Legal Ethics Reviewer San Beda

San Beda College of Law
1
M EMORY A ID IN L EGAL E THICS AND P RACTICAL E XERCISES
I. LEGAL ETHICS

PRELIMINARY MATTERS
merit which must be earned by hard study, learning and

good conduct. It is a privilege accorded only to those who
Legal Ethics branch of moral science which treats of the
measure up to certain rigid standards of mental and moral
duties which an attorney owes to the court, to his client, to
fitness. Those standards are neither dispensed with nor
his colleagues in the profession and to the public.
lowered after admission. The attorneys continued

- It is the embodiment of all principles of morality
enjoyment of the privilege conferred depends upon his
and refinement that should govern the conduct of every
complying with the ethics and rules of 333the profession.
member of the bar.

But practice of law is in the nature of a right.

While the practice of law is a privilege, a lawyer cannot be
PRIMARY CHARACTERISTICS WHICH DISTINGUISH THE
prevented from practicing law except for valid reasons, the
LEGAL PROFESSION FROM BUSINESS
practice of law not being a matter of states grace or favor.
1. A duty of public service
He holds office during good behavior and can only be
2. A relation, as an officer of the court, to the
deprived of it for misconduct ascertained and declared by
administration of justice involving thorough
judgment of the Supreme Court after opportunity to be
sincerity, integrity and reliability
heard has been afforded him. The state cannot exclude an
3. A relation to clients with the highest degree of
attorney from the practice of law in a manner or for reasons
fiduciary
that contravene the due process or equal protection clause
4. A relation to the colleagues at the bar
of the Constitution.
characterized by candor, fairness and

unwillingness to resort to current business
POWER TO REGULATE THE PRACTICE OF LAW
methods of advertising and encroachment on

their practice, or dealing directly with their
? CASES: The Constitution [Art. VIII, Sec. 5(5)] vests this
clients.
power of control and regulation in the Supreme Court. The

constitutional power to admit candidates to the legal
PRACTICE OF LAW
profession is a judicial function and involves the exercise of

discretion. Petition to that end is filed with the Supreme
? CASE: Any activity in or out of court which requires the
Court as are other proceedings invoking judicial function [In
application of law, legal principle, practice or procedure and
re: Almacen 31 SCRA 562]
calls for legal knowledge, training and experience. (Cayetano
The SC acts through a Bar Examination Committee
vs Monsod, 201 SCRA 210)
in the exercise of its judicial function to admit candidates to

Strictly speaking, the word practice of law implies
the legal profession. Thus, the Committee is composed of a
the customary or habitual holding of oneself to the public as
member of the Court who acts as Chairman and 8 members
a lawyer and demanding compensation for his services.
of the bar who acts as examiners in the 8 bar subjects with
[People vs. Villanueva 14 SCRA 111]
one subject assigned to each. [In re Lanuevo, 66 SCRA 245]

The power of the SC to regulate the practice of law includes

the authority to:

1.
Define the term

2.
Prescribe the qualifications of a candidate to and

the subjects of the bar examinations
ESSENTIAL CRITERIA DETERMINATIVE OF ENGAGING IN
3.
Decide who will be admitted to practice
THE PRACTICE OF LAW: (HACA)
4.
Discipline, suspend or disbar any unfit and
unworthy member of the bar
1. Habituality- implies customarily or habitually
5.
Reinstate any disbarred or indefinitely suspended
holding oneself out to the public as a lawyer
attorney
2. Compensation- implies that one must have
6.
Ordain the integration of the Philippine Bar
presented himself to be in the active practice and
7.
Punish for contempt any person for unauthorized
that his professional services are available to the
practice of law
public for compensation, as a source of his
8.
Exercise overall supervision of the legal
livelihood or in consideration of his said services.
profession
3. Application of law, legal principle, practice, or
9.
Exercise any other power as may be necessary to
procedure which calls for legal knowledge,
elevate the standards of the bar and preserve its
training and experience
integrity.
4. Attorney client relationship

On the other hand, the LEGISLATURE, in the exercise
PRIVATE PRACTICE
of its POLICE POWER may, however, enact laws regulating
Private practice is more than an isolated appearance
the practice of law to protect the public and promote the
for it consists of frequent or customary actions, a succession
public welfare. But the legislature MAY NOT pass a law that
of acts of the same kind.
will control the SC in the performance of its function to

decide who may enjoy the privilege of practicing law and
? NOTE: An isolated appearance does not amount to
any law of that kind is unconstitutional as an invalid exercise
practice of law of a public officer if allowed by his superior in
of legislative power.
exceptional cases.

NOTE: The practice of law is not a natural, property or
WHO MAY PRACTICE LAW?
constitutional right but a mere privilege. It is not a right

granted to any one who demands it but a privilege to be
Any person heretofore duly admitted as a
extended or withheld in the exercise of sound judicial
member of the bar, or hereafter admitted as such in
discretion. It is in the nature of a franchise conferred only for
accordance with the provisions of this rule, and who is in
L EGAL E THICS
AND P RACTICAL E XERCISES C OMMITTEE

&CHAIRPERSON: Jackie Lou Bautista &ASSISTANT CHAIRPERSON: Catherine Jane Vanilla &SUBJECT HEADS: Ma. Ricasion Tugadi
(Legal Ethics), Mary Wendy Duran(Practical Exercises) &EDP: Raphy Espiritu &MEMBERS: John Dale Balinan, Malou Barrios,
Catherine Bool-Nuez, Melanie Caparas, Kristian Cristobal, Remegio Dayandayan, Jr., Gerald dela Cruz, Donna Dumpit, JB
Roselle Gayona, Rhea Mangubat, Joyce Marie Marquez, Rowena Mutia, Maan Salada, Melamy Salvadora, Vin-Kristine Ventura
2005 CENTRALIZED BAR OPERATIONS
good and regular standing, is entitled to practice law. [Sec. 1,

Rule 138]

REQUIREMENTS BEFORE A CANDIDATE CAN ENGAGE IN
THE PRACTICE OF LAW
I. He must have been admitted to the Bar
a.
Furnishing satisfactory proof of educational,
moral and other qualification;
b.
Passing the bar
c.
Taking the Lawyers Oath before the SC
A lawyers oath signifies that the lawyer in
taking such an oath accepts and affirms his ethical
obligations in the performance of his duties as a
lawyer and signifies likewise his awareness of his
responsibilities that he assumes by his admission
to the legal profession.
d.
Signing the Attorneys Roll and receiving from the
Clerk of Court of the SC a Certificate of the license
to practice
II. After his admission to the bar, a lawyer must remain in
good and regular standing, which is a continuing
requirement for the practice of law. He must:
a.
Remain a member of the IBP (membership
therein by every attorney is made compulsory);
b.
Regularly pay all IBP membership dues and other
lawful assessments, as well as the annual privilege
tax;
c.
Faithfully observe the rules and ethics of the legal
profession; and
d.
Be continually subject to judicial disciplinary
control.

BASIC REQUIREMENTS FOR ADMISSION TO THE BAR
Under Section 2, 5 and 6, Rule 138, the applicant must be:
1.
Citizen of the Philippines;
2.
At least 21 years of age;
3.
Of good moral character;
(Note: This is a continuing requirement.)
4.
Resident of the Philippines;
5.
Must produce before the SC satisfactory evidence
of good moral character;
6.
No charges against him, involving moral
turpitude, have been filed or are pending in any
court in the Phil. [Sec. 2, Rule 138];
7.
Must have complied with the academic
requirements;
8.
Pass the bar examinations.

Moral Turpitude imports an act of baseness, vileness or
depravity in the duties which one person owes to another or
to society in general which is contrary to the usually
accepted and customary rule of right and duty which a
person should follow.

ACADEMIC REQUIREMENTS FOR THE CANDIDATES
1.
Must have already earned a Bachelors Degree in
Arts or Sciences (Pre-law)
2.
Law Course completed courses in Civil Law,
Commercial Law, Remedial Law, Criminal Law,
Public and International Law, Political Law, Labor
and Social Legislation, Medical Jurisprudence,
Taxation, Legal Ethics. [Sec. 5 and 6, Rule 138]

APPEARANCE OF NON-LAWYER IN COURT

MAY A NON-LAWYER APPEAR IN COURT?
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 court a party may conduct his litigation
personally. But he gets someone to aid him and that
someone must be an authorized member of the Bar
[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.
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 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 schools 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 may represent a claimant before the
Cadastral Court [Sec. 9, Act. No. 2259]
7.
Any person appointed to appear for the government of
the Philippines in accordance with law [Sec. 33, Rule
138]

LIMITATIONS ON APPEARANCE OF NON-LAWYERS
BEFORE THE COURTS
1.
He should confine his work to non-adversary
contentions. He should not undertake purely
legal work, such as the examination or cross-
examination of witnesses, or the presentation of
evidence.
2.
Services should not be habitually rendered.
3.
Should not charge or collect attorneys fees.
[PAFLU vs. Binalbagan Isabela Sugar Co. 42 SCRA
302]

RIGHT OF PARTY TO REPRESENT HIMSELF
Civil Cases: An individual litigant has the right to conduct
his litigation personally.
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: A juridical person must always
appear in court by a duly licensed member of the bar, except
in the municipal trial court where it may be represented by
its agent or officer who need not be a lawyer.

PARTNERSHIP WITH NON-LAWYERS VOID

In the formation of partnership for the practice of law,
no person should be admitted or held out as a practitioner
or member who is not a member of the legal profession duly
authorized to practice, and amenable to professional
discipline.

2005 C ENTRALIZED B AR O PERATIONS E XECUTIVE C OMMITTEE
AND
S UBJECT
C HAIRPERSONS
Maricel Abarentos (Over-all Chairperson), Ronald Jalmanzar (Over-all Vice Chair), Yolanda Tolentino(VCAcads), Jennifer Ang(VC- Secretariat), Joy Inductivo (VC-Finance), Elaine Masukat (VC-EDP), Anna Margarita
Eres (VC-Logistics). Jonathan
Mangundayao (Political Law), Francis Benedict Reotutar (Labor Law), Romuald Padilla (Civil Law), Charmaine
Torres (Taxation Law), Mark David Martinez (Criminal Law), Garny Luisa Alegre (Commercial Law), Jinky Ann Uy
(Remedial Law), Jackie Lou Bautista (Legal Ethics)

3
M EMORY A ID IN
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. 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.
A corporation 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.

RULES ON PUBLIC OFFICIALS REGARDING PRACTICE OF
LAW

PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW IN THE
PHILIPPINES
1.
Judges and other officials or employees of the
superior court
2.
Officials and employees of the Office of the
Solicitor General
3.
Government Prosecutors
4.
President, Vice-President, members of the
Cabinet, their deputies and assistants
5.
Chairmen and members of the Constitutional
Commissions
6.
Ombudsman and his deputies
7.
Governors, city and municipal mayors
8.
Those who, by special law are prohibited from
engaging in the practice of their legal profession

PUBLIC OFFICIALS WITH RESTRICTIONS IN THE
PRACTICE OF LAW
1.
Senators and Members of the House of
Representatives
2.
Members of the Sanggunian
3.
Retired Justice or Judge
4.
Civil Service officers or employees without permit
from their respective department heads [Noriega
vs. Sison 125 SCRA 293]

RESTRICTIONS IN THE PRACTICE OF LAW OF MEMBERS
OF LEGISLATURE

? CASES: A lawyer-member of the legislature is only
prohibited from appearing as counsel before any court of
justice, electoral tribunals or quasi-judicial and
administrative bodies. The word appearance includes not
L EGAL E THICS
L EGAL E THICS AND P RACTICAL E XERCISES

only arguing a case before any such body but also filing a
pleading on behalf of a client as by simply filing a formal
motion, plea or answer. [Ramos vs. Manalac 89 Phil 270]
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. [In re: David 93 PHIL
461]

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
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

RESTRICTIONS IN THE PRACTICE OF LAW OF RETIRED
JUSTICE/JUDGE
As a condition of the pension provided under R.A. 910,
no retiring justice or judge of a court of record or city or
municipality judge during the time that he is receiving said
pension shall:
Appear as counsel before any court in:
a.
Any civil case wherein the government or any
subdivision or instrumentality thereof is the
adverse party;
b.
Any criminal case wherein an officer or an
employee of the government is accused of an
offense committed in relation to his office.
2.
Collect any fees for his appearance in any
administrative proceedings to maintain an interest
adverse to the government, provincial or municipal, or
to any of its legally constituted officers [Sec 1, RA 910].

REMEDIES AGAINST UNAUTHORIZED PRACTICE (DICED)
1.
Petition for Injunction
2.
Declaratory Relief
3.
Contempt of Court
4.
Disqualification and complaints for disbarment
5.
Criminal complaint for estafa against a person
who falsely represented to be an attorney to the
damage of a party

PRIVILEGES AND DUTIES OF A LAWYER

PRIVILEGES OF AN ATTORNEY:
1.
To practice law during good behavior before any
judicial, quasi-judicial, or administrative tribunal.
2.
The first one to sit in judgment on every case, to set
the judicial machinery in motion.
3.
Enjoys the presumption of regularity in the discharge
of his duty.

4.
5.
He is immune, in the performance of his obligation to

his client, from liability to a third person insofar as he
does not materially depart from his character as a
quasi-judicial officer.
His statements, if relevant, pertinent or material to the
subject of judicial inquiry are absolutely privileged
regardless of their defamatory tenor and of the
presence of malice.

OTHER PRIVILEGES:
First grade civil service eligibility for any position in the
classified service in the government the duties of
which require knowledge of law.
Second grade civil service eligibility for any other
government position which does not prescribe
proficiency in law as a qualification.

FOUR-FOLD DUTIES OF A LAWYER
1.
Court- respect or defend against criticisms, uphold
authority and dignity, obey order and processes, assist
in the administration of justice.
2.
Bar- candor, fairness, courtesy and truthfulness, avoid
encroachment in the business of other lawyers,
uphold the honor of the profession.
3.
Client- entire devotion to clients interest.

4.
Public- should not violate his responsibility to society,
exemplar for uprighteousness, 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.

SPECIFIC DUTIES OF A LAWYER (SEC. 20, RULE 138)
[C2A2R2E2D]
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 and maintain the respect due to the
courts of justice and judicial officers;
4.
To Employ, for the purpose of maintaining the
causes confided to him, such means only as are
consistent with truth and honor, and never seek
to mislead the judge or any judicial officer by an
artifice or false statement of fact or law;
5.
To maintain inviolate the Confidence and at every
peril to himself, to preserve the secrets in
connection with his client and to accept no
compensation in connection with his clients
business except from him or with his knowledge
and approval;
6.
To Abstain from all offensive personality and to
advance no fact prejudicial to the honor and
reputation of a party or witness, unless required
by the justice of the cause with which he is
charged;
7.
Not to Encourage either the commencement or
the continuance of an action or proceeding, or
delay any mans cause, from any corrupt motive
or interest;
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.

DUTY OF COUNSEL DE OFICIO
A counsel de oficio is expected to render effective
service and to exert his best efforts on behalf of an indigent
accused. He has as high a duty to a poor litigant as to a
paying client. He should have a bigger dose of social
conscience and a little less of self-interest.

ROLE OF PRIVATE PROSECUTOR
A private prosecutor may intervene in the
prosecution of a criminal action when the offended party is
entitled to indemnity and has not waived expressly,
reserved or instituted the civil action for damages. He may
prosecute the accused up to the end of the trial even in the
absence of the public prosecutor if authorized by the chief of
the prosecution office or the Regional State Prosecutor
subject to the approval of the court (Sec. 5, Rule 110; Rules
of Court dated May 1, 2002).

THE LAWYERS OATH

I, ____________, do solemnly swear that I will
maintain allegiance to the Republic of the Philippines; I will
support its Constitution and obey the laws as well as the
legal orders of the duly constituted authorities therein; I will
do no falsehood, nor consent to the doing of any in court; I
will not wittingly or willingly promote or sue any
groundless, false or unlawful suit, nor give aid nor consent to
the same; I will delay no man for money or malice and will
conduct myself as a lawyer according to the best of my
knowledge and discretion with all good fidelity as well to the
courts as to my clients; and I impose upon myself this
voluntary obligation without any mental reservation or
purpose of evasion. So help me God.

NOTARY PUBLIC

A person appointed by the court whose duty is to
attest to the genuineness of any deed or writing inorder to
render them available as evidence of facts stated therein and
who is authorized by the statute to administer various oaths.

