1 Ethics

San Beda College of Law
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MEMORY AID IN LEGAL ETHICS AND PRACTICAL EXERCISES
I. LEGAL ETHICS
PRELIMINARY MATTERS ESSENTIAL CRITERIA DETERMINATIVE
OF ENGAGING IN THE PRACTICE OF
Legal Ethics – branch of moral science LAW: (HACA)
which treats of the duties which an 1. Habituality- implies
attorney owes to the court, to his client, customarily or habitually holding
to his colleagues in the profession and to oneself out to the public as a
the public. lawyer
- It is the embodiment of all 2. Compensation- implies
principles of morality and refinement that one must have presented
that should govern the conduct of every himself to be in the active
member of the bar. practice and that his professional
services are available to the
PRIMARY CHARACTERISTICS WHICH public for compensation, as a
DISTINGUISH THE LEGAL PROFESSION source of his livelihood or in
FROM BUSINESS consideration of his said
1. A duty of public service services.
2. A relation, as an “officer of the 3. Application of law, legal
court”, to the administration of principle, practice, or
justice involving thorough procedure which calls for legal
sincerity, integrity and reliability knowledge, training and
3. A relation to clients with the experience
highest degree of fiduciary 4. Attorney – client
4. A relation to the colleagues at relationship
the bar characterized by candor,
fairness and unwillingness to PRIVATE PRACTICE
resort to current business Private practice is more than an
methods of advertising and isolated appearance for it consists of
encroachment on their practice, frequent or customary actions, a
or dealing directly with their succession of acts of the same kind.
clients.
 NOTE: An isolated appearance does
PRACTICE OF LAW not amount to practice of law of a public
officer if allowed by his superior in
 CASE: Any activity in or out of court exceptional cases.
which requires the application of law,
legal principle, practice or procedure NOTE: The practice of law is not a
and calls for legal knowledge, training natural, property or constitutional right
and experience. (Cayetano vs Monsod, but a mere privilege. It is not a right
201 SCRA 210) granted to any one who demands it but a
Strictly speaking, the word privilege to be extended or withheld in
practice of law implies the customary or the exercise of sound judicial discretion.
habitual holding of oneself to the public It is in the nature of a franchise
as a lawyer and demanding conferred only for merit which must be
compensation for his services. [People earned by hard study, learning and good
vs. Villanueva 14 SCRA 111] conduct. It is a privilege accorded only
to those who measure up to certain rigid
standards of mental and moral fitness.
Those standards are neither dispensed
with nor lowered after admission. The
attorney’s continued enjoyment of the
privilege conferred depends upon his
LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

 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-Nuňez, 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
2 2005 CENTRALIZED BAR OPERATIONS
complying with the ethics and rules of 6. Ordain the integration of the
333the profession. Philippine Bar
But practice of law is in the 7. Punish for contempt any person
nature of a right. While the practice of for unauthorized practice of law
law is a privilege, a lawyer cannot be 8. Exercise overall supervision of
prevented from practicing law except for the legal profession
valid reasons, the practice of law not 9. Exercise any other power as may
being a matter of state’s grace or favor. be necessary to elevate the
He holds office during good behavior and standards of the bar and
can only be deprived of it for misconduct preserve its integrity.
ascertained and declared by judgment of
the Supreme Court after opportunity to On the other hand, the
be heard has been afforded him. The LEGISLATURE, in the exercise of its
state cannot exclude an attorney from POLICE POWER may, however, enact
the practice of law in a manner or for laws regulating the practice of law to
reasons that contravene the due process protect the public and promote the
or equal protection clause of the public welfare. But the legislature MAY
Constitution. NOT pass a law that will control the SC
in the performance of its function to
POWER TO REGULATE THE PRACTICE decide who may enjoy the privilege of
OF LAW practicing law and any law of that kind is
unconstitutional as an invalid exercise of
 CASES: The Constitution [Art. VIII, legislative power.
Sec. 5(5)] vests this power of control and
regulation in the Supreme Court. The
constitutional power to admit candidates WHO MAY PRACTICE LAW?
to the legal profession is a judicial
function and involves the exercise of Any person heretofore duly
discretion. Petition to that end is filed admitted as a member of the bar, or
with the Supreme Court as are other hereafter admitted as such in
proceedings invoking judicial function accordance with the provisions of this
[In re: Almacen 31 SCRA 562] rule, and who is in good and regular
The SC acts through a Bar standing, is entitled to practice law.
Examination Committee in the exercise [Sec. 1, Rule 138]
of its judicial function to admit
candidates to the legal profession. Thus,
the Committee is composed of a member REQUIREMENTS BEFORE A
of the Court who acts as Chairman and 8 CANDIDATE CAN ENGAGE IN THE
members of the bar who acts as
PRACTICE OF LAW
examiners in the 8 bar subjects with one
I. He must have been admitted to the
subject assigned to each. [In re Lanuevo,
Bar
66 SCRA 245]
a. Furnishing satisfactory proof of
The power of the SC to regulate the
educational, moral and other
practice of law includes the authority to:
qualification;
1. Define the term
b. Passing the bar
2. Prescribe the qualifications of a
c. Taking the Lawyer’s Oath before
candidate to and the subjects of
the SC
the bar examinations
A lawyer’s oath signifies that
3. Decide who will be admitted to
the lawyer in taking such an oath
practice
accepts and affirms his ethical
4. Discipline, suspend or disbar any
obligations in the performance of
unfit and unworthy member of
his duties as a lawyer and
the bar
signifies likewise his awareness
5. Reinstate any disbarred or
of his responsibilities that he
indefinitely suspended attorney
2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

Maricel Abarentos (Over-all Chairperson), Ronald Jalmanzar (Over-all Vice Chair), Yolanda
Tolentino(VC-Acads), 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)
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assumes by his admission to the rule of right and duty which a person
legal profession. should follow.
d. Signing the Attorney’s Roll and
receiving from the Clerk of Court ACADEMIC REQUIREMENTS FOR THE
of the SC a Certificate of the CANDIDATES
license to practice 1. Must have already
II. After his admission to the bar, a earned a Bachelor’s Degree in
lawyer must remain in good and regular Arts or Sciences (Pre-law)
standing, which is a continuing 2. Law Course – completed
requirement for the practice of law. He courses in Civil Law, Commercial
must: Law, Remedial Law, Criminal
a. Remain a member of the IBP Law, Public and International
(membership therein by every Law, Political Law, Labor and
attorney is made compulsory); Social Legislation, Medical
b. Regularly pay all IBP membership Jurisprudence, Taxation, Legal
dues and other lawful Ethics. [Sec. 5 and 6, Rule 138]
assessments, as well as the
annual privilege tax;
c. Faithfully observe the rules and APPEARANCE OF NON-LAWYER IN
ethics of the legal profession;
and
COURT
d. Be continually subject to judicial
disciplinary control. MAY A NON-LAWYER APPEAR IN COURT?
 General Rule: Only those who are
licensed to practice law can appear and
handle cases in court.
BASIC REQUIREMENTS FOR
ADMISSION TO THE BAR  Exceptions:
Under Section 2, 5 and 6, Rule 138, the
1. Before the MTC - a party may
applicant must be:
conduct his case or litigation in
1. Citizen of the
person with the aid of an
Philippines;
agent or friend appointed by him.
2. At least 21 years of age;
[Sec. 34, Rule 138]
3. Of good moral character;
2. Before any court – a party may
(Note: This is a continuing
conduct his litigation personally.
requirement.)
But he gets someone to aid him and
4. Resident of the
that someone must be an authorized
Philippines;
member of the Bar [Sec. 34, Rule
5. Must produce before the
138]. He is bound by the same rules
SC satisfactory evidence of good
in conducting the trial of his case.
moral character;
He cannot, after judgment, claim
6. No charges against him,
that he was not properly
involving moral turpitude, have
represented.
been filed or are pending in any
3. In a criminal case before the MTC –
court in the Phil. [Sec. 2, Rule
in a locality where a duly licensed
138];
member of the Bar is not available,
7. Must have complied with
the judge may appoint a non-lawyer
the academic requirements;
who is a resident of that province, of
8. Pass the bar
good repute for probity and ability to
examinations.
the accused in his defense. [Sec. 7,
Rule 116]
Moral Turpitude – imports an act of
4. Student Practice Rule - A law
baseness, vileness or depravity in the
student who has successfully
duties which one person owes to another
completed his 3rd year of the regular
or to society in general which is contrary
4-year prescribed law curriculum and
to the usually accepted and customary
is enrolled in a recognized law
Barrios,
Dumpit, JB
Kristine Ventura
school’s clinical legal education licensed member of the bar, except in

program approved by the SC – may the municipal trial court where it may be
appear without compensation in any represented by its agent or officer who
civil, criminal or administrative case need not be a lawyer.
before any trial court, tribunal,
board or officer, to represent
indigent clients accepted by the PARTNERSHIP WITH NON-LAWYERS
Legal Clinic of the school. [Sec. 1, VOID
Rule 138-A] The student shall be In the formation of partnership for
under the direct supervision and the practice of law, no person should be
control of a member of the IBP duly admitted or held out as a practitioner or
accredited by the law school. [Sec. member who is not a member of the
2] legal profession duly authorized to
5. Under the Labor Code – non-lawyers practice, and amenable to professional
may appear before the NLRC or any discipline.
Labor Arbiter if they (a) represent
themselves; (b) represent their PRACTICE BY CORPORATION
organization or members thereof It is well settled that a
[Art. 222, PD 442] corporation CANNOT engage in the
6. A non-lawyer may represent a practice of law. It may, however, hire an
claimant before the Cadastral Court attorney to attend to and conduct its
[Sec. 9, Act. No. 2259] own legal business or affairs. But it
7. Any person appointed to appear for cannot practice law directly or indirectly
the government of the Philippines in by employing a lawyer to practice for it
accordance with law [Sec. 33, Rule or to appear for others for its benefit.
138] Reasons:
1. Nature of the privilege and on the
LIMITATIONS ON APPEARANCE OF NON- confidential and trust relation
LAWYERS BEFORE THE COURTS between attorney and client.
1. He should confine his work to 2. A corporation cannot perform the
non-adversary contentions. He conditions required for membership
should not undertake purely in the bar, such as the possession of
legal work, such as the good moral character and other
examination or cross- special disqualifications, the taking
examination of witnesses, or the of an oath and becoming an officer
presentation of evidence. of the court, subject to its
2. Services should not be habitually discipline, suspension or removal.
rendered. 3. The relation of trust and confidence
3. Should not charge or collect cannot arise where the attorney is
attorney’s fees. [PAFLU vs. employed by a corporation to
Binalbagan Isabela Sugar Co. 42 practice for it, his employer and he
SCRA 302] owing, at best, a secondary and
divided loyalty to the clientele of
RIGHT OF PARTY TO REPRESENT his corporate employer.
HIMSELF 4. The intervention of the corporation
Civil Cases: An individual litigant has the is destructive of that confidential
right to conduct his litigation personally. and trust relation and is obnoxious
Criminal Cases: Involving grave and less to the law.
grave offenses, an accused who is a
layman must always appear by counsel; PERSONS AUTHORIZED TO REPRESENT
he CANNOT conduct his own defense, as THE GOVERNMENT
his right to counsel may NOT be waived Any official or other person
without violating his right to due process appointed or designated in accordance
of law. with law to appear for the government
By a Juridical Person: A juridical person of the Philippines or any of its officials
must always appear in court by a duly shall have all the rights of a duly

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authorized member of the bar to appear word “appearance” includes not only
in any case in which the government has arguing a case before any such body but
an interest, direct or indirect, or in also filing a pleading on behalf of a
which such official is charged in his client as “by simply filing a formal
official capacity. motion, plea or answer”. [Ramos vs.
Manalac 89 Phil 270]
RULES ON PUBLIC OFFICIALS Neither can he allow his name to
appear in such pleading by itself or as
REGARDING PRACTICE OF LAW part of a firm name under the signature
of another qualified lawyer because the
PUBLIC OFFICIALS WHO CANNOT signature of an agent amounts to signing
PRACTICE LAW IN THE PHILIPPINES of a non-qualified senator or
1. Judges and other congressman, the office of an attorney
officials or employees of the being originally of agency, and because
superior court he will, by such act, be appearing in
2. Officials and employees court or quasi-judicial or administrative
of the Office of the Solicitor body in violation of the constitutional
General restriction. “He cannot do indirectly
3. Government Prosecutors what the Constitution prohibits
4. President, Vice- directly”. [In re: David 93 PHIL 461]
President, members of the
Cabinet, their deputies and RESTRICTIONS IN THE PRACTICE OF
assistants LAW OF THE MEMBERS OF THE
5. Chairmen and members SANGGUNIAN
of the Constitutional They shall not:
Commissions 1. Appear as counsel before
6. Ombudsman and his any court in any civil case
deputies wherein a local government unit
7. Governors, city and or any office, agency or
municipal mayors instrumentality of the
8. Those who, by special government is the adverse party;
law are prohibited from engaging 2.Appear as counsel in any
in the practice of their legal criminal case wherein an officer
profession or employee of the national or
local government is accused of
PUBLIC OFFICIALS WITH RESTRICTIONS an offense committed in relation
IN THE PRACTICE OF LAW to his office;
1. Senators and Members of the House 3. Collect any fee for their
of Representatives appearance in administrative
2. Members of the proceedings involving the local
Sanggunian government unit of which he is
3. Retired Justice or Judge an official. [Sec. 90, R.A. 7160]
4. Civil Service officers or 4. Use property and
employees without permit from personnel of the government
their respective department except when the Sanggunian
heads [Noriega vs. Sison 125 member concerned is defending
SCRA 293] the interest of the government
RESTRICTIONS IN THE PRACTICE OF RESTRICTIONS IN THE PRACTICE OF
LAW OF MEMBERS OF LEGISLATURE LAW OF RETIRED JUSTICE/JUDGE
As a condition of the pension
 CASES: A lawyer-member of the provided under R.A. 910, no retiring
legislature is only prohibited from justice or judge of a court of record or
appearing as counsel before any court of city or municipality judge during the
justice, electoral tribunals or quasi- time that he is receiving said pension
judicial and administrative bodies. The shall:
Barrios,
Dumpit, JB
Kristine Ventura
Appear as counsel before any court in:

a. Any civil case wherein the OTHER PRIVILEGES:
government or any subdivision First grade civil service eligibility for any
or instrumentality thereof is position in the classified service in
the adverse party; the government the duties of which
b. Any criminal case wherein an require knowledge of law.
officer or an employee of the Second grade civil service eligibility for
government is accused of an any other government position
offense committed in relation which does not prescribe
to his office. proficiency in law as a qualification.
2. Collect any fees for his appearance
in any administrative proceedings to FOUR-FOLD DUTIES OF A LAWYER
maintain an interest adverse to the 1. Court- respect or defend against
government, provincial or criticisms, uphold authority and
municipal, or to any of its legally dignity, obey order and processes,
constituted officers [Sec 1, RA 910]. assist in the administration of
justice.
REMEDIES AGAINST UNAUTHORIZED 2. Bar- candor, fairness, courtesy and
PRACTICE (DICED) truthfulness, avoid encroachment in
1. Petition for Injunction the business of other lawyers,
2. Declaratory Relief uphold the honor of the profession.
3. Contempt of Court
4. Disqualification and
3. Client- entire devotion to client’s
interest.
complaints for disbarment
4. Public- should not violate his
5. Criminal complaint for
responsibility to society, exemplar
estafa against a person who
for uprighteousness, ready to render
falsely represented to be an
legal aid, foster social reforms,
attorney to the damage of a
guardian of due process, aware of
party
special role in the solution of
special problems and be always
ready to lend assistance in the study
PRIVILEGES AND DUTIES OF A and solution of social problems.
LAWYER
SPECIFIC DUTIES OF A LAWYER (SEC.
PRIVILEGES OF AN ATTORNEY: 20, RULE 138) [C2A2R2E2D]
1. To practice law during good 1. To maintain Allegiance
behavior before any judicial, quasi- to the Republic of the
judicial, or administrative tribunal. Philippines and to support the
2. The first one to sit in judgment on Constitution and obey the laws
every case, to set the judicial of the Philippines;
machinery in motion. 2. To observe and maintain
3. Enjoys the presumption of regularity the Respect due to the courts of
in the discharge of his duty. justice and judicial officers;
4. He is immune, in the performance 3. To Counsel and maintain
of his obligation to his client, from the respect due to the courts of
liability to a third person insofar as justice and judicial officers;
he does not materially depart from 4. To Employ, for the
his character as a quasi-judicial purpose of maintaining the
officer. causes confided to him, such
5. His statements, if relevant, means only as are consistent
pertinent or material to the subject with truth and honor, and never
of judicial inquiry are absolutely seek to mislead the judge or any
privileged regardless of their judicial officer by an artifice or
defamatory tenor and of the false statement of fact or law;
presence of malice.

