LEGAL AND JUDICIAL

ETHICS

2013 GOLDEN NOTES

UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
MANILA
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No. 01

Printed in the Philippines, April 2013.

 ACADEMIC YEAR 2013-2014

CIVIL LAW STUDENT COUNCIL

VICTOR LORENZO L. VILLANUEVA PRESIDENT
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ATTY. AL CONRAD B. ESPALDON

ADVISER
 ACADEMICS COMMITTEE
ALJON D. DE GUZMAN CHAIRPERSON
MARK KEVIN U. DELLOSA VICE-CHAIR FOR ACADEMICS
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WILLIAM RUSSELL MALANG MEMBER, RESEARCH TEAM
CHARMAINE PANLAQUE MEMBER, RESEARCH TEAM

LEGAL AND JUDICIAL ETHICS COMMITTEE

DOMINIC VICTOR C. DE ALBAN LEGAL AND JUDICIAL ETHICS COMMITTEE HEAD
LYRA MAE M. GONZAGA ASST. LEGAL AND JUDICIAL ETHICS COMMITTEE HEAD
RIO ANGELIKA M. LAOT ASST. LEGAL AND JUDICIAL ETHICS COMMITTEE HEAD
AIRA KRISTINA M. ALLAS MEMBER
DONNA MARIE P. CABARRUBIAS MEMBER
TERESA MICAELA M. MACASPAC MEMBER
MA. VICTORIA C. SEVILLA MEMBER
MA. FATIMAH V. VILLANUEVA MEMBER

JUDGE OSCAR PIMENTEL

ADVISER
 FACULTY OF CIVIL LAW
UNIVERSITY OF SANTO TOMAS

ACADEMIC OFFICIALS

ATTY. NILO T. DIVINA REV. FR. ISIDRO C. ABAÑO, O.P.

DEAN REGENT

ATTY. ARTHUR B. CAPILI

FACULTY SECRETARY

ATTY. ELGIN MICHAEL C. PEREZ

LEGAL COUNSEL
UST CHIEF JUSTICE ROBERTO CONCEPCION LEGAL AID CLINIC

ATTY. AMADO E. TAYAG

SWDB COORDINATOR

LENY G. GADANIA, R.G.C.

GUIDANCE COUNSELOR
OUR DEEPEST APPRECIATION TO OUR
MENTORS & INSPIRATION

JUSTICE MYRA FERNANDEZ

JUDGE OSCAR PIMENTEL

JUDGE PHILIP A. AGUINALDO

For being our guideposts in understanding the intricate

sphere of Legal and Judicial Ethics.
- Academics Committee 2013
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 Legal Ethics
LEGAL ETHICS
Q: What is legal ethics? (1993, 1996 Bar Questions)
A: It is a branch of moral science which treats of the
duties which an attorney owes to the court, to his
client, to his colleagues in the profession and to the
public as embodied in the Constitution, Rules of
Court, the Code of Professional Responsibility,
Canons of Professional Ethics, jurisprudence, moral,
laws and special laws. (Justice George Malcolm)
Q: What are the sources of ethical standards in the
Philippine judiciary?
A:
1. Primary
a. Bar
i. Canons of Professional Ethics
ii. Code of Professional Responsibility
iii. Constitution
b. Bench
i. Canons of Judicial Ethics
ii. Code of Judicial Ethics
iii. New Code of Judicial Conduct for the
Philippine Judiciary
c. Other personnel – Code of Conduct for Court
Personnel
2. Secondary
a. Decisions/Resolutions of the Supreme
Court
b. Supreme Court Circulars
c. Order/Resolution of other courts
d. IBP Issuances
Q: “What is legal is moral.” State your comment on
the correctness or incorrectness of this proposition.
(1993 Bar Question)
A: The statement is not necessarily correct. There are
several acts of a lawyer, which may be legal but not
necessarily moral. This is precisely the purpose of
legal ethics, which governs the ethical and moral
behavior of a lawyer.
Q: Who exercises administrative supervision over all
courts and its personnels?
A: The Supreme Court exercises administrative
supervision over all courts from the Court of Appeals
down to the lowest courts and the personnel thereof.
The power of administrative supervision of the
Supreme Court extends to the Sandiganbayan, a
special court, because the Constitution refers to “all
court”. (Sec. 6, Art. VIII, 1987 Constitution)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
PRACTICE OF LAW
CONCEPT
Q: What constitutes practice of law?
A: Practice of law means any activity, in or out of
court, which requires the application of law, legal
procedure, knowledge, training, and experience.
(Cayetano v. Monsod, G.R. No. 100113, Sept. 3, 1991)
The following acts constitute practice of law:
a. Giving of advice or rendering any kind of
service that involves legal knowledge.
b. Appearance in court and conduct of cases in
court.
c. Preparation of pleadings and other papers
incident to actions as well as drawing of
deeds and instruments of conveyance.
Q: State the essential criteria in determining
engagement in the practice of law
A: CAHA
1. Compensation – implies that one must have
presented himself to be in the active practice and
that his professional services are available to the
public for compensation, as a source of livelihood
or in consideration of his said services.
2. Application of law, legal principle, practice or
procedure which calls for legal knowledge,
training and experience;
3. Habituality – implies customary or habitually
holding oneself out to the public as a lawyer.
Practice of law is more than an isolated
appearance for it consists in frequent or
customary action; and
4. Attorney-Client relationship - engaging in the
practice of law presupposes the existence of a
lawyer-client relationship. Ten (10) years of
practice of law includes work as a litigator, in-
house counsel, giving of legal advice, teaching of
law and even foreign assignment which requires
the knowledge and application of the laws.
Q: Ronnie, a paralegal in a law firm, helped Beth in a
property dispute in which she was involved by giving
her legal advice and preparing a complaint that she
eventually filed in court under her own signature.
When the lawyer for the defendant learned of it, he
told Ronnie to desist from practicing law. But he
disputed this, claiming that he had not practiced law
since he did not receive compensation from Beth for
his help. Is Ronnie correct? (2011 Bar Question)
8
 PRACTICE OF LAW

A: No, because receipt of compensation is not the Q: Differentiate bar from bench
sole determinant of legal practice. Giving of advice or
rendering any kind of service that involves legal A:
knowledge is also considered as practice of law. As BAR BENCH
such, Ronnie should desist from giving legal advices Refers to the whole Refers to the whole
since the same is considered a practice of law to body of attorneys and body of judges and
which he is not qualified. counselors, collectively, justices.
the members of the
Q: Judge Cristina has many law-related activities. legal profession.
She teaches law and delivers lectures on law. Some
in the government consult her on their legal Q: What is a bar association?
problems. She also serves as director of a stock
corporation devoted to penal reform, where she A: It is an association of the members of the legal
participates in both fund raising and fund profession like the Integrated Bar of the Philippines
management. Which of the aforesaid activities is she (IBP) where membership is integrated or compulsory.
allowed to do? (2011 Bar Question)
Q: Distinguish attorney-at-law from attorney in fact.
A: She can teach law and deliver lectures on law (Sec.
10(a) Canon 4 New Code of Judicial Conduct) but A:
cannot give legal advice since it is a practice of law to ATTORNEY-AT-LAW ATTORNEY IN FACT
which judges are prohibited to do (Sec. 11 Canon 4, Class of persons who are Simply an agent whose
New Code of Judicial Conduct) and cannot serve as licensed officers of the authority is strictly
director of a stock corporation since the same is court empowered to limited by the
incompatible with the diligent discharge of judicial appear, prosecute and instrument appointing
duties (Sec. 7 Canon 6, New Code of Judicial Conduct) defend, and upon whom him. His authority is
peculiar duties, provided in a special
Q: Who is a practicing lawyer? responsibilities and power of attorney or
liabilities are developed general power of
A: A practicing lawyer is one engaged in the practice by law as consequence. attorney or letter of
of law, who by license is an officer of the court and is attorney. He is not
empowered to appear, prosecute and defend a necessarily a lawyer.
client’s cause.
Q: Who is an attorney of record?
Q: What does the term “practicing lawyer” exclude?
A: Attorney of record is an attorney whose name is
A: Term “practicing lawyer” does not include: entered in the records of an action or suit as the
1. Government employees and incumbent lawyer of a designated party thereto.
elective officials not allowed by law to
practice; Q: Who is an attorney ad hoc?
2. Lawyers who by law are not allowed to
appear in court; A: An attorney ad hoc is a person appointed by the
3. Supervising lawyers of students enrolled in court to defend an absentee defendant in the suit in
law student practice in duly accredited legal which the appointment was made.
clinics of law schools and lawyers of Non-
Government Organizations (NGOs) and Q: Who is a counsel/attorney de officio? (1998 Bar
People’s Organizations (POs) who by the Question)
nature of their work already render free
legal aid to indigent and pauper litigants; A: A counsel/attorney de officio is an attorney
and appointed by the court to defend an indigent
4. Lawyers not covered under subparagraphs defendant in a criminal action.
(i) to (iii) (of Sec. 4, B.M. 2012) including
those who are employees in the private Note: In a criminal action, if the defendant appears without
sector but do not appear for and in behalf of an attorney, he must be informed by the court that it is his
parties in courts of law and quasi-judicial right to have an attorney before being arraigned and must
agencies. be asked if he desires the aid of an attorney. If he desires
and is unable to employ an attorney, the court must assign
a counsel de officio to defend him. He is also designated as

UNIVERSITY OF SANTO TOMAS

9 FACULTY OF CIVIL LAW
 Legal Ethics
counsel of indigent litigants. The appointment of a counsel
de officio in that instance is a matter of right on the part of
the defendant.
On appeal in criminal cases, the appellate court must also
appoint a counsel de officio if, as shown by the certificate of
the clerk of court of the trial court, a defendant is confined
in prison or without means to employ an attorney or
desires to be defended de officio (Secs. 6-8, Rule 116 and
Sec. 13, Rule 122).
Q: Who is a counsel de parte?
A: Private counsel of a party, secured by him, without
intervention from the government.
Q: Who is an amicus curiae? (1993, 1996, 1998 Bar
Questions)
A: An amicus curiae is an experienced and impartial
attorney invited by the court to appear and help in
the disposition of the issues submitted to it. An
amicus curiae appears in court not to represent any
particular party but only to assist the court. (plural:
Amici Curiae)
Q: What is amicus curiae par excellence?
A: It is a bar association who appears in court as
amicus curiae or a friend of the court. It acts merely
as a consultant to guide the court in a doubtful
question or issue pending before it.
Q: Who is a trial lawyer? (2006 Bar Question)
A: A trial lawyer is one who personally handles cases
in court, administrative agencies or boards and
engages in actual trial work, either for the
prosecution or for the defense of cases of clients.
Q: Who is a lead counsel?
A: A lead counsel is a lawyer on either side of a
litigated action who is charged with the principal
management and direction of a party’s case, as
distinguished from his juniors or subordinates.
Q: Who is an in-house or house counsel?
A: He is one who acts as attorney for a business
though carried as an employee of that business and
not as an independent lawyer.
Q: Who is an Of Counsel?
A: He is an experienced lawyer, usually a retired
member of the judiciary, employed by law firms as
consultants.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: Who is a public prosecutor?
A: He is a quasi-judicial officer who represents the
state in criminal proceedings.
Q: Who is a private prosecutor?
A: A private prosecutor is a lawyer engaged by a
litigant to intervene in the prosecution of a criminal
action when the offended party is entitled to
indemnity and has not waived expressly, reserved or
instituted the civil action for damages. He is under
the direction and control of the public prosecutor.
(Sec. 5 Rule 110 RRC as amended, May 1, 2002)
Q: Who is a client?
A: A client is one who engages the services of a
lawyer for legal advice for purposes of prosecuting or
defending a suit in the former’s behalf and usually for
a fee.
Q: What is assumpsit? (2006 Bar Question)
A: Literally means “he has undertaken”. It is an action
for the recovery of damages by reason of the breach
or non-performance of a simple contract, either
express or implied, or whether made orally or in
writing. Assumpsit is the word always used in
pleadings by the plaintiff to set forth the defendant’s
undertaking or promise.
Note: Claims in action of assumpsit were ordinarily divided
into (a) common or indebitatus assumpsit, brought usually
on an implied promise, and (b) special assumpsit, founded
on an express promise.
PRIVILEGE
Q: What is the nature of the practice of law?
A: The practice of law is not a natural, property or
constitutional right but a mere privilege. It is not a
right granted to anyone who demands it but a
privilege to be extended or withheld in the exercise of
sound judicial discretion. It is a privilege accorded
only to those who measure up to certain rigid
standards of mental and moral fitness. The attorney’s
continued enjoyment of the privilege conferred
depends upon his complying with the ethics and rules
of the profession.
Note: While the practice of law is a privilege, a lawyer
cannot be prevented from practicing law except for valid
reasons, the practice of law not being a matter or
State’s grace of favor. He holds office during good behavior
and can only be deprived of it for misconduct ascertained
and declared by judgment of the Supreme Court after
opportunity to be heard has been afforded him.
10
 PRACTICE OF LAW
Q: What are the consequences of legal profession
being a privilege?
A: The practice of law is a privilege given to lawyers
who meet the high standards of legal proficiency and
morality. Any violation of these standards exposes
the lawyer to administrative liability. (Lorenzo d.
Brennisen, v. Atty. Ramon U. Contawi, A.C. no. 7481,
April 24, 2012)
All lawyers, of all classes and professions, are most
sacredly bound to uphold the law. The privilege to
practice law is bestowed only upon individuals who
are competent intellectually, academically and,
equally important, morally. As such, lawyers must at
all times, conduct themselves, especially in their
dealings with their clients and the public at large,
with honesty and integrity in a manner beyond
reproach. (Re: SC decision dated may 20, 2008 in G.R.
No. 161455 under Rule 139-B of the Rules of Court, v.
Atty. Rodolfo D. Pactolin A.C. No. 7940, April 24,
2012)
PROFESSION, NOT BUSINESS
Q: Why is law a profession and not a trade? (2006
Bar Question)
A: A legal profession is not a business. It is not a
money-making trade just like a businessman
employing strategy for the purpose of monetary gain.
It is a sacred profession imbued with public interest
whose primary objective is public service , as it is an
essential part in the administration of justice and a
profession in pursuit of which pecuniary reward is
considered merely incidental.
Note:
Rule 1.03 – A lawyer shall not, for any corrupt motive or
interest, encourage any suit or proceeding or delay any
man’s cause.
Rule 2.03 –A lawyer shall not do or permit to be done any
act designed primarily to solicit legal business.
Q: May a corporation practice law?
A: No. It is well-settled rule that a corporation cannot
engage in the practice of law. It may, however, hire
an attorney to attend to and conduct its own legal
business or affairs. But it cannot practice law directly
or indirectly by employing a lawyer to practice for it
or to appear for others for its benefit because of the
following reasons:
1. Nature of the privilege and on the confidential
and trust relation between attorney and client.
2. A corporation cannot perform the conditions
11
required for membership in the Bar, such as the
possession of good moral character and other
special disqualifications, the taking of an oath
and becoming an officer of the court, subject to
its discipline, suspension or removal.
3. The relation of trust and confidence cannot arise
where the attorney is employed by a corporation
to practice for it, his employer and him owing, at
best, a secondary and divided loyalty to the
clientele of his corporate employer.
4. The intervention of the corporation is destructive
of that confidential and trust relation and is
obnoxious to the law.
QUALIFICATIONS
Q: Who may practice law?
A: Any person heretofore duly admitted as a member
of the bar, or hereafter admitted as such in
accordance with the provisions of the rule, and who is
in good and regular standing, is entitled to practice
law. (Sec. 1, Rule 138, Revised Rules of Court (RRC))
Q: A criminal case was filed against Atty. Javellana,
which resulted to his arrest and temporary
detention at the house of the clerk of court where
his case was pending. Despite his detention, Atty.
Javellana continues with his normal activities
including his practice of law, in appearing as counsel
for certain cases. Can Atty. Javellana still engage in
the practice of law despite his arrest and detention?
A: As a detention prisoner, Javellana is not allowed to
practice his profession as a necessary consequence of
his status as a detention prisoner. The trial court's
order was clear that Javellana "is not to be allowed
liberty to roam around but is to be held as a
detention prisoner." The prohibition to practice law
referred to all other cases, except in cases where
Javellana would appear in court to defend himself.
(Pro Se)
All prisoners whether under preventive detention or
serving final sentence cannot practice their
profession nor engage in any business or occupation,
or hold office, elective or appointive, while in
detention. This is a necessary consequence of arrest
and detention. (People v. Maceda, G.R. Nos. 89591-
96, Jan. 24, 2000)
Q: What branch of the government has the power to
admit persons in the practice of law? (1995 Bar
Question)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

A: The Constitution vests the power of control and
regulation in the Supreme Court. The constitutional
power to admit candidates to the legal profession is a
judicial function and involves the exercise of
discretion. Petition to that end is filed with the
Supreme Court as are other proceedings invoking
judicial function. (In Re: Almacen, G.R. No. L-27654,
Feb. 18, 1970)
Note: The SC acts through a Bar Examination Committee in
the exercise of its judicial function to admit candidates to
the legal profession. The committee is composed of a
member of the court who acts as a Chairman and eight (8)
members of the Bar who act as examiners in the eight (8)
bar subjects with one subject assigned to each examiner.
Acting as a sort of liaison officer between the Court and the
Bar Chairman, on one hand, and the individual members of
the committee, on the other, is the Bar Confidant who is at
the same time a Deputy Clerk of the Court. He does not
possess any discretion with respect to the matter of
admission of examinees to the Bar. (In Re: Lanuevo, A.C.
No. 1162, Aug. 29, 1975)
Note: The legislature may not pass a law that will control
the SC in the performance of its functions to decide who
may enjoy the privilege of practicing law and any law of
that kind is unconstitutional being an invalid exercise of
legislative power. (In Re: Cunanan, Resolution, Mar. 18,
1954)
Q: Is a clerk of court allowed to practice law?
A: No, except if it is an isolated practice.
Q: What are the requisites if a clerk of court wishes
to practice law?
A:
1. Written permission which must be approved by
the Supreme Court; and
2. Approved leave of absence with justifiable
reasons
Note: Notarial act is practice of law. Notarization of a single
document is not an isolated transaction, therefore, a permit
must be secured in order to prevent the violation of law.