A.M. No. 02-8-13-SC: Rules on Notarial Practice of 2004
(August 1, 2004)

QUALIFICATIONS OF A NOTARY PUBLIC
1.
Must be citizen of the Philippines
2.
Must be over twenty-one (21) years of age
3.
Must be a resident in the Philippines for at least
one (1) year and maintains a regular place of
work or business in the city or province where
the commission is to be issued
4.
Must be a member of the Philippine Bar in good
standing with clearances from the Office of the
Bar Confidant of the Supreme Court and the
Integrated Bar of the Philippines
5.
Must not have been convicted in the first instance
of any crime involving moral turpitude (Rule III,
Section 1)

JURISDICTION AND TERM
A notary public may perform notarial acts in any
place within the territorial jurisdiction of the
commissioning court for a period of two (2) years
commencing on the 1st day of January of the year in
which the commissioning is made UNLESS earlier
revoked or the notary public has resigned according to
these Rules and the Rules of Court (Rule III, Section 11).
AND
S UBJECT
C HAIRPERSONS

5

POWERS AND LIMITATIONS OF NOTARIES PUBLIC
POWERS
F A notary public is empowered to do the following acts:
(JAOSAC)
1.
Acknowledgments;
2.
Oaths and affirmations;
3.
Jurats;
4.
Signature witnessings;
5.
Copy certifications; and
6.
Any other act authorized by these Rules.
F A notary public is authorized to certify the affixing of a
signature by thumb or other mark on an instrument or
document presented for notarization if:
1.
The thumb or other mark is affixed in the
presence of the notary public and of two (2)
disinterested and unaffected witnesses to
the instrument or document;
2.
Both witnesses sign their own names in
addition to the thumb or other mark;
3.
The notary public writes below the thumb or
other mark: Thumb or Other Mark affixed
by (name of signatory by mark) in the
presence of (names and addresses of
witnesses) and undersigned notary public,
and
4.
The notary public notarizes the signature by
thumb or other mark through an
acknowledgment, jurat or signature
witnessing.
F A notary public is authorized to sign on behalf of a
person who is physically unable to sign or make a mark
on an instrument or document if:
1.
The notary public is directed by the person
unable to sign or make a mark to sign on his
behalf;
2.
The signature of the notary public is affixed
in the presence of two (2) disinterested and
unaffected witnesses to the instrument or
document;
3.
Both witnesses sign their own names;
4.
The notary public writes below his
signature: Signature affixed by notary in the
presence of (names and addresses of person
and two (2) witnesses), and
5.
The notary public notarizes his signature by
acknowledgment or jurat (Rule IV, Section
1).

PROHIBITIONS
General Rule: A notary public shall not perform a notarial
act outside his regular place of work or business.
Exceptions: A notarial act may be performed at the request
of the parties in the following sites located within his
territorial jurisdiction:
a.
Public offices, convention halls and similar places
where oaths of office may be administered;
b.
Public function areas in hotels and similar places
for the signing of instruments or documents
requiring notarization;
c.
Hospitals and medical institutions where a party
to the instrument or document is confined for
treatment; and
d.
Any place where a party to the instrument or
document requiring notarization is under
detention.

F A person shall not perform a notarial act if:
1.
the person involved as signatory to the
instrument or document-
L EGAL E THICS
a.
2.
3.
Is not in the notarys presence at the

time of the notarization; and
b.
Is not personally known to the notary
public or otherwise identified by the
notary public through competent
evidence of identity as defined by these
Rules (Rule IV, Section 2).
the certificate containing an information
known or believed to be false; and
he shall not affix an official signature or seal
on a notarial certificate that is incomplete
(Rule IV, Section 5).

DISQUALIFICATIONS
A notary public is disqualified from performing a notarial if
he:
1) Is a party to the instrument or document;
2) Will receive, as a direct or indirect result any
commission, fee, advantage, right, title, interest,
cash, property, or other consideration, except as
provided that is to be notarized;
3) Is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the fourth
civil degree (Rule IV, Section 3).

When notary public may refuse to notarize even if
appropriate fee is tendered:
1) When the notary knows or has good reason to
believe that the notarial act or transaction is
unlawful or immoral.
2) When the signatory shows a demeanor which
engenders in the mind of the notary public
reasonable doubt as to the formers knowledge of
the consequences of the transaction requiring a
notarial act.
3) If in the notarys judgment, the signatory is not
acting in his/her own free will (Rule IV, Section
4).
4) If the document or instrument to be notarized is
considered as an improper document by these
Rules.

NOTE: A blank or incomplete instrument or document OR
an instrument or document without appropriate notarial
certification
is
considered
an
Improper
Instrument/Document (Rule IV, Section 6).

NOTARIAL CERTIFICATES
Contents of the Concluding part of the Notarial Certificate:
1) The name of the notary public as exactly indicated
in the commission;
2) The serial number of the commission of the
notary public;
3) The words Notary Public and the province or
city where the notary public is commissioned, the
expiration date of the commission and the office
address of the notary public; and
4) The Roll of Attorneys number, the Professional
Tax Receipt number and the place and date of
issuance thereof and the IBP Membership number
(Rule VIII, Section 2).

REVOCATION OF COMMISSION
The Executive Judge shall revoke a commission for any
ground on which an application for a commission may be
denied.
In addition, the Executive Judge may revoke the
commission of or impose sanctions upon any notary public
who:

1)
2)
Fails to keep a notarial register;

Fails to make the appropriate entry or entries in
his notarial register concerning his notarial acts;
3) Fails to send the copy of the entries to the
Executive Judge within the first ten (10) days of
the month following;
4) Fails to affix to acknowledgments the date of
expiration of his commission;
5) Fails to submit his notarial register, when filled, to
the Executive Judge;
6) Fails to make his report, within a reasonable time,
to the Executive Judge concerning the
performance of his duties, as may be required by
the Judge;
7) Fails to require the presence of the principal at
the time of the notarial act;
8) Fails to identify a principal on the basis of
personal knowledge or competent evidence;
9) Executes a false or incomplete certificate under
Section 5, Rule IV;
10) Knowingly performs or fails to perform any other
act prohibited or mandated by these Rules; and
11) Commits any other dereliction or act which in the
judgment of the Executive Judge constitutes good
cause for the revocation of the commission or
imposition of administrative sanction (Rule XI,
Section 1).

PUNISHABLE ACTS
The Executive Judge shall cause the prosecution of any
person who:
1) Knowingly acts or otherwise impersonates a
notary public;
2) Knowingly obtains, conceals, defaces, or destroys
the seal, notarial register, or official records of a
notary public; and
3) Knowingly solicits, coerces, or in any way
influences a notary public to commit official
misconduct (Rule XII, Section 1).

TERMS TO REMEMBER

Amicus Curiae- is an experienced and impartial attorney
invited by the court to appear and help in the
disposition of the issues submitted to it. 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. An amicus curiae 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 merely as a consultant to guide the court in a
doubtful question or issue pending before it.

Attorney ad hoc- a person named appointed by the court to
defend an absentee defendant in the suit in which the
appointment is made.

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.

Attorney of record- the attorney whose name is entered in
the records of an action or suit as the lawyer of a designated
party thereto.

Bar and Bench Bar refers to the whole body of attorneys
and counselors collectively, the members of the legal
profession: Bench denotes the whole body of
judges.
Bar Association an association of members of the legal
profession like the IBP where membership is
integrated or compulsory.

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.

Counsel/Attorney de oficio an attorney appointed by the
court to defend an indigent defendant in a criminal action.
In a criminal action, if the defendant appears
without an attorney, he must be informed by the court
that it is his right to have an attorney before being
arraigned and must be asked if he desires the aid of an
attorney. If he desires and is unable to employ an
attorney, the court must assign a counsel de oficio to
defend him. He is also designated as counsel of
indigent litigants. The appointment of a counsel de
oficio in that instance is a matter of right on the part of
the defendant.
On appeal in a criminal case, the appellate court
must also appoint a counsel de oficio if, as shown by
the certificate of the clerk of court of the trial court, a
defendant (a) is confined in prison, (b) without means
to employ an attorney, (c) desires to be defended de
oficio.

House Counsel one who acts as attorney for business
though carried as an employee of that business and
not as an independent lawyer.

Lawyer this is the general term for a person trained in the
law and authorized to advice and represent others in
legal matters

Lead Counsel the counsel on either side of a litigated
action who is charged with the principal management
and direction of a partys case, as distinguished from
his juniors or subordinates.

Of Counsel an experienced lawyer, usually a retired
member of the judiciary, employed by law firms as
consultants.

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 clients
cause.

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 means
engaging in actual trial work, either for the
prosecution or for the defense of cases of clients.
II .THE CANONS OF PROFESSIONAL RESPONSIBILITY

Chapter I: The Lawyer and Society
CANON -
AND
S UBJECT
C HAIRPERSONS

7
1.
2.
3.
4.
5.
6.
M EMORY A ID IN
Uphold the Constitution and obey the laws
of the land
Make legal services available in an efficient
and convenient manner
Use of true, honest, fair, dignified and
objective information in making known legal
services
Participate in the improvement of the legal
system
Keep abreast of legal development and
participate in continuing legal education
program and assist in disseminating
information regarding the law and
jurisprudence
Applicability of the CPR to lawyers in the
government service

Chapter II: The Lawyer and the Legal Profession
CANON -
7. At all times uphold the integrity and dignity
of the Profession and support the activities
of the IBP
8. Conduct himself with courtesy, fairness and
candor toward his colleagues and avoid
harassing tactics
9. Not to directly or indirectly assist in the
unauthorized practice of law

Chapter III: The Lawyer and the Courts
CANON -
10. Owes candor, fairness and good faith to the
court
11. Observe and maintain the respect due courts
and judicial officers
12. Duty to assist in the speedy and efficient
administration of justice
13. Rely upon the merits of his cause, refrain
from any impropriety which tends to
influence courts, or give the appearance of
influencing the court
Chapter IV: The Lawyer and the Client
CANON -
14. Not to refuse his services to the needy
15. Observe candor, fairness and loyalty in all
his dealings and transactions with clients
16. Hold in trust all the moneys and property of
his client that may come to his possession
17. Owes fidelity to clients cause and be mindful
of the trust and confidence reposed in him
18. Serve client with competence and diligence
19. Represent client with zeal and within the
bounds of law
20. Charge only fair and reasonable fees
21. Preserve the confidence and secrets of client
even after the atty.-client relation is
terminated
22. Withdraw services only for good cause and
upon notice

LAWYERS DUTIES TO SOCIETY

CANON 1: UPHOLD THE CONSTITUTION AND OBEY THE
LAWS OF THE LAND

DISCOURAGING LAW SUITS
L EGAL E THICS

Under Rule 1.03, a lawyer shall not for any corrupt
motive or interest, encourage any suit or proceeding or
delay any mans cause.
CRIME OF MAINTENANCE A lawyer owes to society and
to the court the duty not to stir up litigation. The following
are unprofessional acts within the prohibition:
1. Volunteering advice to bring lawsuit except where
ties of blood, relationship, and trust make it a duty
to do so.
2. Hunting up defects in titles or other causes of action
and informing thereof to be employed to bring
suit or collect judgment, or to breed litigation by
seeking out claims for personal injuries or any
other grounds to secure them as clients.
3. Employing agents or runners for like purposes.
4. Paying direct or indirect reward to those who bring
or influence the bringing of such cases to his
office.
5. Searching for unknown heirs and soliciting their
employment.
6. Initiating a meeting of a club and inducing them to
organize and contest legislation under his
guidance.
7. Purchasing notes to collect them by litigation at a
profit.

A lawyer shall refrain from committing barratry and
ambulance chasing of cases.

Barratry offense of frequently inciting and stirring up
quarrels and suits. The lawyers act of fomenting suits
among individuals and offering his legal services to one of
them

Ambulance Chasing a lawyers act of chasing the victims
of an accident for the purpose of talking to the same victim
or the latters relatives and offering his legal services for the
filing of the case against the person who caused the accident.

Ambulance Chaser is a lawyer who haunts hospitals and
visits the homes of the afflicted, officiously intruding their
presence and persistently offering his service on the basis of
a contingent.

Ambulance chasing has spawned recognized evils such
as: (FSMD)
1.
Fomenting of litigation with resulting burdens on
the courts and the public.
2.
Subornation of perjury.
3.
Mulcting of innocent persons by judgments, upon
manufactured causes of action.
4.
Defrauding of injured persons having proper
causes of action but ignorant of legal rights and
court procedures by means of contracts which
retain exorbitant percentages of recovery and
illegal charges for court costs and expenses and
by settlement made for quick returns of fees and
against the just rights of the injured persons.

CANON 2: MAKING AVAILABLE EFFICIENT LEGAL
SERVICE

A lawyer shall not reject, except for valid reasons,
the cause of the defenseless or the oppressed. (Rule 2.01)

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 latters rights.
(Rule 2.02)

CANON 3: USE OF TRUE, HONEST, FAIR AND OBJECTIVE
INFORMATION IN MAKING KNOWN LEGAL SERVICES


ADVERTISING AND SOLICITATION
General Rule: A lawyer cannot advertise his talent, as he
is a member of an honorable profession whose primary
purpose is to render public service and help secure justice
and in which the remuneration is a mere incident.
It is highly unethical for an attorney to advertise
his talents or skill as a merchant advertises his wares. [In re:
Tagorda 53 Phil 42]

Exceptions:
1. Writing legal articles
2. Engaging in business or other occupations except
when such could be deemed improper, be seen as
indirect solicitation or would be the equivalent of
law practice.
3. Law lists, but only brief biographical and
informative data
4. Ordinary, professional cards
5. Notice to other local lawyers and publishing in a
legal journal of ones availability to act as an
associate for them
6. The proffer of free legal services to the indigent,
even when broadcasted over the radio or
tendered through circulation of printed matter to
the general public.
7. Seeking a public office, which can only be held by
a lawyer or, in a dignified manner, a position as a
full time corporate counsel.
8. Simple announcement of the opening of a law firm
or of changes in the partnership, associates, firm
name or office address, being for the convenience
of the profession.
9. Listing in a phone directory, but not under a
designation of a special branch of law.
10. Activity of an association for the purpose of legal
representation.

Solicitation of Cases Constitutes Malpractice
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 of Court]. The rule prohibits professional
touting. Neither shall a lawyer charge rates lower than
those customarily prescribed unless the circumstances so
warrant.

USE OF LAW FIRM NAME
1. 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 3.02, Code of Professional Responsibility].
Hence, the rule abandoned the doctrine laid down in the
case of In re: Sycip, 92 SCRA 1 (1979).
Reason: All of the partners by their joined efforts over a
period of years 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.

2. 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 concurrently.
[Rule 3.02, Code of Professional Responsibility].

3. Filipino lawyers cannot practice law under the name of a
foreign law firm, as the latter cannot practice law in the
Philippines and the use of the foreign law firm in the country
is unethical. (Dacanay vs. Baker & McKenzie, G.R. Adm. Case

No. 2131)

CANON 4: PARTICIPATE IN THE IMPROVEMENT OF THE
LEGAL SYSTEM
Examples:
1.
Presenting position papers or resolutions for the
introduction of pertinent bills in Congress;
2.
Petitions with the SC for the amendment of the
Rules of Court.

CANON 5: KEEP ABREAST OF LEGAL DEVELOPMENTS
AND PARTICIPATE IN CONTINUING LEGAL EDUCATION
PROGRAM

THREE-FOLD OBLIGATIONS OF A LAWYER:
1.
2.
3.
He owes it to himself to continue improving his

knowledge of the law.
He owes it to his profession to take an active
interest in the maintenance of high standards of
legal education.
He owes it to the lay public to make the law a part
of their social consciousness.

Bar Matter 850: MANDATORY CONTINUING LEGAL
EDUCATION (MCLE)
(Adopting the Rules on the Continuing Legal Education for
Members of the Integrated Bar of the Philippines)
August 8, 2000
Purpose: To ensure that throughout their career, they keep
abreast with law and jurisprudence, maintain the ethics of
the profession and enhance the standards of the practice of
law.

Requirements of Completion of MCLE
Members of the IBP, unless exempted under Rule 7,
shall complete every three (3) years at least 36 hours of
continuing legal education activities. The 36 hours shall be
divided as follows:
a.
6 hours legal Ethics
b.
4 hours trial and pretrial skills
c.
5 hours alternative dispute resolution
d.
9 hours updates on substantive and procedural
laws and jurisprudence
e.
4 hours writing and oral advocacy
f.
2 hours international law and international
conventions
g.
6 hours such other subjects as may be
prescribed by the Committee on MCLE

Parties Exempted from the MCLE
1.
The President, Vice-President, and the Secretaries
and Undersecretaries of executive departments;
2.
Senators and Members of the House of
Representatives;
3.
The Chief Justice and Associate Justices of the SC,
incumbent and retired justices of the judiciary,
incumbent members of the Judicial and Bar
Council and incumbent court lawyers covered by
the Philippine Judicial Academy Program of
continuing legal education;
4.
The Chief State Counsel, Chief State Prosecutor
and Assistant Secretaries of the Department of
Justice;
5.
The Solicitor-General and the Assistant Solicitor-
General;
6.
The Government Corporate Counsel, Deputy and
Assistant Government Corporate Counsel;
AND
S UBJECT
C HAIRPERSONS

9
M EMORY A ID IN
The Chairman and Members of the Constitutional
Commissions;
8.
The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsman and the
Special Prosecutor of the Office of the
Ombudsman;
9.
Heads of government agencies exercising quasi-
judicial functions;
10. Incumbent deans, bar reviewers and professors of
law who have teaching experience for at least 10
years in accredited law schools;
11. The Chancellor, Vice-Chancellor and members of
the Corps of Professional Lecturers of the
Philippine Judicial Academy; and
12. Governors and Mayors
7.

Other Exempted Parties
1.
Those who are not in law practice, private or
public
2.
Those who have retired from law practice with
the approval of the IBP Board of Governors

Good Cause for Exemption from or modification of
requirement

A member may file a verified request setting
forth good cause for exemption (such as physical disability,
illness, post-graduate study abroad, proven expertise in law)
from compliance with or modification of any of the
requirements, including an
extension of time for compliance, in accordance with
procedure to be established by the committee on MCLE.

