance of the duties
of a lawyer.
 To the lawyer is entrusted the
protection of life, liberty, property, or
honor.
 To approve officially one who is not
adequately prepared to such a delicate
task is to create a social danger.
Bar Examination
 Subjects chosen for these exams are
designed to eliminate any one whose
general intelligence, learning, and
mental capacity are inadequate to
enable him to assume and discharge
the duties of an attorney.
 Passing Grade: A general average of
75% in all subjects without falling
below 50% in any subject.
 In determining the average, the
subjects given the following relative
weights:
2. Labor and Social Legislation 10%
3. Mercantile Law 15%
4. Criminal Law 10%
5. Political and International Law
15%
6. Taxation 10%
7. Remedial Law 20%
8. Legal Ethics and Practical
Exercises 5%
 A candidate who fails for three times is
disqualified from taking another
examination, unless he has shown to
the satisfaction of the Court that he
has:
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
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

o Examinations for admission to the 4. To keep the examinee’s identity a

bar of the Philippines shall take secret and thus avoid any influence
place annually in the City of to bear upon the examiner in the
Manila. valuation of his answers:
o They shall be held in four days to a. The exam papers shall be
be designated by the chairman of identified by numbers.
the committee on bar examiners. b. The name of the examinee is
o The subjects shall be distributed written in a piece of paper and
as follows: sealed in an envelope.
1. 1st day: Political and 5. Any candidate who violates any of
International Law the rules concerning the conduct of
(morning), Labor and examination will be barred from
Social Legislation taking such and the same will be
(afternoon); counted as a failure against him.
2. 2nd day: Civil Law
(morning),Taxation  The conduct of the bar exams involves
(afternoon); public interest.
3. 3rd day: Mercantile Law  Any charge of anomaly requires prompt
(morning) Criminal Law action from the Court to prevent
(afternoon); erosion of public faith in the bar and in
4. 4th day: Remedial Law the court.
(morning) Legal Ethics and
Practical Exercises Correction and revaluation of grades
(afternoon). (Rule 138,  The bar examiners correct the
sec. 11.) examination papers and submit the
grades and corrected papers to the bar
 The questions shall be the same for all confidant.
examinees.  The bar confidant tallies the individual
 Examinees shall answer the questions grades of every examinee, computes
personally without help from anyone. the general average, and prepares a
 Upon verified application made by an comparative data showing the
examinee stating that his penmanship percentage of passing and failing in
is so poor that it will be difficult to read relation to a certain average.
his answers without much loss of time,  Results are submitted to the
the Supreme Court may allow such Examination Committee and to the
examinee to use a noiseless typewriter. Court.

Restrictions to insure integrity in  Any request for revaluation of the

examination answers and the grades given should be
1. An examinee is prohibited from made by the examinee addressed to
bringing papers, books or notes into the Court.
the examination room.
2. He is not to communicate with the
other examinees during the exam. Administration of Oath
3. He is not to influence any member of
the committee on bar exams.
ralc2011 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

the Supreme Court.
o Default in payment for 6 months
shall warrant suspension.
o Default in such payment for 1
year shall be a ground for
removal of the name of the
delinquent member from the Roll
of Attorneys.
o However, no action involving
suspension or removal from the
roll shall be effective without final
approval of the Supreme Court.

 Conditions sine qua non to the privilege

to practice law and to the retention of
his name in the roll of attorneys :
1. Continued membership
2. Regularly paying membership
dues and other lawful
assessments that it may levy.

 A lawyer must comply with the

requirement regarding payment of
membership even though his practice is
―limited.‖
 The exemption from payment of
individual income taxes for senior
citizens does not include payment of
IBP membership dues.

ralc2011 23

CHAPTER 3 –LAWYER’S
DUTIES TO SOCIETY
MEMORY AID FOR CANONS UNDER
THIS SECTION:
1. Promote and Respect the Law and Legal
Process (Canon 1)
2. Provide Efficient and Convenient Legal
Services (Canon 2)
3. Information on Legal Services that is
true, Honest, Fair and Dignified (Canon
3)
4. Support for Legal Reforms and
Administration of Justice (Canon 4)
5. Participate in Legal Education Program
(Canon 5)
6. Applies to Lawyers in Government
Service (Canon 6)
CANON 1: A lawyer shall uphold the
constitution, obey the laws of the land and
promote respect for law and legal process.
Rule 1.01. A lawyer shall not
engage in unlawful, dishonest,
immoral or deceitful conduct.
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
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
almost any kind of legal business by
laymen employed by an attorney for
the purpose or by the attorney himself.
 Ambulance chasing has spawned
recognized evils and is prohibited
because:
1. It stirs up litigation with resulting
burdens on courts and the public;
2. Supports perjury.
3. Defrauds innocent persons by
judgments, upon manufactured
causes of actions.
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.
benefits better than those which can
legally be secured to them by judicial
procedure.
 Litigation involves time, expense, and ill
feelings, which may well be avoided by
the settlement of the action.
 A compromise or even a confession of
judgment will:
1. Accord respect to the just claim
of the other party;
2. Save the client additional
expenses;
3. Help prevent clogging of the
docket.

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
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

 Cohabitation per se is not grossly 4. Concealing in an information

immoral. sheet required by law in
o Whether a lawyer’s sexual connection with his employment
congress with a woman not his the fact that he was charged with
wife should be characterized as or convicted of a crime.
grossly immoral will depend upon 5. Borrowing money as a guardian
the surrounding circumstances. for his benefit upon the ward’s
 Even if the evidence is not sufficient to property as collateral without the
hold a lawyer liable for gross court’s approval.
immorality, may nonetheless be 6. Encashing a check payable to his
reprimanded where such evidence deceased cousin by signing the
shows failure on his part to comply with latter’s name.
the rigorous standards of conduct. 7. Falsifying a power of attorney and
using it to collect the money due
Conviction of a crime involving moral the principal and converting it to
turpitude his benefit.
 Moral turpitude: 8. Misappropriating money
o Anything which is done contrary belonging to his employer.
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 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

performance of any task which by law
may only be performed by a member of
the Bar in good standing.
 He should not delegate to a layman any
work which involves the application of
law, such as:
1. The computation and
determination of the period within
which to appeal and adverse
judgment.
2. Examination of witnesses.
3. Presentation of evidence.
 Can employ secretaries, investigators,
detectives, researches as long as they
are not involved in the practice of law
(e.g., not ―writing‖ pleadings, appearing
in court, etc.)
A lawyer shall not divide fees with
non-lawyers
 Rule 9.02. A lawyer shall not divide or
stipulate to divide a fee for legal
services with persons not licensed to
practice law.
 Exceptions:
1. Where there is a pre-existing
agreement with a partner or
associate that, upon the latter’s
death, money shall be paid over a
reasonable period of time to his
estate or to persons specified in the
agreement.
2. Where a lawyer undertakes to
complete unfinished or legal
business of a deceased lawyer.
3. Where a lawyer or law firm includes
non-lawyer employees in a grounds. - A member of the bar may be
retirement plan, even if the plan is
based in whole or in part, on
profitsharing arrangement.
 The first two exceptions to the rule
represent compensation for legal
service rendered by the deceased
lawyer during his lifetime, which is paid
to his estate or heirs.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
 The third exception to the rule does not
involve, strictly speaking, a division of
legal fees with non-lawyer employees.
The retirement benefits in the form of
pension represent additional deferred
wages or compensation for past
services of the employees
 Impropriety arises where the effect of
the arrangement is to make the estate
or heir a member of the partnership
along with the surviving partners, or
where the estate or heir is to receive a
percentage of fees that may be paid
from future business of the deceased
lawyer’s clients. Such fees no longer
represent compensation for past
services of the deceased lawyer.
 An agreement between a union lawyer
and a layman president of the union to
divide equally the attorney’s fees that
may be awarded in a labor case violates
the rule.
D. SOLICITATION AND ADVERTISING
A lawyer shall not solicit legal
business
 The law prohibits lawyers from soliciting
cases for the purpose of gain, either
personally, or through paid agents or
brokers, and makes the act
malpractice. (Rule 138, Sec. 27, Rules
or Court)
 Sec. 27. Attorneys removed or
suspended by Supreme Court on what
removed or suspended from his office
as attorney by the Supreme Court for
any deceit, malpractice, or other gross
misconduct in such office, grossly
immoral conduct, or by reason of his
conviction of a crime involving moral
turpitude, or for any violation of the
oath which he is required to take before
admission to practice, or for a wilfull
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
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 &
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
published in connection with
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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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
CORPORATE 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
46
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

on the nature of the dues exacted from as an exercise of the police

him. power of the State.
 In upholding the constitutionality of  The inherent power of the
integration, the Supreme Court quoted Supreme Court to regulate
approvingly the report of the the bar includes the
Commission on Bar Integration on the authority to integrate the
matter as follows: bar.
o Freedom of Association – ―To o Regulatory fee – For the Court to
compel a lawyer to be a member prescribe dues does not mean
of an integrated bar is not that the Court levies a tax.
violative of his constitutional  A membership fee is an
freedom to associate (or the exaction for regulation,
corollary right not to associate).‖ while the purpose of a tax
 ―Integration does not make is revenue.
a lawyer a member of any  An integrated bar program
group of which he is not would not be possible to
already a member. He push through without
became a member of the means to defray the
bar when he passed the bar concomitant expenses.
exams. All that integration  The public interest
does is to provide an promoted by integration far
official national outweighs the
organization for the well- inconsequential
defined but unorganized inconvenience to a member
and incohesive group of that might result from his
which every lawyer is required payment of annual
already a member.‖ dues.
 ―Bar integration does not o Freedom of Speech – ―A lawyer is
compel the lawyer to free, as he has always been, to
associate with anyone. He voice his views on any subject in
is free to attend or not any manner he wishes, even
attend the meetings.‖ though such views be opposed to
 ―The compulsion to which positions taken by the unified
he is subjected is the bar.‖
payment of annual dues.‖  ―For the Integrated Bar to
 The issue, therefore, is a use a member’s dues to
question of compelled promote measures to which
financial support of group said member is opposed,
activities, not involuntary would not nullify or
membership in any other adversely affect his
aspect. freedom of speech.‖
 Assuming that bar  ―Since a State may
integration does compel a constitutionally condition
lawyer to be a member, the right to practice law
such compulsion is justified upon membership, it is
difficult to understand why
ralc2011 47
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

it should become 2. Foster and maintain, on the

unconstitutional for the bar part of its members, high
to use the member’s dues ideals of integrity, learning,
to fulfill the very purposes professional competence,
for which it was public service and conduct;
established.‖ 3. Safeguard the professional
o Fair to all lawyers – ―Bar interests of its members;
integration is not unfair to 4. Cultivate among its
lawyers already practicing members a spirit of
because although the cordiality and brotherhood;
requirement to pay dues is a new 5. Provide a forum for the
regulation. It will give the discussion of law,
member a new system which jurisprudence, law reform,
they hitherto have not had, and pleading, practice and
through which, by proper work, procedure, and the
they will receive benefits they relations of the Bar to the
have not hereto enjoyed. Bench and to the public,
Because it will apply equally to all and publish information
lawyers. Because it is a new relating thereto;
regulation in exchange for new 6. Encourage and foster legal
benefits, it is not retroactive, education; and
unequal, or unfair.‖ 7. Promote a continuing
program of legal research
Purposes and objectives of the in substantive and
Integrated Bar adjective law, and make
 By-laws Integrated Bar Philippines reports and
 Sec. 2. Objectives and purposes. - The recommendations thereon.
following are the general objectives of
the Integrated bar:  The purposes of an integrated Bar, in
o to elevate the standards of the general, are:
legal profession, 1. Assist in the administration of
o to improve the administration of justice;
justice; and 2. Foster and maintain on the part
o to enable the Bar to discharge its of its members high ideals of
public responsibilities more integrity, learning, professional
effectively. competence, public service and
o The purposes of the Integrated conduct;
Bar include, without being limited 3. Safeguard the professional
to, those specified in the per interests of its members;
curiam Resolution of the Supreme 4. Cultivate among its members a
Court dated January 9, 1973 spirit of cordiality and
ordaining the integration of the brotherhood;
Philippine Bar, to wit: 5. Provide a forum for the discussion
1. Assist in the administration of law, jurisprudence, law reform,
of justice; pleading, practice and procedure,
and the relations of the Bar to the
ralc2011 48
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

Bench and to the public, and the country so that the poor may not
publish information relating lack competent legal service;
thereto; 9. Distribute educational and
6. Encourage and foster legal informational materials that are
education; difficult to obtain in many of our
7. Promote a continuing program of provinces;
legal research in substantive and 10. Devise and maintain a
adjective law, and make reports program of continuing legal
and recommendations thereon; education for practising attorneys in
and order to elevate the standards of the
8. Enable the Bar to discharge its profession throughout the country;
public responsibility effectively. 11. Enforce rigid ethical
standards, and promulgate minimum
 Integration of the Bar will, among other fees schedules;
things, make it possible for the legal 12. Create law centers and
profession to: establish law libraries for legal
1. Render more effective assistance in research;
maintaining the Rule of Law; 13. Conduct campaigns to
2. Protect lawyers and litigants against educate the people on their legal
the abuse of tyrannical judges and rights and obligations, on the
prosecuting officers; importance of preventive legal
3. Discharge, fully and properly, its advice, and on the functions and
responsibility in the disciplining duties of the Filipino lawyer; and
and/or removal of incompetent and 14. Generate and maintain
unworthy judges and prosecuting pervasive and meaningful country-
officers; wide involvement of the lawyer
4. Shield the judiciary, which population in the solution of the
traditionally cannot defend itself multifarious problems that afflict the
except within its own forum, from nation. (In re Integration of the
the assaults that politics and self- Bar of the Philippines)
interest may level at it, and assist it
to maintain its integrity, impartiality Non-political bar
and independence;  By-laws Integrated Bar Philippines
5. Have an effective voice in the  Sec. 4. Non-political bar. - The
selection of judges and prosecuting Integrated Bar is strictly non-political,
officers; and every activity tending to impair this
6. Prevent the unauthorized practice of basic feature is strictly prohibited and
law, and break up any monopoly of shall be penalized accordingly. No
local practice maintained through lawyer holding an elective, judicial,
influence or position; quasi-judicial, or prosecutory office in
7. Establish welfare funds for families the Government or any political
of disabled and deceased lawyers; subdivision or instrumentality thereof
8. Provide placement services, and shall be eligible for election or
establish legal aid offices and set up appointment to any position in the
lawyer reference services throughout Integrated Bar or any Chapter thereof.
A Delegate, Governor, officer or
ralc2011 49
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

employee of the Integrated Bar, or an practice of law shall, not later

officer or employee of any Chapter than December 31, 1974, register
therof shall be considered ipso facto in the Integrated Bar as
resigned from his position as of the hereunder required, at the
moment he files his certificate of national office or at the office of
candidacy for any elective public office his Chapter.
or accepts appointment to any judicial,
quasi-judicial, or prosecutory office in Every person admitted to the
the Government or any political practice of law after these by-
subdivision or instrumentality thereof. laws become effective shall
register in like manner not later
 The election of IBP officers is required than sixty days after such
to be conducted on a non-political admission.
basis. Partisan politics may thus
invalidate the elections. Registration shall be
 Partisan political activities of candidates accomplished by signing and
for IBP positions, such as setting up filing in duplicate the prescribed
campaign headquarters, island-hopping registration form containing such
to solicit votes of chapter presidents, information as may be required
made a political circus of the by the Board of Governors,
proceedings and tainted the whole including the following:
election process. The candidates a. Full name, sex and civil
violated the IBP by-laws and of the status;
ethics of the legal profession. b. Month, date, year and
place of birth;
Membership, resignation, retirement, c. Office address(es);
and reinstatement d. Residence address(es);
 By-laws Integrated Bar Philippines e. Occupation(s) or
o Sec. 18. Membership. - The employment;
following persons are, f. Name of law school and
automatically and without year of graduation;
exception members of the g. Year of admission to the
Integrated Bar of the Philippines: Bar; and
a. All lawyers whose names h. Field(s) of specialization in
were in the Roll of law, if any.
Attorneys of the Supreme
Court as of January 16, It shall be the duty of the Secretary
1973; and of every Chapter to promptly
b. All lawyers whose names forward a copy of each accomplished
were included or are registration form to the national
entered therein after the office.
said date.
o Sec. 19. Registration. - Unless o Sec. 20. Members in good
he has already previously standing. - Every member who
registered, every member has paid all membership dues
heretofore admitted to the and all authorized special
ralc2011 50

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.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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
51

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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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;
52

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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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
54
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

biennial meeting and shall hold office

for a term of 2 years.

ralc2011 55

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.
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
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
56

courts by an artifice or false statement
of fact or law.
 The oat embodies the fundamental
duties of a lawyer, which he must honor
as there would be a great detriment to,
if not a failure of, the administration of
justice if courts could not rely on the
representations of the lawyers in the
handling of their cases.
 A lawyer should not conceal the truth
from the court, nor mislead the court in
any manner no matter how demanding
his duties to his client may be.
 No client is entitled to receive from the
lawyer any service involving dishonesty
to the courts.
 A lawyers should neither endeavor by
dishonest means to mislead the court or
the adverse party nor make false
allegations in a pleading.
 It is improper for counsel of the
accused to ask him to plead guilty to an
offense which counsel knows his client
did not commit.
A lawyer should not misquote nor
misrepresent
 Rule 10.02. A lawyer shall not knowingly
misquote or misrepresent the contents of a
paper, the language or the argument of
opposing counsel, or the text of a decision or
authority, or knowingly cite as law a provision
already rendered inoperative by repeal or
amendment, or assert as a fact that which
has not been proved.
 A lawyer who deliberately made it
appear that the quotations in his motion
for reconsideration were findings of the
Supreme Court, when they were just
part of the memorandum of the Court
Administrator, and who misspelled the
name of the complainant and made the
wrong citation of authority.
 In signing the Court’s decisions, it is the
bounden duty of courts, judges, and
ralc2011
LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo
lawyers to reproduce or copy the same
word for word and punctuation mark by
punctuation mark.
 Only from the Supreme Court’s rulings
do all other courts, as well as lawyers
and litigants, take their bearing.
 New Civil Code, Article 8. Judicial
decisions applying or interpreting the
laws or the Constitution shall form a part
of the legal system of the Philippines.
 Thus, ever present is the danger that if
not faithfully and exactly quoted, the
decisions and rulings of the Supreme
Court may lose their proper and correct
meaning, to the detriment of other
courts, lawyers, and the public who
may be misled.
 If inferior courts and members of the
bar meticulously check and recheck
their citations of authorities, appellate
courts will be precluded from acting on
misinformation and save precious time
in finding out whether the citations are
correct.
A lawyer shall not misuse rules of
procedure
 Rule 10.03. A lawyer shall observe the rules
of procedure and shall not misuse them to
defeat the ends of justice.
 Rules of procedure offer innumerable
opportunities and means for delay and
to defeat the ends of justice.
 Procedural rules are instruments in the
speedy and efficient administration of
justice. They should be used to achieve
such end and not to derail it.
 Filing of multiple petitions constitutes
abuse of the court’s processes.
 He should not use his knowledge of law
as an instrument to harass a party.
 While a lawyer owes fidelity to the
cause of his client, it should not be at
the expense of truth and administration
of justice.
57

 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.
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.
ralc2011
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.
Obeying court orders
 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.
58

 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.
ralc2011
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.
ralc2011
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.
60

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.
ralc2011
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.
ralc2011
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
ralc2011
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
ralc2011
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
ralc2011
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.
ralc2011
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.
66
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

Criticism of pending and concluded  A lawyer is expected to consider it his

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.
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.

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 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 71

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.
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.
ralc2011 76

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
ralc2011
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
ralc2011
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.
ralc2011
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
ralc2011
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
ralc2011
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
ralc2011
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.
ralc2011
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
 LEGAL ETHICS
Based on the book
“Legal and Judicial Ethics”
by Atty. Ruben E. Agpalo

less than spectacular fees by advising,

influencing, cajoling, or even coercing clients Consequences to a client for lawyer’s breach
to plead guilty, irrespective of their guilt or of trust
innocence.  The client may lose his case due to the
 A lawyer who has been thrice appointed negligence or misconduct of his counsel
counsel de oficio, cautions the courts from because the client is generally bound by his
frequently appointing the same attorney to lawyer’s omission or mistake.
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 87
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

CHAPTER  VIII   -­‐ Undue  influence  in  the  preparation  of  

the  will    shown  by  persuasive  
LAWYER’S  FIDUCIARY  
circumstances  such  as  preferential  
OBLIGATIONS   treatment  and  inclusion  of  a  bequest  
  more  than  a  token  or  modest  amount    
A.  EFFECTS  OF  FIDUCIARY  RELATION    
GENERALLY:   REBATES  AND  COMMISSIONS  
-­‐  Atty.  –  client  relationship  is  highly  fiduciary   “A  lawyer  shall  not  without  the  full  
and  strictly  confidential  requiring  utmost   knowledge  and  consent  of  the  client,  accept  
good  faith,  loyalty,  fidelity  and   any  fee,  reward,  costs  commission  interest,  
disinterestedness  on  the  part  of  the  atty  for   rebate  or  forwarding  allowance  or  other  
the  protection  of  the  client   compensation  whatsoever  related  to  his  
  professional  employment  from  anyone  other  
-­‐  principles  of  justice  and  expediency  require   than  the  client.  “  
that  the  atty  must  not  derive  any  advantage    
from  such  act  when  done  by  him  as  may   -­‐ to  secure  the  wholehearted  fidelity  
operate  to  the  prejudice  of  his  client  and  that   to  the  client’s  cause  and  prevent  him  
ALL  advantages  arising  there  from  must  inure   from  full  discharge  of  duty  to  his  
to  the  client’s  benefit   client  
  -­‐ Whatever  a  lawyer  receives  from  the  
DEALINGS  SUBJECT  TO  SCRUTINY   opposite  party  in  the  service  of  his  
-­‐ fiduciary  relation  exists  as  a  matter  of   client  belongs  to  the  client,  in  the  
law  which  requires  all  dealings  to  be   absence  of  the  client’s  consent  made  
subject  to  the  closest  judicial  scrutiny   after  the  full  disclosure  of  the  facts  
-­‐ court’s  duty  to  guard  and  protect    
clients  from  any  undue  consequences   A  LAWYER  SHALL  NOT  BORROW  MONEY  
-­‐ measure  of  good  faith  required  from   FROM  THE  CLIENT  
atty  is  much  higher  compared  to   “…unless  the  client’s  interests  are  fully  
what  is  required  in  business  dealings   protected  by  the  nature  of  the  case  or  by  
-­‐ no  presumption  of  innocence  or   independent  advice…”  
improbability  of  wrong  doing  is   (borrowing  allowed  if  under  this  exception  
considered  in  atty’s  favour   but  should  not  abuse  by  delaying  payment)  
-­‐ dealings  must  be  characterized  with    
utmost  honesty  and  good  faith   AND  LEND  MONEY  TO  HIM  
-­‐ it  is  upon  the  lawyer  to  prove  that   “…except,  when  in  the  interest  of  justice  he  
the  transaction  was  FAIR   has  to  advance  necessary  expenses  in  a  legal  
  matter  he  is  handling  for  the  client.”  
ABUSE  OF  CONFIDENCE   -­‐ intended  to  assure  the  lawyer’s  
“A  lawyer  should  refrain  from  any  action   independent  professional  judgment  
whereby  for  his  personal  benefit  or  gain  he   for  if  there  is  financial  interest  the  
abuses  or  takes  advantage  of  the  confidence   free  exercise  of  his  judgment  may  be  
reposed  in  him  by  his  client.”   affected  
  -­‐ violation  of  oath  of  good  fidelity  to  
-­‐ a  lawyer  may  not  retain  money  of   client  and  make  lawyering  a  money  
client  to  force  settlement  of  a   making  venture  
disputed  claim    
-­‐ cannot  obtain  money  thru  false   B.ACCOUNTING  OF  CLIENT’S  FUNDS  
pretense  or  misrepresentation  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Canon  16:  “a  lawyer  shall  hold  in  trust  all   “A  lawyer  shall  keep  the  funds  of  each  client  
moneys  and  properties  of  his  client  that  may   separate  and  apart  from  his  own  and  those  of  
come  into  his  possession.”   others  kept  by  him.”  
 Rule  16.01  “a  lawyer  shall  account  for  all  the    
money  or  property  collected  or  received  for   -­‐ not  commingle  money  of  client  with  
or  from  the  client.”   that  of  other  clients  and  with  his  
  private  funds,  nor  use  the  client’s  
-­‐ a  lawyer  may  receive  money  for  or   money  for  personal  purposed  
from  the  client  in  the  course  of  his   without  the  client’s  consent  
employment  which  he  holds  in  trust   -­‐ promptly  report  money  of  his  client  
and  under  the  obligation  to  make  an   coming  to  his  possession  
accounting  thereof.    
Such  money  may  include:   A  LAWYER  SHALL  DELIVER  FUNDS  TO  CLIENT,  
  SUBJECT  TO  HIS  LIEN  
1.  money  collected  in  pursuance  of  a   Rule  16.03:  “A  lawyer  shall  deliver  the  funds  
judgment  in  favour  of  his  client   and  property  of  his  client  when  due  or  upon  
2.  money  of  client  not  used  for  the   demand.  However  he  shall  have  a  lien  over  
purpose  for  which  it  was  entrusted   the  funds  and  may  apply  so  much  thereof  as  
3.  any  property  redeemed  with  the   may  be  necessary  to  satisfy  his  lawful  fees  
client’s  money  and  registered  in  the   and  disbursements,  giving  notice  promptly  
lawyer’s  name   thereafter  to  his  client.”  
4.  any  fund  received  from  a  judgment    
creditior  as  consideration  to  desist   -­‐ assumes  that  the  client  agrees  with  
from  participating  in  a  public  sale   the  lawyer  as  to  the  amount  of  atty’s  
  fees  and  the  application  of  the  
-­‐ if  there  is  failure  to  accomplish  a   client’s  funds  to  pay  such  fees  
specific  purpose  for  which  money   -­‐ without  the  consent,  lawyer  cannot  
given  by  the  client  was  to  paid,  the   apply  the  money  for  his  fees,  but  
atty  must  return  such  money   should  instead  return  money  to  the  
immediately  to  the  client   client  without  prejudice  to  filing  a  
-­‐ “..failure  to  return  such  money  upon   case  for  the  recovery  of  his  fees  
demand  give  rise  to  the  presumption    
that  he  misappropriated  it  for  his   C.  RESTRICTION  AGAINST  BUYING  CLIENT’S  
own  use  and  to  the  prejudice  of  and   PROPERTY  
in  violation  of  the  trust  reposed  in   PURCHASE  OF  PROPERTY  IN  LITIGATION  
him  by  his  client.  It  is  a  gross  violation   -­‐ prohibits  lawyer  from  purchasing  
of  general  morality,  professional   even  at  auctions,  either  in  person  or  
ethics  and  impairs  public  confidence   through  the  mediation  of  another,  
in  the  legal  profession.”  (Celaje  v.   any  property  or  interest  involved  in  
Soriano)     any  litigation  in  which  he  may  take  
-­‐ also  applies  even  without  atty-­‐client   part  by  virtue  of  his  profession  
relationship   -­‐ rests  on  public  policy  and  interests  
-­‐ may  retain  part  of  money  if   -­‐ such  prohibition  is  ABSOLUTE  AND  
authorized  by  the  client   PERMANENT  
  -­‐ moral  obligation  of  the  atty  to  refrain  
A  LAWYER  SHALL  NOT  COMMINGLE  CLIENT’S   from  placing  himself  in  a  position  
FUNDS   which  excites  conflict  between  self  
interest  and  integrity  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