Q: What are the powers of the Supreme Court in

Q: Atty. Ladaga, a Clerk of Court, appeared as
relation to regulating the practice of law?
counsel for and in behalf of his cousin in a criminal
case for falsification of public documents before the
A: DPD-DRO-PEE
METC of Quezon City. The appearance of Atty.
1. Define them;
Ladaga in said case was without the previous
2. Prescribe the qualifications of a candidate and
permission of the Court. Did Atty. Ladaga violate the
the subjects of the bar examinations;
Code of Conduct and Ethical Standards for Public
3. Decide who will be admitted to practice;
Officials and Employees by engaging in private
4. Discipline, suspend or disbar any unfit and
practice?
unworthy member of the bar;
5. Reinstate any disbarred or indefinitely
A: Yes. "Private practice" of a profession, which is
suspended attorney;
prohibited, does not pertain to an isolated court
6. Ordain the integration of the Philippine Bar;
appearance; rather, it contemplates a succession of
7. Punish for contempt any person for unauthorized
acts of the same nature habitually or customarily
practice of law;
holding one's self to the public as a lawyer. It is true
8. Exercise overall supervision of the legal
that he filed leave applications corresponding to the
profession; and
dates he appeared in court but he failed to obtain a
9. Exercise any other power as may be necessary to
prior permission from the head of the Department.
elevate the standards of the bar and preserve its
(Oca v. Atty. Ladaga, A.M. No. P-99-1287, Jan. 26,
integrity.
2001)
Q: Can the legislature enact laws to regulate the
Q: Enumerate the initial requirements for admission
practice of the law?
to the bar
A: No. It is noteworthy that unlike the 1935 and 1973
A: Under Sections 2, 5 and 6 of Rule 138, the
Constitution, the 1987 Constitution no longer
applicant must be: (C21GRENAPOS)
provides for the power of the legislature to repeal,
1. Citizen of the Philippines;
alter and supplement the Rules promulgated by the
2. At least 21 years of age;
Supreme Court.
3. Of Good moral character;
4. Resident of the Philippines;
However, the legislature, in the exercise of police
5. Must produce before the SC satisfactory
power may enact laws regulating the practice of law
Evidence of good moral character;
to protect the public and promote public welfare.
6. No charges against him, involving moral