Proof of exemption: Applications for exemption from or
modification of the MCLE requirement shall be under oath
and supported by documents.

Consequences of Non-Compliance
1.
A member who fails to comply with the
requirements after the 60-day period shall be
listed as delinquent member by the IBP Board of
Governors upon recommendation of the
Committee on MCLE.
2.
The listing as a delinquent member is
administrative in nature but shall be made with
notice and hearing by the Committee on MCLE.

CANON 6: APPLICABILITY OF THE CPR TO LAWYERS IN
THE GOVERNMENT SERVICE

Restriction Against Using Public Office to Promote
Private Interest
Public officials and employees during their incumbency
shall NOT:
1.
Own, control, manage or accept employment as
officer, employee, consultant, counsel, broker,
agent, trustee or nominee in any private
enterprise regulated, supervised or licensed by
their office unless expressly allowed by law
2.
Engage in the private practice of their profession
unless authorized by the constitution or law,
provided that such practice will not conflict or
tend to conflict with their official functions.
3.
Recommend any person to any position in a
private enterprise which has a regular or pending
official transaction with their office
4.
Use or divulge confidential or classified
information officially known to them by reason of
their office and not available to the public.

L EGAL E THICS

Restrictions Against Former Official from Accepting
Certain Employment
A lawyer shall NOT, after leaving the government
service, accept engagement or employment in connection
with any matter in which he had intervened while in said
service. [Rule 6.03, Code of Professional Responsibility]
Section 7 (b), RA 6713 prohibits any former public
official or employee for a period of one year after retirement
or separation from office to practice his profession in
connection with any other matter before the office he used
to be with.

THE LAWYER AND THE LEGAL PROFESSION

CANON 7: UPHOLD THE INTEGRITY AND DIGNITY OF
THE PROFESSION AND SUPPORT THE ACTIVITIES OF
THE IBP
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 7.01)

A lawyer shall not, whether in public or private
life, behave in a scandalous manner to the discredit of the
legal profession. (Rule 7.03)

? CASE: Counsels act of filing multiple complaints against
herein complainants reflects on his fitness to be a member
of the legal profession. His act evinces vindictiveness, a
decidedly undesirable trait whether in a lawyer or another
individual, as complainants were instrumental in
respondents dismissal from the judiciary. (Saburnido vs.
Madrono, 366 SCRA 1, September 26, 2001)

CANON 8: COURTESY, FAIRNESS AND CANDOR TOWARD
HIS COLLEAGUES AND AVOID HARASSING TACTICS

A lawyer shall not, in his professional dealings,
use language which is abusive, offensive or otherwise
improper. (Rule 8.01)
? CASE: Although aware that the plaintiff students were
represented by counsel, respondent attorney, counsel for the
defendants proceeded, nonetheless, to negotiate with them
and their parents without at the very least communicating
the matter to their lawyer. This failure of respondent is an
inexcusable violation of the canons of professional ethics
and in utter disregard of a duty owing to a colleague.
(Camacho vs. Pangulayan, 328 SCRA 631, March 22, 2000)

CANON 9: PREVENTING UNAUTHORIZED PRACTICE OF
LAW
Public policy requires that the practice of law be
limited to those individuals found duly qualified in education
and character.
Purpose: To protect the public, the court, the client and the
bar from the incompetence or dishonesty of those
unlicensed to practice law and not subject to the disciplinary
control of the court.
1.
A lawyer is prohibited from allowing an
intermediary to intervene in the performance of
his professional obligation.
2.
A lawyer cannot 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.
3.
A lawyer cannot divide or stipulate a fee for legal
services with a person not licensed to practice
law.

Exceptions:

10
1.
2.
3.
Where there is a pre- existing agreement with a

partner or associate that, upon the latters death,
money shall be paid over a reasonable period of
time to his estate or to persons specified in the
agreement;
Where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer;
Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan is
based in whole or in part on a profit-sharing
arrangement.

LAWYERS DUTIES TO COURTS

CANON 10: CANDOR, FAIRNESS AND GOOD FAITH TO
COURTS
A lawyer shall NOT do any falsehood, nor consent
to the doing of any in court; nor shall be misled, or allow the
court to be misled by any artifice. (Rule 10.01)

REQUIREMENTS OF CANDOR:
1. A lawyer shall not suppress material and vital facts which
bear on the merit or lack of merit of complaint or
petition;
2. A lawyer shall volunteer to the court any development of
the case which has rendered the issue raised moot and
academic;
3. Disclose to court any decision adverse to his position of
which opposing counsel is apparently ignorant and
which court should consider in deciding a case;
4. He shall not represent himself as lawyer for a client,
appear for client in court and present pleadings, only to
claim later that he was not authorized to do so.
Note: A lawyer is not an umpire but an advocate. He is not
obliged to refrain from making every proper argument in
support of any legal point because he is not convinced of its
inherent soundness. Neither is he obliged to suggest
arguments against his position.
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 a law a provision already
rendered inoperative by repeal or amendment, or assert as a
fact that which has not been proved. (Rule 10.02)
A lawyer shall observe the rules of procedure and
shall NOT misuse them to defeat the ends of justice. (Rule
10.03)

CANON 11: OBSERVANCE OF RESPECT DUE THE COURTS
A lawyer shall observe and maintain the respect
due to the courts and to judicial officers and should insist on
similar conduct by others.
A lawyer should show respect due the court and
judicial officer by appearing during the trial of a case
punctually and in proper attire.
A lawyers language should be forceful but
dignified, emphatic but respectful as befitting an advocate
and in keeping with the dignity of the legal profession.

RIGHT AND DUTY OF LAWYER TO CRITICIZE COURTS
The fact that a person is a lawyer does not deprive
him of the right, enjoyed by every citizen, to comment on
and criticize the actuations of a judge.

However, what he can ordinarily say against a
concluded litigation and the manner the judge handed down
the decision therein may NOT generally be said to a pending
action. The court, in a pending litigation, must be shielded
from embarrassment or influence in its all important duty of
deciding the case. On the other hand, once a litigation is
concluded the judge who decided it is subject to the same

criticism as any other public official because then his ruling
becomes public property and is thrown open to public
consumption.

But it is the cardinal condition of all such criticism
that it shall be bona fide, and shall not spill over the walls of
decency and propriety.

CANON 12: ASSISTING IN SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE
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
presentation. He should also be ready with the original
documents for comparison with the copies. [Rule 12.01 Code
of Professional Responsibility]

A lawyer shall NOT unduly delay a case, impede
the execution of judgment or misuse court processes. [Rule
12.04, Code of Professional Responsibility]

? CASE: The Court further commented that it is
understandable for a party in the situation to make full use
of every conceivable legal defense the law allows it. In the
appraisal, however, of such attempts to evade liability to
which a party should respond, it must ever be kept in mind
that procedural rules are intended as an aid to justice, not as
means for its frustration. Technicalities should give way to
the realities of the situation. (Economic Insurance Co., Inc. vs.
Uy Realty Co.)

The duty of a lawyer to assist in the speedy and
efficient administration of justice includes the duty to refrain
from talking to his witness during a break or recess in the
trial while the witness is still under examination.

FORUM SHOPPING - the act of filing repetitious suits in
different courts. It is committed through the following:
1.
Going from one court to another in the hope of
securing a favorable relief in one court, which
another court has denied.
2.
Filing repetitious suits or proceedings in different
courts concerning the same subject matter after
one court has decided the suit with finality.
3.
Filing a similar case in a judicial court after
receiving an unfavorable judgment from an
administrative tribunal.

Forum shopping is prohibited by Supreme Court
Circular No. 28-91, and the corresponding penalties for
violation thereof are as follows:
1.
Any violation of this circular shall be a cause for
the summary dismissal of the multiple petition or
complaint;
2.
Any willful and deliberate forum shopping by any
party and his lawyer with the filing of multiple
petitions or complaints to ensure favorable action
shall constitute direct contempt of court;
3.
The submission of a fake certification under par. 2
of the Circular shall likewise constitute contempt
of court, without prejudice to the filing of a
criminal action against the guilty party. The
lawyer may also be subjected to disciplinary
proceedings.

CANON 13: AVOIDING IMPROPRIETY THAT TENDS TO
INFLUENCE THE COURT
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.
AND
S UBJECT
C HAIRPERSONS

11
A lawyer shall not extend extraordinary attention
General Rule: A lawyer is not obliged to act as legal
or hospitality to, nor seek opportunity for cultivating
counsel for any person who may wish to become his client.
familiarity with judges [Rule 13.01, Code of Professional
He has the right to decline employment.
Responsibility]
Exceptions:
A lawyer shall not make public statements in the
1. A lawyer shall not refuse his services to the needy.
media regarding a pending case tending to arouse public
2. He shall not decline to represent a person solely
opinion for or against a party. [Rule 13.02, Code of
on account of the latters race, sex, creed or status
Professional Responsibility]
of life or because of his own opinion regarding the
A lawyer shall not brook nor invite interference
guilt of said person.
by another branch or agency of the government in the
3.
He shall not decline, except for serious and
normal course of judicial proceedings. [Rule 13.03 Code of
sufficient cause like (1) if he is not in a position to
Professional Responsibility]
carry out effectively or competently; (2) if he

labors under a conflict of interest between him

and the prospective client or between a present
ATTORNEY-CLIENT RELATIONSHIP
and prospective client.

NATURE OF RELATION
Reasons: IBP Guidelines, Art.1, Sec. 1. Public Service:
1. strictly personal;
1.
Legal aid is not a matter of charity but a public
2. highly confidential and fiduciary
responsibility.

2.
It is a means for correction of social imbalance.
GENERAL RULES PROTECTING ATTORNEY-CLIENT
3.
Legal aid offices must be so organized as to give
RELATIONSHIPS
maximum possible assistance to indigent and
1.
Best efforts must be exerted by the attorney to
deserving members of the community and to forestall
protect his clients interest;
injustice.
2.
The attorney must promptly account for any fund

or property entrusted by or received for his client;
DUTY TO DECLINE EMPLOYMENT
3.
An attorney cannot purchase his clients property

A lawyer should decline professional employment
or interest in litigation;
even though how attractive the fee offered may be if its
4.
The privacy of communications shall at all times
acceptance will involve:
be upheld;
1.
A violation of any of the rules of the legal
5.
An attorney cannot represent a party whose
profession.
interest is adverse to that of his client even after
2.
Nullification of a contract which he prepared.
the termination of the relation.
3.
Advocacy in any matter in which he had

intervened while in the government service.
CREATION OF RELATION: FORMS OF EMPLOYMENT AS
4.
Employment, the nature of which might easily be
COUNSEL TO A CLIENT
used as a means of advertising his professional
1.
Oral when the counsel is employed without a
services or his skill.
written agreement, but the conditions and
5.
Employment with a collection agency which
amount of attorneys fees are agreed upon.
solicits business to collect claims.
2.
Express when the terms and conditions
6.
Any matter in which he knows or has reason to
including the amount of fees, are explicitly
believe that he or his partner will be an essential
stipulated in a written document which may be a
witness for the prospective client.
private or public document. Written contract of

attorneys fees is the law between the lawyer and
ETHICAL CONSIDERATIONS IN TAKING A BAD CASE
the client.
In a Criminal Case: A lawyer may accept a losing criminal
3.
Implied when there is no agreement, whether
case because every accused is presumed innocent and is
oral or written, but the client allowed the lawyer
entitled to counsel.
to render legal services not intended to be

gratuitous without objection, and the client is
In a Civil Case: The rules and ethics of the profession enjoin
benefited by reason thereof.
a lawyer from taking a bad case.

Note: While a written agreement for professional services is

the best evidence to show the relation, formality is not an
Reasons:
essential element of the employment of an attorney. The
1.
The attorneys signature in every pleading
absence of a written contract will not preclude a finding that
constitutes a certificate by him that there is good
there is a professional relationship. Documentary formalism
cause to support it and that it is not interposed for
is not an essential element in the employment of an
delay, and willful violation of such rule shall
attorney; the contract may be express or implied.
subject him to disciplinary action.

2.
It is the attorneys duty to counsel or maintain
ADVANTAGES OF A WRITTEN CONTRACT BETWEEN THE
such actions or proceedings only as appear to him
LAWYER AND THE CLIENT:
to be just and only such defenses as he believes to
1.
It is conclusive as to the amount of compensation.
be honestly debatable under the law.
2.
In case of unjustified dismissal of an attorney, he
3.
A lawyer is not to encourage either the
shall be entitled to recover from the client full
commencement or the continuance of an action or
compensation stipulated in the contract [RA 636].
proceeding, or delay any mans cause, for any

corrupt motive or interest.
CANON 14: NOT TO REFUSE HIS SERVICES TO THE NEEDY
4.
A lawyer must decline to conduct a civil cause or

to make a defense when convinced that it is
RIGHT TO DECLINE EMPLOYMENT; EXCEPTIONS
intended merely to harass or injure the opposite
party or to work oppression or wrong.
L EGAL E THICS

12
However, a lawyer may accept a losing civil case

provided that, in so doing, he must not engage in dilatory
tactics and must advise his client about the prospects and
advantage of settling the case through a compromise.

LAWYERS DUTIES TO CLIENT

CANON 15: CANDOR, FAIRNESS AND LOYALTY IN HIS
DEALINGS AND TRANSACTIONS WITH HIS CLIENTS

CONFLICT OF INTEREST

Duty of a Lawyer to His Client in Case There is Conflict of
Interest

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 15.01]
It is the duty of a lawyer at the time of retainer to
disclose to the client all circumstances of his relations to the
parties and any interest in connection with the controversy,
which might influence the client in the selection of counsel.
It is unprofessional to represent conflicting
interests, except by express consent of all concerned given
after a full disclosure of facts. Within the meaning of this
Canon, a lawyer represents conflicting interests when, in
behalf of one client it is his duty to contend for that which
duty to another client requires him to oppose.

Tests to Determine Conflicting Interests
1. Will the attorney be required to contest for
that which his duty to another client
requires him to oppose? (Conflicting duties)
2. Will the acceptance of a new relation invite
suspicion and/or actually lead to
unfaithfulness or double-dealing towards
another client? (Invitation of suspicion)
3. Will the attorney be called upon in his new
relation to use against his first client any
knowledge acquired in the previous
employment? (Use of prior knowledge
obtained)

INSTANCES WHEN A LAWYER IS CONSIDERED HAVING
CONFLICTING DUTIES
1.
As an employee of a corporation whose duty is to
attend legal affairs, he cannot join a labor union of
employees in that corporation;
2.
As a lawyer who investigated an accident as
counsel for an insurance, he cannot represent the
injured person;
3.
As a receiver of a corporation, he cannot
represent the creditor;
4.
As a representative of the obligor, he cannot
represent the obligee;
5.
As a lawyer representing a party in a compromise
agreement, he cannot be subsequent lawyer
representing another client who seeks to nullify
the agreement;

Effects of Representing Adverse Interests
1.
Disqualification as counsel of new client on
petition of former client.
2.
Where such is unknown to, and becomes
prejudicial to the interests of the new client, a
judgment against such may, on that ground, be set
aside.
3.
4.
A lawyer can be held administratively liable

through disciplinary action and may be held
criminally liable for betrayal of trust.
The attorneys right to fees may be defeated if
found to be related to such conflict and such was
objected to by the former client, or if there was a
concealment and prejudice by reason of the
attorneys previous professional relationship with
the opposite party.

? CASE: Jurisprudence instructs that there is a
representation of conflicting interests if the acceptance of
the new retainer will require the attorney to do anything
which will injuriously affect his first client in any matter in
which he represents him and also whether he will be called
upon in his new relation, to use against his first client any
knowledge acquired through their connection. Another test
to determine if there is a representation of conflicting
interests is whether the acceptance of a new relation will
prevent an attorney from the full discharge of his duty of
undivided fidelity and loyalty to his client or invite suspicion
of unfaithfulness or double dealing in the performance
thereof. (Pormento, Sr. vs. Atty. Pontevedra, A.C. No. 5128,
March 31, 2005)

CANON 16: LAWYERS DUTY TO HOLD IN TRUST ALL THE
MONEY AND PROPERTY OF HIS CLIENT THAT MAY COME
TO HIS POSSESSION
PROHIBITION AGAINST PURCHASE OF PROPERTY IN
LITIGATION

Elements of Prohibition
1.
There is an attorney-client relationship;
2.
The property is in litigation;
3.
The attorney is the counsel of record in the case;
4.
The attorney, by himself or through an agent,
purchases such property during the pendency of
said case [Art. 1491 of the Civil Code]

Other Instances Where Rule is Inapplicable
1.
Where the property purchased by a lawyer was
not involved in litigation.
2.
Where the sale took place before it became
involved in the suit.
3.
Where the attorney at the time of the purchase
was not counsel in the case.
4.
Where the purchaser of the property in litigation
was a corporation even though the attorney was
an officer thereof.
5.
Where the sale took place after the termination of
the litigation.
6.
A lawyer may accept an assignment from his
client of a money judgment rendered in the
latters favor in a case in which he was not
counsel, in payment of his professional services
performed in another case.
7.
Prohibition is inapplicable to a contract for
attorneys fees contingent upon the outcome of
the litigation.