ELEMENTS:   -­‐ also  improper  to  buy  judgment  noted  

  a.  atty-­‐client  relationship  exists   or  other  choses  for  much  less  their  
  b.  property  or  interest  of  client  in   face  value  with  intent  to  collect  them  
litigation   at  large  profit  
  c.  atty  takes  part  as  counsel  in  such   Exception:  
case   -­‐ if  acquired  not  in  his  professional  
  d.  atty  by  himself  or  through  another   capacity  but  as  a  LEGITIMATE  
purchases  such  property  or  interest   INVESTMENT  
during  pendency  of  litigation    
  CHAPTER  IX  
Applies  even  when:  
-­‐ purchase  or  lease  in  favour  of  a  
LAWYER’S  DUTY  TO  PRESERVE  
partnership  of  which  the  counsel  is  a   CLIENT’S  CONFIDENCE  
partner    
-­‐ purchase  by  atty’s  wife  of  an  interest   A.  PRESERVATION  OF  CLIENT’S  CONFIDENCE  
belonging  to  estate  of  the  decedent   Canon  21:  “a  lawyer  shall  preserve  the  
-­‐ acquisition  of  guardian’s  lawyer  of   confidence    and  secrets  of  his  client  even  
the  ward’s  property   after  the  atty-­‐client  relationship  is  
-­‐ property  in  litigation  deeded  in   terminated.”  
favour  of  atty  for  payment  of  fees    
and  the  value  of  such  is  greatly  more   -­‐ applicable  to  matters  disclosed  by  
than  the  worth  of  the  atty’s  services   prospective  clients  
-­‐ transfer  of  right  over  a  parcel  of  land    
in  a  pending  litigation  as  atty’s  fees   Rule  21.01  -­‐  A  lawyer  shall  not  reveal  the  
(malpractice)   confidences  or  secrets  of  his  client  except;  
(a)  When  authorized  by  the  client  after  
 
acquainting  him  of  the  consequences  of  the  
Not  applicable  in  the  ff:   disclosure;  
-­‐ property  not  in  litigation   (b)  When  required  by  law;  
-­‐ sale  took  place  prior  to  litigation   (c)  When  necessary  to  collect  his  fees  or  to  defend  
-­‐ purchaser  was  a  corporation  even   himself,  his  employees  or  associates  or  by  judicial  
though  the  atty  was  an  officer   action.  
thereof   Rule  21.02  -­‐  A  lawyer  shall  not,  to  the  
-­‐ sale  after  termination  of  the  litigation   disadvantage  of  his  client,  use  information  
-­‐ atty  bidding  on  behalf  of  his  client  at   acquired  in  the  course  of  employment,  nor  shall  
the  auction  of  client’s  property   he  use  the  same  to  his  own  advantage  or  that  of  a  
third  person,  unless  the  client  with  full  knowledge  
-­‐ contingent  fee  contract  unless  
of  the  circumstances  consents  thereto.  
unreasonable   Rule  21.03  -­‐  A  lawyer  shall  not,  without  the  
  written  consent  of  his  client,  give  information  
PURCHASE  IN  VIOLATION  OF  THIS  RULE  IS   from  his  files  to  an  outside  agency  seeking  such  
NULL  AND  VOID  AB  INITIO   information  for  auditing,  statistical,  bookkeeping,  
-­‐ It  is  definite,  permanent  and  cannot   accounting,  data  processing,  or  any  similar  
be  ratified.     purpose.  
  Rule  21.04  -­‐  A  lawyer  may  disclose  the  affairs  of  a  
PURCHASE  OF  CHOSES  IN  ACTION   client  of  the  firm  to  partners  or  associates  thereof  
-­‐ prohibition  applies   unless  prohibited  by  the  client.  
Rule  21.05  -­‐  A  lawyer  shall  adopt  such  measures  
-­‐ if  allowed,  lawyer  becomes  a  
as  may  be  required  to  prevent  those  whose  
voluntary  litigant  for  profit  which  is  
improper  conduct  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

services  are  utilized  by  him,  from  disclosing  or   -­‐ work  product  of    lawyer  such  as  his  
using  confidences  or  secrets  of  the  clients.   effort,  research  and  thought  and  the  
Rule  21.06  -­‐  A  lawyer  shall  avoid  indiscreet   records  of  his  client  are  Privileged  
conversation  about  a  client's  affairs  even  with   matters  
members  of  his  family.  
-­‐ neither  the  lawyer,  his  heir  or  legal  
Rule  21.07  -­‐  A  lawyer  shall  not  reveal  that  he  has  
been  consulted  about  a  particular  case  except  to  
representatives  disclose  the  contents  
avoid  possible  conflict  of  interest.   of  such  files  without  client’s  
  permission  
   
DURATION  OF  DUTY    
-­‐ perpetual,  continues  even  after    A  LAWYER  MAY  DISCLOSE  AFFAIRS  OF  
client’s  death   CLIENT  TO  PARTNERS  
-­‐ he  may  not  do  anything  which  will   -­‐ employment  of  a  law  firm  is  
injuriously  affect  his  former  client   equivalent  to  retainer  of  the  
-­‐ nor  at  any  time  disclose  or  use   members  thereof  
against  him  any  knowledge  or   -­‐ employment  of  one  member  of  a  law  
information  acquired  by  virtue  of  the   firm  is  considered  as  employment  of  
professional  relationship   the  law  firm  
-­‐ some  privileged  communication  may   -­‐ partners  and  associates  are  not  
lose  privileged  nature  by  some   considered  third  persons  because  
supervening  act  done  pursuant  to   they  are  considered  as  one  person  
the  purpose  of  the  communication    
  A  LAWYER  SHALL  ADOPT  MEASURES  
REASON  FOR  THE  RULE   AGAINST  DISCLOSURES  OF  CLIENT’S  SECRETS  
-­‐ encourage  full  disclosure  of  facts  to   “A  lawyer  shall  adopt  such  measures  as  may  be  
atty.  and  place  unrestricted   required  to  prevent  those  whose  services  are  
utilized  by  him,  from  disclosing  or  using  
confidence  in  him  in  matters  
confidences  or  secrets  of  the  clients.”  
affecting  his  rights  and  obligations    
-­‐ preserve  the  confidential  and  trust   -­‐ employment  of  secretaries,  
relation  between  atty  and  client   stenographers,  messengers,  clerks  
  etc  is  allowed  and  client’s  secrets  
A  LAWYER  SHALL  NOT  USE  CLIENT’S  SECRETS   learned  by  these  persons  In  the  
WITHOUT  HIS  CONSENT   performance  of  their  services  to  the  
”  A  lawyer  shall  not,  to  the  disadvantage  of  his   lawyer  or  his  client  are  privileged  
client,  use  information  acquired  in  the  course  of  
communications  
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   A  LAWYER  SHALL  AVOID  INDISCREET  
consents  thereto.”   CONVERSATION  ABOUT  CLIENT’S  AFFAIRS  
  “…even  with  members  of  his  family.”  
A  LAWYER  SHALL  NOT  GIVE  INFORMATION   -­‐ may  result  in  prejudice  to  client  and  
FROM  HIS  FILES   lessen  respect  due  to  the  legal  
“  A  lawyer  shall  not,  without  the  written  consent   profession  
of  his  client,  give  information  from  his  files  to  an   -­‐  
outside  agency  seeking  such  information  for   A  LAWYER  SHALL  NOT  REVEAL  HIS  HAVING  
auditing,  statistical,  bookkeeping,  accounting,   CONSULTED  
data  processing,  or  any  similar  purpose.”  
 

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

“  A  lawyer  shall  not  reveal  that  he  has  been   -­‐ mere  relation  of  atty  and  client  does  
consulted  about  a  particular  case  except  to  avoid   not  raise  presumption  of  
possible  conflict  of  interest.”   confidentiality  
  -­‐ the  client  must  intend  the  
-­‐ applies  to  matters  disclosed  by   communication  to  be  confidential  
prospective  client  because  the   and  for  the  purpiose  of  seeking  legal  
disclosure  creates  atty-­‐client   advice  
relationship  even  though  the  atty   -­‐ Confidential  information-­‐  transmitted  
does  not  eventually  accept  the   by  voluntary  act  of  disclosure  
employment   between  atty  and  client  in  confidence  
-­‐ lawyer  should  ascertain  as  soon  as   and  by  means  which  so  far  as  the  
practicable  whether  there  is  conflict   client  is  aware,  discloses  the  
of  interest  and  inform  the   information  to  no  third  person  other  
prospective  client  that  he  cannot   than  one  reasonably  necessary  to  
accept  employment  on  such  ground   accomplish  the  purpose  for  which  it  
  was  given.  
B.  SCOPE  OF  ATTY-­‐  CLIENT  PRIVILEGE   -­‐ a  third  person  who  overheard  
  privilege  communication,  privilege  
REQUISITES   rule  does  not  apply  
(Mercado  v.  Vitriolo)    
Evidentiary  privilege  (all  must  concur):   FORM  OR  MODE  OF  COMMUNICATION  
1.  legal  advice  of  any  kind  is  sought   -­‐oral,  written,  actions,  signs  and  other  means  
2.  from  a  professional  legal  adviser  in  his   of  communication  intended  to  be  
capacity  as  such   confidential  by  the  client  
3.  the  communications  relating  to  such   -­‐no  particular  mode  required  for  the  privilege  
purpose   rule  to  attach  
4.  made  in  confidence      
5.  by  the  client   PERSONS  ENTITLED  TO  CLAIM  PRIVILEGE  
6.are  at  his  instance  permanently  protected   -­‐ generally  extends  to  the  atty,  his  
7.  from  disclosure  by  himself  or  by  the  atty   client  as  well  as  to  the  atty’s  
8.  except  if  the  protection  is  waived   secretary,  stenographer,  or  clerk.  
  -­‐ interpreter  or  messenger  
-­‐ the  person  from  whom  legal  advice  is   transmitting  the  communication  
sought  must  be  an  atty.     -­‐ experts  such  as  accountant,  physician  
-­‐ applies  if  person  poses  as  a  lawyer   etc  hired  either  by  client  or  atty  for  
for  some  ulterior  purpose  and  client   consultation  
confides  in  him   -­‐ for  protection  of  client  
-­‐ communication  of  client  for  purpose   -­‐ may  be  asserted  by  client’s  assignee,  
other  than  on  account  of  the  atty-­‐ heir  or  legal  representative  
client  relation  is  NOT  privileged    
-­‐ communication  must  be  for  a  lawful   APPLICATION  OF  RULE  
purpose  or  lawful  end   -­‐ lawyer  may  be  compelled  to  disclose  
-­‐ client  who  asserts  the  existence  of   unprivileged  communication  but  he  
atty-­‐client  relation  has  burden  of   cannot  volunteer  such  information  
proving  such  fact   for  his  own  benefit  to  the  prejudice  
  of  his  client  
CONFIDENTIALITY    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

A  LAWYER  SHALL  NOT  REVEAL  CLIENT’S     atty’s  secretary,  stenographer  or  

CONFIDENCE   clerk,    
“A  lawyer  shall  not  reveal  the  confidences  or     the  consent  of  the  atty  is  also  
secrets  of  his  client  except;   necessary  
(a)  When  authorized  by  the  client  after   -­‐  client  may  waive  personally    
acquainting  him  of  the  consequences  of  the   -­‐  or  through  counsel  except:  
disclosure;   >  controversy  involves  atty-­‐client  
(b)  When  required  by  law;  
relation  as  in  cases  of  breach  of  
(c)  When  necessary  to  collect  his  fees  or  to  defend  
himself,  his  employees  or  associates  or  by  judicial  
confidence  
action.”   -­‐    client  waives  privilege  by  filing  a  complaint  
  against  his  atty  or  by  refusing  to  pay  atty’s  
-­‐ lawyer  may  not  disclose  client’s  funds  to   fees  
creditor  to  enable  attachment  of  such   -­‐    waives  cannot  be  made  partially  
funds   -­‐  partial  waiver  is  equivalent  to  a  waiver  in  
-­‐ lawyer  cannot  reveal  the  commission  of  a   whole  
matrimonial  offence  committed  by  client    
contemplating  the  filing  for  legal   DISCLOSURE  TO  PROTECT  ATTY’S  RIGHTS  
separation  
-­‐ privilege  cannot  be  used  as  shield  for  
-­‐ lawyer  who  acquires  knowledge  of  past  
wrongful  acts  of  a  corporate  client  may  
wrongdoing  nor  can  it  be  employed  
disclose  them  to  the  directors  but  not  to   to  deny  a  lawyer  the  right  to  protect  
others   himself  against  abuse  by  the  client  or  
-­‐ when  lawyer  discovers  fraud  committed   false  charges  by  third  persons  
by  client,  endeavour  to  rectify  it  by   -­‐ if  atty  is  accused  of  misconduct  by  his  
advising  client  and  informing  person   client,  he  may  disclose  the  truth  
injured     necessary  only  to  protect  his  rights  
-­‐ breach  of  duty  by  lawyer  (art  209  of  RPC)   -­‐ avoid  any  disclosure  not  necessary  to  
o prision  correccional  or  a  fine   protect  his  rights  
200-­‐1000  pesos  
 
 
*read  People  v  Sandiganbayan    p.  291  (275  
C.  EXCEPTIONS  TO  THE  RULE  ON  PRIVILEGE  
SCRA  505)  
A  lawyer  shall  not  reveal  the  confidences  or  
secrets  of  his  client  except;    
(a)  When  authorized  by  the  client  after   CHAPTER  X  
acquainting  him  of  the  consequences  of  the   Lawyer’s  Duties  of  Fair  Dealings  
disclosure;  
(b)  When  required  by  law;  
and  Avoiding  Conflict  of  Interests  
 
(c)  When  necessary  to  collect  his  fees  or  to  
A. FAIRNESS  IN  DEALING  WITH  CLIENT  
defend  himself,  his  employees  or  associates  
Duty  to  be  candid,  fair  and  loyal  in  all  
or  by  judicial  action.  
dealings  with  client,  generally  
-­‐  in  addition  to  these,  when  it  refers  to  the  
• Canon  15  –  lawyer  shall  observe  
commission  of  a  contemplated  crime  or  
candor,  fairness  and  loyalty  in  all  
perpetuation  of  fraud  
dealings  with  client.  
 
CLIENT’S  WAIVER  OF  THE  PRIVILEGE   • Generally,  the  relation  of  attorney  
-­‐    only  client  can  waive  except:   and  client  is  strictly  personal  and  
  >  when  the  person  to  be  examined   highly  confidential  and  fiduciary.  
the     • Highly  Confidential  
o Trust    
o  Confidence  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• Fiduciary   witness  for  a  client  in  a  case,  the  

o Absolute  Integrity     canons  of  the  profession  forbid  him  
o Undivided  Allegiance   from  acting  in  that  double  capacity  as  
A  lawyer  shall  ascertain  possible  conflict  of   he  will  find  it  difficult  to  disassociate  
interests   his  relation  to  the  client  as  a  lawyer  
• Rule  15.01  –  A  lawyer,  in  conferring   and  his  relation  to  the  litigant  as  a  
with  a  prospective  client  shall   witness.    
ascertain  as  soon  as  practicable   • GR:  A  lawyer  shall  not  refuse  his  
whether  the  matter  would  involve  a   services  to  the  needy.  
conflict  with  another  client  or  his  own   Exceptions:    
interest,  and  if  so  shall  forthwith   Ø He  is  not  in    a  position  to  carry  it  
inform  the  prospective  client.   out  effectively  or  competently  
• The  disclosure  is  more  for  the   Ø He  labors  under  a  conflict  of  
protection  of  the  lawyer  than  that  of   interest  between  him  and  
the  client.     prospective  client  or  between  a  
• Concealment  of  facts  material  to  the   present  one  and  the  prospective.  
employment  may  cause  his  client  to   A  lawyer  shall  preserve  the  secrets  of  a  
lose  confidence  in  him  and  may  even   prospective  client  (even  if  such  client  does  
affect  hi  fee.   not  retain  the  lawyer  or  latter  declines  
• A  client  may  presume  from  an   employment)  
attorney’s  failure  to  disclose  matters   Rule  15.02  Lawyer  is  bound  by  the  rule  on  
material  to  his  employment  that  the   privileged  communication  in  respect  of  
attorney  has  no  interest  which  will   matters  disclosed  to  him  by  a  prospective  
interfere  with  his  devotion  to  the   client.    
cause  confided  to  him.     Reason:    To  make  the  prospective  client  free  
  to  discuss  whatever  he  wishes    with  the  
Duty  to  decline  employment   lawyer  without  fear  that  what  he  tells  the  
•  A  lawyer  should  decline  professional   lawyer  will  not  be  divulged  nor  used  against  
employment  even  though  how   him,  and  for  the  lawyer  to  be  equally  free  to  
attractive  the  fee  offered  may  be  if   obtain  information  from  the  prospective  
its  acceptance  will  involve  violation  of   client.    
any  of  the  rules  of  legal  profession.     A  lawyer  may  act  as  mediator  
• Lawyer  should  not  accept   Rule  15.04  A  lawyer,  with  written  consent  of  
employment  as  an  advocate  in  any   all  concerned,  may  act  as  a  mediator,  
matter  in  which  he  had  intervened   conciliator  or  arbitrator  in  settling  disputes.  
while  in  the  government  service.   • However,  a  lawyer  shall  not  act  as  
• Reason:  Necessity  that   counsel  for  any  of  them,  otherwise  
professional  integrity  and  public   the  rule  prohibiting  representation  of  
confidence  in  that  integrity  be   conflicting  interests  will  apply.    
maintained.      
• Lawyer  should  not  accept   B.  REPRESENTING  CONFLICTING  INTERESTS  
employment  the  nature  of  which   A  lawyer  shall  not  represent  conflicting  
might  easily  be  used  as  a  means  of   interest  
advertising  his  professional  service  or   Rule  15.03  A  lawyer  shall  not  represent  
his  skills.     conflicting  interest  except  by  written  consent  
• While  there  is  no  statutory  restriction   of  all  concerned  given  after  full  disclosure  of  
for  a  lawyer  to  be  an  advocate  and  a   the  facts.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• The  rule  covers  not  only  cases  in   • It  is  improper  for  a  lawyer  to  appear  
which  confidential  communications   as  counsel  for  one  party  against  the  
have  been  confided  but  also  those  in   adverse  party  who  is  his  client  in  a  
which  no  confidence  has  been   related  suit,  as  a  lawyer  is  prohibited  
bestowed  or  will  be  used.     from  representing  conflicting  
• Test  of  inconsistency  of  interest  :   interest.  
Whether  the  acceptance  of  a  new   • Even  though  the  opposing  clients,  
client  will  prevent  an  attorney  from   after  full  disclosure  of  facts,  consent  
the  full  discharge  of  his  duty  of   to  the  lawyer’s  dual  representation,  
undivided  fidelity  and  loyalty  to  his   the  lawyer  when  his  clients  cannot  
client  or  invite  suspicion  of   see  their  way  clear  to  settling  their  
unfaithfulness  and  whether  the   controversy  amicably,  retire  from  the  
acceptance  of  the  new  relation  will   case.    
require  the  attorney  to  do  anything    
which  will  injuriously  affect  his  first   Opposing  clients  in  unrelated  suits  
client  in  any  matter  in  which  he   • A  lawyer  cannot  appear  as  counsel  
represents.     for  one  party  against  the  adverse  
Reason  for  the  prohibition:    Relationship  of  a   party  who  is  his  client  in  another  
lawyer  and  a  client  is  one  of  trust  and   totally  unrelated  action.  
confidence  of  the  highest  degree.     • The  lawyer  in  that  situation  will  not  
  be  able  to  pursue  with  vigor  and  zeal  
Effect  of  termination  of  relation   the  client  claims  against  the  other  to  
•  The  termination  of  the  relation   properly  represent  the  latter  in  the  
provides  no  justification  for  a  lawyer   unrelated  action;  or  if  he  can  do  so  it  
to  represent  an  interest  adverse  to  or   would  invite  suspicion.  
in  conflict  with  the  former  client.      
Reason:    Clients  confidence  once  reposed   New  client  against  former  client  
cannot  be  divested  by  the  expiration  of  the   • A  lawyer  is  forbidden  from  
professional  employment.   representing  a  subsequent  client  
  against  a  former  client  only  when  the  
Materiality  of  confidential  information   subject  matter  of  the  preset  case  is  
• The  bare  attorney-­‐client  relationship   related,  directly  or  indirectly,  to  the  
with  a  client  precludes  a  lawyer  from   subject  matter  of  the  previous  
accepting  professional  employment   litigation  in  which  he  appeared  for  
from  the  clients  adversary  in  the   the  former  client.    
same  case  or  difference  case  but    
related  action.   Conflicting  duties    
  •  A  lawyer  may  not  undertake  to  
Foundation  of,  &  reason  for,  the  rule   discharge  conflicting  duties  any  more  
• The  stern  rule  against  representation   than  may  he  represent  antagonistic  
of  conflicting  interests  is  founded  on   interests.  
principles  of  Public  Policy  &  Good    
Taste.     Attorneys  interest  versus  client’s  interest  
  •  A  lawyer  should  not  put  himself  in  a  
  position  where  self-­‐interest  tempts  
Opposing  clients  in  same  or  related  suits   him  to  do  less  than  his  best  for  his  
client.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• For  this  reason,  it  is  improper  for  a    

lawyer  to  continue  representing  a   Where  client  knowingly  consent    
client  in  a  suit  against  a  party  even   •  Generally,  a  lawyer  may  at  a  certain  
with  the  clients  consent  after  a   stage  of  the  controversy  and  before  it  
lawyer  brings  a  suit  in  his  own  behalf   reaches  the  court  represent  
against  the  same  defendant  if  it  is   conflicting  interest  with  the  express  
uncertain  whether  such  defendant   written  consent  of  all  parties  
will  be  able  to  satisfy  both  the   concerned  given  after  full  disclosure  
judgments.     of  the  facts.    
  • This  rule  is  only  applicable  when  one  
Rule  applicable  to  Law  Firms   client  is  a  former  client  and  not  when  
• Where  a  lawyer  is  disqualified  or   both  clients  are  current/present  
forbidden  from  appearing  as  counsel   clients  in  the  case,  where  each  
in  a  case  because  of  conflicting  of   asserts  an  interest  adverse  to  that  of  
interests,  the  law  firm  of  which  he  is   the  other.    
a  member  as  well  as  any  member,   • In  this  situation  the  lawyer  cannot  
associate,  or  assistant  therein  is   represent  both  clients  at  the  same  
similarly  disqualified  from  so  acting.     time,  even  if  they  give  written  
• It  is  corollary  to  the  rule  that  the   consent  ,  for  it  is  not  only  awkward  
employment  of  one  member  of  a  law   for  him  to  sustain  the  claim  of  one  
firm  is  considered  as  an  employment   and  oppose  the  same  in  favor  of  the  
of  the  law  firm  and  that  the   other  but  it  is  also  highly  unethical.    
employment  of  a  law  firm  is   • A  lawyer  may  not  represent  
equivalent  to  the  retainer  of  the   conflicting  interest  even  though  
members  thereof.     parties  agree  to  dual  representation  
• A  lawyer  may  not,  therefore,   where  conflict  is  between  the  
represent  a  client  whose  interest  are   attorney’s  interest  and  that  of  client,  
adverse  to  those  of  the  employer  of  a   because  the  lawyer  should  yield  to  
member  of  the  firm.     client’s  interest,  or  between  a  private  
  client’s  interest  and  that  of  the  
Limitation  on  General  Rule   government  by  reason  of  public  
• GR:    Lawyer  may  not  represent   policy  and  interest.    
conflicting  interests.    
• Limitations:      
o No  conflict  of  interest  exists   Where  no  true  attorney-­‐client  relationship  
o Client  knowingly  consents  to   exists  
the  dual  representation      
o No  true  attorney-­‐client   •  The  rule  forbidding  a  lawyer  from  
relationship  is  attendant   representing  an  interest  adverse  to  
  that  of  the  former  client  assumes,  as  
Where  no  conflicting  interest  exists   a  general  proposition,  that  a  true  
• A  lawyer  may  properly  represent  a   client-­‐attorney  relationship  existed.    
subsequent  client  against  a  former   • Consequently  the  absence  of  such  
client  in  a  matter  which  is  not,  in  any   relationship  either  with  the  lawyer  of  
way,  related  to  the  previous   law  firm  of  which  he  is  a  member  
controversy  in  which  he  appeared  for   makes  the  prohibition  inapplicable.  
the  former  client.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• A  public  prosecutor  may  ethically   A. IN  GENERAL  

sustain  an  information  against  an    
accused  who  is  the  complainant  in   Power  to  bind  the  client,  generally  
another  information  filed  by  the   •  A  lawyer  must  perform  his  duties  to  
same  prosecutor  because  the  latter   his  client  within  the  scope  of  his  
represents  not  the  private   authority.  
complainants  but  the  people  of  the   • Within  hi  scope  of  authority,  a  lawyer  
Philippines  as  the  real  offended   may  bind  the  client  for  any  acts  
party.     performed  by  him  in  pursuant  
• The  lawyer’s  secretary,  stenographer,   thereto.  
or  clerk  who,  in  such  capacity,  has    
acquired  confidential  information    Two  Types  of  Lawyer’s  Authority  
from  the  attorney’s  client  may  not   1. General  and  Implied  Authority  
accept  employment  or  after   • Professional  employment  of  an  
becoming  a  member  of  the  bar,   attorney  confers  upon  him  this  
represent  an  interest  adverse  to  that   authority  to  do  on  behalf  of  the  
of  the  lawyer’s  client.   client  such  acts  as  are  necessary  
• The  general  prohibition  applies  to   or  incidental  to  the  prosecution  
such  person,  notwithstanding  the   or  management  of  the  suit  
absence  of  attorney  client   entrusted  to  him.    
relationship  at  the  time  the   • Refers  to  ordinary  procedure.    
confidential  information  was   2. Special  Authority  
acquired  because  of  the  nature  of  the   • Authority  granted  by  the  client  to  
work.     bind  him  on  substantial  matter.    
  • GR:  Negligence  or  mistake  of  the  
Effects  of  representation  of  Conflicting   counsel  binds  the  client,  based  on  the  
Interest   rule  that  any  act  done  by  the  lawyer  
1. Subjects  the  lawyer  to  disciplinary   within  the  scope  of  his  authority  
action.   binds  the  client.    
2. The  attorney  may  be  disqualified   • Employment  by  itself  confers  upon  
from  representing  the  new  client   the  lawyer  no  special  authority  to  
upon  petition  of  his  former  client.     bind  the  client  upon  substantial  
3. Where  the  representation  of   matters.    
conflicting  interest  is  unknown  and   • The  cause  of  action  or  claim  which  is  
works  prejudice  to  the  new  client,   the  subject  matter  of  the  litigation  
the  judgment  against  the  new  client   are  substantial  matters  which  the  
may  on  that  ground,  set  aside.   lawyer  cannot  impair,  novate,  
4. Lawyers  right  to  be  paid  for  his   compromise  and  settle  without  
services  rendered  in  favor  of  the   clients  consent.    
former  client  may  be  affected  only  if    
the  two  matters  are  related  and  the   Attorney  as  agent  of  client    
former  client  objected  to  the   • The  relationship  of  attorney  and  
representation.     client  is  in  many  respect  one  of  
  agency  and  the  general  rules  of  
CHAPTER  XI   ordinary  agency  apply  to  such  
Authority  of  Attorney   relation.    
 