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 12
 PRACTICE OF LAW
turpitude, have been filed or are pending in
any court in the Philippines (Sec. 2, Rule 138,
RRC);
7. Must have complied with the Academic
requirements;
8. Must Pass the bar examinations;
9. Take the lawyer’s Oath; and
10. Sign the Roll of Attorneys.
Note: Section 5 of Rule 138, RRC, now provides that before
being admitted to the examination, all applicants for
admission to the bar shall satisfactorily show that they have
successfully completed all the prescribed courses for the
degree of Bachelor of Laws or its equivalent degree in a law
school or university officially recognized by the Philippine
Government or by the proper authority in the foreign
jurisdiction where the degree has been granted.
Q: What are the requirements in order for a Filipino
citizen who graduated from a foreign law school to
be admitted to the bar?
A: He may be admitted to the bar only submission to
the Supreme Court of certifications showing:
(a) Completion of all courses leading to the
degree of Bachelor of Laws or its equivalent
degree;
(b) Recognition or accreditation of the law
school by the proper authority; and
(c) Completion of all fourth year subjects in the
Bachelor of Laws academic program in a law
school duly recognized by the
Philippine Government.”
A Filipino citizen who completed and obtained his or
her degree in Bachelor of Laws or its equivalent in a
foreign law school must also present proof of
completion of a separate bachelor’s degree. (Bar
Matter No. 1153, Re: Letter of Atty. Estelito P.
Mendoza Proposing Reforms in the Bar Examinations
through Amendments to Rule 138 of the Rules of
Court, Mar. 9, 2010)
Q: How many times can a law graduate take up the
bar?
A: Bar Matter (B.M.) 1161 which regulates the
conduct of the bar examinations provides that
disqualification of a candidate after failing in three (3)
examinations, provided, that he may take a fourth
and fifth examination it he successfully completes a
one (1) year refresher course for each examination. It
therefore limits the examination up to five times only.
Note: B.M. 1161 – also requires submission of the dean of a
certification that the candidate has no derogatory record in
school and if any in detail and status thereof.
13
Q: Ching was born on April 1964 of Filipino mother
and Chinese father. He was conditionally admitted
to take the bar examination because of questions
arising to his citizenship. Upon passing the bar he
was required to take further proof of citizenship and
was not allowed to take the oath. Can he elect
Philippine citizenship, 14 years after reaching the
age of majority (required under the 1935
Constitution)?
A: No, Ching is not qualified to be a lawyer for having
elected Philippine citizenship 14 years after reaching
the age of majority. Ching offered no reason why he
delayed the election of Philippine citizenship. The
procedure is not a tedious process. All that is required
is to execute an affidavit and file the same in the
nearest registry. (In Re: Application for Admission to
the Philippine Bar of Vicente Ching, B.M. 914, Oct. 1,
1999)
Q: Lee became a lawyer in 1988 under a claim that
he is a Filipino like his parents. Efren sought Lee’s
disbarment on the ground that he really is a
Chinese. To prove he is a Filipino, Lee cited an Albay
regional trial court’s final judgment in an action to
recover real property which mentioned his
citizenship as Filipino. This final judgment resulted in
the correction of his birth records in a separate
special proceeding to show he is a Filipino, not
Chinese as there stated. Is Lee’s claim to Filipino
citizenship valid? (2011 Bar Question)
A: No, since the mention of his citizenship in the land
case was just incidental.
Q: Atty. Melendrez filed a petition to disqualify
Meling from taking the bar exams and to impose
disciplinary penalty as a member of the Philippine
Shari'a Bar. He alleges that Meling, in his application
to take the bar, failed to disclose the fact that he has
3 pending criminal cases. Also, Meling has been
using the title “Attorney" in his communications as
secretary to the Mayor. Should Meling be
disqualified from admission to the Bar?
A: Meling's deliberate silence and non-revelation of
his pending criminal cases constitute concealment.
The disclosure requirement is imposed to determine
whether there is satisfactory evidence of good moral
character of the applicant. By concealing the
existence of such cases, the applicant flunks the test
of fitness even if the cases are ultimately proven
unwarranted or insufficient to impugn or affect the
good moral character of the applicant.
Q: May sanctions be imposed on Meling as member
of the Philippine Shari'a Bar?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
A: Yes. It was highly improper for Meling, as member
of the Shari'a Bar, to use the title "Attorney". Only
members of the Philippine Bar, who have obtained
the necessary degree in the study of law and
successfully passed the bar exams, been admitted to
the IBP and remain members in good standing are
authorized to practice law and thus use the title.
Meling was suspended from membership in the
Philippine Shari'a Bar. (In Re: Disqualification of Bar
Examinee Haron S. Meling, B.M. No. 1154, June 8,
2004)
Q: Mike Adelantado, an aspiring lawyer, disclosed in
his petition to take the 2003 bar examinations that
there were two civil cases pending against him for
nullification of contract and damages. He was thus
allowed to conditionally take the bar, and
subsequently placed third in the said exams. In
2004, after the two civil cases had been resolved,
Mike Adelantado filed his petition to take the
Lawyer’s Oath and sign the Roll of Attorneys before
the Supreme Court. The Office of the Bar Confidant,
however, had received two anonymous letters: the
first alleged that at the time Mike Adelantado filed
his petition to take the bar, he had two other civil
cases pending against him, as well as a criminal case
for violation of B.P. 22; the other letter alleged that
Mike Adelantado, as Sangguniang Kabataan
Chairperson, had been signing the attendance
sheets of SK meetings as “Atty. Mike Adelantado.”
Having passed the Bar, can Mike already use the
appellation “attorney”? Explain your answer.
A: No. Passing the Bar examination is not sufficient
for admission of a person to the Philippine Bar. He
still has to take the oath of office and sign the
Attorney’s Roll as prerequisites to admission. Only
those who have been admitted to the Philippine Bar
can be called “Attorney." (Alawi v. Alauya, A.M. No.
SDC-97-2-P, Feb. 4, 1997)
Q: Should Mike be allowed to take his oath as a
lawyer and sign the Roll of Attorneys? Explain your
answer. (2005 Bar Question)
A: No, he should not be allowed to take his oath and
sign the Attorney’s Roll. Rule 7.01 of the Code of
Professional Responsibility provides that “a lawyer
shall be answerable for knowingly making a false
statement or suppressing a material fact in
connection with his application for admission to the
Bar”. Mr. Adelantado made a false statement in his
application to take the bar by revealing only that
there were two civil cases pending against him. This is
sufficient ground to deny him admission to the bar (In
Re: Galang, 66 SCRA 245 [1975]). He also showed lack
of good moral character in using the title “attorney”
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
before admission to the Bar (Aguirre v. Rana, 403
SCRA 342 [2003]).
Q: Grande was the private offended party in a
criminal case while Atty. De Silva was the counsel
for the accused. During the course of the
proceedings, Atty. De Silva tendered a check in favor
of Grande in order for the latter to desist from
participating as a witness against her client.
Eventually, Grande accepted the check and refused
to participate as a complaining witness thereby
leading to the dismissal of the case. However, to
Grande’s consternation, the check bounced because
Atty. De Silva’s account was already closed. When
the court ordered Atty. De Silva to comment on the
charges against her, she deliberately refused to
accept all the notices coming from the court. Is Atty.
De Silva guilty of breach of trust? Did she violate her
oath as a lawyer by issuing a bouncing check and by
refusing to accept the notices sent to her coming
from the court?
A: Yes, Atty. De Silva had committed a breach of trust
in issuing a bouncing check, which amounted to
deceit and violation of the lawyer’s oath. The nature
of the office of an attorney requires that a lawyer
shall be a person of good moral character. Since this
qualification is a condition precedent to a license to
enter upon the practice of law, the maintenance
thereof is equally essential during the continuance of
the practice and the exercise of the privilege. Gross
misconduct which puts the lawyer's moral character
in serious doubt may render her unfit to continue in
the practice of law. The loss of moral character of a
lawyer for any reasons whatsoever shall warrant her
suspension or disbarment, because it is important
that members of the legal brotherhood must conform
to the highest standards of morality. Any wrongdoing,
which indicates moral unfitness for the profession,
whether it is professional or non-professional,
justifies disciplinary action.
Moreover, her deliberate refusal to accept the
notices served on her betrays a deplorably willful
character or disposition, which stains the nobility of
the legal profession. Her conduct not only
underscores her utter lack of respect for authority; it
also brings to the fore a darker and more sinister
character flaw in her psyche which renders highly
questionable her moral fitness to continue in the
practice of law: a defiance for law and order which is
at the very core of her profession. (Grande v. Atty. De
Silva, A.C. No. 4838, July 29, 2003)
Q: Argosino passed the bar examinations held in
1993. The Court however deferred his oath-taking
due to his previous conviction for Reckless
14
 PRACTICE OF LAW
Imprudence Resulting in Homicide. The criminal
case, which resulted in Argosino’s conviction, arose
from the death of a neophyte during fraternity
initiation rites. Various certifications show that he is
a devout Catholic with a genuine concern for civic
duties and public service. Also, it has been proved
that Mr. Argosino has exerted all efforts to atone for
the death of Raul. Should Argosino be allowed to
take his lawyer's oath?
A: Yes. The practice of law is a privilege granted only
to those who possess the strict intellectual and moral
qualifications required of lawyers who are
instruments in the effective and efficient
administration of justice. The SC recognizes that Mr.
Argosino is not inherently of bad moral fiber given
the various certifications that he is a devout Catholic
with a genuine concern for civic duties and public
service and that it has been proved that he has
exerted all efforts to atone for the death of Raul and
the court gave him the benefit of the doubt, taking
judicial notice of the general tendency of youth to be
rash, temerarious and uncalculating. (Re: Petition of
Al Argosino to Take the Lawyer’s Oath, B.M. No.
712, Mar. 19, 1997)
Q: Enumerate the continuing requirements for the
practice of law after admission to the Bar.
A: He must: MIP-MEJ
1. Remain a Member of the Bar;
2. Regularly pay all IBP membership dues;
3. Regularly pay the Professional Tax Receipt (PTR);
4. Comply with the Mandatory Continuing Legal
Education (MCLE);
5. Faithfully observe the rules and Ethics of the
legal profession; and
6. Be continually subject to Judicial disciplinary
control.
Q: Is the requirement of good moral character a
continuing requirement?
A: Yes. Well-settled is the rule that good moral
character is not only a condition precedent for
admission to the legal profession, but it must also
remain intact in order to maintain one’s good
standing in that exclusive and honored fraternity.
(Tapucar v. Tapucar, A.C. No. 4148, July 30, 1998)
Note: The requirement of good moral character has four
general purposes, namely:
1. To protect the public
2. To protect the public image of lawyers
3. To protect prospective clients
4. To protect errant lawyers from themselves.
15
Each purpose is as important as the other. (Garrido v. Attys.
Garrido and Valencia, A.C. No. 6593, Feb. 4, 2010)
Q: What are the obligations of a newly constituted
lawyer?
A:
1. Pay the full annual membership dues
Note: Lawyers who are senior citizens are not exempt
from payment of IBP dues, since the Senior Citizens
Act, which exempts senior citizens from payment of
taxes does not include exemption from payment of
membership and association fees.
2. Undergo Mandatory Continuing Legal Education
or MCLE;
3. Undergo Mandatory Legal Aid Service;
4. Pay Professional Tax Receipt; and
5. Prove that he is a person of good moral
character.
APPEARANCE OF NON-LAWYERS
Q: May a non-lawyer appear in court?
A: GR: No. Only those who are licensed to practice
law can appear and handle cases in court.
XPNs:
a. Law student practice
b. Non-lawyers in court
Note: Section 34, Rule 138 of the Revised Rules of
Court expressly allows pro se practice or the right
of a non-member of the bar to engage in limited
practice of law. (Antiquiera, CPR, p. 9)
c. Non-lawyers in administrative tribunal
LAW STUDENT PRACTICE
Law student practice rule – A law student who has
successfully completed his third year of the regular
four-year prescribed law curriculum and is enrolled in
a recognized law school's clinical legal education
program approved by the Supreme Court, may
appear without compensation in any civil, criminal or
administrative case before any trial court, tribunal,
board or officer, to represent indigent clients
accepted by the legal clinic of the law school (Sec. 1,
Rule 138-A).
The appearance of the law student authorized by this
rule, shall be under the direct supervision and control
of a member of the Integrated Bar of the Philippines
duly accredited by the law school. Any and all
pleadings, motions, briefs, memoranda or other
papers to be filed, must be signed by the supervising
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
attorney for and in behalf of the legal clinic. (Sec. 2,
Rule 138-A)
Note: The law student shall comply with the standards of
professional conduct governing members of the Bar. Failure
of an attorney to provide adequate supervision of student
practice may be a ground for disciplinary action (Circular
No.19, dated Dec. 19, 1986).
Q: What is pro se? (1995 Bar Question)
A: A party to a lawsuit who represents himself, is
appearing in the case "pro se."
Q: Ferdinand Cruz sought permission to enter his
appearance for and on his behalf before the RTC as
the plaintiff in a Civil Case for Abatement of
Nuisance. Cruz, a fourth year law student, anchors
his claim on Section 34 of Rule 138 of the Rules of
Court that a non-lawyer may appear before any
court and conduct his litigation personally. Judge
Mijares denied the motion with finality. In the same
Order, the trial court held that for the failure of Cruz
to submit the promised document and jurisprudence
and for his failure to satisfy the requirements or
conditions under Rule 138-A of the Rules of Court,
his appearance was denied. Did the court act with
grave abuse of discretion amounting to lack or
excess of jurisdiction when it denied the appearance
of Cruz as party litigant?
A: Yes. The law recognizes the right of an individual to
represent himself in any case to which he is a party.
The Rules state that a party may conduct his litigation
personally or with the aid of an attorney, and that his
appearance must either be personal or by a duly
authorized member of the Bar. The individual litigant
may personally do everything in the course of
proceedings from commencement to the termination
of the litigation. Cruz as plaintiff, at his own instance,
can personally conduct the litigation of his case. He
would then be acting not as a counsel or lawyer, but
as a party exercising his right to represent himself.
The trial court must have been misled by the fact that
Cruz is a law student and must, therefore, be subject
to the conditions of the Law Student Practice Rule. It
erred in applying Rule 138-A, when the basis of Cruz's
claim is Section 34 of Rule 138. The former rule
provides for conditions when a law student may
appear in courts, while the latter rule allows the
appearance of a non- lawyer as a party representing
himself. (Cruz v. Mijares, et al., G.R. No. 154464, Sept.
11, 2008)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
NON-LAWYERS IN COURT
1. Cases before the MTC: A party to the litigation,
may conduct his own case or litigation in person,
with the aid of an agent or friend appointed by
him for that purpose (Sec. 34, Rule 138, RRC);
2. Before any other court, a party may conduct his
litigation personally. But if he gets someone to
aid him, that someone must be authorized
member of the Bar (Sec. 34, Rule 138, RRC)
3. Note: A non-lawyer conducting his own litigation is
bound by the same rules in conducting the trial case.
He cannot after judgment, claim that he was not
properly represented.
4. Criminal case before the MTC in a locality where
a duly licensed member of the Bar is not
available, the judge may appoint a non- lawyer
who is a:
a. Resident of the province; AND
b. Of good repute for probity and ability to aid
the accused in his defense; (Sec. 7, Rule 116
RRC)
5. Any official or other person appointed or
designated to appear for the Government of the
Philippines in accordance with law. (Sec. 33, Rule
138 RRC)
Note: Such person shall have all the rights of a duly
authorized member of the Bar to appear in any case in
which said government has an interest direct or
indirect. (Sec. 33, Rule 138, RRC)
Q: May a party represent himself?
A: In civil cases, an individual litigant has the right to
conduct his litigation personally. In criminal cases, in
grave and less grave offenses, an accused who is a
layman must always appear by counsel; he cannot
conduct his own defense without violating his right to
due process of law.
Note: Where an accused was not duly represented by a
member of the Bar during trial, the judgment should be set
aside, and the case remanded to the trial court for a new
trial. (People v. Santocildes, Jr., G.R. No. 109149, Dec. 21,
1999)
With regard to a juridical person, it must always appear in
court through a duly licensed member of the bar, except
before MTC where it may be represented by its agent or
officer who need not be a lawyer.
16
 PRACTICE OF LAW
Q: A, a mere high school graduate, with the aid of a
friend who is a college undergraduate, filed a
complaint for recovery of a sum of money in the
amount of Four Thousand (P4,000.00) Pesos in the
Metropolitan Trial Court of his town. The Clerk of
Court told A that his complaint might be dismissed
for insufficiency as to form because neither he nor
his friend who is assisting him is a lawyer. Is the
Clerk of Court correct? (1999 Bar Question)
A: The Clerk of Court is not correct. In the Municipal
Trial Courts, a party may conduct his litigation in
person, with the aid of an agent or friend appointed
by him for that purpose, or with the aid of an
attorney. (Sec. 34, Rule 138, Rules of Court).
Q: What are the limitations on appearance of non-
lawyers before the courts?
A:
1. He should confine his work to non- adversary
contentions;
2. He should not undertake purely legal work, such
as the examination or cross- examination of
witnesses, or the presentation of evidence; and
3. His services should not be habitually rendered.
He should not charge or collect attorney’s fees.
(PAFLU v. Binalbagan Isabela Sugar Co., G.R. No.
L-23959, Nov. 29,1971)
NON-LAWYERS IN ADMINISTRATIVE TRIBUNAL
1. Under the Labor Code, non-lawyers may appear
before the NLRC or any Labor Arbiter, if:
i. They represent themselves; or
ii. They represent their organization or
members thereof; (Art 222, PD 442, as
amended) (2002 Bar Question)
iii. If they are duly accredited members of any
legal aid office duly recognized by the
Department of Justice, or the Integrated
Bar of the Philippines in cases referred to
by the latter.
Note: He is not, however, entitled to attorney’s fees
under Article 222 of the Labor Code for not being a
lawyer. (Five J. Taxi v. NLRC, G.R. No. 111474, Aug. 22,
1994)
2. Under the Cadastral Act, a non-lawyer can
represent a claimant before the Cadastral Court.
(Sec. 9, Act No. 2259)
Q: Eric, a labor federation president, represented
Luisa, a dismissed WXT employee, before the NLRC.
Atty. John represented Luisa's two co-complainants.
17
In due course, the NLRC reinstated the three
complainants with backwages and awarded 25% of
the backwages as attorney’s fees, 15% for Atty. John
and 10% for Eric, a non-lawyer. When WXT appealed
to the Court of Appeals, Atty. John questioned Eric’s
continued appearance before that court on Luisa’s
behalf, he not being a lawyer. Is Eric's appearance
before the Court of Appeals valid? (2011 Bar
Question)
A: No, because the practice of law is only reserved for
those qualified for the same. Eric’s appearance in
court on behalf of another is not sanctioned by the
rules. A non-lawyer may only be allowed to appear in
court if he is representing himself not that of another
(Sec. 34, Rule 138, Rules of Court).
Q: Kanlaon Construction and Reluya, et al. cases
were assigned before two labor arbiters. The
Engineers as co-defendant, without written
authority to represent Kanlaon Construction,
admitted the complaints against them. By virtue of
such, the labor arbiters adjudicated the case in favor
of Reluya and the others. Can an engineer represent
a co-defendant in a case before the Labor Arbiter?
A: No, the appearance of the engineer on behalf of
Kanlaon Construction required written proof of
authorization. It was incumbent upon the arbiters to
ascertain this authority especially since both
engineers were named co-respondents in the cases
before the arbiters. Absent this authority, whatever
statements and declarations the engineers made
before the arbiters could not bind Kanlaon.
Nevertheless, even assuming that the engineers were
authorized to appear as representatives of Kanlaon,
they could bind the latter only in procedural matters
before the arbiters and the Commission. Kanlaon's
liability arose from engineer’s alleged promise to pay.
A promise to pay amounts to an offer to compromise
and requires a special power of attorney or the
express consent of Kanlaon. The authority to
compromise cannot be lightly presumed and should
be duly established by evidence. (Kanlaon
Construction v. NLRC, G.R. No. 126625, Sept. 18,
1997)
PROCEEDINGS WHERE LAWYERS ARE
PROHIBITED FROM APPEARING
Q: What are the proceedings to which lawyers are
prohibited from appearing?
A:
1. Proceedings before the Small Claims Court - No
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
attorney shall appear in behalf of or represent a
party at the hearing, unless the attorney is the
plaintiff or defendant (Sec. 17, Rule of Procedure
for Small Claims Cases)
Note: If the court determines that a party cannot
properly present his/her claim or defense and needs
assistance, the court may, in its discretion, allow
another individual who is not an attorney to assist
that party upon the latter’s consent. (Sec. 17, Rule of
Procedure for Small Claims Cases)
2. Proceedings before the Katarungang
Pambarangay - During the pre-trial conference
under the Rules of Court, lawyers are prohibited
from appearing for the parties. Parties must
appear in person only except minors or
incompetents who may be assisted by their next
of kin who are not lawyers. (Formerly Sec. 9, P.D.
No. 1508; Sec. 415, Local Government Code of
1991, R.A. 7160)
SANCTIONS FOR PRACTICE OR APPEARANCE
WITHOUT AUTHORITY
LAWYERS WITHOUT AUTHORITY
Q: What are the remedies against unauthorized
practice of law by lawyers?
A: DICEDA
1. Declaratory relief;
2. Petition for Injunction;
3. Contempt of court;
4. Criminal complaint for Estafa against a
person who falsely represented himself to
be an attorney to the damage of a party;
5. Disqualification and complaints for
disbarment; or
6. Administrative complaint against the erring
lawyer or government official.
Q: KWD, a GOCC, hired respondent, Atty. I, as
private legal counsel for one (1) year effective with
the consent of the Office of the Government
Corporate Counsel (OGCC) and the Commission on
Audit (COA). The controversy erupted when two (2)
different groups, herein referred to as the Dela Peña
board and Yaphockun board, laid claim as the
legitimate Board of Directors of KWD. Dela Peña
board appointed respondents Atty. N, V and M as
private collaborating counsels for all cases of KWD
and its Board of Directors, under the direct
supervision and control of Atty. I. Meanwhile, the
OGCC had approved the retainership contract of
Atty. C as new legal counsel of KWD and stated that
the retainership contract of Atty. I had expired. The
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
termination of Atty. I’s contract was said to be
justified by the fact that the Local Water Utilities
Administration had confirmed the Yaphockun board
as the new Board of Directors of KWD and that said
board had terminated Atty. I’s services and
requested to hire another counsel. Complainants
then filed a disbarment complaint against counsels V
and M alleging that respondents acted as counsel
for KWD without legal authority. Are their
contentions tenable?
A: Yes. Attys. N, V and M had no valid authority to
appear as collaborating counsels of KWD. Nothing in
the records shows that Atty. N was engaged by KWD
as collaborating counsel. There is no proof that the
OGCC and COA approved their engagement as legal
counsel or collaborating counsel. In the case of Atty. I,
he also appeared as counsel of KWD without
authority, after his authority as its counsel had
expired.
Under Section 27, Rule 138 of the Rules of Court, a
member of the Bar may be disbarred or suspended
from his office as attorney by the Supreme Court for
corruptly or willfully appearing as an attorney for a
party to a case without authority to do so.
Disbarment, however, is the most severe form of
disciplinary sanction, and, as such, the power to
disbar must always be exercised with great caution,
and should be imposed only for the most imperative
reasons and in clear cases of misconduct affecting the
standing and moral character of the lawyer as an
officer of the court and member of the Bar.
Accordingly, disbarment should not be decreed
where any punishment less severe such as a
reprimand, suspension or fine, would accomplish the
end desired. (Vargas v. Atty. Ignes, Atty. Mann, Atty.
Viajar and Atty. Nadua, A.C. No. 8096, July 5, 2010)
Note: In any case, an unauthorized appearance of an
attorney may be ratified by the client either expressly or
impliedly. Ratification retroacts to the date of the lawyer’s
first appearance and validates the action taken by him.
(Sps. Agbulos v. Gutierrez, G.R. No. 176530, June 16, 2009)
PERSONS NOT LAWYERS
Q. What are the remedies against unauthorized
practice of law of persons who are not lawyers?
A: DICE
1. Declaratory relief;
2. Petition for Injunction;
3. Contempt of court;
4. Criminal complaint for Estafa against a
person who falsely represented himself to
be an attorney to the damage of a party;
18
 PRACTICE OF LAW
Q. What are the sanctions against unauthorized
practice of law of persons who are not lawyers?
A: He may be punished with contempt of court,
severe censure and three (3) months imprisonment
because of the highly fraudulent and improper
conduct tending directly to impede, obstruct,
degrade, and make a mockery of the administration
of justice. (Manangan v. CFI, G.R. No. 82760, Aug.
30,1990; Lapena, 2009)
Q: May a disbarred lawyer still appear in court as
counsel?
A: No. A disbarred lawyer has no more authority to
appear in court as a lawyer. A lawyer who was
previously disbarred but continued to represent
himself as a lawyer was found guilty of indirect
contempt and fine with imprisonment in case of
failure to pay within five (5) days. (Lemoine v. Atty.
Balon, Jr., A.C. No. 5829, Oct. 28, 2003)
Q: Are the power to hold a person in contempt and
the power to disbar the same?
A: No. The power to punish for contempt and the
power to disbar are separate and distinct, and that
the exercise of one does not exclude the exercise of
the other. (People v. Godoy, G.R. Nos. 115908-09,
Mar. 29, 1995)
Q: Dela Cruz misrepresented himself as a lawyer in
the application for habeas corpus of Gamido. What
punishment should the court impose on Dela Cruz?
A: The Court declared him guilty of indirect contempt
for maliciously and falsely portraying himself as a
member of the bar, appearing in court and filing
pleadings. (In the Matter of the Application for
Habeas Corpus of Maximino Gamido; Gamido v. New
Bilibid Prison, G.R. 146783, July 29, 2002)
Q: What is the nature of the power of contempt?
A: It is exercised on the preservative and not on the
vindictive principle and on corrective rather than the
retaliatory idea of punishment, for purposes that are
impersonal. It is criminal in nature. The power to
punish for contempt is inherent in all courts. It is
essential in the observance of order in judicial
proceedings and to the enforcement of judgment
orders and writs.
19
Q: What are the kinds of contempt?
A:
1. Direct – Consists of misbehavior in the presence
of or so near a court or judge as to interrupt or
obstruct the proceedings before the court or the
administration of justice; punished summarily.
2. Indirect – One committed away from the court
involving disobedience of or resistance to a
lawful writ, process, order, judgment or
command of the court, or tending to belittle,
degrade, obstruct, interrupt or embarrass the
court; not summary in nature.
3. Civil – Is the failure to do something ordered to
be done by a court or a judge for the benefit of
the opposing party therein. It is remedial in
nature.
4. Criminal – Conduct directed against the authority
and dignity of a court or of a judge, as in
unlawfully assailing or discrediting the authority
or dignity of a court or of a judge, or in doing a
duly forbidden act. Intent is necessary.
Note: Where the punishment imposed, whether against a
party to a suit or a stranger, is wholly or primarily to protect
or vindicate the dignity and power, either by fine payable to
the government or by imprisonment, or both, it is deemed
a judgment in criminal case.
Where the punishment is by fine directed to be paid to a
party in the nature of damages for the wrong inflicted, or
by imprisonment as coercive measure to enforce the
performance of some act for the benefit of the party or in
aid of the final judgment or decree rendered in his behalf,
the contempt judgment will, if made before final decree, be
treated as in the nature of an interlocutory order.
Q: What are the two-fold aspects of the exercise of
the power of contempt?
A:
1. The proper punishment of the guilty party for his
disrespect to the court or its order; and
2. To compel his performance of some act or duty
required of him by the court which he refuses to
perform.
Note: The question of whether the contempt committed is
civil or criminal, does not affect the jurisdiction or the
power of a court to punish the same. (Halili v. CIR, G.R. No.
L-24864, Nov. 19, 1985)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: Enumerate the acts of a lawyer that constitutes
contempt?
A:
1. Misbehavior as officer of court
2. Disobedience or resistance to court order
3. Abuse or interference with judicial proceedings
4. Obstruction in administration of justice
5. Misleading the courts
6. Making false allegations, criticisms, insults, veiled
threats against the court
7. Aiding in unauthorized practice of law
(suspended or disbarred)
8. Unlawful retention of client’s funds
9. Advise client to commit contemptuous acts
Note: A practicing lawyer and officer of the court facing
contempt proceedings cannot just be allowed to voluntarily
retire from the practice of law which would negate the
inherent power of the court to punish him for contempt
(Montecillo v. Gica, 60 SCRA 234). (1998 Bar Question)
Q: A judge cited complainant, a driver at the
Engineering Department of the Makati City Hall, in
contempt for using the former’s parking space, and
refused to accept the driver’s apology. He sentenced
the driver to five (5) days imprisonment and a fine of
(P1,000.00). Is the judge administratively liable for
grave abuse of authority in citing the driver for
contempt of court?
A: Yes. The Court does not see how the improper
parking by the driver could even in the remotest
manner disrupt the speedy administration of justice.
At most, it would cause the Judge inconvenience or
annoyance, but still, this does not fall under any of
the acts for which a person could be cited for
contempt. Neither does it appear from the records,
nor from the evidence presented, that the
complainant intended any disrespect toward
respondent Judge. Worse, the Judge immediately
detained the driver, thereby preventing him from
resorting to the remedies provided under the Rules of
Court. Such abusive behavior on the part of
respondent judge fails to show his integrity, which is
essential not only to the proper discharge of the
judicial office, but also to his personal demeanor.
(Nunez v. Ibay, A.M. No. RTJ-06-1984, June 30, 2009)
Q: Balajadia filed a criminal case against petitioners.
In paragraph 5 of the complaint-affidavit, Balajadia
appeared to have asserted that he is a "practicing
lawyer”. However, certifications issued by the Office
of the Bar Confidant and the Integrated Bar of the
Philippines showed that he has never been admitted
to the Philippine Bar. Hence, petitioners filed a case
against him claiming that he is liable for indirect
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
contempt for misrepresenting himself as a lawyer.
Balajadia, on his defense, claimed that the
allegation that he is a practicing lawyer was an
honest mistake. He stated that the secretary of Atty.
Aquino prepared the subject complaint-affidavit
copying in verbatim paragraph 5 of Atty. Aquino’s
complaint-affidavit. Hence, it was inadvertently
alleged that respondent is a “practicing lawyer in
Baguio City” which statement referred to the person
of Atty. Aquino and his law office address. Is
Balajadia liable for indirect contempt?
A: No. Respondent Balajadia never intended to
project himself as a lawyer to the public. It was a
clear inadvertence on the part of the secretary of
Atty. Aquino. The allegation that he is a practicing
lawyer cannot, by itself, establish intent as to make
him liable for indirect contempt (Tan v. Balajadia,
G.R. No. 169517, Mar. 14, 2006).
PUBLIC OFFICIALS AND THE
PRACTICE OF LAW
Q. Who are the public officials?
A: Public officials include elective and appointive
officials and employees, permanent or temporary,
whether in the career or non-career service, including
military and police personnel, whether or not they
receive compensation, regardless of amount. (Sec.
3[b], RA 6713)
Q: What are the prohibited acts or omissions of
public officers?
A:
1. Accepting or having any member of his family
accept employment in a private enterprise which
has pending official business with him during the
pendency thereof or within one year after
termination. (Sec. 3[d], RA 3019)
2. Own, control, manage or accept employment as
officer, employee, consultant, counsel, broker,
agent, trustee or nominee in any private
enterprise regulated, supervised or licensed by
their office unless expressly allowed by law. (Sec.
7[b], RA 6713)
3. A lawyer shall not, after leaving a government
service, accept engagement or employment in
connection with any matter in which he had
intervened while in said service. (Rule 6.03, Code
of Professional Responsibility)
4. A lawyer should not accept employment as an
advocate in any matter upon the merits which he
has previously acted in a judicial capacity. (Canon
20
 PRACTICE OF LAW
36, Canons of Professional Ethics)
Note: These prohibitions shall continue to apply for a
period of 1 year after resignation, or separation from public
office. The 1-year prohibition shall also apply in connection
with any matter before the office he used to be with.
PROHIBITION OR DISQUALIFICATION OF
FORMER GOVERNMENT ATTORNEYS
Rule 6.03, Canon 6, CPR
Rule 6.03 – A lawyer shall not, after leaving
government service, accept engagement or
employment in connection with any matter in which
he had intervened while in said service.
The evil sought to be avoided by this provision is the
possibility of a lawyer who just retired, resigned or
separated from the government of using his influence
for his own private benefit. (Antiquiera, CPR, pp. 27-
28)
Note: Section 7 of RA No. 6713 prohibits the following acts
and transactions:
(a) Financial and material interest. - Public officials and
employees shall not, directly or indirectly, have any
financial or material interest in any transaction requiring
the approval of their office.
(b) Public officials and employees during their incumbency
shall not:
(1) Own, control, manage or accept employment as
officer, employee, consultant, counsel, broker, agent,
trustee or nominee in any private enterprise
regulated, supervised or licensed by their office unless
expressly allowed by law;
(2) Engage in the private practice of their profession
unless authorized by the Constitution or law, provided,
that such practice will not conflict or tend to conflict
with their official functions; or
(3) Recommend any person to any position in a private
enterprise which has a regular or pending official
transaction with their office.
These prohibitions shall continue to apply for a period of
one (1) year after resignation, retirement, or separation
from public office, except in the case of subparagraph (b)
(2) above, but the professional concerned cannot practice
his profession in connection with any matter before the
office he used to be with, in which case the one-year
prohibition shall likewise apply.
(c) Disclosure and/or misuse of confidential information
officially known to them by reason of their office and not
made available to the public, either:
(1) To further their private interests, or give undue
advantage to anyone; or
21
(2) To prejudice the public interest.
(d) Solicitation or acceptance of gifts from any person in the
course of their official duties or in connection with any
operation being regulated by, or any transaction which may
be affected by the functions of their office.
Q: What are the two theories on the disqualification
of former government lawyers in representing a
client on a matter in which they intervened when
they were in office?
A:
1. Adverse-Interest Conflict – A former government
lawyer is enjoined from representing a client in
private practice in a matter which is substantially
related to another matter which the former dealt
with while employed by the government, and if
the interests of the current and former clients
are adverse.
2. Congruent-Interest Representation Conflict – The
lawyer is prohibited from representing a private
practice client even if the interests of the
government, the former employer, and the new
client are entirely parallel (PCGG v. SB, et.al, G.R.
No. 151809-12, April 12, 2005)
Note: The restriction against a public official from using his
public position as a vehicle to promote or advance his
private interests extends beyond his tenure on certain
matters in which intervened as a public official. (Agpalo,
2004)
PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW
OR WITH RESTRICTIONS
Q: Who are the public officials who cannot engage
in the PRIVATE practice of law in the Philippines?
(1990 Bar Question)
A: JOPPCOMS
1. Judges and other officials as employees of the
Supreme Court. (Rule 148, Sec. 35, RRC)
2. Officials and employees of the OSG. (Ibid.)
3. Government Prosecutors. (People v. Villanueva,
G.R. No. L-19450, May 27, 1965)
4. President, Vice-President, members of the
cabinet, their deputies and assistants. (Sec. 13,
Art VII, 1987 Constitution)
5. Members of the Constitutional Commission. (Sec.
2, Art IX-A, 1987 Constitution)
6. Ombudsman and his deputies. (Sec. 8 [second
par.], Art. IX, 1987 Constitution)
7. All governors, city and municipal Mayors. (R.A.
No. 7160, Sec. 90)
8. Those prohibited by Special law.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: Who are the public officials restricted from
engaging in the practice of law in the Philippines?
A:
1. No Senator or member of the House of
Representatives may personally “appear” as
counsel before any court of justice or before the
Electoral Tribunals, or quasi-judicial and other
administration bodies. (Sec. 14, Art. VI, 1987
Constitution)
Note: The word “appearance” includes not only
arguing a case before any such body but also filing a
pleading on behalf of a client as “by simply filing a
formal motion, plea or answer”. (Ramos v. Manalac,
G.R. No. L- 2610, June 16, 1951)
Neither can he allow his name to appear in such
pleading by itself or as part of a firm name under the
signature of another qualified lawyer because the
signature of an agent amounts to a signing of a non-
qualified senator or congressman, the office of an
attorney being originally of agency, and because he
will, by such act, be appearing in court or quasi-judicial
or administrative body in violation of the constitutional
restriction. (In re: David, Adm. Case No. 98, July 13,
1953)
2. Under the Local Government Code (Sec. 91, R.A.
7160), Sanggunian members may practice their
professions provided that if they are members of
the Bar, they shall NOT:
a. Appear as counsel before any court in
any civil case wherein a local
government unit or any office, agency,
or instrumentality of the government is
the adverse party
b. Appear as counsel in any criminal case
wherein an officer or employee of the
national or local government is accused
of an offense committed in relation to
his office
c. Collect any fee for their appearance in
administrative proceedings involving the
local government unit of which he is an
official
d. Use property and personnel of the
government except when the
Sanggunian member concerned is
defending the interest of the
government. (1992, 2000 Bar
Questions)
3. Under Sec. 1, R.A. 910, as amended, a retired
justice or judge receiving pension from the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
government, cannot act as counsel:
a. In any civil case in which the
Government, or any of its subdivision or
agencies is the adverse party; or
b. In a criminal case wherein an officer or
employee of the Government is accused
of an offense in relation to his office;
nor
c. Collect any fees for his appearance in
any administrative proceedings to
maintain an interest adverse to the
government, provincial or municipal, or
to any of its legally constituted officers.
(Sec. 1, R.A. 910)
4. Civil service officers and employees without
permit from their respective department heads.
(Noriega v. Sison, G.R. No. L- 24548, Oct. 27,
1983)
Note: Misconduct in office as a public official may be a
ground for disciplinary action if it is of such character as to
affect his qualification as lawyer or show moral
delinquency.
Q: Atty. Sagucio was the former Personnel Manager
and Retained Counsel of Taggat Industries Inc. until
his appointment as Assistant Provincial Prosecutor
of Tuguegarao. Taggat Industries was sequestered
by the PCGG and thus ceased its operations. As
Assistant Provincial Prosecutor, he assigned to
conduct the preliminary investigation over a
criminal case filed against Taggat Industries. He
recommended the filing of 651 informations for
violation of the Labor Code. He was charged for
violating Rule 15.03 of the Code of Professional
Responsibility and for defying the prohibition
against private practice of law while working as
government prosecutor. Is Atty. Sagucio guilty of
engaging in private practice of law while working as
an Assistant Provincial Prosecutor?
A. Yes. “Private practice of law” contemplates a
succession of acts of the same nature habitually or
customarily holding one’s self to the public as a
lawyer. Atty. Sagucio admitted that he rendered his
legal services to complainant while working as a
government prosecutor. Even the receipts he signed
stated that the payments by Taggat were for
"Retainer’s fee.” Thus, as correctly pointed out by
complainant, Atty. Sagucio clearly violated the
prohibition in RA 6713.
Atty. Sagucio’s violation of RA 6713 also constitutes a
violation of Rule 1.01 of Canon 1, which mandates
22
 PRACTICE OF LAW
that “[a] lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct.” His
admission that he received from Taggat fees for legal
services while serving as a government prosecutor is
an unlawful conduct, which constitutes a violation of
Rule 1.01. (Lim- Santiago v. Saguico, A.C. No. 6705,
Mar. 31,2006)
Note: Violations of RA 6713 are not subject to disciplinary
action under the Code of Professional Responsibility unless
the violations also constitute infractions of specific
provisions of the Code of Professional Responsibility.
Certainly, the IBP has no jurisdiction to investigate
violations of RA 6713 – the Code of Conduct and Ethical
Standards for Public Officials and Employees – unless the
acts involved also transgress provisions of the Code of
Professional Responsibility.
Q: Atty. Eliseo represented Allan in a collection suit
against the Philippine Charity Sweepstakes Office
(PCSO). After his election as sangguniang bayan
member, the court rendered a decision in PCSO’s
favor. Still, Atty. Eliseo appeared for Allan in the
latter’s appeal, prompting the PCSO to question his
right to do so. In response, Atty. Eliseo claimed that
the local government code authorizes him to
practice law as long it does not conflict with his
duties. Is Atty. Eliseo correct? (2011 Bar Question)
A: No, because he cannot appear against a
government instrumentality in a civil case.
Note: While certain local elective officials (like governors,
mayors, provincial board members and councilors) are
expressly subjected to a total or partial proscription to
practice their profession or engage in any occupation, no
such interdiction is made on punong barangay and the
members of the Sangguniang Barangay. Expressio unius est
exclusio alterius. Since they are excluded from any
prohibition, the presumption is that they are allowed to
practice their profession. However, he should procure prior
permission or authorization from the head of his
Department, as required by the Civil Service Regulations.
(Catu v. Rellosa, A.C. No. 5738, Feb. 19, 2008)
Q: Justice Frank, a retired Court of Appeals justice,
appeared before the Supreme Court on behalf of
Landbank, a government bank, in a case involving
the compensable value of the property taken from a
landowner under the agrarian reform law. The
landowner questioned Justice Frank's appearance in
the case, pointing out that the same is unethical and
smacks of opportunism since he obviously
capitalizes on his judicial experience. Is Justice
Frank's appearance in the case valid? (2011 Bar
Question)
A: Yes, because the law allows such appearance as
long as the government is not the adverse party.
23
LAWYERS AUTHORIZED TO REPRESENT THE
GOVERNMENT
Q: Who are persons authorized to represent the
government?
A: Solicitor General (Sol Gen) for the National
Government, and any person appointed to appear for
the government of the Philippines in accordance with
law. (Sec. 33, Rule 138 RRC)
In case of Local Government Units (LGU), they are
represented by a legal officer which provides legal
assistance or support to the mayor or governor and
represents the LGU in all civil actions and special
proceedings wherein it or any of its officials are
involved in an official capacity (Sec. 481, Local
Government Code).
Note: In criminal cases, Sol Gen steps in only when the case
has already reached the Court of Appeals. While it is with
the lower courts, it is the public prosecutor which
represents the government
Q: What are the possible actions that the Sol Gen
may undertake in the discharge of his duties?
A: The Sol Gen, in his discretion, may pursue any of
the following actions:
1. Prosecute;
2. Not to prosecute;
3. To abandon a prosecution already started; or
4. To take a position adverse to the people of the
Philippines in a criminal case or to that of a
government agency or official, when he believes
that justice will be served by taking a different
stand.
Q: In a case between two government agencies,
should the Sol Gen refrain from performing his
duty?
A: No. It is incumbent upon him to present to the
court what he considers as would legally uphold the
best interest of the government.
Q: In the above question, what is the remedy of the
government office adversely affected by the
position taken by the Sol Gen?
A: The government agency adversely affected, if it
still believes in the merits of its case, may appear on
its own behalf through its legal officer or
representative.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
LAWYER’S OATH
I __________, of __(place of birth)__ do solemnly
swear that I will maintain allegiance to the Republic
of the Philippines; I will support its Constitution and
obey the laws as well as the legal orders of the duly
constituted authorities therein; I will do no falsehood,
nor consent to the doing of any in court; I will not
wittingly nor willingly promote or sue any groundless,
false or unlawful suit, or give aid nor consent to the
same; I will delay no man for money or malice and
will conduct myself as a lawyer according to the best
of my knowledge and discretion, with all good fidelity
as well to the courts as to my clients; and I impose
upon myself these voluntary obligations without any
mental reservation or purpose of evasion. So help me
God.
Q: An administrative complaint was filed against
Atty. Contawi for having violated his oath as a
lawyer, causing him damage and prejudice.
Respondent had undeniably mortgaged and sold the
property of his client without the latter's knowledge
or consent, facilitated by the use of a falsified
Special Power of Attorney. Did respondent violate
his lawyer's oath when he mortgaged and sold
complainant's property, which was entrusted to
him, without the latter's consent.
A: Yes. Respondent disposed of complainant's
property without his knowledge or consent, and
partook of the proceeds of the sale for his own
benefit. Respondent's established acts exhibited his
unfitness and plain inability to discharge the bounden
duties of a member of the legal profession. He failed
to prove himself worthy of the privilege to practice
law and to live up to the exacting standards
demanded of the members of the bar. It bears to
stress that the practice of law is a privilege given to
lawyers who meet the high standards of legal
proficiency and morality. Any violation of these
standards exposes the lawyer to administrative
liability. (Brennisen v. Atty. Contawi, A.C. No. 7481,
April 24, 2012)
Q: Under the terms of the Last Will and Testament
of the late Ogan, his residuary estate was divided
among his seven children. One of them, Necitas
Ogan-Occeña, was named in the will as executrix of
the estate. As such, she retained her husband, Atty.
Samuel C. Occeña, as her lawyer. The settlement of
the estate have been pending for thirteen (13) years
when it was transferred under the sala of Judge Ruiz
who found out that the principal cause of delay was
the failure of Atty. Occeña to obey lawful court
orders such as the submission of the latest inventory
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
of all securities of the estate, take possession of all
certificates of stocks or their replacements
belonging to the estate and as well as its inventory,
and by willfully prolonging the litigation through his
various maneuvers, such as instituting actions for
Atty. Occeña’s claim for attorney’s fee and filing
other cases before the court thus prolonging the
settlement of the case. Did Occeña’s acts constitute
a gross violation of his oath as a lawyer?
A: Atty. Occeña’s acts of disobeying lawful court
orders and willfully prolonging the litigation through
his maneuvers constitute a gross violation of his
lawyer’s oath that he will not willingly sue any
groundless, false or unlawful suit or delay no man for
money of malice. (Re: Administrative Case against
Samuel Occeña, A. C. No. 2841, July 3, 2002)
Q: What is the importance of the lawyer’s oath?
A: By taking the lawyer’s oath, a lawyer becomes the
guardian of truth and the rule of law and an
indispensable instrument in the fair and impartial
administration of justice. Good moral character
includes, at least, common honesty. Deception and
other fraudulent acts are not merely unacceptable
practices that are disgraceful and dishonorable; they
reveal a basic moral flaw. (Olbes v. Deciembre, A.C.
No. 5365, Apr. 27, 2005)
Note: The lawyer’s oath is not a mere ceremony or
formality for practicing law to be forgotten afterwards nor
is it mere words, drift and hollow, but a sacred trust that
every lawyer must uphold and keep inviolable at all times.
Q: What is the significance of the lawyer's oath?
A: The significance of the oath is that it not only
impresses upon the attorney his responsibilities but it
also stamps him as an officer of the court with rights,
powers and duties as important as those of the
judges themselves. It is a source of his obligations and
its violation is a ground for his suspension,
disbarment or other disciplinary action. (Agpalo,
Legal Ethics, 1992 ed., p. 59)
24
 DUTIES AND RESPONSIBILITIES OF A LAWYER
DUTIES AND RESPONSIBILITIES
OF A LAWYER
Q: What are the four-fold duties of a lawyer?
A:
1. Public/Society – He must not undertake any
action which violates his responsibility to the
society as a whole, he must be an example in the
community for his uprightness as a member of
the society. The lawyer must be ready to render
legal aid, foster legal reforms, be guardian of due
process, and aware of his special role in the
solution of special problems and be always ready
to lend assistance in the study and solution of
social problems. (Canon 1-6, CPR)
2. Bar/Legal Profession – Observe candor, fairness,
courtesy and truthfulness in his conduct towards
other lawyers, avoid encroachment in the
business of other lawyers and uphold the honor
of the profession. (Canon 7-9, CPR)
3. Courts – A lawyer must maintain towards the
court a respectful attitude, defend against unjust
criticisms, uphold the court’s authority and
dignity, obey court orders and processes, assists
in the administration of justice. (Canon 10-13,
CPR)
4. Clients – The lawyer owes entire devotion to the
interest of his client, warm and zeal in the
maintenance of the defense of his rights and
exertion of utmost learning ability to the end
that nothing be taken or withheld from his client
except in accordance with law. He owes a duty of
competent and zealous representation to the
client, and should preserve his client’s secrets,
preserve his funds and property and avoid
conflicts of interest. (Canon 14- 22, CPR)
Q: What are the duties of attorneys under the
REVISED RULES OF COURT? (2006 Bar Question)
A: ADA- RECORD
1. To maintain Allegiance to the Republic of the
Philippines and to support the Constitution and
obey the laws of the Philippines;
2. Not to encourage either the commencement or
the continuance of an action or proceeding, or
Delay any man’s cause, from any corrupt motive
or interest;
3. To counsel and maintain such Actions or
proceedings only as appear to him to be just, and
such defenses only as he believes to be honestly
debatable under the law;
4. To observe and maintain the Respect due to the
25
courts of justice and judicial officers;
5. To Employ, for the purpose of maintaining the
causes confided to him, such means only as are
consistent with truth and honor, and never seek
to mislead the judge or any judicial officer by an
artifice or false statement of fact or law;
6. To maintain inviolate the Confidence and at
every peril to himself, to preserve the secrets in
connection with his client and to accept no
compensation in connection with his client’s
business except from him or with his knowledge
and approval;
7. To abstain from all Offensive personality and to
advance no fact prejudicial to the honor and
reputation of a party or witness unless required
by the justice of the cause with which he is
charged;
8. Never to Reject, for any consideration personal
to himself, the cause of the defenseless or
oppressed; and
9. In the Defense of a person accused of a crime, by
all fair and honorable means, regardless of his
personal opinion as to the guilt of the accused, to
present every defense that the law permits to
the end that no person may be deprived of life,
liberty, but by due process of law. (Sec. 20, Rule
138, RRC)
Q: What are the privileges of a lawyer?
A: PSP-IS-12
1. To Practice law during good behavior before any
judicial, quasi-judicial, or administrative agency;
2. First one to Sit in judgment on every case, to set
the judicial machinery in motion;
3. Enjoys the Presumption of regularity in the
discharge of his duty;
4. He is Immune, in the performance of his
obligations to his client, from liability to third
persons, insofar as he does not materially depart
from his character as a quasi-judicial officer;
5. His Statements, if relevant, pertinent or material
to the subject of judicial inquiry are absolutely
privileged regardless of their defamatory tenor
and of the presence of malice;
6. 1st grade civil service eligibility for any position in
the classified service in the government the
duties of which require knowledge of law; and
7. 2nd grade civil service eligibility for any other
governmental position, which does not prescribe
proficiency in law as a qualification.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