CANON 17: FIDELITY TO THE CAUSE OF HIS CLIENT AND
MINDFUL OF THE TRUST AND CONFIDENCE REPOSED IN
HIM
? CASE: Ordinarily, lawyers are not obliged to act either as
advisers or as advocates of any person who may wish to
become their client. They may decline employment and
refuse to accept representation, if they are not in a position
to carry it out effectively or competently. But once they
agree to handle a case, attorneys are required by the Canons
of Professional Responsibility to undertake the task with
zeal, care and utmost devotion.
AND
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13
M EMORY A ID IN
Acceptance of money from a client establishes an
attorney-client relationship and gives rise to the duty of
fidelity to the clients cause. Every case accepted by a lawyer
deserves full attention, diligence, skill and competence,
regardless of importance. (Rollon vs. Atty. Naraval, A.C. No.
6424, March 4, 2005)

CANON 18: SERVE CLIENT WITH COMPETENCE AND
DILIGENCE

DUTY TO PROTECT CLIENTS INTEREST
The attorneys duty to safeguard the clients
interests commences from his retainer until his effective
release from the case or the final disposition of the whole
subject matter of the litigation. During that period he is
expected to take such reasonable steps and such ordinary
care as his clients interests may require.

PREPARATION OF PLEADINGS

A lawyer shall not handle any legal matter
without any adequate preparation. (Rule 18.02)
A lawyer should prepare his pleading with great
care and circumspection. He should refrain from using
abrasive and offensive language, for it merely weakens
rather than strengthens the force of legal reasoning and
detracts from its persuasiveness. In preparing a complaint
for damages, counsel for plaintiff should allege and state the
specific amounts claimed not only in the body of the
complaint but also in the prayer, so that the proper docket
fees can be assessed and paid.

DUTY TO KEEP CLIENT FULLY INFORMED

A lawyer shall keep the client informed of the
status of his case. (Rule 18.04)
He should notify his client of an adverse decision
while within the period to appeal to enable his client to
decide whether to seek an appellate review. He should
communicate with him concerning the withdrawal of appeal
with all its adverse consequences. The client is entitled to
the fullest disclosure of the mode or manner by which his
interest is defended or why certain steps are taken or
omitted.

Doctrine of Imputed Knowledge the knowledge acquired
by an attorney during the time that he is acting within the
scope of his authority is imputed to the client.
It is based on the assumption that an attorney,
who has notice of matter affecting his client, has
communicated the same to his principal in the course of
professional dealings. The doctrine applies regardless of
whether or not the lawyer actually communicated to the
client what he learned in his professional capacity, the
attorney and his client being one juridical person.
Exceptions to the Rule that Notice to Counsel is Notice to
Client
1.
If strict application might foster dangerous
collusion to the detriment of justice.
2.
Service of notice upon party instead of upon his
attorney is ordered by court.
3.
Notice of pre trial is required to be served upon
parties and their respective lawyers.
4.
In appeal from the lower court to the RTC, upon
docketing of appeal.

DUTY WHEN THE ACCUSED INTENDS TO PLEAD GUILTY
A PLEA OF GUILTY is an admission by the
accused of his guilt of crime as charged in the information
and of the truth of the facts alleged, including the qualifying
and aggravating circumstances.
L EGAL E THICS

It is the duty of the defense counsel when his
client desires to enter a plea of guilty to: (ACEPA)
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
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.

DUTY TO COMPLY WITH CLIENTS LAWFUL REQUEST
A client shall respond within a reasonable time to
the clients request for information. (Rule 18.04)
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 such and similar matters and comply with the
clients lawful instructions relative thereto. He should resist
and should never follow any unlawful instruction of his
client.

CANON 19: DUTY TO REPRESENT CLIENT WITH ZEAL
AND WITHIN THE BOUNDS OF THE LAW

DUTY TO RESTRAIN CLIENT FROM IMPROPRIETY
A lawyer should use his best efforts to restrain
and to prevent his client from doing those things which he
himself ought not to do, particularly with reference to the
conduct toward the court, judicial officer, witness and suitor
and if the client persists in such wrong doing, the lawyer
should terminate their relation.

Duty to Advice Candidly
As officers of the court, counsels are under
obligation to advise their clients against making untenable
and inconsistent claims. The counsel should inform his
client and dissuade him from filing the case if totally devoid
of merit. If he finds that his clients cause as fairly
meritorious and ripe for judicial adjudication, he should
refrain from making bold and confident assurances of
success.

Duty of Lawyer in Case of Knowledge of Clients Fraud
1. He must promptly call upon the client to rectify the
same and failing which,
2. He shall terminate their relationship with such client in
accordance with the Rules of Court.

AUTHORITY OF A LAWYER
Appearance- the coming into court as a party either as a
plaintiff or as a defendant and asking relief therefrom.

By virtue of Sec. 20, Rule 14 of the 1997 Rules of
Civil Procedure, there is no more distinction between
general appearance and special appearance, in the sense
that a defendant may file a motion to dismiss not only on the
ground of lack of jurisdiction over his person but also on
some other grounds without waving the jurisdiction of the
court over his person.

Presumption of Authority

An attorney is presumed to be properly
authorized to represent any cause in which he appears in all

14
stages of the litigation and no written authority is required

to authorize him to appear.

The presumption is a strong one. A mere denial by
a party that he has authorized an attorney to appear for him,
in the absence of compelling reason, is insufficient to
overcome the presumption especially when the denial
comes after the rendition of an adverse judgment.

Effects of an Unauthorized Appearance
1.
Party is not bound by the attorneys appearance
in the case in or by the judgment rendered
therein.
2.
Court does not acquire jurisdiction over the
person.
3.
The adverse party who has been forced to litigate
as a defendant by the unauthorized action on the
part of the attorney for the plaintiff may, on that
ground, move for the dismissal of the complaint.
4.
If unauthorized appearance is willful, attorney
may be cited for contempt as an officer of the
court who has misbehaved in his official
transactions, and he may be disciplined for
professional misconduct.

Ratification of Unauthorized Appearance
1.
EXPRESS: categorical assertion by client that he
has authorized a lawyer or that he confirms his
authorization to represent him in the case.
2.
IMPLIED: where a party with knowledge of the
fact that a lawyer has been representing him in a
case, accepts benefits of representation or fails to
promptly repudiate the assumed authority.

Requisites for Implied Ratification by Silence
1.
Party represented by lawyer must be of age,
competent or if suffers from disability, has
guardian or legal representative.
2.
Party or guardian is aware of attorneys
representation.
3.
He fails to promptly repudiate assumed authority.

Authority of Attorney in the Conduct of Litigation

A lawyer has authority to bind the client in all
matters of ordinary judicial procedure. He can bind his
client on substantial matters only with the clients express or
implied consent.

A client may waive, surrender, dismiss, or
compromise any of his rights involved in a litigation in favor
of the other party even without or against the consent of his
attorney.

Authority to Compromise
Compromise- a contract whereby the parties, by making
reciprocal concessions, avoid a litigation or put an end to
one already commenced.

General Rule: The attorney has no authority to
compromise his clients case.
Reason: Because the client, even if represented by counsel,
retains exclusive control over the subject matter of the
litigation. The client can, of course, authorize his lawyer to
compromise his case, and the settlement made by the lawyer
will bind his client.
Exception: Where the lawyer is confronted with an
emergency and prompt, urgent action is necessary to protect
the interest of his client and there is no opportunity for
consultation with him.

Mistakes or Negligence of Lawyer Binding Upon Client
General Rule: Client is bound by attorneys conduct,
negligence and mistake in handling case or in management
of litigation and in procedural technique, and he can not be

heard to complain that result might have been different had
his lawyer proceeded differently.
Exceptions:
1.
Where adherence thereto results in outright
deprivation of clients liberty or property or
where interest of justice so requires.
2.
Where error by counsel is purely technical which
does not affect substantially clients cause.
3.
Ignorance, incompetence or inexperience of
lawyer is so great and error so serious that client,
who has good cause prejudiced and denied a day
in court.
4.
Gross negligence of lawyer.
5.
Lack of acquaintance with technical part of
procedure.

CANON 20: DUTY OF THE LAWYER TO CHARGE ONLY
FAIR AND REASONABLE FEES

ATTORNEYS FEES

Factors in Determining Attorneys Fees (Rule 20.1, Canon
20) (TINSAPC)
1.
time spent and the extent of the services rendered
or required;
2.
novelty and the difficulty of the questions
involved;
3.
importance of the subject matter;
4.
skill demanded;
5.
probability of losing other employment as a result
of the acceptance of the proffered case;
6.
customary charges for similar services and the
schedule of fees of the IBP Chapter to which he
belongs;
7.
amount involved in the controversy and the
benefits resulting to the client from the service;
8.
contingency or certainty of compensation;
9.
character of the employment whether occasional
or established; and
10. the professional standing of the lawyer.

Two Concepts of Attorneys Fees
1.
Ordinary- it is the reasonable compensation paid
to the lawyer for the legal services he had
rendered the client. The basis of this
compensation is the fact of employment by the
client.
2.
Extraordinary- an indemnity for damages
ordered by the court to be paid by the losing party
to the prevailing party in a litigation. The basis of
this is any of the cases authorized by law and is
payable not to the lawyer but to the client unless
they have agreed that the award shall pertain to
the lawyer as additional compensation or as part
thereof.

Kinds of Payment which may be Stipulated Upon
1.
FIXED OR ABSOLUTE FEE which is payable
regardless of the result of the case.
2.
CONTINGENT FEE that is conditioned on the
securing of a favorable judgment and recovery of
money or property and the amount of which may
be on a percentage basis.
3.
A fixed fee payable PER APPEARANCE.
4.
A fixed fee computed upon the NUMBER OF
HOURS SPENT
5.
A fixed fee based on PIECEWORK.
6.
COMBINATION of any of the above.

RETAINER- may refer to either of two concepts:
AND
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15
2.
When although there is a formal contract for
1. Act of a client by which he engages the services of
2.
an attorney to render legal advice or to defend or

prosecute his cause in court.
Fee which a client pays to the attorney

Kinds of Retainer Agreements
1.
General retainer the fee paid to a lawyer to
secure his future services as general counsel for
any ordinary legal problem that may arise in the
ordinary business of the client and referred to
him for legal action. The client pays fixed retainer
fees, which could be monthly or otherwise. The
fees are paid whether or not there are cases
referred to the lawyer.
2.
Special retainer fee for a specific case or
service rendered by the lawyer for the client.

Situations when Counsel cannot Recover the Full
Amount of Attorneys Fees Despite Written Contract
1.
When the services called for were not performed
as when the lawyer withdrew before the case was
finished. He will be allowed only reasonable fees
2.
When there is a justified dismissal of the attorney,
the contract will be nullified and payment will be
on the basis of quantum meruit only. A contrary
stipulation will be invalid.
3.
When the stipulated attorneys fees are
unconscionable i.e., when it is disproportionate as
compared to the value of services rendered and is
revolting to human conscience.
4.
When the stipulated attorneys fees are in excess
of what is expressly provided by law.
5.
When the lawyer is guilty of fraud or bad faith
toward his client in the matter of his employment
6.
When the counsels services are worthless
because of h is negligence.
7.
When contract is illegal, against morals or public
policy.
8.
Serving adverse interest unless lawyer proves
that it was with the consent of both parties.

Quantum Meruit means as much as the lawyer deserves
or such amount as his services merit.

Guides for Determining Attorneys Fees on Quantum
Meruit Basis (TINS)
1.
Time spent and extent of the services rendered or
required a lawyer is justified in fixing higher
fees when the case is so complicated and requires
more time and effort to finish it.
2.
Novelty and difficulty of questions involved
when the questions in a case are novel and
difficult, greater effort, deeper study and research
are bound to burn the lawyers time and stamina
considering that there are no local precedents to
rely upon
3.
Importance of subject matter the more
important the subject matter or the bigger the
value of the interest of property in litigation, the
higher is the attorneys fees
4.
Skill demanded of a lawyer the totality of the
lawyers experience provides him the skill and
competence admired in lawyers.

Instances of Recovery of Attorneys Fees on the Basis of
Quantum Meruit
1.
There is no express contract for payment of
attorneys fees agreed upon between the lawyer
and the client.
L EGAL E THICS
3.
4.
5.
6.
attorneys fees, the fees stipulated are found

unconscionable.
When the contract for attorneys fees is void due
to formal matter.
When for justifiable cause the lawyer was not able
to finish the case.
When the lawyer and the client disregard the
contract for fees.
When the client dismissed his counsel before the
termination of the case or the latter withdrew
therefrom for valid reasons.

Champertous Contract - one where the lawyer stipulates
with his client in the prosecution of the case that he will bear
all of the expenses for the recovery of things or property
being claimed by the client, and the latter agrees to pay the
former a portion of the thing or property recovered as
compensation. It is void for being against public policy.

CONTINGENT vs. CHAMPERTOUS
CONTINGENT
CHAMPERTOUS
CONTRACT
CONTRACT
1.
Contingent fee is 1. Payable in kind
payable in cash
ONLY
2. Lawyers do not 2.Lawyers undertake
undertake to pay all to pay all expenses of
expenses of litigation
litigation

3. Not prohibited
3. Void

Enforcement of Attorneys Fees
General Rule: A lawyer should avoid the filing of any case
against client for enforcement of attorneys fees
Exceptions:
1.
to prevent imposition
2.
to prevent injustice
3.
to prevent fraud

Who are Entitled to Attorneys Fees
General Rule: Only lawyers are entitled to attorneys fees.
The same cannot be shared with a non-lawyer. It is immoral.
Exceptions:
A lawyer may divide a fee for legal services with
persons not licensed to practice law: (CPR)
1.
a lawyer undertakes to complete unfinished legal
business of a deceased lawyer;
2.
there is a pre-existing agreement with a partner
or associate that, upon the latters death, money
shall be paid over a reasonable period of time to
his estate or to persons specified in the
agreement;
3.
a lawyer or law firm includes non-lawyer
employees in retirement plan, even if the plan is
based in whole or in part on the profit sharing
agreement

Effect of Nullity of Contract on the Right to Attorneys
Fees
1. if the nullification is due to the illegality of its
object, the lawyer is precluded from recovering;
2. if the nullity is due to a formal defect or because
the court has found the amount to be
unconscionable, the lawyer may recover for any
services rendered based on quantum meruit.

Instances When an Independent Civil Action to Recover
Attorneys Fees is Necessary
1.
Main action is dismissed or nothing is awarded;

16
2.
Court has decided that it has no jurisdiction over

the action or has already lost it;
3.
Person liable for attorneys fees is not a party to
the main action;
4.
Court reserved to the lawyer the right to file a
separate civil suit for recovery of attorneys fees;
5.
Services for which the lawyer seeks payment are
not connected with the subject litigation;
6.
Judgment debtor has fully paid all of the judgment
proceeds to the judgment creditor and the lawyer
has not taken any legal step to have his fees paid
directly to him from the judgment proceeds.
Compensation to Which a Lawyer is Entitled to
Depending on His Capacity
1. Counsel de Parte - He is entitled to a reasonable
attorneys fees agreed upon or in the absence
thereof, on quantum meruit basis.
2. Counsel de Oficio - The counsel may not demand
from the accused attorneys fees even if he wins
the case. He may however collect from the
government funds if available based on the
amount fixed by the court.
3. Amicus Curiae - not entitled to attorneys fees

ATTORNEYS LIEN
Charging Lien - is an equitable right to have the fees and
lawful disbursements due a lawyer for his services in a suit
secured to him out of the judgment for the payment of
money and executions issued in pursuance thereof in the
particular suit.

Requisites of a Charging Lien
1. Existence of a client-lawyer relationship;
2. The attorney has rendered services;
3. Favorable judgment secured by the counsel for
his client which judgment is a money judgment;
4. The attorney has a claim for attorneys fees or
advances;
5. Noting into the records of the case through the
filing of an appropriate motion of the statement of
the lawyers claim for attorneys fee with copies
furnished to the client and adverse party.

Retaining Lien a right merely to retain the funds,
documents, and papers as against the client until the
attorney is fully paid his fees.

Requisites: (ALU)
1. Attorney-client relationship;
2. Lawful possession by the lawyer of the clients
funds, documents and papers in his professional
capacity;
3. Unsatisfied claim for attorneys fees

RETAINING LIEN VS.CHARGING LIEN
Point
of Retaining Lien
Charging Lien
Distinction
1. Nature
2. Basis

Passive Lien. It
cannot be
actively
enforced. It is a
general lien.
Lawful
possession of
papers,
documents,
property
Active Lien. It
can be
enforced by
execution. It is
a special lien.
Securing of a
favorable
money
judgment for
the client.
3. Coverage
belonging to the
client.
Covers papers,
documents, and
properties in
the lawful
possession of
the attorney by
reason of his
professional
employment.
4. Effect
As soon as the
attorney gets
possession of
the papers,
documents, or
property.
5. Notice
Client need not

be notified to
make it
effective.
6. Applicability
May be
exercised before
judgment or
execution or
regardless
thereof.
7.Extinguish-
ment
When
possession
lawfully ends
when as lawyer
voluntarily
parts with
funds,
documents, and
papers of client
or offers them
as evidence.
Covers all
judgment for
the payment of
money and
execution
issued in
pursuance of
such
judgments.
As soon as the
claim for
attorneys fees
had been
entered into
the records of
the case.
Notice must be
served upon
client and
adverse party

Generally,
exercisable
only when the
attorney had
already
secured a
favorable
judgment for
his client.
When client
loses action as
lien may only
be enforced
against
judgment
awarded in
favor of client,
proceeds
thereof/
executed
thereon.