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• An  attorney  representing  a  client  in   has  communicated  to  his  client  the  
court  is,  however,  more  than  an   service  of  process  upon  him.  
agent  and  has  powers  different  from    
and  superior  to  those  of  an  ordinary   Delegation  of  Authority  
agent,  he  being  an  officer  of  the   • The  lawyer  cannot  delegate  the  
court.     confidence  and  authority  reposed  to  
  him  by  the  client  to  another  lawyer  
Collection  of  Claims   because  of  the  fiduciary  relationship.  
•  An  attorney  retained  by  a  creditor  to   Exception:    Consent  of  the  client,  express  or  
enforce  a  claim  has  authority  to  take   implied.  
all  steps  necessary  to  collect  it,  such   • Client  may  also  ratify  the  
as  sending  a  letter  of  demand   unauthorized  delegation.  
requiring  payment  or  filing  the    
corresponding  action  in  court  if  the   Delegation  of  legal  work  
debtor  refuses  to  pay.     • A  lawyer  has  the  implied  power  to  
• A  lawyer  without  special  authority   delegate  to  his  associate  or  assistant  
discharge  his  clients  claim  for  less   attorney  under  his  supervision  and  
than  the  amount  thereof  or  for  the   responsibility,  part  or  whole  of  his  
full  amount  in  kind.     legal  work,  in  the  absence  of  an  
  express  agreement  with  the  client  to  
Acceptance  of  Service  of  Summons   the  contrary.  
• A  lawyer  has  no  power  to  receive  or   • He  may  authorize  another  lawyer  on  
accept  on  behalf  of  his  client  the   his  behalf  to  appear  in  court  and  such  
service  of  summon  in  his  bare   lawyer  is  presumed  to  be  
professional  capacity.       empowered  to  act  as  such.  
• He  is  not  an  agent  within  the   • The  fact  of  the  delegation  of  legal  
meaning  of  the  rule  authorizing   work  does  not  create  an  attorney-­‐
service  of  summons  upon  an  agent  of   client  relationship  between  the  other  
corporation.   lawyer  and  the  client.    
• Exception:    Lawyer  may  be  regarded   • A  lawyer  may  not  however  delegate  
as  an  agent  upon  whom  service  of   to  a  layman  any  work  which  involves  
summons  may  be  made  and  binding   the  study  of  law  or  its  application  
to  the  latter,  where  there  are   such  as  computation  &  
circumstances  showing  that  he  has   determination  of  period  to  appeal.    
been  conferred  or  exercising    
additional  powers  that  what  is   B. AUTHORITY  TO  APPEAR  
implied  from  the  professional    
employment.     Generally  
• Thus,  a  foreign  corporation  without   • A  lawyer  without  being  retained  or  
an  agent  or  officer  in  this  country   authorized  by  the  court  may  not  
other  than  its  counsel  who  is  also  the   represent  another  in  court.    
sole  representative  for  setting  claims,   • GR:  The  authority  of  the  attorney  
the  service  made  upon  such  counsel   continues  until  the  termination  of  the  
binds  the  foreign  corporation   litigation.  
because  being  the  sole   Exception:  Unless  sooner  revoked  or  
representative,  it  is  presumed  that  he   withdrawn  by  the  client.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• No  written  authority  from  the  client   • As  amended  by  the  1997  Rules  of  
is  required  to  enable  a  lawyer  to   Procedure,  there  is  no  longer  a  
represent  him  in  court.     distinction  between  general  and  
  special  appearance.    
Appearance   • Now,  defendant  may  file  a  motion  to  
• Coming  into  court  as  party  either  as  a   dismiss  not  only  on  the  ground  of  
plaintiff  or  as  a  defendant  and  asking   lack  of  jurisdiction  over  his  person  
relief  therefrom.   but  also  on  some  other  grounds  
• Appearance  by  counsel  is  a  voluntary   without  waiving  the  jurisdiction  of  
submission  to  the  court’s  jurisdiction   the  court  over  his  person.  
by  a  lawyer  professionally  engaged  to    
represent  the  cause  of  another  such   Presumption  of  Authority  
as  by  actual  physical  appearance  or   •  An  attorney  is  presumed  to  be  
filing  of  a  pleading.     properly  authorized  to  represent  any  
• The  orderly  conduct  of  judicial   cause  in  which  he  appears  in  all  stage  
proceedings  requires  the  counsel  for   of  the  litigation  and  no  written  
a  party  to  file  with  the  court  his   authority  is  required  to  authorize  him  
formal  written  appearance  in  the   to  appear.    
case.     • The  fact  that  a  second  attorney  has  
• Without  such  formal  appearance,   entered  his  appearance  on  behalf  of  
counsel  is  not  generally  entitled  to   a  litigant  does  not  authorize  a  
notice.     presumption  that  the  authority  of  the  
  first  attorney  has  been  withdrawn,  it  
General  &  Special  Appearance   merely  means  that  the  litigant  has  
• General  Appearance   employed  an  additional  counsel.  
• Any  action  on  the  part  of  the   • This  presumption  only  applies  to  
defendant  or  his  counsel,  except   ordinary  procedures  and  not  with  
to  object  solely  on  the   respect  to  substantial  matters.    
jurisdiction  of  the  court  over  the    
person  of  the  defendant,   Presumption  disputable  
constitutes  such  appearance.     • The  presumption  that  an  attorney  is  
• Amounts  to  voluntary  submission   duly  authorized  to  manage  a  
to  the  court’s  jurisdiction.     litigation  is  a  disputable  one  and  may  
• Special  Appearance   be  overcome  by  a  clear  evidence  to  
• One  which  seeks  to  contest  solely   the  contrary.    
the  jurisdiction  of  the  court  over    
the  person  of  the  defendant  and   Disclosure  of  Authority  
which  seeks  no  relief  other  than   • Notwithstanding  the  fact  that  an  
the  dismissal  of  the  action   attorney  is  presumed  to  be  duly  
exclusively  on  that  ground.   authorized  to  represent  a  party,  the  
• Does  not  operate  as  voluntary   presiding  judge  may  On  motion  of  
submission.     either  party  and  on  reasonable  
• It  also  refers  to  the  failure  of  a   grounds  being  shown  require  him  to  
counsel  to  appear,  another   produce  or  prove  his  authority  and  to  
lawyer  appears  on  his  behalf  for   disclose  whenever  pertinent  to  the  
a  particular  purpose.   issue  the  name  of  the  person  who  
employed  him.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
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  
• If  the  unauthorized  appearance  is   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  
concurrence  of  the  requirements:   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  
aware  of  the  representation  by   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.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

cause  is  beyond  the  scope  of  the   • Lawyer  is  not  authorized  to  enter  into  
lawyer’s  authority.     compromise  without  special  
  authority  from  his  client.    
Entering  into  stipulations   • The  approval  by  the  court  of  the  
• A  lawyer  has  an  implied  authority  to   compromise  is  not  essential  to  the  
agree  or  stipulate  upon  the  facts   validity  except  if  it  is  a  class  suit  or  
involved  in  the  litigation  even   executed  on  behalf  of  a  minor  or  
without  prior  knowledge  or  consent   incompetent  or  an  absentee.    
of  his  client.      
• GR:  Such  Stipulations  are  binding  to   Effect  of  Want  of  Special  Authority  
the  client.   •  A  compromise  by  the  lawyer  without  
Exceptions:   special  authority  by  the  client  does  
1. If  he  is  allowed  to  withdraw   not  bind  the  latter.    
therefrom  with  the  consent  of   • It  amounts  to  a  fraud  against  the  
the  adverse  party.     client.    
2. When  the  court,  upon  showing  of   • A  compromise  entered  into  without  
palpable  mistake,  permits  him  to   such  authority  is  an  unenforceable  
withdraw   contract.    
3. When  what  the  lawyer  agreed  is   • Judgment  based  on  such  compromise  
that  a  witness,  if  presented  in   may  be  set  aside  or  reopened.    
court,  would  testify  as  stated  by    
the  adverse  party.     Ratification  of  unauthorized  compromise  
  • Client  may  ratify  the  unauthorized  
Agreement  as  to  what  witness  would  testify   compromise,  expressly  or  impliedy.    
• Agreement  as  to  the  truth  of  what  a   • Implied  ratification  may  take  many  
witness  ,  if  presented,  would  testify  .   forms  such  as  silence  or  acquiescence  
• Generally  binding  to  the  client   by  acts  showing  approval.    
• Agreement  as  to  what  a  witness    
would  testify  as  that  stated  by  the   Confession  of  Judgment  
adverse  party  .   • A  confession  of  judgment  stands  on  
• Not  binding.     the  same  footing  as  a  compromise.  
• It  deprives  the  court  of  the   • Hence,  a  lawyer  may  not  confess  
benefit  of  reflection  as  to  the   judgment  against  his  client  except  
intelligence  and  veracity  of  the   with  the  knowledge  and  at  the  
witness  which  can  only  arise   instance  of  the  client.    
through  the  process  of    
examination  in  court.   Dismissal  of  action  or  withdrawal  of  appeal  
•   • A  lawyer  has  no  authority  to  dismiss  
 Compromise  of  cause  of  action   his  client’s  case  with  prejudice  or  an  
• Compromise     adjudication  upon  the  merits  which  
o Contract  whereby  the   constitutes  res  judicata,    even  if  he  
parties,  by  making  reciprocal   does  not  believe  that  his  client  is  
concessions,  avoid  litigation   entitled  to  prevail  in  the  action.  
or  put  an  end  to  one  already   • He  has  however  an  implied  power  to  
commenced.     dismiss  the  client’s  case  without  
prejudice,  that  step  not  being  a  legal  
obstacle  to  refilling,  whenever  he  is  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

convinced  that  it  is  to  the  client’s   • An  attorney  has  authority  to  bind  his  
interest.     client    in  taking  an  appeal,  it  being  a  
• He  has  no  implied  power  to  waive  his   procedural  measure  to  relieve  the  
client’s  right  to  appeal  nor  withdraw   client  to  adverse  effect  of  judgment.  
a  pending  without  a  special  authority,    
but  it  may  be  ratified  by  the  client.     D. MATTERS  IMPUTED  TO  CLIENT  
   
 Client’s  right  to  dismiss  or  compromise   Knowledge  acquired  by  attorney  
action   • Knowledge  acquired  by  attorney  
• The  right  of  a  lawyer  for   during  the  time  that  he  is  acting  
compensation  for  services  rendered   within  the  scope  of  his  authority  is  
cannot  have  a  higher  standing  than   imputed  to  the  client.    
the  right  of  the  client  to  dismiss  his   • Doctrine  of  Imputed  Knowledge  is  
cause  or  settle  his  litigation.     based  on  the  assumption  that  the  
• Nor  can  such  right  of  counsel  work  as   attorney,  who  has  notice  of  matters  
an  obstacle  to  the  approval  by  the   affecting  his  client,  communicated  
court  of  the  settlement  effected  by   the  same  to  his  principal  in  the  
client.     course  of  employment.    
  • The  doctrine  applies  whether  or  not  
 Limitations  on  client’s  right   he  actually  communicated  it  to  his  
• The  client’s  right  to  settle  his  actions   client,  the  lawyer  and  his  client  being  
is  not  absolute.     in  legal  contemplation,  one  juridical  
• The  dismissal  or  compromise  by  the   person.    
client  of  his  cause  may  not  defeat  the    
attorney’s  right  to  just  compensation   Notice  to  counsel  as  notice  to  client  
for  his  services.     • The  law  requires  that  service  of  any  
• The  client  cannot  exercise  such  right   written  notice  upon  a  party  who  has  
in  a  manner  that  is  contrary  to  law,   appeared  by  attorney/s  shall  be  
public  policy,  order  morals  or  good   made  upon  his  attorney  or  one  of  
customs  or  prejudicial  to  third  person   them,  unless  service  upon  the  party  
with  a  right  recognized  by  law.     himself  is  ordered  by  the  court.    
• He  cannot  compromise  civil  status.   • A  notice  sent  to  party  who  has  
Validity  of  marriage  or  legal   appeared  by  counsel  is  not  a  notice  in  
separation,  future  legitime,  ground  of   law.    
legal  separation,  future  support  and   • Purpose:  Maintain  a  uniform  
jurisdiction  of  courts.   procedure.  
  • Lawyer  to  whom  the  service  of  notice  
Authority  after  judgment   is  to  be  made  refers  to  the  counsel  of  
• The  power  of  attorney  after   record  or  one  who  in  writing  has  
judgment  is  more  restricted.     entered  a  formal  appearance.    
• In  the  absence  of  a  greater  authority   • Where  no  notice  of  withdrawal  or  
expressly  conferred,  an  attorney  has   substitution  of  counsel  is  shown,  
only  the  power  to  take  such  steps  as   notice  to  counsel  of  record  is  for  all  
are  necessary  to  make  the  judgment   purposes  notice  to  client.    
fully  effective  or  to  sustain  it,  or  to   • The  right  to  be  notified  through  
relieve  his  client  from  its  effects  if  it  is   counsel  may  be  waived  either  by  
adverse.     attorney  or  his  client.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

  1.  Personal  Service    
Notice  to  one  as  notice  to  other  counsels;   • Completed  upon  actual  delivery  
Exceptions   2. Ordinary  Mail  
• If  a  party  appears  by  2  or  more   • Completed  upon  expiration  of  10  
counsel  of  record,  notice  to  one  of   days  after  mailing,  unless  court  
the,  is  notice  to  others  as  well  as  to   otherwise  provides.    
the  client,  even  though  the  one  upon   3. Registered  Mail  
whom  the  service  is  made  in  only  a   • Completed  upon  actual    receipt  
deputy  of  the  other.     by  the  addressee  or  after  5  days  
• The  Solicitor  General  (SG)  is  the   from    the  date  he  received  the  
lawyer  of  the  Republic  and  its  officials   first  notice  of  postmaster  
sued  in  their  official  capacities.     whichever  is  earlier.  
• When  the  SG  has  deputized    
government  lawyer,  he  remains  the   Personal  service  preferred;  explanation  
principal  counsel  and  service  of   required  
notice  on  him  of  legal  processes  and   • Sec.11,  Rul2  13  or  ROC  “  Whenever  
not  on  the  deputized  lawyers  is   practicable,  the  service  and  filing  of  
decisive.   pleadings  and  other  papers  shall  be  
• Notice  to  such  deputized  lawyers  is   done  personally.  Except  with  respect  
not  binding   to  papers  emanating  from  the  court,  
• However,  if  an  agency  of  the   a  resort  to  other  modes  must  be  
government  appears  by  its  own   accompanied  by  a  written  
internal  counsel,  not  as  a  deputized   explanation  why  the  service  or  filing  
lawyer  by  the  SG,  notice  to  such   was  not  done  personally.  A  violation  
counsel  is  deemed  notice  to  SG.     of  this  may  be  cause  to  consider  the  
• EXCEPTIONS  to  the  rules:   paper  as  not  filed.    
1. Either  by  agreement  or  proper    
manifestation  one  of  the  lawyers   Mistake  or  negligence  of  counsel  binding  
is  expressly  designated  as  one  to   upon  client  
whom  service  is  to  be  made.     •  GR:  Client  is  bound  by  his  counsel’s  
2. Instances  when  it  is  admittedly   conduct,  negligence  and  mistake  in  
clear  that  one  is  the  leading   handling  the  case.  
counsel  and  the  rest  are  mere   • The  mistake  of  counsel  in  the  
helpers,  as  when  the  adverse   conduct  of  the  proceedings  as  a  
party  and  the  court  consider  one   result  of  his  ignorance,  inexperience  
of  the  lawyers  as  the  principal   or  incompetence  does  not  constitute  
counsel.     a  ground  for  a  new  trial.    
  • Instances  where  mistakes  are  binding  
Exceptions  to  rule  that  notice  to  counsel  is   to  client:  
notice  to  client   o Failure  to  file  responsive  
1. Strict  application  might  foster   pleading  within  reglementary  
dangerous  collusion  to  the  detriment   period    
of  justice.     o Failure  to  appear  at  the  
2. If  service  upon  the  party  himself  is   scheduled  hearing  due  to  
ordered  by  the  court.     another  engagement  without  
  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   A.Y.  2013-­‐2014  
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  
TERMINATION  OF  ATTORNEY’S  
case  on  evidence  already  
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  
outright  deprivation  of  the   -­‐ 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  
to  clients  conviction   -­‐ 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.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ as  between  the  court  and  the   however  if  no  new  counsel  has  
party:  there  must  be  notice  of   entered  appearance  court  may  
discharge  or  a  manifestation   require  the  atty’s  withdrawal  in  
clearly  indicating  that  purpose   abeyance  until  another  lawyer  
filed  with  the  court  and  a  copy   appears  for  the  party  
served  on  adverse  party   -­‐ atty  may  withdraw  without  
-­‐ atty  must  file  a  notice  of   client’s  consent  but  must  be  with  
withdrawal     approval  of  the  court  and  only  for  
-­‐ without  such  notice  any  process   a  good  cause  namely:  
served  on  original  counsel  is   o client  pursues  illegal  or  
binding  upon  the  party   immoral  course  of  
  conduct  in  connection  
EFFECT  OF  DISCHARGE   with  the  case  he  is  
-­‐ authority  of  atty  to  represent   handling  
ceases   o client  insists  the  lawyer  
-­‐ however  there  are  some  cases   pursue  conduct  violative  
when  the  atty  may  be  required   of  the  canons  and  ethics  
by  the  court  to  continue   o inability  to  work  with  co-­‐
representation  to  prevent  failure   counsel  will  not  promote  
or  miscarriage  of  justice   interest  of  the  client  
  o due  to  mental  or  physical  
DEATH  OR  INCAPACITY  OF  CLIENT   incapacity  
-­‐ terminates  the  relation  between   o client  deliberately  fails  to  
atty  and  client,  hence  atty  may   pay  fee  for  services  or  
not  represent  the  client  in  court   comply  with  the  retainer  
unless  he  is  retained  by  the   agreement  
administrator  or  heirs  of  the   o lawyer  is  elected  or  
client’s  estate  or  the  client’s   appointed  to  a  public  
guardian  (if  client  becomes   office  
incapacitated  or  incompetent   o other  similar  causes  (i.e.  
during  the  pendency  of  the  case)   client  stops  contact,  
-­‐ it  is  the  duty  of  the  atty  to  inform   client  refuses  
the  court  of  the  client’s  death  or   cooperation)  
incapacity  and  to  give  the  name    
of  the  administrator,  executor  or   PROCEDURE  FOR  WITHDRAWAL  
the  guardian  as  the  case  may  be    
  1.  If  without  client’s  consent,  file  petition  for  
LAWYER  MAY  WITHDRAW  ONLY  FOR  A   withdrawal  in  court.  
GOOD  CAUSE   2.  Serve  copy  of  the  petition  upon  client  and  
-­‐ atty  may  withdraw  before  the   the  adverse  party  at  least  3  days  before  the  
final  judgment  with  the  client’s   date  set  for  hearing.    
written  consent  or  the  court’s   3.  Present  the  petition  in  advance  of  the  trial  
approval  of  his  petition  to   of  the  action  to  allow  his  client  to  secure  the  
withdraw   services  of  another  lawyer.  
-­‐ approval  of  court  not  necessary  if   4.  The  court  may  grant  or  deny  depending  on  
withdrawal  is  with  conformity  of   circumstances.  
client  and  is  accompanied  with   5.  The  lawyer  must  still  appear  on  the  date  of  
the  appearance  of  new  counsel,   hearing  until  there  is  a  withdraw  of  record.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
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.  
-­‐ verbal  substitution  not  allowed   • The  rule  that  the  practice  of  law  is  a  
-­‐ defective  substitution  or  one   profession  and  not  a  money-­‐making  
which  does  not  comply  with  the   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.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

law,  the  primary  purpose  of  which  is   2. Although  there  is  a  formal  
to  render  public  service.     contract  for  attorney’s  fees,  the  
  fees  stipulated  are  found  
Right  to  protection  of  counsel’s  fees   unreasonable  or  unconscionable  
• A  lawyer  is  much  entitled  to  judicial   by  the  court  
protection  against  injustice,   3. Contract  for  attorney’s  fees  is  
imposition  or  fraud  on  the  part  of  his   void  due  to  purely  formal  defects  
client  as  his  client  on  the  part  of  his   of  execution    
counsel.     4. When  the  lawyer,  for  justifiable  
• The  duty  of  the  court  is  not  alone  to   cause,  was  not  able  to  finish  the  
see  that  a  lawyer  acts  in  proper  and   case  to  its  conclusion    
lawful  manner,  it  is  also  its  duty  to   5. When  the  lawyer  and  the  client  
see  that  lawyer  is  paid  for  his   disregard  the  contract  for  
services.     attorney’s  fees.  
Requisites  for  right  to  accrue:   6. Client  dismissed  his  counsel  
1. Existence  of  Attorney-­‐client   before  the  termination  of  the  
relationship   case  or  the  latter  withdrew  
2. Rendition  of  a  lawyer  of  legal  services   therefrom  for  valid  reasons.    
  • QM  is  a  device  to  prevent  undue  
• A  lawyer  who  rendered  professional   enrichment  based  on  equitable  
services  in  favor  but  over  the   postulate  that  it  is  unjust  for  a  person  
objection  of  the  party  is  not  entitled   to  retain  benefit  without  paying  for  
to  fees  even  though  the  services   it.    
redounded  to  the  benefit  of  the    
party.     Who  is  liable  for  attorney’s  fees  
  • GR:  Only  the  client  who  engaged  the  
Written  Agreement   services  of  counsel  either  personally  
• A  written  agreement  is  not  necessary   or  through  an  authorized  is  liable  for  
to  establish  a  client’s  obligation  to   attorney’  fees.    
pay  attorney’s  fees.   • A  party  who  is  not  a  privy  to  the  
• The  client’s  obligation  to  pay   employment  contract  or  who  did  not  
attorney’s  fees  arises  from  the   authorize  the  lawyer’s  retainer  is  
inanimate  contrat  of  facius  ut  des  (I   generally  speaking  not  liable  for  such  
do  and  you  give)  which  is  based  on   fees.    
the  principle  that  no  one  shall   • The  exceptions  on  this  rule  rest  on  
unjustly  enrich  himself  at  the   the  equitable  principle  that  a  person  
expense  of  another.     who  accepts  the  benefits  of  the  legal  
  representation  impliedly  agrees  to  
Quantum  meruit  (QM)     pay  the  attorney’s  fees  for  he  may  
•  It  means  as  much  as  the  lawyer   not  unjustly  enrich  himself  at  the  
deserves  or  such  amount  which  his   expense  of  the  lawyer.    
services  merit.      
• Recovery  of  attorney’s  fees  on  the   Liability  of  persons  benefited  by  counsel’s  
basis  of  QM  is  authorized:   service  
1. No  express  contract  for  payment   • GR:    A  person  who  had  no  knowledge  
of  attorney’s  fees   of  or  objected  to,  the  lawyer’s  
representation  may  not  be  held  liable  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

for  attorney’s  fees  even  though  it  has   employees  be  paid  just  fees  by  all  
redounded  to  his  benefit.     those  who  received  benefits.    
• The  objection  to  the  lawyer’s   • Attorney’s  fees  in  labor  cases  may  
appearance  should  be  raised  before   not  be  more  than  what  the  law  
and  not  after  beneficial  services  shall   provides  and  they  may  not  be  
have  been  rendered  by  the  lawyer,   checked  off  from  any  amount  due  the  
otherwise  such  party  who  benefited   employees  without  their  written  
from  the  representation  may  be   consent.    
required  to  pay  counsel  fees.      
•  The  liability  is  based  on  equity.   Liability  in  derivative  suits  
• If  the  legal  representation  redounded   • Where  in  derivative  suit,  the  services  
to  the  benefit  of  the  party  concerned,   of  counsel  who  instituted  the  action  
the  retention  /acceptance  of  the   upon  the  request  of  stockholder  are  
benefit  cure  the  defect  of  lack  of   beneficial  to  the  corporation,  the  
authority  on  the  part  of  the  agent  to   counsel  fees  may  be  properly  
retain  the  lawyer.     charged  against  corporate  funds.    
Exception:  Employment  of  private  lawyer  to   • Any  stockholder  may  intervene  and  
represent  the  government  entity  by  an   oppose  the  grant  of  such  fees  as  
official  who  has  no  authority  in  law  to  do  so,   charge  against  funds  of  the  
since  the  benefits  secured  by  the  legal   corporation.  
representation  cannot  take  the  place  of  the    
law  and  will  not  create  an  obligation  on  the   Liability  in  receivership  proceedings  
part  of  the  government  entity  to  pay  fees.     • The  assets  under  receivership  may  be  
  liable  for  the  fees  of  a  lawyer  
  employed  by  a  receiver  to  help  him  in  
Liability  of  Assignee   the  discharge  of  his  duties.  
• Since  an  assignee  of  all  interests  pent   • However,  attorney’s  fees  of  the  
elite  usually  steps  into  shoes  of  the   counsel  for  a  defendant  in  a  
assignor  and  acquires  all  of  the   receivership  proceeding  are  personal  
latters  rights  and  obligations  in  the   obligations  of  the  defendant  and  may  
action,  the  assignee  may  be  held   not  be  paid  out  of  the  assets  in  the  
liable  for  atty’s  fees  from  out  of  the   hands  of  receiver,  unless  it  
proceeds  of  favorable  judgment.     redounded  to  the  benefit  of  the  
  receivership  or  of  the  plaintiff  who  
Liability  in  Labor  Cases   asked  for  the  appointment  of  
• A  lawyer  who  represents  a  union  and   receiver.  
its  members  and  with  whom  he  has  a    
retainer  for  payment  for  a  fixed   Liability  in  trusteeship  or  guardianship  
percentage  amounts  recovered  from   proceeding  
the  company  is  entitled  to  be  paid  his   • Trustee  may  be  indemnified  out  of  
fees  not  only  by  the  union  members   the  trust  estate  for  his  expenses  in  
but  also  by  the  non-­‐union  members   rendering  and  proving  his  accounts  
as  well  those  who  derive  benefits   and  for  the  counsel  fees  in  
from  his  services.   connection  therewith.    
• It  is  just  and  fair  that  the  lawyer  who   • The  court  may  determine  whether  or  
represented  the  struggling  members   not  a  trustee  may  be  allowed  
of  the  union  to  secure  benefits  for  all   expenses  for  attorney’s  fees  and  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

permitted  to  charge  the  same  against   are  special  partners  for  special  
the  trust  estate.     purpose/    
• The  property  of  the  ward  may   • Partners  in  law  firm  share  in  the  
lawfully  answer  for  the  lawyer’s  fees   profits  according  with  their  
of  the  lawyer  employed  by  the   partnership  agreement  even  though  
guardian,  provided  there  is  prior   only  one  of  them  actually  rendered  
approval  of  the  guardianship  court.     the  service.    
  • Lawyer  shall  in  cases  of  referral,  with  
Liability  in  estate  proceedings   the  consent  of  the  client,  or  those  
• Fees  of  lawyer  appointed  by  executor   lawyers  who  rendered  services  at  one  
or  administrator  to  assist  him  in  the   time  or  another  in  the  action,  be  
execution  of  his  trust  are  not   entitled  to  a  division  of  fees  in  
chargeable  against  estate  of  the   proportion  to  the  work  actually  
deceased  since  the  services  are   performed  and  responsibility  
rendered  to  the  executor.   assumed.    
• Liability  for  payment  rests  on  the    
executor  or  administrator  who  may,   Non-­‐Lawyer  not  entitled  to  lawyer’s  fees    
if  the  services  are  beneficial  to  the   • The  statutory  rule  that  an  attorney  
estate,  either  seek  reimbursement   shall  be  entitle  to  have  and  recover  
from  the  estate  if  he  has  already  paid   from  his  client  reasonable  
them  or  include  them  in  his  account   compensation  requires  an  attorney-­‐
with  due  notice  to  all  parties   client  relationship  as  a  condition  for  
interested.     the  recovery  of  attorney’s  fees.    
• Ultimately,  the  estate  will  answer  for   • A  non-­‐lawyer  cannot  therefore  
the  fees  of  the  lawyer  whose  services   recover  attorney’s  fees  even  if  there  
are  beneficial  to  the  estate.   is  a  law  authorizing  him  to  represent  
• If  the  assets  have  been  distributed,   a  litigant  in  court.    
the  distributees  or  heirs  will  have  to    
contribute  their  share  for  the   Restrictions  on  some  lawyers  to  charge  fees  
payment  of  the  fees  as  the  obligation   •  A  lawyer  who  is  absolutely  
of  the  estate  follows  the  assets,   disqualified  from  engaging  in  the  
except  in  the  hands  of  purchaser  in   private  practice  of  law  by  reason  of  
good  faith.     his  government  position  may  neither  
  practice  law  nor  should  he  do  so  
Who  are  entitled  to  or  the  share  in   illegally,  charge  attorney’s  fees  for  
attorney’s  fees   such  services.    
• The  lawyer  who  has  been  engaged  by   • The  prohibition  does  not  apply  to  the  
a  client  is  the  one  entitled  to  recover   collection  of  fees  for  services  
the  fees.     rendered  before  the  lawyer  qualified  
• However,  if  more  than  one  lawyer   for  the  public  office  even  though  
have  been  employed  by  a  client,  the   payment  thereof  is  made  thereafter.    
question  of  fess  may  arise.     • A  lawyer,  as  a  government  official  
• GR:  Lawyers  who  jointly  represent  a   charge  with  the  duty  of  extending  
common  client  for  a  given  fee,  in  the   legal  services  to  indigent  litigants  
absence  of  an  agreement  as  to   may  not  collect  attorney’s  fees.    
division  of  fees,  share  equally  as  they   • An  executor  or  administrator  is  
prohibited  from  charging  the  estate  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

under  his  administration  of   o Abuse  of  clients  confidence    

professional  fees  for  services   o Unfaithfulness  in  
rendered  by  him  as  a  lawyer.     representing  his  client’s  
Reason:  Legal  maxim  that  the  one  acting  in   cause    
fiduciary  capacity  must  not  place  himself  in   • The  adverse  result  of  the  litigation  
such  a  position  as  to  make  his  interests   does  not  deprive  a  lawyer  of  his  right  
antagonistic  with  his  principal.   to  attorney’s  fees.  
  • A  mere  honest  mistake  in  the  
  discharge  of  his  duties  does  not  also  
Right  of  counsel  de  oficio  to  fees   defeat  his  right  to  fees.    
• In  the  absence  of  a  law  allowing      
compensation,  a  counsel  de  officio   Withdrawal  of  counsel  from  the  case  
cannot  charge  the  government  nor   • Lawyer’s  unceremonious  withdrawal  
the  indigent  litigant  for  his  services.     or  abandonment  of  the  action  which  
• It  is  not  a  violation  of  the   prejudices  the  client  negates  his  right  
constitutional  restriction  against   to  attorney’s  fees/    
taking  of  property  w/o  remuneration   • This  constitutes  as  a  breach  of  his  
or  due  process   implied  undertaking  to  prosecute  or  
Reason:  It  is  one  of  the  obligations  which  an   defend  the  client’s  cause  until  
attorney  willingly  assumed  when  he  took  his   termination  of  the  litigation.    
oath  as  a  lawyer  is  to  render  free  legal   • If  the  withdrawal  is  with  the  client’s  
services  whenever  required  by  the  court  to   written  conformity,  it  is  presumed  in  
do.     the  absence  of  evidence  to  contrary,  
• The  ROC  provides  a  token   that  he  and  his  client  have  mutually  
compensation  for  counsel  de  oficio,   agreed  to  terminate  the  services  and  
subject  to  the  availability  of  the  funds   to  compensate  him  for  such  services  
as  may  provided  by  law  the  court   up  to  the  termination  of  their  
may  order  that  a  counsel  de  oficio  be   relation.    
compensated  in  such  sum  as  court   • The  lawyer  must  refund  to  the  client  
may  reasonably  fix  which  shall  NOT:   such  part  of  the  retainer  as  has  not  
a. Be  less  than  P30  nor  more  than   been  clearly  earned.    
P50  in  light  felony    
b. P100  in  less  grave  felonies   Representation  of  Adverse  Interests  
c. P200  grave  felonies  other  than   • Representation  of  conflicting  
capital  felonies   interests  without  written  consent  of  
d. P500  for  capital  offenses     the  client  as  to  the  dual  
•  Compensation  for  counsel  de  oficio   representation  made  after  full  
is  not  intended  as  a  source  of  regular   disclosure  of  facts  negates  the  
income.     lawyers  right  to  receive  
Attorney’s  conduct  affecting  his  right  to  fees   compensation  from  both  of  them.    
• Right  of  a  lawyer  to  recover    
attorney’s  fees  may  be  affected  or   Lawyer’s  right  unaffected  by  clients  conduct  
negated  by  misconduct  on  his  part   • A  client  cannot,  in  the  absence  of  
such  as:   lawyer’s  fault,  consent  or  by  a  waiver,  
o Carelessness     deprive  the  lawyer  of  his  just  fees  
o Negligence  in  the  discharge   already  earned.    
of  duties  
o Misrepresentation    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• While  a  client  has  the  right  to   • The  discharge  of  a  lawyer  for  valid  
discharge  his  lawyer  at  any  time,   cause  does  not  deprive  the  lawyer  of  
dismiss  or  settles  his  action  he  cannot   his  right  to  just  fees.    
by  taking  such  step  deprive  the   • He  may  only  be  deprived  of  such  
lawyer  of  what  is  justly  due  to  him   right  IF  the  cause  for  his  dismissal  
unless  the  lawyer  by  his  actions,   constitutes  in  itself  an  obstacle  for  
waives  or  forfeits  his  right.     recovery.    
   