CANONS OF PROFESSIONAL RESPONSIBILITY 19. Represent client with zeal and within the bounds
(OVERVIEW) of law
20. Charge only fair and reasonable fees
CHAPTER 1 21. Preserve the confidence and secrets of client
LAWYER AND SOCIETY even after the attorney-client relation is
Canons 1-6 terminated
1. Uphold the Constitution and obey the laws of the 22. Withdraw services only for good cause and upon
land and legal processes notice
2. Make legal services available in an efficient and
convenient manner Q: What is the first and most important duty of an
3. Use of true, honest, fair, dignified and objective attorney? Why?
information in making known legal services
4. Participate in the improvement of the legal A: The first and most important duty of the lawyer is
system his duty to the court. The reason is that the attorney
5. Keep abreast of legal development and is an officer of the court who sets the judicial
participate in continuing legal education program machinery with the main mission of assisting the
and assist in disseminating information regarding court in the administration of justice. His public
the law and jurisprudence duties take precedence over his private duties.
6. Applicability of the CPR to lawyers in the
government service Q: How should a lawyer view representation of the
poor, the marginalized, and the oppressed before
CHAPTER 2 our courts of justice? (1988 Bar Question)
THE LAWYER AND THE LEGAL PROFESSION
Canons 7-9 A: As an officer of the court, the lawyer has the duty
7. At all times uphold integrity and dignity of the of representing the poor, the marginalized and the
profession and support the activities of the IBP oppressed without expecting to be compensated for
8. Conduct himself with courtesy, fairness and his services. One of the main duties of the lawyer is to
candor toward his colleagues and avoid harassing maintain the rule of law. The rule of law cannot be
tactics against opposing counsel maintained if the poor, the marginalized or the
9. Not to directly or indirectly assist in the oppressed are not afforded legal services to protect
unauthorized practice of law their rights against the rich and the privileged. The
lawyer should consider it as a duty and not as a
CHAPTER 3 charitable work.
THE LAWYER AND THE COURTS
Canons 10-13 Note: The duty of a counsel de officio is to render effective
10. Owes candor, fairness and good faith to the court service and to exert his best efforts on behalf of an indigent
11. Observe and maintain the respect due to the accused. He has a high duty to a poor litigant as to a paying
client. (1991, 1993, 1994, 1996, 1998, 2001, 2002, 2004 Bar
courts and judicial officers and insist in similar
Questions)
conduct
12. Duty to assist in the speedy and efficient
Q: After representing Lenie in an important lawsuit
administration of justice
from 1992 to 1995, Atty. Jennifer lost touch of her
13. Rely upon the merits of his cause, refrain from
client. Ten years later in 2005, Evelyn asked Atty.
any impropriety which tends to influence courts,
Jennifer to represent her in an action against Lenie.
or give the appearance of influencing the courts
Such action involved certain facts, some
confidential, to which Atty. Jennifer was privy
CHAPTER 4
because she handled Lenie's old case. Can Atty.
THE LAWYER AND THE CLIENT
Jennifer act as counsel for Evelyn? (2011 Bar
Canons 14-22
Question)
14. Not to refuse his services to the needy
15. Observe candor, fairness and loyalty in all his
A: No. A lawyer shall preserve the confidences or
dealings and transactions with clients
secrets of his client even after the attorney-client
16. Hold in trust all the moneys and property of his
relation is terminated. He shall not reveal the
client that may come to his possession
confidence or secrets of his client except upon the
17. Owes fidelity to client’s cause and be mindful of
instances provided for by the rules. (Rule 21.01,
the trust and confidence reposed in him
Canon 21, Code of Professional Responsibility)
18. Serve client with competence and diligence