CANON 21: PRIVILEGED COMMUNICATION

Requisites:
1. There exists an attorney and client relationship or
a kind of consultancy relationship with a
prospective client. That is, legal advise is what is
sought;
2. The communication was made by the client to the
lawyer in the course of the lawyers professional
employment; and
3. The communication must be intended to be
confidential. [Uy Chico vs. Union Life Association
Society, 29 Phil 163]

AND
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C HAIRPERSONS

17
M EMORY A ID IN
Purposes:
To encourage a client to make a full disclosure of the
facts of the case to his counsel without fear;
To allow the lawyer freedom to obtain full information
from his client.

Characteristics:
1. A-C privilege where legal advice is professionally
sought from an attorney.
2. The client must intend the above communication
to be confidential.
3. A-C privilege embraces all forms of
communication and action.
4. As general rule, A-C privilege also extends to the
attorneys secretary, stenographer, clerk or agent
with reference to any fact required in such
capacity.
5. The above duty is perpetual and is absolutely
privileged from disclosure.

Exceptions to the Privilege
1. When there is consent or waiver of client.
2. When disclosure is required by law.
3. When disclosure is made to protect the lawyers
rights (i.e., to collect his fees or defend himself, his
employees or associates or by judicial action).
4. When such communications are made in
contemplation of a crime or the perpetuation of a
fraud

LAWYER AS WITNESS
A lawyer shall avoid testifying in behalf of his client.
Reason: The function of a witness is to tell the facts as he
recalls them in answer to questions. 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.

F Instances when a lawyer may NOT testify as a witness
in a case which he is handling for a client:
1.
When such would adversely affect any lawful
interest of the client with respect to which
confidence has been reposed on him;
2.
Having accepted a retainer, he cannot be a
witness against his client;
3.
He cannot serve conflicting interests;
4.
When he is to violate the confidence of his client;
5.
When as an attorney, he is to testify on the theory
of the case.

F Instances when a lawyer may testify as a witness in a
case which he is handling for a client:
1.
On formal matters, such as the mailing,
authentication or custody of an instrument and
the like;
2.
Acting as an expert on his fee;
3.
Acting as an Arbitrator;
4.
Deposition;
5.
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.

INTERVIEWING WITNESSES
Witness- human instrumentality through which the law and
its ministers, the judges and lawyers, endeavors to ascertain
the truth and to dispense justice to the contending parties.

L EGAL E THICS

1.
A lawyer may interview a witness in advance of

trial to guide him in the management of the
litigation.
2.
A lawyer may also interview a prospective
witness for the opposing side in any civil or
criminal action without the consent of the
opposing counsel or party.
3.
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.
4.
If after trial resulting in defendants conviction,
his counsel has been advised that a prosecution
witness has committed perjury, it is not only
proper but it is the lawyers duty to endeavor
honorably to obtain such witness retraction, even
without advising the public prosecutor of his
purpose and even though the case is pending
appeal.
An adverse party, though he may be used as a witness,
is not, however, a witness within the meaning of the rule
permitting a lawyer to interview the witness of the opposing
counsel.

CANON 22: WITHDRAWAL OF SERVICES

TERMINATION OF ATTORNEY-CLIENT RELATIONSHIP

Instances When a Counsel Can Withdraw His Services
1.
When the client pursues an illegal or immoral
course or conduct in connection with the case he
is handling;
2.
When the client insists that the lawyer pursue
conduct violative of the Code of Professional
Responsibility;
3.
When his inability to work with co-counsel will
not promote the best interest of the client;
4.
When the mental or physical condition of the
lawyer renders it difficult for him to carry on the
employment effectively;
5.
When the client deliberately fails to pay the fees
for the services or fails to comply with the
retainer agreement;
6.
When the lawyer finds out that he might be
appearing for a conflicting interest;
(Note: In all the above cases, the lawyer must file a written
motion with an express consent of his client and must wait
for the approval of the court.)
7.
When the lawyer is elected or appointed to public
office;
8.
Other similar cases [Canon 22 Rule 22.01]

NOTE: A lawyer may withdraw as counsel only with the
conrent of the client and with leave of court, and only for
good cause enumerated in Rule 22.01 of the Code of
Profdssional Responsibility.

The relation of attorney-client relationship is
strictly personal and highly confidential and fiduciary.
Necessity and public interest require that it be so.

Discharge of the Attorney by Client
The client has the right to terminate at any time WITH
OR WITHOUT JUST CAUSE.
Just cause is material only in determining compensation.

Without just cause

18
And no express written agreement as to fees

reasonable value of his services up to the
date of his dismissal (quantum meruit)
And there is written agreement and the fee
stipulated is absolute and reasonable full
payment of compensation
And the fee stipulated is contingent
If dismissed before the conclusion
of the action reasonable value of
his services (quantum meruit)
If contingency occurs or client
prevents its occurrence full
amount
(Note: lawyer should question his discharge, otherwise he
will be allowed to recover on quantum meruit basis.)

With just cause

Lawyer is not necessarily deprived of his right to
be paid for his services. He may only be deprived of such
right if the cause for his dismissal constitutes in itself a
sufficient legal obstacle to recovery.

Limitations of Clients Right to Discharge His Counsel
1. Client cannot deprive counsel of his right to be
paid for services rendered if dismissal is without
cause;
2. Client cannot discharge counsel as an excuse to
secure repeated extensions of time;
3. Notice of discharge required in so far as court and
adverse party are concerned.

Duties of a Discharged Lawyer or One Who Withdraws
1. Immediately turn-over all papers and property to
which the client is entitled;
2. To cooperate with the succeeding lawyer in the
orderly transfer of the case.

Conditions for Substitution of Counsel
1. Written request for such substitution
2. Written consent of the client
3. Written consent of the attorney to be substituted
or in the absence thereof, proof of service of
notice of said motion to the attorney to be
substituted.

LIABILITIES OF A LAWYER

LIABILITY FOR DAMAGES
Requisites
1. Attorney - client relationship
2. Want of reasonable care & diligence
3. Injury sustained by client as proximate result
thereof.

Kinds of Damages
1. Nominal where client lost the litigation as a
consequence of lawyers gross omission or
negligence.
2. Actual/compensatory
3. Moral Damages
4. Attorneys fees
(Note: for nos. 2-4 there should be showing that had the
lawyer exercised due diligence client would have succeeded
in recovering from adverse party.)

Liability for Breach of Fiduciary Obligation
Lawyer holds his clients funds or property in

trust for clients and is obliged to make an accounting of such
funds that come to his possession.

Effect of Failure to Return Clients Money or Property
After Demand
1.
Presumption that he misappropriated the same
2.
Civilly liable in favor of client
3.
Criminal liability
4.
Administrative liability

Remedy of Client
Recover property from lawyer together with its
fruits, subject to clients returning to his lawyer purchase
price & legal interest.

Libelous Words in Pleadings
A lawyer is exempted from liability for slander,
libel or otherwise defamatory, published in course of judicial
proceedings, PROVIDED statements are connected with,
relevant, pertinent and material to cause in hand or subject
of inquiry

Test of Relevancy
The matter to which the privilege does not extend
must be palpably wanting in relation to subject of
controversy, that no reasonable man can doubt its relevancy
or propriety.
Pleadings should contain plain and concise
statements of material facts and if pleader goes beyond
requisites of law and alleges irrelevant matter which is
libelous, he loses his privilege and may be liable in separate
suit.

Liability for Costs of Suit
General Rule: Losing client and not the lawyer is liable for
costs of suit in favor of prevailing party, lawyer not being
party-litigant.
Exception: Where the lawyer insisted on clients patently
unmeritorious case or interposed appeal to delay litigation
or thwart prompt satisfaction of prevailing partys just and
valid claim, court may adjudge lawyer to pay treble costs of
suit.

CRIMINAL LIABILITY
A lawyer may be held criminally liable if he
commits any of the following:
1. Causing prejudice to client thru malicious breach
of professional duty or thru inexcusable
negligence or ignorance.
2. Revealing clients secrets learned in lawyers
professional capacity thru malicious breach of
professional duty or inexcusable negligence or
ignorance.

Specific Acts which May Result to Criminal Liability
1. A lawyer who has undertaken the defense of
client or has received confidential information
from said client in a case may be criminally liable
for undertaking defense of opposing party in
same cause without consent of first client.[Art.
209, RPC]
2. A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to the
damage of another or who, with intent to cause
such damage, shall use any false document may be
held criminally liable therefor. [Art.172, RPC]
3. A lawyer who misappropriates his clients funds
may be held liable for estafa.
AND
S UBJECT
C HAIRPERSONS

19
M EMORY A ID IN

CONTEMPT OF COURT
Nature
It is exercised on preservative and not on
vindictive principle and on corrective rather than the
retaliatory idea of punishment, for purposes that are
impersonal. It is criminal in nature.
The power to punish for contempt is inherent in
all courts. It is essential in the observance of order in judicial
proceedings and to enforcement of judgment, orders and
writs.

Kinds of Contempt
1. Direct Contempt consists of misbehavior in the
presence of or so near a court or judge as to
interrupt or obstruct the proceedings before the
court or the administration of justice
2. Indirect or Constructive Contempt one
committed away from the court involving
disobedience of or resistance to a lawful writ,
process, order, judgment or command of the
court, or tending to belittle, degrade, obstruct,
interrupt or embarrass the court
3. Civil Contempt failure to do something ordered
by the court which is for the benefit of a party
4. Criminal Contempt consists of any conduct
directed against the authority or dignity of the
court.

Acts of a Lawyer Constituting Contempt
1. Misbehavior as officer of court
2. Disobedience or resistance to court order
3. Abuse or interference with judicial proceedings
4. Obstruction in administration of justice
5. Misleading courts
6. Making false allegation, criticisms, insults, veiled
threats against the court
7. Aiding in unauthorized practice of law
(suspended or disbarred)
8. Unlawful retention of clients funds
9. Advise client to commit contemptuous acts

III. BAR DISCIPLINE

POWER TO DISCIPLINE ERRANT LAWYERS

1.
The Supreme Court has the full authority and power
to (WARDS)
a. Warn
b. Admonish
c. Reprimand
d. Suspend and
e. Disbar a lawyer
[Section 27, Rules 138, Rules of Court]

2.
The Court of Appeals and the Regional Trial Courts
are also empowered to (WARS)
a.
Warn
b.
Admonish
c.
Reprimand and
d.
Suspend an attorney who appears
before them from the practice of law
for any of the causes mentioned in
Section 27, Rule 138 [Section 16, Rule
139-B].
Note: But they cannot disbar a lawyer.
L EGAL E THICS

FORMS OF DISCIPLINARY MEASURES (WARS CD)

1. Warning an act or fact of putting one on his

2.
3.
4.
5.
6.
guard against an impending danger, evil

consequences or penalties.
Admonition a gentle or friendly reproof, mild
rebuke, warning or reminder, counseling, on a
fault, error or oversight, an expression of
authoritative advice.
Reprimand a public and formal censure or
severe reproof, administered to a person in fault
by his superior officer or a body to which he
belongs.
Suspension temporary withholding of a
lawyers right to practice his profession as a
lawyer for a certain period or for an indefinite
period of time.
a.
Definite
b.
Indefinite qualified disbarment;
lawyer determines for himself for how
long or how short his suspension shall
last by proving to court that he is once
again fit to resume practice of law.
Censure - Official reprimand.
Disbarment - It is the act of the Philippine
Supreme Court in withdrawing from an attorney
the right to practice law. The name of the lawyer
is stricken out from the roll of attorneys.

SUSPENSION AND DISBARMENT
Nature of Proceedings
1. NOT a civil action because there is no plaintiff and
no respondent, involves no private interest. The
complainant is not a party and no interest in the
outcome except as all citizens have in proper
administration of justice, no redress for private
grievance.
2. NOT a criminal prosecution because it is not
meant as a punishment depriving him of source of
livelihood but rather to ensure that those who
exercise the function should be competent,
honorable and reliable so that public may repose
confidence in them.
3. SUI GENERIS, it is a class of its own since it is
neither civil nor criminal
4. Confidential in nature.
5. Defense of double jeopardy is not available.
6. Can be initiated by the SC motu propio or by the
IBP. It can be initiated without a complaint;
7. Can proceed regardless of interest of the
complainants;
8. Imprescriptible;
9. It is itself due process of law.

Reason for Making Disbarment Proceedings
Confidential
To enable the Supreme Court to make its
investigation free from any extraneous influence or
interference as well as to protect the personal and
professional reputation of attorneys and judges from the
baseless charges of disgruntled, vindictive and irresponsible
clients and litigants. [In Re: Abistado, 57 Phil 668]


20
GROUNDS FOR SUSPENSION OR DISBARMENT OF

MEMBERS OF THE BAR
1. Under Rule 138, Sec. 27 of the Revised Rules of
Court:
a.
Deceit- is a fraudulent and deceptive
misrepresentation, artifice of device used by one
or more persons to deceive and trick another,
who is ignorant of the true facts to the prejudice
and damage of the party imposed upon. There
must be false representation as matter of fact.
(Example: Misappropriation of clients fund)

b.
Malpractice,
or
other
gross
misconduct in office- any malfeasance or
dereliction of duty committed by a lawyer.
(Example: Failure of lawyer to appeal in allowing
the period of appeal to lapse)
Legal Malpractice- consists of failure of an
attorney to use such skill, prudence and diligence
as lawyers of ordinary skill and capacity
commonly possess and exercise in the
performance of tasks which they undertake, and
when such failure proximately causes damage, it
gives rise to an action in tort. [Tan Tek Beng vs.
David, 126 SCRA 389]

c.
Grossly immoral conduct- that
conduct which is willful, flagrant or shameless
and which shows a moral indifference to the
opinion of the good and respectable members of
the community.

? CASE: In the case of Arciaga vs. Maniwang [106 SCRA
591], mere intimacy between a lawyer and a woman with no
impediment to marry each other voluntarily cohabited and
had two children, is neither so corrupt as to constitute a
criminal act nor so unprincipled as to warrant disbarment or
disciplinary action against the man as a member of the bar.

d.
Conviction of a crime involving moral
turpitude (Examples: estafa, bribery,
murder, bigamy, seduction, abduction,
concubinage, smuggling, falsification of
public document, violation of B.P. 22)

e.
Violation of oath of office
f.
Willful disobedience of any lawful order
of a superior court
g.
Corruptly or willfully appearing as an
attorney for a party to a case without
authority to do so.

2. Acquisition of an interest in the subject matter of
the litigation, either though purchase or
assignment [Art. 1491, Civil Code]

3. Breach of professional duty, inexcusable
negligence, or ignorance, or for the revelation of
the clients secrets [Art. 208, Revised Penal Code]

4. Representing conflicting interests [Art. 209,
Revised Penal Code]

Grounds for disbarment NOT EXCLUSIVE:
The statutory enumeration of the grounds for
disbarment or suspension is not to be taken as a limitation
on the general power of courts to suspend or disbar a
lawyer. The inherent power of court over its officers cannot
be restricted. [Quingwa vs. Puno, Admin. Case No 398, Feb. 28,
1967] The Supreme Court has disbarred or suspended
lawyers for reasons not found in the statute as when their

acts are contrary to honesty or good morals or do not
approximate the highest degree of morality and integrity
expected of the members of the bar. [Sta. Maria vs. Tuazon,
Admin. Case No. 396, July 31, 1964].

Quantum of Evidence Required: clear, convincing and
satisfactory evidence
Burden of Proof: rests on the complainant, the one who
instituted the suit

BREACH OF DUTIES OF A LAWYER

Breach of Duties to Court
1. Obstructing Administration of justice
constitutes misconduct and justifies disciplinary
action against him and contempt of court.
(Example: Forum shopping)
2. Misleading court knowingly making false
allegation in pleadings, misquoting text of
documents, suppressing material facts
3. Preferring false charges filing or prosecuting
false charges against another for his action is
violative of duty to do falsehood nor consent to
doing of any in court, nor wittingly or willingly
promote or sue any false, groundless, unlawful
suit.

Requisites
a. Charges are fake
b. Lawyer knows them to be so
4. Introducing False Evidence it is a violation of
oath to do no falsehood nor consent to doing of
any in court. When false testimony is material to
inquiry or relevant to issue, it requires suspension
or disbarment. On the other hand, when the
testimony is immaterial or irrelevant and does
not cause substantial prejudice, it only warrants
lesser sanction, such as warning or reprimand
5. Willfully disobeying court orders lawyer may
be punished for contempt and disciplined as
officer of court.
6. Using vicious or disrespectful language
constitutes direct contempt; violation of oath and
Code of Professional Responsibility.
7. Continue to practice after suspension
constitutes gross misconduct and willful
disregard of suspension order.