Attorney’s  discharge  by  client   Clients  dismissal  of  action  
•  The  discharge  of  a  lawyer  by  his   • Client  may  dismiss  his  cause  or  action  
client  without  a  valid  cause  before   with  or  without  his  lawyers  counsel.  
the  conclusion  of  the  litigation  does   • But  this  should  not  deprive  the  
not  negate  the  lawyer’s  right  to  just   lawyer  of  his  right  to  attorney’s  fees  
fees.     in  the  absence  of  waiver  by  the  
• However,  the  discharge  may  or  may   lawyer.    
not  affect  the  amount  of  fees   • If  dismissal  of  action  was  made  in  
depending  upon  the  existence  or   good  faith,  the  lawyer  is  entitled  to  
absence  of  a  valid  written  contract   such  reasonable  fees  for  the  services  
for  professional  service  and  nature  of   rendered.  
that  contract.   • If  the  dismissal  was  made  with  the  
1. No  express  written  agreement  as   intention  to  defraud  the  lawyer  with  
to  fees   respect  to  his  fees,  he  shall  be  
-­‐ Lawyer  may  only  be  entitled   entitled  to  the  full  amount  agreed  or  
to  recover  the  reasonable   in  absence  of  agreement,  a  
value  of  his  services  up  to  the   reasonable  value  of  his  services  
date  of  his  dismissal.     based  on  QR.  
-­‐  this  rule  applies  if  there  is  an  express   • A  lawyer’s  consent  to  the  dismissal  
understanding  of  payment  of  fees  but  it  is  not   does  not  negate  his  right  unless  
reduced  to  writing  except  if  the  dismissal  was   under  the  circumstances  it  
made  after  the  termination  of  the  case,  in   constitutes  as  a  waiver.    
which  case  the  lawyer  is  entitled  to  full    
amount  agreed.   Clients  compromise  of  action    
2.  If  there  is  a  written  agreement  and  fee   • A  lawyer’s  right  to  just  compensation  
stipulated  is  reasonable  and  absolute   does  not  give  him  a  superior  right  as  
-­‐  a  lawyer  discharged  without  valid  cause   to  preclude  the  client  from  settling  
shall  be  entitled  to  the  full  amount  agreed.     his  case.    
-­‐  If  the  fee  stipulated  is  contingent,  and   • Compromise  does  not  also  deprive  
dismissal  was  made  before  termination  of   the  lawyer  of  such  right.    
case,  he  shall  be  entitled  to  fees  for  services   **  Same  rule  sa  dismissal  of  action  with  
thus  rendered.  BUT  if  the  contingency  occurs   respect  of  the  intention  of  the  client.    
or  the  client  prevents  its  occurrence  by    
dismissing  or  settling  his  cause,  lawyer  is   B. CONTRACT  FOR  ATTORNEY’s  FEES  
entitled  to  the  full  amount  agreed.    
-­‐  The  lawyer  should  question  his  discharge  to   Generally  
entitle  him  to  the  amount  agreed  upon   • A  contract  of  professional  services  
otherwise  the  quantum  meruit  applies  as  the   may  either  be  Oral  or  Written.    
basis  of  payment.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• Fee  stipulated  may  be  Absolute  or      

Contingent.  It  may  be  a  :   Validity  of  Contract  
o Fixed  percentage  of  the   • General  rules  governing  the  validity  
amount  recovered  in  the   of  an  ordinary  contract  apply  to  an  
action.   agreement  for  professional  services.  
o May  provide  a  fee  per   • It  must  not  be  contrary  to  law,  good  
appearance,  per  piece  of   morals,  public  policy,  public  order  
work  or  an  hourly  basis.   and  good  customs.    
o Combination  of  these    
arrangements.     Effect  of  Nullity  of  Contract  
• A  written  retainer  has  distinct   • Nullity  of  a  professional  contract  
advantages  over  an  oral  contract.   which  results  from  the  illegality  of  
o In  case  of  controversy  as  to   the  object  sought  to  be  achieved  
question  of  fees,  a  written   precludes  a  lawyer  from  recovering  
contract  generally  controls   his  fees  for  such  services.    
the  amount  thereof.   • However,  if  nullity  is  due  to  want  of  
o Event  of  lawyer’s  dismissal  by   authority  on  the  part  of  one  of  
the  client  before  conclusion   contracting  parties  or  irregularity  in  
of  the  litigation  without   its  formal  execution  or  to  
justifiable  cause,  attorney   unreasonable  amount  of  fees  fixed  
may  be  entitled  to  the  full   therein  –  lawyer  is  entitled  to  recover  
amount  agreed.     what  is  justly  due  to  him  on  the  basis  
o Without  written  agreement,   of  QR.  
he  may  only  recover  the   • In  this  case  the  object  is  legitimate  
reasonable  worth  of  his   and  contract  will  not  be  enforced  
services  rendered  up  to  the   because  of  its  formal  defects.    
date  of  his  dismissal.      
  Effect  of  Unconscionability  of  amount  
Kinds  of  Retainer:  General  &  Special   • Written  contract  of  service  shall  
• General  Retainer  or  retaining  fee   control  the  amount  to  be  paid  unless  
-­‐ Fee  paid  to  a  lawyer  to   found  by  the  court  to  be  
secure  his  future  services  as  a   unconscionable  or  unreasonable.    
general  counsel  for  any   • Unconscionability  of  the  amount  
ordinary  legal  problem  that   renders  the  contract  invalid.    
may  arise  in  the  routinary   • However  it  will  not  preclude  
business  of  the  client  and   recovery,  it  will  only  justify  the  court  
referred  to  him  for  legal   to  fix  the  reasonable  worth  of  his  
action.     services  based  on  QR.    
-­‐ Fees  are  paid  whether  or  not    
there  cases  referred  to  the   Contingent  Fee  Contract    
lawyer.   • It  is  an  agreement  in  writing  in  which  
Reason:  Compensation  for  a  lost  opportunity   the  fee,  usually  a  fixed  percentage  of  
of  a  lawyer  to  render  service  to  other  parties.     what  may  be  recovered  in  the  action,    
• Special  Retainer   is  made  to  depend  upon  the  success  
-­‐ A  fee  for  specific  case   in  the  effort  to  enforce  or  defend  a  
handled  or  special  service   supposed  right.    
rendered  by  a  lawyer  for  a  
client.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

• The  lawyer  gets  paid  only  if  he  wins   SUPPRESSION  OF  FACTS    OR  
the  case  UNLESS  the  client  prevents   EXCESSIVE  FEES.  L  
the  successful  prosecution  or  defense    
of  the  action,  in  which  case  lawyer  is   Effect  of  Agreement  to  pay  litigation  
entitled  to  fees  based  on  QR;  or  to   expenses  
the  full  amount  agreed  if  client  acted   •  The  rule  of  the  profession  forbid  a  
in  bad  faith.     lawyer  from  agreeing  to  pay  or  bear  
• Absolute  fee  on  the  other  hand,   the  expenses  of  litigation.  
entitles  a  lawyer  to  get  paid  for  his   • He  may  HOWEVER,  in  good  faith,  
efforts  regardless  of  the  outcome  of   advance  the  expenses  as  matter  of  
the  litigation.   convenience  but  subject  to  
• Contingent  fee  contract  is  subject  to   reimbursement.    
supervision  and  scrutiny  of  court  to   REASON:  To  prevent  lawyer  from  acquiring  
protect  client  from  unjust  charges.     any  interest  in  the  litigation  &  avoid  conflict  
• The  court  may  reduce  the  amount  of   of  interests  between  them.  
unconscionable  contingent  fee  to  a   • This  agreement  is  known  as  
reasonable  sum,  even  if  client   CHAMPERTRY.  L    
consented  thereto.    
• Unconscionable  fee  –  amount  which   Construction  of  Professional  Contract    
according  to  the  circumstances  of  the   • GR:  To  adopt  such  construction  as  
case,  constitutes  an  over   would  be  more  favorable  to  the  client  
exaggeration  of  the  worth  of  the   even  if  it  is  prejudicial  to  the  lawyer  
services  of  a  lawyer.     L  
• It  depends  upon  an  express  contract   Reason:  Inequality  of  situation  between  the  
without  which,  lawyer  may  only   lawyer,  who  knows  the  technicalities  of  the  
recover  only  on  the  basis  of  QR.   law  and  the  client  who  is  ignorant  of  such  and  
• It  applies  even  if  initial  fees  are  paid   also  because  of  the  lawyer’s  status  as  officers  
before  or  during  the  progress  of   of  court.    
litigation  as  long  as  the  bulk  of  the    
fees  depends  on  the  success  of  the   C. MEASURE  OF  COMPENSATION  
lawyer.      
• It  is  applicable  to  Civil  and  Criminal   Amount  fixed  in  valid  contract  
actions.   • The  amount  attorney’s  fees  due  is  
• It  is  the  only  way  by  which  a  poor   stipulated  in  the  written  retainer  
litigant  may  have  his  rights  enforced   agreement  which  is  conclusive  as  to  
or  protected  by  a  lawyer  J   amount  of  lawyer’s  compensation  
  • This  rule  applies  whether  the  fee  
Validity  of  Contingent  Fee   contracted  for  is  absolute  or  
• In  this  jurisdiction,  it  is  not  prohibited   contingent.    
by  law  &  is  impliedly  sanctioned.      
• Its  validity  DEPENDS  upon  the   Factors  taken  into  account  
reasonableness  of  the  amount  fixed   • In  determining  the  amount  of  fess  
as  contingent  fee  under  the   which  a  lawyer  may  charge  his  client  
circumstances  of  the  case.     the  following  factors  are  considered  
• Generally,  Valid  and  Binding  UNLESS   as  provided  in  Rule  20.01  of  the  Code  
obtained  by  FRAUD,  IMPOSITION,   namely:  
1. The  time  spent  and  extent  of  
services  rendered  or  required.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

2. The  novelty  and  difficulty  of   • Ability,  skill  &  competence  of  a  
questions  involved.     lawyer  are  not  measured  by  his  
3. Importance  of  subject  matter   income.    
4. Probability  of  losing  other   • Neither  is  the  length  of  time  a  lawyer  
employment  as  a  result  of   has  practiced  a  safe  criterion  of  his  
acceptance  of  the  case   character  and  quality  of  his  work.  
5. Skill  demanded    
6. Customary  charges  for  similar    
services  and  the  schedule  of  fess   Value  of  interest  involved  
of  the  IBP  charter  to  which  he   • Generally,  the  bigger  the  size  or  value  
belongs   of  the  interest  or  property  involved  in  
7. Amount  involved  in  the   a  litigation  the  higher  the  attorney’s  
controversy  and  the  benefits   fees.    
resulting  to  the  client  from  the   Reason:    The  higher  the  stakes  the  more  the  
service   case  is  hotly  litigated  and  the  greater  efforts  
8. Contingency  or  certainty  of   the  lawyer  exerts.    
compensation   • But  in  a  million  peso  litigation,  the  
9. Character  of  employment  ,   percentage  fee  contingent  upon    
whether  occasional  or   recovery  becomes  smaller  as  the  
established   amount  of  recovery  gets  bigger.  
10. Professional  standing  of  the   (INVERSE  PROPORTION  RULE)  
lawyer.     Reason:      based  on  the  assumption  that  the  
• These  factors,  not  one  of  which  is   amount  of  work  required  remains  the  same  
controlling  are  mere  guides  in   even  though  the  interest  in  the  action  
ascertaining  the  real  value  of  a   exceeds  several  million  pesos.    
lawyer.      
• Determination  of  attorney’s  fees   Loss  of  opportunity  for  other  employment  
based  on  these  factors  are  question   • Two  ways  which  a  lawyer  may  loss  
of  facts  ,  it  requires  evidence  to   opportunity  for  employment:  
prove  the  amount  of  fees.     1. The  acceptance  will  preclude  a  
  lawyer  from  appearing  for  others  
 Nature  of  Services   in  cases  likely  to  arise  out  of  the  
• The  value  of  the  lawyer’s  service  is  in   transaction  in  view  of  prohibition  
large  measure  determined  by  the   against  representation  of  adverse  
nature,  quality  &  quantity  of  such   interests.    
services.     2. There  is  a  reasonable  expectation  
  that  the  lawyer  not  accepted  
Skill  &  Standing  of  a  lawyer   employed  by  other  clients.    
• A  lawyer  acquires  a  reputation  for    
professional  capacity  &  fidelity  to    Difficulty  of  issues  involved  
trust  through  years  of  hard  labor  and   • It  includes  the  preparation,  study  and  
devotion  to  duty  evidenced  by  the   research  put  into  the  case  by  the  
quality  of  his  works.   lawyer,  to  convince  the  court  as  to  
• Such  lawyer  with  high  reputation  also   the  soundness  of  the  clients’  cause.  
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   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Test  Case   collective  bargaining  negotiations    

• Where  several  actions  or  possible   shall  be  imposed  on  any  individual  
disputes,  such  as  in  insurance,  tax  or   member  of  a  contracting  union:  
labor,    involve  an  identical  question   Provided  however,  the  attorney’s  fee  
and  one  case  is  litigated  as  a  test   may  be  charged  against  the  union  
case,  the  value  in  controversy  in  all   fund  in  an  amount  agreed  upon  by  
the  actions  should  bear  its   the  parties.  Any  contract  to  the  
appropriate  proportion  to  the   contract  is  void  
amount  due  as  fees  to  the  lawyer   • Art.  203  of  the  same  Code  “  No  
who  prosecuted  the  test  case.     agent,  Attorney  xxx  pursuing  or  in  
•  A  test  case  is  usually  litigated  with   charge  of  the  preparation  or  filing  of  
energy  and  diligence  even  if  the   any  claim  under  Employee  
actual  amount  is  insignificant   Compensation&  State  Insurance  Fund  
because  the  resolution  of  the  other   shall  demand  or  charge  his  services  
actions  which  involve  large  sums  of   any  fee,  stipulations  to  the  contrary  
money  is  made  to  depend  on  the   are  void.    
favorable  outcome  of  the  test  case.      
  Fees  in  case  of  Referral  
Results  secured   •  It  is  improper  for  a  lawyer  to    receive  
•  The  fact  that  a  lawyer  failed  to   compensation  for  merely  
secure  for  his  clients  what  he  desires   recommending  another  lawyer  to  his  
does  not  deprive  him  of  the  right  to   client  for  if  such  practice  is  
recover  compensation  for  his  services   permitted,  it  would  tend  to  develop  
except  when  the  fee  agreed  upon  is   the  evils  of  commercialism.    
contingent.     • It  is  only  when,  in  addition  to  referral  
•  A  different  rule  would  mean  that   ,  he  performs  legal  service  or  
every  professional  fee  is  contingent   assumes  responsibility  in  the  case  
fee  and  for  every  litigated  case,  it  is   that  he  will  be  entitled  to  a  fee.  
only  the  lawyer  in  the  winning  side    
will  get  paid  for  his  services.      A  lawyer  shall  not  receive  from  another  
• If  that  were  the  rule,  the  practice  of   without  clients  consent  
law  will  cease  to  be  a  dignified  and   • Rule  20.03  of  the  Code  “  A  lawyer  
honorable  profession.     shall  not,  without  full  knowledge  &  
  consent  of  the  client,  accept  fee,  
Statutory  limitation  as  to  fees   reward,  commission,  interest  or  other  
•  Legislature,  in  the  exercise  of  police   compensation  related  to  his  
power  may  by  law  prescribe  the  limit   employment  from  another  person  
of  the  amount  of  attorney’s  fees.     other  than  his  client”  
• Art.  111  of  Labor  Code  provides  “  it   •  This  rule  is  designed  to  secure  the  
shall  be  unlawful  for  any  person  to   fidelity  to  the  client’s  cause  and  to  
demand  or  accept  in  any  judicial  or   prevent  room  of  suspicion  on  the  
administrative  proceedings  for  the   part  of  the  client.    
recovery  of  wages,  attorney’s  fees   • Corollary  to  this  rule  is  the  principle  
which  exceed  10%  of  the  amount  of   that  whatever  a  lawyer  receives  from  
wage  recovered”   the  opposite  party  in  the  service  of  
• Art.  222  of  the  same  Code  “  No   his  client  belongs  to  the  client.  
attorney’s  fees  xxx  arising  from  any    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

A  lawyer  shall  avoid  controversies  with   • The  remedy  cannot  be  availed  of  if  
client  concerning  his  fees   the  client  recovers  nothing  in  the  
•  Rule  20.4  of  this  Code  “  a  lawyer   main  action.    
should  avoid  controversies  with   Reason:  Question  of  fees  cannot  be  
clients  concerning  his  compensation   determined  until  after  the  main  action  has  
and  to  resort  to  judicial  action  only  to   been  decided  &  subject  of  recovery  is  at  the  
prevent  imposition,  injustice  or  fraud.     disposition  of  the  court.    
• He  may  take  judicial  action  to  protect   • The  petition  may  be  filed  with  the  
his  fees  either  in  the  main  action  he   court:  
rendered  his  services  or  an   -­‐ before  the  judgment  in  favor  
independent  civil  suit  against  his   of  the  client  is  satisfied  or  
client.     proceeds  thereof    delivered  
  to  client  
D. PROCEDURE  TO  RECOVER  FEES   -­‐ before  judgment  is  rendered  
  BUT  the  determination  as  to  
Lawyer’s  application  to  pay  his  fees   the  propriety  of  fees  will  
•  Canon  16,  Rule  16.03,  a  lawyer  may   have  to  await  the  outcome  of  
apply  so  much  of  the  clients  funds   the  litigation,  at  which  time  
that  come  into  his  possession  as  may   the  issue  as  to  fee  may  be  
be  necessary  to  satisfy  his  fees  and   tried  with  notice  given  to  
disbursements,  giving  notice   interested  parties.  
promptly  to  his  clients.     • Court  may  not  order  client  to  pay  
• This  provision  assumes    that  the   fees  before  judgment  is  rendered,  
client  agrees  with  the  lawyer  as  to   there  being  nothing  from  which  they  
the  amount  of  the  fees.     be  paid  except  if  it  is  certain  that  
• In  case  of  disagreement  or  when   there  is  something  due  the  client  
client  disputes  the  amount  claimed   such  as  in  estate  proceedings;  or  
for  being  unconscionable,  the  lawyer   when  client  dismissed  the  services  of  
may  not  arbitrarily  apply  the  funds  in   the  lawyer  before  termination  of  the  
his  possession  for  payment  of  his  fees   action,  and  funds  therefor  are  
for  it  is  violative  of  their  trust   available.  
relationship.    
• The  lawyer  should  file  the  necessary   Independent  civil  action  
action  in  court  to  fix  and  recover  the   • Lawyer  may  enforce  his  right  to  
amount  of  his  fees.     reasonable  compensation  in  an  
  independent  civil  action  in  ff  cases:  
Petition  as  incident  of  main  action   1. If  the  court  trying  the  main  action  
• A  lawyer  may  enforce  his  right  to  fees   dismissed  the  cllient’s  action  or  
by  filing  the  necessary  petition  as  an   nothing  is  awarded  to  him  L  
incident  of  the  main  action  in  which   2. The  court  deciding  the  main  
his  services  were  rendered  only  when   action  has  no  jurisdiction  over  
something  is  due  the  client  in  the   the  action  or  has  already  lost  it.  
action  from  which  the  fee  is  to  be   3. The  person  liable  for  attorney’s  
paid;Or  when  the  client  settles  or   fee  is  not  party  to  main  action  
waives  his  cause  in  favor  of  the   4. The  court  reserved  to  the  lawyer  
adverse  party  in  fraud  of  the  lawyers   the  right  to  file  a  separate  action    
claim  for  compensation.    

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

5. The  services  for  which  the  lawyer   • The  court  having  jurisdiction  to  try  
seeks  payment  refers  to  matters   the  main  action  in  which  the  lawyer  
not  related  to  the  main  action.   rendered  services  has  also  
6. Court  rendered  judgment  in  the   jurisdiction  to  pass  upon  the  question  
main  action  without  ordering   of  fees  even  though  the  total  sum  
payment  of  attorney’s  fees  and   thereof  is  less  than  the  jurisdictional  
such  become  final.   amount  cognizable  by  the  court.    
   
Remedies  in  Estate  Proceedings   Necessity  of  Hearing  
• The  procedure  for  collection  of  fees   •  A  petition  for  recovery  of  attorney’s  
in  an  estate  proceeding  is  for  the   fees  has  to  be  prosecuted  and  the  
lawyer  to  ask  the  administrator  or   allegations  therein  established  as  any  
executor  to  pay  him  his  fees.     other  money  claim.  
• If  the  administrator  or  executor   • The  persons  entitle  to  or  must  pay  
refuses  or  fails  to  do  so,  lawyer  has   the  fees  have  the  right  to  be  heard  
two  remedies:   upon  the  question  of  the  propriety  of  
1. File  an  independent  civil  action   the  amount.    
against  administrator  or  executor   • Burden  of  proof  is  upon  the  lawyer  to  
in  his  personal  capacity  &  should   establish  his  allegations.  
judgment  be  secured  and  latter    
pays,  the  latter  may  include  the   Defenses  
amount  in  his  account  file  with   • Action  for  recovery  of  attorney’s  fees  
the  probate  court.     is  subject  to  usual  defenses  in  
2. File  a  petition  with  the  probate   ordinary  action  such  as  res  judicata,  
court  praying,  after  due  notice  to   prescription,  nullity  of  contract  or  
all  persons  interested,  allow  his   lack  of  attorney-­‐client  relationship.    
claim  &  direct  the    
administrator/executor  to  pay  his    Execution  
fees  as  expenses  of   •  The  final  award  of  attorney’s  fees  
administration.     may  be  enforced  by  execution.  
• If  administrator/executor  dies  before   • It  may  be  enforced  against  any  
payment  of  fees,  he  may  file  a  claim   property  of  the  client  including  the  
against  the  estate  of  the  deceased   proceeds  of  the  judgment  secured  for  
administrator/executor  or  a  petition   the  client  in  main  action/  
for  allowance  of  fees  with  probate    
court.   E. ATTORNEY’S  FEES  AS  DAMAGES  
• A  lawyer  may  enforce  his  right  with    
the  probate  court  at  any  time  before   Two  concepts  of  attorney’s  fees  compared  
the  estate  proceeding  is  definitely   Attorney’s  fees  as   Attorney’s  fees  as  
closed.   Damages   compensation  
Afterwards,  his  remedy  is  to  pursue   Awarded  by  the   Amount    to  be  paid  
an  independent  action  against  the   court  to  the   by  the  client  to  the  
administrator  in  his  personal  capacity   successful  party    as   lawyer  for  the  
or  the  distributees  of  the  assets  of   an  indemnity  for   services  rendered  by  
the  estate.   damages  sustained   the  latter.    
  by  him  prosecuting  
Court  Jurisdiction   or  defending,  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
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  
facto  justify  their  award  in  favor  of   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  recoverable-­‐  Exception  to   •  Award  of  attorney’s  fees  is  
the  rule.   discretionary  on  the  part  of  the  court.  
1. When  there  is  agreement  of   •  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  
4. Criminal  cases  of  malicious   attorney’s  fees  or  increase  or  reduce  
prosecution   the  amount  thereof  whenever  the  
5. Action  is  clearly  unfounded   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.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

  account  due  to  the   presupposes  that  a  

  attorney  from  his   favorable  judgment  
CHAPTER  XIV   client  for  services   has  been  secured  for  
rendered  in  all   the  client  in  the  case.    
ATTORNEY’S  LIEN  
matters  which  he    
 
may  have  handled  for  
A. IN  GENERAL  
the  client,  regardless  
Generally  
of  outcome.  
•  Rule  22.02  “  A  lawyer  who  withdraws  
 It  does  not  require   A  written  notice  
or  is  discharged  shall,  subject  to  a  
notice  thereof  upon   thereof  to  his  client  
retaining  lien,  immediately  turn  over  
the  client  and  the   and  to  adverse  party  
the  paper  and  property  to  which  the  
adverse  party  to  be   is  necessary  to  be  
client  is  entitled  and  shall  cooperate  
effective.     effective.    
with  his  successor  in  the  orderly  
 It  is  dependent  upon    It  covers  only  
transfer  of  the  matter,  including  all  
and  takes  effect  from   services  rendered  by  
information  necessary  for  the  proper  
the  time  of  lawful   an  attorney  in  the  
handling  of  the  matter.”  
possession.   action  in  which  the  
• Rule  16.03  of  the  Code  “  A  lawyer  
judgment  was  
shall  a  lien  over  the  funds  of  his  client  
obtained  and  takes  
and  may  apply  so  much  thereof  as  
effect  only  after  he  
may  be  necessary  to  satisfy  his  lawful  
shall  have  caused  a  
fees  and  disbursements  and  giving    
statement  of  his  
notice  promptly  thereafter  to  his  
claim  entered  upon  
client.  He  shall  also  have  a  lien  to  
the  record  of  the  
same  extent  on  all  judgments  and  
particular  case.    
executions  he  has  secured  for  his  
 
client  as  provided  in  ROC”  
B. RETAINING  LIEN  
• The  rules  are  designed  to  insure  the  
 
payment  of  the  lawyer’s  fees  and  
Nature  and  essence  of  retaining  lien  
reimbursement  of  his  lawful  
• Retaining  lien  is  a  passive  right  and  
disbursements  in  keeping  with  his  
cannot  be  actively  enforced.    
dignity  as  an  officer  of  the  court.    
• It  amounts  to  a  mere  right  to  retain  
 
the  funds,  documents  &  paper  as  
Retaining  and  Charging  Liens  Distinguished  
against  the  client  until  the  lawyer  is  
Retaining  Lien   Charging  Lien    
fully  paid  for  his  fees.    
Right  of  an  attorney   Right  which  the  
• The  inconvenience  that  may  cause  
to  retain  the  funds,   attorney  has  upon  all  
the  client  as  a  result  of  the  retaining  
documents  &  papers   judgments  for  the  
lien  is  the  reason  and  essence  of  the  
of  his  client  which   payment  of  money  &  
lien.  
have  lawfully  come   executions  issued  in  
Requisites  for  Validity  
into  his  possession     pursuance  thereof,  
a. Attorney-­‐client  Relationship  
until  his  lawful  fees  &   secured  in  favor  of  
b. Lawful  Possession  by  the  lawyer  of  
disbursement  have   the  client.    
the  client’s  funds,  documents  and  
been  paid  &  to  apply  
papers  in  his  professional  capacity  
such  funds  to  the  
c. Unsatisfied  claim  for  attorney’s    fees  
satisfaction  thereof.    
or  disbursements.    
General  lien  for  the   Special  lien  in  a  
 
balance  of  the   particular  case  &  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Property  to  which  Lien  Attaches   • However,  the  court  may  require  the  
• Retaining  Lien  attaches  to  all   surrender  thereof  upon  the  client’s  
property,  papers,  books,  documents   posting  of  an  adequate  bond  or  
or  securities  of  the  client  that  may   security  to  guarantee  the  payment  of  
have  lawfully  come  to  the  lawyer   fees.  
professionally  or  in  the  course  of  his    
professional  employment,  not   Extinguishment  of  Retaining  Lien  
necessarily  in  connection  with  a   • The  lien  is  dependent  upon  
particular  case  handled  for  the  client.     possession  and  does  not  attach  to  
• It  also  attaches  to  money  which   anything  not  in  possession  of  lawyer.    
comes  into  his  possession  by  way  of   • It  expires  when  the  possession  
writ  of  execution  ordered  by  the   lawfully  ends,  as  when  the  lawyer  
court.     voluntarily  parts  with  the  funds  etc  of  
• It  does  not  include  funds  or   the  client  OR  offers  them  in  evidence  
properties  which  come  into   in  court.    
possession  of  the  lawyer  in  another   • If  the  properties  were  illegally  taken  
capacity  other  than  his  professional   from  the  custody  of  the  lawyer  the  
capacity,  such  as  an  agent  or  trustee.     lien  is  not  lost  UNLESS  by  his  act  or  
• The  lien  does  not  extend  to   omission  he  waives  his  right  thereto.  
properties  of  the  clients  principal,  or   • Mandamus  will  lie  to  restore  
those  adjudge  by  the  court  in  favor  of   possession  of  the  documents  
the  client’s  adversary.   unlawfully  taken  from  him  
Reason:    Lien  may  only  be  enforced  against    
the  properties  belonging  to  the  client  and  not   Satisfaction  of  Lien  
to  those  of  his  adversary  or  belonging  to  third   • Unless  the  client  voluntarily  pays  him  
persons.     his  fees  the  lawyer  still  has  to  file  the  
• It  also  does  not  attach  to  documents   necessary  action  to  recover  what  is  
introduced  as  exhibits  in  court,  they   due  to  him  from  his  client.  
being  subject  to  court’s  control.   • The  lawyer  need  not  file  an  action  in  
  court  to  enforce  his  retaining  lien  and  
When  Lien  Attaches   recover  his  fees  if  the  client  does  not  
• The  retaining  lien  attached  from  the   dispute  his  claim  for  attorney’s  fees.    
moment  the  attorney  lawfully   • In  such  case,  lawyer  may  apply  the  
obtains  and  retains  possession  of  the   clients’  funds  in  satisfaction  of  his  
properties  of  client.     claim  and  send  an  accounting  to  his  
• The  fact  that  the  client  transfers  the   client  and  remit  the  balance,  if  any,  
property  evidenced  by  a  document  or   to  the  client.    
title  in  the  lawful  possession  of  the   • But  if  the  client  questions  his  claim  or  
attorney  does  not  defeat  the  lien.     the  amount  of  fees,  the  lawyer  
  cannot  apply  the  funds.  His  remedy  is  
Bond  for  return  of  Documents   to  file  the  necessary  action.    
• The  retaining  line,  once  it  has  lawfully    
attached  to  funds  etc.  of  the  client,  is   C. CHARGING  LIEN  
uncontestable,  and  the  court  may  not    
compel  him  to  surrender  them   Nature  and  essence  of  Charging  Lien  
without  prior  proof  that  his  fees  are   • Abstract  and  potential  right  until  it  is  
already  paid.   made  active  and  operative  by:  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

a. recording  a  statement  of  claim  in   • The  notice  is  to  give  the  client  an  
the  case  and;   opportunity  to  object  to  the  lien  or  
b.  serving  notice  thereof  upon  the   amount  claimed  by  the  lawyer.    
client  and  adverse  party.     • If  the  client  dispute  it  the  court  
• It  gives  the  lawyer  the  same  right  and   should  hear  the  parties  and  
power  as  the  client  over  such   determine  from  evidence  submitted  
judgment  &  execution  to  enforce  his   by  them  the  lawyer’s  right  to  the  lien  
right  and  secure  payment.    J   as  well  as  to  the  amount  of  fees.    
• Based  on  natural  equity  that  a  client   • If  the  client  fails  to  contest  the  claim  
should  not  be  allowed  to  appropriate   he  shall  be  liable  for  the  claim  even  if  
the  whole  judgment  in  his  favor   it  is  unjust.  
without  paying  the  services  of  his   • The  notice  to  the  adverse  party  is  to  
lawyer  in  obtaining  the  judgment.   bind  him  as  to  the  charging  lien,  once  
• It  is  a  personal  claim  enforceable  by   recorded,  being  a  stranger  to  the  
writ  of  execution.  It  does  not  attach   contract  between  the  lawyer  and  his  
to  the  property  in  litigation.   client.    
• It  is  LIMITED  ONLY  to  money   • Otherwise,  the  adverse  party  may  
judgments  and  not  to  any  other  kinds   not  be  held  liable  under  the  charging  
of  judgments  such  as  judgment  for   lien.    
annulment  of  contract  or  delivery  of   • The  adverse  party  cannot  contest  the  
real  property.     validity  of  the  lien  that  being  the  
  concern  of  the  client.    
Requisites  for  Validity  of  Charging  Lien      
a. Attorney-­‐client  Relationship     To  what  charging  lien  attaches  
b. Attorney  has  rendered  services     • The  lien,  once  recorded,  attaches  to  
c. A  money  Judgment  favorable  to   the  judgment  for  the  payment  of  
the  Client  has  been  secured  in   money  and  the  execution  issued  in  
the  action   pursuance  of  such  judgment.    
d. Attorney  has  claim  for  attorney’s   • It  also  attaches  to  the  proceeds  of  
fees  or  advances   the  judgment  in  favor  of  client  and  
e. Statement  of  his  claim  has  been   proceeds  of  compromise  settlement.    
duly  recorded  in  the  case  with   • It  does  not  attach  to  property  or  land  
notice  thereof  served  upon  to  the   in  litigation.    
parties.     • It  is  restricted  to  the  amount  
• The  lawyer  asserting  the  lien  need   awarded  to  the  client  by  final  
not  be  the  one  who  successfully   judgment.    
concluded  the  action  for  the  client.   • Since  a  charging  lien  presupposes  a  
• It  is  sufficient  that  he  has  rendered   favorable  judgment  has  been  
some  service  at  any  stage  of  the   obtained  for  the  client,  the  lawyer  for  
proceeding.     the  losing  party  in  a  suit  does  not  
  acquire  a  charging  lien  in  the  action.    
Recordal  and  Notice  of  lien   • A  lawyer  as  a  private  prosecutor  
• The  recordal  to  be  valid,  should  be   cannot  claim  a  charging  lien  upon  the  
effected  while  the  court  has   judgment  of  dismissal  entered  in  a  
jurisdiction  over  the  case  before  the   criminal  case;  his  remedy  being  a  
full  satisfaction  of  the  judgment.   separate  civil  action.  
 