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 26
 DUTIES AND RESPONSIBILITIES OF A LAWYER
DUTIES AND RESPONSIBILITIES OF A
LAWYER TO SOCIETY
RESPECT FOR LAW AND LEGAL PROCESSES
CANON 1, CPR
A LAWYER SHALL UPHOLD THE CONSTITUTION,
OBEY THE LAWS OF THE LAND, AND PROMOTE
RESPECT FOR LAW AND FOR LEGAL PROCESSES.
Q: What is the two-fold duty imposed by the Canon
1 of the Canons of Professional Responsibility?
A:
1. Personally obey the laws and the legal processes
2. Inspire respect and obedience thereto (CPR
Annotated, PhilJA)
Note: The portion of Canon 1, which calls for lawyers to
“promote respect for law and for legal processes”, is a call
to uphold the ‘Rule of Law’. (Funa, 2009)
Q. What is the Rule of Law?
A: “The supremacy of the law”. It provides that
decisions should be made by the application of
known legal principles or laws without the
intervention of discretion in their application. (Black’s
Law Dictionary)
Note: A lawyer’s oath to uphold the cause of justice is
superior to his duty to his client; its primacy is indisputable.
(Cobb-Perez v. Lantin, No. L-22320, July 29, 1968)
Laws refer to all laws, and not just those of general
application. Thus, they include presidential decrees,
executive orders, and administrative rules and regulations
enforcing or implementing existing laws. (CPR Annotated,
PhilJA)
Legal processes pertain to all the proceedings in an action
or proceeding. (CPR Annotated, PhilJA)
Rule 1. 02 –A lawyer shall not counsel or abet
activities aimed at defiance of the law or at lessening
confidence in the legal system.
Q: Peter Donton filed a complaint against Atty.
Emmanuel Tansingco and others, as the notary
public who notarized the Occupancy Agreement, for
estafa thru falsification of public document. Atty.
Tansingco in his complaint stated that he prepared
and notarized the Occupancy Agreement at the
request of Mr. Stier, an owner and long-time
resident of a real property located at Cubao, Quezon
City. Since Mr. Stier is a U.S. Citizen and thereby
disqualified to own real property in his name, he
agreed that the property be transferred in the name
27
of Mr. Donton, a Filipino. Donton averred that Atty.
Tansingco’s act of preparing the Occupancy
Agreement, despite knowledge that Stier is a foreign
national, constitutes serious misconduct and is a
deliberate violation of the Code. Donton prayed that
Atty. Tansingco be disbarred. Is Atty. Tansingco
guilty of serious misconduct?
A. Yes. Atty. Tansingco is liable for violation of Canon
1 and Rule 1.02 of the Code. A lawyer should not
render any service or give advice to any client, which
will involve defiance of the laws which he is bound to
uphold and obey. Atty. Tansingco had sworn to
uphold the Constitution. Thus, he violated his oath
and the Code when he prepared and notarized the
Occupancy Agreement to evade the law against
foreign ownership of lands. Atty. Tansingco used his
knowledge of the law to achieve an unlawful end.
Such an act amounts to malpractice in his office, for
which he may be suspended. (Donton v. Atty.
Tansingco, A.C. No. 6057, June 27, 2006)
Q: Prosecutor Coronel entered his appearance on
behalf of the State before a Family Court in a case
for declaration of nullity of marriage, but he failed
to appear in all the subsequent proceedings. When
required by the Department of Justice to explain, he
argued that the parties in the case were ably
represented by their respective counsels and that
his time would be better employed in more
substantial prosecutorial functions, such as
investigations, inquests and appearances in court
hearings. Is Atty. Coronel’s explanation tenable?
(2006 Bar Question)
A: Atty. Coronel’s explanation is not tenable. The role
of the State’s lawyer in nullification of marriage cases
is that of protector of the institution of marriage (Art
48, FC). “The task of protecting marriage as an
inviolable social institution requires vigilant and
zealous participation and not mere pro forma
compliance” (Malcampo-Sin v. Sin, G.R. No. 137590,
Mar. 26, 2001). This role could not be left to the
private counsels who have been engaged to protect
the private interest of the parties.
Rule 1.01, Canon 1, CPR
A lawyer shall not engage in unlawful, dishonest,
immoral and deceitful conduct.
Q: What are the acts punishable under this Rule?
A: Act which are unlawful, dishonest, immoral or
deceitful.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: Define deceitful conduct
A: An act that has the proclivity for fraudulent and
deceptive misrepresentation, artifice or device that is
used upon another who is ignorant of the fact, to the
prejudice and damage of the party imposed upon.
(CPR Annotated, PhilJA)
Note: By indicating “IBP Rizal 259060” in his pleadings and
thereby misrepresenting to the public and the courts that
he had paid his IBP dues to the Rizal Chapter, Atty. Llamas is
guilty of violating the Code of Professional Responsibility
which provides: Rule 1.01 – A lawyer shall not engage in
unlawful, dishonest, immoral or deceitful conduct. His act is
also a violation of Rule 10.01 which provides that: A lawyer
shall not do any falsehood, nor consent to the doing of any
in court; nor mislead or allow the court to be misled by any
artifice. (Santos Jr. v. Atty. Llamas, A.C. No. 4749, Jan. 20,
2000)
Q: Define Unlawful Conduct
A: It refers to a transgression of any provision of law,
which need not be a penal law. The presence of evil
intent on the part of the lawyer is not essential in
order to bring his act or omission within the terms of
this Rule.
Q: Define Dishonest Conduct
A: Dishonest conduct refers to the disposition to lie,
cheat, deceive, defraud, or betray; be untrustworthy;
lacking in integrity, honesty, probity, integrity in
principle, fairness and straightforwardness.
Q: Define Immoral Conduct
A: Immoral Conduct refers to a conduct which is
willful, flagrant, or shameless, and which shows a
moral indifference to the opinion of the good and
respectable members of the community. To warrant
disciplinary action, the act must not only be merely
immoral but GROSSLY IMMORAL.
Note: Grossly immoral conduct is one that is so corrupt and
false as to constitute a criminal act or so unprincipled or
disgraceful as to be reprehensible to a high degree.
(Figueroa v. Barranco, SBC Case No. 519, July 31, 1997)
Q: What are the instances of Gross Immorality and
the resulting consequences?
A:
1. Abandonment of wife and cohabiting with
another woman. DISBARRED. (Obusan v. Obusan,
Jr., Adm. Case No. 1392, Apr. 2, 1984)
2. A lawyer who had carnal knowledge with a
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
woman through a promise of marriage which he
did not fulfill. DISBARRED. (In re: Disbarment of
Armando Puno, A.C. No. 389, Feb. 28, 1967)
3. Seduction of a woman who is the niece of a
married woman with whom respondent lawyer
had an adulterous relation. DISBARRED. (Royong
v. Oblena, A.C. No. 376, Apr. 30, 1963)
4. Lawyer arranging marriage of his son to a woman
with whom the lawyer had illicit relations.
DISBARRED. (Mortel v. Aspiras, A.M. No. 145,
Dec. 28, 1956)
5. Lawyer inveigling a woman into believing that
they have been married civilly to satisfy his
carnal desires. DISBARRED. (Terre v. Terre, A.M.
No. 2349, July 3, 1992)
6. Lawyer taking advantage of his position as
chairman of the college of medicine and asked a
lady student to go with him to Manila where he
had carnal knowledge of her under threat that if
she refused, she would flunk in all her subjects.
DISBARRED. (Delos Reyes v. Aznar, A.M. No.
1334, Nov. 28, 1989)
7. Bigamy perpetrated by the lawyer. DISQUALIFIED
FROM ADMISSION TO THE BAR. (Royong vs.
Oblena, A.C. No. 376, Apr. 30, 1963)
8. Concubinage coupled with failure to support
illegitimate children. SUSPENDED INDEFINITELY.
(Laguitan v. Tinio, A.M. No. 3049, Dec. 4, 1989)
9. Maintaining adulterous relationship with a
married woman. SUSPENDED INDEFINITELY.
(Cordova v. Cordova, A.M. No. 3249, Nov. 29,
1989)
10. A retired judge who penned a decision 7 months
after he retired, antedating the decision and
forcing his former court staff to include it in the
expediente of the case. DISBARRED. (Radjaie v.
Alovera, A.C. No. 4748, Aug. 4, 2000)
11. Forging a Special Power of Attorney. SUSPENDED
FOR 3 YEARS. (Rural Bank of Silay, Inc. v. Pilla,
A.C. No. 3637, Jan. 24, 2001)
12. Attempting to engage in an opium deal
SUSPENDED FOR 1 YEAR. (Piatt v. Abordo, 58
Phil. 350, Sept. 1, 1933)
13. Facilitating the travel of a person to the U.S.
using spurious travel documents. DISBARRED.
(Sebastian v. Calis, A.C. No. 5118, Sept. 9, 1999)
Q: Atty. Adaza obtained a loan from Orbe with
interest. He then issued two checks as installment.
However, the first check was dishonored. The other
check was not accepted for being a stale check.
28
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Efforts were exerted by Orbe to see him but her
efforts turned to be futile. After a criminal case was
filed, Atty. Adaza went to Orbe’s house and
promised to pay the checks. Orbe then agreed to
have the service of the warrant of arrest withheld
but, again, Atty. Adaza failed to make good of his
promise. Did the act of Atty. Adaza’s in issuing
worthless checks constitute gross misconduct?
A: Yes. A member of the bar may be removed or
suspended from office as an attorney for any deceit,
malpractice, or misconduct in office. The word
"conduct" used in the rules is not limited to conduct
exhibited in connection with the performance of the
lawyer's professional duties but it also refers to any
misconduct, although not connected with his
professional duties, that would show him to be unfit
for the office and unworthy of the privileges which his
license and the law confer upon him. The grounds
expressed in Section 27, Rule 138, of the Rules of
Court are not limitative and are broad enough to
cover any misconduct, including dishonesty, of a
lawyer in his professional or private capacity. Such
misdeed puts his moral fiber, as well as his fitness to
continue in the advocacy of law, in serious doubt.
Atty.Adaza's issuance of worthless checks and his
contumacious refusal to comply with his just
obligation for nearly eight years is appalling and
hardly deserves compassion from the Court. (Orbe v.
Atty. Adaza, A.C. No. 5252, May 20, 2004)
Q: Atty. Danilo Velasquez was charged before IBP
Committee on Bar Discipline with Gross Misconduct
and Gross Immoral Conduct by complainant
Mecaral. Complainant Mecaral was his secretary and
she became his lover and common-law wife. Atty.
Velasquez then brought her to the mountainous
Upper San Agustin in Caibiran, Biliran where he left
her with a religious group known as the Faith
Healers Association of the Philippines, of which he
was the leader. Although he visited her daily, his
visits became scarce, prompting her to return home
to Naval, Biliran. Furious, Atty. Velasquez brought
her back to San Agustin where, on his instruction,
his followers tortured, brainwashed and injected her
with drugs. When she tried to escape, the members
of the group tied her spread-eagled to a bed. Made
to wear only a T- shirt and diapers and fed stale
food, she was guarded 24 hours a day by the women
members. Her mother sought the help of the
Provincial Social Welfare Department which
immediately dispatched two women volunteers to
rescue her. The religious group refused to release
her without the instruction of Atty. Velasquez. Is
Atty. Velasquez guilty of gross immoral conduct and
violated Canon 1 of the Code of Professional
Responsibility?
29
A: Yes. Atty. Velasquez’ act of converting his secretary
into a mistress is grossly immoral which no civilized
society in the world can countenance. The
subsequent detention and torture of the complainant
is gross misconduct only a beast may be able to do.
Certainly, the Atty. Velasquez had violated Canon 1 of
the Code of Professional Responsibility.
When a lawyer’s moral character is assailed, such
that his right to continue practicing his cherished
profession is imperiled, it behooves him to meet the
charges squarely and present evidence, to the
satisfaction of the investigating body and this Court,
that he is morally fit to keep his name in the Roll of
Attorneys. Atty. Velasquez has not discharged the
burden. (Mecaral v. Velasquez, A.C. No. 8392, June
29, 2010)
Q: An administrative complaint for disbarment
against Atty. Iris was filed for allegedly carrying an
immoral relationship with Carlos, husband of
complainant Leslie. Atty. Iris contended that her
relationship with Carlos is licit because they
were married. And when she discovered Carlos’ true
civil status, she cut off all her ties with him. Is Atty.
Iris guilty of committing gross immoral conduct
warranting her disbarment?
A: No, her relationship with Carlos, clothed as it was
with what Atty. Iris believed was a valid marriage,
cannot be considered immoral. Immorality connotes
conduct that shows indifference to the moral norms
of the community. Moreover for such conduct to
warrant disciplinary action, the same must be
“grossly immoral”, that is it must be so corrupt and
false as to constitute a criminal act or so unprincipled
as to be reprehensible to a high degree. Atty. Iris’ act
of immediately distancing herself from Carlos upon
discovering his true civil status belies that alleged
moral indifference and proves that she had no
intention of flaunting the law and the high moral
standard of the legal profession. (Ui v. Atty. Bonifacio,
A.C. No. 3319, June 8, 2000)
Q: What are the acts which do not constitute gross
immorality?
A:
1. Stealing a kiss from a client (Advincula v.
Macabata, A.C. No. 7204, Mar. 7, 2007)
2. Live-in relationship involving two unmarried
persons
3. Failure to pay a loan
- A lawyer may not be disciplined for failure to
pay a loan. The proper remedy is the filing of an
action for collection of a sum of money in regular
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
courts (Toledo v. Abalos, A.C. No. 5141, Sept. 29,
1999)
XPN: A deliberate failure to pay just debts and
the issuance of worthless checks (Lao v.
Medel, A.C. No. 5916, July 1, 2003)
Having incurred just debts, a lawyer has the
moral duty and legal responsibility to settle
them when they become due. He should
comply with his just contractual obligations,
act fairly and adhere to high ethical standards
to preserve the court’s integrity, since he is an
employee thereof. (Cham v. Paita-Moya, A.C.
No.7494, June 27, 2008).
Note: Just debts include unpaid rentals, electric
bills, claims adjudicated by a court of law, and
claims the existence and justness which are
admitted by the debtor (Cham v. Paita-Moya, A.C.
No.7494, June 27, 2008).
Q: Patricia and Simeon were teen sweethearts. It
was after their child was born that Simeon first
promised he would marry her after he passes the
bar examinations. Their relationship continued and
Simeon allegedly made more than twenty or thirty
promises of marriage. Patricia learned that Simeon
married another woman. Meanwhile, Simeon
successfully passed the 1970 bar examinations after
four attempts. But before he could take his oath,
Patricia filed a petition to disqualify Simeon to take
the Lawyer’s Oath on the ground of gross
immoral conduct. Does the act of Simeon in
engaging in premarital relations with Patricia and
making promises to marry her constitute gross
immoral conduct?
A: The SC ruled that the facts do not constitute gross
immoral conduct warranting a permanent exclusion
of Simeon from the legal profession. His engaging in
premarital sexual relations with complainant and
promises to marry suggests a doubtful moral
character on his part but the same does not
constitute grossly immoral conduct. The Court has
held that to justify suspension or disbarment the act
complained of must not only be immoral, but grossly
immoral. A grossly immoral act is one that is so
corrupt and false as to constitute a criminal act or so
unprincipled or disgraceful as to be reprehensible to a
high degree. It is willful, flagrant, or shameless act,
which shows a moral indifference to the opinion of
respectable members of the community. (Figueroa v.
Barranco, Jr., G.R. No. 97369, July 31, 1997)
Note: Mere intimacy between a man and woman, both of
whom possess no impediment to marry, voluntarily carried
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
on and devoid of any deceit on the part of the former, is
neither so corrupt nor so unprincipled as to warrant the
imposition of disciplinary sanction against him, even if as a
result of such relationship a child was born out of wedlock.
(CPR Annotated, PhilJA)
Q: Differentiate morality from immoral conduct and
grossly immoral conduct
A:
MORALITY IMMORAL CONDUCT
Morality as understood Immoral conduct has been
in law is a human defined as that conduct
standard based on which is willful, flagrant, or
natural moral law shameless and which
which is embodied in shows a moral indifference
man’s conscience and to the opinion of the good
which guides him to do and respectable members
good and avoid evil. of the community (Arciga
v. Maniwang, A.M. No.
1608, Aug. 14, 1981).
Q: Atty. Llorente and Atty. Salayon were election
officers of the COMELEC. They helped conduct and
oversee the 1995 elections. Then Senatorial
candidate Pimentel, Jr. alleged that Atty. Llorente
and Atty. Salayon tampered with the votes received
by him. Pimentel Jr. filed an administrative
complaint for their disbarment. The two lawyers
argued that the discrepancies were due to honest
mistake, oversight and fatigue. They also argued
that the IBP Board of Governors had already
exonerated them from any offense and that the
motion for reconsideration filed by Pimentel Jr. was
not filed in time. Are Attys. Llorente and Salayon
guilty of violating the Code of Professional
Responsibility?
A: Yes. Atty. Llorente and Atty. Salayon do not
dispute the fact that massive irregularities attended
the canvassing of the Pasig City election returns. The
only explanation they could offer for such
irregularities is that the same could be due to honest
mistake, human error, and/or fatigue on the part of
the members of the canvassing committees who
prepared the Statements of Votes (SoVs). There is a
limit, we believe, to what can be construed as an
honest mistake or oversight due to fatigue, in the
performance of official duty.
Here, by certifying as true and correct the SoVs in
question, Atty. Llorente and Atty. Salayon committed
a breach of Rule 1.01 of the Code which stipulates
that a lawyer shall not engage in
“unlawful, dishonest, immoral or deceitful conduct.”
By express provision of Canon 6, this is made
applicable to lawyers in the government service. In
30
 DUTIES AND RESPONSIBILITIES OF A LAWYER
addition, they likewise violated their oath of office as
lawyers to “do no falsehood.” (Pimentel, Jr. v. Atty.
Llorente and Atty. Salayon, A.C. No. 4680, Aug. 29,
2000)
Q: Catherine and Atty. Rongcal maintained an illicit
affair. Catherine filed a case for disbarment against
Atty. Rongcal based on gross immoral conduct
alleging that he misrepresented himself to be single
when he was in fact married, and due to the false
pretenses she succumbed to his sexual advances.
Will her petition prosper?
A: Yes. Good moral character is a continuing
condition in a privilege of law practice. The mere fact
of sexual relation between two unmarried adults is
not sufficient to warrant administrative sanction for
such illicit behavior, it is not with respect to betrayal
of the marital vow of fidelity. Atty. Rongcal is guilty of
immorality in violation of Rule 1.01 that a lawyer
should not engage in unlawful, dishonest, immoral or
deceitful conduct. But his remorse over his
indiscretion and the fact of ending the illicit
relationship mitigates the liability. Hence a penalty of
imposing a fine will suffice with a warning that the
same will be dealt with more severely. (Vitug v.
Rongcal, A.C. No. 6313, September 7, 2006)
Note: Any errant behavior on the part of a lawyer, be it in
his public or private activities, which tends to show him
deficient in moral character, honesty, probity or good
demeanor, is sufficient to warrant his suspension or
disbarment. (Tiong vs. Atty. Florendo, A.C. No. 4428, Dec.
12, 2011)
Q: Define moral turpitude (1992, 1993, 1997, 2004
Bar Questions)
A: Moral turpitude imports an act of baseness,
vileness or depravity in the duties which one person
owes to another or to society in general which is
contrary to the usual accepted and customary rule of
right and duty which a person should follow. The
question as to whether an offense involves moral
turpitude is for the Supreme Court to decide.
Q: What are examples of acts that involve moral
turpitude and their consequences?
A:
1. Conviction of estafa and/or BP 22. DISBARRED.
(In the Matter of Disbarment Proceedings v.
Narciso N. Jaramillo, A.C. No. 229, Apr. 30, 1957)
2. Conviction of bribery/ attempted bribery.
DISBARRED. (In Re: Dalmacio De los Angeles, A.C.
No. L-350, Aug. 7,1959); 7 C.J.S., p. 736; 5 Am.
Jur. p. 428)
31
3. Conviction of murder. DISBARRED. (In Re:
Disbarment Proceedings Against Atty. Diosdado
Q. Gutierrez, A.C. No. L- 363, July 31, 1962)
4. Conviction of homicide. DISBARRED. (Soriano v.
Dizon, A.C. No. 6792, Jan. 25, 2006)
5. Conviction of illegal marriage before admission
to the bar. DISQUALIFIED FROM BEING
ADMITTED TO THE BAR. (Villasanta v. Peralta,
101 Phil.313, Apr. 30, 1957)
6. Conviction of falsification of public document.
REMOVED FROM HIS OFFICE/NAME ERASED
FROM ROLL OF ATTORNEYS. (Ledesma de Jesus-
Paras v. Quinciano Vailoces, A.C. No. 439, Apr.
12, 1961)
7. Conviction of estafa through falsification of
public document. DISBARRED. (Villanueva v. Sta.
Ana, CBD Case No. 251, July 11, 1995)
8. Conviction of abduction. SUSPENDED FROM
OFFICE FOR 1 YEAR. (In Re Basa, 41 Phil. 275,
Dec. 7, 1920)
9. Conviction of concubinage. SUSPENDED FROM
OFFICE FOR 1 YEAR. (In re Isada, 60 Phil. 915,
Nov. 16, 1934)
10. Conviction of smuggling. DISBARRED. (In re
Rovero, A.C. No. 126, Oct. 24, 1952)
Note: Moral turpitude implies something immoral
regardless of the fact that it is punishable by law or not. It
must not merely be mala prohibita, but the act itself must
be inherently immoral. The doing of the act itself, and not
its prohibition by statute fixes the moral turpitude. (Zari v.
Flores, Adm. Matter No. [2170-MC] P-1356)
Rule 1.02, Canon 1, CPR
A lawyer shall not counsel or abet activities aimed
at defiance of the law or at lessening confidence in
the legal system. (1994, 1998 Bar Questions)
Note: A lawyer should not promote nor hold an
organization known to be violating the law nor assist it in a
scheme which is dishonest. He should not allow his services
to be engaged by an organization whose members are
violating the law and defend them should they get caught.
Q: Atty. Asilo, a lawyer and a notary public,
notarized a document already prepared by spouses
Roger and Luisa when they approached him. It is
stated in the document that Roger and Luisa
formally agreed to live separately from each other
and either one can have a live-in partner with full
consent of the other. What is the liability of Atty.
Asilo, if any? (1998 Bar Question)
A: Atty. Asilo may be held administratively liable for
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
violating Rule 1.02 of the CPR - a lawyer shall not
counsel or abet activities aimed at defiance of the law
or at lessening confidence in the legal system. An
agreement between two spouses to live separately
from each other and either one could have a live-in
partner with full consent of the other, is contrary to
law and morals. The ratification by a notary public
who is a lawyer of such illegal or immoral contract or
document constitutes malpractice or gross
misconduct in office. He should at least refrain from
its consummation. (In Re: Santiago, A.C. No. 923, June
21, 1940; Panganiban v. Borromeo, 58 Phil. 367; In
Re: Bucana, A.C. No. 1637, July 6, 1976)
Rule 1.03, Canon 1, CPR
A lawyer shall not, for any corrupt motive or
interest, encourage any suit or proceeding or delay
any man’s cause.
Note: Aimed against the practice
“barratry”, “stirring up litigation” and “ambulance chasing”.
Q: Enumerate the unprofessional acts prohibited by
Rule 1.03.
A:
1. Volunteering advice to bring lawsuit except
where ties of blood, relationship and trust make
it a duty to do so
2. Hunting up defects in titles or other causes of
action and informing thereof to be employed to
bring suit or collect judgment, or to breed
litigation by seeking out claims for personal
injuries or any other grounds to secure them as
clients
3. Employing agents or runners for like purposes
4. Paying direct or indirect reward to those who
bring or influence the bringing of such cases to
his office
5. Searching for unknown heirs and soliciting their
employment of him
6. Initiating a meeting of a club and inducing them
to organize and contest legislation under his
guidance
7. Purchasing notes to collect them by litigation at a
profit
Q: What is crime of maintenance?
A: A lawyer owes to society and to the court the duty
not to stir up litigation.
Q: What is the difference between barratry and
ambulance chasing?
A: Barratry is an offense of frequently exciting and
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
stirring up quarrels and suits, either at law or
otherwise; lawyer’s act of fomenting suits among
individuals and offering his legal services to one of
them.
Note: Barratry is not a crime under the Philippine laws.
However, it is proscribed by the rules of legal ethics. (CPR
Annotated, PhilJA)
Ambulance chasing is an act of chasing victims of
accidents for the purpose of talking to the said
victims (or relatives) and offering his legal services for
the filing of a case against the person(s) who caused
the accident(s). It has spawned a number of
recognized evils such as: FSMD
1. Fomenting of litigation with resulting burdens on
the courts and the public;
2. Subordination of perjury;
3. Mulcting of innocent persons by judgments,
upon manufactured causes of action; and
of 4. Defrauding of injured persons having proper
causes of action but ignorant of legal rights and
court procedures by means of contracts which
retain exorbitant percentages of recovery and
illegal charges for court costs and expenses and
by settlement made for quick returns of fees and
against just rights of the injured persons
(Hightower v. Detroit Edison Co. 247 NW 97,
1993) (1993 Bar Question)
Note: Volunteer advice to bring lawsuit comes within the
prohibition, except where ties of blood, relationship and
trust make it a duty to do so.
Q: Does the rule absolutely prohibit all forms of
voluntary giving of advice?
A: No. It may be allowed when the giving of advice is
motivated by a desire to protect one who does not
recognize that he may have legal problems or who is
ignorant of his legal rights or obligations. (CPR
Annotated, PhilJA)
Q: Atty. Melissa witnessed the car accident that
resulted in injury to Manny, a friend of hers. While
visiting him at the hospital, she advised him about
what action he needed to take regarding the
accident. Is Atty. Melissa subject to disciplinary
action if she eventually handles the case for him?
(2011 Bar Question)
A: No. It is unprofessional for a lawyer to volunteer
advice to bring a lawsuit, except in rare cases where
ties of blood, relationship or trust make it his duty to
do so (Canon 28, CPE). In the case at hand, since Atty.
Melissa is a friend of the injured person, she may not
be admonished for extending some legal advice to a
friend in need.
32
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: When does voluntary giving of advice become
improper?
A: When it is motivated by a desire to obtain personal
benefit, secure personal publicity, or cause legal
action to be taken merely to harass or injure another.
(CPR Annotated, PhilJA)
Rule 1.04, Canon 1, CPR
A lawyer shall encourage his clients to avoid, end or
settle a controversy if it will admit of a fair
settlement.
Note: It is the duty of the lawyer to temper his client’s
propensity to litigate and resist his client’s whims and
caprices for the lawyer also owes duty to the court. A
lawyer should be a mediator for concord and a conciliator
for compromise rather than an initiator of controversy
and a predator of conflict.
The rule requires that lawyers encourage settlement only
when the same is fair. It should be noted that the duty and
the right of the lawyer is limited to encouraging the client
to settle. Ultimately, however, the final decision to settle a
claim rests upon the client. (CPR Annotated, PhilJA)
Q: Jon de Ysasi III was employed by his father, in
their farm in Negros Occidental. During the entire
period of Jon de Ysasi III's illnesses, his father took
care of his medical expenses and Jon de Ysasi III
continued to receive compensation. However, later
on, without due notice, his father ceased to pay Jon
de Ysasi III’s salary. Jon de Ysasi III made oral and
written demands from Atty. Sumbingco (Jon de
Ysasi's auditor and legal adviser) for an explanation
for the sudden withholding of his salary, as well as
for the remittance of his salary. Both demands,
however, were not acted upon. Jon de Ysasi III filed
a case in court. Can the lawyers who have been
employed by the parties be admonished for not
trying to reconcile the parties before the filing of
suit?
A: Yes. The conduct of the respective counsel of the
parties, as revealed by the records, sorely disappoints
the Court and invites reproof. Both counsels may well
be reminded that their ethical duty as lawyers to
represent their clients with zeal goes beyond merely
presenting their clients' respective causes in court. It
is just as much their responsibility, if not more
importantly, to exert all reasonable efforts to smooth
over legal conflicts, preferably out of court and
especially in consideration of the direct and
immediate consanguineous ties between their clients.
Once again, the useful function of a lawyer is not only
to conduct litigation but to avoid it whenever possible
by advising settlement or withholding suit. He is often
33
called upon less for dramatic forensic exploits than
for wise counsel in every phase of life. He should be a
mediator for concord and a conciliator for
compromise, rather than a virtuoso of technicality in
the conduct of litigation. (De Ysasi v. NLRC, G.R. No.
104599, Mar. 11, 1994)
EFFICIENT AND CONVENIENT
LEGAL SERVICES
CANON 2, CPR
A LAWYER SHALL MAKE HIS LEGAL SERVICES
AVAILABLE IN AN EFFICIENT AND CONVENIENT
MANNER COMPATIBLE WITH THE INDEPENDENCE,
INTEGRITY AND EFFECTIVENESS OF THE PROFESSION
Rationale: It is the lawyer’s prime duty to see to it that
justice is accorded to all without discrimination.
Rule 2.01, Canon 2, CPR
A lawyer shall not reject, except for valid reasons,
the cause of the defenseless or the oppressed.
Q: Who are considered Defenseless?
A: Defenseless are those who are not in a position to
defend themselves due to poverty, weakness,
ignorance or other similar reasons.
Q: Who are considered Oppressed?
A: Oppressed are those who are the victims of the
cruelty, unlawful, exaction, domination or excessive
use of authority.
Note: By specific authority, the court may appoint an
attorney to render professional aid to a destitute appellant
in a criminal case who is unable to employ an attorney.
Correspondingly, a duty is imposed upon a lawyer so
assigned to “render the required service”. A lawyer so
appointed as counsel for an indigent prisoner, the Canons
of Professional Ethics demands, should always “exert his
best efforts” in the indigent’s behalf. (People v. Estebia,
G.R. No. L-26868, Feb. 27, 1969)
The inability to pay for legal services is not a valid reason to
refuse acceptance of a case. This is because the profession
is a branch of the administration of justice and not a mere
money-getting trade. (CPR Annotated, PhilJA)
Note: A lawyer who accepts the cause of a person unable to
pay his professional fees shall observe the same standard of
conduct governing his relation with paying client.
LEGAL AID IS NOT A MATTER OF CHARITY, BUT A PUBLIC
RESPONSIBILITY. It is a means for the correction of social
imbalance that may, and often do, lead to injustice, for
which reason it is the public responsibility of the Bar.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
AN ACT PROVIDING A MECHANISM FOR FREE LEGAL
ASSISTANCE AND FOR OTHER PURPOSES
(R.A. NO. 9999)
FEBRUARY 23, 2010
Note: Otherwise known as the “Free Legal Assistance Act of
2010”. (Sec. 1, R.A. 9999)
Q: What are the purposes of R.A. No. 9999?
A: To:
1. Encourage lawyers and professional partnerships
to provide free legal assistance
2. Solicit the assistance of lawyers and professional
partnerships in the private practice of law in
providing quality legal assistance to indigent
litigants through a system of tax incentives
3. Provide relief to the Public Attorney’s Office
(PAO) and other associations accredited by the
Supreme Court from the numerous cases it
handles
4. Provide indigent litigants the opportunity to
acquire the services of the distinguished law
firms and legal practitioners of the country for
free
5. Ensure that the right of every individual to
counsel, as mandated in the Constitution, is
protected and observed
Q: How are the services availed of?
A: Public Attorney's Office (PAO), Department of
Justice (DOJ) and other legal aid clinics accredited by
the Supreme Court shall refer pauper litigants to
identified lawyers and professional partnerships.
PAO, DOJ or the accredited legal aid clinic shall issue a
certification that services were rendered by the
lawyer or the professional partnership under this act.
The certification shall include the cost of the actual
services given.
Q: What are the incentives given to lawyers
rendering free legal services?
A: A lawyer or professional partnerships rendering
actual free legal services, as defined by the Supreme
Court, shall be entitled to an allowable deduction
from the gross income, the amount that could have
been collected for the actual free legal services
rendered or up to ten percent (10%) of the gross
income derived from the actual performance of the
legal profession, whichever is lower: Provided, That
the actual free legal services herein contemplated
shall be exclusive of the minimum sixty (60)-hour
mandatory legal aid services rendered to indigent
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
litigants as required under the Rule on Mandatory
Legal Aid Services for Practicing Lawyers, under BAR
Matter No. 2012, issued by the Supreme Court. (Sec.
5, R.A. 9999)
Q: What are the salient features of R.A. No. 9999?
A:
1. The law will allow indigent litigants to acquire the
services of renowned lawyers and law firms for
free
2. In exchange for the services rendered by the
lawyer or the law firm, they will be given tax
incentives equivalent to the cost of the services
rendered to the indigent litigant
3. It will help relieve the Public Attorney’s Office
(PAO) of its numerous caseloads involving
indigent litigants who shall be referred to lawyers
or law firms in the private practice
4. It should entice renowned and distinguished
firms and lawyers in the practice as their services
shall still be compensated commensurately
through the tax incentives
Note: The DOJ, in cooperation with the Philippine
Information Agency (PIA), is hereby mandated to conduct
an annual Information, Education and Communication (IEC)
campaign in order to inform the lawyers of the procedures
and guidelines in availing tax deductions and inform the
general public that a free legal assistance to those who
cannot afford counsel is being provided by the State. (Sec.
6, R.A. 9999)
Rule 2.02, Canon 2, CPR
In such cases, even if the lawyer does not accept a
case, he shall not refuse to render legal advice to the
person concerned if only to the extent
necessary to safeguard the latter’s rights.
Q: What does rendering of legal advice include?
A: It shall include preliminary steps that should be
taken, at least, until the person concerned has
obtained the services of a proper counsel’s
representation. Even though no attorney-client
relationship is created between the parties, the
lawyer, by providing interim advice, preserves the
dignity of the profession by inspiring public faith in
the profession. (CPR Annotated, PhilJA)
Note: If only to the extent necessary to safeguard the
latter’s right means such as advising him what preliminary
steps to take until he shall have secured the services of a
counsel. However, he shall refrain from giving this
preliminary advice if there is a conflict of interest between
a present client and a prospective one. Extending such legal
advice will create and establish an attorney-client
34
 DUTIES AND RESPONSIBILITIES OF A LAWYER
relationship between them and may involve a violation of
the rule prohibiting a lawyer from representing conflicting
interest.
Rule 2.03, Canon 2, CPR
A lawyer shall not do or permit to be done any act
designated primarily to solicit legal business. (1997
Bar Question)
Q: Why is legal profession not considered as a
business? (2006 Bar Question)
A: It is not a business because it is a:
1. Relation, as an “officer of the court”, to the
administration of justice involving thorough
sincerity, integrity and reliability
2. Duty of public service
3. Relation to clients with the highest degree of
fiduciary
4. Relation, to the colleagues at the bar,
characterized by candor, fairness, and
unwillingness to resort to current business
methods of advertising and encroachment on
their practice, or dealing directly with their
clients.
Note: The best type of advertisement for a lawyer is a well-
deserved reputation for competence, honesty and fidelity
to private trust and public duty.
Q: Atty. David agreed to give ½ of his professional
fees to an intermediary or commission agent and he
also bound himself not to deal directly with the
clients. Can he be subject to disciplinary action?
A: Yes. The agreement is void because it was
tantamount to malpractice which is the practice of
soliciting cases of law for the purpose of gain either
personally or through paid agents or brokers.
Malpractice ordinarily refers to any malfeasance or
dereliction of duty committed by a lawyer. The
meaning of malpractice is in consonance with the
notion that the practice of law is a profession not a
business. The lawyer may not seek or obtain
employment by himself or through others, to do so
would be unprofessional. (Tan Tek Beng v. David, A.
C. No. 1261, Dec. 29, 1983)
Note: A general professional partnership with a non-lawyer
is VOID. In the formation of partnership for the practice of
law, no person should be admitted or held out as a
practitioner or member who is not a member of the legal
profession duly authorized to practice, and amenable to
professional discipline. (Canon 33, Canons of Professional
Ethics)
35
Q: Are advertisements of lawyers and law firms
allowed in Philippine jurisdiction?
A: GR: No advertisements allowed. The most worthy
and effective advertisement possible is the
establishment of a well-merited reputation for
professional capacity and fidelity to trust.
XPN: LEPO-LABAN-PD
1. Reputable Law lists, in a manner consistent with
the standards of conduct imposed by the canons,
of brief biographical and informative data, are
allowed.
2. Advertisements or simple announcement of the
Existence of a lawyer or his law firm posted
anywhere it is proper such as his place of
business or residence except courtrooms and
government buildings.
3. Ordinary simple Professional Card. It may contain
only a statement of his name, the name of the
law firm which he is connected with, address,
telephone number and the special branch of law
practiced.
4. A simple announcement of the Opening of a law
firm or of changes in the partnership, associates,
firm name or office address, being for the
convenience of the profession, is not
objectionable.
5. Advertisements or announcement in any Legal
publication, including books, journals, and legal
magazines and in telephone directories. (Ulep v.
Legal Clinic, Inc., B.M. No. 553, June 17, 1993)
6. Writing legal Articles
7. Engaging in Business and other occupations
except when such could be deemed improper, be
seen as indirect solicitation or would be the
equivalent of a law practice
8. Activity of an association for the purpose of legal
representation.
9. Notice to other local lawyers and publishing in a
legal journal of one’s availability to act as an
associate for them
10. Seeking a Public office, which can only be held by
a lawyer or, in a dignified manner, a position as a
full time corporate counsel
11. Listing in a phone Directory, but not under a
designation of a special branch of law. (Atty.
Khan Jr. v. Atty. Simbillo, A.C. No. 5299, Aug.19,
2003)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: What is the rationale for the prohibition on
advertisements?
A:
1. The profession is primarily for public service
2. Commercializes the profession
3. Involves self-praise and puffing
4. Damages public confidence
5. May increase lawsuits and result in needless
litigation
Q: What activities constitute indirect solicitation?
A:
1. Writing and selling for publication articles of
general nature on legal subjects
2. Writing unsolicited article on a legal subject
Note: If engaged in another profession or occupation
concurrently with the practice of law, the lawyer shall make
clear to his client whether he is acting as a lawyer or in
another capacity.
Note: Lawyers may not advertise their services or expertise
nor should they resort to indirect advertisements for
professional employment, such as furnishing or inspiring
newspaper comments, or procuring his photograph to be
published in connection with causes in which the lawyer
has been engaged or concerning the manner of their
conduct, the magnitude of the interest involved, the
importance of the lawyer's position, and all other self-
laudation.
Q: Atty. Dulcinea writes a regular column in a
newspaper of general circulation and articles on
unforgettable legal stories in a leading magazine.
Her by-line always includes the name of her firm
where she is a name partner. Would you consider
this as improper advertising? Explain your answer.
A: Atty. Dulcinea’s by-line including the firm name
where she belongs is improper because it is an
indirect way of solicitation or is an advertisement of
the law firm.
Q: A paid advertisement appeared in the July 5,
2000 issue of Philippine Daily Inquirer, which reads:
"ANNULMENT' OF MARRIAGE Specialist 532-
4333/521-2667." Similar advertisements were
published in the August 2 and 6, 2000 issues of the
Manila Bulletin and August 5, 2000 issue of The
Philippine Star.
A staff member of the SC called up the published
telephone number and pretended to be an
interested party. She spoke to Mrs. Simbillo, who
claimed that her husband, Atty. Simbillo, was an
expert in handling annulment cases and can
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
guarantee a court decree within four to six months,
provided the case will not involve separation of
property or custody of children. Mrs. Simbillo also
said that her husband charges a fee of P48,000.00,
half of which is payable at the time of filing of the
case and the other half after a decision thereon has
been rendered.
Does the appearance of the following:
"ANNULMENT' OF MARRIAGE Specialist 532-
4333/521-2667", in a newspaper, amount to
advertising and solicitation of legal services
prohibited by the Code of Professional
Responsibility and the Rules of Court?
A: Yes. It has been repeatedly stressed that the
practice of law is not a business. It is a profession in
which duty to public service, not money, is the
primary consideration. Lawyering is not primarily
meant to be a money-making venture, and law
advocacy is not a capital that necessarily yields
profits. The gaining of a livelihood should be a
secondary consideration. The duty to public service
and to the administration of justice should be the
primary consideration of lawyers, who must
subordinate their personal interests or what they
owe to themselves. (Atty. Khan Jr. v. Atty. Simbillo,
A.C. No. 5299, Aug. 19, 2003)
Note: The rule against solicitation applies to a lawyer who
offers monetary reward to those who can serve as
witness/es in the case, which he is handling. (CPR
Annotated, PhilJA)
Q: Facing disciplinary charges for advertising as a
lawyer, Atty. A argues that although the calling card
of his businessman friend indicates his law office
and his legal specialty, the law office is located
in his friend’s store. Decide (2001 Bar Question)
A: This appears to be a circumvention of the
prohibition on improper advertising. There is no valid
reason why the lawyer’s businessman friend should
be handing out calling cards which contains the
lawyer’s law office and legal specialty, even if his
office is located in his friend’s store. What makes it
more objectionable is the statement of his supposed
legal specialty.
Rule 2.04, Canon 2, CPR
A lawyer shall not charge rates lower than those
customarily prescribed unless the circumstances so
warrant (1997, 2005 Bar Questions)
Q: Dante wants to file a case against his wife for
support; he secured the services of Atty. Reyes, his
cousin and a private practitioner. However, Dante
36
 DUTIES AND RESPONSIBILITIES OF A LAWYER
does not have sufficient money to pay for legal
services. Nevertheless, Atty. Reyes accepted the
case and promised to charge a lower rate. Did Atty.
Reyes violate the Code of Professional
Responsibility?
A: No, Atty. Reyes did not violate the CPR.
GR: A lawyer shall not charge rates lower than those
customarily prescribed.
XPN: When clients are relatives, co-lawyers, or are
indigents. These are the valid justifications.
The case of Dante falls under the valid justifications,
so Atty. Reyes did not commit any unethical act.
Note: What the rule prohibits is a competition in the matter
of charging professional fees for the purpose of attracting
clients in favor of the lawyer who offers lower rates. The
rule does not prohibit a lawyer from charging a reduced fee
or none at all to an indigent. (Comments of the IBP
Committee)
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE
INFORMATION ON LEGAL SERVICES
CANON 3, CPR
A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES
SHALL USE ONLY TRUE, HONEST, FAIR, DIGNIFIED
AND OBJECTIVE INFORMATION OR
STATEMENT OF FACTS.
(1993, 1997, 1998, 2001, 2002, 2003 Bar Questions)
Rationale: The practice of law is not a trade like the sale of
commodities to the general public where "the usual
exaggerations in trade, when the proper party had the
opportunity to know the facts, are not in
themselves fraudulent.” (Art. 1340, Civil Code)
Q: Atty. E has a daily 10-minute radio program billed
as a “Court of Common Troubles.” The program is
advertised by the radio station as a public service
feature for those who seek but cannot afford to pay
for legal advice. Its sponsors include a food
processing company and a detergent manufacturing
firm which share with the radio station the monthly
remuneration of Atty. E. Is there any impropriety in
Atty. E’s role under the above arrangement? (1997
Bar Question)
A: Yes. Giving advice on legal matters through the
medium of a newspaper column or radio station or
television broadcast is improper. It would involve
indirect advertising and violation of the confidential
relation between the lawyer and the client. (Agpalo,
Legal Ethics)
37
Rule 3.01, Canon 3, CPR
A lawyer shall not use or permit the use of any false,
fraudulent, misleading, deceptive, undignified, self-
laudatory or unfair statement or claim regarding his
qualifications or legal services. (1997 Bar Question)
Rationale: Any false, exaggerating or untrue claims about
his qualification are clearly unethical. Example of this is
when a lawyer makes representation to a prospective client
that he has never lost a single case in his entire career.
Certainly, this is impossible for the best lawyers in the
country have experienced losing cases. (Antiquiera, CPR, p.
20)
Q: Cite some examples of information in lawyer
advertising, that could be considered deceptive.
A:
1. Misstatements of fact
2. Suggestions that the ingenuity or prior record of
a lawyer rather than the justice of the claim are
the principal factors likely to determine the
result
3. Inclusion of information irrelevant on selecting a
lawyer
4. Representations concerning the quality of
service, which cannot be measured or verified.
(CPR Annotated, PhilJA)
Q: Atty. Lana, a famous family lawyer, asked his
secretary to draft the contents of his new calling
card. The secretary inserted in such draft the
phrase, the “best family lawyer in the Philippines”.
The draft was checked by Atty. Lana and approved
it. The new calling cards were then made and Atty.
Lana gave it to prospective clients. Did Atty. Lana
commit any unethical act?
A: Yes, under the CPR, a lawyer may only use true,
honest, fair, and objective information or facts in
making known his legal services. Self-praises or false
claims on qualifications are unethical (Canon 3, Code
of Professional Responsibility).
Q: A Court Administrator's auditing team found that
Judge Ruby used business cards which stated, in
addition to her official title as presiding judge of her
court, that she is bar topnotcher, her law school’s
“class valedictorian,” and “one of the most sought
after private law practitioners” before she joined
the judiciary, all of which are true. Asked to explain
this seeming impropriety, Ruby pointed out that
business cards can include the person’s “title” which
is broad enough to include in her case her standing
in the bar and all the honors she earned. Did Ruby
commit an impropriety? (2011 Bar Question)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
A: Yes, because she showed a hunger for publicity
and recognition that debases her judicial post.
Rule 3.02, Canon 3, CPR
In the choice of a firm name, no false, misleading or
assumed name shall be used. The continued use of
the name of a deceased partner is permissible
provided that the firm indicates in all its
communications that said partner is deceased.
(1994, 1996, 2001 Bar Questions)
Q: What is the reason in allowing a firm to use the
name of a deceased partner?
A: All the partners have, by their joint and several
efforts over a period of years contributed to the good
will attached to the firm name. In the case of a firm
having widespread connections, this good will is
disturbed by a change in firm name every time a
partner dies, and that reflects a loss in some degree
of the good will to the building up of which the
surviving partners have contributed their time, skill
and labor through a period of years. (CPR Annotated,
PhilJA)
Note: No name not belonging to any of the partners or
associates may be used in the firm name for any purpose.
Continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased. The use of a
cross after the name of the deceased partner is sufficient
indication. It is advisable though that the year of the death
be also indicated.
Rule 3.03, Canon 3, CPR
Where a partner accepts public office, he shall
withdraw from the firm and his name shall be
dropped from the firm name unless the law allows
him to practice law concurrently.
Q: Is a Filipino lawyer allowed to practice under a
foreign law firm in the Philippines?
A: No. Filipino lawyers cannot practice law under the
name of a foreign law firm, as the latter cannot
practice law in the Philippines and the use of a
foreign law firm in the country is unethical. (Dacanay
v. Baker and McKenzie, A.C. No. 2131, May 10, 1985)
Rationale: To prevent the law firm or partners from making
use of the name of the public official to attract business and
to avoid suspicion of undue influence.
Q: Samonte alleges that when she went to Branch
220, RTC, Quezon City, to inquire about the reason
for the issuance of the temporary restraining order,
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Atty. Rolando Gatdula (Clerk of Court) blamed her
lawyer for writing the wrong address in the
complaint for ejectment, and told her that if she
wanted the execution to proceed, she should change
her lawyer and retain the law office of Atty. Gatdula,
at the same time giving his calling card with the
name "Baligod, Gatdula, Tacardon, Dimailig and
Celera" with office at Rm. 220 Mariwasa Bldg., 717
Aurora Blvd., Cubao, Quezon City, otherwise she will
not be able to eject the defendant Dave Knope.
Samonte told Atty. Gatdula that she could not
decide because she was only representing her sister.
To her consternation, the RTC Branch 220 issued an
order granting the preliminary injunction as
threatened by Atty. Gatdula despite the fact that the
MTC, Branch 37 had issued an Order directing the
execution of the Decision in Civil Case No. 37-14552.
Samonte filed an administrative case for
misconduct, alleging that Atty. Gatdula is engaged in
the private practice of law. Did Atty. Gatdula violate
the Code of Conduct and Ethical Standards for the
Public Officials and Employees?
A: Yes. Samonte by her failure to appear at the
hearings, failed to substantiate her allegation that it
was Atty. Gatdula who gave her calling card "Baligod,
Gatdula, Tacardon, Dimailig and Celera Law Offices"
and that he tried to convince her to change counsels.
However, while Atty. Gatdula vehemently denies
Samonte's allegations, he does not deny that his
name appears on the calling card attached to the
complaint, which admittedly came into the hands of
Samonte.
The card clearly gives the impression that he is
connected with the said law firm. The
inclusion/retention of his name in the professional
card constitutes an act of solicitation which violates
Section 7 sub-par. (b) (2) of R.A. 6713, otherwise
known as "Code of Conduct and Ethical Standards for
the Public Officials and Employees" which declares it
unlawful for a public official or employee to, among
others: (2) Engage in the private practice of their
profession unless authorized by the Constitution or
law, provided that such practice will not conflict or
tend to conflict with official functions. (Samonte v.
Gatdula, A.M. No. 99-1292, Feb. 26, 1999)
Rule 3.04, Canon 3, CPR
A lawyer shall not pay or give anything of value to
representatives of the mass media in anticipation of,
or in return for, publicity to attract legal business.
Rationale: To prevent some lawyers from gaining an unfair
advantage over others through the use of gimmickry, press
agentry or other artificial means.
38
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: Fiscal Salva conducted the investigation of the
case concerning the killing of Monroy, in the session
hall of the Municipal Court of Pasay City to
accommodate the public and members of the press.
Also, he told the press that “if you want to ask
question, I am allowing you to do so and the
questions will be reproduced as my own”. Is the act
of the fiscal in sensationalizing the case unethical?
A: Yes. Fiscal Salva should be publicly reprehended
and censured for the uncalled and wide publicity and
sensationalism that he had given to and allowed in
connection with his investigation, whatever be his
motive, which is considered and found to be
contempt of court. (Cruz v Salva, G.R. No. L-12871,
July 25, 1959)
PARTICIPATION IN THE IMPROVEMENT AND
REFORMS IN THE LEGAL SYSTEM
CANON 4, CPR
A LAWYER SHALL PARTICIPATE IN THE
DEVELOPMENT OF THE LEGAL SYSTEM BY
INITIATING OR SUPPORTING EFFORTS IN LAW
REFORM AND IN THE ADMINISTRATION OF JUSTICE.
(2008 Bar Question)
Note: By reason of education and experience, lawyers are
especially qualified to recognize deficiencies in the legal
system and to initiate corrective measures therein. Thus,
they should participate in proposing and supporting
legislation and programs to improve the system, without
regard to the general interests or desires of clients or
former clients. (Ethical Consideration 8-1, 1978, Model Code
of Professional Responsibility, American Bar Association)
E.g.:
1. Presenting position papers or resolutions for the
introduction of pertinent bills in Congress; or
2. Petitions with the SC for the amendment of the Rules
of Court
A lawyer may, with propriety, endorse a candidate and seek
that endorsement from other lawyers. A lawyer should not
use or attempt to use the power or prestige of the judicial
office to secure such endorsement. On the other hand, the
lawyer whose endorsement is sought should have the
courage and moral stamina to refuse the request for
endorsement if he believes the candidate lacks the
essential qualifications for the office or believes the
opposing candidate is better qualified. (ABA Opinion 189
(1938); Funa, 2009)
Improving the legal system and the administration of justice
can be done by participating in various legal activities:
1. Participation in the Mandatory Continuing Legal
Education Program of the Integrated Bar of the
Philippines.
2. Participate in lectures for law professors
39
3. Write-ups in legal periodicals on a particular aspect
law
4. Passage of important pieces of legislation either by
amendment to an existing law or passage of an
entirely new law to supplant existing laws and
jurisprudence. (Antiquiera, CPR, pp. 22-23)
PARTICIPATION IN THE LEGAL
EDUCATION PROGRAM
CANON 5, CPR
A LAWYER SHALL KEEP ABREAST OF LEGAL
DEVELOPMENTS, PARTICIPATE IN CONTINUING
LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS
TO ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS
WELL AS IN THE PRACTICAL TRAINING OF LAW
STUDENTS AND ASSIST IN DISSEMINATING
INFORMATION REGARDING THE LAW AND
JURISPRUDENCE.
(2003, 2006, 2008 Bar Questions)
Note: This duty carries with it the obligation to be well
informed of the existing laws, and to keep abreast with
legal developments, recent enactment and jurisprudence. It
is imperative that they be conversant with the basic legal
principles. Unless they faithfully comply with such duty,
they may not be able to discharge competently and
diligently their obligations as members of the Bar. Worse,
they may become susceptible to committing mistakes.
(Dulalai Jr. v. Cruz, A.C. No. 6854, Apr. 27, 2007, citing
Santiago v. Rafanan, A.C. No. 6252, Oct. 5, 2004)
The latest circular of the Supreme Court provides for the
mandatory attendance of all lawyers in the so-called
Mandatory Continuing Legal Education Program of the IBP.
For law practitioners, they have to comply with the 36
hours of mandatory legal education as a pre-condition to
the non-revocation of license to practice law. (Antiquiera,
CPR, p. 23)
Q: What is the three-fold obligation of a lawyer?
A:
1. He owes it to himself to continue improving his
knowledge of the laws
2. He owes it to his profession to take an active
interest in the maintenance of high standards of
legal education
3. He owes it to the lay public to make the law a
part of their social consciousness.
CANON 6, CPR
THESE CANONS SHALL APPLY TO LAWYERS IN
GOVERNMENT SERVICES IN THE DISCHARGE OF
THEIR TASKS
(1992, 1993, 2000, 2001, 2006 Bar Questions)
Note: Lawyers in the employ of the government should be
more sensitive in the performance of their professional
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
obligations as their conduct is subject to constant scrutiny
of the public.
Rule 6.01, Canon 6, CPR
The primary duty of a lawyer engaged in PUBLIC
PROSECUTION is not to convict but to see to it that
justice is done. The suppression of facts or the
concealment of witnesses capable of establishing
the innocence of the accused is highly reprehensible
and is cause for disciplinary action (1992, 1993 Bar
Questions)
Q: From the viewpoint of legal ethics, why should it
be mandatory that the public prosecutor be present
at the trial of a criminal case despite the presence of
a private prosecutor? (2001 Bar Question)
A: The public prosecutor must be present at the trial
of the criminal case despite the presence of a private
prosecutor in order to see to it that the interest of
the State is well-guarded and protected, should the
private prosecutor be found lacking in competence in
prosecuting the case. Moreover, the primary duty of
a public prosecutor is not to convict but to see to it
that justice is done (Rule 6.01, CPR). A private
prosecutor would be naturally interested only in the
conviction of the accused.
Rule 6.02, Canon 6, CPR
A lawyer in the government service shall not use his
public position to promote or advance his private
interests, nor allow the latter to interfere with his
public duties.
Q: What are the restrictions on lawyers who are also
public officials and employees during their
incumbency?
A: They must not: PERU
1. Engage in the Private practice of their profession
unless authorized by the Constitution or law,
provided that such practice will not conflict or
tend to conflict with their official functions;
2. Own, control, manage or accept Employment as
officer, employee, consultant, counsel, broker,
agent, trustee or nominee in any private
enterprise regulated, supervised or licensed by
their office unless expressly allowed by law;
3. Recommend any person to any position in a
private enterprise which has a regular or pending
official transaction with their office; and
4. Use or divulge confidential or classified
information officially known to them by reason
of their office and not available to the public.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is the difference between Rule 6.02 and
6.01?
A: Unlike Rule 6.01, 6.02 is not limited to public
prosecutors, or public lawyers engaged principally in
criminal prosecution cases. The restriction applies
particularly to lawyers in government service, who
are allowed by law to engage in private law practice,
and those who, though prohibited from engaging in
the practice of law, have friends, former associates
and relatives who are in the active practice of law.
(CPR Annotated, PhilJA)
Rule 6.03, Canon 6, CPR
A lawyer shall not, after leaving government service,
accept engagement or employment in connection
with any matter in which he had intervened while in
said service (1992, 1993, 2001 Bar Questions)
Note: The restriction provided under the rule covers
engagement or employment which means that he cannot
accept any work or employment from anyone that will
involve or relate to the matter in which he intervened as a
public official, except on behalf of the body or authority
which he served during his public employment. (CPR
Annotated, PhilJA)
Q: Atty. Madrigal worked in the Supreme Court,
under the division which handles the case of Mr.
Roxas. Before the promulgation of the decision of
the case, Atty. Madrigal resigned and started to
work in the law firm which handles the case of Mr.
Roxas. Is Atty. Madrigal allowed to use the
information he got to help in the case handled by
the firm?
A: No, such act is unethical and is violative of Rule
6.03 of the CPR.
Note: Sec. 7(b) of R.A. 6713 prohibits former public official
or employee for a period of 1 year after retirement or
separation from office to practice his profession in
connection with any matter before the office he used to be
with.
Q: What is the meaning of “any matter” and
“intervene”?
A: “Any matter”, according to the American Bar
Association Formal Opinion, is any discrete isolatable
act, as well as identifiable transaction or conduct
involving a particular situation and specific party, and
not merely an act of drafting, enforcing or
interpreting government or agency proceeding,
regulations or laws or briefing abstract principles of
law.
40
 DUTIES AND RESPONSIBILITIES OF A LAWYER