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5. To maintain inviolate the Regional State Prosecutor subject to the

Confidence and at every peril to approval of the court (Sec. 5, Rule 110;
himself, to preserve the secrets Rules of Court dated May 1, 2002).
in connection with his client and
to accept no compensation in
connection with his client’s
business except from him or with THE LAWYER’S OATH
his knowledge and approval;
6. To Abstain from all I, ____________, do solemnly
offensive personality and to swear that I will maintain allegiance to
advance no fact prejudicial to the Republic of the Philippines; I will
the honor and reputation of a support its Constitution and obey the
party or witness, unless required laws as well as the legal orders of the
by the justice of the cause with duly constituted authorities therein; I
which he is charged; will do no falsehood, nor consent to the
7. Not to Encourage either doing of any in court; I will not wittingly
the commencement or the or willingly promote or sue any
continuance of an action or groundless, false or unlawful suit, nor
proceeding, or delay any man’s give aid nor consent to the same; I will
cause, from any corrupt motive delay no man for money or malice and
or interest; will conduct myself as a lawyer
8. Never to Reject, for any according to the best of my knowledge
consideration personal to and discretion with all good fidelity as
himself, the cause of the well to the courts as to my clients; and I
defenseless or oppressed; impose upon myself this voluntary
9. In the Defense of a obligation without any mental
person accused of crime, by all reservation or purpose of evasion. So
fair and honorable means, help me God.
regardless of his personal opinion
as to the guilt of the accused, to
present every defense that the NOTARY PUBLIC
law permits to the end that no
person may be deprived of life or A person appointed by the court
liberty, but by due process of whose duty is to attest to the
law. genuineness of any deed or writing
inorder to render them available as
DUTY OF COUNSEL DE OFICIO evidence of facts stated therein and who
A counsel de oficio is expected is authorized by the statute to
to render effective service and to exert administer various oaths.
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 A.M. No. 02-8-13-SC: Rules on
have a bigger dose of social conscience Notarial Practice of 2004
and a little less of self-interest. (August 1, 2004)
ROLE OF PRIVATE PROSECUTOR QUALIFICATIONS OF A NOTARY PUBLIC

A private prosecutor may 1. Must be citizen of the Philippines
intervene in the prosecution of a 2. Must be over twenty-one (21)
criminal action when the offended party years of age
is entitled to indemnity and has not 3. Must be a resident in the
waived expressly, reserved or instituted Philippines for at least one (1)
the civil action for damages. He may year and maintains a regular
prosecute the accused up to the end of place of work or business in the
the trial even in the absence of the city or province where the
public prosecutor if authorized by the commission is to be issued
chief of the prosecution office or the
Barrios,
Dumpit, JB
Kristine Ventura
4. Must be a member of the (names and addresses of

Philippine Bar in good standing witnesses) and undersigned
with clearances from the Office notary public”, and
of the Bar Confidant of the 4. The notary public
Supreme Court and the notarizes the signature by
Integrated Bar of the Philippines thumb or other mark through
5. Must not have been convicted in an acknowledgment, jurat or
the first instance of any crime signature witnessing.
involving moral turpitude (Rule  A notary public is authorized
III, Section 1) to sign on behalf of a person who is
physically unable to sign or make a
JURISDICTION AND TERM mark on an instrument or document
A notary public may perform if:
notarial acts in any place within the 1. The notary public is
territorial jurisdiction of the directed by the person
commissioning court for a period of unable to sign or make a
two (2) years commencing on the 1st mark to sign on his behalf;
day of January of the year in which 2. The signature of the
the commissioning is made UNLESS notary public is affixed in
earlier revoked or the notary public the presence of two (2)
has resigned according to these Rules disinterested and unaffected
and the Rules of Court (Rule III, witnesses to the instrument
Section 11). or document;
3. Both witnesses sign their
POWERS AND LIMITATIONS OF own names;
NOTARIES PUBLIC 4. The notary public writes
POWERS below his signature:
 A notary public is “Signature affixed by notary
empowered to do the following acts: in the presence of (names
(JAOSAC) and addresses of person and
1. Acknowledgments; two (2) witnesses)”, and
2. Oaths and affirmations; 5. The notary public
3. Jurats; notarizes his signature by
4. Signature witnessings; acknowledgment or jurat
5. Copy certifications; and (Rule IV, Section 1).
6. Any other act authorized
by these Rules. PROHIBITIONS
 A notary public is authorized General Rule: A notary public shall not
to certify the affixing of a signature perform a notarial act outside his regular
by thumb or other mark on an place of work or business.
instrument or document presented Exceptions: A notarial act may be
for notarization if: performed at the request of the parties
1. The thumb or other mark in the following sites located within his
is affixed in the presence of territorial jurisdiction:
the notary public and of two a. Public offices, convention halls
(2) disinterested and and similar places where oaths
unaffected witnesses to the of office may be administered;
instrument or document; b. Public function areas in hotels
2. Both witnesses sign their and similar places for the signing
own names in addition to the of instruments or documents
thumb or other mark; requiring notarization;
3. The notary public writes c. Hospitals and medical
below the thumb or other institutions where a party to the
mark: “Thumb or Other Mark instrument or document is
affixed by (name of signatory confined for treatment; and
by mark) in the presence of
9
d. Any place where a party to the the notarial act or transaction is

instrument or document unlawful or immoral.
requiring notarization is under 2) When the signatory shows a
detention. demeanor which engenders in
the mind of the notary public
 A person shall reasonable doubt as to the
not perform a notarial act if: former’s knowledge of the
1. the person involved as consequences of the transaction
signatory to the instrument requiring a notarial act.
or document- 3) If in the notary’s judgment,
a. Is not in the the signatory is not acting in
notary’s presence at the his/her own free will (Rule IV,
time of the notarization; Section 4).
and 4) If the document or
b. Is not personally instrument to be notarized is
known to the notary considered as an improper
public or otherwise document by these Rules.
identified by the notary
public through NOTE: A blank or incomplete instrument
competent evidence of or document OR an instrument or
identity as defined by document without appropriate notarial
these Rules (Rule IV, certification is considered an Improper
Section 2). Instrument/Document (Rule IV, Section
2. the certificate containing an 6).
information known or
believed to be false; and NOTARIAL CERTIFICATES
3. he shall not affix an official Contents of the Concluding part of the
signature or seal on a Notarial Certificate:
notarial certificate that is 1) The name of the notary public as
incomplete (Rule IV, Section exactly indicated in the
5). commission;
2) The serial number of the
DISQUALIFICATIONS commission of the notary public;
A notary public is disqualified from 3) The words “Notary Public” and
performing a notarial if he: the province or city where the
1) Is a party to the instrument or notary public is commissioned,
document; the expiration date of the
2) Will receive, as a direct or commission and the office
indirect result any commission, address of the notary public; and
fee, advantage, right, title, 4) The Roll of Attorneys’ number,
interest, cash, property, or other the Professional Tax Receipt
consideration, except as number and the place and date
provided that is to be notarized; of issuance thereof and the IBP
3) Is a spouse, common-law Membership number (Rule VIII,
partner, ancestor, descendant, Section 2).
or relative by affinity or
consanguinity of the principal REVOCATION OF COMMISSION
within the fourth civil degree The Executive Judge shall revoke a
(Rule IV, Section 3). commission for any ground on which an
application for a commission may be
When notary public may refuse to denied.
notarize even if appropriate fee is In addition, the Executive Judge may
tendered: revoke the commission of or impose
1) When the notary knows or sanctions upon any notary public who:
has good reason to believe that 1) Fails to keep a notarial
register;
Barrios,
Dumpit, JB
Kristine Ventura
2) Fails to make the official misconduct (Rule XII,

appropriate entry or entries in Section 1).
his notarial register concerning
his notarial acts;
3) Fails to send the copy of the TERMS TO REMEMBER
entries to the Executive Judge
within the first ten (10) days of Amicus Curiae- is an experienced and
the month following; impartial attorney invited by the
4) Fails to affix to court to appear and help in the
acknowledgments the date of disposition of the issues submitted
expiration of his commission; to it. It implies friendly intervention
5) Fails to submit his notarial of counsel to call the attention of
register, when filled, to the the court to some matters of law or
Executive Judge; facts which might otherwise escape
6) Fails to make his report, its notice and in regard to which it
within a reasonable time, to the might go wrong. An amicus curiae
Executive Judge concerning the appears in court not to represent
performance of his duties, as any particular party but only to
may be required by the Judge; assist the court.
7) Fails to require the
presence of the principal at the Amicus Curiae par excellence – bar
time of the notarial act; associations who appear in court as
8) Fails to identify a principal amici curiae or friends of the court.
on the basis of personal Acts merely as a consultant to guide
knowledge or competent the court in a doubtful question or
evidence; issue pending before it.
9) Executes a false or
incomplete certificate under Attorney ad hoc- a person named
Section 5, Rule IV; appointed by the court to defend an
10) Knowingly performs or fails absentee defendant in the suit in
to perform any other act which the appointment is made.
prohibited or mandated by these
Rules; and Attorneys-At-Law – that class of persons
11) Commits any other who are licensed officers of the
dereliction or act which in the courts empowered to appear,
judgment of the Executive Judge prosecute and defend, and upon
constitutes good cause for the whom peculiar duties,
revocation of the commission or responsibilities and liabilities are
imposition of administrative developed by law as a consequence.
sanction (Rule XI, Section 1).
Attorney in fact- simply an agent whose
PUNISHABLE ACTS authority is strictly limited by the
The Executive Judge shall cause the instrument appointing him. His
prosecution of any person who: authority is provided in a special
1) Knowingly acts or power of attorney or general power
otherwise impersonates a notary of attorney or letter of attorney.
public; He is not necessarily a lawyer.
2) Knowingly obtains,
conceals, defaces, or destroys Attorney of record- the attorney whose
the seal, notarial register, or name is entered in the records of an
official records of a notary action or suit as the lawyer of a
public; and designated party thereto.
3) Knowingly solicits,
coerces, or in any way influences Bar and Bench – “Bar” refers to the
a notary public to commit whole body of attorneys and
counselors collectively, the
11
members of the legal profession: party’s case, as distinguished from

“Bench” denotes the whole body of his juniors or subordinates.
judges.
Bar Association – an association of Of Counsel – an experienced lawyer,
members of the legal profession like usually a retired member of the
the IBP where membership is judiciary, employed by law firms as
integrated or compulsory. consultants.
Client – one who engages the services of Practicing Lawyer – one engaged in the
a lawyer for legal advice or for practice of law who by license are
purposes of prosecuting or officers of the court and who are
defending a suit in behalf and empowered to appear, prosecute
usually for a fee. and defend a client’s cause.
Counsel/Attorney de oficio – an Pro Se - an appearance by a lawyer in

attorney appointed by the court to his own behalf.
defend an indigent defendant in a
criminal action. Trial Lawyer – one who personally
In a criminal action, if the handles cases in court,
defendant appears without an administrative agencies of boards
attorney, he must be informed by which means engaging in actual trial
the court that it is his right to have work, either for the prosecution or
an attorney before being arraigned for the defense of cases of clients.
and must be asked if he desires the
aid of an attorney. If he desires and II .THE CANONS OF
is unable to employ an attorney, the
court must assign a counsel de
PROFESSIONAL
oficio to defend him. He is also
designated as counsel of indigent
RESPONSIBILITY
litigants. The appointment of a
counsel de oficio in that instance is Chapter I: The Lawyer and Society
a matter of right on the part of the CANON -
defendant. 1. Uphold the Constitution and
On appeal in a criminal case, the obey the laws of the land
appellate court must also appoint a 2. Make legal services available
counsel de oficio if, as shown by the in an efficient and
certificate of the clerk of court of convenient manner
the trial court, a defendant (a) is 3. Use of true, honest, fair,
confined in prison, (b) without dignified and objective
means to employ an attorney, (c) information in making known
desires to be defended de oficio. legal services
4. Participate in the
House Counsel – one who acts as improvement of the legal
attorney for business though carried system
as an employee of that business and 5. Keep abreast of legal
not as an independent lawyer. development and participate
in continuing legal education
Lawyer – this is the general term for a program and assist in
person trained in the law and disseminating information
authorized to advice and represent regarding the law and
others in legal matters jurisprudence
6. Applicability of the CPR to
Lead Counsel – the counsel on either lawyers in the government
side of a litigated action who is service
charged with the principal
management and direction of a
Barrios,
Dumpit, JB
Kristine Ventura
Chapter II: The Lawyer and the Legal 22. Withdraw services only for
Profession good cause and upon notice
CANON -
7. At all times uphold the
integrity and dignity of the LAWYER’S DUTIES TO SOCIETY
Profession and support the
activities of the IBP CANON 1: UPHOLD THE CONSTITUTION
8. Conduct himself with AND OBEY THE LAWS OF THE LAND
courtesy, fairness and
candor toward his colleagues DISCOURAGING LAW SUITS
and avoid harassing tactics Under Rule 1.03, a lawyer shall not
9. Not to directly or indirectly for any corrupt motive or interest,
assist in the unauthorized encourage any suit or proceeding or
practice of law delay any man’s cause.
CRIME OF MAINTENANCE – A lawyer
Chapter III: The Lawyer and the Courts owes to society and to the court the duty
CANON - not to stir up litigation. The following
10. Owes candor, fairness and are unprofessional acts within the
good faith to the court prohibition:
11. Observe and maintain the 1. Volunteering advice to bring
respect due courts and lawsuit except where ties of
judicial officers blood, relationship, and trust
12. Duty to assist in the speedy make it a duty to do so.
and efficient administration 2. Hunting up defects in titles or
of justice other causes of action and
13. Rely upon the merits of his informing thereof to be
cause, refrain from any employed to bring suit or collect
impropriety which tends to judgment, or to breed litigation
influence courts, or give the by seeking out claims for
appearance of influencing personal injuries or any other
the court grounds to secure them as
Chapter IV: The Lawyer and the Client clients.
CANON - 3. Employing agents or runners for
14. Not to refuse his services to like purposes.
the needy 4. Paying direct or indirect reward
15. Observe candor, fairness and to those who bring or influence
loyalty in all his dealings and the bringing of such cases to his
transactions with clients office.
16. Hold in trust all the moneys 5. Searching for unknown heirs and
and property of his client soliciting their employment.
that may come to his 6. Initiating a meeting of a club and
possession inducing them to organize and
17. Owes fidelity to clients contest legislation under his
cause and be mindful of the guidance.
trust and confidence reposed 7. Purchasing notes to collect them
in him by litigation at a profit.
18. Serve client with
competence and diligence A lawyer shall refrain from
19. Represent client with zeal committing barratry and ambulance
and within the bounds of law chasing of cases.
20. Charge only fair and
reasonable fees Barratry – offense of frequently inciting
21. Preserve the confidence and and stirring up quarrels and suits. The
secrets of client even after lawyer’s act of fomenting suits among
the atty.-client relation is individuals and offering his legal services
terminated to one of them
13
 General Rule: A lawyer cannot

Ambulance Chasing – a lawyer’s act of advertise his talent, as he is a member
chasing the victims of an accident for of an honorable profession whose
the purpose of talking to the same victim primary purpose is to render public
or the latter’s relatives and offering his service and help secure justice and in
legal services for the filing of the case which the remuneration is a mere
against the person who caused the incident.
accident. It is highly unethical for an
attorney to advertise his talents or skill
Ambulance Chaser – is a lawyer who as a merchant advertises his wares. [In
haunts hospitals and visits the homes of re: Tagorda 53 Phil 42]
the afflicted, officiously intruding their
presence and persistently offering his  Exceptions:
service on the basis of a contingent. 1. Writing legal articles
2. Engaging in business or other
Ambulance chasing has spawned occupations except when such
recognized evils such as: (FSMD) could be deemed improper, be
1. Fomenting of litigation with seen as indirect solicitation or
resulting burdens on the courts would be the equivalent of law
and the public. practice.
2. Subornation of perjury. 3. Law lists, but only brief
3. Mulcting of innocent persons by biographical and informative
judgments, upon manufactured data
causes of action. 4. Ordinary, professional cards
4. Defrauding of injured persons 5. Notice to other local lawyers
having proper causes of action and publishing in a legal journal
but ignorant of legal rights and of one’s availability to act as an
court procedures by means of associate for them
contracts which retain 6. The proffer of free legal
exorbitant percentages of services to the indigent, even
recovery and illegal charges for when broadcasted over the radio
court costs and expenses and by or tendered through circulation
settlement made for quick of printed matter to the general
returns of fees and against the public.
just rights of the injured 7. Seeking a public office,
persons. which can only be held by a
lawyer or, in a dignified manner,
CANON 2: MAKING AVAILABLE a position as a full time
EFFICIENT LEGAL SERVICE corporate counsel.
A lawyer shall not reject, except 8. Simple announcement of the
for valid reasons, the cause of the opening of a law firm or of
defenseless or the oppressed. (Rule changes in the partnership,
2.01) associates, firm name or office
Even if the lawyer does not address, being for the
accept a case, he shall not refuse to convenience of the profession.
render legal advice to the person 9. Listing in a phone directory,
concerned if only to the extent but not under a designation of a
necessary to safeguard the latter’s special branch of law.
rights. (Rule 2.02) 10. Activity of an association for
the purpose of legal
CANON 3: USE OF TRUE, HONEST, FAIR representation.
AND OBJECTIVE INFORMATION IN
MAKING KNOWN LEGAL SERVICES Solicitation of Cases Constitutes
Malpractice
ADVERTISING AND SOLICITATION

Barrios,
Dumpit, JB
Kristine Ventura
The law prohibits lawyers from CANON 5: KEEP ABREAST OF LEGAL

soliciting cases for the purpose of gain, DEVELOPMENTS AND PARTICIPATE IN
either personally or through paid agents CONTINUING LEGAL EDUCATION
or brokers and makes the act PROGRAM
malpractice [Rule 138, sec. 27, Rules of
Court]. The rule prohibits professional
touting. Neither shall a lawyer “charge THREE-FOLD OBLIGATIONS OF A
rates lower than those customarily LAWYER:
prescribed unless the circumstances so 1. He owes it to himself to continue
warrant.” improving his knowledge of the
law.
USE OF LAW FIRM NAME 2. He owes it to his profession to
1. In the choice of a firm name, no false, take an active interest in the
misleading or assumed name shall be maintenance of high standards of
used. The continued use of the name of legal education.
a deceased partner is permissible 3. He owes it to the lay public to
provided that the firm indicates in all its make the law a part of their
communications that said partner is social consciousness.
deceased. [Rule 3.02, Code of
Professional Responsibility]. Hence, the
rule abandoned the doctrine laid down in Bar Matter 850: MANDATORY
the case of In re: Sycip, 92 SCRA 1 CONTINUING LEGAL EDUCATION (MCLE)
(1979). (Adopting the Rules on the Continuing Legal
Reason: All of the partners by their Education for Members of the Integrated Bar
joined efforts over a period of years of the Philippines)
contributed to the goodwill attached to August 8, 2000
the firm name, and this goodwill is Purpose: To ensure that throughout
disturbed by a change in firm name their career, they keep abreast with law
every time a partner dies. and jurisprudence, maintain the ethics
of the profession and enhance the
2. Where a partner accepts public office, standards of the practice of law.
he shall withdraw from the firm and his
name shall be dropped from the firm Requirements of Completion of MCLE
name unless the law allows him to Members of the IBP, unless
practice concurrently. [Rule 3.02, Code exempted under Rule 7, shall complete
of Professional Responsibility]. every three (3) years at least 36 hours of
continuing legal education activities.
3. Filipino lawyers cannot practice law The 36 hours shall be divided as follows:
under the name of a foreign law firm, as a. 6 hours – legal Ethics
the latter cannot practice law in the b. 4 hours – trial and
Philippines and the use of the foreign pretrial skills
law firm in the country is unethical. c. 5 hours – alternative
(Dacanay vs. Baker & McKenzie, G.R. dispute resolution
Adm. Case No. 2131) d. 9 hours – updates on
substantive and procedural laws
CANON 4: PARTICIPATE IN THE and jurisprudence
IMPROVEMENT OF THE LEGAL SYSTEM e. 4 hours – writing and oral
Examples: advocacy
1. Presenting position papers or f. 2 hours – international
resolutions for the introduction law and international
of pertinent bills in Congress; conventions
2. Petitions with the SC for the g. 6 hours – such other
amendment of the Rules of subjects as may be prescribed by
Court. the Committee on MCLE
Parties Exempted from the MCLE