Breach of Duties to Client
1. Negligence in performance of duties
Requisites to Warrant Suspension or Disbarment:
i.
Negligence and carelessness which must
be gross in character
ii.
Caused material prejudice to client
Note: Mere negligence without pecuniary
damages justifies only reprimand or censure
except when breach of duty to client is a gross
violation of obligation to court.
2. Employment of unlawful means
3. Deceit or misrepresentation
Requisites
AND
S UBJECT
C HAIRPERSONS

21
M EMORY A ID IN
a.
Bad faith on the part of the lawyer
b.
Material damage to client
4. Representing adverse Interest and revealing
clients secrets - If there is no written consent of
client, a lawyer may not represent conflicting
interest. The fact that lawyer did not acquire
confidential information from client nor use the
same against the latter does not excuse him from
responsibility.
5. Purchase clients property in litigation
Requisites:
a. Lawyer is counsel for client at the time he
acquired the property
b. Property is subject of litigation
c.
Acquires it by himself or through another
d. Acquires property during pendency of
litigation
6. Failing to account or misappropriation of
clients property - presupposes fraudulent intent
of lawyer. Immediate repayment by lawyer of
clients money or property after demand but
before institution by client of disbarment
proceedings negate fraudulent intent. If the
lawyer has a lien, it cannot be used as an excuse
for not making an accounting.
7. Collecting unreasonable fees Where the law
fixes the maximum amount which lawyer may
charge client, collection of more than what law
allows constitutes malpractice.
8. Acting without authority - a lawyer can bind client
without special power of attorney only on
procedural matters
9. Willfully appearing without being retained -It
must be willful, corrupt or contumacious in order
that he may be held liable.

Breach of Duties to Bar
a.
Unethical conduct or unprofessional conduct -
that which violates rules or ethical code of legal
profession.
b.
Defaming fellow lawyer Use of improper and
objectionable language against another lawyer or
accuse him wantonly and maliciously of a serious
misconduct in the absence of reasonable cause
constitutes misconduct. Strongly worded
statements by a lawyer against opposing lawyer,
if justified by records, may not justify disciplinary
action against him.
c.
Encroaching upon business of another
d.
Soliciting business - for purpose of gain,
personally or through paid agents is
MALPRACTICE and agreeing with non-lawyer to
divide lawyers fees paid by client or for
solicitation by non-lawyer.
e.
Advertising

OTHER GROUNDS FOR DISCIPLINE

1. NON-PROFESSIONAL MISCONDUCT
General Rule: Lawyer may not be suspended or disbarred
for misconduct in his non-professional or private capacity.
Exception: Where such is so GROSS to show him to be
morally unfit for office or unworthy of privilege, court may
be justified in suspending or removing him from the roll of
attorneys.

2. GROSS IMMORALITY- AN ACT OF PERSONAL
IMMORALITY ON THE PART OF THE LAWYER IN HIS
L EGAL E THICS

PRIVATE RELATION WITH OPPOSITE SEX MAY PUT
CHARACTER IN DOUBT. BUT TO JUSTIFY SUSPENSION
OR DISBARMENT, THE ACT MUST NOT ONLY BE
IMMORAL, IT MUST BE GROSSLY IMMORAL. (ABAIGAR
VS. PAZ)

Grossly Immoral Conduct one so corrupt and false as to
constitute criminal act or so unprincipled or disgraceful as to
be reprehensible to a high degree. Cohabitation per se is not
grossly immoral, it depends on circumstances and it is not
necessary that there be prior conviction for offense before
lawyer may be disciplined for gross immorality. If the
evidence is not sufficient to hold the lawyer liable for gross
immorality, he may still be reprimanded where evidence
shows failure on his part to comply with rigorous standards
of conduct required from lawyers.

3. CONVICTION OF CRIME INVOLVING MORAL
TURPITUDE
All crimes of which fraud or deceit is an element or those
inherently contrary to rules of right conduct, honesty or
morality in civilized community

4. PROMOTING TO VIOLATE OR VIOLATING PENAL
LAWS

5. MISCONDUCT IN DISCHARGE OF OFFICIAL DUTIES
A lawyer who holds a government office may not be
disciplined as a member of the bar for misconduct in the
discharge of his duties as a government official. If the
misconduct, however, is in violation of the Code of
Professional Responsibility or of his oath as a lawyer or is of
such a character as to affect his qualifications as a lawyer, he
may be subject to disciplinary action such as disbarment
(Collantes vs. Renomeron). This rule does not apply to
impeachable officials like SC Justices, Members of the
Constitutional Commission and Ombudsman because they
can be removed only by impeachment.

6. COMMISSION OF FRAUD OR FALSEHOOD

7. MISCONDUCT AS NOTARY PUBLIC
By applying for having himself commissioned as notary
public, lawyer assumes duties in dual capacity, the non-
performance of which be may be a ground for discipline as
member of bar.

OFFICERS AUTHORIZED TO INVESTIGATE DISBARMENT
CASES
1. Supreme Court
2. Integrated Bar of the Philippines (IBP) through its
Commission on Bar Discipline or authorized
investigators
3. Office of the Solicitor General

GRIEVANCE PROCEDURE: DISBARMENT, SUSPENSION,
AND DISCIPLINE OF ATTORNEYS (Rule 139-B)
F Proceedings for the disbarment, suspension and
discipline of attorneys may be taken:
1.
by the Supreme Court motu proprio, or,
2.
by the IBP upon the verified complaint of
any person
F The IBP Board of Governors may initiate and prosecute
proper charges against erring attorneys including
those in government:
1.
motu propio or
2.
upon referral by the SC or
3.
by a Chapter Board of Officers or at the
instance of any person.

22
The complaint must be:

1.
verified;
2.
state clearly and concisely the facts
complained of;
3.
supported by affidavits of persons having
personal knowledge of the facts therein
alleged, or by such documents as may
substantiate it;
4. six (6) copies shall be filed with the Secretary
of IBP or any of its Chapters.

OUTLINE OF DISBARMENT PROCEEDING IN THE IBP
(RULE139-B)
1.
The case shall be assigned to a National Grievance
Investigator where the Board of Governors shall
appoint one from among IBP members of three
(3) when special circumstances warrant;
2.
If the complaint is meritorious, the respondent
shall be served with a copy requiring him to
answer within 15 days from service;
3.
The respondent shall file an answer containing six
(6) copies and shall verify the same; after receipt
of the answer or lapse of the period to do so, the
Supreme Court ,may, motu propio or at the
instance of the IBP Board of Governors, upon
recommendation by the Investigator, suspend an
attorney from practice, for any of the causes
under Rule 138, Sec. 27, during the pendency of
the investigation;
4.
After joinder of the issues or failure to answer, the
respondent shall be given full opportunity to
defend himself. But if the respondent fails to
appear to defend himself inspite of notice, the
investigator may proceed ex parte. The
investigation shall be terminated within three (3)
months from commencement which period may
be extended;
5.
The Investigator shall make a report to the Board
of Governors within 30 days from termination of
the investigation which report shall contain his
findings and recommendations together with the
evidence;
6.
The Board of Governors shall have the power to
review the decision of the Investigator. Its
decision shall be promulgated within a period not
exceeding 30 days from the next meeting of the
Board following the submission of the report of
the Investigator:
a.
If the decision is a finding of guilt of the
charges, the IBP Board of Governors shall issue a
resolution setting forth its findings and
recommendations which shall be transmitted to
the Supreme Court for final action together with
the record;
b.
If the decision is for exoneration, or if
the sanction is less than suspension or dismissal,
the Board shall issue a decision exonerating the
respondent or imposing a lesser sanction. The
resolution exonerating the respondent shall be
considered as terminating the case unless upon
petition of the complainant or other interested
party filed with the Supreme Court within 15 days
from notice of the Boards decision.

PROCEDURE FOR DISBARMENT IN THE SUPREME COURT
1.
Upon the initiation of the complaint, the Supreme
Court may refer the case for investigation to the
Solicitor General, or any officer of the Supreme
Court, or judge of a lower court;
2.
If referred, the investigator shall proceed with the

investigation and make a report to the Supreme
Court.

Rules in the Imposition of Penalties
a. In case of Suspension
Division 1 year or less
En Banc exceeds 1 year

b. In case of Fine
Division P10,000 or less
En Banc P10,000 or more

c. In case of both Suspension and Fine en banc if
the suspension exceeds 1 year or the fine
exceeds P10, 000.
d. In case of 2 or more suspensions service will be
successive, not simultaneous

Investigating Judge CANNOT dismiss case
? CASE: The investigating judges authority is only to
investigate, make a report and recommendation on the case
to be submitted to the SC for final determination. [Graciano
vs. Sebastian, 231 SCRA 588]

Effect of desistance, withdrawal of complaint or non-
appearance of complainant in disbarment proceedings
The desistance or the withdrawal of the
complainant of the charges against a judge does not deprive
the court the authority to proceed to determine the matter.
Nor does it necessarily result in the dismissal of the
complaint except when, as a consequence of the withdrawal
or desistance no evidence is adduced to prove the charges.
This rule is founded on the rationale that a disbarment
proceeding is neither civil nor criminal but one prosecuted
solely for the public interest. What is important is whether
the charges against the respondent have been duly proved.
(Note: The same principle applies to administrative charges
against judges.)

Doctrine of RES IPSA LOQUITOR (the thing speaks for
itself)

? CASES: This principle or doctrine applies to both judges
and lawyers. Judges had been dismissed from the service
without need for a formal investigation because based on
the records, the gross misconduct or inefficiency of the
judges clearly appears. [Uy vs. Mercado, 154 SCRA 567].
The same principle applies to lawyers. Thus, on the
basis of the lawyers comment or answer to a show-cause
order of SC, it appears that the lawyer has so conducted
himself in a manner which exhibits his blatant disrespect to
the court, or his want of good moral character or his
violation of the attorneys oath, the lawyer may be
suspended or disbarred without need of a trial-type
proceeding. What counts is that the lawyer has been given
the opportunity to give his side. [Prudential Bank vs. Castro
155 SCRA 604]

DEFENSES
The purpose and nature of disbarment
proceedings make the number of defenses available in civil
and criminal actions inapplicable in disciplinary
proceedings. The Statute of Limitations is not a defense in
disciplinary proceedings nor does the fact the circumstance
that facts set up as ground for disbarment constitute crime,
the prosecution for which in criminal action is barred by
prescription, preclude the disbarment proceeding.
However, the fact that a considerable length of
time has lapsed from the date the misconduct took place to
AND
S UBJECT
C HAIRPERSONS

23
M EMORY A ID IN
date the complaint for disbarment was filed may indicate
ulterior motive on the part of complainant or innocence on
the part of respondent.

MODIFYING CIRCUMSTANCES
Extent of disciplinary action depends on
attendance of mitigating or aggravating circumstance.

Mitigating Circumstances
1.
Good faith
2.
Want of intention to commit wrong
3.
Lack of material damage to complainant
4.
Desistance of complainant
5.
Youth and inexperience, etc.
Aggravating Circumstances
1.
Abuse of authority or of attorneyclient
relationship
2.
Sexual intercourse with a relative
3.
Charge of gross immorality
4.
Previous dismissal as member of the bar

EFFECT OF EXECUTIVE PARDON

If during the pendency of disbarment proceeding
the respondent was granted executive pardon, the dismissal
of the case on that sole basis will depend on whether the
executive pardon is absolute or conditional. If the pardon is
absolute, the disbarment case will be dismissed. However, if
the executive pardon is conditional, the disbarment case will
not be dismissed on the basis thereof.
Absolute pardon by President may wipe out
conviction as well as offense itself and the grant thereof in
favor of a lawyer is a bar to a proceeding for disbarment
against him based solely on commission of such offense. The
reason is that the respondent lawyer, after the absolute
pardon, is as guiltless and innocent as if he never committed
the offense at all.
If absolute pardon is given to lawyer after being
disbarred for conviction of crime, it does not automatically
entitle him to reinstatement to the bar. It must be shown by
evidence aside from absolute pardon that he is now a person
of good moral character and fit and proper person to
practice law. In case of a conditional pardon, there will be a
remission of unexpired period of sentence.

EFFECTS OF DEATH OF LAWYER DURING PENDENCY OF
DISCIPLINARY ACTION AGAINST HIM
1. Renders action moot and academic
2. (But) court may still resolve case on the merit in order
to clear publicly the name of the lawyer.

JUDGMENT

DISMISSAL OF CASE

In the absence of convincing or clearly
preponderant evidence, disbarment case against him should
be dismissed. However, the court can still impose conditions
despite dismissal of disciplinary action against him, if the
facts so warrant and in the event the lawyer fails to comply
with such condition, it may suspend or disbar him for
disobedience of its order.

SUSPENSION OR DISBARMENT

A lawyer who has been suspended or disbarred
cannot practice law without being held liable for contempt
of court. The suspended lawyer may be disbarred for
violation of the suspension order. Such judgment does not
prohibit pro se practice (Geeslin vs. Navarro; 185 SCRA).
L EGAL E THICS

If the lawyer holds a government office which
requires membership in the bar as an indispensable
qualification, he may be dismissed from said office
(Collantes vs. Renomeron; 200 SCRA).

REINSTATEMENT

The Supreme Court has the exclusive authority to
reinstate. This is based on its constitutional prerogative to
promulgate rules on the admission of applicants to the
practice of law. Petitioner must prove that he is once again
fit and proper person to practice law. The following must be
taken into consideration:
1.
the applicants character and standing prior to
disbarment;
2.
the nature or character of misconduct for which
he is disbarred;
3.
his conduct subsequent to disbarment [Cui vs. Cui,
11 SCRA 755];
4.
including his efficient government service [In re
Adriatico, 17 Phil 324]
5.
the time that has elapsed between disbarment
and the application for reinstatement and the
circumstances that he has been sufficiently
punished and disciplined [Prudential Bank vs.
Benjamin Grecia, 192 SCRA 381]
6.
applicants appreciation of significance of his
dereliction and his assurance that he now
possesses the requisite probity and integrity;
7.
favorable endorsement of the IBP, pleas of his
loved ones [Yap Tan vs. Sabandal, 170 SCRA 207].

The court may require applicant for
reinstatement to enroll in and pass the required fourth year
review classes in a recognized law school. [Cui vs. Cui, 11
SCRA 755; In re Rusiana, 56 SCRA 240]

A previously disbarred lawyer who is given
absolute pardon by the President is not automatically
reinstated, he must still file a petition for reinstatement with
the SC.

Condition for Reinstatement
A lawyer who has been suspended or disbarred
may be reinstated when the SC is convinced that he has
already possessed the requisites of probity and integrity
necessary to guarantee his worth to practice his profession.

EFFECTS OF REINSTATEMENT

1. Recognition of moral rehabilitation and mental
fitness to practice law;
2. Lawyer shall be subject to same law, rules and
regulations as those applicable to any other
lawyer;
3. Lawyer must comply with the conditions imposed
on his readmission

IV. JUDICIAL ETHICS

Judicial Ethics branch of moral science which treats of the
right and proper conduct to be observed by all judges and
magistrates in trying and deciding controversies brought to
them for adjudication which conduct must be demonstrative
of impartiality, integrity, competence, independence, and
freedom from improprieties.

Court a board or other tribunal which decides a litigation
or contest


24
Judge a public officer who, by virtue of his office, is clothed

with judicial authority

De Jure Judge one who is exercising the office of a judge
as a matter of right; an officer of a court who has been duly
and legally appointed

De Facto Judge an officer who is not fully invested with all
the powers and duties conceded to judges, but exercising the
office of a judge under some color of right

QUALIFICATIONS

Supreme Court and Court of Appeals Justices
1.
Natural-born citizen of the Philippines;
2.
3.
Must have been for 15 years or more a judge of
a lower court or engaged in the practice of law;
4.
Must be a person of proven competence,
integrity, probity and independence.

RTC Judges
1.
2.
3.
For at least 10 years has been engaged in
the practice of law in the Philippines or has
held a public office in the Philippines
requiring admission to the practice of law
as an indispensable requisite.
MTC Judges
1.
2.
3.
For at least 5 years has been engaged in the
practice of law in the Philippines or has held
public office in the Philippines requiring
admission to the practice of law as an
indispensable requisite.

JUDICIAL DEPORTMENT

Attitude Towards Counsel
He must be courteous especially to the young and
inexperienced. He should not interrupt in their arguments
except to clarify his mind as to their positions. He must not
be tempted to an unnecessary display of learning or
premature judgment. He may criticize and correct
unprofessional conduct of a lawyer but not in insulting
manner.

Attitude Toward Litigants and Witness
He must be considerate, courteous and civil, and
he must not utter intemperate language during hearing of
case.

Proper Judicial Conduct
Conduct self as to be beyond reproach and
suspicion and be free from appearance of impropriety in
their personal behavior not only in discharge of official
duties but also in their everyday life.

Cold Neutrality of Impartial Judge
A judge should not only render just, correct and
impartial decision but do so in manner free from suspicion
as to its fairness and impartiality and as to his integrity. It is
indispensable requisite of due process.

NEW CODE OF JUDICIAL CONDUCT FOR THE PHILIPPINE
JUDICIARY
(A.M. No. 03-05-01-SC)
(June 1, 2004)
supersedes the Canons of Judicial Ethics and the Code
of Judicial Conduct to the extent that the provisions or
concepts therein are embodied in this Code, provided,
that in case of deficiency or absence of specific
provisions in this Code, the Canons of Judicial Ethics
and the Code of Judicial Conduct shall be applicable in a
suppletory character.