“Intervene” includes an act of a person who has the Q: Distinguish adverse-interest conflicts and
power to influence the subject proceedings. (PCGG v. congruent-interest representation conflicts?
Sandiganbayan, G.R. Nos. 151809-12, Apr. 12, 2005)
A:
Note: The intervention must be substantial. CONGRUENT-INTEREST
ADVERSE-INTEREST
REPRESENTATION
Q: Former Solicitor General Estelito Mendoza filed a CONFLICTS
CONFLICTS
petition with the CFI praying for the assistance and Adverse-interest In congruent-interest
supervision of the court in the GenBank’s conflicts exist where representation conflict, the
liquidation. Mendoza gave advice on the procedure the matter in which the disqualification does not
to liquidate the GenBank. Subsequently, President former government really involve a conflict at
Aquino established the PCGG to recover the alleged lawyer represents a all, because it prohibits the
ill-gotten wealth of former President Marcos, his client in private practice lawyer from representing a
families and cronies. The PCGG filed with the is substantially related private practice client even
Sandiganbayan a complaint for reversion, to the matter that the if the interests of the
reconveyance, restitution, accounting and damages lawyer dealt with while former government client
against Tan, et al. and issued several writs of employed by the and the new client are
sequestration on properties they allegedly acquired. government and the entirely parallel
Tan, et al. were represented by former SolGen interests of the
Mendoza, who has then resumed his private government and the
practice of law. The PCGG filed motions to disqualify interests of the current
Mendoza as counsel for Tan, et al. The motions and former are adverse
alleged that Mendoza, as then SolGen and counsel
to Central Bank, “actively intervened” in the Note: “congruent-interest representation conflict,” unlike
liquidation of GenBank, which was subsequently the “adverse-interest conflict,” is unique to former
acquired by Tan, et al. Is Rule 6.03 of the CPR government lawyers.
applicable to Mendoza?
DUTIES AND RESPONSIBILITIES OF A
A: No. The advice given by Mendoza on the LAWYER TO THE LEGAL PROFESSION
procedure to liquidate the GenBank is not the
“matter” contemplated by Rule 6.03 of the CPR. CANON 7, CPR
A LAWYER SHALL AT ALL TIMES UPHOLD THE
ABA Formal Opinion No. 342 is clear in stressing that INTEGRITY AND DIGNITY OF THE LEGAL PROFESSION
the “drafting, enforcing or interpreting government or AND SUPPORT THE ACTIVITIES OF THE
agency procedures, regulations or laws, or briefing INTEGRATED BAR.
abstract principles of law” are acts which do not fall
within the scope of the term “matter” and cannot INTEGRATED BAR OF THE PHILIPPINES
disqualify.
Q: What is Integrated Bar of the Philippines?
However, this concern does not cast shadow in the
case at bar. The act of Mendoza in informing the A: It is an official national body composed of all
Central Bank on the procedure on how to liquidate persons whose names now appear or may hereafter
the GenBank is a different matter from the subject be included in the Roll of Attorneys of the Supreme
matter of the civil case which is about the Court. (Sec. 1, Rule 139-A, RRC)
sequestration of the shares of Tan et al. in Allied
Bank. Consequently, the danger that confidential Note: Integrated Bar is a state-organized bar, to which
official information might be divulged is still nil, if not every lawyer must belong as distinguished from bar
associations organized by individual lawyers themselves,
inexistent. To be sure, there are no inconsistent sides
membership in which is voluntary. It is a national
to be bothered about in this case. For there is no organization of lawyers created on 16 January 1973 under
question that in lawyering for Tan et al., Mendoza is Rule 139-A, Rules of Court, and constituted on 4 May 1973
indirectly defending the validity of the action of the into a body corporate by PD No. 181.
Central Bank in liquidating GenBank and selling it
later to Allied Bank. Their interests coincide instead of Q: What is Integration of the Bar?
colliding. (PCGG v. Sandiganbayan, G.R. Nos. 151809-
12, Apr. 12, 2005) A: The Integration of the Philippine Bar means the
official unification of the entire lawyer population,