15
1. The President, Vice-President, exemption (such as physical disability,

and the Secretaries and illness, post-graduate study abroad,
Undersecretaries of executive proven expertise in law) from
departments; compliance with or modification of any
2. Senators and Members of the of the requirements, including an
House of Representatives; extension of time for compliance, in
3. The Chief Justice and Associate accordance with procedure to be
Justices of the SC, incumbent established by the committee on MCLE.
and retired justices of the
judiciary, incumbent members of Proof of exemption: Applications for
the Judicial and Bar Council and exemption from or modification of the
incumbent court lawyers covered MCLE requirement shall be under oath
by the Philippine Judicial and supported by documents.
Academy Program of continuing
legal education; Consequences of Non-Compliance
4. The Chief State Counsel, Chief 1. A member who fails to comply
State Prosecutor and Assistant with the requirements after the
Secretaries of the Department of 60-day period shall be listed as
Justice; delinquent member by the IBP
5. The Solicitor-General and the Board of Governors upon
Assistant Solicitor-General; recommendation of the
6. The Government Corporate Committee on MCLE.
Counsel, Deputy and Assistant 2. The listing as a delinquent
Government Corporate Counsel; member is administrative in
7. The Chairman and Members of nature but shall be made with
the Constitutional Commissions; notice and hearing by the
8. The Ombudsman, the Overall Committee on MCLE.
Deputy Ombudsman, the Deputy
Ombudsman and the Special CANON 6: APPLICABILITY OF THE CPR
Prosecutor of the Office of the TO LAWYERS IN THE GOVERNMENT
Ombudsman; SERVICE
9. Heads of government agencies
exercising quasi-judicial Restriction Against Using Public Office
functions; to Promote Private Interest
10. Incumbent deans, bar reviewers Public officials and employees during
and professors of law who have their incumbency shall NOT:
teaching experience for at least 1. Own, control, manage or accept
10 years in accredited law employment as officer,
schools; employee, consultant, counsel,
11. The Chancellor, Vice-Chancellor broker, agent, trustee or
and members of the Corps of nominee in any private
Professional Lecturers of the enterprise regulated, supervised
Philippine Judicial Academy; and or licensed by their office unless
12. Governors and Mayors expressly allowed by law
2. Engage in the private practice of
Other Exempted Parties their profession unless
1. Those who are not in law authorized by the constitution or
practice, private or public law, provided that such practice
2. Those who have retired from law will not conflict or tend to
practice with the approval of the conflict with their official
IBP Board of Governors functions.
3. Recommend any person to any
Good Cause for Exemption from or position in a private enterprise
modification of requirement which has a regular or pending
A member may file a verified official transaction with their
request setting forth good cause for office
Barrios,
Dumpit, JB
Kristine Ventura
4. Use or divulge confidential or A lawyer shall not, in his

classified information officially professional dealings, use language
known to them by reason of their which is abusive, offensive or otherwise
office and not available to the improper. (Rule 8.01)
public.  CASE: Although aware that the
plaintiff students were represented by
Restrictions Against Former Official counsel, respondent attorney, counsel
from Accepting Certain Employment for the defendants proceeded,
A lawyer shall NOT, after leaving the nonetheless, to negotiate with them and
government service, accept engagement their parents without at the very least
or employment in connection with any communicating the matter to their
matter in which he had intervened while lawyer. This failure of respondent is an
in said service. [Rule 6.03, Code of inexcusable violation of the canons of
Professional Responsibility] professional ethics and in utter disregard
Section 7 (b), RA 6713 prohibits any of a duty owing to a colleague.
former public official or employee for a (Camacho vs. Pangulayan, 328 SCRA 631,
period of one year after retirement or March 22, 2000)
separation from office to practice his
profession in connection with any other CANON 9: PREVENTING UNAUTHORIZED
matter before the office he used to be PRACTICE OF LAW
with. Public policy requires that the
practice of law be limited to those
individuals found duly qualified in
THE LAWYER AND THE LEGAL education and character.
Purpose: To protect the public, the
PROFESSION court, the client and the bar from the
incompetence or dishonesty of those
CANON 7: UPHOLD THE INTEGRITY AND
unlicensed to practice law and not
DIGNITY OF THE PROFESSION AND
subject to the disciplinary control of the
SUPPORT THE ACTIVITIES OF THE IBP
court.
A lawyer shall be answerable for
1. A lawyer is prohibited from
knowingly making a false statement or
allowing an intermediary to
suppressing a material fact, in
intervene in the performance of
connection with his application for
his professional obligation.
admission to the bar. (Rule 7.01)
2. A lawyer cannot delegate to any
A lawyer shall not, whether in
unqualified person the
public or private life, behave in a
performance of any task which
scandalous manner to the discredit of
by law may only be performed by
the legal profession. (Rule 7.03)
a member of the Bar in good
standing.
 CASE: Counsel’s act of filing multiple 3. A lawyer cannot divide or
complaints against herein complainant’s stipulate a fee for legal services
reflects on his fitness to be a member of with a person not licensed to
the legal profession. His act evinces practice law.
vindictiveness, a decidedly undesirable
trait whether in a lawyer or another Exceptions:
individual, as complainants were 1. Where there is a pre-
instrumental in respondent’s dismissal existing agreement with a
from the judiciary. (Saburnido vs. partner or associate that, upon
Madrono, 366 SCRA 1, September 26, the latter’s death, money shall
2001) be paid over a reasonable period
of time to his estate or to
CANON 8: COURTESY, FAIRNESS AND persons specified in the
CANDOR TOWARD HIS COLLEAGUES AND agreement;
AVOID HARASSING TACTICS

17
2. Where a lawyer undertakes or amendment, or assert as a fact that

to complete unfinished legal which has not been proved. (Rule 10.02)
business of a deceased lawyer; A lawyer shall observe the rules of
3. Where a lawyer or law firm procedure and shall NOT misuse them to
includes non-lawyer employees defeat the ends of justice. (Rule 10.03)
in a retirement plan, even if the
plan is based in whole or in part CANON 11: OBSERVANCE OF RESPECT
on a profit-sharing arrangement. DUE THE COURTS
A lawyer shall observe and
maintain the respect due to the courts
LAWYER’S DUTIES TO COURTS and to judicial officers and should insist
on similar conduct by others.
CANON 10: CANDOR, FAIRNESS AND A lawyer should show respect
GOOD FAITH TO COURTS due the court and judicial officer by
A lawyer shall NOT do any appearing during the trial of a case
falsehood, nor consent to the doing of punctually and in proper attire.
any in court; nor shall be misled, or A lawyer’s language should be
allow the court to be misled by any forceful but dignified, emphatic but
artifice. (Rule 10.01) respectful as befitting an advocate and
in keeping with the dignity of the legal
REQUIREMENTS OF CANDOR: profession.
1. A lawyer shall not suppress material
and vital facts which bear on the RIGHT AND DUTY OF LAWYER TO
merit or lack of merit of complaint CRITICIZE COURTS
or petition; The fact that a person is a
2. A lawyer shall volunteer to the court lawyer does not deprive him of the right,
any development of the case which enjoyed by every citizen, to comment on
has rendered the issue raised moot and criticize the actuations of a judge.
and academic; However, what he can ordinarily
3. Disclose to court any decision adverse say against a concluded litigation and
to his position of which opposing the manner the judge handed down the
counsel is apparently ignorant and decision therein may NOT generally be
which court should consider in said to a pending action. The court, in a
deciding a case; pending litigation, must be shielded from
4. He shall not represent himself as embarrassment or influence in its all
lawyer for a client, appear for client important duty of deciding the case. On
in court and present pleadings, only the other hand, once a litigation is
to claim later that he was not concluded the judge who decided it is
authorized to do so. subject to the same criticism as any
Note: A lawyer is not an umpire but an other public official because then his
advocate. He is not obliged to refrain ruling becomes public property and is
from making every proper argument in thrown open to public consumption.
support of any legal point because he is But it is the cardinal condition of
not convinced of its inherent soundness. all such criticism that it shall be bona
Neither is he obliged to suggest fide, and shall not spill over the walls of
arguments against his position. decency and propriety.
A lawyer shall NOT knowingly CANON 12: ASSISTING IN SPEEDY AND

misquote or misrepresent the contents EFFICIENT ADMINISTRATION OF JUSTICE
of a paper, the language or the A lawyer shall NOT appear for
argument of opposing counsel, or the trial unless he has adequately prepared
text of a decision or authority, or himself on the law and the facts of his
knowingly cite as a law a provision case, the evidence he will adduce and
already rendered inoperative by repeal the order of its presentation. He should
also be ready with the original
documents for comparison with the
Barrios,
Dumpit, JB
Kristine Ventura
copies. [Rule 12.01 Code of Professional 2. Any willful and deliberate forum
Responsibility] shopping by any party and his
lawyer with the filing of multiple
A lawyer shall NOT unduly delay petitions or complaints to ensure
a case, impede the execution of favorable action shall constitute
judgment or misuse court processes. direct contempt of court;
[Rule 12.04, Code of Professional 3. The submission of a fake
Responsibility] certification under par. 2 of the
Circular shall likewise constitute
 CASE: The Court further commented contempt of court, without
that it is understandable for a party in prejudice to the filing of a
the situation to make full use of every criminal action against the guilty
conceivable legal defense the law allows party. The lawyer may also be
it. In the appraisal, however, of such subjected to disciplinary
attempts to evade liability to which a proceedings.
party should respond, it must ever be
kept in mind that procedural rules are CANON 13: AVOIDING IMPROPRIETY
intended as an aid to justice, not as THAT TENDS TO INFLUENCE THE COURT
means for its frustration. Technicalities A lawyer shall rely upon the
should give way to the realities of the merits of his cause and refrain from any
situation. (Economic Insurance Co., Inc. impropriety which tends to influence, or
vs. Uy Realty Co.) gives the appearance of influencing the
court.
The duty of a lawyer to assist in A lawyer shall not extend
the speedy and efficient administration extraordinary attention or hospitality to,
of justice includes the duty to refrain nor seek opportunity for cultivating
from talking to his witness during a familiarity with judges [Rule 13.01, Code
break or recess in the trial while the of Professional Responsibility]
witness is still under examination. A lawyer shall not make public
statements in the media regarding a
FORUM SHOPPING - the act of filing pending case tending to arouse public
repetitious suits in different courts. It is opinion for or against a party. [Rule
committed through the following: 13.02, Code of Professional
1. Going from one court to another in Responsibility]
the hope of securing a favorable A lawyer shall not brook nor invite
relief in one court, which another interference by another branch or agency of
court has denied. the government in the normal course of
2. Filing repetitious suits or judicial proceedings. [Rule 13.03 Code of
proceedings in different courts Professional Responsibility]
concerning the same subject
matter after one court has
decided the suit with finality.
ATTORNEY-CLIENT
3. Filing a similar case in a
judicial court after receiving an RELATIONSHIP
unfavorable judgment from an
administrative tribunal. NATURE OF RELATION
1. strictly personal;
Forum shopping is prohibited by 2. highly confidential and
Supreme Court Circular No. 28-91, and fiduciary
the corresponding penalties for violation
thereof are as follows: GENERAL RULES PROTECTING
1. Any violation of this circular ATTORNEY-CLIENT RELATIONSHIPS
shall be a cause for the summary 1. Best efforts must be exerted by
dismissal of the multiple petition the attorney to protect his
or complaint; client’s interest;

19
2. The attorney must promptly 2. In case of unjustified dismissal of an

account for any fund or property attorney, he shall be entitled to
entrusted by or received for his recover from the client full
client; compensation stipulated in the
3. An attorney cannot purchase his contract [RA 636].
client’s property or interest in
litigation; CANON 14: NOT TO REFUSE HIS
4. The privacy of communications SERVICES TO THE NEEDY
shall at all times be upheld;
5. An attorney cannot represent a RIGHT TO DECLINE EMPLOYMENT;
party whose interest is adverse EXCEPTIONS
to that of his client even after  General Rule: A lawyer is not obliged
the termination of the relation. to act as legal counsel for any person
who may wish to become his client. He
CREATION OF RELATION: FORMS OF has the right to decline employment.
EMPLOYMENT AS COUNSEL TO A CLIENT  Exceptions:
1. Oral – when the counsel is employed 1. A lawyer shall not refuse his
without a written agreement, but services to the needy.
the conditions and amount of 2. He shall not decline to represent
attorney’s fees are agreed upon. a person solely on account of the
2. Express − when the latter’s race, sex, creed or
terms and conditions including status of life or because of his
the amount of fees, are own opinion regarding the guilt
explicitly stipulated in a written of said person.
document which may be a 3. He shall not decline, except for
private or public document. serious and sufficient cause like
Written contract of attorney’s (1) if he is not in a position to
fees is the law between the carry out effectively or
lawyer and the client. competently; (2) if he labors
3. Implied – when there is under a conflict of interest
no agreement, whether oral or between him and the
written, but the client allowed prospective client or between a
the lawyer to render legal present and prospective client.
services not intended to be
gratuitous without objection, Reasons: IBP Guidelines, Art.1, Sec. 1.
and the client is benefited by Public Service:
reason thereof. 1. Legal aid is not a matter of
charity but a public responsibility.
Note: While a written agreement for 2. It is a means for correction of
professional services is the best evidence social imbalance.
to show the relation, formality is not an 3. Legal aid offices must be so
essential element of the employment of organized as to give maximum
an attorney. The absence of a written possible assistance to indigent and
contract will not preclude a finding that deserving members of the
there is a professional relationship. community and to forestall
Documentary formalism is not an injustice.
essential element in the employment of
an attorney; the contract may be DUTY TO DECLINE EMPLOYMENT
express or implied. A lawyer should decline
professional employment even though
ADVANTAGES OF A WRITTEN CONTRACT how attractive the fee offered may be if
BETWEEN THE LAWYER AND THE its acceptance will involve:
CLIENT: 1. A violation of any of the rules of
1. It is conclusive as to the the legal profession.
amount of compensation.
Barrios,
Dumpit, JB
Kristine Ventura
2. Nullification of a contract which injure the opposite party or to

he prepared. work oppression or wrong.
3. Advocacy in any matter in which However, a lawyer may accept a
he had intervened while in the losing civil case provided that, in so
government service. doing, he must not engage in dilatory
4. Employment, the nature of tactics and must advise his client about
which might easily be used as a the prospects and advantage of settling
means of advertising his the case through a compromise.
professional services or his skill.
5. Employment with a collection
agency which solicits business to LAWYER’S DUTIES TO CLIENT
collect claims.
6. Any matter in which he knows or CANON 15: CANDOR, FAIRNESS AND
has reason to believe that he or LOYALTY IN HIS DEALINGS AND
his partner will be an essential TRANSACTIONS WITH HIS CLIENTS
witness for the prospective
client. CONFLICT OF INTEREST
ETHICAL CONSIDERATIONS IN TAKING A Duty of a Lawyer to His Client in Case