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Effects  of  Charging  Lien   • The  satisfaction  of  Judgment  in  favor  
• It  partakes  of  a  nature  of  collateral   of  the  client  does  not  by  itself  
security  or  a  lien  on  real  or  personal   extinguish  the  charging  lien.    
property.     • The  satisfaction  may  only  extinguish  
• It  follows  the  proceeds  of  the   the  lien  when  there  has  been  a  
judgment  wherever  they  may  be  and   waiver  of  the  right  thereto  either  by  
whoever  received  them.  J   the  attorney’s  active  conduct  or  by  
• The  lien  survives  the  death  of  the   his  passive  omission.    
client  and  need  not  be  enforced  in    
the  proceeding  for  the  settlement  of    
the  client’s  estate.     Enforcement  
  •  The  lien  may  be  enforced,  upon  
  proper  motion,  by  execution.    
Extinguishment  of  Charging  Lien   • It  may  be  enforced  against  the  client  
• A  charging  lien  which  has  been   who,  for  receiving  the  proceeds  of  
recorded  before  the  case  has  been   the  judgment  without  paying  the  
decided  is  extinguished  when  the   services  of  his  lawyer,  holds  so  much  
client  loses  the  action  as  it  can  only   thereof  in  trust  of  the  lawyer.    
be  enforced  against  the  judgment  or   • It  may  also  be  enforced  against  the  
execution  thereof.     judgment  debtor  who,  for  
• The  remedy  of  lawyer  is  to  file  a   disregarding  the  charging  lien  
separate  civil  action  for  recovery  of   properly  served  on  him,  becomes  
fees.   liable  to  the  extent  of  the  lawyers  
• A  client  cannot  defeat  the  lien  by  an   claim.  
adverse  action  on  his  part  such  as    
terminating  the  service  of  lawyer,   CHAPTER  XV  
dismissing  the  case  or  waiving  the  
LIABILITIES  OF  ATTORNEY  
cause  in  favor  of  the  adverse  party,  
 
unless  by  the  actions  of  lawyer  he  is  
A.  LIABILITY  FOR  DAMAGES  
deemed  to  have  waived  it.    
 
 
Degree  of  care  required  
Assignment  of  Charging  Lien  
-­‐ degree  of  vigilance  and  care  
• Attorney’s  Charging  lien  may  be  
expected  of  a  good  father  of  a  
assigned  or  transferred  without  the  
family  or  such  degree  of  care  and  
preference  thereof  being  
ordinary  diligence  as  any  
extinguished  except  when  the  
member  of  the  bar  similarly  
assignment  carries  with  it  breach  of  
situated  is  expected  to  exercise  
attorney’s  duty  to  preserve  his  
 
client’s  confidence  inviolate.    
Civil  liability  
• The  assignee  steps  into  the  shoes  of  
-­‐ may  recover  damages  from  atty  if  
the  lawyer  and  enjoys  all  the  rights  
client  is  prejudiced  by  the  atty’s  
which  the  latter  has  in  the  charging  
negligence  or  misconduct  
lien.    
-­‐ atty  not  liable  for  mere  error  of  
 
judgment  unless  such  error  or  
Satisfaction  of  Judgment  
misconduct  is  gross  or  patent  
-­‐ may  become  civilly,  criminally  
and  administratively  liable  if  he  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

fails  to  return  client’s  money  or   a.  causing  prejudice  to  client  through  
property  upon  demand,  such   malicious  breach  of  professional  duty  or  
failure  gives  rise  to  the   inexcusable  negligence  or  ignorance  
presumption  that  he   b.  revealing  client’s  secrets  learned  in  the  
misappropriated  the  same   lawyer’s  professional  capacity  
-­‐ third  party  cannot  file    
counterclaim  against  the  atty   -­‐ “malicious”  implies  deliberate  
because  the  atty  is  not  a  party   intent  or  sinister  design  on  the  
litigant  in  a  case  except  if  there  is   part  of  the  lawyer  
fraudulent  conspiracy  between   -­‐ “inexcusable”  signifies  manifest  
him  and  his  client,  the  judge  or   injustice  which  cannot  be  
some  other  person  which   explained  by  a  reasonable  
frustrate  the  administration  of   interpretation  
justice   -­‐ lawyer’s  guilt  must  be  
  established  beyond  reasonable  
Libellous  words  in  pleadings;  privileged   doubt  to  hold  him  criminally  
communication   liable  
-­‐ generally  lawyers  are  exempted    
from  liability  for  libel  or  slander   Other  acts  which  may  result  in  criminal  
for  defamatory  words  used  in  the   liability:  
course  of  judicial  proceedings   -­‐ representing  adverse  interests  
provided  such  statements  are   -­‐ using  or  introducing  false  
relevant  or  material  to  the  cause   evidence  
at  hand   -­‐ misappropriating  client’s  funds  
-­‐ the  doctrine  of  privileged     (estafa)  
communication  allows  lawyers  to    
speak  their  minds  freely  and   C.  CONTEMPT  OF  COURT  
exercise  their  functions  without    
incurring  the  risk  of  criminal   Nature  and  purpose  
prosecution   -­‐ power  to  punish  for  contempt  is  
-­‐ matter  alleged  must  be   inherent  in  all  courts  and  is  
legitimately  related  or  so   essential  in  the  observance  of  
pertinent  to  the  subject  of  the   order  in  judicial  proceedings  and  
controversy   to  the  enforcement  of  
-­‐ privilege  does  not  cover   judgments,  orders  and  writs  
irrelevant  matter  that  is  libellous   -­‐ should  be  exercised  on  the  
  preservative  and  not  on  the  
Liability  for  costs  of  suit   vindictive  principle,  and  on  the  
-­‐ may  be  held  liable  for  costs  if  atty   corrective  rather  than    retaliatory  
insists  on  the  client’s  patently   idea  of  punishment  
unmeritorious  case  or  interposed    
appeal  merely  to  delay  litigation   Kinds  of  contempt:  
  -­‐ direct  or  indirect  
B.  CRIMINAL  LIABILITY   -­‐ criminal  or  civil  
  o Direct-­‐  punished  
Two  acts  penalized:   summarily  and  consists  
of  misbehaviour  in  the  
presence  or  so  near  the  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

court  or  judge  as  to   proceedings  before  the  same,  including  disrespect  
interrupt  proceedings;  no   toward  the  court,  offensive  personalities  toward  
formal  charge  required   others,  or  refusal  to  be  sworn  or  to  answer  as  a  
o Indirect  or  constructive-­‐   witness,  or  to  subscribe  an  affidavit  or  deposition  
when  lawfully  required  to  do  so,  may  be  
committed  away  from  
summarily  adjudged  in  contempt  by  such  court  
the  court  involving   and  punished  by  a  fine  not  exceeding  two  
disobedience  of  or   thousand  pesos  or  imprisonment  not  exceeding  
resistance  to  a  lawful   ten  (10)  days,  or  both,  if  it  be  a  Regional  Trial  
writ,  process,  order  or   Court  or  a  court  of  equivalent  or  higher  rank,  or  
command  or  tending  to   by  a  fine  not  exceeding  two  hundred  pesos  or  
belittle,  degrade,   imprisonment  not  exceeding  one  (1)  day,  or  both,  
obstruct  or  embarrass   if  it  be  a  lower  court.  
the  court;  requires  filing   Sec.  2.  Remedy  therefrom.    
of  a  formal  charge  in   The  person  adjudged  in  direct  contempt  by  any  
court  may  not  appeal  therefrom,  but  may  avail  
writing    and  an  
himself  of  the  remedies  of  certiorari  or  
opportunity  for  person  to   prohibition.  The  execution  of  the  judgment  shall  
be  heard   be  suspended  pending  resolution  of  such  petition,  
o Civil  –  failure  to  do   provided  such  person  files  a  bond  fixed  by  the  
something  ordered  by   court  which  rendered  the  judgment  and  
the  court  which  is  for  the   conditioned  that  he  will  abide  by  and  perform  the  
benefit  of  one  party   judgment  should  the  petition  be  decided  against  
o Criminal  –  consists  of  any   him.  
conduct  directed  against   Sec.  3.  Indirect  contempt  to  be  punished  after  
the  authority  or  dignity  f   charge  and  hearing.    
After  a  charge  in  writing  has  been  filed,  and  an  
the  court  
opportunity  given  to  the  respondent  to  comment  
  thereon  within  such  period  as  may  be  fixed  by  the  
Acts  constituting  contempt   court  and  to  be  heard  by  himself  or  counsel,  a  
-­‐ misbehaviour  in  the  performance   person  guilty  of  any  of  the  following  acts  may  be  
of  duties   punished  for  indirect  contempt:  
-­‐ advising  client  to  commit   (a)  Misbehavior  of  an  officer  of  a  court  in  the  
contempt   performance  of  his  official  duties  or  in  his  official  
-­‐ disobedience  to  an  order  of  the   transactions;  
court   (b)  Disobedience  of  or  resistance  to  a  lawful  writ,  
-­‐ publication  tending  to  impede  or   process,  order,  or  judgment  of  a  court,  including  
the  act  of  a  person  who,  after  being  dispossessed  
embarrass  the  court  constitutes  
or  ejected  from  any  real  property  by  the  judgment  
criminal  contempt   or  process  of  any  court  of  competent  jurisdiction,  
-­‐ misleading  the  court  by  making   enters  or  attempts  or  induces  another  to  enter  
false  allegation  or  introducing   into  or  upon  such  real  property,  for  the  purpose  
false  evidence   of  executing  acts  of  ownership  or  possession,  or  in  
-­‐ unauthorized  practice  of  law   any  manner  disturbs  the  possession  given  to  the  
-­‐ unlawful  retention  of  client’s   person  adjudged  to  be  entitled  thereto;  
funds   (c)  Any  abuse  of  or  any  unlawful  interference  with  
  the  processes  or  proceedings  of  a  court  not  
RULE  71   constituting  direct  contempt  under  section  1  of  
CONTEMPT   this  Rule;  
Section  1.  Direct  contempt  punished  summarily.     (d)  Any  improper  conduct  tending,  directly  or  
A  person  guilty  of  misbehavior  in  the  presence  of   indirectly,  to  impede,  obstruct,  or  degrade  the  
or  so  near  a  court  as  to  obstruct  or  interrupt  the   administration  of  justice;  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

(e)  Assuming  to  be  an  attorney  or  an  officer  of  a   Sec.  7.  Punishment  for  indirect  contempt.    
court,  and  acting  as  such  without  authority;   If  the  respondent  is  adjudged  guilty  of  indirect  
(f)  Failure  to  obey  a  subpoena  duly  served;   contempt  committed  against  a  Regional  Trial  
(g)  The  rescue,  or  attempted  rescue,  of  a  person   Court  or  a  court  of  equivalent  or  higher  rank,  he  
or  property  in  the  custody  of  an  officer  by  virtue   may  be  punished  by  a  fine  not  exceeding  thirty  
of  an  order  or  process  of  a  court  held  by  him.   thousand  pesos  or  imprisonment  not  exceeding  
But  nothing  in  this  section  shall  be  so  construed  as   six  (6)  months,  or  both.  If  he  is  adjudged  guilty  of  
to  prevent  the  court  from  issuing  process  to  bring   contempt  committed  against  a  lower  court,  he  
the  respondent  into  court,  or  from  holding  him  in   may  be  punished  by  a  fine  not  exceeding  five  
custody  pending  such  proceedings.   thousand  pesos  or  imprisonment  not  exceeding  
Sec.  4.  How  proceedings  commenced.     one  (1)  month,  or  both.  If  the  contempt  consists  
Proceedings  for  indirect  contempt  may  be   in  the  violation  of  a  writ  of  injunction,  temporary  
initiated  motu  proprio  by  the  court  against  which   restraining  order  or  status  quo  order,  he  may  also  
the  contempt  was  committed  by  an  order  or  any   be  ordered  to  make  complete  restitution  to  the  
other  formal  charge  requiring  the  respondent  to   party  injured  by  such  violation  of  the  property  
show  cause  why  he  should  not  be  punished  for   involved  or  such  amount  as  may  be  alleged  and  
contempt.   proved.  
In  all  other  cases,  charges  for  indirect  contempt   The  writ  of  execution,  as  in  ordinary  civil  actions,  
shall  be  commenced  by  a  verified  petition  with   shall  issue  for  the  enforcement  of  a  judgment  
supporting  particulars  and  certified  true  copies  of   imposing  a  fine  unless  the  court  otherwise  
documents  or  papers  involved  therein,  and  upon   provides.  
full  compliance  with  the  requirements  for  filing   Sec.  8.  Imprisonment  until  order  obeyed.    
initiatory  pleadings  for  civil  actions  in  the  court   When  the  contempt  consists  in  the  refusal  or  
concerned.  If  the  contempt  charges  arose  out  of   omission  to  do  an  act  which  is  yet  in  the  power  of  
or  are  related  to  a  principal  action  pending  in  the   the  respondent  to  perform,  he  may  be  imprisoned  
court,  the  petition  for  contempt  shall  allege  that   by  order  of  the  court  concerned  until  he  performs  
fact  but  said  petition  shall  be  docketed,  heard  and   it.  
decided  separately,  unless  the  court  in  its   Sec.  9.  Proceeding  when  party  released  on  bail  
discretion  orders  the  consolidation  of  the   fails  to  answer.    
contempt  charge  and  the  principal  action  for  joint   When  a  respondent  released  on  bail  fails  to  
hearing  and  decision.   appear  on  the  day  fixed  for  the  hearing,  the  court  
Sec.  5.  Where  charge  to  be  filed.     may  issue  another  order  of  arrest  or  may  order  
Where  the  charge  for  indirect  contempt  has  been   the  bond  for  his  appearance  to  be  forfeited  and  
committed  against  a  Regional  Trial  Court  or  a   confiscated,  or  both;  and,  if  the  bond  be  
court  of  equivalent  or  higher  rank,  or  against  an   proceeded  against,  the  measure  of  damages  shall  
officer  appointed  by  it,  the  charge  may  be  filed   be  the  extent  of  the  loss  or  injury  sustained  by  the  
with  such  court.  Where  such  contempt  has  been   aggrieved  party  by  reason  of  the  misconduct  for  
committed  against  a  lower  court,  the  charge  may   which  the  contempt  charge  was  prosecuted,  with  
be  filed  with  the  Regional  Trial  Court  of  the  place   the  costs  of  the  proceedings,  and  such  recovery  
in  which  the  lower  court  is  sitting;  but  the   shall  be  for  the  benefit  of  the  party  injured.  If  
proceedings  may  also  be  instituted  in  such  lower   there  is  no  aggrieved  party,  the  bond  shall  be  
court  subject  to  appeal  to  the  Regional  Trial  Court   liable  and  disposed  of  as  in  criminal  cases.  
of  such  place  in  the  same  manner  as  provided  in   Sec.  10.  Court  may  release  respondent.    
section  2  of  this  Rule.   The  court  which  issued  the  order  imprisoning  a  
Sec.  6.  Hearing;  release  on  bail.     person  for  contempt  may  discharge  him  from  
If  the  hearing  is  not  ordered  to  be  had  forthwith,   imprisonment  when  it  appears  that  public  interest  
the  respondent  may  be  released  from  custody   will  not  be  prejudiced  by  his  release.  
upon  filing  a  bond,  in  an  amount  fixed  by  the   Sec.  11.  Review  of  judgment  or  final  order;  bond  
court,  for  his  appearance  at  the  hearing  of  the   for  stay.    
charge.  On  the  day  set  therefor,  the  court  shall   The  judgment  or  final  order  of  a  court  in  a  case  of  
proceed  to  investigate  the  charge  and  consider   indirect  contempt  may  be  appealed  to  the  proper  
such  comment,  testimony  or  defense  as  the   court  as  in  criminal  cases.  But  execution  of  the  
respondent  may  make  or  offer.   judgment  or  final  order  shall  not  be  suspended  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

until  a  bond  is  filed  by  the  person  adjudged  in   essential  to  an  orderly  discharge  
contempt,  in  an  amount  fixed  by  the  court  from   of  its  judicial  functions  
which  the  appeal  is  taken,  conditioned  that  if  the   -­‐ power  to  discipline  must  not  be  
appeal  be  decided  against  him  he  will  abide  by   exercised  in  an  arbitrary  or  
and  perform  the  judgment  or  final  order.  
despotic  manner;  must  exercise  
Sec.12.  Contempt  against  quasi-­‐judicial  entities.    
 
sound  and  just  judicial  discretion  
Unless  otherwise  provided  by  law,  this  Rule  shall   -­‐ it  is  not  only  the  courts  duty  to  
apply  to  contempt  committed  against  persons,   discipline  those  guilty  but  also  to  
entities,  bodies  or  agencies  exercising  quasi-­‐ protect  the  reputation  of  those  
judicial  functions,  or  shall  have  suppletory  effect   maliciously  or  frivolously  charged  
to  such  rules  as  they  may  have  adopted  pursuant   by  summarily  dismissing  an  
to  authority  granted  to  them  by  law  to  punish  for   unfounded  complaint  
contempt.  The  Regional  Trial  Court  of  the  place   -­‐ CA  and  RTC  may  also  exercise  
wherein  the  contempt  has  been  committed  shall   disciplinary  power  over  attys  
have  jurisdiction  over  such  charges  as  may  be  
appearing  before  them  but  can  
filed  therefor.  
impose  suspension  or  a  lesser  
 
sanction  after  giving  the  atty  the  
CHAPTER  XVI   opportunity  to  be  heard  on  
SUSPENSION  AND  DISBARMENT   reasonable  notice;  they  cannot  
  disbar  a  lawyer  but  may  
Generally   recommend  such  to  the  SC  
Practice  of  law  is  a  privilege  burdened  with    
conditions:   Purpose  of  disciplinary  proceedings  
-­‐ adherence  to  rigid  standards  of   -­‐ to  make  sure  that  lawyers  are  
mental  fitness   competent,  honourable  and  
-­‐ maintenance  of  highest  degree  of   reliable  
morality   -­‐ deter  other  lawyers  from  similar  
-­‐ faithful  compliance  with  rules  of   misconduct  
the  legal  profession     -­‐ safeguard  the  administration  of  
-­‐ regular  payment  of  IBP  fees   justice  
Ø any  breach  of  this  makes  him   -­‐ preserve  purity  of  legal  
unworthy  of  the  trust  and  confidence   profession  by  removing  those  
the  courts  and  clients  repose  in  him   who  are  unworthy  
Ø misconduct  justifies  disciplinary   -­‐ protect  the  court  and  the  public  
action  against  him  or  withdrawal  of   from  misbehaviour  of  its  officers  
the  privilege  to  practice  law    
  Administrative  cases  against  lawyers  a  class  
Authority  to  discipline   of  their  own  
-­‐ Supreme  Court  has  the  ultimate   -­‐ such  cases  are  distinct  from  and  
disciplinary  power  over  attys   may  proceed  independently  of  
-­‐ authority  stems  from  its   civil  and  criminal  cases  
constitutional  prerogative  to   -­‐ a  finding  of  liability  in  a  criminal  
regulate  the  practice  of  law  and   case  will  not  necessarily  result  in  
the  admission  of  persons  to   liability  in  an  administrative  case  
engage  therein   -­‐ neither  will  a  favourable  
-­‐ incidental  to  the  proper   disposition  in  a  civil  case  absolve  
administration  of  justice  and   the  lawyer  from  administrative  
liability  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ burden  of  proof  in  these  cases   power  of  the  SC  to  suspend  or  
are  different;  in  criminal  –  proof   disbar  lawyers  
beyond  reasonable  doubt,  in   -­‐ Rule  138  of  the  Rules  of  Court  
administrative  –  clearly   Sec.  27.  Attorneys  removed  or  
preponderant  evidence   suspended  by  Supreme  Court  on  
-­‐ no  prejudicial  question  in  these   what  grounds.  -­‐    A  member  of  the  
cases   bar  may  be  removed  or  
-­‐ “Disbarment  proceedings  are   suspended  from  his  office  as  
undertaken  solely  for  public   attorney  by  the  Supreme  Court  
welfare  and  the  sole  question  for   for  any  deceit,  malpractice,  or  
determination  is  whether  a   other  gross  misconduct  in  such  
member  of  a  bar  is  fit  to  be   office,  grossly  immoral  conduct,  
allowed  the  privilege  or  not.  The   or  by  reason  of  his  conviction  of  a  
complainant  or  the  person  who   crime  involving  moral  turpitude,  
called  the  attention  of  the  court   or  for  any  violation  of  the  oath  
is  in  no  sense  a  party,  and   which  he  is  required  to  take  
generally  has  no  interest  in  the   before  admission  to  practice,  or  
outcome  except  as  all  good   for  a  wilfull  disobedience  of  any  
citizens  may  have  in  the  proper   lawful  order  of  a  superior  court,  
administration  of  justice.”   or  for  corruptly  or  wilfully  
  appearing  as  an  attorney  for  a  
B.  GROUNDS  FOR  DISCIPLINE   party  to  a  case  without  authority  
-­‐      grounds  for  disbarment  or   so  to  do.  The  practice  of  soliciting  
suspension  consist  of  acts  of   cases  at  law  for  the  purpose  of  
misconduct  committed  BEFORE  and   gain,  either  personally  or  through  
AFTER  admission  to  the  bar   paid  agents  or  brokers,  
o Requisites  that  must  concur   constitutes  malpractice.  
before  lawyer  may  be  suspended    
of  disbarred  for  acts  commited   Misconduct  committed  outside  Philippine  
BEFORE  admission  to  practice:   jurisdiction  
1. act  imputed  must  be  so   -­‐ may  be  suspended  or  disbarred  
corrupt  and  false  as  to   in  this  country  if  the  act  
constitute  a  criminal  act  or  so   committed  is  also  a  ground  for  
unprincipled  as  to  be   disciplinary  action  under  
reprehensible  to  a  high   Philippine  law  
degree   -­‐ judgment  of  foreign  court  merely  
2. act  must  established  by  a   constitutes  prima  facie  evidence  
clearly  preponderant   of  unethical  acts  of  a  lawyer  
evidence   *Read  Velez  vs.  De  Vera  p.  492  
o Examples:  cheating  in  the  bar    
exams,  securing  an  unauthorized   C.  BREACH  OF  DUTIES  TO  COURT  
reevaluation  of  his  bar  exam   Acts  constituting  such  breach:  
answers   -­‐ obstruction  of  justice  and  abuse  
  of  the  legal  process    
-­‐ grounds  enumerated  are  not   o advising  client  to  escape  
exclusive  because  they  do  not   from  prison  
constitute  a  limitation  on  the  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o asking  client  to  plead   -­‐ introducing  false  evidence  

guilty  to  crime  he  did  not   o testifying  falsely  
commit   o introducing  false  
o instructing  witness  not  to   document  
appear  in  court   Requisites:  
o prosecuting  clearly   § evidence  must  be  
frivolous  cases  on  appeal   spurious  and  
-­‐ misleading  the  court   lawyer  knows  
o knowingly  making  false   such  infirmity  
allegations   §  despite  such  
o misquoting  texts  in  a   knowledge  atty  
document   presents  it  to  
o suppressing  material  and   court  
vital  facts   o presenting  a  coached  
o failing  to  inform  courts  of   witness  to  give  false  
any  subsequent   testimony  
developments  in  the  case   o any  such  act  require  
which  may  render  case   discipline  irrespective  of  
moot  and  academic   the  materiality  or  
o attributing  to  a  judge  a   immateriality  of  the  
statement  which  he  did   untruthful  statement  
not  make   o Lawyer  owes  entire  
o altering  factual  findings   devotion  to  his  client  but  
o asserting  facts  which  he   not  at  the  expense  of  
merely  expects  or  hopes   truth  because  his  first  
to  accomplish   duty  is  not  to  the  client  
-­‐ forum  shopping   but  to  the  administration  
o constitutes  direct   of  justice.  
contempt  and  makes  atty   o lack  of  intent  to  deceive  
administratively  liable   in  the  presentation  of  the  
-­‐ filing  false  charges   false  evidence  will  still  
o violation  of  lawyer’s  oath   subject  atty  to  liability  for  
o filing  a  groundless  charge   failure  to  exercise  care  
against  a  judge  despite   and  prevent  confusion  
admonition  by  the  SC   and  delay  in  the  
violates  Canons  10-­‐12   disposition  of  the  case  
o to  warrant  disciplinary   -­‐ Blackmail  –  extortion  of  money  
action  it  must  be  shown   from  a  person  by  threats  of  
that:   accusation  or  exposure    or  
§ charges  were   opposition  in  the  public  prints  
false  and  the  atty   o Violation  of  Canon  19  
knows  them  to   and  rule  19.01  of  the  
be  so   Code  of  Professional  
§ atty  still  filed  the   Responsibility  
case  despite   CANON  19  -­‐  A  LAWYER  SHALL  
REPRESENT  HIS  CLIENT  WITH  ZEAL  
knowing  such   WITHIN  THE  BOUNDS  OF  THE  
§ there  is  malice  or   LAW.Rule  19.01  -­‐  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.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

client  and  shall  not  present,   for  the  client,  there  is  
participate  in  presenting  or  threaten  
to  present  unfounded  criminal   pending  litigation  and  the  
charges  to  obtain  an  improper   client’s  property  or  
advantage  in  any  case  or  proceeding.  
interest  is  involved  
-­‐ wilfully  disobeying  court  orders  
therein  
and  disrespect  to  courts  
o good  faith  is  not  a  
o “wilfull”  conveys  the  idea  
defense  but  may  mitigate  
of  a  flagrant  misconduct  
liability  
such  as  would  indicate  a  
disposition  on  the  part  of   -­‐ failing  to  account  or  
a  lawyer  so  refractory  in   misappropriating  client’s  
property  
its  character  as  to  affect  
-­‐ collecting  unreasonable  fees  
his  qualification  and  
o applying  client’s  money  
standing  for  the  further  
to  pay  his  unreasonable  
exercise  of  his  office  as  
claim  for  work  done  
an  atty  
without  consent  
-­‐ using  vicious  and  disrespectful  
o refusing  to  return  what  
language  
he  collected  as  payment  
-­‐ continuing  practice  even  after  
for  services  which  he  did  
suspension  
not  render  
 