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41 FACULTY OF CIVIL LAW
 Legal Ethics
and this requires membership and financial support
of every attorney as condition sine qua non to the
practice of law and the retention of his name in the
Roll of Attorneys of the Supreme Court. (Pineda,
1999)
Q: What are the fundamental purposes of the IBP?
A:
1. To elevate the standards of the legal profession;
2. Improve the administration of justice; and
3. Enable the Bar to discharge its public
responsibility more effectively. (Sec. 2, Rule 139-
A, RRC)
Note: The Philippines is divided into 9 Regions of the
Integrated Bar, with a Chapter organized in every province.
Each Chapter shall have its own local government as
provided for by uniform rules to be prescribed by the Board
of Governors and approved by the SC (Secs. 3 and 4, Rule
139-A, RRC)
Q: Is the integration of the IBP constitutional?
A: Yes, the practice of law is not a vested right but a
privilege clothed with public interest. Hence, it is fair
and just that the exercise of that privilege be
regulated to assure compliance with the lawyer's
public responsibilities. Given existing Bar conditions,
the most efficient means of doing so is by integrating
the Bar through a rule of court that requires all
lawyers to pay annual dues to the Integrated Bar. (In
the Matter of the Integration of the Bar of the
Philippines, 49 SCRA 22, Jan. 9, 1973)
Q: Who governs the IBP?
A: The Integrated Bar shall be governed by a Board of
Governors. (Sec. 6, Rule 139-A, RRC)
Q: How many and what is the procedure in the
selection of the Board of Governors?
A: Nine Governors shall be elected by the House of
Delegates from the nine Regions on the
representation basis of one Governor from each
Region. Each Governor shall be chosen from a list of
nominees submitted by the Delegates from the
Region, provided that not more than one nominee
shall come from any Chapter. The President and the
Executive Vice President, if chosen by the Governors
from outside of themselves as provided in Section 7
of this Rule, shall ipso facto become members of the
Board. (Sec. 6, Rule 139-A, RRC)
Q: What is the term of the members of the Board?
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
A: The members of the Board shall hold office for a
term of one year from the date of their election and
until their successors shall have been duly elected
and qualified. No person may be a Governor for more
than two terms. (Sec. 6, Rule 139-A)
Q: What is the principle of rotation?
A: Pursuant to the principle of rotation, the
governorship of a region shall rotate once in as many
terms as the number of chapters there are in the
region, to give every chapter a chance to represent
the region in the Board of Governors. Thus, in a
region composed of 5 chapters, each chapter is
entitled to the governorship once in every 5 terms, or
once every ten (10) years, since a term is two (2)
years (Atty. Magsino et al. v. Atty. Vinluan, A.M. No.
09-5-2-SC, December 14, 2010)
Note: The principle on rotation shall be strictly
implemented so that all prior elections for governor in the
region shall be reckoned with or considered in determining
who should be the governor to be selected from the
different chapters to represent the region in the Board of
Governors. (Bar Matter No. 586 dated May 16, 1991)
Q: What are the kinds of rotation?
A:
1. Rotation by pre-ordained sequence - effected by
the observance of the sequence of the service of the
chapters in the first cycle, which is very predictable.
2. Rotation by exclusion - effected by the exclusion of
a chapter who had previously served until all chapters
have taken their turns to serve. It is not predictable as
each chapter will have the chance to vie for the right
to serve, but will have no right to a re-election as it is
debarred from serving again until the full cycle is
completed (In The Matter of the Brewing
Controversies in the Elections of the Integrated Bar of
the Philippines, A.M. No. 09-5-2-SC, December 04,
2012).
Note: In one case, the Supreme Court held that rotation by
exclusion shall be adopted since the elections would be
more genuine as the opportunity to serve as Governor at
any time is once again open to all chapters, unless, of
course, a chapter has already served in the new cycle.
While predictability is not altogether avoided, as in the case
where only one chapter remains in the cycle, still, as
previously noted by the Court “the rotation rule should be
applied in harmony with, and not in derogation of, the
sovereign will of the electorate as expressed through the
ballot.” (In The Matter of the Brewing Controversies in the
Elections of the Integrated Bar of the Philippines, A.M. No.
09-5-2-SC, December 04, 2012).
42
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: Does a transfer of IBP membership to a Chapter
which term is already next in line in accordance with
the rotation rule where the lawyer is a nonresident
a ground for disqualification to run as IBP Governor
of the Region to which the chapter belongs?
A: No. transferring to another IBP Chapter is not a
ground for disqualification for the post of IBP
Governor as the same is allowed under Section 19 of
the IBP By-Laws with the qualification only that the
transfer be made not less than three months
immediately preceding any chapter election.
While one may incessantly argue that a legal act may
not necessarily be ethical, in herein case, we do not
see anything wrong in transferring to an IBP chapter
that -- based on the rotation rule – will produce the
next IBP EVP who will automatically succeed to the
National Presidency for the next term. Our Code of
Professional Responsibility as well as the Lawyer's
Oath do not prohibit nor punish lawyers from aspiring
to be IBP National President and from doing perfectly
legal acts in accomplishing such goal (Velez v. De
Vera, A.C. No. 6697, July 25, 2006).
Q: When is the regular meeting of the Board?
A: The Board shall meet regularly once every three
months, on such date and at such time and place as it
shall designate. A majority of all the members of the
Board shall constitute a quorum to do business.
Special meetings may be called by the President or by
five members of the Board. (Sec. 6, Rule 139-A, RRC)
Note: Subject to the approval of the Supreme Court, the
Board shall adopt By-Laws and promulgate Canons of
Professional Responsibility for all members of the
Integrated Bar. The By-Laws and the Canons may be
amended by the Supreme Court motu proprio or upon the
recommendation of the Board of Governors.
The Board shall prescribe such other rules and regulations
as may be necessary and proper to carry out the purposes
of the Integrated Bar as well as the provisions of this Rule.
(Sec. 6, Rule 139-A, RRC)
Q: Who are the officers of the IBP? How are they
selected?
A: The Integrated Bar shall have a/an:
1. President
2. Executive Vice President who shall be chosen by
the Governors immediately after the latter’s
election; either from among themselves or from
other members of the Integrated Bar, by the vote
of at least five Governors. Each of the regional
members of the Board shall be ex officio Vice
President for the Region which he represents.
43
3. Secretary
4. Treasurer
5. Such other officers and employees as may be
required by the Board of Governors, to be
appointed by the President with the consent of
the Board, and to hold office at the pleasure of
the Board or for such term as it may fix. Said
officers and employees need not be members of
the Integrated Bar. (Sec. 7, Rule 139-A, RRC)
Q: What is the officers’ term of office?
A: The President and the Executive Vice President
shall hold office for a term of one year from the date
of their election and until their successors shall have
duly qualified. The Executive Vice President shall
automatically become the President for the next
succeeding full term. The Presidency shall rotate from
year to year among all the nine Regions in such order
of rotation as the Board of Governors shall prescribe.
No person shall be President or Executive Vice
President of the Integrated Bar for more than one
term. (Sec. 7, Rule 139-A, RRC)
Q: What are the basic qualifications for one who
wishes to be elected governor for a particular
region?
A:
1. He is a member in good standing of the IBP
2. He is included in the voters list of his chapter or
he is not disqualified by the Integration Rule, by
the By-Laws of the Integrated Bar, or by the By-
Laws of the Chapter to which he belongs
3. He does not belong to a chapter from which a
regional governor has already been elected,
unless the election is the start of a new season or
cycle
4. He is not in the government service. (In Re:
Petition to disqualify Atty. De Vera, A.C. No.
6052, Dec. 11, 2003)
Q: Is a candidate required to be morally fit in order
to be qualified to run as an officer?
A: There is nothing in the by-laws which explicitly
provides that one must be morally fit before he can
run for IBP governorship. For one, this is so because
the determination of moral fitness of a candidate lies
in the individual judgment of the members of the
House of Delegates. Indeed, based on each member’s
standard of morality, he is free to nominate and elect
any member, so long as the latter possesses the basic
requirements under the law. For another, basically
the disqualification of a candidate involving lack of
moral fitness should emanate from his disbarment or
suspension from the practice of law by the Court, or
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