BAD CASE There is Conflict of Interest
In a Criminal Case: A lawyer may accept A lawyer, in conferring with a
a losing criminal case because every prospective client shall ascertain as soon
accused is presumed innocent and is as practicable whether the matter would
entitled to counsel. involve a conflict with another client or
his own interest, and if so, shall
In a Civil Case: The rules and ethics of forthwith inform the prospective client.
the profession enjoin a lawyer from [Rule 15.01]
taking a bad case. It is the duty of a lawyer at the
time of retainer to disclose to the client
all circumstances of his relations to the
Reasons: parties and any interest in connection
1. The attorney’s signature in every with the controversy, which might
pleading constitutes a certificate influence the client in the selection of
by him that there is good cause counsel.
to support it and that it is not It is unprofessional to represent
interposed for delay, and willful conflicting interests, except by express
violation of such rule shall consent of all concerned given after a
subject him to disciplinary full disclosure of facts. Within the
action. meaning of this Canon, a lawyer
2. It is the attorney’s duty to represents conflicting interests when, in
“counsel or maintain such behalf of one client it is his duty to
actions or proceedings only as contend for that which duty to another
appear to him to be just and client requires him to oppose.
only such defenses as he believes
to be honestly debatable under Tests to Determine Conflicting
the law.” Interests
3. A lawyer is not to encourage 1. Will the attorney be
either the commencement or the required to contest for that
continuance of an action or which his duty to another
proceeding, or delay any man’s client requires him to
cause, for any corrupt motive or oppose? (Conflicting duties)
interest. 2. Will the acceptance of a
4. A lawyer must decline to new relation invite suspicion
conduct a civil cause or to make and/or actually lead to
a defense when convinced that it unfaithfulness or double-
is intended merely to harass or dealing towards another
21
client? (Invitation of professional relationship with

suspicion) the opposite party.
3. Will the attorney be
called upon in his new  CASE: Jurisprudence instructs that
relation to use against his there is a representation of conflicting
first client any knowledge interests if the acceptance of the new
acquired in the previous retainer will require the attorney to do
employment? (Use of prior anything which will injuriously affect his
knowledge obtained) first client in any matter in which he
represents him and also whether he will
INSTANCES WHEN A LAWYER IS be called upon in his new relation, to
CONSIDERED HAVING CONFLICTING use against his first client any knowledge
DUTIES acquired through their connection.
1. As an employee of a corporation Another test to determine if there is a
whose duty is to attend legal representation of conflicting interests is
affairs, he cannot join a labor whether the acceptance of a new
union of employees in that relation will prevent an attorney from
corporation; the full discharge of his duty of
2. As a lawyer who investigated an undivided fidelity and loyalty to his
accident as counsel for an client or invite suspicion of
insurance, he cannot represent unfaithfulness or double dealing in the
the injured person; performance thereof. (Pormento, Sr. vs.
3. As a receiver of a corporation, Atty. Pontevedra, A.C. No. 5128, March
he cannot represent the 31, 2005)
creditor;
4. As a representative of the CANON 16: LAWYER’S DUTY TO HOLD
obligor, he cannot represent the IN TRUST ALL THE MONEY AND
obligee; PROPERTY OF HIS CLIENT THAT MAY
5. As a lawyer representing a party COME TO HIS POSSESSION
in a compromise agreement, he PROHIBITION AGAINST PURCHASE OF
cannot be subsequent lawyer PROPERTY IN LITIGATION
representing another client who
seeks to nullify the agreement; Elements of Prohibition
1. There is an attorney-client
Effects of Representing Adverse relationship;
Interests 2. The property is in litigation;
1. Disqualification as 3. The attorney is the counsel of
counsel of new client on petition record in the case;
of former client. 4. The attorney, by himself or
2. Where such is unknown through an agent, purchases such
to, and becomes prejudicial to property during the pendency of
the interests of the new client, a said case [Art. 1491 of the Civil
judgment against such may, on Code]
that ground, be set aside.
3. A lawyer can be held Other Instances Where Rule is
administratively liable through Inapplicable
disciplinary action and may be 1. Where the property purchased
held criminally liable for by a lawyer was not involved in
betrayal of trust. litigation.
4. The attorney’s right to 2. Where the sale took place before
fees may be defeated if found to it became involved in the suit.
be related to such conflict and 3. Where the attorney at the time
such was objected to by the of the purchase was not counsel
former client, or if there was a in the case.
concealment and prejudice by 4. Where the purchaser of the
reason of the attorney’s previous property in litigation was a
Barrios,
Dumpit, JB
Kristine Ventura
corporation even though the PREPARATION OF PLEADINGS

attorney was an officer thereof. A lawyer shall not handle any
5. Where the sale took place after legal matter without any adequate
the termination of the litigation. preparation. (Rule 18.02)
6. A lawyer may accept an A lawyer should prepare his
assignment from his client of a pleading with great care and
money judgment rendered in the circumspection. He should refrain from
latter’s favor in a case in which using abrasive and offensive language,
he was not counsel, in payment for it merely weakens rather than
of his professional services strengthens the force of legal reasoning
performed in another case. and detracts from its persuasiveness. In
7. Prohibition is inapplicable to a preparing a complaint for damages,
contract for attorney’s fees counsel for plaintiff should allege and
contingent upon the outcome of state the specific amounts claimed not
the litigation. only in the body of the complaint but
also in the prayer, so that the proper
CANON 17: FIDELITY TO THE CAUSE OF docket fees can be assessed and paid.
HIS CLIENT AND MINDFUL OF THE
TRUST AND CONFIDENCE REPOSED IN DUTY TO KEEP CLIENT FULLY
HIM INFORMED
 CASE: Ordinarily, lawyers are not A lawyer shall keep the client
obliged to act either as advisers or as informed of the status of his case. (Rule
advocates of any person who may wish 18.04)
to become their client. They may He should notify his client of an
decline employment and refuse to adverse decision while within the period
accept representation, if they are not in to appeal to enable his client to decide
a position to carry it out effectively or whether to seek an appellate review. He
competently. But once they agree to should communicate with him
handle a case, attorneys are required by concerning the withdrawal of appeal
the Canons of Professional Responsibility with all its adverse consequences. The
to undertake the task with zeal, care client is entitled to the fullest disclosure
and utmost devotion. of the mode or manner by which his
Acceptance of money from a interest is defended or why certain steps
client establishes an attorney-client are taken or omitted.
relationship and gives rise to the duty of
fidelity to the client’s cause. Every case Doctrine of Imputed Knowledge − the
accepted by a lawyer deserves full knowledge acquired by an attorney
attention, diligence, skill and during the time that he is acting within
competence, regardless of importance. the scope of his authority is imputed to
(Rollon vs. Atty. Naraval, A.C. No. 6424, the client.
March 4, 2005) It is based on the assumption
that an attorney, who has notice of
CANON 18: SERVE CLIENT WITH matter affecting his client, has
COMPETENCE AND DILIGENCE communicated the same to his principal
in the course of professional dealings.
DUTY TO PROTECT CLIENT’S INTEREST The doctrine applies regardless of
The attorney’s duty to whether or not the lawyer actually
safeguard the client’s interests communicated to the client what he
commences from his retainer until his learned in his professional capacity, the
effective release from the case or the attorney and his client being one
final disposition of the whole subject juridical person.
matter of the litigation. During that Exceptions to the Rule that Notice to
period he is expected to take such Counsel is Notice to Client
reasonable steps and such ordinary care 1. If strict application might foster
as his client’s interests may require. dangerous collusion to the
detriment of justice.

23
2. Service of notice upon party never follow any unlawful instruction of

instead of upon his attorney is his client.
ordered by court.
3. Notice of pre trial is required to CANON 19: DUTY TO REPRESENT
be served upon parties and their CLIENT WITH ZEAL AND WITHIN THE
respective lawyers. BOUNDS OF THE LAW
4. In appeal from the lower court
to the RTC, upon docketing of DUTY TO RESTRAIN CLIENT FROM
appeal. IMPROPRIETY
A lawyer should use his best
DUTY WHEN THE ACCUSED INTENDS TO efforts to restrain and to prevent his
PLEAD GUILTY client from doing those things which he
A PLEA OF GUILTY is an himself ought not to do, particularly
admission by the accused of his guilt of with reference to the conduct toward
crime as charged in the information and the court, judicial officer, witness and
of the truth of the facts alleged, suitor and if the client persists in such
including the qualifying and aggravating wrong doing, the lawyer should
circumstances. terminate their relation.
It is the duty of the defense
counsel when his client desires to enter Duty to Advice Candidly
a plea of guilty to: (ACEPA) As officers of the court, counsels
1. Fully acquaint himself with the are under obligation to advise their
records and surrounding clients against making untenable and
circumstances of the case inconsistent claims. The counsel should
2. Confer with the accused and inform his client and dissuade him from
obtain from him his account of filing the case if totally devoid of merit.
what had happened If he finds that his client’s cause as fairly
3. Advise him of his constitutional meritorious and ripe for judicial
rights adjudication, he should refrain from
4. Thoroughly explain to him the making bold and confident assurances of
import of a guilty plea and the success.
inevitable conviction that will
follow Duty of Lawyer in Case of Knowledge of
5. See to it that the prescribed Client’s Fraud
procedure which experience has 1. He must promptly call
shown to be necessary to the upon the client to rectify the same
administration of justice is and failing which,
strictly followed and disclosed in 2. He shall terminate their
the court records. relationship with such client in
accordance with the Rules of Court.
DUTY TO COMPLY WITH CLIENT’S
LAWFUL REQUEST
A client shall respond within a AUTHORITY OF A LAWYER
reasonable time to the client’s request Appearance- the coming into court as a
for information. (Rule 18.04) party either as a plaintiff or as a
A lawyer should endeavor to defendant and asking relief therefrom.
seek instruction from his client on any By virtue of Sec. 20, Rule 14 of
substantial matter concerning the the 1997 Rules of Civil Procedure, there
litigation, which may require decision on is no more distinction between general
the part of the client, such as whether appearance and special appearance, in
to compromise the case or to appeal an the sense that a defendant may file a
unfavorable judgment. He should give motion to dismiss not only on the ground
his client sound advice on any such and of lack of jurisdiction over his person but
similar matters and comply with the also on some other grounds without
client’s lawful instructions relative waving the jurisdiction of the court over
thereto. He should resist and should his person.
Barrios,
Dumpit, JB
Kristine Ventura
1. Party represented by lawyer

Presumption of Authority must be of age, competent or if
An attorney is presumed to be suffers from disability, has
properly authorized to represent any guardian or legal representative.
cause in which he appears in all stages of 2. Party or guardian is aware of
the litigation and no written authority is attorney’s representation.
required to authorize him to appear. 3. He fails to promptly repudiate
The presumption is a strong one. assumed authority.
A mere denial by a party that he has
authorized an attorney to appear for Authority of Attorney in the Conduct of
him, in the absence of compelling Litigation
reason, is insufficient to overcome the A lawyer has authority to bind
presumption especially when the denial the client in all matters of ordinary
comes after the rendition of an adverse judicial procedure. He can bind his
judgment. client on substantial matters only with
the client’s express or implied consent.
Effects of an Unauthorized Appearance A client may waive, surrender,
1. Party is not bound by the dismiss, or compromise any of his rights
attorney’s appearance in the involved in a litigation in favor of the
case in or by the judgment other party even without or against the
rendered therein. consent of his attorney.
2. Court does not acquire
jurisdiction over the person. Authority to Compromise
3. The adverse party who has been Compromise- a contract whereby the
forced to litigate as a defendant parties, by making reciprocal
by the unauthorized action on concessions, avoid a litigation or put an
the part of the attorney for the end to one already commenced.
plaintiff may, on that ground,
move for the dismissal of the  General Rule: The attorney has no
complaint. authority to compromise his client’s
4. If unauthorized appearance is case.
willful, attorney may be cited Reason: Because the client, even if
for contempt as an officer of the represented by counsel, retains exclusive
court who has misbehaved in his control over the subject matter of the
official transactions, and he may litigation. The client can, of course,
be disciplined for professional authorize his lawyer to compromise his
misconduct. case, and the settlement made by the
lawyer will bind his client.
Ratification of Unauthorized  Exception: Where the lawyer is
Appearance confronted with an emergency and
1. EXPRESS: categorical assertion prompt, urgent action is necessary to
by client that he has authorized protect the interest of his client and
a lawyer or that he confirms his there is no opportunity for consultation
authorization to represent him in with him.
the case.
2. IMPLIED: where a party with Mistakes or Negligence of Lawyer
knowledge of the fact that a Binding Upon Client
lawyer has been representing General Rule: Client is bound by
him in a case, accepts benefits attorney’s conduct, negligence and
of representation or fails to mistake in handling case or in
promptly repudiate the assumed management of litigation and in
authority. procedural technique, and he can not be
heard to complain that result might have
Requisites for Implied Ratification by been different had his lawyer proceeded
Silence differently.
 Exceptions:
25
1. Where adherence thereto results 1. Ordinary- it is the reasonable

in outright deprivation of client’s compensation paid to the lawyer
liberty or property or where for the legal services he had
interest of justice so requires. rendered the client. The basis
2. Where error by counsel is purely of this compensation is the fact
technical which does not affect of employment by the client.
substantially client’s cause. 2. Extraordinary- an indemnity for
3. Ignorance, incompetence or damages ordered by the court to
inexperience of lawyer is so be paid by the losing party to the
great and error so serious that prevailing party in a litigation.
client, who has good cause The basis of this is any of the
prejudiced and denied a day in cases authorized by law and is
court. payable not to the lawyer but to
4. Gross negligence of lawyer. the client unless they have
5. Lack of acquaintance with agreed that the award shall
technical part of procedure. pertain to the lawyer as
additional compensation or as
CANON 20: DUTY OF THE LAWYER TO part thereof.
CHARGE ONLY FAIR AND REASONABLE
FEES Kinds of Payment which may be
Stipulated Upon
ATTORNEY’S FEES 1. FIXED OR ABSOLUTE
FEE – which is payable regardless
Factors in Determining Attorney’s Fees of the result of the case.
(Rule 20.1, Canon 20) (TINSAP²C³) 2. CONTINGENT FEE – that
1. time spent and the extent of the is conditioned on the securing of
services rendered or required; a favorable judgment and
2. novelty and the difficulty of the recovery of money or property
questions involved; and the amount of which may be
on a percentage basis.
3. importance of the subject 3. A fixed fee payable PER
matter; APPEARANCE.
4. skill demanded; 4. A fixed fee computed
5. probability of losing other upon the NUMBER OF HOURS
employment as a result of the SPENT
acceptance of the proffered 5. A fixed fee based on
case; PIECEWORK.
6. customary charges for similar 6. COMBINATION of any of
services and the schedule of fees the above.
of the IBP Chapter to which he
belongs; RETAINER- may refer to either of two
7. amount involved in the concepts:
controversy and the benefits 1. Act of a client by which he
resulting to the client from the engages the services of an
service; attorney to render legal advice or
to defend or prosecute his cause
8. contingency or certainty of in court.
compensation;
2. Fee which a client pays to
9. character of the employment the attorney
whether occasional or
established; and Kinds of Retainer Agreements
10. the professional standing of the 1. General retainer – the
lawyer. fee paid to a lawyer to secure
his future services as “general
Two Concepts of Attorney’s Fees counsel” for any ordinary legal
problem that may arise in the
Barrios,
Dumpit, JB
Kristine Ventura
ordinary business of the client 1. Time spent and extent of

and referred to him for legal the services rendered or
action. The client pays fixed required – a lawyer is justified in
retainer fees, which could be fixing higher fees when the case
monthly or otherwise. The fees is so complicated and requires
are paid whether or not there more time and effort to finish it.
are cases referred to the lawyer. 2. Novelty and difficulty of
2. Special retainer – fee questions involved – when the
for a specific case or service questions in a case are novel and
rendered by the lawyer for the difficult, greater effort, deeper
client. study and research are bound to
burn the lawyer’s time and
Situations when Counsel cannot stamina considering that there
Recover the Full Amount of Attorney’s are no local precedents to rely
Fees Despite Written Contract upon
1. When the services called for were 3. Importance of subject
not performed as when the lawyer matter − the more important the
withdrew before the case was subject matter or the bigger the
finished. He will be allowed only value of the interest of property
reasonable fees in litigation, the higher is the
2. When there is a justified dismissal of attorney’s fees
the attorney, the contract will be 4. Skill demanded of a
nullified and payment will be on the lawyer − the totality of the
basis of quantum meruit only. A lawyer’s experience provides
contrary stipulation will be invalid. him the skill and competence
3. When the stipulated admired in lawyers.
attorney’s fees are
unconscionable i.e., when it is Instances of Recovery of Attorney’s
disproportionate as compared to Fees on the Basis of Quantum Meruit
the value of services rendered 1. There is no express
and is revolting to human contract for payment of
conscience. attorney’s fees agreed upon
4. When the stipulated between the lawyer and the
attorney’s fees are in excess of client.
what is expressly provided by 2. When although there is a
law. formal contract for attorney’s
5. When the lawyer is guilty fees, the fees stipulated are
of fraud or bad faith toward his found unconscionable.
client in the matter of his 3. When the contract for
employment attorney’s fees is void due to
6. When the counsel’s formal matter.
services are worthless because of 4. When for justifiable
h is negligence. cause the lawyer was not able to
7. When contract is illegal, finish the case.
against morals or public policy. 5. When the lawyer and the
8. Serving adverse interest client disregard the contract for
unless lawyer proves that it was fees.
with the consent of both parties. 6. When the client
dismissed his counsel before the
Quantum Meruit − means as much as the termination of the case or the
lawyer deserves or such amount as his latter withdrew therefrom for
services merit. valid reasons.
Guides for Determining Attorney’s Fees Champertous Contract - one where the
on Quantum Meruit Basis (TINS) lawyer stipulates with his client in the
prosecution of the case that he will bear
27
all of the expenses for the recovery of

things or property being claimed by the Effect of Nullity of Contract on the
client, and the latter agrees to pay the Right to Attorney’s Fees
former a portion of the thing or property 1. if the nullification is due
recovered as compensation. It is void to the illegality of its object,
for being against public policy. the lawyer is precluded from
recovering;
∗ CONTINGENT vs. 2. if the nullity is due to a
CHAMPERTOUS formal defect or because the
CONTINGENT CHAMPERTOUS court has found the amount to
CONTRACT CONTRACT be unconscionable, the lawyer
1. Contingent 1. Payable in may recover for any services
fee is kind ONLY rendered based on quantum
payable in meruit.
cash
2. Lawyers do 2.Lawyers Instances When an Independent Civil
not undertake to undertake to pay Action to Recover Attorney’s Fees is
pay all expenses all expenses of Necessary
of litigation litigation 1. Main action is dismissed
or nothing is awarded;
3. Not prohibited 3. Void 2. Court has decided that it
has no jurisdiction over the
action or has already lost it;
Enforcement of Attorney’s Fees 3. Person liable for
 General Rule: A lawyer should avoid attorney’s fees is not a party to
the filing of any case against client for the main action;
enforcement of attorney’s fees 4. Court reserved to the
 Exceptions: lawyer the right to file a
1. to prevent imposition separate civil suit for recovery of
2. to prevent injustice attorney’s fees;
3. to prevent fraud 5. Services for which the
lawyer seeks payment are not
Who are Entitled to Attorney’s Fees connected with the subject
 General Rule: Only lawyers are litigation;
entitled to attorney’s fees. The same 6. Judgment debtor has
cannot be shared with a non-lawyer. It is fully paid all of the judgment
immoral. proceeds to the judgment
 Exceptions: creditor and the lawyer has not
A lawyer may divide a fee for legal taken any legal step to have his
services with persons not licensed to fees paid directly to him from
practice law: (CPR) the judgment proceeds.
1. a lawyer undertakes to Compensation to Which a Lawyer is
complete unfinished legal Entitled to Depending on His Capacity
business of a deceased lawyer; 1. Counsel de Parte - He is
2. there is a pre-existing entitled to a reasonable
agreement with a partner or attorney’s fees agreed upon or in
associate that, upon the latter’s the absence thereof, on
death, money shall be paid over quantum meruit basis.
a reasonable period of time to 2. Counsel de Oficio - The
his estate or to persons specified counsel may not demand from
in the agreement; the accused attorney’s fees even
3. a lawyer or law firm if he wins the case. He may
includes non-lawyer employees however collect from the
in retirement plan, even if the government funds if available
plan is based in whole or in part based on the amount fixed by
on the profit sharing agreement the court.
Barrios,
Dumpit, JB
Kristine Ventura
3. Amicus Curiae - not entitled to of papers, money

attorney’s fees documents, judgment
property for the
ATTORNEY’S LIEN belonging to client.
Charging Lien - is an equitable right to the client.
have the fees and lawful disbursements 3. Coverage Covers Covers all
due a lawyer for his services in a suit papers, judgment
secured to him out of the judgment for documents, for the
the payment of money and executions and payment of
issued in pursuance thereof in the properties money and
particular suit. in the execution
lawful issued in
Requisites of a Charging Lien possession pursuance
1. Existence of a client-lawyer of the of such
relationship; attorney by judgments.
2. The attorney has rendered services; reason of
3. Favorable judgment secured by the his
counsel for his client which professional
judgment is a money judgment; employment
4. The attorney has a claim for .
attorney’s fees or advances; 4. Effect As soon as As soon as
5. Noting into the records of the case the attorney the claim
through the filing of an appropriate gets for
motion of the statement of the possession attorney’s
lawyer’s claim for attorney’s fee of the fees had
with copies furnished to the client papers, been
and adverse party. documents, entered
or property. into the
Retaining Lien – a right merely to retain records of
the funds, documents, and papers as the case.
against the client until the attorney is 5. Notice Client need Notice
fully paid his fees. not be must be
notified to served
Requisites: (ALU) make it upon client
1. Attorney-client relationship; effective. and
2. Lawful possession by the lawyer of adverse
the client’s funds, documents and party
papers in his professional capacity;
3. Unsatisfied claim for attorney’s fees 6. Applicabil May be Generally,
ity exercised exercisable
before only when
RETAINING LIEN VS.CHARGING LIEN judgment or the
Point of Retaining Charging execution or attorney
Distinction Lien Lien regardless had already
thereof. secured a
1. Nature Passive Active
favorable
Lien. It Lien. It can
judgment
cannot be be
for his
actively enforced
client.
enforced. It by
is a general execution.
lien. It is a
special
lien.
2. Basis Lawful Securing of
possession a favorable

