Procedure in the Disbarment and Other Disciplinary Proceedings

I. Disbarment Proceedings, Judicial in Nature

In a disbarment proceeding, the Supreme Court or the Integrated Bar of the

Philippines conducts an investigation so as to determine the fitness of a
lawyer to remain in the Roll of Attorneys. The Respondent lawyer is accorded
due process of law and the ultimate authority to decide the matter of
disbarment rests in the Supreme Court alone.

Considering the serious consequences of disbarment or suspension, it has

been consistently held that clearly preponderant evidence is required to
justify the imposition of either penalty.

II. Filing of Complaint and Investigation

Officers Authorized to Investigate Disbarment

Only the following officers are authorized to investigate cases of disbarment:

1. Supreme Court
2. IBP through its Commission on Bar Discipline or authorized investigators
3. Office of the Solicitor General

The Court of Appeals and Regional Trial Courts can only investigate and take
action against lawyers who appear for litigants in cases pending before them.
The Court of Appeals and Regional Trial Courts, however, may only suspend
but not disbar an attorney from practice of law for any of the causes stated in
Section 16, Rule 139-B of the Rules of Court. The lawyer, once suspended,
shall not practice law until the Supreme Court orders otherwise.

It must be noted that the IBP has no jurisdiction to investigate violations of

R.A. No. 6713 (Code of Conduct and Ethical Standards for Public Officials and
Employees) unless the acts involved also transgress provisions of the Code of
Professional Responsibility.

III. Who can File a Complaint Against a Lawyer

Any person aggrieved by the misconduct of a lawyer may file the

corresponding administrative case with the proper forum or any person, even
if not aggrieved but who knows of the lawyer’s misconduct, unlawful or
unethical act may initiate the proceedings.

The Supreme Court may motu propio initiate the proceedings when they
perceive acts of lawyers deserve sanctions, or when their attention is called by
anyone and a probable cause exists that an act which requires disciplinary
action was perpetrated by a lawyer.

IV. Where to File Complaint for Disbarment

A complaint for disbarment may be filed directly in the Supreme Court, the
IBP National Office located at the IBP Bldg., Julia Vargas St., Ortigas Center,
Pasig City, or in any of the IBP Chapter Offices in the Country.

The Supreme Court usually refers disbarment cases to the IBP for
investigation. Nevertheless, it may in certain circumstances opt to investigate
the case by itself.
V. How the Complaint is Instituted

Section 1, Rules 139-B of the Revised Rules of Court on Disbarment and

Discipline of Attorneys states:

1. Proceedings for disbarment, suspension, or discipline of attorneys may be

taken by the Supreme Court motu propio; or
2. By the Integrated Bar of the Philippines (IBP) upon the verified complaint
of any person.
3. Complaint shall state clearly and concisely the facts complained of
4. Supported by affidavits of persons having personal knowledge of the facts
or
5. Such documents as may substantiate said facts.
6. Six (6) copies of the verified complaint shall be filed with
7. The Secretary of the IBP or the Secretary of any of its chapters.

VI. Proceedings in the Integrated Bar of the Philippines

1. Complainant files six (6) copies of a verified complaint with the IBP.
2. The IBP Board of Governors shall appoint from among the IBP members
an investigator or a panel of three investigators where special
circumstances so warrant.
3. The IBP Board of Governors shall also appoint a suitable member of the
Integrated Bar as counsel to assist the complainant or respondent during
the investigation in case of need for such assistance.
4. If the complaint appears to be meritorious, the investigator shall direct
that a copy thereof be served upon the respondent, requiring him to file a
verified answer within 15 days from the date of service.

*If complaint does not merit action or if the answer of respondent lawyer
shows to the satisfaction of the investigator that the complaint is not
meritorious, the complaint may be dismissed by the Board of Governors
upon the investigator’s recommendation.

Copy of the resolution of dismissal shall be furnished the complainant and

the Supreme Court which may review the case motu proprio or upon
timely appeal of the complainant within 15 days from notice of the
dismissal of the complaint.
5. Upon joinder of issues or upon failure of the respondent to answer and if
the respondent fails to appear despite reasonable notice, the investigator
shall, proceed with the investigation of the case ex parte.
6. The hearing shall as far as practicable be terminated within 3 months
from the date of its commencement, unless extended for good cause by the
Board of Governors upon prior application.
7. Investigator shall submit a report containing his findings of fact and
recommendations to the IBP Board of Governors not later than 30 days
from the termination of the investigation.
8. Every case heard by an investigator shall be reviewed by the IBP Board of
Governors upon the record and evidence transmitted to it by the
investigator with his report.
a. Decision of the Board must be in writing and shall clearly and
distinctly state the facts and the reasons on which it is based.
b. If the Board, by the vote of a majority of its total membership,
determines that the respondent should be suspended from the
practice of law or disbarred, it shall issue a resolution setting forth
its findings and recommendation which, together with the whole
 record of the case, shall forthwith be transmitted to the Supreme
Court for final action.
c. If the respondent is exonerated by the Board or where the
disciplinary action imposed is less than suspension or disbarment,
it shall issue a decision exonerating respondent or imposing such
sanction.
9. Notice of the resolution or decision of the Board shall be given to all
parties through their counsel. A copy of the same shall be transmitted to
the Supreme Court.
10. The case shall be deemed terminated unless petition of the complainant or
other interested party is files with the Supreme Court within fifteen days
from notices of the Board’s resolution or unless the Supreme Court orders
otherwise.