-­‐ acting  without  authority  
D.  BREACH  OF  DUTIES  TO  CLIENT  
o may  be  disciplined  for  
Acts  constituting  breach  of  duties  to  client:  
compromising,  settling,  
-­‐ negligence  in  the  performance  of  
dismissing,  waiving  or  
duties  so  gross  in  character  and  
disposing  of  a  client’s  
causes  prejudice  to  client  
cause,  property  or  
o violates  canon  18  which  
interest  without  prior  or  
requires  lawyer  to  serve  
subsequent  authority  
with  competence  and  
diligence   from  the  client  
o ignorance  of  the  law  is  a   -­‐ wilfully  appearing  without  being  
retained  
ground  for  discipline  but  
 
not  for  an  honest  mistake  
E.  BREACH  OF  DUTIES  TO  THE  BAR  
or  error  
Generally  
o pressure  and  large  
-­‐ unethical  conduct  is  that  which  
volume  of  work  in  not  an  
violates  the  rules  or  ethical  code  
excuse    
of  the  legal  profession  or  which  is  
*Read  Jardin  vs.  Villar,  Jr.  
unbecoming  of  a  member  of  the  
p.  524  
bar  
  -­‐    employment  of  unlawful  means  
Acts  that  may  be  disciplined:  
  -­‐  defrauding  client  
-­‐ defaming  fellow  lawyers  
  -­‐  representing  adverse  interests  and  
-­‐ communicating  with  adverse  
revealing  client’s  secrets  (takte  paulit  ulit  na  to  
alam  nyo  na  yan!)   party  (violates  Canon  9)  
  -­‐  purchasing  client’s  property  in   -­‐ encroaching  upon  business  of  
litigation   another  
o constitutes  malpractice   -­‐ soliciting  business  
o requisites:  at  the  time  he   -­‐ advertising  
acquires,  he  is  counsel  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ cooperating  in  the  illegal  practice   4. for  contracting  second  marriage  
of  law   while  first  marriage  was  still  
o forms  law  partnership   subsisting  
with  a  layman   5. carrying  an  illicit  affair  with  a  married  
o notarizes  oath  of  office   woman  
as  a  lawyer  of  a  person   6. for  raping  neighbor’s  wife  
who  failed  in  the  bar    
exams   Conviction  of  a  crime  involving  moral  
o permits  non-­‐lawyer  to   turpitude  
sign  pleading  on  his   Moral  turpitude  means  anything  which  is  
behalf   done  contrary  to  justice,  honesty,  modesty  or  
-­‐ non-­‐payment  of  IBP  dues   good  morals  or  any  act  of  vileness  or  
  depravity  in  the  private  and  social  duties  that  
F.  OTHER  GROUNDS  FOR  DISCIPLINE   a  man  owes  his  fellowmen  or  to  society,  
Non-­‐professional  misconduct,  generally   contrary  to  the  accepted  rule  of  right  and  
-­‐ lawyer  may  not  be  suspended  or   duty  between  man  and  man.    
disbarred    and  the  court  may  not   -­‐ in  general,  all  crimes  which  fraud  
ordinarily  assume  jurisdiction  for   or  deceit  is  an  element  or  those  
misconduct  in  his  non-­‐ inherently  contrary  to  the  riles  of  
professional  or  private  capacity   right  conduct  involve  moral  
unless  the  misconduct  is  so  gross   turpitude  
a  character  as  to  show  him  to  be   o estafa,  swindling,  
morally  unfit  for  the  office  and   falsification  of  public  
unworthy  of  the  privilege  which   document,  smuggling,  
his  license  and  the  law  confer  on   bribery,  murder,  bigamy,  
him   abduction,  seduction,  
-­‐ lawyer  must  always  be  a  person   concubinage  and  
of  good  moral  character   violation  of  BP  22  
  o conviction  for  homicide  
Gross  immorality   may  or  may  not  involve  
Immoral  conduct  is  that  conduct  which  is  so   moral  turpitude  
wilful,  flagrant  or  shameless  as  to  show   depending  on  the  facts  of  
indifference  to  the  opinion  of  good  and   the  case  (read  Soriano  vs.  
responsible  members  of  the  community.   Dizon  p.550)  
Grossly  immoral  conduct  was  found  in  the   Other  acts:  
following  cases:   -­‐ promoting  to  violate  or  violating  
1. Living  adulterously  with  another   penal  laws  
woman  after  abandoning  legal  wife   -­‐ misconduct  as  public  officer  
2. having  carnal  knowledge  of  a  woman   -­‐ misconduct  as  notary  public  
under  promise  of  marriage  and   o notarizing  document  
urging  her  to  have  an  abortion  and   permitting  husband  to  
thereafter  marrying  another  woman   take  a  concubine  
3. misrepresenting  that  he  was  single   o authorizing  each  spouse  
when  in  fact  he  was  married  and   to  remarry  
succeeding  in  having  intercourse  with   o notarizing  in  the  absence  
her  and  thereafter  faking  a  marriage   of  the  affiant  
between  the  woman  and  his  son  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o for  not  disclosing  that  the   o deter  the  press  from  

person  who  signed  is  an   publishing  charges  or  
authorized  agent   proceedings  
o notarizing  a  fictitious   -­‐ confidentiality  may  be  WAIVED  
document   by  the  lawyer  
-­‐ not  paying  a  just  debt  and  issuing    
bouncing  checks   Who  and  how  instituted  
  -­‐ by  the  SC  motu  proprio  
CHAPTER  XVII   -­‐ by  the  IBP  
-­‐ upon  a  verified  complaint  of  any  
PROCEDURE  FOR  DISCIPLINE  AND   person  
REINSTATEMENT   -­‐ All  charges  against  justices  of  CA  
  and  Sandiganbayan  and  judges  of  
-­‐ Suspension  or  disbarment  is   CTA    and  lower  courts  shall  be  
sometimes  described  as  a   filed  with  the  SC,  IBP  has  no  
punishment,  as  a  necessary   jurisdiction  
consequence  of  its  primary   -­‐ must  allege  SPECIFIC  facts  which  
object,  which  is  not  so  much  to   constitute  the  particular  breach  
punish  the  individual  atty  himself   or  violation  of  law  or  the  Code  of  
as  to  safeguard  the   professional  responsibility  
administration  of  justice  by   -­‐ After  filing  of  complaint:  
protecting  the  court  and  the   o IBP  grievance  
public  from  the  misconduct  of   investigator  or  if  required  
officers  and  to  remove  those   a  panel  of  3  investigators  
persons  who  are  unfit  to   will  ascertain  if  complaint  
continue  discharging  the  trust   is  meritorious  
reposed  in  them  as  members  of   o if  meritorious,  copy  to  be  
the  law.   served  upon  respondent  
-­‐ an  investigation  by  the  court  into   requiring  him  to  answer  
the  misconduct  of  its  officer  or  an   within  15  days  from  date  
examination  of  his  character   of  service  
-­‐ desistance  or  withdrawal  of   o answer  shall  be  verified  
complainant  does  not  exonerate   o original  and  5  copies  filed  
respondent   with  the  investigator  with  
-­‐ a  complaint  for  disbarment  or   proof  of  service  on  
suspension  is  imprescriptible   complainant  or  his  
  counsel  
Proceedings  are  confidential  until  its  final   o upon  joinder  of  issues  or  
determination.   failure  of  respondent  to  
-­‐ Three  fold  purpose:   answer,  investigator  shall  
o to  enable  the  court  to   proceed  with  the  
make  its  investigation   investigation  of  the  case;  
free  from  any  extraneous   investigation  shall  
influence  or  interference   terminate  within  3  
o to  protect  the  personal   months  unless  extended  
and  professional   for  good  cause  by  the  
reputation  of  attys  from   Board  upon  prior  
baseless  charges   application  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o ex  parte  investigation  is   within  15  days  from  

allowed  only  if   receipt  of  ruling  
respondent  fails  appear   o if  IBP  ruling  is  for  
despite  notice   suspension  or  
o if  not  meritorious,  may   disbarment,  it  shall  be  
be  dismissed  by  the   transmitted  to  the  SC  for  
Board  of  Governors  and  a   final  action.  The  SC  will  
copy  of  the  resolution  of   decide  the  case  either  by  
dismissal  furnished  the   Division  or  En  Banc  in  
complainant  and  the  SC   accordance  with  the  
o SC  may  review  the  case   following:  
motu  proprio  or  upon   § Suspension  for  1  
timely  appeal  of  15  days   year  or  less  –  
from  notice   Division  
-­‐ Report  of  investigator  and   § more  than  1  year  
decision  of  the  Board   –  En  banc  
o not  later  than  30  days   § Fine  of  10,000  or  
from  the  termination  of   less  –  Division  
the  investigation,  a   § More  than  
report  containing  the   10,000  –  en  banc  
findings  of  facts  and   § In  case  both  
recommendations  shall   suspension  and  
be  submitted  to  the  IBP   fine  are  involved,  
Board  together  with   En  banc  if  
stenographic  notes,   suspension  is  
transcript  and  all  the   more  than  1  year  
evidence  presented     and  fine  exceeds  
§ he  may   10,000  
recommend   § In  case  of  2  or  
exoneration,   more  
admonition,   suspensions  of  
reprimand,  fined,   the  lawyer,  
suspension  or   service  of  the  
disbarment  as   same  is  
the  evidence  may   successive  and  
warrant   not  
o the  decision  of  the  IBP   simultaneous.  
Board  shall  be    in  writing     o Maronilla  vs.  Jorda  
and  clearly  and  distinctly    The  decision  of  the  IBP  only  
state  facts  and  reasons   takes  effect  upon  its  
on  which  it  is  based   affirmation  or  modification  
o complainant  may  file   by  the  SC  because  the  
motion  for   inherent  power  to  discipline  
reconsideration  with  the   members  of  the  Bar  belongs  
IBP  board   to  the  SC  and  not  the  IBP.  It  is  
o Petition  for  review  may   a  matter  of  routine  that  
be  filed  with  the  SC   decisions  of  the  IBP  are  
automatically  elevated  to  the  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

SC  for  review  and  there  is  no   prosper  against  the  atty  because  
need  for  a  petition  to  be  filed   the  pardon  relieves  him  of  penal  
within  15  days  for  the  SC  to   consequences  but  does  not  
acquire  jurisdiction  over  the   restore  his  character  
matter.   -­‐ if  absolute  pardon  granted  
-­‐ there  must  be  clear,  convincing   subsequent  to  disbarment,  
and  satisfactory  proof  and  he   reinstatement  not  automatic  and  
who  asserts  must  prove   depends  upon  the  circumstances  
  of  the  case  and  discretion  of  the  
Proceedings  in  the  SC  and  other  courts   court  
-­‐ may  refer  investigation  to  the  SC   -­‐ conditional  pardon  does  not  
or  to  any  officer  of  the  court  or   operate  as  bar  to  disbarment  
judge  of  lower  court   proceedings  
-­‐ pending  final  resolution,  SC  may    
suspend  the  respondent  from  the   Modifying  circumstances  
practice  of  law   -­‐ Mitigating:  
-­‐ CA  or  RTC  may  suspend  an  atty   o good  faith  
after  due  notice  and  opportunity   o lack  of  material  damage  
to  be  heard,  until  further  action   o desistance  of  
by  the  SC   complainant  
-­‐ failure  of  atty  to  submit  the   o youth  and  inexperience  
required  explanation  constitutes   o error  in  judgment  
waiver  of  the  right  to  be  heard   o honest  and  efficient  
-­‐ res  ipsa  loquitur  applies;  trial   service  in  various  govt  
type  hearing  is  not  necessary  if   positions  
facts  of  record  sufficiently   o being  first  offense  
provide  basis  for  determination   o admitting  mistake  and  
of  the  liability   expressing  apologies  
  o explanation  and  plea  of  
Defenses   forgiveness  
-­‐ should  not  resort  to  technicalities   o clean  record  in  the  past  
when  the  facts  are  clear  and   -­‐ Aggravating:  
undisputed   o abuse  of  authority  
-­‐ deny  complainant’s  claim  only  if   o having  sex  with  the  
in  good  faith   lawyer’s  relative  
-­‐ should  accept  misdeeds  and  ask   o making  marriage  a  
for  leniency  to  mitigate  liability   mockery  
  o was  previously  
Executive  pardon   disciplined  
-­‐ absolute  pardon  is  a  bar  to  a   o defrauding  the  govt  
proceeding  for  disbarment  based    
solely  on  the  commission  of  the   Dismissal  of  the  case  
offense  because  lawyer  is   -­‐ in  the  absence  of  clearly  
considered  as  innocent  and   preponderant  evidence,  it  should  
guiltless,  but  if  disbarment  is  not   be  dismissed  
based  upon  the  commission  of   -­‐ any  doubt  should  be  resolved  in  
the  pardoned  offense,  then   atty’s  favour  
disciplinary  action  will  still  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ death  of  the  atty  during  the    

pendency  of  the  case  renders  the   Reinstatement  
action  moot  and  academic,  but   -­‐ SC  has  exclusive  authority  to  
the  court  may  still  resolve  to   reinstate  disbarred  or  indefinitely  
clear  the  atty’s  name   suspended  lawyer  
  -­‐ such  reinstatement  does  not  
Disciplinary  sanctions;  basic  considerations   become  final  as  it  may  be  
-­‐ discretionary  upon  the  court   reopened  or  reconsidered  by  the  
-­‐ exercised  on  the  preservative  and   SC  upon  proper  petition  and  
not  on  the  vindictive  principle   satisfactory  evidence  
-­‐ Censure  or  reprimand  is  usually   -­‐ rests  on  sound  discretion  of  the  
meted  out  for  an  isolated  act  of   court  
misconduct  of  lesser  nature.     -­‐ in  a  petition  for  reinstatement,  
-­‐ Disbarment  is  a  juridical  act  of   the  petitioner  must  allege  and  
withdrawing  the  privilege  to   prove  that  he  is  of  such  good  
practice  law,  is  the  most  severe   moral  character  acquired  through  
sanction.   positive  efforts  and  moral  
-­‐ Suspension  is  correctional  in   reformation  as  to  be  fit  and  
nature  and  may  be  for  a  definite   proper  person  to  practice  law,  
or  indefinite  period.  Suspension   and  that  he  possesses  such  
for  an  indefinite  period  is  actually   mental  qualifications  as  to  enable  
a  qualified  disbarment,  meted   him  to  discharge  his  duties  
out  for  a  specific  purpose   properly  
desired.     -­‐ quantum  necessary  for  
-­‐ Fine  is  a  sort  of  warning  that  a   reinstatement  is  same  as  that  for  
lawyer  should  be  more  careful  in   admission  
the  discharge  of  his  duties.   -­‐ the  court  in  reinstating  the  
-­‐ Admonition  is  a  gentle  and   lawyer  may  impose  certain  
friendly  reproof,  a  mild  rebuke,  a   conditions  on  his  re-­‐admission  
warning.    
   
Effects  of  suspension  or  disbarment   CHAPTER  XVIII  
-­‐ self-­‐executory  but  lawyer  may  
still  appear  to  defend  himself  
NEW  CODE  OF  JUDICIAL  CONDUCT  
 
because  this  is  not  considered  as  
Preliminary  
practice  of  law  but  an  exercise  of  
Administrative  Order  No.  162  
a  right  
-­‐ issued  by  the  DOJ  on  Aug.  1,  1946  
-­‐ may  result  in  dismissal  from  govt  
-­‐ promulgated   the   canons   of  
office  which  requires  
judicial  ethics  
membership  in  the  bar  as  an  
 
indispensable  qualification  
1987  Constitution  
-­‐ judgment  always  subject  to  
-­‐ vested   in   the   Supreme   Court   the  
change  or  modification  of  the  
administrative   supervision   over  
court  regardless  of  period  that  
all  judges.  
has  lapsed  
-­‐ The   Supreme   Court   adopted   the  
-­‐ legislative  and  executive  branch  
Code   of   Judicial   Conduct  
cannot  modify  the  sanction  
(Effective:  Oct.  20,  1989)  
meted  out  by  the  court  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ Later   replaced   by   the   New   Code   -­‐ Admnistration  of  justice  us  a  joint  
of   Judicial   Conduct   for   the   responsibility   of   the   judge   and  
Philippine   Judiciary   which   took   the  lawyer.    
effect  on  June  1,  2004.   -­‐ Their   relations   should   be   based  
  on   mutual   respect   and   on   deep  
New  Code  of  Judicial  Conduct   appreciation  by  one  of  the  duties  
-­‐ See   Agpalo   book   for   the   codal   of  the  other.  
provisions  of  the  Canons   -­‐ Upon   his   assumption   to   office,   a  
  judge   becomes   a   visible  
DEFINITIONS   representation   of   the   law   and  
  more  importantly,  of  justice.  
Court   Staff   -­‐     includes   the   personal   staff   of    
the  judge  including  the  law  clerks.   Who  is  a  judge  
  -­‐ employed   to   designate   a   public  
Judge  -­‐  any  person  exercising  judicial  power,   officer  selected  to  preside  and  to  
however  designated.   administer   law   in   a   court   of  
  justice.  
Judge’s  family  -­‐  includes  judge’s  spouse,  son,   -­‐ He   bears   himself   in   the  
daughter,   son-­‐in-­‐law,   daughter-­‐in-­‐law,   and   community   with   friends   but  
any   other   relative   by   consanguinity   or   affinity   without  famiiars.  
within  the  sixth  civil  degree,  or  person  who  is   -­‐ He   is   a   symbol   of   rectitude   and  
a   companion   or   employee   of   the   judge   and   propriety,   comporting   himself   in  
who  lives  in  the  judge’s  household.   a   manner   that   will   receive   no  
  doubt   whatsoever   about   his  
• In   case   of   deficiency   or   absence   of   honesty.  
specific   provisions   in   this   New   Code,   -­‐ He   is   a   public   officer   who,   by  
the  Canons  of  Judicial  Ethics  and  the   virtue   of   his   office,   is   clothed  
Code   of   Judicial   conduct   shall   be   with   judicial   authority   to   decide  
applicable  in  a  suppletory  character.   litigated   questions   according   to  
  law.  
A. UPHOLDING  THE  INTEGRITY  AND    
INDEPENDENCE  OF  THE  JUDICIARY   What  a  judge  should  be,  generally  
  -­‐ a   judge   should   be   conscientious,  
Generally   studious,   thorough,   courteous,  
-­‐ The   preamble   of   the   Code   of   patient,   punctual,   just,   impartial,  
Judicial   Conduct   capsulizes   what   fearless   of   public   clamor,   and  
the  judiciary  should  be.   regardless   of   private   influence,  
-­‐ The   5   canons   and   implementing   should   administer   justice  
rules   of   the   Code   require   what   according  to  law  
judges  ought  and  ought  not  to  do   -­‐ He   should   not   allow   outside  
in   their   official   and   private   matter   or   his   private   interests  
conduct,   so   as   to   have   an   interfere   with   the   prompt   and  
honorable,   competent   and   proper  performance  of  his  office.  
independent  judiciary  and  enable   -­‐ Judges   are   expected   to   keep  
them   to   achieve   its   ultimate   aim   abreast  of  all  laws  and  prevailing  
–   to   promote   justice   by   jurisprudence.  
administering   it   fairly,   -­‐ They   should   exhibit   more   than  
impartially,  and  promptly.   just   cursory   acquaintance   with  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

the   statutes   and   procedural   for   a   suspected   drug   queen   and  

rules.   interfered  with  her  prosecution.  
-­‐ They   must   know   the   laws   and   -­‐ A   judge   should   not   only   be  
apply  them  properly  and  in  good   impartial,   independent   and  
faith.   honest   but   should   also   be  
-­‐ He  must  be  conservant  with  basic   perceived  as  such.  
legal   principles   and   well-­‐settled   -­‐ Fraternizing   with   litigants  
and  authoritative  doctrines.   tarnishes  his  appearance.  
-­‐ With   regard   to   his   fellow   judges,    
they   owe   each   other   utmost   A  judge  should  exhibit  the  cold  neutrality  of  
respect   impartial  judge  
-­‐ He   is   the   head   of   the   office   (his   -­‐ While   a   judge   should   possess  
sala)   tasked   with   supervising   the   proficiency  in  law  in  order  that  he  
employees   who   by   their   can   competently   construe   and  
functions  are  to  assist  him  in  the   enforce   the   law,   it   is   more  
performance   of   his   judicial   important  that  he  should  act  and  
duties.   behave  in  such  a  manner  that  the  
-­‐ He   should   organize   his   court   with   parties   before   him   should   have  
a  view  to  prompt  and  convenient   confidence  in  his  impartiality.  
dispatch   of   its   business   and   -­‐ He   should,   in   the   performane   of  
should   not   tolerate   abuses   and   his  functions,  avoid  side  remarks,  
neglect   of   clerks,   sheriffs,   or   hasty   conclusions,   loose  
other  assistants.     statements   or   gratuitous  
-­‐ The   conduct   and   behavior   of   utterances   that   could   form   the  
everyone   connected   with   the   basis   for   erroneous   impressions  
dispensation   of   justice   should   be   in   the   mind   of   those   who   hear  
circumscribed   with   the   heavy   them  and  who  may  conclude  that  
burden  of  responsibility.   he   is   prejudging   the   case   or   the  
-­‐ Implicit   limits   include   accepted   issues   that   come   before   him   in  
legal   values   and   the   explicit   limits   the  exercise  of  his  jurisdiction.  
are   substantive   and   procedural   -­‐ He   should   refrain   from   doing  
rules  of  law.   essentially   police   work   that   may  
  involve   prosecution   of   crimes  
B. AVOIDING  IMPROPRIETY  OR   which   he   may   have   to   hear   and  
APPEARANCE  THEREOF   decide.  
  -­‐ In  a  special  proceeding,  the  judge  
A  judge  should  be  free  from  impropriety  and   whose   order   is   under   attack   in  
appearane  thereof  (Canon  2)   the  CA  is  merely  a  nominal  party.  
-­‐ Judges   may   conduct   themselves    
in  such  manner  that  they  give  no   Judge’s  demeanor  in  social  functions  
ground   for   reproach.   They   should   -­‐ A   judge   should   still   continue   to  
maintain   high   ethical   principles   mingle   in   social   intercourse,   and  
and  a  sense  of  propriety.   that   he   should   not   discontinue  
-­‐ A   Justice   of   the   CA   did   not   live   up   his   interest   in   or   appearance   at  
to   these   expectations   when,   meetings  of  members  of  the  bar.  
through   indiscretions,   he   had   He   should,   however,   in   pending  
been   mentioned   in   the   or   prospective   litigation   before  
newspapers   of   having   lawyered   him,   be   scrupulously   careful   to  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

avoid   such   action   as   may   -­‐

A  judge  must  be  the  first  to  abide  
reasonably   tend   to   waken   the   the   law   and   weave   an   example  
suspicion   that   his   social   or   for   the   others   to   follow.   He  
business   relations   or   friendships   should,   therefore,   be   studiously  
constitute   an   element   in   careful   himself   and   avoid   even  
determining  his  judicial  action.   the  slightest  infraction  of  the  law,  
-­‐ A   judge   who   yields   to   the   lest  it  be  a  demoralizing  example  
strength   of   the   “spirits”   and   acts   to  others.  
like   an   uninhibited   drunkard   in   a   -­‐ A   judge   who   solemnizes   marriage  
public   place   demeans   his   judicial   without   a   marriage   license  
office.   deserves  administrative  sanction.  
  -­‐ A   judge   who   is   gulty   of   sexual  
C. PERFORMANCE  OF  DUTIES   harassment   or   unjust   vexation   is  
  unbecoming  of  a  judge.  
Generally    
-­‐ A   judge   should   be   attentive,   Fitting  dignity  and  decorum  
impartial   and,   since   he   is   to   -­‐ This   norm   of   conduct   demands  
administer  the  law  and  apply  it  to   that   a   judge   should   show   no  
the   facts,   he   should   be   studious   shortness   of   temper   which  
of   the   principles   of   law,   merely   detracts   from   the  
knowledgeable   in   procedural   equanimity   and   judiciousness  
rules   and   diligent   in   endeavoring   that   should   be   the   constant  
to  ascertain  the  fatcs.   marks  of  a  dispenser  of  justice.  
-­‐ He   mut   also   decide   cases   in   a   -­‐ A   judge   should   not   permit   the  
manner   free   from   any   suspicion   taking   of   pictures   in   the   court  
as   to   fairness   and   impartiality   room,   during   sessions   of   the  
and  as  to  his  integrity.   court   or   recesses   in   between  
-­‐ His   language,   both   written   and   sessions,  and  the  broadcasting  or  
spoken,   must   be   guarded   and   televising   of   court   proceedings  
measured,   lest   the   best   of   for   the   detracts   from   the  
intentions  be  misconstrued.   essential   dignity   of   the  
  proceedings,   distract   the   witness,  
A  judge  should  be  a  man  of  learning   degrade   the   court,   and   create  
-­‐ A  judge  owes  it  to  the  public  and   misconceptions   with   respect  
to   the   legal   profession   to   know   thereto  in  the  mind  of  the  public.  
the   very   law   he   is   supposed   to    
apply  to  a  given  controversy.   Attitude   toward   lawyers,   litigants   or  
-­‐ He   should   be   studious   of   the   witnesses  
principles   of   law   and   diligent   -­‐ A   judge   should   be   courteous   to  
endeavoring   to   ascertain   the   counsel,   especially   to   those   who  
facts.   are  young  and  inexperienced  and  
-­‐ The   learning   process   in   law   does   also  to  all  those  others  appearing  
not   stop   upon   graduation   from   or   concerned   in   the  
college  and  admission  to  the  Bar.   administration   of   justice   in   the  
It  is  a  continuing  process.   court.  
  -­‐ He   should   be   considerate   of  
A  judge  should  be  a  visible  representation  of   witnesses   and   others   in  
law  and  justice   attendance  upon  his  court.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐ He   should   not   interrupt   counsel   -­‐ While   ex   parte   hearing   of  

in   their   arguments   except   to   applications   for   provisional  
clarify   his   mind   as   to   their   remedies   should   be   discouraged,  
positions.   a   judge   may   act   upon   such  
-­‐ He   may   utilize   his   opportunities   application   only   where   the  
to   criticize   and   correct   necessity  or  quick  action  is  clearly  
unprofessional   conduct   of   shwon   and   only   when   the   judge  
attorneys,   brought   to   his   has   endeavored   to   counteract  
attention,   but   he   may   not   do   so   the   effect   the   ansence   of   a  
in  an  insulting  manner.   counsel.  
   