29
7.Extinguish- When When agent with reference to any fact

ment possession client loses required in such capacity.
lawfully action as 5. The above duty is perpetual and
ends when lien may is absolutely privileged from
as lawyer only be disclosure.
voluntarily enforced
parts with against Exceptions to the Privilege
funds, judgment 1. When there is consent or waiver
documents, awarded in of client.
and papers favor of 2. When disclosure is required by
of client or client, law.
offers them proceeds 3. When disclosure is made to
as evidence. thereof/ protect the lawyer’s rights (i.e.,
executed to collect his fees or defend
thereon. himself, his employees or
associates or by judicial action).
4. When such communications are
CANON 21: PRIVILEGED made in contemplation of a
COMMUNICATION crime or the perpetuation of a
fraud
Requisites:
1. There exists an attorney and client LAWYER AS WITNESS
relationship or a kind of consultancy A lawyer shall avoid testifying in
relationship with a prospective behalf of his client.
client. That is, legal advise is what is Reason: The function of a witness is
sought; to tell the facts as he recalls them in
2. The communication was made by the answer to questions. The function of an
client to the lawyer in the course of advocate is that of a partisan. It is
the lawyer’s professional difficult to distinguish between the zeal
employment; and of an advocate and the fairness and
3. The communication must be impartiality of a disinterested witness.
intended to be confidential. [Uy
Chico vs. Union Life Association  Instances when a lawyer may NOT
Society, 29 Phil 163] testify as a witness in a case which he is
handling for a client:
Purposes: 1. When such would adversely
To encourage a client to make a full affect any lawful interest of the
disclosure of the facts of the client with respect to which
case to his counsel without fear; confidence has been reposed on
To allow the lawyer freedom to him;
obtain full information from his 2. Having accepted a retainer, he
client. cannot be a witness against his
client;
Characteristics: 3. He cannot serve conflicting
1. A-C privilege where legal advice interests;
is professionally sought from an 4. When he is to violate the
attorney. confidence of his client;
2. The client must intend the above 5. When as an attorney, he is to
communication to be testify on the theory of the case.
confidential.
3. A-C privilege embraces all forms  Instances when a lawyer may testify
of communication and action. as a witness in a case which he is
4. As general rule, A-C privilege handling for a client:
also extends to the attorney’s 1. On formal matters, such
secretary, stenographer, clerk or as the mailing, authentication or

Barrios,
Dumpit, JB
Kristine Ventura
custody of an instrument and the CANON 22: WITHDRAWAL OF SERVICES

like;
2. Acting as an expert on TERMINATION OF ATTORNEY-CLIENT
his fee; RELATIONSHIP
3. Acting as an Arbitrator;
4. Deposition; Instances When a Counsel Can
5. On substantial matters in Withdraw His Services
cases where his testimony is 1. When the client pursues an illegal or
essential to the ends of justice, immoral course or conduct in
in which event he must, during connection with the case he is
his testimony, entrust the trial handling;
of the case to another counsel. 2. When the client insists that the
lawyer pursue conduct violative of
INTERVIEWING WITNESSES the Code of Professional
Witness- human instrumentality through Responsibility;
which the law and its ministers, the 3. When his inability to work with co-
judges and lawyers, endeavors to counsel will not promote the best
ascertain the truth and to dispense interest of the client;
justice to the contending parties. 4. When the mental or physical
condition of the lawyer renders it
1. A lawyer may interview a witness difficult for him to carry on the
in advance of trial to guide him employment effectively;
in the management of the 5. When the client deliberately fails to
litigation. pay the fees for the services or fails
2. A lawyer may also interview a to comply with the retainer
prospective witness for the agreement;
opposing side in any civil or 6. When the lawyer finds out that he
criminal action without the might be appearing for a conflicting
consent of the opposing counsel interest;
or party. (Note: In all the above cases, the lawyer
3. A lawyer may properly obtain must file a written motion with an
statements from witnesses express consent of his client and must
whose names were furnished by wait for the approval of the court.)
the opposing counsel or 7. When the lawyer is elected or
interview the employees of the appointed to public office;
opposing party even though they 8. Other similar cases [Canon 22 Rule
are under subpoena to appear as 22.01]
witnesses for the opposite side.
4. If after trial resulting in NOTE: A lawyer may withdraw as
defendant’s conviction, his counsel only with the conrent of the
counsel has been advised that a client and with leave of court, and only
prosecution witness has for good cause enumerated in Rule 22.01
committed perjury, it is not only of the Code of Profdssional
proper but it is the lawyer’s duty Responsibility.
to endeavor honorably to obtain The relation of attorney-client
such witness’ retraction, even relationship is strictly personal and
without advising the public highly confidential and fiduciary.
prosecutor of his purpose and Necessity and public interest require
even though the case is pending that it be so.
appeal.
An adverse party, though he may be Discharge of the Attorney by Client
used as a witness, is not, however, a The client has the right to
witness within the meaning of the rule terminate at any time WITH OR
permitting a lawyer to interview the WITHOUT JUST CAUSE.
witness of the opposing counsel. Just cause is material only in
determining compensation.
31
2. To cooperate with the succeeding

Without just cause lawyer in the orderly transfer of the
⇑ And no express written case.
agreement as to fees −
reasonable value of his Conditions for Substitution of Counsel
services up to the date of his 1. Written request for such substitution
dismissal (quantum meruit) 2. Written consent of the client
⇑ And there is written 3. Written consent of the attorney to
agreement and the fee be substituted or in the absence
stipulated is absolute and thereof, proof of service of notice of
reasonable − full payment of said motion to the attorney to be
compensation substituted.
⇑ And the fee stipulated is
contingent
∏ If dismissed LIABILITIES OF A LAWYER
before the
conclusion of the
LIABILITY FOR DAMAGES
action − reasonable Requisites
value of his services 1. Attorney - client
(quantum meruit) relationship
∏ If contingency 2. Want of reasonable care
occurs or client & diligence
prevents its 3. Injury sustained by client
occurrence − full as proximate result thereof.
amount
(Note: lawyer should question his Kinds of Damages
discharge, otherwise he will be allowed 1. Nominal – where client
to recover on quantum meruit basis.) lost the litigation as a
consequence of lawyer’s gross
With just cause omission or negligence.
Lawyer is not necessarily 2. Actual/compensatory
deprived of his right to be paid for his 3. Moral Damages
services. He may only be deprived of 4. Attorney’s fees
such right if the cause for his dismissal (Note: for nos. 2-4 there should be
constitutes in itself a sufficient legal showing that had the lawyer exercised
obstacle to recovery. due diligence client would have
succeeded in recovering from adverse
Limitations of Client’s Right to party.)
Discharge His Counsel
1. Client cannot deprive Liability for Breach of Fiduciary
counsel of his right to be paid for Obligation
services rendered if dismissal is Lawyer holds his client’s funds or
without cause; property in trust for clients and is
2. Client cannot discharge obliged to make an accounting of such
counsel as an excuse to secure funds that come to his possession.
repeated extensions of time;
3. Notice of discharge Effect of Failure to Return Client’s
required in so far as court and Money or Property After Demand
adverse party are concerned. 1. Presumption that he
misappropriated the same
Duties of a Discharged Lawyer or One 2. Civilly liable in favor of client
Who Withdraws 3. Criminal liability
1. Immediately turn-over all papers and 4. Administrative liability
property to which the client is
entitled;
CHAIRPERSON: Jackie Lou Bautista  ASSISTANT CHAIRPERSON: Catherine Jane Vanilla  SUBJECT HEADS: Ma. Ricasion Tugadi
Barrios,
Dumpit, JB
Kristine Ventura
Remedy of Client Specific Acts which May Result to

Recover property from lawyer Criminal Liability
together with its fruits, subject to 1. A lawyer who has
client’s returning to his lawyer purchase undertaken the defense of client
price & legal interest. or has received confidential
information from said client in a
Libelous Words in Pleadings case may be criminally liable for
A lawyer is exempted from undertaking defense of opposing
liability for slander, libel or otherwise party in same cause without
defamatory, published in course of consent of first client.[Art. 209,
judicial proceedings, PROVIDED RPC]
statements are connected with, 2. A lawyer who shall
relevant, pertinent and material to knowingly introduce in evidence
cause in hand or subject of inquiry in any judicial proceeding or to
the damage of another or who,
Test of Relevancy with intent to cause such
The matter to which the damage, shall use any false
privilege does not extend must be document may be held criminally
palpably wanting in relation to subject liable therefor. [Art.172, RPC]
of controversy, that no reasonable man 3. A lawyer who
can doubt its relevancy or propriety. misappropriates his client’s
Pleadings should contain plain funds may be held liable for
and concise statements of material facts estafa.
and if pleader goes beyond requisites of
law and alleges irrelevant matter which CONTEMPT OF COURT
is libelous, he loses his privilege and may Nature
be liable in separate suit. It is exercised on preservative
and not on vindictive principle and on
Liability for Costs of Suit corrective rather than the retaliatory
 General Rule: Losing client and not idea of punishment, for purposes that
the lawyer is liable for costs of suit in are impersonal. It is criminal in nature.
favor of prevailing party, lawyer not The power to punish for
being party-litigant. contempt is inherent in all courts. It is
 Exception: Where the lawyer insisted essential in the observance of order in
on client’s patently unmeritorious case judicial proceedings and to enforcement
or interposed appeal to delay litigation of judgment, orders and writs.
or thwart prompt satisfaction of
prevailing party’s just and valid claim, Kinds of Contempt
court may adjudge lawyer to pay treble 1. Direct Contempt −
costs of suit. consists of misbehavior in the
presence of or so near a court or
CRIMINAL LIABILITY judge as to interrupt or obstruct
A lawyer may be held criminally the proceedings before the court
liable if he commits any of the or the administration of justice
following: 2. Indirect or Constructive
1. Causing prejudice to client thru Contempt − one committed away
malicious breach of professional from the court involving
duty or thru inexcusable disobedience of or resistance to
negligence or ignorance. a lawful writ, process, order,
2. Revealing client’s secrets judgment or command of the
learned in lawyer’s professional court, or tending to belittle,
capacity thru malicious breach of degrade, obstruct, interrupt or
professional duty or inexcusable embarrass the court
negligence or ignorance. 3. Civil Contempt − failure
to do something ordered by the

33
court which is for the benefit of d. Suspend an attorney who

a party appears before them
4. Criminal Contempt − from the practice of law
consists of any conduct directed for any of the causes
against the authority or dignity mentioned in Section 27,
of the court. Rule 138 [Section 16,
Rule 139-B].
Acts of a Lawyer Constituting Note: But they cannot disbar a
Contempt lawyer.
1. Misbehavior as officer of
court
2. Disobedience or FORMS OF DISCIPLINARY
resistance to court order
MEASURES (WARS – CD)
3. Abuse or interference
with judicial proceedings
4. Obstruction in 1. Warning – an act or fact of
administration of justice putting one on his guard against
5. Misleading courts an impending danger, evil
6. Making false allegation, consequences or penalties.
criticisms, insults, veiled threats 2. Admonition – a gentle or friendly
against the court reproof, mild rebuke, warning or
7. Aiding in unauthorized reminder, counseling, on a fault,
practice of law (suspended or error or oversight, an expression
disbarred) of authoritative advice.
8. Unlawful retention of 3. Reprimand – a public and formal
client’s funds censure or severe reproof,
9. Advise client to commit administered to a person in fault
contemptuous acts by his superior officer or a body
to which he belongs.
4. Suspension – temporary
withholding of a lawyer’s right to
III. BAR DISCIPLINE practice his profession as a
lawyer for a certain period or for
an indefinite period of time.
POWER TO DISCIPLINE ERRANT a. D
LAWYERS efinite
b. I
1. The Supreme Court has the full ndefinite −qualified
authority and power to (WARDS) disbarment; lawyer
a. Warn determines for himself
for how long or how
1. Admonish short his suspension shall
2. Reprimand last by proving to court
3. Suspend and that he is once again fit
4. Disbar a lawyer to resume practice of
[Section 27, Rules 138, Rules of law.
Court] 5. Censure - Official reprimand.
6. Disbarment - It is the act of the
2. The Court of Appeals and the Philippine Supreme Court in
Regional Trial Courts are also withdrawing from an attorney
empowered to (WARS) the right to practice law. The
name of the lawyer is stricken
a. Warn out from the roll of attorneys.
b. Admonish
c. Reprimand and

Barrios,
Dumpit, JB
Kristine Ventura
the true facts to the prejudice

SUSPENSION AND DISBARMENT and damage of the party
Nature of Proceedings imposed upon. There must be
1. NOT a civil action because there false representation as matter of
is no plaintiff and no respondent, fact. (Example: Misappropriation
involves no private interest. The of client’s fund)
complainant is not a party and
no interest in the outcome b. Malpractice, or other gross
except as all citizens have in misconduct in office- any
proper administration of justice, malfeasance or dereliction of
no redress for private grievance. duty committed by a lawyer.
2. NOT a criminal prosecution (Example: Failure of lawyer to
because it is not meant as a appeal in allowing the period of
punishment depriving him of appeal to lapse)
source of livelihood but rather to Legal Malpractice- consists of
ensure that those who exercise failure of an attorney to use such
the function should be skill, prudence and diligence as
competent, honorable and lawyers of ordinary skill and
reliable so that public may capacity commonly possess and
repose confidence in them. exercise in the performance of
3. SUI GENERIS, it is a class of its tasks which they undertake, and
own since it is neither civil nor when such failure proximately
criminal causes damage, it gives rise to
4. Confidential in nature. an action in tort. [Tan Tek Beng
5. Defense of double jeopardy is vs. David, 126 SCRA 389]
not available.
6. Can be initiated by the SC motu c. Grossly immoral conduct-
propio or by the IBP. It can be that conduct which is willful,
initiated without a complaint; flagrant or shameless and which
7. Can proceed regardless of shows a moral indifference to
interest of the complainants; the opinion of the good and
8. Imprescriptible; respectable members of the
9. It is itself due process of law. community.
Reason for Making Disbarment  CASE: In the case of Arciaga vs.

Proceedings Confidential Maniwang [106 SCRA 591], mere
To enable the Supreme Court to intimacy between a lawyer and a woman
make its investigation free from any with no impediment to marry each other
extraneous influence or interference as voluntarily cohabited and had two
well as to protect the personal and children, is neither so corrupt as to
professional reputation of attorneys and constitute a criminal act nor so
judges from the baseless charges of unprincipled as to warrant disbarment or
disgruntled, vindictive and irresponsible disciplinary action against the man as a
clients and litigants. [In Re: Abistado, 57 member of the bar.
Phil 668]
d. Conviction of a crime
GROUNDS FOR SUSPENSION OR involving moral turpitude
DISBARMENT OF MEMBERS OF THE BAR (Examples: estafa, bribery,
1. Under Rule 138, Sec. 27 of the murder, bigamy, seduction,
Revised Rules of Court: abduction, concubinage,
a. Deceit- is a fraudulent and smuggling, falsification of
deceptive misrepresentation, public document, violation
artifice of device used by one or of B.P. 22)
more persons to deceive and
trick another, who is ignorant of e. Violation of oath of office

35
f. Willful disobedience of any BREACH OF DUTIES OF A

lawful order of a superior court LAWYER
g. Corruptly or willfully
appearing as an attorney for a Breach of Duties to Court
party to a case without 1. Obstructing Administration of
authority to do so.
justice − constitutes misconduct
and justifies disciplinary action
2. Acquisition of an interest in the
against him and contempt of
subject matter of the litigation,
court. (Example: Forum
either though purchase or
shopping)
assignment [Art. 1491, Civil
2. Misleading court− knowingly
Code]
making false allegation in
pleadings, misquoting text of
3. Breach of professional duty,
documents, suppressing material
inexcusable negligence, or
facts
ignorance, or for the revelation
of the client’s secrets [Art. 208, 3. Preferring false charges − filing
Revised Penal Code] or prosecuting false charges
against another for his action is
4. Representing conflicting violative of duty to do falsehood
interests [Art. 209, Revised nor consent to doing of any in
Penal Code] court, nor wittingly or willingly
promote or sue any false,
Grounds for disbarment NOT groundless, unlawful suit.
EXCLUSIVE: Requisites
The statutory enumeration of the α a. Charges are fake
grounds for disbarment or suspension is β b. Lawyer knows them to
not to be taken as a limitation on the be so
general power of courts to suspend or 4. Introducing False Evidence− it is
disbar a lawyer. The inherent power of a violation of oath to do no
court over its officers cannot be falsehood nor consent to doing
restricted. [Quingwa vs. Puno, Admin. of any in court. When false
Case No 398, Feb. 28, 1967] The testimony is material to inquiry
Supreme Court has disbarred or or relevant to issue, it requires
suspended lawyers for reasons not found suspension or disbarment. On the
in the statute as when their acts are other hand, when the testimony
contrary to honesty or good morals or do is immaterial or irrelevant and
not approximate the highest degree of does not cause substantial
morality and integrity expected of the prejudice, it only warrants lesser
members of the bar. [Sta. Maria vs. sanction, such as warning or
Tuazon, Admin. Case No. 396, July 31, reprimand
1964]. 5. Willfully disobeying court
orders − lawyer may be punished
Quantum of Evidence Required: clear, for contempt and disciplined as
convincing and satisfactory evidence officer of court.
Burden of Proof: rests on the 6. Using vicious or disrespectful
complainant, the one who instituted language − constitutes direct
the suit contempt; violation of oath and
Code of Professional
Responsibility.
7. Continue to practice after
suspension − constitutes gross
misconduct and willful disregard
of suspension order.