CANON-
i.
ii.
iii.
iv.
v.
vi.
Independence
Integrity
Impartiality
Propriety
Equality
Competence and Diligence

PURPOSE: to update and correlate the Code of Judicial
Conduct and the Canons of Judicial Ethics adopted for
the Philippines, but also to stress the Philippines
solidarity with the universal clamor for a universal
code of judicial ethics.

CANON 1: INDEPENDENCE

In performing judicial duties, judges should:
1.
function independently on the basis of their
assessment of the facts and in accord with a
conscientious understanding of the law, free from
any extraneous influence, inducement, pressure,
threat or interference.
2.
be independent from judicial colleagues in respect
of decisions.
3.
not allow family, social, or other relationships to
influence judicial conduct or judgment.
(NOTE: The prestige of judicial office shall not be used
or lent to advance the private interests of others, nor
convey or permit others to convey the impression that
they are in a special position to influence the judge.)
4.
be free from inappropriate connections with, and
influence by, the executive and legislative
branches of government.
5.
be independent in relation to society in general
and in relation to the particular parties to a
dispute which she/he has to adjudicate.
6.
encourage and uphold safeguards for the
discharge of judicial duties.
(REASON: To maintain and enhance the institutional
and operational independence of the judiciary.)
7.
exhibit and promote high standards of judicial
conduct.
(REASON: To reinforce public confidence in the
judiciary.)

?
Judges shall refrain from influencing in any
manner the outcome of litigation or dispute pending before
another court or administrative agency.

CANON 2: INTEGRITY
Conduct of judges must:
1. be above reproach, and be so in the view of a
reasonable observer.
2. reaffirm the peoples faith in the integrity of the
judiciary.

?
Judges should take or initiate appropriate
disciplinary measures against lawyers or court personnel for
AND
S UBJECT
C HAIRPERSONS

25
M EMORY A ID IN
unprofessional conduct of which the judge may have become
aware.

CANON 3: IMPARTIALITY
? Judges shall perform their judicial duties without favor,
bias or prejudice.

DISQUALIFICATIONS OF JUDGES

Grounds for Disqualification and Inhibition of Judges
Under the New Code of Judicial Conduct:
Judges shall disqualify themselves from
participating in any proceedings in which they are unable to
decide the matter impartially OR in which it may appear to a
reasonable observer that they are unable to decide the
matter impartially. Such proceedings include, but are NOT
limited to, instances where:
1. the judge has actual bias or prejudice concerning
a party or personal knowledge of disputed
evidentiary facts concerning the proceedings;
2. the judge previously served as a lawyer or was a
material witness in the matter in controversy;
3. the judge, or a member of his or her family, has an
economic interest in the outcome of the matter in
controversy;
4. the judge served as executor, administrator,
guardian, trustee, or lawyer in the case or matter
in controversy, or a former associate of the judge
served as counsel during their association, or the
judge or lawyer was a material witness therein;
5. the judges ruling in a lower court is the subject of
review;
6. the judge is related by consanguinity or affinity to
a party litigant within the sixth civil degree or to
counsel within the fourth civil degree; or
7. the judge knows that his or her spouse or child
has a financial interest, as heir, legatee, creditor,
fiduciary, or otherwise, in the subject matter in
controversy or in a party to the proceeding, or any
other interest that could be substantially affected
by the outcome of the proceedings. (Sec. 5)

Remittal of Disqualification: A judge disqualified as stated
above may, instead of withdrawing from the proceeding,
disclose on the records the basis of disqualification. If based
on such disclosure, the parties and lawyers independently of
the judges participation, all agree in writing that the reason
for the inhibition is immaterial or unsubstantial, the judge
may then participate in the proceeding. The agreement,
signed by all parties and lawyers, shall be incorporated in
the record of the proceedings. (Sec. 6)

Grounds for Disqualification and Inhibition of Judges
Under the Rules of Court:
1. Mandatory or Compulsory Disqualification [Rule 137,
ROC]
a.
when he, or his wife, or child is pecuniarily
interested as heir, legatee, creditor or
otherwise
b.
when he is related to either party within the
sixth (6th) degree of consanguinity or affinity
or to counsel within the fourth (4th) civil
degree
c.
when he has been an executor, guardian,
administrator, trustee or counsel
d.
when he has presided in an inferior court
where his ruling or decision is subject to
review
L EGAL E THICS

2. Voluntary Inhibition
A judge may, in the exercise of his sound
discretion disqualify himself, for just and valid reasons other
than those mentioned above. [Section 1, Rule 137]
This leaves the discretion to the judge to decide
for himself questions as to whether he will desist from
sitting in case for other just and valid reasons with only his
conscience to guide him, unless he cannot discern for
himself his inability to meet the test of the cold neutrality
required of him, in which event the appellate court will see
to it that he disqualifies himself.
A decision to disqualify himself is not conclusive
and his competency may be determined on application for
mandamus to compel him to act. Judges decision to continue
hearing a case in which he is not legally prohibited from
trying notwithstanding challenge to his objectivity may not
constitute reversible error.

The filing of an administrative case against a
judge does not disqualify him from hearing a case. The court
has to be shown other than the filing of administrative
complaint, act or conduct of judge indicative of arbitrariness
or prejudice before the latter being branded as the stigma of
being biased or partial.

*DISQUALIFICATION vs. INHIBITION
DISQUALIFICATION
INHIBITION
1. The Rules enumerates the 1. The Rules does not
specific
and
exclusive
expressly
grounds under which any
enumerate
the
judge or judicial officer is
specific grounds for
disqualified from acting as
inhibition
but
such.
merely gives a
broad basis thereof,
i.e. good, sound or
ethical grounds
2. Rule gives the judicial

officer no discretion to try or
sit in a case
2. Rules leaves the

matter of inhibition
to
the
sound
discretion of the
judge

? CASE: The second paragraph of Section 1, Rule 137 does
not give the judge the unfettered discretion to decide
whether or not he will desist from hearing a case. the
inhibition must be for just and valid causes. The mere
imputation of bias or partiality is not enough grounds for a
judge to inhibit, especially when the same is without any
basis. (People vs. Kho, 357 SCRA 290, April 20, 2001)

CANON 4: PROPRIETY

Judges shall, in their personal relations with
individual members of the legal profession who practice
regularly in their court, avoid situations which might
reasonably give rise to the suspicion or appearance of
favoritism or partiality. (Sec. 3)

Judges shall not allow the use of their residence
by a member of the legal profession to receive clients of the
latter or of other members of the legal profession. (Sec. 5)


26
PROHIBITION TO DISCLOSE INFORMATION

Confidential information acquired by judges in
their judicial capacity shall not be used or disclosed by for
any other purpose related to their judicial duties. (Sec. 9)
The prohibition will discourage if not stop judges
from making business speculations in some business
ventures, the secrets of which he learned by reason of his
position as a judge.
The judge may be liable for violation of Section
3(k) of RA 3019 divulging valuable information of a
confidential character, acquired by his office or by him on
account of his official position to unauthorized persons or
releasing such information in advance of its authorized
release due.
Violation of the rule may also lead to revelation
of secrets by an officer or to revelation of the secrets of a
private individual punishable by Articles 229 and 230 of the
Revised Penal Code respectively.

PROHIBITION TO PRACTICE LAW
Judges shall not practice law whilst the holder of
judicial office. (Sec. 11)
Section 35 of Rule 138 of Rules of Court prohibits
judges, officials or employees of superior courts xxx from
engaging in private practice as members of the bar and in
giving professional advice to clients.

? CASES: The reason for the prohibition has been
explained in Dia-Anonuevo vs. Bercacio [68 SCRA 81]. The
Supreme Court held that the rule disqualifying a municipal
judge from engaging in the practice of law seeks to avoid the
evil of possible use of the power and influence of his office to
affect the outcome of a litigation where he is retained as
counsel. Compelling reasons of public policy lie behind this
prohibition, and judges are expected to conduct themselves
in such a manner as to preclude any suspicion that they are
representing the interests of party litigant.
In De Castro vs. Capulong [118 SCRA 52] a judge
who merely acted as a witness to a document and who
explained to the party waiving his right of redemption over
the mortgaged properties and the consequences thereof
does not engage himself in the practice of law.

PROHIBITION AGAINST ACCEPTING GIFTS, BEQUEST OR
LOANS
General Rule: (1) Judges and members of their families,
as well as (2) court staff or others subject to their influence,
direction or authority, shall neither ask for, nor accept, any
gift, bequest, loan or favor in relation to anything done or to
be done or omitted to be done by him or her in connection
with the performance of judicial duties.(Sec. 13 and 14)
Exception: Subject to law and to any legal requirements
of public disclosure, judges may receive a token, gift, award
or benefit as appropriate to the occasion on which it is made
provided that such gift, award or benefit might not
reasonably be perceived as intended to influence the judge
in the performance of judicial duties or otherwise give rise
to an appearance of partiality.(Sec. 15)

Bribery; Direct or Indirect
Acceptance of gifts given by reason of the office of
the judge is indirect bribery [Art. 211 Revised Penal Code]
and when he agrees to perform an act constituting a crime in
connection with the performance of his official duties in
consideration of any offer, promise, gift or present receive
by such officer, he is guilty of direct bribery. [Art. 210 Revised
Penal Code]

Anti-Graft and Corrupt Practices Act

Under RA 3019, the judge is liable criminally for
directly or indirectly receiving gifts, present or other
pecuniary or material benefit for himself or for another
under conditions provided in Section 2, b and c of the law..
Exception: Excepted are unsolicited gifts or presents of
small value offered or given as a mere ordinary token of
gratitude or friendship according to local custom or usage
[Section 14, RA 3019].

Void Donations Under the Civil Code

Donations given to a judge or to his wife,
descendants or ascendants by reason of his office are void
[Art. 739, Civil Code]. Ownership does not pass to the donee.
Money or property donated is recoverable by the donor, his
heirs or creditors.

Loans Prohibited Under the Constitution
Under Section 16 Article XI No loan, guarantee or
other form of financial accommodation for any business
purpose may be granted directly or indirectly by any
government-owned or controlled bank or financial
institution to xxx members of the Supreme Court xxx during
their tenure.

Taking or Receiving Loans From Litigants
It is a serious misconduct for a judge to receive
money from a litigant in the form of loans which he never
intended to pay back. Even if the judge intends to pay, it is
an act of impropriety to take a loan from a party-litigant. The
judge could not be wholly free from bias in deciding a case
where his lender is a party. A judge should always strive to
be free from suspicion and all forms of improprieties.

CANON 5: EQUALITY

Judges shall not, in the performance of judicial
duties, by words or conduct, manifest bias or prejudice
towards any person or group on irrelevant grounds. (Sec. 2)

CANON 6: COMPETENCE AND DILIGENCE

Judges shall take reasonable steps to maintain and
enhance their knowledge, skills and personal qualities
necessary for the proper performance of judicial duties,
taking advantage for this purpose of the training and other
facilities which should be made available, under judicial
control, to judges. (Sec. 3)

? CASE: Judges must be conscientious, studious and
thorough,[83] observing utmost diligence in the
performance of their judicial functions.[84] They have to
exhibit more than just cursory acquaintance with statutes
and procedural rules. Moreover, they must require court
personnel to observe at all times high standards of public
service and fidelity. (Atty. Fabella vs. Judge Lee, A.M. No. MTJ-
04-1518. January 15, 2004)

Judges shall maintain order and decorum in all
proceedings before the court and be patient, dignified and
courteous in relation to litigants, witnesses, lawyers and
others with whom the judge deals in an official capacity.
Judges shall require similar conduct of legal representatives,
court staff and others subject to their influence, direction or
control. (Sec. 6)

CODE OF JUDICIAL CONDUCT
(October 20 1989)
Canon-
1: Uphold the integrity and independence of the
judiciary
2: Avoid impropriety and the appearance of
impropriety
AND
S UBJECT
C HAIRPERSONS

27
cases as the same may compromise the integrity and
3: Perform official duties honestly, and with
impartiality and diligence
4: With due regard to official duties, engage in
activities to improve the law, the legal system and

the administration of justice
5: Regulate extrajudicial activities to minimize the
risk of conflict with judicial duties

CANON 1: PROMPT DISPOSITION OF CASES
A judge should administer justice impartially and
without delay. [Rule 1.02]
A judge shall dispose of the courts business
promptly and decide cases within the required periods.
[Rule 3.05]
? CASES: In the Request of Judge Irma Zita Masamayor [A.M.
NO. 99-1-16, RTC, June 21 1999] it was held that cognizant of
the caseload of judges and mindful of the pressure of their
work, the Supreme Court almost always grants requests for
extension of time to decide cases. A heavy caseload may
excuse a judges failure to decide cases within the
reglementary period, but not his or her failure to request for
an extension of time before the expiration of the period to be
extended.

In Bernardo vs. Judge Amelia Fabros [A.M. NO. MTJ-
99-1189, May 12, 1999], the Supreme Court has always
considered the failure of a judge to decide a case within the
reglementary period as GROSS INEFFICIENCY and imposed
either fine or suspension from service without pay for such.
The fines imposed vary in each case, depending chiefly on
the number of cases not decided within the reglementary
period and other factors to wit: the presence of aggravating
circumstances the damage suffered by the parties as a
result of the delay, the health and age of the judge, etc.

CANON 2: AVOIDANCE OF IMPROPRIETY
A judge should avoid impropriety and the
appearance of impropriety in all activities.
? CASES: In Manuel vs. Judge Demetrio Calimay, Jr. [A.M. NO.
RTJ-99-1441, May 28, 1999] it was held that the fact that the
charges proffered in the instant case do not directly refer to
respondent judges official functions does not mean he is
totally free from blame. Canon 2 of the Code of Judicial
Conduct provides that a judge should not only avoid
impropriety but also the appearance of impropriety in all his
activities. He should behave at all times as to promote public
confidence in the integrity and impartiality of the judiciary.
He should be extra careful in all his dealings both in his
professional and individual capacities in order to promote
and protect the image of the judiciary to which he is
privileged to belong.

Respondent, in removing the bamboo poles and
fishing nets installed by complainant, acted in his private
capacity. Nevertheless, without in any way prejudging
respondents liability, respondent should be admonished to
be careful even in his private conduct because he is a model
of the law-abiding citizen and, for this reason, his private life
cannot be completely separated from his public persona.
(Bernardo vs. Judge Tiamson, A.M. No. RTJ-00-1565. August 6,
2001)

In Prosecutor Leo Tabao vs. Judge Pedro Espina
[A.M. NO. RTJ-96-1347, June 29, 1999] it was held that
apropos the issue on the hasty rendition of judgment in a
criminal case, the Supreme Court has reminded members of
the bench time and again that as exemplars of justice and
law, judges must avoid not only impropriety but even the
appearance of impropriety in all their actions. Neither
should they take undue interest in the settlement of criminal
L EGAL E THICS
impartiality of their office.

A judge should so behave at all times as to
promote public confidence in the integrity of the judiciary.
[Rule 2.01]

CANON 3: PERFORMANCE OF DUTIES WITH HONESTY,
IMPARTIALITY AND DILIGENCE
A judge should perform official duties honestly
and with impartiality and diligence.
A judge shall be faithful to the law and maintain
professional competence. [Rule 3.01]

? CASE: In the case Exequiel Domingo vs. Judge Luis Reyes
[A.M. NO. MTJ-98-1165, June 21, 1999] the Supreme Court
held that judges are expected to keep abreast of
developments in law and jurisprudence. The SC does not
countenance respondent judges failure to inform himself of
recent jurisprudential rules. His error, while an honest one
and committed for the purpose of achieving the ends of
justice, must never happen again. Respondent judge was
reprimanded for IGNORANCE OF THE LAW.
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
concurrently. [Rule 3.03]
A judge cannot take refuge behind the inefficiency
or mismanagement by court personnel. Proper and efficient
court management is as much as his responsibility. It is also
his duty to organize and supervise the court personnel to
ensure the prompt and efficient dispatch of business.

CANON 4: ENGAGING IN ACTIVITIES TO IMPROVE THE
LAW
A judge may, with due regard to official duties,
engage in activities to improve the law, the legal system and
the administration of justice.
A judge may, to the extent that the following
activities do not impair the performance of judicial duties or
cast doubt on the judges impartiality:
a. speak, write, lecture, teach or participate in
activities concerning the law, the legal system and
the administration of justice;
b. appear at public hearing before a legislative or
executive body on matters concerning the law, the
legal system or the administration of justice and
otherwise consult with them on matter
concerning the administration of justice;
c. serve on any organization devoted to the
improvement of the law, the legal system or the
administration of justice. [Rule 4.01]

CANON 5: REGULATION OF THE EXTRAJUDICIAL
ACTIVITIES OF A JUDGE
A judge should regulate extra-judicial activities so
as to minimize the risk of conflict with judicial duties.