Judge   should   not   resort   to   intemperate   Undue  interference  in  questioning  witnesses  
language   -­‐ What   is   proscribed   is   undue  
-­‐ High-­‐strung   and   belligerent   interference   by   proppunding  
behavior   has   no   place   in   questions  to  the  witnesses  which  
government   service   where   will  have  the  effect  of  or  will  tend  
government   personnel   must   act   to   build   or   bolster   the   case   for  
with   self-­‐restraint   and   civility   at   one  of  the  parties.  
all  times.    
-­‐ He   should   refrain   from   conduct   Compulsory  disqualification  of  a  judge  
that   demeans   his   office   and   -­‐ Sec   1,   Rule   137   of   the   Rules   of  
remember   that   courtesy   begets   Court:   “No   judge   or   judicial  
courtesy.   officer   shall   sit   in   every   case   in  
-­‐ In   cases   where   a   judge   is   which   he,   or   his   wife   or   child,   is  
required   to   file   his   comment   by   pecuniarily   interested   as   heir,  
the   Supreme   Court,   he   should   legatee,  creditor,  or  otherwise,  or  
not   employ   derogatory   or   in   which   he   is   related   to   either  
disrespect  language  to  emphasize   party   within   the   sixth   degree   of  
a  point.   consanguinity   or   affinity,   or   to  
  counsel   within   the   fourth   degree,  
Questioning  witnesses   computed   according   to   the   rules  
-­‐ A   judge   may   properly   intervene   of  the  civil  law,  or  in  which  he  has  
in   the   presentation   of   evidence   been   executor,   administrator,  
to   expedite   and   prevent   guardian,   trustee,   or   counsel,   or  
unnecessary   waste   of   time   and   in   which   he   has   presided   in   any  
clarify   obscure   and   incomplete   inferior   court   when   his   ruling   or  
details   after   the   witness   has   decision   is   the   subject   of   review,  
given   direct   testimony   or   in   the   without  the  written  consent  of  all  
course  thereof.   the   parties   in   interest,   signed   by  
-­‐ But  the  judge  should  limit  himself   them   and   entered   upon   the  
to   asking   clarificatory   questions   record.”  
and  the  right  should  be  sparingly   -­‐ “A   judge   may,   in   the   exercise   of  
and  judiciously  used,  for  the  rule   his   sound   discretion,   disqualify  
is   that   the   court   should   stay   out   himself  from  sitting  in  a  case,  for  
of  it  as  much  as  possible.   just   or   valid   reasons   other   than  
-­‐ A   judge   may   examine   or   cross-­‐ those  mentioned  above.”  
examine  a  witness.   -­‐ His   continuing   with   the   case,  
without  the  written  consent  of  all  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

the   parties,   has   the   following   -­‐ Bias   and   lack   of   objectivity   as   a  
effects:   ground   for   disqualification   of   a  
o The   judge   is   deprived   of   judge  has  to  be  proved.  
his   authority   to   continue   -­‐ The   mere   filing   of   an  
to   hear   and   decide   the   administrative   case   against   a  
case.   It   does   not,   judge   is   not   a   ground   for  
however,  divest  the  court   disqualifying   him   from   hearing  
of  jurisdiction.   the  case.  
o A   judge   who   continues   to   -­‐ The  fact  alone  that  the  judge  is  a  
hear   a   case   in   which   he   is   next-­‐door   neighbor   of   the  
disqualified   under   any   of   complainant   in   a   case   is   not   a  
those   enumerated   ground   for   his   mandatory   or  
grounds   may   be   held   voluntary   disqualification   to   sit  
administratively   liable   on  the  case.  
therefor,   except   where    
all   the   parties   concerned   Procedure  for  disqualification  
have   given   their   consent   -­‐ Sec  2  of  Rule  137  of  the  Rules  of  
thereto.   Court:   “If   it   be   claimed   that   an  
  official  is  disqualified  from  sitting  
Voluntary  disqualification   as   above   provided,   the   party  
-­‐ In   1962,   the   Supreme   Court   objecting  to  his  competency  may,  
allowed   judges   to   voluntarily   in  writing,  file  with  the  official  his  
inhibit  themselves  to  sit  in  a  case   objection,   stating   the   grounds  
because   of   being   related   to   the   therefor,   and   the   official   shall  
lawyer  of  one  of  the  litigants,  and   thereupon  proceed  with  the  trial,  
stated   that   the   law   on   or   withdraw   therefrom   in  
compulsory   disqualification   does   accordance   with   his  
not   preclude   cases   of   voluntary   determination   of   the   question   of  
inhibition   based   on   good,   sound   his   disqualification.   His   decision  
or  ethical  grounds.   shall   be   forthwith   made   in  
-­‐ A   judge   may   not   be   legally   writing   and   filed   with   the   other  
prohibited   from   itting   in   a   papers  in  the  case,  but  no  appeal  
litigation.  But  when  suggestion  is   or   stay   shall   be   allowed   from,   or  
made  of  record  that  he  might  be   by  means  of,  his  decision  in  favor  
induced   to   act   in   favor   of   one   of  his  own  competency,  until  final  
party   or   with   bias   or   prejudice   judgment  in  tha  case.”  
against   a   litigant   arising   of   -­‐ The   provision   applies   to   both   civil  
circumstances   reasonably   and  criminal  cases.  
capable   of   inciting   such   state   of    
mind,   he   should   conduct   a   Prompt  disposition  of  cases  
careful  self-­‐examination.   -­‐ A  judge  should  organize  his  court  
-­‐ However,   his   decision   to   with   a   view   to   prompt   and  
disqualify   himself   is   not   convenient   dispatch   of   business,  
conclusive,   and   his   competency   be   punctual   in   the   performance  
may   be   determined   on   of   his   duties,   exhibit   an   industry  
application   for   mandamus   to   and   application   commensurate  
compel  him  to  act.   with   the   duties   imposed   upon  
him   and   be   prompt   in   disposing  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

all   matters   submitted   to   him,   -­‐ If   he   feels   that   a   law   or   doctrine  

especially   those   cases   which   the   enunciated  by  the  Supreme  Court  
law   requires   to   be   expeditiously   is  against  his  way  of  reasoning  or  
heard  and  decided.   his   conscience,   he   may   state   his  
-­‐ Read   Art.   VIII,   Sec.   15   of   the   personal   opinion   on   the   matter  
1987  Constitution   but   should   decide   the   case   in  
-­‐ If   for   some   valid   reason   a   judge   accordance   with   the   law   or  
cannot   decide   a   case   within   the   doctrine   and   not   with   his  
period,   he   must   request   the   personal   views.   Once   the  
Supreme   Court   for   an   extension   Supreme   Court   has   spoken,   all  
of  time  to  resolve  it.   other   courts   must   be   guided   by  
-­‐ The   requirement   that   judges   its  decision.  
should   execute   certificates   of   -­‐ A   judge   who   disregards   a  
service   stating   that   they   have   no   temporary   restraining   order   of  
pending   cases   which   have   not   the   Supreme   Court   is   not   only  
been   resolved   after   90   days   is   a   ignorant   of   the   rule   but,   in   a  
pre-­‐requisite   to   paying   them   larger   sense,   commits   abuse   of  
their  salary.   authority,   misconduct   and  
-­‐ A  judge  who  fails  to  decide  cases   conduct  prejudicial  to  the  proper  
within   the   required   period   and   administration  of  justice.  
continues   to   collect   his   salaries   -­‐ A   judge   should   adopt   the   usual  
upon  his  certification  that  he  has   and   traditional   method   of   doing  
no   pending   matter   to   resolve   justice   which   requires   that   he  
beyond   the   required   period,   should   hear   both   sides   with  
transgresses   the   constitutional   patience   and   understanding  
right   of   the   people   to   a   speedy   before  he  renders  a  decision.  
disposition   of   cases.   It   also   -­‐ If  a  judge’s  order  is  challenged  in  
warrants   the   imposition   of   an   appellate   court,   he   does   not  
administrative   sanction   against   have   to   file   any   answer   or   take  
him.   active   part   in   the   proceeding  
-­‐ What   the   Constitution   prohibits   unless  pexpressly  directed  by  the  
are   unreasonable   delays,   appellate   court.   He   is   merely   a  
arbitrary   and   oppressive   delays   nominal  party  to  the  case.  
which  render  rights  nugatory.    
-­‐ The   duty   to   dispose   of   the   court   Dispensation  of  criminal  justice  
business   promptly   and   to   decide   -­‐ The   judge’s   action   must   not  
cases   withing   the   prescribed   impair   the   substantial   rights   of  
periods  should  be  consistent  with   the  State  and  the  offended  party  
a   faithful   compliance   with   the   set   to   due   process   of   law,   to   enable  
of  procedures  laid  down  therefor.   the   guilty   to   escape   unpunished,  
  just   as   he   should   not   close   his  
Adjudication  of  cases   eyes   to   weak   evidence   to   bring  
-­‐ A   judge   should   endeavor   about   the   conviction   of   the  
diligently   to   ascertain   the   facts   innocent.  
and  the  applicable  law  unswayed   -­‐ “It   ia   better   that   ten   guilty  
by  partisan  or  personal  interests,   persons   escape   than   one  
public  opinion  or  fear  of  criticism.   innocent  suffer.”  
 

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Rendition  of  judgment   the  finding  of  facts  or  the  rulings  
-­‐ In   disposing   of   controverted   on   points   of   law   with   which   he  
cases,  a  judge  should  indicate  the   disagrees.   More   than   that,   the  
reasons  for  his  action  in  opinions   requirement   is   an   assurance   to  
showing   that   he   has   not   the   parties   that,   in   reaching  
disregarded   or   overlooked   judgment,   the   judge   did   so  
serious  arguments  of  counsel.   through   the   processes   of   legal  
-­‐ He   should   state   clearly   the   facts   reasoning.  
and   the   law   on   which   the    
judgment  is  based.   Promulgation   -­‐   signifies   that   on   the   date  
-­‐ In   formulating   the   dispositive   the   decision   was   made,     judge/s   who   signed  
portion  of  the  decision,  he  should   the  decision  continued  to  support  it.  
spell   out   clearly,   distinctly   and   -­‐ If   at   the   time   of   the  
unequivocally  the  adjudication  of   promulgation,   a   judge   or   a  
the   rights   and   obligations   of   the   member   of   the   collegiate   court  
parties   and   the   disposition   made   has   already   vacated   his   office,   his  
as   well   as   the   directives   and   vote  is  automatically  withdrawn.  
instructions   given,   leaving   -­‐ If   this   rule   is   not   followed,   the  
absolutely   no   room   for   dispute,   decision  is  not  valid.  
debate,   or   interpretation    
thereof,  because  it  is  this  portion   D. ACTIVITIES  OTHER  THAN  DISCHARGE  
that   is   to   be   executed   once   the   OF  JUDICIAL  FUNCTIONS  
decision  becomes  final.    
  Personal  or  private  relations,  generally  
Judgment   -­‐   the   decision   or   sentence   of   the   -­‐ A   judge   should   not   accept  
law   given   by   a   court   or   othre   tribunal   as   the   inconsistent   duties,   nor   incur  
result   of   proceedings   instituted   therein   and   obligations,   pecuniary   or  
based  on  evidence  presented.   otherwise,   which   will   in   any   way  
-­‐ It   is   a   judicial   act   which   settles   interfere  with  his  devotion  to  the  
the   issues,   fixes   the   rights   and   expeditious   and   proper  
liabilities   of   the   parties,   and   administration   of   his   official  
determines  the  proceedinf,  and  is   functions.  
regarded   as   the   sentence   of   the   -­‐ He  should  avoid  giving  ground  for  
law   pronounced   by   the   court   on   any   reasonable   suspicion   that   he  
the  action  or  question  before  it.   is   utilizing   the   power   or   prestige  
-­‐ A  judgment  or  decision  that  does   of   his   office   to   enhance   his  
not   comply   with   the   personal   self-­‐interest   or   to  
Constitutional   requirements   of   persuade   to   coerce   others   to  
stating   the   facts   and   law   on   patronize  or  contribute,  either  to  
which  it  is  based  may  violate  the   the   success   of   private   business  
right  of  the  affected  party  to  due   ventures,   or   to   charitable  
process   and   to   be   informed   of   enterprises.  
how  the  case  was  decided.   -­‐ He   should   not,   in   any   event,  
-­‐ The   purpose   of   the   requirement   engage   in   provate   business  
is   to   inform   the   party   of   the   without  the  written  permission  of  
reason/s   for   the   decision   so   that   the  Supreme  Court.  
if   any   of   them   appeals,   he   can   -­‐ He   should   not   willfully   refuse   to  
point   out   to   the   appellate   court   pay  his  debt.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Judge  should  not  practice  law   enable   him   to   dispose   of   them  

-­‐ Sec.  35,  Rule  138  of  the  Rules  of   without  serious  loss.  
Court   prohibits   a   judge   from   -­‐ A   judge   violates   the   rules   by  
engaging  in  provate  practice  as  a   posting   advertisements   for   the  
member   of   the   bar   or   giving   restaurant   personnel   on   the  
professional  advice  to  clients.   court   bulletin   board,   using   his  
-­‐ The   prohibitopn   is   based   on   court   address   to   receive  
sound  reasons  of  public  policy.   applications   for   employment   in  
-­‐ The   rights,   duties,   privileges   and   the   family   business,   and  
functions   of   the   office   of   an   screening   applications   in   his  
attorney-­‐at-­‐law   are   so   inherently   court,   as   they   constitute  
incompatible   with   the   high   involvement   of   private   business.  
judicial  functions,  duties,  powers,   This   violation   merits   dismissal   of  
discretions   and   privileges   of   a   the  judge  from  the  service.  
judge.   -­‐ He   violates   the   canon   where   he  
-­‐ A   judge   should   not   permit   a   law   lends   money   at   unconscionable  
firm,  of  which  he  was  formerly  an   interests   and   files   suit   for  
active   member,   to   continue   to   collection   at   the   place   where   he  
carry   his   name   in   the   firm   name   is   a   judge,   to   enable   him   to   take  
because   that   might   create   an   advantage   of   his   position.   Such  
impression   that   the   firm   action  merits  a  reprimand.  
possesses   an   improper   influence    
with   the   judge   and   in   Prohibited  acts  and  transactions  
consequence,   tend   to   impel   -­‐ Sec  7  of  RA  6713  prohibits  public  
those   in   need   of   legal   services   in   officers   from   undertaking   certain  
connection   with   matters   before   business   transactions   or   doing  
him  to  employ  the  law  firm.   certain   acts   which   may  
-­‐ As   a   general   rule,   the   compromise   his   position   as   a  
appointment   or   election   of   an   public   official.   This   provision   also  
attorney   to   a   government   office   applies  to  judges.  
disqualifies  him  from  engaging  in   o Financial   and   material  
the   private   practice   of   law.   The   interest   –   Public   officials  
disqualification   is   intended   to   and   employees   shall   not,  
preserve   the   public   trust   in   a   directly   or   indirectlym  
public   office,   avoid   conflict   of   have   any   financial   or  
interests   and   assure   the   people   material   interest   in   any  
of  impartiality.   transaction   requiring   the  
  approval  of  their  office.  
Personal  investments   o Outside   employment   and  
-­‐ A   judge   should   abstain   from   other   activities   related  
making   personal   investments   in   thereto   –   Public   officials  
enterprises   which   are   apt   to   and   employees   during  
beinvolved   in   litigation   in   his   their   incumbency   shall  
court,   and   after   accession   to   the   not:  
bench,  he  should  not  retain  such   § Own,   control,  
investments   previously   made,   manage   or  
longer  than  a  period  sufficient  to   accept  
employment   as  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

officer,   Restriction   against   accepting   certain  

employee,   employment  
consultant,   -­‐ A   lawyer   shall   not,   after   leaving  
counsel,   broker,   the   government   service,   accept  
agent,   trustee   or   engagement   or   employment   in  
nominee   in   any   connection   with   any   matter   in  
private   which  he  had  intervened  while  in  
enterprise   said  service.  
related,   -­‐ Read   PCGG   v.   Sandiganbayan  
supervised   or   and   Mendoza   G.R.   Nos.   151800-­‐
licensed   by   their   12,  April  12,  2005.  
office   unless    
expressly  allowed   Prohibition  against  soliciting  gifts  
by  law.   -­‐ A   judge   should   not   accept   any  
§ Engage   in   the   presents   or   favors   from   litigants  
private   practice   or  from  lawyers  practicing  before  
of   their     him.  
profession   unless   -­‐ Sec.   7(d)   of   RA   6713:   “Public  
authorized  by  the   officials  and  employuees  shall  not  
Constitution   or   solicit   or   accept,   directly   or  
by   law,   provided   indirectly,   any   gift,   gratuity,  
that   such   favor,   entertainment,   loan   or  
practice   will   not   anything  of  money  value  fron  any  
conflict   or   tend   person   in   the   course   of   their  
to   conflict   with   official   duties   or   in   connection  
their   official   with   any   operation   being  
functions  or;   regulated   by,   or   any   transaction  
§ Recommend   any   which   may   be   affected   by   the  
person   to   any   functions  of  their  office.  
position   in   a   -­‐ The  Congress  consents  to:  
private   o The   acceptance   and  
enterprise   which   retention   by   a   public  
has   a   regular   or   official   or   employee   of   a  
pending   official   gift   of   nominal   calue  
transaction   with   tendered  and  received  as  
their  office.   a   souvenir   or   mark   of  
-­‐ These   prohibitions   shall   continue   courtesy  
to   apply   for   1   year   after   o The   acceptance   by   a  
resignation,   retirement,   or   public   official   or  
separation   from   public   office,   employee   of   a   gift   in   the  
except   in   the   case   of   nature  of  a  scholarship  or  
subparagraph   (b)(2)   above,   but   fellowship   grant   or  
the   professional   concerned   medical  treatment  
cannot   practice   his   profession   in   o The   acceptance   by   a  
connection   with   any   matter   public   official   or  
before   the   office   he   used   to   be   in   employee  of  travel  grants  
which  case  the  1  year  prohibition   or   expenses   for   travel  
shall  likewise  apply.   taking   place   entirely  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

outside   the   Philippines   interfere   with   the   discharge   of  

(such   as   allowances,   his  official  functions.  
transportations,   food   and    
lodging)   of   more   than   Financial  disclosure  and  divestment  
nominal   value   if   such   -­‐ Read  Secs.  8  &  9  of  RA  6713.  
acceptance   is   o Public   officials   have   an  
appropriate  or  consistent   obligation   to   accomplish  
with   the   interest   of   the   and   submit   declarations  
Philippines,   and   under   oath   their   assets,  
permitted  by  the  head  of   liabilities,   net   worth   and  
office,   branch   or   agency   financial   business  
to  which  he  belongs.   interests   including   those  
-­‐ The   rules   does   not   intend   to   of   their   spouses   and   of  
restrict   or   prohibit   any   unmarried  children  under  
educational,   scientific   or   cultural   18   years   of   age   living   in  
exchange   programs   subject   to   their  households.  
national  security  requirements.   -­‐ The   documents   shall   contain  
-­‐ A   judge   violates   the   above   information  on  the  following:  
provision   when   he   accepts   the   o Real   property;   its  
free  use,  for  a  year,  of  a  car,  and   improvements,  
his   availment   for   free   of   battery   acquisition   costs,  
recharging  services  of  the  shop  of   assessed   value   and  
a  litigant  who  has  a  pending  case   current  fair  market  value  
before  him.   o Personal   property   and  
  acquisition  cost  
Restriction   against   using   public   office   to   o All   other   assets   such   as  
promote  private  interest   investments,   cash   on  
-­‐ This   restriction   particularly   hand   or   in   banks,   stocks,  
applies  to  lawyers  in  government   bonds  and  the  like  
service,   who   are   allowed   by   law   o Liabilities  
to   engage   in   private   law   o All  business  interests  and  
practiceand   to   those   who,   financial  connections  
though  prohibited  from  engaging   -­‐ The  documents  must  be  filed:  
in   the   practice   of   law,   like   judges,   o Within   30   days   after  
have   friends,   former   associates   assumption  of  office  
and   relatives,   who   are   in   the   o On   or   before   April   30   of  
active  practice  of  law.   every  year  thereafter  
-­‐ Since   the   law   does   not   allow   a   o Within   30   days   after  
judge   to   practice   his   profession,   separation  from  service.  
he  should  not  do  so  indirectly  by   o They   shall   also   execute,  
being   a   silent   partner   in   a   law   within   30   days   from   the  
firm   or   by   securing   a   legal   date   of   their   assumption  
business   for   a   friend   or   former   of   office,   the   necessary  
associate  in  the  active  practice  of   authority   in   favor   of   the  
law   and   receiving   a   share   in   the   Ombudsman   to   obtain  
attorney’s  fees  for  his  efforts.   from   all   the   appropriate  
-­‐ A  public  official  shall  see  to  it  that   government   agencies,  
his   private   activity   does   not   including   the   BIR,   such  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

documents   as   may   show   o All   other   public   officials  

theirs   assets,   liabilities,   and   employees,   defined  
net   worth,   and   also   their   in  RA  3019,  with  the  Civil  
business   interests   and   Service  Commission.  
financial   connections   in   -­‐ It   shall   be   unlawful   for   any  
previous  years,  including,   person   to   obtain   or   use   any  
if  possible,  the  year  when   statement  for:  
they   first   assumed   any   o Any   purpose   contrary   to  
office  in  the  Government.   morals  or  public  policy  
-­‐ Husband   and   wife   who   are   both   o Any   commercial   purpose  
public  officials  or  employees  may   other   than   by   news   and  
file   the   required   statements   communication   media  
jointly  or  separately.   for   dissemination   to   the  
-­‐ SALN   and   Disclosure   of   Business   general  public.  
Interests   and   Financial   -­‐ A  public  official  or  employee  shall  
Connections  shall  be  filed  by:   avoid   conflict   of   interest   at   all  
o Constitutional   and   times.  When  a  conflict  of  interest  
national   elective   officials   arises,   he   shall   resign   from   his  
with   the   national   office   position   in   any   private   business  
of  the  Ombudsman   enterprise   within   30   days   from  
o Senators   and   his   assumption   of   office   and/or  
Congressmen,   with   the   divest   himself   of   his  
Secretaries   of   the   Senate   shareholdings   or   interest   within  
and   the   House   of   60  days  from  such  assumption.  
Representatives,   -­‐ The   same   rule   shall   apply   where  
respectively;   Justices,   the   public   official   or   employee   is  
with   the   Clerk   of   Court   of   a  partner  in  a  partnership.  
the   Supreme   Court;   -­‐ The   requirement   of   divestment  
Judges   with   the   Court   shall   not   apply   to   those   who  
Administrator;   and   all   serve   the   Government   in   an  
national   executive   honorary   capacity   nor   to   laborers  
officials  with  the  Office  of   and  casual  temporary  workers.  
the  President    
o Regional   and   local   Extra-­‐judicial  appointments  
officials   and   employees,   -­‐ A   judge   shall   not   accept  
with   the   Deputy   appointment  or  designation  to  an  
Ombudsman   in   their   agency   performing   quasi-­‐judicial  
respective  regions   or   administrative   functions.   (Art  
o Officers   of   the   armed   VIII,  Sec  12  of  the  Constitution)  
forces   from   the   rank   of   -­‐ Quasi-­‐judicial   –   term   applied   to  
colonel   or   naval   captain,   the   actions   or   discretions   of  
with   the   Office   of   the   public   administrative   officers   or  
President,   and   those   bodies   required   to   investigate  
below   said   ranks,   with   facts,   or   ascertain   the   existence  
the   Deputy   Ombudsman   of   facts,   hold   hearings,   and   draw  
in   their   respective   conclusions   from   them,   as   a   basis  
regions   for   their   official   action,   and   to  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

exercise   discretion   of   a   judicial   liable   for   commission   of   an  

nature.   election  offense.  
-­‐ Quasi-­‐judicial   body   -­‐     organ   of   -­‐ The   1987   Administrative   Code  
government   other   than   a   court   exempts   from   the   prohibition   a  
and   other   than   a   legislature   public   officer   or   employee   “from  
which   exercises   adjudicative   expressing   his   views   on   current  
power   affecting   the   rights   of   political   problems   or   issues   or  
private  persons.   from   mentioning   the   names   of  
-­‐ A   judge’s   acceptance   of   the   candidates   for   public   office  
position  will  operate  to  vacate  his   whom   he   supports.”   However,  
position  as  a  judge.   solicitation   of   votes,   such   as  
-­‐ Administrative   functions-­‐   those   distributing   handbills   for   a  
which   involve   the   regulation   and   particular   candidate,   is  
control   over   the   conduct   and   electioneering   proscribed   by   the  
affairs  of  individuals  for  their  own   Omnibus  Election  Code.  
welfare   and   the   promulgation   of   -­‐ Election   campaign   or   partisan  
rules   and   regulations   to   better   political   activity   –   an   act  
carry   out   the   policy   of   the   designed   to   promote   the   election  
legislature   or   such   as   are   or   defeat   of   a   particular  
developed   upon   the   candidate   or   candidates   to   a  
administrative   agency   by   the   public  office.  
organic  law  of  its  creation.   -­‐ Candidate   –   any   person   aspiring  
  for   or   seeking   an   elective   public  
Prohibition   against   partisan   political   office,   who   has   filed   a   certificate  
activities   of   candidacy   by   himself   or  
-­‐ The   1987   Constitution   provides   through   an   accredited   political  
that   “no   officer   or   employee   in   party,   aggroupment,   or   coalition  
the   civil   service   shall   engage,   of  parties.  
directly   or   indirectly,   in   any   -­‐ Political   offices   –   those   offices  
electioneering   or   partisan   which   are   not   connected  
political  activity.”   immediately   with   the  
-­‐ “Any   officer   or   employee   in   the   administration   of   justice,   or   the  
civil  service,  except  those  holding   execution   of   mandates   of   a  
political   officers,   any   officer,   superior   officer   –   as   the  
employee,   or   member   of   the   President   or   secretaties   or   heads  
Armed   Forces   of   the   Philippines,   of   departments   in   the   executive  
or   any   police   officer,   special   department.   They   also   include  
forces,   home   defense   forces,   national,   provincial,   city   and  
barangay   self-­‐defense   units   and   municipal  elective  positions.  
all   other   para-­‐military   units   that    
now  exist  or  which  may  hereafter   Municipal  Judge  acting  as  notary  public  
be   organized   who,   directly   or   -­‐ Municipal   judges   may   not   engage  
indirectly,   intervenes,   in   any   in   notarial   work   except   as  
election   campaign   or   engages   in   notaries  public  ex-­‐officio.  
any   political   activity,   except   to   -­‐ While   the   Judiciary   Act   as  
vote   or   to   preserve   public   order,   amended   by   RA   6031   permitted  
if   he   is   a   peace   officer”   shall   be   them   to   pursue   any   other  
occupation   or   calling   after   office  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

hours,   such   authorization   -­‐ This  judicial  immunity  rests  upon  

excluded  engaging  in  the  work  of   considerations  of  public  policy,  its  
a  regular  notary  public.   purpose   being   to   free   the   judge  
-­‐ As  notaries  public  ex-­‐officio,  they   from   apprehension   of   personal  
may   engage   only   in   the   consequences   to   himself   and   to  
notarization   of   documents   preserve   the   integrity   and  
connected   with   the   exercise   of   independence  of  the  judiciary.  
their  official  functions.   -­‐ The   remedy   of   the   aggrieved  
-­‐ In   far-­‐flung   municipalities   which   party   is   to   elevate   the   error   to  
have   neither   lawyers   or   notaries   the   higher   court   for   review   and  
public,  municipal  judges  assigned   correction.  
to   those   municipalities   or   cicuits   -­‐ A   judge   may   be   held   criminally,  
may,  in  their  capacity  as  notaries   civilly   or   administratively   liable  
public  ex-­‐officio,  perform  any  act   for   malfeasance   or   misfeasance  
within   the   competence   of   a   in  office.  
regular   notary   public   provided    
that:   B. CIVIL  LIABILITY  
o All   notarial   fees   charged    
be  for  the  account  of  the   When  civilly  liable,  generally  
Government   and   turned   -­‐ A  judge  is  not  personally  liable  to  
over   to   the   municipal   one  injured  in  consequence  of  an  
treasurer   act   performed   withtin   the   scope  
o A  certification  be  made  in   of   his   official   authority,   and   in  
the   notarized   documents   line  of  his  official  duty.  
attesting   to   the   lack   of   -­‐ He   is   not   liable   for   damages   for  
any   lawyer   or   notary   wht   he   does   in   th   exercise   of   his  
public   in   such   judicial  functions.  
municipality  or  circuit   -­‐ His   acts   are   protected   by   the  
  presumption  of  good  faith.  
CHAPTER  XIX   -­‐ He  is  presumed  to  have  regularly  
performed  his  duties.  
LIABILITIES  OF  JUDGES   -­‐ It   is   upon   him   who   alleges   the  
 
contrary   that   the   burden   of   proof  
A. IN  GENERAL  
lies  
 
 
Judges  are  not  liable,  generally  
Statutory  basis  of  civil  liability  
-­‐ The  general  rule  is  that  a  judge  is  
-­‐ The   statutory   bases   of   civil  
not   liable   administratively,   civilly  
liability  are  the  following:  
or  criminally  when  he  acts  within  
o Administrative   Code   od  
his  legal  powers  and  jurisdiction.  
1987:   He   may   be   held  
-­‐ He   may   not   be   held   liable   for  
liable   only   where   it   is  
every   erroneous   order   or  
shown   that   he   acted  
decision  he  renders.  
willfully   and   maliciously  
-­‐ He  may  only  be  held  accountable  
and   with   the   express  
where  his  error  is  gross  or  patent,  
purpose  of  inflictin  injury  
deliberate   and   malicious,   or   is  
upon  the  plaintiff.  
incurred  with  evident  bad  faith.  
o Art   27,   Civil   Code:   Any  
person   suffering   material  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

or   moral   loss   because   a   Immunity   of   state   from   suit,   as   defense   of  

public   servant   or   public  official  
employee   refuses   or   -­‐ The  state  cannot  be  sued  without  
neglects,   without   just   its  consent.  
cause   to   perform   his   -­‐ The  principle  is  based  on  the  very  
official   duty   may   file   an   essence   of   sovereignty,   and   on  
action   for   damages   and   the   practical   ground   that   there  
other   relief   against   the   can   be   no   legal   right   as   against  
latter,   without   prejudice   the  authority  that  makes  the  law  
to   any   disciplinary   on  which  the  right  depends.  
administrative   action   -­‐ A   public   officer   who   is   sued   in  
that  may  be  taken.   connection   with   the   performance  
o Art   32,   Civil   Code:   A   of   his   duties   may   properly   invike  
public   officer   is   civilly   the   doctrine,   when   the   suit   is   on  
liable   for   damages   for   its   face   against   a   government  
directly   or   indirectly   officer   but   the   case   is   such   that  
obstructing,   defeating,   ultimate   liability   will   belong   not  
violating   or   in   any   to   the   officer   but   to   the  
manner   impeding   or   government.  
impairing   civil   liberties   -­‐ The   doctrine   of   state   immunity  
guaranteed   by   the   does   not   apply   where   the   officer  
Constitution.   has  exceeded  his  authority.  
   
Liability  arising  from  bad  faith   Liability  for  unexplained  wealth  
-­‐ Acts  done  in  bad  faith  are  outside   -­‐ Under   RA   1379,   whenever   any  
the  judge’s  scope  of  authority.   public   officer   or   employee   has  
-­‐ If   he   exceeds   the   power   acquired   during   his   incumbency  
conferred   on   him   by   law,   he   an   amount   of   property   which   is  
cannot   shelter   himself   by   the   manifestly   out   of   proportion   to  
plea   that   he   is   a   public   agent   his   salary   and   to   his   other   lawful  
acting   under   color   of   his   office,   income,   said   property   shall   be  
and  not  personally.   presumed   prima   facie   to   have  
-­‐ Bad   faith   –   imputes   a   dishonest   been   unlawfully   acquired,   and  
purpose   or   some   moral   obliquity   the  Solicitor  General  shall  file  the  
and   conscious   doing   of   a   wrong,   petition   and   prosecute   the   case  
a   breach   of   sworn   duty   through   (civil  action  in  rem).  
some   motive   or   intent   or   ill-­‐will;   -­‐ RA   3019   takes   into   account   in  
partakes   the   nature   of   fraud.   determining   whether   there   is  
Evident   bad   faith   connotes   a   unxplained  wealth  the  properties  
manifest   deliberate   intent   to   do   in   the   name   of   the   spouse   and  
wrong  or  cause  damage.   dependents,   including   bank  
-­‐ There   must   be   an   allegation   in   deposits,   the   acquisition   of   which  
the   complaint   and   proof   that   cannot   be   explained  
such   official   has   maliciously   and   satisfactorily;  as  well  as  excessive  
in   bad   faith   acted   outside   the   expenditures   or   ostentatious  
scope  of  his  official  authority.   display   of   wealth,   including  
  frequent  travels  abroad.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐  Where  a  public  officer  is  sued  for   o The   judge   rendered   it  
unexplianed   wealth,   his   bank   with   conscious   and  
deposits   as   well   as   those   bank   deliberate  intent  to  do  an  
deposits   held   by   other   persons   injustice.  
for  him  may  be  inquired  into  and   -­‐ Good  faith  is  a  deense.  
subpoenaed   from   the   banks,   a   -­‐ There   must   first   be   a   final   and  
exception   to   the   bank   secrecy   authoritative   judicial   declaration  
rule.   that   the   decision   or   order   is  
  indeed  unjust.  
C. CRIMINAL   LIABILITIES   UNDER   THE    
REVISED  PENAL  CODE   Judgment  rendered  through  negligence  
  -­‐ Any   judge   who,   by   reason   of  
Criminal  liability,  generally   inexcusable   negligence   or  
-­‐ For   the   purpose   of   applying   the   ignorance,   shall   render   a  
provisions   of   the   Revised   Penal   manifestly   unjust   judgment   in  
Code,   the   term   public   officer   is   any   case   submitted   to   him   for  
any   person   who,   by   direct   decision   shall   be   punished   by  
provisions   of   the   law,   popular   arresto   mayor   and   temporary  
election   or   appointment   by   special  disqualification.  
competent   authority,   shall   take   -­‐ To  hold  a  judge  liable,  it  must  be  
part  in  the  performance  of  public   shown   that   although   he   has  
functions   in   the   Government   or   acted  without  malice,  he  failed  to  
shall   perform   in   said   Government   observe  in  the  performance  of  his  
or   in   any   of   its   branches   public   duty,   that   diligence,   prudence  
duties   as   an   employee,   agent   or   and  care  which  the  law  is  entitled  
subordinate   official,   of   any   rank   to   exact   in   the   rendering   of   any  
or  class.   public  service.  
   