Barrios,
Dumpit, JB
Kristine Ventura
institution by client of
disbarment proceedings negate
Breach of Duties to Client fraudulent intent. If the lawyer
1. Negligence in performance of has a lien, it cannot be used as
duties an excuse for not making an
Requisites to Warrant accounting.
Suspension or Disbarment: 7. Collecting unreasonable
i. Negligence and fees – Where the law fixes the
carelessness which must be maximum amount which lawyer
gross in character may charge client, collection of
ii. Caused material more than what law allows
prejudice to client constitutes malpractice.
Note: Mere negligence without 8. Acting without authority - a
pecuniary damages justifies only lawyer can bind client without
reprimand or censure except special power of attorney only
when breach of duty to client is on procedural matters
a gross violation of obligation to 9. Willfully appearing without
court. being retained -It must be
2. Employment of unlawful willful, corrupt or contumacious
means in order that he may be held
3. Deceit or liable.
misrepresentation
Requisites Breach of Duties to Bar
a. Bad faith on the part of a. Unethical
the lawyer conduct or unprofessional
b. Material damage to client conduct - that which violates
4. Representing adverse rules or ethical code of legal
Interest and revealing client’s profession.
secrets - If there is no written b. Defaming
consent of client, a lawyer may fellow lawyer − Use of improper
not represent conflicting and objectionable language
interest. The fact that lawyer against another lawyer or accuse
did not acquire confidential him wantonly and maliciously of
information from client nor use a serious misconduct in the
the same against the latter does absence of reasonable cause
not excuse him from constitutes misconduct. Strongly
responsibility. worded statements by a lawyer
5. Purchase client’s against opposing lawyer, if
property in litigation justified by records, may not
Requisites: justify disciplinary action against
a. Lawyer is counsel for him.
client at the time he c. Encroaching
acquired the property upon business of another
b. Property is subject of d. Soliciting
litigation business - for purpose of gain,
c. Acquires it by himself or personally or through paid agents
through another is MALPRACTICE and agreeing
d. Acquires property during with non-lawyer to divide
pendency of litigation lawyer’s fees paid by client or
6. Failing to account or for solicitation by non-lawyer.
misappropriation of client’s e. Advertising
property - presupposes
fraudulent intent of lawyer.
Immediate repayment by lawyer
of client’s money or property
after demand but before

37
OTHER GROUNDS FOR that there be prior conviction for offense

DISCIPLINE before lawyer may be disciplined for
gross immorality. If the evidence is not
1. NON-PROFESSIONAL MISCONDUCT sufficient to hold the lawyer liable for
 Ge gross immorality, he may still be
nera reprimanded where evidence shows
l failure on his part to comply with
Rule rigorous standards of conduct required
: from lawyers.
Lawy
er 3. CONVICTION OF CRIME INVOLVING
may MORAL TURPITUDE
not All crimes of which fraud or deceit is an
be element or those inherently contrary to
susp rules of right conduct, honesty or
ende morality in civilized community
d or
disba 4. PROMOTING TO VIOLATE OR
rred VIOLATING PENAL LAWS
for
misc 5. MISCONDUCT IN DISCHARGE OF
ondu OFFICIAL DUTIES
ct in A lawyer who holds a government
his office may not be disciplined as a
non- member of the bar for misconduct in the
profe discharge of his duties as a government
ssion official. If the misconduct, however, is in
al or violation of the Code of Professional
priva Responsibility or of his oath as a lawyer
te or is of such a character as to affect his
capa qualifications as a lawyer, he may be
subject to disciplinary action such as
city.
disbarment (Collantes vs. Renomeron).
 Exception: Where such is so GROSS to
This rule does not apply to impeachable
show him to be morally unfit for office
officials like SC Justices, Members of the
or unworthy of privilege, court may be
Constitutional Commission and
justified in suspending or removing him
Ombudsman because they can be
from the roll of attorneys.
removed only by impeachment.
2. GROSS IMMORALITY- AN ACT OF
6. COMMISSION OF FRAUD OR
PERSONAL IMMORALITY ON THE PART
FALSEHOOD
OF THE LAWYER IN HIS PRIVATE
RELATION WITH OPPOSITE SEX MAY
7. MISCONDUCT AS NOTARY PUBLIC
PUT CHARACTER IN DOUBT. BUT TO
By applying for having himself
JUSTIFY SUSPENSION OR DISBARMENT,
commissioned as notary public, lawyer
THE ACT MUST NOT ONLY BE IMMORAL,
assumes duties in dual capacity, the non-
IT MUST BE GROSSLY IMMORAL.
performance of which be may be a
(ABAIGAR VS. PAZ)
ground for discipline as member of bar.
Grossly Immoral Conduct – one so
OFFICERS AUTHORIZED TO
corrupt and false as to constitute
INVESTIGATE DISBARMENT CASES
criminal act or so unprincipled or
1. Supreme Court
disgraceful as to be reprehensible to a
2.Integrated Bar of the Philippines
high degree. Cohabitation per se is not
(IBP) through its Commission on
grossly immoral, it depends on
Bar Discipline or authorized
circumstances and it is not necessary
investigators
Barrios,
Dumpit, JB
Kristine Ventura
3. Office of the Solicitor 3. The respondent shall file an

General answer containing six (6) copies
and shall verify the same; after
receipt of the answer or lapse of
GRIEVANCE PROCEDURE: the period to do so, the Supreme
DISBARMENT, SUSPENSION, AND Court ,may, motu propio or at
the instance of the IBP Board of
DISCIPLINE OF ATTORNEYS (Rule Governors, upon
139-B) recommendation by the
 Proceedings for the Investigator, suspend an attorney
disbarment, suspension and from practice, for any of the
discipline of attorneys may be taken: causes under Rule 138, Sec. 27,
1. by the Supreme Court during the pendency of the
motu proprio, or, investigation;
2. by the IBP upon the 4. After joinder of the issues or
verified complaint of any failure to answer, the
person respondent shall be given full
 The IBP Board of Governors opportunity to defend himself.
may initiate and prosecute proper But if the respondent fails to
charges against erring attorneys appear to defend himself inspite
including those in government: of notice, the investigator may
1. motu propio or proceed ex parte. The
2. upon referral by the SC investigation shall be terminated
or within three (3) months from
3. by a Chapter Board of commencement which period
Officers or at the instance of may be extended;
any person. 5. The Investigator shall make a
 The complaint must be: report to the Board of Governors
1. verified; within 30 days from termination
2. state clearly of the investigation which report
and concisely the facts shall contain his findings and
complained of; recommendations together with
3. supported by the evidence;
affidavits of persons having 6. The Board of Governors shall
personal knowledge of the have the power to review the
facts therein alleged, or by decision of the Investigator. Its
such documents as may decision shall be promulgated
substantiate it; within a period not exceeding 30
4. six (6) copies shall be filed days from the next meeting of
with the Secretary of IBP or the Board following the
any of its Chapters. submission of the report of the
Investigator:
OUTLINE OF DISBARMENT PROCEEDING a. If the decision is a
IN THE IBP (RULE139-B) finding of guilt of the charges,
1. The case shall be assigned to a the IBP Board of Governors shall
National Grievance Investigator issue a resolution setting forth
where the Board of Governors its findings and
shall appoint one from among recommendations which shall be
IBP members of three (3) when transmitted to the Supreme
special circumstances warrant; Court for final action together
2. If the complaint is meritorious, with the record;
the respondent shall be served b. If the decision is for
with a copy requiring him to exoneration, or if the sanction is
answer within 15 days from less than suspension or dismissal,
service; the Board shall issue a decision
exonerating the respondent or
39
imposing a lesser sanction. The The desistance or the

resolution exonerating the withdrawal of the complainant of the
respondent shall be considered charges against a judge does not deprive
as terminating the case unless the court the authority to proceed to
upon petition of the complainant determine the matter. Nor does it
or other interested party filed necessarily result in the dismissal of the
with the Supreme Court within complaint except when, as a
15 days from notice of the consequence of the withdrawal or
Board’s decision. desistance no evidence is adduced to
prove the charges. This rule is founded
PROCEDURE FOR DISBARMENT IN THE on the rationale that a disbarment
SUPREME COURT proceeding is neither civil nor criminal
1. Upon the initiation of the but one prosecuted solely for the public
complaint, the Supreme Court interest. What is important is whether
may refer the case for the charges against the respondent have
investigation to the Solicitor been duly proved.
General, or any officer of the (Note: The same principle applies to
Supreme Court, or judge of a administrative charges against judges.)
lower court;
2. If referred, the investigator shall Doctrine of RES IPSA LOQUITOR (“the
proceed with the investigation thing speaks for itself”)
and make a report to the
Supreme Court.  CASES: This principle or doctrine
applies to both judges and lawyers.
Rules in the Imposition of Penalties Judges had been dismissed from the
a. In case of Suspension service without need for a formal
⇑ Division − 1 year or less investigation because based on the
⇑ En Banc − exceeds 1 year records, the gross misconduct or
inefficiency of the judges clearly
b. In case of Fine appears. [Uy vs. Mercado, 154 SCRA
⇑ Division − P10,000 or less 567].
⇑ En Banc −P10,000 or The same principle applies to
more lawyers. Thus, on the basis of the
lawyer’s comment or answer to a show-
c. In case of both Suspension and cause order of SC, it appears that the
Fine − en banc if the suspension lawyer has so conducted himself in a
exceeds 1 year or the fine manner which exhibits his blatant
exceeds P10, 000. disrespect to the court, or his want of
d. In case of 2 or more good moral character or his violation of
the attorney’s oath, the lawyer may be
suspensions − service will be
suspended or disbarred without need of
successive, not simultaneous
a trial-type proceeding. What counts is
that the lawyer has been given the
Investigating Judge CANNOT dismiss
opportunity to give his side. [Prudential
case
Bank vs. Castro 155 SCRA 604]
 CASE: The investigating judge’s
authority is only to investigate, make a DEFE
report and recommendation on the case NSES
to be submitted to the SC for final The purpose and nature of
determination. [Graciano vs. Sebastian, disbarment proceedings make the
231 SCRA 588] number of defenses available in civil and
criminal actions inapplicable in
Effect of desistance, withdrawal of disciplinary proceedings. The Statute of
complaint or non-appearance of Limitations is not a defense in
complainant in disbarment proceedings disciplinary proceedings nor does the
fact the circumstance that facts set up
Barrios,
Dumpit, JB
Kristine Ventura
as ground for disbarment constitute pardon, is as guiltless and innocent as if

crime, the prosecution for which in he never committed the offense at all.
criminal action is barred by prescription, If absolute pardon is given to
preclude the disbarment proceeding. lawyer after being disbarred for
However, the fact that a conviction of crime, it does not
considerable length of time has lapsed automatically entitle him to
from the date the misconduct took place reinstatement to the bar. It must be
to date the complaint for disbarment shown by evidence aside from absolute
was filed may indicate ulterior motive on pardon that he is now a person of good
the part of complainant or innocence on moral character and fit and proper
the part of respondent. person to practice law. In case of a
conditional pardon, there will be a
MODIFYING CIRCUMSTANCES remission of unexpired period of
Extent of disciplinary action sentence.
depends on attendance of mitigating or
aggravating circumstance. EFFECTS OF DEATH OF LAWYER
DURING PENDENCY OF DISCIPLINARY
ACTION AGAINST HIM
Mitigating Circumstances 1. Renders action moot and academic
1. Good faith 2. (But) court may still resolve case on
2. Want of intention to commit the merit in order to clear publicly
wrong the name of the lawyer.
3. Lack of material damage to
complainant
4. Desistance of complainant JUDGMENT
5. Youth and inexperience, etc.
Aggravating Circumstances DISMISSAL OF CASE
1. Abuse of authority or of In the absence of convincing or
attorney–client relationship clearly preponderant evidence,
2. Sexual intercourse with a disbarment case against him should be
relative dismissed. However, the court can still
3. Charge of gross immorality impose conditions despite dismissal of
4. Previous dismissal as member of disciplinary action against him, if the
the bar facts so warrant and in the event the
lawyer fails to comply with such
EFFECT OF EXECUTIVE PARDON condition, it may suspend or disbar him
If during the pendency of for disobedience of its order.
disbarment proceeding the respondent
was granted executive pardon, the SUSPENSION OR DISBARMENT
dismissal of the case on that sole basis A lawyer who has been
will depend on whether the executive suspended or disbarred cannot practice
pardon is absolute or conditional. If the law without being held liable for
pardon is absolute, the disbarment case contempt of court. The suspended
will be dismissed. However, if the lawyer may be disbarred for violation of
executive pardon is conditional, the the suspension order. Such judgment
disbarment case will not be dismissed on does not prohibit pro se practice
the basis thereof. (Geeslin vs. Navarro; 185 SCRA).
Absolute pardon by President If the lawyer holds a
may wipe out conviction as well as government office which requires
offense itself and the grant thereof in membership in the bar as an
favor of a lawyer is a bar to a indispensable qualification, he may be
proceeding for disbarment against him dismissed from said office (Collantes vs.
based solely on commission of such Renomeron; 200 SCRA).
offense. The reason is that the
respondent lawyer, after the absolute
REINSTATEMENT
41
guarantee his worth to practice his

The Supreme Court has the profession.
exclusive authority to reinstate. This is
based on its constitutional prerogative to EFFECTS OF REINSTATEMENT
promulgate rules on the admission of 1. Recognition of moral
applicants to the practice of law. rehabilitation and mental fitness
Petitioner must prove that he is once to practice law;
again fit and proper person to practice 2. Lawyer shall be subject
law. The following must be taken into to same law, rules and
consideration: regulations as those applicable
1. the applicant’s character and to any other lawyer;
standing prior to disbarment; 3. Lawyer must comply
2. the nature or character of with the conditions imposed on
misconduct for which he is his readmission
disbarred;
3. his conduct subsequent to
disbarment [Cui vs. Cui, 11 SCRA
755]; IV. JUDICIAL ETHICS
4. including his efficient
government service [In re Judicial Ethics − branch of moral science
Adriatico, 17 Phil 324] which treats of the right and proper
5. the time that has elapsed conduct to be observed by all judges and
between disbarment and the magistrates in trying and deciding
application for reinstatement controversies brought to them for
and the circumstances that he adjudication which conduct must be
has been sufficiently punished demonstrative of impartiality, integrity,
and disciplined [Prudential Bank competence, independence, and
vs. Benjamin Grecia, 192 SCRA freedom from improprieties.
381]
6. applicant’s appreciation of Court − a board or other tribunal which
significance of his dereliction decides a litigation or contest
and his assurance that he now
possesses the requisite probity Judge − a public officer who, by virtue of
and integrity; his office, is clothed with judicial
7. favorable endorsement of the authority
IBP, pleas of his loved ones [Yap
Tan vs. Sabandal, 170 SCRA De Jure Judge − one who is exercising
207]. the office of a judge as a matter of
right; an officer of a court who has been
The court may require applicant duly and legally appointed
for reinstatement to enroll in and pass
the required fourth year review classes De Facto Judge − an officer who is not
in a recognized law school. [Cui vs. Cui, fully invested with all the powers and
11 SCRA 755; In re Rusiana, 56 SCRA 240] duties conceded to judges, but
A previously disbarred lawyer exercising the office of a judge under
who is given absolute pardon by the some color of right
President is not automatically
reinstated, he must still file a petition
for reinstatement with the SC. QUALIFICATIONS
Condition for Reinstatement
A lawyer who has been Supreme Court and Court of Appeals
suspended or disbarred may be Justices
reinstated when the SC is convinced that 1. Natural-born citizen of the
he has already possessed the requisites Philippines;
of probity and integrity necessary to 2. At least 40 years of age;
Barrios,
Dumpit, JB
Kristine Ventura
3. Must have been for 15 years or

more a judge of a lower court Cold Neutrality of Impartial Judge
or engaged in the practice of A judge should not only render
law; just, correct and impartial decision but
4. Must be a person of proven do so in manner free from suspicion as to
competence, integrity, probity its fairness and impartiality and as to his
and independence. integrity. It is indispensable requisite of
due process.
RTC Judges
1. Natural-born citizen of the
Philippines; NEW CODE OF JUDICIAL
2. At least 35 years of age;
3. For at least 10 years has CONDUCT FOR THE PHILIPPINE
been engaged in the practice of law in JUDICIARY
the Philippines or has held a public (A.M. No. 03-05-01-SC)
office in the Philippines requiring (June 1, 2004)
admission to the practice of law as an  supersedes the Canons of
indispensable requisite. Judicial Ethics and the Code of
MTC Judges Judicial Conduct to the extent that
1. Natural-born citizen of the the provisions or concepts therein
Philippines; are embodied in this Code,
2. At least 30 years of age; provided, that in case of deficiency
3. For at least 5 years has been or absence of specific provisions in
engaged in the practice of law this Code, the Canons of Judicial
in the Philippines or has held Ethics and the Code of Judicial
public office in the Philippines Conduct shall be applicable in a
requiring admission to the suppletory character.
practice of law as an
indispensable requisite. CANON-
i. Independence
JUDICIAL DEPORTMENT
ii. Integrity
Attitude Towards Counsel iii. Impartiality
He must be courteous especially iv. Propriety
to the young and inexperienced. He v. Equality
should not interrupt in their arguments vi. Competence and Diligence
except to clarify his mind as to their
positions. He must not be tempted to an
 PURPOSE: to update and
correlate the Code of Judicial
unnecessary display of learning or
Conduct and the Canons of Judicial
premature judgment. He may criticize
Ethics adopted for the Philippines,
and correct unprofessional conduct of a
but also to stress the Philippines’
lawyer but not in insulting manner.
solidarity with the universal clamor
for a universal code of judicial
Attitude Toward Litigants and Witness
ethics.
He must be considerate,
courteous and civil, and he must not
CANON 1: INDEPENDENCE
utter intemperate language during
In performing judicial duties,
hearing of case.
judges should:
1. function independently on the
Proper Judicial Conduct
basis of their assessment of the
Conduct self as to be beyond
facts and in accord with a
reproach and suspicion and be free from
conscientious understanding of
appearance of impropriety in their
the law, free from any
personal behavior not only in discharge
extraneous influence,
of official duties but also in their
everyday life.