AVOCATIONAL/CIVIC/CHARITABLE ACTIVITIES
A judge may engage in the following activities
provided that they do not interfere with the performance of
judicial duties or detract from the dignity of the court: write,
lecture, teach and speak on non-legal subject
a.
engage in the arts, sports and other special
recreational activities
b.
participate in civic and charitable activities
c.
serve as an officer, director, trustee, or non-legal
advisor of a non-profit or non-political,

28
educational, religious, charitable, and fraternal or

civic organization. [Rule 5.01]

FINANCIAL ACTIVITIES
A judge shall refrain from financial and business
dealings:
1. that tend to reflect adversely on the courts impartiality
2. that interfere with the proper performance of judicial
activities
3. that increase involvement with lawyers or persons
likely to come before the court [Rule 5.02]
A judge should so manage investments and other
financial interests as to minimize the number of cases giving
grounds for disqualification.
Subject to the provisions of the preceding rule, a
judge may hold and manage investments but should not
serve as an officer, director, manager, advisor, or employee
of any business except as director of a family business of the
judge. [Rule 5.03]

FIDUCIARY ACTIVITIES

PROHIBITION
TO
SERVE
AS
EXECUTOR,
ADMINISTRATOR, ETC.
General Rule: The judge shall not serve as (a) executor,
(b) administrator, (c) trustee, (d) guardian, (e) fiduciary.
Exception: when the estate, trust, ward or person for
whom he will act as executor, administrator, trustee,
guardian or fiduciary is a member of the immediate family-
which is limited to the spouse and relatives within the
second degree of consanguinity provided that the judges
services as fiduciary shall not interfere with the
performance of his judicial functions [Rule 5.06].
In such exceptional cases, the judge SHALL NOT:
a.
serve in proceeding that might come before the
court of said judge
b.
act as such contrary to Rules 5.02 to 5.05.
(Note: the relationship mentioned is by consanguinity
and not by affinity.)

PROHIBITION TO BE APPOINTED IN QUASI-JUDICIAL
AND ADMINISTRATIVE AGENCIES
A judge shall not accept appointment or
designation to any agency performing quasi-judicial or
administrative functions. [Rule 5.09]
The prohibition is based on Section 12, Art. VIII of
the Constitution which provides: The members of the
Supreme Court and of other courts established by law shall
not be designated to any agency performing quasi-judicial or
administrative functions.
The appointment to such positions will likely
interfere with the performance of the judicial functions of a
judge hence, the prohibition.

PROHIBITION TO ENGAGE IN POLITICAL ACTIVITIES
A judge is entitled to entertain personal views on
political questions. But to avoid suspicion of political
partisanship, a judge shall not make political speeches,
contribute to party funds, publicly endorse candidates for
political office or participate in other partisan political
activities. [Rule 5.10]

LIABILITY OF JUDGES

In the absence of fraud, dishonesty or corruption,
acts of judge in his judicial capacity not subject to
disciplinary action even though such acts are erroneous. He
cant be subject to liability criminal, civil, administrative
for any of his official acts, no matter how erroneous, so long
as he acts in good faith. In such a case, the remedy of

aggrieved party is not to file administrative complaint
against the judge but to elevate error to higher court for
review and correction

When a Judge May Be Held Liable: Civil, Criminal and
Administrative
1. Malfeasance
2. Misfeasance
3. Knowingly rendering unjust judgment or
interlocutory order
4. Malicious delay in administration of justice
5. Giving private party unwarranted benefit in
exercise of judicial function thru manifest
partiality, evident bad faith and gross inexcusable
negligence.

CIVIL LIABILITIES OF JUDGES IN RELATION TO THEIR
OFFICIAL FUNCTIONS
1. Any public officer or employee or any private individual,
who directly or indirectly obstructs, defeats and violates or
in any manner impedes or impairs the civil rights and
liberties of persons shall be liable for damages. [Art. 32, Civil
Code]
The responsibility for damages is not however
demandable of judges except when the act or omission of the
judge constitutes a violation of the Penal Code or other penal
statute. [Art. 32, last par.]
2. A judge who willfully or negligently renders a decision
causing damages to another, shall indemnify the latter for
the same.
A judge is also civilly liable for damages, if in
refusing or neglecting to decide a case without just cause, a
person suffered material or moral loss without prejudice to
any administrative action that may be taken against him.
[Art. 27, Civil Code]

DISABILITIES OF JUDGES UNDER THE CIVIL CODE
1. Art. 1491. The following persons cannot acquire by
purchase, even at a public or judicial action, either in person
or through the mediation of another:
xxx
(5) Justices, judges, prosecuting attorneys, clerks of
superior and inferior courts and other officers and
employees connected with the administration of justice, the
property and rights in litigation or levied upon an execution
before the court within whose jurisdiction or territory they
exercise their respective functions, this prohibition includes
the act of acquiring by assignment and shall apply to
lawyers, with respect to the property and rights which may
be the object of any litigation in which they may take part by
virtue of their profession.
Xxx

2. Art. 739. Donations made to a judge, his wife,
descendants and ascendants by reason of his office are void.

CRIMINAL LIABILITIES OF JUDGES IN RELATION TO
THEIR OFFICIAL FUNCTIONS
1. Misfeasance
a. Knowingly Rendering Unjust Judgment - Any
judge who shall knowingly render an unjust
judgment in any case submitted to him for decision
shall be punished by prision mayor and perpetual
absolute disqualification. [Art. 204 Revised Penal
Code]
b.Manifestly Unjust Judgment- it is one which is
so patently against the law, public order, public
policy and good morals that a person of ordinary
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M EMORY A ID IN
discernment can easily sense its invalidity and
injustice.
In order that a judge may be held liable for knowingly
rendering an unjust judgment, it must be shown beyond
doubt that the judgment is unjust as it is contrary to law or is
not supported by evidence and the same was made with
conscious and deliberate intent to do an injustice. [In Re:
Climaco, 55 SCRA 107]
If the decision rendered by the judge is still on appeal,
the judge cannot be disqualified on the ground of knowingly
rendering an unjust judgment. [Abad vs. Blaza, 145 SCRA 1]

2. Judgment Rendered Through Negligence Any judge
who, by reason of inexcusable negligence or ignorance shall
render a manifestly unjust judgment in any case submitted
to him for decision shall be punished by arresto mayor and
temporary special disqualification. [Art. 205 Revised Penal
Code]

Negligence and ignorance are inexcusable if they
imply a manifest injustice which cannot be explained by
reasonable interpretation. [In Re Climaco, 55 SCRA 107]

4. Knowingly Rendering an Unjust Interlocutory
Order Any judge who shall knowingly render an
unjust interlocutory order or decree shall suffer the
penalty of arresto mayor in its minimum period and
suspension; but if he shall have acted by reason of
inexcusable negligence or ignorance and the
interlocutory order or decree be manifestly unjust, the
penalty shall be suspension. [Art. 206, Revised Penal
Code]

5. Maliciously Delaying the Administration of Justice
The penalty of prision correccional in its minimum period
shall be imposed upon any judge guilty of malicious delay in
the administration of justice.

To make the judge liable, the act must be committed
maliciously with deliberate intent to prejudice a party in a
case.

6. Malfeasance Under the Anti-Graft and Corrupt
Practices Act
A judge is criminally liable for causing an undue injury to
a person or giving any private party an unwarranted benefit,
advantage or preference in the discharge of his official
function through manifest partiality, evident bad faith and
gross inexcusable negligence. [Section 3(e), R.A. 3019]

DISCIPLINE OF MEMBERS OF THE BENCH

POWER TO DISCIPLINE ERRING MEMBERS OF THE
BENCH

The Supreme Court has administrative
supervision over all courts and the personnel thereof
[Section VI, Art. VIII, Constitution]. The Court en banc has
the power to discipline all judges of lower courts including
justices of the Court of Appeals. It may even dismiss them by
a majority vote of the members who actually took part in the
deliberation of the issues in the case and voted thereon
[Section XI, Art. VIII, Constitution].
The inferior courts (MTCs) are not empowered
even just to suspend an attorney, although they may cite or
hold a lawyer in contempt of court for contemptuous acts.
Justices and judges, who are also lawyers, if found
guilty of certain crimes and / or of the causes for disbarment
under the Rules of Court may also be disbarred.
Justices of the Supreme Court however may not
be disbarred unless and until they shall have been first
L EGAL E THICS

impeached in accordance with the Constitution. The same is
true with the other impeachable officers who are members
of the bar.

? CASE: While it is our duty to investigate and determine
the truth behind every matter in complaints against judges
and other court personnel, it is also our duty to see to it that
they are protected and exonerated from baseless
administrative charges. The Court will not shirk from its
responsibility of imposing discipline upon its magistrates,
but neither will it hesitate to shield them from unfounded
suits that serve to disrupt rather than promote the orderly
administration of justice. ( Ocenar vs. Judge Mabutin, A.M. No.
MTJ-05-1582, February 28, 2005 )

GROUNDS FOR DISCIPLINE OF JUDGES [Section 1, Rule
140, Revised Rules of Court]
1. Serious Misconduct
2. Inefficiency

Misconduct - implies malice or a wrongful intent, not a
mere error of judgment. For serious misconduct to exist
there must be reliable evidence showing that the judicial
acts complained of were corrupt or inspired by an intention
to violate the law or were in persistent disregard of well-
known legal rules.
Inefficiency - implies negligence, incompetence, ignorance
and carelessness. A judge would be inexcusably negligent if
he failed to observe in the performance of his duties that
diligence, prudence and circumspection which the law
requires in the rendition of any public service.

? CASES: In the case of In Re: Leaves Of Absence Without
Approval Of Judge Eric Calderon [A.M. 98-8-105 MTC, January
26, 1999] - Judge Calderon was found guilty of gross
misconduct, abandonment of office and was dismissed due to
his frequent leave of absence totaling to 3 years which were
not approved and his explanations were inexcusable. He has
caused great disservice to many litigants and has denied
them speedy justice.

In the case of In Re: Judge Danilo Tenerife [255
SCRA 184] - The failure of a judge to decide even a single
case within the 90-day period was considered gross
inefficiency warranting the imposition of fine equivalent to
his one month salary.

Effect of resignation or retirement of a judge when
there is a pending administrative case against him
The retirement/resignation of a judge may or
may not render the administrative complaint moot and
academic. Each case will be determined according to its
surrounding circumstances. (Pagayao vs. Imbing, A.M. No.
89-403. August 15, 2001; Lilia vs. Judge Famunal, A.M. No.
RTJ-99-1503. December 13, 2001)

According to Pesole vs. Rodriguez [81 SCRA 208]
the acceptance by the President of the resignation does not
necessarily render the case moot or deprive the SC of the
authority to investigate the charges. The court retains its
jurisdiction either to pronounce the respondent official
innocent of the charges or declare him guilty thereof. A
contrary rule will be fraught with injustice and pregnant
with dreadful and dangerous implications.

PROCEDURE FOR DISCIPLINE OF JUDGES (RULE 140)
1. Complaint, in writing and duly sworn to is filed
with the Supreme Court. [Sec. 1]

30
2. If found meritorious, a copy thereof shall be
served on the respondent and he shall be required

to comment within 10 days of service. [Sec. 6]
3. Upon filing of respondents comment or
expiration of the period upon filing comment, the
SC either refers the matter to the Office of the
Court Administrator (OCA) for evaluation, report,
and recommendation, or assigns a Justice of the
Court of Appeals (if respondent is an RTC judge)
or a judge of the RTC (if respondent is a judge of
an inferior court) to investigate and hear the
charges. [Sec. 7]
4. After hearings, the investigating justice or judge
submits a report of finding of fact, conclusions of
law and recommendations to the Supreme Court.
[Sec. 8]
5. The Supreme Court takes action as the facts and
the law may warrant. [Sec. 9]
Proceedings shall be private and confidential but a
copy of the decision or resolution of the Court shall be
attached to the record of the judge in the Office of the Court
Administrator. [Sec. 11]

QUANTUM OF EVIDENCE REQUIRED
The ground for the removal of a judicial officer
should be established beyond reasonable doubt. Such is the
rule where the charges on which the removal is sought is
misconduct in office, willful neglect, corruption, or
incompetence. The general rules in regard to admissibility of
evidence in criminal trials apply.
For liability to attach, the assailed order, decision
or actuation of the judge in the performance of official duties
must not only found to be erroneous but, most importantly,
it must be established that he was moved by bad faith,
dishonesty, hatred or some other like motive. Similarly, a
judge will be held administratively liable for rendering an
unjust judgment one which is contrary to law or
jurisprudence or is not supported by evidence when he
acts in bad faith, malice, revenge or some other similar
motive. In other words, in order to hold a judge liable for
knowingly rendering an unjust judgment, it must be shown
beyond reasonable doubt that the judgment was made with
a conscious and deliberate intent to do an injustice. (Judge
De Guzman vs. Dy, A.M. No. RTJ-03-1755, July 3, 2003)

IMPEACHMENT PROCEEDINGS AGAINST JUDGES

Penal in nature governed by rules on criminal
case and therefore requires proof beyond reasonable doubt.
Only SC justices are subject to impeachment.

MISCONDUCT

Reliable evidence showing that judicial actions
are corrupt or inspired by intent to violate the law or in
persistent disregard of legal rules.
Justices and Judges may not be investigated under the
grievance procedure in Rule 139-B, sec. 1 of the Revised
Rules of Court. Complaints against justices and judges are
filed with the Supreme Court which has administrative
supervision over all courts.

As a matter of practice, the Supreme Court has
assigned complaints against Municipal or Metropolitan Trial
Judges to an Executive Judge of a Regional Trial Court and
complaints against judges of Regional Trial Courts to a
justice of the Court of Appeals, while a complaint against a
member of the Court of Appeals would probably be assigned
to a member of the Supreme Court for investigation, report
and recommendation. Retired SC Justices are now tasked for
this purpose.

REINSTATEMENT OF JUDGE PREVIOUSLY DISCIPLINED
No indication that he is inspired by corrupt motives or

reprehensive purpose in the performance of his functions.

Factors to be considered
1.
Unsullied name & service of record prior to
dismissal
2.
Commitment to avoid situation that spur
suspicion of arbitrary conditions.
3.
Complainant mellowed down in pushing from his
removal
4.
Length of time separated from service

V. INTEGRATED BAR OF THE PHILIPPINES

IBP is the national organization of lawyers
created on January 16, 1973 under Rule 139-A, Rules of
Court and constituted on May 4, 1973 into a body corporate
by P.D. No. 181
As the official national unification of the entire
lawyer population of the Philippines this requires
membership and financial support in reasonable amount of
every attorney as conditions sine qua non to the practice of
law and the retention of his name in the Roll of Attorneys.
The IBP Board of Governors is authorized to
provide in the By-Laws for grievance procedure for the
enforcement and maintenance of discipline among all the
members of the IBP, but no action involving the suspension
or disbarment of a member or the removal of his name from
the Roll of Attorneys shall be effective without the final
approval of the Supreme Court. [Rule 139-A,Section 12, Rules
of Court]

? CASE: Compulsory membership to the IBP is not violative
of a lawyers 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. All that integration actually does is to
provide an official national organization for the well defined
but unorganized and incohesive group of which every
lawyer is already a member. [In re: Edillon A.M. 1928]

Voluntary termination of IBP membership, How Effected
By filing a verified notice to that effect with the
Secretary of IBP who shall immediately bring the matter to
the attention of the SC. Forthwith, he shall cease to be a
member and his name shall be stricken from the Roll of
Attorneys.

Effect of failure to pay annual membership dues to the
IBP
The failure of any attorney to pay his annual
membership dues for 6 months shall warrant suspension of
his membership in the IBP and default of such payment for
one year shall be a ground for the removal of his name from
the Roll of Attorneys. [Sec. 10, Rule 139-A, Rules of Court].
? CASES: A lawyer may not be disciplined either by the IBP
or the Court for failing to pay her obligation to complainant,
a matter in her non-professional or private capacity. [Toledo
vs. Abalos, A. C. No. 5141, September 29, 1999]

Wanton disregard of the lawful orders of the IBP
Commission on Bar Discipline a ground for suspension
of a lawyer from the practice of law. A lawyer was
suspended from the practice of law for one month due to her
wanton disregard of the lawful orders of the IBP
Commission on Bar Discipline. [Toledo vs. Abalos, A. C. No.
5141, September 29, 1999]

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San Beda College of Law

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good and regular standing, is entitled to practice law. [Sec. 1,

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He is immune, in the performance of his obligation to

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Is not in the notarys presence at the

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Fails to keep a notarial register;

general power of attorney or letter of attorney. He is

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is unethical. (Dacanay vs. Baker & McKenzie, G.R. Adm. Case

He owes it to himself to continue improving his

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San Beda College of Law

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Where there is a pre- existing agreement with a

concluded the judge who decided it is subject to the same

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San Beda College of Law

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However, a lawyer may accept a losing civil case

A lawyer can be held administratively liable

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stages of the litigation and no written authority is required

of litigation and in procedural technique, and he can not be

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San Beda College of Law

an attorney to render legal advice or to defend or

attorneys fees, the fees stipulated are found

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Court has decided that it has no jurisdiction over

Client need not

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San Beda College of Law

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A lawyer may interview a witness in advance of

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And no express written agreement as to fees

Lawyer holds his clients funds or property in

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San Beda College of Law

L EGAL E THICS AND P RACTICAL E XERCISES

1. Warning an act or fact of putting one on his