Knowingly  rendering  unjust  judgment   Unjust  interlocutory  order  
-­‐ Any   judge   who   shall   knowingly   -­‐ A   judge   who   shall   knowingly  
render  an  unjust  judgment  in  any   render   an   unjust   interlocutory  
case   submitted   to   him   for   order   or   decree   shall   suffer   a  
decision,   shall   be   punished   by   penalty   of   arresto   mayor   in   its  
prision   mayor   and   perpetual   and   minimum  period  and  suspension;  
absolute  disqualification.   but   if   he   shall   have   acted   by  
-­‐ Judge   –   term   employed   to   reason   of   inexcusable   negligence  
designate   a   public   officer   or   ignorance   and   the  
selected   to   preside   and   to   interlocutory   order   or   decree   be  
administer   the   law   in   a   court   of   manifestly   unjust,   the   penalty  
justice.   shal  be  suspension.  
-­‐ To   hold   a   judge   criminally   liable   -­‐ Art.   206   of   the   Revised   Penal  
for   rendering   an   unjust   Code  
judgment,   it   must   be   shown   -­‐ Interlocutory   order   –   order   that  
beyond  a  reasonable  doubt  that:   is   provisional   and   leaves  
o The   judgment   is   unjust   or   substantial   proceeding   to   be   had  
one   which   is   contrary   to   in  connection  with  its  subject.  
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   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

Malicious   delay   in   the   administration   of   make   the   officer   refrain   from  

justice   doing  something  which  it  was  his  
-­‐ The   penalty   of   prision   official  duty  to  do,  he  shall  suffer  
correccional   in   its   minimum   the   penalties   of   prision  
period  shall  be  imposed  upon  any   correccional   in   its   maximum  
judge   guilty   of   malicious   delay   in   period   to   prision   mayor   in   its  
the  administration  of  justice.   minimum  period  and  a  fine  of  not  
-­‐ The  elements  are:   less  that  three  times  the  value  of  
o There   is   unreasonable   such  gift.  
delay  in  the  disposition  of   -­‐ The   culprit   shall   also   suffer   the  
the   case   far   beyond   the   penalty   of   special   temporary  
period  mandated  by  law   disqualification.  
o The   judge   was   actuated   -­‐ The   elements   of   direct   bribery  
with   malice   or   with   are:  
deliberate   intent   to   o Accused  is  a  public  officer  
prejudice   a   party   in   the   o He   received   directly   or  
case.   through   another   some  
  gift  or  promise  
Direct  bribery   o That  such  gift  or  promise  
-­‐ Any  public  officer  who  shall  agree   has   been   given   in  
to   perform   an   act   constituting   a   consideration   of   his  
crime,   in   connection   with   the   commission   of   some  
performance   of   his   official   duties,   crime,   or   any   act   not  
in   consideration   of   any   offer,   constituting   a   crime,   or  
promise,   gift   or   present   received   to   refrain   from   doing  
by   such   officer,   personally   or   something   which   it   is   his  
through   the   mediation   of   official  duty  to  do  
another,  shall  suffer  the  penaltyu   o That   the   crime   or   act  
of   prision   mayor   in   its   medium   relates   to   the   exercise   of  
and   minimum   periods   and   a   fine   his   functions   as   a   public  
of   not   less   that   three   times   the   officer  
value   of   the   gift,   in   addition   to   -­‐ The  promise  of  a  public  officer  to  
the  penalty  corresponding  to  the   perform   an   act   or   refrain   from  
crime.   doing   it   may   be   express   or  
-­‐ If   the   gift   was   accepted   by   the   implied.  
officer   in   consideration   of   the   -­‐ A   mere   affidavit   that   bribed  
execution   of   an   act   which   does   money   was   demanded   by   a   judge  
not   constitute   a   crime,   and   the   in   exchange   for   dismissal   of   a  
officer   executed   the   said   act,   he   criminal  charge  is  not  sufficient.  
shall   sufer   the   same   penalty   and    
if   said   act   shall   not   have   been   Indirect  bribery  
accomplished,   the   officer   shall   -­‐ penalized   by   prision   correccional  
suffer   the   penalties   of   prision   in   its   medium   and   maximum  
correccional  in  its  medium  period   periods,   suspension   and   public  
and   a   fine   of   not   less   than   twice   censure.  
the  value  of  the  gift.   -­‐ The  elements  if  the  crime  are:  
-­‐ If   the   object   for   which   the   gift   o That   the   accused   is   a  
was  received  or  promised  was  to   public  officer  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o He  accepts  a  gift   -­‐ 3   ways   of   committing   the   crime:  

o The   gift   is   given   to   him,   removal,   destruction   and  
or   he   accepts   it,   by   concealment.  
reason  of  his  office    
-­‐ Acceptance  of  a  gift  given  him  in   Open  disobedience  
appreciation   of   his   services   a   -­‐ A   judicial   officer   who   shall   openly  
public   officer   or   as   a   reward   for   refuse   to   execute   the   judgment  
his   work   may   constitute   indirect   or   decision   or   order   of   any  
bribery.   superior   authority   made   within  
  the   scope   of   jurisdiction   of   the  
Infidelity  in  the  custody  of  documents   latter  and  issued  with  all  the  legal  
-­‐ Art   226   of   the   Revised   Penal   formalities,   shall   suffer   the  
Code   penalties   of   arresto   mayor   in   its  
-­‐ Prision   mayor   and   a   fine   not   medium   period   to   prision  
exceeding   P1,000   whenever   correccional   in   its   minimum  
serious   damage   shall   have   been   period,   temporary   special  
caused   to   a   third   party   or   to   the   disqualification   in   its   maximum  
public  interest   period   and   a   fine   not   exceeding  
-­‐ Prision   correccional   in   its   P1,000.  
minimum   and   medium   periods    
and   a   fine   not   exceeding   P1,000   Prolonging   performance   of   duties   and  
whenever   the   damage   caused   to   powers  
a   third   party   or   the   public   -­‐ Any   public   officer   who   shall  
interest   shall   not   have   been   continue   to   exercise   the   duties  
serious   and   powers   of   his   office,  
-­‐ In   either   case,   the   additional   employment   or   commission,  
penalty   of   temporary   special   beyond   the   period   provided   by  
disqualification   in   its   maximum   law,   regulations   or   special  
period   to   perpetual   special   provisions  applicable  to  the  case,  
disqualification  shall  be  imposed.   shall   suffer   the   penalties   of  
-­‐ The  elements  are:   prision   correccional   in   its  
o The   offender   be   a   public   minimum   period,   special  
officer   temporary   disqualification   in   its  
o That   there   be   a   minimum   period   and   a   fine   not  
document   abstracted,   exceeding  P500.  
destroyed,  or  concealed    
o That   the   document   Abandonment  of  office  or  position  
destroyed   or   abstracted   -­‐ Any   public   officer   who,   before  
be   entrusted   to   such   the  acceptance  of  his  resignation,  
public   officer   by   reason   shall   abandon   his   office   to   the  
of  his  office   detriment   of   public   service   shall  
o That  damage  or  prejudice   suffer   the   penalty   of   arresto  
to   the   public   interest   or   mayor  
to   that   of   a   third   person   -­‐ If   such   office   have   been  
be   caused   by   the   abandoned  in  order  to  evade  the  
removal,   destruction   or   discharge   of   the   duties   of  
concealment   of   the   preventing,   prosecuting,   or  
document.   punishing   any   of   the   crimes  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

falling   within   Title   One,   and   -­‐ The   penalties   of   prision  

Chapter  One  of  Title  III  of  Book  2   correccional   in   its   medium   and  
of   the   RPC,   the   offender   shall   be   maximum  periods  and  temporary  
punished   in   its   minimum   and   special   disqualification   shall   be  
medium   periods,   and   by   arresto   imposed   against   any   public  
mayor   if   the   purpose   of   such   officer   who   shall   solicit   or   make  
abandonment   is   to   evade   the   immoral  or  indecent  advances  to  
duty   of   preventing,   prosecuting,   a   woman   interested   in   matters  
or  punishing  any  other  crime.   pending   before   such   officer   for  
  decision,  or  with  respect  to  which  
Usurpation  og  legislative  powers   he  is  required  to  submit  a  report  
-­‐ The   penalties   of   prision   to   or   consult   with   a   superior  
correccional   in   its   minimum   officer.  
period,   temporary   special    
disqualification   and   a   fine   not   Falsification   by   public   officer,   employee,   or  
exceeding   P1,000   shall   be   notary  or  ecclesiastical  minister  
imposed   upon   any   public   officer   -­‐ Penalty   or   prision   mayor   and   a  
who   shall   encroach   upon   the   fine  not  to  exceed  P5,000  shall  be  
powers   of   the   legislative   branch   imposed   upon   any   public   officer  
of   the   Government,   either   by   who,   taking   advantage   of   his  
making   general   rules   and   official   position,   shall   falsify   a  
regulations   beyond   the   scope   of   document   by   committing   any   of  
his  authority  or  by  attempting  to   the  following  acts:  
repeal   a   law   or   suspending   the   o Counterfeiting   or  
execution  thereof.   imitating   any  
  handwriting,  signature  or  
Usurpation  of  executive  fucntions   rubric  
-­‐ Abt   judge   who   shall   assume   any   o Causing   it   to   appear   that  
power   pertaining   to   the   persons   have  
executive   authorities   or   shall   participated  in  any  act  or  
obstruct   the   latter   in   the   lawful   proceeding   when   they  
exercise   of   their   powers,   shall   did   not   in   fact   so  
suffer   the   penalty   of   arresto   participate  
mayor   in   its   medium   period   to   o Attributing   to   persons  
prision   correccional   in   its   who   have   participated   in  
minimum  period.   any   act   or   proceeding  
  statement   other   than  
Disobeying  request  for  disqualification   thise   in   fact   made   by  
-­‐ Any   public   officer   who,   before   them  
the   questuin   of   jurisdiction   is   o Making   untruthful  
decided,   shall   continue   any   statements   in   narration  
proceeding   after   having   been   of  facts  
lawfully   required   to   refrain   from   o Altering  true  dates  
so   doing,   shall   be   punished   by   o Making   any   alteration   or  
arresto   mayor   and   a   fine   not   intercalation  in  a  genuine  
exceeding  P500.   document  which  changes  
  its  meaning  
Abuses  against  chastity  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o Issuing   in   an   -­‐ Any   public   officer   who,   by  

authenticated   form   a   himself   or   in   connivance   with  
document   purporting   to   members   of   his   family,   relatives  
be   a   copy   of   an   original   by   affinity   or   consangunity,  
document   when   no   such   business  associates,  subordinates  
original   exists,   or   or   other   person,   amasses,  
including   in   such   copy   a   accumulates   or   acquires   ill-­‐
statement  contrary  to,  or   gotten   wealth   through   a  
different   from,   that   of   combination  or  series  of  overt  or  
the  genuine  original   criminal   acts   in   the   aggregate  
o Intercalating   any   amount  or  total  value  of  at  least  
instrument   or   note   P75M   shall   be   guilty   and  
relative   to   the   issuance   punished  with  life  imprisonment  
thereof   in   a   protocol,   with   perpetual   absolute  
registry  or  official  book.   disqualification  from  holding  any  
-­‐ The   principal   thing   punished   is   public  office.    
the   violation   of   public   faith   and   -­‐ The   amassed   properties   shall   be  
the   destruction   of   truth   as   forfeited  in  favor  of  the  State  
therein  solemnly  proclaimed.   -­‐ Ill-­‐gotten   wealth   –   any   asset,  
-­‐ The  elements  of  falsification  by  a   property,   business   enterprise   or  
public  officer  are:   material   possession   of   any  
o The   act   was   committed   person   acquired   by   himself  
by  the  public  officer  with   directly   or   indirectly   through  
grave   abuse   of   his   office,   dummies,   nominees,   agents,  
that   is,   in   deeds   subordinates   and/or   business  
instruments,   indentures,   associates   through   various  
certificates,   etc.   in   the   schemes  
execution   of   which   he    
participates   by   reason   of   Violation   of   the   Code   of   Conduct   for   Public  
his  office   Officials  
o Malicious  intent  to  injure   -­‐ punishes   any   public   official   or  
a  third  person  and  in  the   employee,   regardless   of   type   of  
case   of   untruthful   employment,   who   violates   the  
statements  in  a  narration   provisions  of  the  Code  with  a  fine  
of   facts,   there   is   legal   not   exceeding   the   equivalent   of  6  
obligation   to   disclose   the   months   salary   or   a   suspension  
truth.   not  exceeding  1  year,  or  removal  
  depending   on   the   gravity   of   the  
D. CRIMINAL   LIABILITY   UNDER   THE   offense  
ANTI-­‐GRAFT  ACT   -­‐ If  the  violation  is  punishable  by  a  
  heavier  penalty  under  the  law,  he  
-­‐ See  RA  3019   shall   be   prosecuted   under   the  
  latter  state.  
E. OTHER  CRIMES  OF  PUBLIC  OFFICERS   -­‐ Violations   of   the   provisions   on  
  prohibited   acts   and   transactions,  
Crime  of  plunder   on  statements  and  disclosures,  or  
-­‐ RA  7080   divestment   shall   be   punishable  
with   imprisonment   not  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

exceeding   5   years   or   a   fine   not   the   person   arrested   or   by  

exceeding  P5,000  or  both.   another  acting  in  his  behalf,  or  by  
  a   national   or   international   non-­‐
Violation  of  PD  46   governmental   organization   duly  
-­‐ punishes   any   public   official   or   accredited   by   the   Office   of   the  
employee,   whether   of   the   President,   shall   be   punished   by  
national   of   local   governments,   prision  correccional.  
who   receives,   directly   or    
indirectly,  and  for  private  persons   Election  offenses  
who   gives,   or   offers   to   give,   any   -­‐ The   following   public   officers   and  
gift,   present,   or   other   valuable   employees   shall   be   guilty   of   the  
thing   on   any   occasion,   including   following  election  offense:  
Christmas,   when   such   gift,   o Coercion  of  subordinates  
present,  or  other  valuable  thing  is   o Appointmrnt   of   new  
given   by   reason   of   his   official   employees   –   45   days  
position.   beofre   a   regular   election  
-­‐ PD   749   grants   immunity   from   and   30   days   before   a  
prosecution   to   givers   of   brides   special   election;   includes  
and   other   gifts   and   to   their   increase   in   salary   or  
accomplices   in   bribery   and   other   remuneration  or  privilege  
graft  cases  against  public  officers,   o Transfer   of   officers   and  
under   the   conditions   therein   employees   in   the   civil  
provided.   service  
  o Intervention   of   public  
Transfer  of  unlawfully  acquired  property   officers   and   employees   –  
-­‐ Any   public   officer   who   shall   except   those   holding  
transfer  or  convey  any  unlawfully   political  offices  
acquired   property   shall   be    
repressed   with   imprisonment   for   F. ADMINISTRATIVE  LIABILITY  
a  term  not  exceeding  5  years  or  a    
fine   not   exceeding   P10,000   or   Generally  
both.   The   same   repression   shall   -­‐ Sec   2,   Art   XI   of   the   1987  
be   imposed   upon   any   person   Constitution   provides   that  
who   shall   knowingly   accept   such   Justices   of   the   SC   may   be  
transfer  or  conveyance.   removed   from   office,   on  
  impeachment.  
Violation  of  right  to  counsel   -­‐ All  other  Justices  and  judges  from  
-­‐ Any   public   officer   or   employee   or   the  CA  to  the  lowest  level  may  be  
anyone  acting  under  his  orders  or   removed   from   office   as   provided  
in   his   place,   who   shall   obstruct,   by  law,  but  not  by  impeachment.  
prohibit,  or  otherwise  prevent  an    
attorney   entitled   to   practice   in   Authority  to  discipline  
the  courts  of  the  Philippines  from   -­‐ SC  has  administrative  supervision  
visiting   and   conferring   privately   over   all   courts   and   personnel  
with  a  person  arrested,  or  at  any   thereof.  
hour   of   the   day,   or   in   urgent   -­‐ SC   can   oversee   compliance   with  
cases,   of   the   night,   said   visit   and   the   law   and   the   Rules   of   Court  
conference   being   requested   by   and   take   proper   administrative  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

action   against   Justices   and   judges   o Bribery,  direct  of  indirect  

if   they   commit   any   violation   o Dishonesty   and   violations  
thereof.   of  Anti-­‐Graft  and  Corrupt  
-­‐ The   Ombudsman   has   no   power   Practices  Law  (RA  3019)  
to   entertain   and   investigate   o Gross   misconduct  
administrative   complaints   against   constituting   violations   of  
judges  and  court  personnel.   the   Code   of   Judicial  
  Conduct  
Administrative  charges,  generally   o Knowingly   rendering   an  
-­‐ Malfeasance   –   performance   of   unjust  judgment  or  order  
some   act   which   ought   not   to   be   as   determined   by   a  
done   competent   court   in   an  
-­‐ Misfeasance   –   improper   appropriate  proceeding  
performance   of   some   act   which   o Conviction   of   a   crime  
might  lawfully  be  done.   involving  moral  turpitude  
-­‐ Nonfeasance  –  omission  of  an  act   o Willful   failure   to   pay   a  
which  ought  to  be  performed   just  debt  
-­‐ There  are  two  general  categories   o Borrowing   money   or  
of  the  grounds    for  suspension  or   property   from   lawyers  
dismissal:   and   litigants   in   a   case  
o Those   related   to   the   pending  before  the  court  
discharge   of   functions   of   o Immorality  
the   office   concerned   –   o Gross   ignorance   of   the  
may   be   the   object   of   law  or  procedure  
administrative   action   o Partisan  political  activies  
even   if   it   does   not   o Alcoholism   and/or  
amount   to   a   crime.   If   it   vicious  habits  
amounts   to   a   crime,   -­‐ Less   serious   charges   –   fine   not  
conviction   by   final   exceeding   P20K   to   suspension  
judgment   is   not   from   service   of   not   more   than   3  
necessary   months  
o Not   related   to,   or   o Undue  delay  in  rendering  
connected   with,   the   a   decision   or   order,   or   in  
functions   of   the   office   –   transmitting   the   records  
act   or   omission   should   of  a  case  
amount   to   a   crime   and   o Frequent   and   unjustified  
conviction   by   final   absences   without   leave  
judgment   of   the   crime   of  habitual  tardiness  
involving  moral  turpitude   o Unauthorized   practice   of  
or  disqualification  to  hold   law  
office,   to   be   subject   to   o Violation   of   the   Supreme  
disciplinary  action.   Court   rules,   directive,  
  and  circulars  
Classifications   of   charges   in   serious,   less   o Receiving   additional   or  
serious  and  light  charges   double   compensation  
-­‐ Serious  charges  –  from  a  fine  not   unless   specifically  
exceeding  P40K  to  dismissal  from   authorized  by  law  
service  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

o Untruthful   statements   in   the   Sandiganbayan   may   be  

the  certificate  of  service   instituted  motu  proprio  by  the  SC  
o Simple   misconduct   or   or   upon   a   verified   complaint  
inefficiency   supported   by   affidavits   of  
-­‐ Light   charges   –   from   admonition   persons   who   have   personal  
with   a   warning   to   a   fine   not   knowledge   of   the   facts   alleged  
exceeding  P10K   therein   or   by   documents   which  
-­‐ Repeated   violation   may   render   a   may  substantiate  said  allegations,  
judge   liable   for   less   serious   or   or   upon   anonymous   complaint,  
even  serious  charges   supported   by   public   records   of  
o Vulgar   and   unbecoming   indubitable  integrity.  
conduct   -­‐ The   complaint   shall   be   in   writing  
o Gambling  in  public   and   shall   state   clearly   and  
o Fraternizing   with   lawyers   concisely   the   acts   and   omissions  
and   litigants   with   constituting   violations   of  
pending  cases  in  his  court   standards   of   conduct   precribed  
o Undue   delay   in   the   for   judges   by   law,   the   Rules   of  
submission   of   month   Court,   or   the   Code   of   Judicial  
reports   Conduct.  
-­‐ The   list   is   not   exclusive.   Other   -­‐ The   SC   does   not,   as   a   rule,  
analogous   acts   may   be   grounds   entertain   anonymous   complaints  
for  discipline.   against   judges   except   in   cases   in  
  which   the   charges   could   be   fully  
Resort  to  judicial  remedies  required,  in  some   borne   by   public   records   of  
administrative  cases   indubitable  integrity.  
-­‐ It   is   only   after   the   available   -­‐ Administrative   complaints   for  
judicial   remedies   against   the   disbarment   and   discipline   must  
rulings   or   acts   performed   in   the   be   filed   with   the   SC,   and   if   filed  
exercise   of   their   judicial   power   with   the   IBP,   the   latter   has   no  
have   been   exhausted   and   the   jurisdiction   to   act   on   such  
appellate   tribunals   have   spoken   complaint,  except  to  forward  the  
with   finality,   that   the   door   to   an   same   to   the   SC   for   appropriate  
inquiry  into  their  criminal,  civil  or   action.  
adminstrative   liability   may   be    
said  to  have  opened  or  closed.   Action  on  the  complaint  
-­‐ An   administrative   complaint   is   -­‐ If   the   complaint   is   sufficient   in  
not   the   appropriate   remedy   for   form   and   substance,   a   copy  
every   act   of   a   judge   deemed   thereof   shall   be   served   upon   the  
aberrant   or   irregular   where   a   respondent,   and   he   shall   be  
judicial   remedy   exists   and   is   required   to   comment   within   10  
available.   days   from   the   date   of   service.  
  Otherwise,   the   same   shall   be  
G. ADMINISTRATIVE  PROCEDURE   dismissed.  
  -­‐ If   the   charges   do   not   merit   action  
How  proceedings  are  instituted   or   of   the   answer   shows   to   the  
-­‐ Proceedings   for   the   discipline   of   satisfaction   of   the   SC   that   the  
judges   of   regular   and   special   charges   are   not   meritorious,   the  
courts  and  justices  of  the  CA  and   same  shall  be  dismissed.  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

-­‐The  administrative  case  shall  also   -­‐ The   abolition   of   a   respondent  

be   considered   a   disciplinary   judge’s   judicial   position   does   not  
action   against   the   respondent   as   necessarily   render   the  
a  member  of  the  Bar.   administrative   case   for   acts  
-­‐ Judgment   in   both   respects   may   committed   moot   and   academic,  
be   incorporated   in   one   decision   not   preclude   his   being   liable   in  
or  resolution.   his   present   judicial   position,  
  where  the  charges  are  so  serious  
By  whom  complaint  investigated   that   affect   his   competency   and  
-­‐ Upon   the   filing   of   the   integrity  as  a  judge.  
respondent’s   comment,   or   upon   -­‐ The   resignation   or   retirement   of  
the  expiration  of  the  time  of  filing   a  judge  who  is  a  respondent  in  an  
the   same   and   unless   other   administrative   case   does   not  
pleadings   or   documents   are   necessarily  render  the  case  moot  
required,  the  Court  shall  refer  the   nor   deprive   the   SC   of   the  
matter  to  the  Office  of  the  Court   authority   to   pronounce   his  
Administrator   for   evaluation,   guilt/innocence.  
report   and   recommendation   or   -­‐ The   death   of   a   respondent   may  
assign   the   case   for   investigation,   render   the   administrative  
report  and  recommendation  to  a   complaint   moot   and   academic.  
retired   member   of   the   SC,   if   the   However,   if   he   dies   pending  
respondent  is  a  Justice  of  the  CA   resolution   of   the   administrative  
and   the   Sandiganbayan,   or   to   a   charges   against   him,   and   was  
Justice   of   the   CA,   if   the   found   guilty   and   the   court  
respondent   is   a   judge   of   a   administrator   recommended   his  
Regular   Trial   Court   or   a   special   dismissal,  the  Court,  inspite  of  his  
court   of   equivalent   rank,   or   to   a   death,  may  decide  to  resolve  the  
judge   of   the   RTC   if   the   case   on   the   merits   and,   if   such  
respondent   is   a   judge   of   an   recommendation   is   affirmed,  
inferior  court.   impose   forfeiture   of   death   and  
  retirement   benefits   of   the  
Hearing   respondent.  
-­‐ The  investigation  justice  or  judge   -­‐ The  investigating  Justice  or  judge  
shall  set  a  day  for  the  hearing  and   shall   terminate   the   investigation  
send   notice   thereof   to   both   within   90   days   from   the   date   of  
parties.   its   commencement   or   within  
-­‐ At   such   hearing,   parties   may   such   extension   as   the   SC   may  
present   oral   and   documentary   grant.  
evidence.    
-­‐ If   after   due   notice   the   Report  and  Recommendation  
respondent   fails   to   appear,   the   -­‐ Within   30   days   from   the  
investigation   shall   proceed   ex   termination   of   the   investigation,  
parte   the   investigating   Justice/Judge  
-­‐ The   withdrawal   of   the   complaint   shall   submit   to   the   SC   a   report  
does   not   divest   the   SC   of   the   containing  his  findings  of  fact  and  
authority   to   order   the   recommendation.  
investigation   of   the   charges,   nor   -­‐ The   report   shall   be   accompanied  
result  in  its  dismissal.   by   the   record   containing   the  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
Legal  and  Judicial  Ethics  Reviewer     Legal  and  Judicial  Ethics  (2009  ed.)  
Chap  8  to  Chap  19     By  Ruben  E.  Agpalo  

evidence   and   the   pleadings   filed   -­‐ Sanctions   which   may   imposed   for  
by  the  parties.   serious  charge:  
-­‐ The   report   shall   be   confidential   o Dismissal   from   servic,  
and  for  exclusive  use  of  the  Court   forfeiture  of  all  or  part  of  
  the   benefits   as   may   be  
Quantum  of  evidence  required   determined   by   the   Court  
-­‐ The   quantum   of   evidence   may   and   disqualification   from  
depend   on   the   nature   of   the   reinstatement   or  
charge   in   light   of   the   appointment   to   any  
classifications   of   the   charges   public   office,   including  
(serious,  less  serious,  and  light)   GOCCs.   Provided,  
-­‐ If   the   administrative   offense   however,   that   the  
involves   a   violation   of   a   criminal   forfeiture   of   benefits  
law,   which   if   proved   will   require   shall   in   no   case   include  
dismissal  of  a  judge  from  service,   accrued  leave  benefits  
the   quantum   of   evidence   o Suspension   from   office  
required   to   hold   him   liable   is   without   salary   and   other  
proof  beyond  reasonable  doubt.   benefits   for   more   than   3  
-­‐ Where   the   charge   is   less   serious   but   not   exceeding   6  
or   acts   that   does   not   require   months  
dismissal   from   service,   o A  fine  of  more  than  P20K  
preponderance   of   evidence   is   but  not  exceeding  P40K.  
necessary.   -­‐ Less  serious  charge:  
-­‐ Where   the   charge   is   light,   mere   o Suspension   from   office  
substantial   evidence   may   be   without   salary   and   other  
required.   benefits   for   not   less   that  
  1   nor   more   than   3  
Res  ipsa  loquitur   months  
-­‐ The   Court   may   impose   its   o A  fine  of  more  than  P10K  
authority   upon   erring   judges   but  not  exceeding  P20K  
whose   actuations,   on   their   face,   -­‐ Light  charges:  
would  show  gross  incompetence,   o A  fine  of  not  less  that  P1K  
gross   ignorance   of   the   law,   or   but   not   exceeding   P10K  
grave  misconduct.   and/or  
-­‐ The   res   ipsa   loquitur   doctrine   o Censure  
does   not   dispense   with   the   o Reprimand  
necessity   of   proving   the   facts   o Admonition   with   a  
from   which   the   inference   of   evil   warning  
intent  is  based.   -­‐ While  double  jeopardy  dies  not  lie  
  in   administrative   cases,   it   would  
Decision;  sanction   be   contrary   to   equity   and  
-­‐ The   Court   shall   take   such   action   substantial   justice   to   penalize   a  
on  the  report  as  the  facts  and  the   judge   a   second   time   for   an   act,  
law   may   warrant,   which   may   be   the  penalty  of  which  had  already  
dismissing   the   complaint   or   been  served  by  him.  
holding   the   judge   liable   and   -­‐  
imposing   the   corresponding    
penalty  against  him.   Confidentiality  of  proceedings  

CHING,  Catherine  Anna  A.  ||  ESPIRITU,  Maria  Nikka  N.  ||  Guzman,  Anne  Clarisse  A.  
San  Beda  College  of  Law   A.Y.  2013-­‐2014  
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.  2013-­‐2014