43
inducement, pressure, threat or for unprofessional conduct of which

interference. the judge may have become aware.
2. be independent from judicial
colleagues in respect of CANON 3: IMPARTIALITY
decisions.  Judges shall perform their judicial
3. not allow family, social, or other duties without favor, bias or
relationships to influence prejudice.
judicial conduct or judgment.
(NOTE: The prestige of judicial
office shall not be used or lent to DISQUALIFICATIONS OF JUDGES
advance the private interests of
others, nor convey or permit others Grounds for Disqualification and
to convey the impression that they Inhibition of Judges Under the New
are in a special position to influence Code of Judicial Conduct:
the judge.) Judges shall disqualify
4. be free from inappropriate themselves from participating in any
connections with, and influence proceedings in which they are unable to
by, the executive and legislative decide the matter impartially OR in
branches of government. which it may appear to a reasonable
5. be independent in relation to observer that they are unable to decide
society in general and in relation the matter impartially. Such proceedings
to the particular parties to a include, but are NOT limited to,
dispute which she/he has to instances where:
adjudicate. 1. the judge has actual bias or
6. encourage and uphold safeguards prejudice concerning a party or
for the discharge of judicial personal knowledge of disputed
duties. evidentiary facts concerning the
(REASON: To maintain and enhance proceedings;
the institutional and operational 2. the judge previously served as a
independence of the judiciary.) lawyer or was a material witness
7. exhibit and promote high in the matter in controversy;
standards of judicial conduct. 3. the judge, or a member of his or
(REASON: To reinforce public her family, has an economic
confidence in the judiciary.) interest in the outcome of the
matter in controversy;
 Judges shall refrain from influencing 4. the judge served as executor,
in any manner the outcome of administrator, guardian, trustee,
litigation or dispute pending before or lawyer in the case or matter
another court or administrative in controversy, or a former
agency. associate of the judge served as
counsel during their association,
or the judge or lawyer was a
material witness therein;
CANON 2: INTEGRITY 5. the judge’s ruling in a lower
Conduct of judges must: court is the subject of review;
1. be above reproach, and be so in 6. the judge is related by
the view of a reasonable consanguinity or affinity to a
observer. party litigant within the sixth
2. reaffirm the people’s faith in the civil degree or to counsel within
integrity of the judiciary. the fourth civil degree; or
7. the judge knows that his or her
 Judges should take or initiate spouse or child has a financial
appropriate disciplinary measures interest, as heir, legatee,
against lawyers or court personnel creditor, fiduciary, or otherwise,
in the subject matter in
Barrios,
Dumpit, JB
Kristine Ventura
controversy or in a party to the neutrality required of him, in which

proceeding, or any other interest event the appellate court will see to it
that could be substantially that he disqualifies himself.
affected by the outcome of the A decision to disqualify himself is
proceedings. (Sec. 5) not conclusive and his competency may
be determined on application for
Remittal of Disqualification: A judge mandamus to compel him to act. Judge’s
disqualified as stated above may, instead decision to continue hearing a case in
of withdrawing from the proceeding, which he is not legally prohibited from
disclose on the records the basis of trying notwithstanding challenge to his
disqualification. If based on such objectivity may not constitute reversible
disclosure, the parties and lawyers error.
independently of the judge’s The filing of an administrative
participation, all agree in writing that case against a judge does not disqualify
the reason for the inhibition is him from hearing a case. The court has
immaterial or unsubstantial, the judge to be shown other than the filing of
may then participate in the proceeding. administrative complaint, act or conduct
The agreement, signed by all parties and of judge indicative of arbitrariness or
lawyers, shall be incorporated in the prejudice before the latter being
record of the proceedings. (Sec. 6) branded as the stigma of being biased or
partial.
Grounds for Disqualification and
Inhibition of Judges Under the Rules of *DISQUALIFICATION vs. INHIBITION
Court: DISQUALIFICATION INHIBITION
1. Mandatory or Compulsory 1. The Rules 1. The Rules does
Disqualification [Rule 137, ROC] enumerates the not expressly
a. when he, or his wife, or specific and exclusive enumerate the
child is pecuniarily grounds under which specific
interested as heir, legatee, any judge or judicial grounds for
creditor or otherwise officer is disqualified inhibition but
b. when he is related to either from acting as such. merely gives a
party within the sixth (6th) broad basis
degree of consanguinity or thereof, i.e.
affinity or to counsel within good, sound or
the fourth (4th) civil degree ethical grounds
c. when he has been an
executor, guardian,
administrator, trustee or
counsel
2. Rule gives the 2. Rules leaves
d. when he has presided in an
judicial officer no the matter of
inferior court where his
discretion to try or sit inhibition to
ruling or decision is subject
in a case the sound
to review
discretion of
2. Voluntary Inhibition
the judge
A judge may, in the exercise of
his sound discretion disqualify himself,
for just and valid reasons other than  CASE: The second paragraph of
those mentioned above. [Section 1, Rule Section 1, Rule 137 does not give the
137] judge the unfettered discretion to
This leaves the discretion to the decide whether or not he will desist
judge to decide for himself questions as from hearing a case. the inhibition must
to whether he will desist from sitting in be for just and valid causes. The mere
case for other just and valid reasons with imputation of bias or partiality is not
only his conscience to guide him, unless enough grounds for a judge to inhibit,
he cannot discern for himself his especially when the same is without any
inability to meet the test of the cold
45
basis. (People vs. Kho, 357 SCRA 290, of the bar and in giving professional
April 20, 2001) advice to clients.
CANON 4: PROPRIETY  CASES: The reason for the

Judges shall, in their personal prohibition has been explained in Dia-
relations with individual members of the Anonuevo vs. Bercacio [68 SCRA 81]. The
legal profession who practice regularly in Supreme Court held that the rule
their court, avoid situations which might disqualifying a municipal judge from
reasonably give rise to the suspicion or engaging in the practice of law seeks to
appearance of favoritism or partiality. avoid the evil of possible use of the
(Sec. 3) power and influence of his office to
Judges shall not allow the use of affect the outcome of a litigation where
their residence by a member of the legal he is retained as counsel. Compelling
profession to receive clients of the latter reasons of public policy lie behind this
or of other members of the legal prohibition, and judges are expected to
profession. (Sec. 5) conduct themselves in such a manner as
to preclude any suspicion that they are
PROHIBITION TO DISCLOSE representing the interests of party
INFORMATION litigant.
Confidential information In De Castro vs. Capulong [118
acquired by judges in their judicial SCRA 52] a judge who merely acted as a
capacity shall not be used or disclosed witness to a document and who
by for any other purpose related to their explained to the party waiving his right
judicial duties. (Sec. 9) of redemption over the mortgaged
The prohibition will discourage if properties and the consequences thereof
not stop judges from making business does not engage himself in the practice
speculations in some business ventures, of law.
the secrets of which he learned by
reason of his position as a judge. PROHIBITION AGAINST ACCEPTING
The judge may be liable for GIFTS, BEQUEST OR LOANS
violation of Section 3(k) of RA 3019 –  General Rule: (1) Judges and
“divulging valuable information of a members of their families, as well as (2)
confidential character, acquired by his court staff or others subject to their
office or by him on account of his official influence, direction or authority, shall
position to unauthorized persons or neither ask for, nor accept, any gift,
releasing such information in advance of bequest, loan or favor in relation to
its authorized release due.” anything done or to be done or omitted
Violation of the rule may also to be done by him or her in connection
lead to “revelation of secrets by an with the performance of judicial duties.
officer” or to “revelation of the secrets (Sec. 13 and 14)
of a private individual” punishable by  Exception: Subject to law and to any
Articles 229 and 230 of the Revised legal requirements of public disclosure,
Penal Code respectively. 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
PROHIBITION TO PRACTICE LAW influence the judge in the performance
Judges shall not practice law of judicial duties or otherwise give rise
whilst the holder of judicial office. (Sec. to an appearance of partiality.(Sec. 15)
11)
Section 35 of Rule 138 of Rules Bribery; Direct or Indirect
of Court prohibits judges, officials or Acceptance of gifts given by
employees of superior courts xxx from reason of the office of the judge is
engaging in private practice as members indirect bribery [Art. 211 Revised Penal

Barrios,
Dumpit, JB
Kristine Ventura
Code] and when he agrees to perform an Judges shall not, in the

act constituting a crime in connection performance of judicial duties, by words
with the performance of his official or conduct, manifest bias or prejudice
duties in consideration of any offer, towards any person or group on
promise, gift or present receive by such irrelevant grounds. (Sec. 2)
officer, he is guilty of direct bribery.
[Art. 210 Revised Penal Code] CANON 6: COMPETENCE AND DILIGENCE
Judges shall take reasonable
Anti-Graft and Corrupt Practices Act steps to maintain and enhance their
Under RA 3019, the judge is knowledge, skills and personal qualities
liable criminally for directly or indirectly necessary for the proper performance of
receiving gifts, present or other judicial duties, taking advantage for this
pecuniary or material benefit for himself purpose of the training and other
or for another under conditions provided facilities which should be made
in Section 2, b and c of the law.. available, under judicial control, to
 Exception: Excepted are unsolicited judges. (Sec. 3)
gifts or presents of small value offered
or given as a mere ordinary token of  CASE: Judges must be conscientious,
gratitude or friendship according to local studious and thorough,[83] observing
custom or usage [Section 14, RA 3019]. utmost diligence in the performance of
their judicial functions.[84] They have to
Void Donations Under the Civil Code “exhibit more than just cursory
Donations given to a judge or to acquaintance with statutes and
his wife, descendants or ascendants by procedural rules.” Moreover, they must
reason of his office are void [Art. 739, require court personnel to observe at all
Civil Code]. Ownership does not pass to times high standards of public service
the donee. Money or property donated is and fidelity. (Atty. Fabella vs. Judge
recoverable by the donor, his heirs or Lee, A.M. No. MTJ-04-1518. January 15,
creditors. 2004)
Judges shall maintain order and
Loans Prohibited Under the decorum in all proceedings before the
Constitution court and be patient, dignified and
Under Section 16 Article XI “No courteous in relation to litigants,
loan, guarantee or other form of witnesses, lawyers and others with whom
financial accommodation for any the judge deals in an official capacity.
business purpose may be granted directly Judges shall require similar conduct of
or indirectly by any government-owned legal representatives, court staff and
or controlled bank or financial institution others subject to their influence,
to xxx members of the Supreme Court direction or control. (Sec. 6)
xxx during their tenure.”
Taking or Receiving Loans From CODE OF JUDICIAL CONDUCT

Litigants (October 20 1989)
It is a serious misconduct for a Canon-
judge to receive money from a litigant in 1: Uphold the integrity and
the form of loans which he never independence of the judiciary
intended to pay back. Even if the judge 2: Avoid impropriety and
intends to pay, it is an act of impropriety the appearance of impropriety
to take a loan from a party-litigant. The 3: Perform official duties
judge could not be wholly free from bias honestly, and with impartiality
in deciding a case where his lender is a and diligence
party. A judge should always strive to 4: With due regard to
be free from suspicion and all forms of official duties, engage in
improprieties. activities to improve the law,
CANON 5: EQUALITY

47
the legal system and the judge’s official functions does not mean
administration of justice he is totally free from blame. Canon 2 of
5: Regulate extrajudicial the Code of Judicial Conduct provides
activities to minimize the risk of that a judge should not only avoid
conflict with judicial duties impropriety but also the appearance of
impropriety in all his activities. He
should behave at all times as to promote
CANON 1: PROMPT DISPOSITION OF public confidence in the integrity and
CASES impartiality of the judiciary. He should
A judge should administer justice be extra careful in all his dealings – both
impartially and without delay. [Rule in his professional and individual
1.02] capacities – in order to promote and
A judge shall dispose of the protect the image of the judiciary to
court’s business promptly and decide which he is privileged to belong.
cases within the required periods. [Rule Respondent, in removing the
3.05] bamboo poles and fishing nets installed
 CASES: In the Request of Judge Irma by complainant, acted in his private
Zita Masamayor [A.M. NO. 99-1-16, RTC, capacity. Nevertheless, without in any
June 21 1999] it was held that cognizant way prejudging respondent’s liability,
of the caseload of judges and mindful of respondent should be admonished to be
the pressure of their work, the Supreme careful even in his private conduct
Court almost always grants requests for because he is a model of the law-abiding
extension of time to decide cases. A citizen and, for this reason, his private
heavy caseload may excuse a judge’s life cannot be completely separated
failure to decide cases within the from his public persona. (Bernardo vs.
reglementary period, but not his or her Judge Tiamson, A.M. No. RTJ-00-1565.
failure to request for an extension of August 6, 2001)
time before the expiration of the period In Prosecutor Leo Tabao vs.
to be extended. Judge Pedro Espina [A.M. NO. RTJ-96-
In Bernardo vs. Judge Amelia 1347, June 29, 1999] it was held that
Fabros [A.M. NO. MTJ-99-1189, May 12, apropos the issue on the hasty rendition
1999], the Supreme Court has always of judgment in a criminal case, the
considered the failure of a judge to Supreme Court has reminded members of
decide a case within the reglementary the bench time and again that as
period as GROSS INEFFICIENCY and exemplars of justice and law, judges
imposed either fine or suspension from must avoid not only impropriety but even
service without pay for such. The fines the appearance of impropriety in all
imposed vary in each case, depending their actions. Neither should they take
chiefly on the number of cases not undue interest in the settlement of
decided within the reglementary period criminal cases as the same may
and other factors to wit: the presence of compromise the integrity and
aggravating circumstances – the damage impartiality of their office.
suffered by the parties as a result of the
delay, the health and age of the judge, A judge should so behave at all
etc. times as to promote public confidence in
the integrity of the judiciary. [Rule 2.01]
CANON 2: AVOIDANCE OF IMPROPRIETY
A judge should avoid
impropriety and the appearance of
impropriety in all activities. CANON 3: PERFORMANCE OF DUTIES
 CASES: In Manuel vs. Judge Demetrio WITH HONESTY, IMPARTIALITY AND
Calimay, Jr. [A.M. NO. RTJ-99-1441, DILIGENCE
May 28, 1999] it was held that the fact A judge should perform official
that the charges proffered in the instant duties honestly and with impartiality and
case do not directly refer to respondent diligence.