VII. Investigation is Mandatory

In complaints for disbarment, formal investigation is mandatory and ex parte

investigation may only be conducted when respondent fails to appeal despite
reasonable notice. (case: Villanueva vs. Deloria)

VIII. Proceedings in the Supreme Court

Proceedings initiated motu proprio by the Supreme Court may be referred by

the Supreme Court to the Solicitor General or to any officer of the Supreme
Court or judge of a lower court for investigation. Investigation shall proceed
in the same manner as it would in the IBP.

IX. Confidentiality of Disbarment or Suspension Proceedings

The professional success of a lawyer depends almost entirely on his good

reputation. If that is tarnished, it is difficult to restore the same to its former
state. Thus, it has been held that the lawyer’s good name in the last analysis is
his most important possession. Therefore, in order to avoid unnecessary ruin
of a lawyer’s name, disciplinary proceedings are directed to be confidential (or
closed door) until their final determination. (Sec. 18, Rule 139-B of the
Revised Rules of Court)

X. Mitigating Circumstances in Disbarment

Mitigating circumstances are considered in favor of the respondent to lessen

the gravity of the sanction that may be imposed upon him. The following have
been considered as mitigating factors:

1. Good faith in the acquisition of a property of the client subject of

litigation
2. Inexperience of the lawyer
3. Age
4. Apology
5. Lack of intention to slight or offend the Court

XI. Effect of Affidavit of Desistance, Settlement, Compromise, Restitution,

Withdrawal of Charges, or Failure to Prosecute
 The general rule is that no investigation shall be interrupted or terminated by
reason of desistance, settlement, compromise, restitution, withdrawal of
charges, or failure of complainant to prosecute unless the Supreme Court,
motu proprio or upon recommendation of the IBP Board of Governors,
determines that there is no compelling reason to continue with the
disbarment or suspension of proceedings against respondent.

An affidavit of desistance may cause the dismissal of case if there is nothing

more which could substantiate the charge. (Arfapo vs. Nano, Punzalan vs.
Plata) The same thing is true with regard to withdrawal of complaint.
However, the authenticity and voluntariness of the withdrawal of the
complaint against a member of the bar must also be determined first before
the same shall be considered at all.

Suspension of attorney by Supreme Court.

After receipt of respondent's answer or lapse of the period therefor, the Supreme
Court, motu propio, or at the instance of the IBP Board of Governors upon the
recommendation of the Investigator,

may suspend an attorney from the practice of his profession for any of the causes
specified in Rule 138, Section 27,

during the pendency of the investigation until such suspension is lifted by the Supreme
Court.

Suspension of attorney by the Court of Appeals or a Regional Trial Court. 

The Court of Appeals or Regional Trial Court may suspend an attorney from practice for
any of the causes named in Rule 138, Section 27 2, until further action of the Supreme
Court in the case.

Section 17. Upon suspension by Court of Appeals or Regional Trial Court, further

proceedings in Supreme Court. — Upon such suspension, the Court of Appeals or a
Regional Trial Court shall forthwith transmit to the Supreme Court a certified copy of the
order of suspension and a full statement of the facts upon which the same was based.
Upon receipt of such certified copy and statement, the Supreme Court shall make a full
investigation of the case and may revoke, shorten or extend the suspension, or disbar
the attorney as the facts may warrant.

Section 18. Confidentiality. — Proceedings against attorneys shall be private and

confidential. However, the final order of the Supreme Court shall be published like its
decisions in other cases.

Section 19. Expenses. — All reasonable and necessary expenses incurred in relation to

disciplinary and disbarment proceedings are lawfull charges for which the parties may be
taxed as costs.

Section 20. Effectivity and Transitory Provision. — This Rule shall take effect June 1,
1988 and shall supersede the present Rule 139 entitled "DISBARMENT OR
SUSPENSION OF ATTORNEYS". All cases pending investigation by the Office of the
Solicitor General shall be transferred to the Integrated Bar of the Philippines Board of
Governors for investigation and disposition as provided in this Rule except those cases
where the investigation has been substantially completed.