Barrios,
Dumpit, JB
Kristine Ventura
A judge shall be faithful to the c. serve on any organization

law and maintain professional devoted to the improvement of
competence. [Rule 3.01] the law, the legal system or the
administration of justice. [Rule
 CASE: In the case Exequiel Domingo 4.01]
vs. Judge Luis Reyes [A.M. NO. MTJ-98-
1165, June 21, 1999] the Supreme Court CANON 5: REGULATION OF THE
held that judges are expected to keep EXTRAJUDICIAL ACTIVITIES OF A JUDGE
abreast of developments in law and A judge should regulate extra-
jurisprudence. The SC does not judicial activities so as to minimize the
countenance respondent judge’s failure risk of conflict with judicial duties.
to inform himself of recent
jurisprudential rules. His error, while an AVOCATIONAL/CIVIC/CHARITABLE
honest one and committed for the ACTIVITIES
purpose of achieving the ends of justice, A judge may engage in the
must never happen again. Respondent following activities provided that they do
judge was reprimanded for IGNORANCE not interfere with the performance of
OF THE LAW. judicial duties or detract from the
Where a partner accepts public dignity of the court: write, lecture,
office, he shall withdraw from the firm teach and speak on non-legal subject
and his name shall be dropped from the a. engage in the arts, sports and
firm name unless the law allows him to other special recreational
practice concurrently. [Rule 3.03] activities
A judge cannot take refuge b. participate in civic and
behind the inefficiency or charitable activities
mismanagement by court personnel. c. serve as an officer, director,
Proper and efficient court management trustee, or non-legal advisor of a
is as much as his responsibility. It is also non-profit or non-political,
his duty to organize and supervise the educational, religious,
court personnel to ensure the prompt charitable, and fraternal or civic
and efficient dispatch of business. organization. [Rule 5.01]
CANON 4: ENGAGING IN ACTIVITIES TO FINANCIAL ACTIVITIES

IMPROVE THE LAW A judge shall refrain from financial
A judge may, with due regard to and business dealings:
official duties, engage in activities to 1. that tend to reflect adversely on the
improve the law, the legal system and court’s impartiality
the administration of justice. 2. that interfere with the proper
A judge may, to the extent that performance of judicial activities
the following activities do not impair the 3. that increase involvement with
performance of judicial duties or cast lawyers or persons likely to come
doubt on the judge’s impartiality: before the court [Rule 5.02]
a. speak, write, lecture, teach or A judge should so manage
participate in activities investments and other financial interests
concerning the law, the legal as to minimize the number of cases
system and the administration of giving grounds for disqualification.
justice; Subject to the provisions of the
b. appear at public hearing before preceding rule, a judge may hold and
a legislative or executive body manage investments but should not serve
on matters concerning the law, as an officer, director, manager, advisor,
the legal system or the or employee of any business except as
administration of justice and director of a family business of the
otherwise consult with them on judge. [Rule 5.03]
matter concerning the
administration of justice; FIDUCIARY ACTIVITIES

49
PROHIBITION TO SERVE AS EXECUTOR, political office or participate in other

ADMINISTRATOR, ETC. partisan political activities. [Rule 5.10]
General Rule: The judge shall not
serve as (a) executor, (b) administrator,
(c) trustee, (d) guardian, (e) fiduciary. LIABILITY OF JUDGES
Exception: when the estate, trust,
ward or person for whom he will act as In the absence of fraud,
executor, administrator, trustee, dishonesty or corruption, acts of judge in
guardian or fiduciary is a member of the his judicial capacity not subject to
immediate family- which is limited to disciplinary action even though such acts
the spouse and relatives within the are erroneous. He can’t be subject to
second degree of consanguinity – liability – criminal, civil, administrative
provided that the judge’s services as for any of his official acts, no matter
fiduciary shall not interfere with the how erroneous, so long as he acts in
performance of his judicial functions good faith. In such a case, the remedy of
[Rule 5.06]. aggrieved party is not to file
In such exceptional cases, the judge administrative complaint against the
SHALL NOT: judge but to elevate error to higher
a. serve in proceeding that might court for review and correction
come before the court of said
judge When a Judge May Be Held Liable:
b. act as such contrary to Rules Civil, Criminal and Administrative
5.02 to 5.05. 1. Malfeasance
(Note: the relationship mentioned is 2. Misfeasance
by consanguinity and not by affinity.) 3. Knowingly rendering
unjust judgment or interlocutory
PROHIBITION TO BE APPOINTED IN order
QUASI-JUDICIAL AND ADMINISTRATIVE 4. Malicious delay in
AGENCIES administration of justice
A judge shall not accept 5. Giving private party
appointment or designation to any unwarranted benefit in exercise
agency performing quasi-judicial or of judicial function thru manifest
administrative functions. [Rule 5.09] partiality, evident bad faith and
The prohibition is based on gross inexcusable negligence.
Section 12, Art. VIII of the Constitution
which provides: “The members of the CIVIL LIABILITIES OF JUDGES IN
Supreme Court and of other courts RELATION TO THEIR OFFICIAL
established by law shall not be FUNCTIONS
designated to any agency performing 1. Any public officer or employee or any
quasi-judicial or administrative private individual, who directly or
functions.” indirectly obstructs, defeats and violates
The appointment to such or in any manner impedes or impairs the
positions will likely interfere with the civil rights and liberties of persons shall
performance of the judicial functions of be liable for damages. [Art. 32, Civil
a judge hence, the prohibition. Code]
The responsibility for damages is
PROHIBITION TO ENGAGE IN POLITICAL not however demandable of judges
ACTIVITIES except when the act or omission of the
A judge is entitled to entertain judge constitutes a violation of the Penal
personal views on political questions. Code or other penal statute. [Art. 32,
But to avoid suspicion of political last par.]
partisanship, a judge shall not make 2. A judge who willfully or negligently
political speeches, contribute to party renders a decision causing damages to
funds, publicly endorse candidates for another, shall indemnify the latter for
the same.

Barrios,
Dumpit, JB
Kristine Ventura
A judge is also civilly liable for In order that a judge may be held
damages, if in refusing or neglecting to liable for knowingly rendering an unjust
decide a case without just cause, a judgment, it must be shown beyond
person suffered material or moral loss doubt that the judgment is unjust as it is
without prejudice to any administrative contrary to law or is not supported by
action that may be taken against him. evidence and the same was made with
[Art. 27, Civil Code] conscious and deliberate intent to do an
injustice. [In Re: Climaco, 55 SCRA 107]
DISABILITIES OF JUDGES UNDER THE If the decision rendered by the judge
CIVIL CODE is still on appeal, the judge cannot be
1. Art. 1491. The following persons disqualified on the ground of knowingly
cannot acquire by purchase, even at a rendering an unjust judgment. [Abad vs.
public or judicial action, either in person Blaza, 145 SCRA 1]
or through the mediation of another:
xxx 2. Judgment Rendered Through
(5) Justices, judges, prosecuting Negligence – Any judge who, by reason
attorneys, clerks of superior and inferior of inexcusable negligence or ignorance
courts and other officers and employees shall render a manifestly unjust
connected with the administration of judgment in any case submitted to him
justice, the property and rights in for decision shall be punished by arresto
litigation or levied upon an execution mayor and temporary special
before the court within whose disqualification. [Art. 205 Revised Penal
jurisdiction or territory they exercise Code]
their respective functions, this Negligence and ignorance are
prohibition includes the act of acquiring inexcusable if they imply a manifest
by assignment and shall apply to injustice which cannot be explained by
lawyers, with respect to the property reasonable interpretation. [In Re
and rights which may be the object of Climaco, 55 SCRA 107]
any litigation in which they may take
part by virtue of their profession. 4. Knowingly Rendering an Unjust
Xxx Interlocutory Order – Any judge who
shall knowingly render an unjust
2. Art. 739. Donations made to a judge, interlocutory order or decree shall
his wife, descendants and ascendants by suffer the penalty of arresto mayor
reason of his office are void. in its minimum period and
suspension; but if he shall have
CRIMINAL LIABILITIES OF JUDGES IN acted by reason of inexcusable
RELATION TO THEIR OFFICIAL negligence or ignorance and the
FUNCTIONS interlocutory order or decree be
1. Misfeasance manifestly unjust, the penalty shall
a. Knowingly Rendering be suspension. [Art. 206, Revised
Unjust Judgment - Any judge who Penal Code]
shall knowingly render an unjust
judgment in any case submitted to 5. Maliciously Delaying the
him for decision shall be punished Administration of Justice – The
by prision mayor and perpetual penalty of prision correccional in its
absolute disqualification. [Art. 204 minimum period shall be imposed
Revised Penal Code] upon any judge guilty of malicious
b. Manifestly Unjust delay in the administration of
Judgment- it is one which is so justice.
patently against the law, public To make the judge liable, the act
order, public policy and good must be committed maliciously with
morals that a person of ordinary deliberate intent to prejudice a party in
discernment can easily sense its a case.
invalidity and injustice.

51
6. Malfeasance Under the Anti-Graft responsibility of imposing discipline upon

and Corrupt Practices Act its magistrates, but neither will it
A judge is criminally liable for hesitate to shield them from unfounded
causing an undue injury to a person or suits that serve to disrupt rather than
giving any private party an unwarranted promote the orderly administration of
benefit, advantage or preference in the justice. ( Ocenar vs. Judge Mabutin,
discharge of his official function through A.M. No. MTJ-05-1582, February 28,
manifest partiality, evident bad faith 2005 )
and gross inexcusable negligence.
[Section 3(e), R.A. 3019] GROUNDS FOR DISCIPLINE OF JUDGES
[Section 1, Rule 140, Revised Rules of
Court]
1. Serious Misconduct
DISCIPLINE OF MEMBERS OF THE 2. Inefficiency
BENCH
Misconduct - implies malice or a
POWER TO DISCIPLINE ERRING MEMBERS wrongful intent, not a mere error of
OF THE BENCH judgment. For serious misconduct to
The Supreme Court has exist there must be reliable evidence
administrative supervision over all courts showing that the judicial acts
and the personnel thereof [Section VI, complained of were corrupt or inspired
Art. VIII, Constitution]. The Court en by an intention to violate the law or
banc has the power to discipline all were in persistent disregard of well-
judges of lower courts including justices known legal rules.
of the Court of Appeals. It may even Inefficiency - implies negligence,
dismiss them by a majority vote of the incompetence, ignorance and
members who actually took part in the carelessness. A judge would be
deliberation of the issues in the case and inexcusably negligent if he failed to
voted thereon [Section XI, Art. VIII, observe in the performance of his duties
Constitution]. that diligence, prudence and
The inferior courts (MTCs) are circumspection which the law requires in
not empowered even just to suspend an the rendition of any public service.
attorney, although they may cite or hold
a lawyer in contempt of court for  CASES: In the case of In Re: Leaves
contemptuous acts. Of Absence Without Approval Of Judge
Justices and judges, who are Eric Calderon [A.M. 98-8-105 MTC,
also lawyers, if found guilty of certain January 26, 1999] - Judge Calderon was
crimes and / or of the causes for found guilty of gross misconduct,
disbarment under the Rules of Court may abandonment of office and was
also be disbarred. dismissed due to his frequent leave of
Justices of the Supreme Court absence totaling to 3 years which were
however may not be disbarred unless and not approved and his explanations were
until they shall have been first inexcusable. He has caused great
impeached in accordance with the disservice to many litigants and has
Constitution. The same is true with the denied them speedy justice.
other impeachable officers who are In the case of In Re: Judge
members of the bar. Danilo Tenerife [255 SCRA 184] - The
failure of a judge to decide even a single
 CASE: While it is our duty to case within the 90-day period was
investigate and determine the truth considered gross inefficiency warranting
behind every matter in complaints the imposition of fine equivalent to his
against judges and other court one month salary.
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
CHAIRPERSON: Jackie Lou Bautista  ASSISTANT CHAIRPERSON: Catherine Jane Vanilla  SUBJECT HEADS: Ma. Ricasion Tugadi
Barrios,
Dumpit, JB
Kristine Ventura
Effect of resignation or retirement of a 5. The Supreme

judge when there is a pending Court takes action as the facts
administrative case against him and the law may warrant. [Sec.
The retirement/resignation of a 9]
judge may or may not render the Proceedings shall be private and
administrative complaint moot and confidential but a copy of the decision or
academic. Each case will be determined resolution of the Court shall be attached
according to its surrounding to the record of the judge in the Office
circumstances. (Pagayao vs. Imbing, of the Court Administrator. [Sec. 11]
A.M. No. 89-403. August 15, 2001; Lilia
vs. Judge Famunal, A.M. No. RTJ-99- QUANTUM OF EVIDENCE REQUIRED
1503. December 13, 2001) The ground for the removal of a
According to Pesole vs. judicial officer should be established
Rodriguez [81 SCRA 208] the acceptance beyond reasonable doubt. Such is the
by the President of the resignation does rule where the charges on which the
not necessarily render the case moot or removal is sought is misconduct in office,
deprive the SC of the authority to willful neglect, corruption, or
investigate the charges. The court incompetence. The general rules in
retains its jurisdiction either to regard to admissibility of evidence in
pronounce the respondent official criminal trials apply.
innocent of the charges or declare him For liability to attach, the
guilty thereof. A contrary rule will be assailed order, decision or actuation of
fraught with injustice and pregnant with the judge in the performance of official
dreadful and dangerous implications. duties must not only found to be
erroneous but, most importantly, it must
PROCEDURE FOR DISCIPLINE OF be established that he was moved by bad
JUDGES (RULE 140) faith, dishonesty, hatred or some other
1. Complaint, in writing like motive. Similarly, a judge will be
and duly sworn to is filed with held administratively liable for rendering
the Supreme Court. [Sec. 1] an unjust judgment — one which is
2. If found meritorious, a contrary to law or jurisprudence or is not
copy thereof shall be served on supported by evidence — when he acts in
the respondent and he shall be bad faith, malice, revenge or some other
required to comment within 10 similar motive. In other words, in order
days of service. [Sec. 6] to hold a judge liable for knowingly
3. Upon filing of rendering an unjust judgment, it must be
respondent’s comment or shown beyond reasonable doubt that the
expiration of the period upon judgment was made with a conscious and
filing comment, the SC either deliberate intent to do an injustice.
refers the matter to the Office (Judge De Guzman vs. Dy, A.M. No. RTJ-
of the Court Administrator (OCA) 03-1755, July 3, 2003)
for evaluation, report, and
recommendation, or assigns a IMPEACHMENT PROCEEDINGS AGAINST
Justice of the Court of Appeals JUDGES
(if respondent is an RTC judge) Penal in nature governed by
or a judge of the RTC (if rules on criminal case and therefore
respondent is a judge of an requires proof beyond reasonable doubt.
inferior court) to investigate and Only SC justices are subject to
hear the charges. [Sec. 7] impeachment.
4. After hearings,
the investigating justice or judge MISCONDUCT
submits a report of finding of Reliable evidence showing that
fact, conclusions of law and judicial actions are corrupt or inspired
recommendations to the by intent to violate the law or in
Supreme Court. [Sec. 8] persistent disregard of legal rules.

53
Justices and Judges may not be attorney as conditions sine qua non to
investigated under the grievance the practice of law and the retention of
procedure in Rule 139-B, sec. 1 of the his name in the Roll of Attorneys.
Revised Rules of Court. Complaints The IBP Board of Governors is
against justices and judges are filed with authorized to provide in the By-Laws for
the Supreme Court which has grievance procedure for the enforcement
administrative supervision over all and maintenance of discipline among all
courts. the members of the IBP, but no action
As a matter of practice, the involving the suspension or disbarment of
Supreme Court has assigned complaints a member or the removal of his name
against Municipal or Metropolitan Trial from the Roll of Attorneys shall be
Judges to an Executive Judge of a effective without the final approval of
Regional Trial Court and complaints the Supreme Court. [Rule 139-A,Section
against judges of Regional Trial Courts to 12, Rules of Court]
a justice of the Court of Appeals, while a
complaint against a member of the Court  CASE: Compulsory membership to the
of Appeals would probably be assigned to IBP is not violative of a lawyer’s freedom
a member of the Supreme Court for of association. Integration does not
investigation, report and make a lawyer a member of any group of
recommendation. Retired SC Justices which he is already a member. He
are now tasked for this purpose. became a member of the bar when he
passed the Bar Examinations. All that
REINSTATEMENT OF JUDGE integration actually does is to provide an
PREVIOUSLY DISCIPLINED official national organization for the well
No indication that he is inspired defined but unorganized and incohesive
by corrupt motives or reprehensive group of which every lawyer is already a
purpose in the performance of his member. [In re: Edillon A.M. 1928]
functions.
Voluntary termination of IBP
Factors to be considered membership, How Effected
1. Unsullied name & service of By filing a verified notice to
record prior to dismissal that effect with the Secretary of IBP who
2. Commitment to avoid situation shall immediately bring the matter to
that spur suspicion of arbitrary the attention of the SC. Forthwith, he
conditions. shall cease to be a member and his name
3. Complainant mellowed down in shall be stricken from the Roll of
pushing from his removal Attorneys.
4. Length of time separated from
service Effect of failure to pay annual
membership dues to the IBP
The failure of any attorney to
V. INTEGRATED BAR pay his annual membership dues for 6
months shall warrant suspension of his
OF THE PHILIPPINES membership in the IBP and default of
such payment for one year shall be a
ground for the removal of his name from
IBP is the national organization
the Roll of Attorneys. [Sec. 10, Rule
of lawyers created on January 16, 1973
139-A, Rules of Court].
under Rule 139-A, Rules of Court and
 CASES: A lawyer may not be
constituted on May 4, 1973 into a body
disciplined either by the IBP or the Court
corporate by P.D. No. 181
for failing to pay her obligation to
As the official national
complainant, a matter in her non-
unification of the entire lawyer
professional or private capacity. [Toledo
population of the Philippines this
vs. Abalos, A. C. No. 5141, September
requires membership and financial
29, 1999]
support in reasonable amount of every
Barrios,
Dumpit, JB
Kristine Ventura
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

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

school’s clinical legal education licensed member of the bar, except in

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

Appear as counsel before any court in:

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

5. To maintain inviolate the Regional State Prosecutor subject to the

ROLE OF PRIVATE PROSECUTOR QUALIFICATIONS OF A NOTARY PUBLIC

4. Must be a member of the (names and addresses of

d. Any place where a party to the the notarial act or transaction is

2) Fails to make the official misconduct (Rule XII,

members of the legal profession: party’s case, as distinguished from

Counsel/Attorney de oficio – an Pro Se - an appearance by a lawyer in

 General Rule: A lawyer cannot

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

The law prohibits lawyers from CANON 5: KEEP ABREAST OF LEGAL

Parties Exempted from the MCLE

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

1. The President, Vice-President, exemption (such as physical disability,

4. Use or divulge confidential or A lawyer shall not, in his

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

2. Where a lawyer undertakes or amendment, or assert as a fact that

A lawyer shall NOT knowingly CANON 12: ASSISTING IN SPEEDY AND

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

2. The attorney must promptly 2. In case of unjustified dismissal of an

2. Nullification of a contract which injure the opposite party or to

ETHICAL CONSIDERATIONS IN TAKING A Duty of a Lawyer to His Client in Case

client? (Invitation of professional relationship with

corporation even though the PREPARATION OF PLEADINGS

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

2. Service of notice upon party never follow any unlawful instruction of

1. Party represented by lawyer

1. Where adherence thereto results 1. Ordinary- it is the reasonable

ordinary business of the client 1. Time spent and extent of

all of the expenses for the recovery of

3. Amicus Curiae - not entitled to of papers, money

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

7.Extinguish- When When agent with reference to any fact

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

custody of an instrument and the CANON 22: WITHDRAWAL OF SERVICES

2. To cooperate with the succeeding

Remedy of Client Specific Acts which May Result to

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

court which is for the benefit of d. Suspend an attorney who

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

the true facts to the prejudice

Reason for Making Disbarment  CASE: In the case of Arciaga vs.

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

f. Willful disobedience of any BREACH OF DUTIES OF A

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

OTHER GROUNDS FOR that there be prior conviction for offense

3. Office of the Solicitor 3. The respondent shall file an

imposing a lesser sanction. The The desistance or the

as ground for disbarment constitute pardon, is as guiltless and innocent as if

guarantee his worth to practice his

3. Must have been for 15 years or

2005 CENTRALIZED BAR OPERATIONS EXECUTIVE COMMITTEE AND SUBJECT CHAIRPERSONS

inducement, pressure, threat or for unprofessional conduct of which

controversy or in a party to the neutrality required of him, in which

CANON 4: PROPRIETY  CASES: The reason for the

LEGAL ETHICS AND PRACTICAL EXERCISES COMMITTEE