conviction by final judgment of an offense which person:

involves moral turpitude. (Ibid.)
1. Distribution, except on election day, of election
campaign materials;
Q: In the event of vacancy, who performs the duties
of the President? 2. Distribution, on election day, of election
campaign materials other than a statement of
A: the bio data of the candidate on not more than
1. In the event the President is absent or unable to one page of a legal size sheet of paper; or causing
act, his duties shall be performed by the the distribution of such statement to be done by
Executive Vice President persons other than those authorized by the
2. In the event of the death, resignation, or removal officer presiding at the elections;
of the President, the Executive Vice President
3. Campaigning for or against any candidate, while
shall serve as Acting President during the
holding an elective, judicial, quasi-judicial or
remainder of the term of the office thus vacated
prosecutory office in the Government or any
3. In the event of the death, resignation, removal or
political subdivision, agency or instrumentality
disability of both the President and the Executive
thereof;
Vice President, the Board of Governors shall elect
an Acting President to hold office until the next 4. Formation of tickets, single slates, or
succeeding election or during the period of combinations of candidates as well as the
disability. (Sec. 8, Rule 139-A, RRC) advertising thereof; and
5. For the purpose of inducing or influencing a
Note: The filling of vacancies in the House of Delegates,
Board of Governors, and all other positions of Officers of member to withhold his vote, or to vote for or
the Integrated Bar shall be as provided in the By-Laws. against a candidate:
Whenever the term of an office or position is for a fixed a. Payment of the dues or other
period, the person chosen to fill a vacancy therein shall
indebtedness of any member;
serve only for the unexpired term. (Sec. 8, Rule 139-A, RRC)
b. Giving of food, drink, entertainment,
transportation or any article of value, or
Q: How is the mandate in Sec. 13 of Rule 139-A of
any similar consideration to any person;
the Rules of Court stating that the IBP is non-
c. Making a promise or causing an
politically manifested?
expenditure to be made, offered or
promise to any person. (Sec. 4, IBP By-
A: By strictly providing that every activity tending to
Laws; In the Matter of the Inquiry into
impair this basic feature is strictly prohibited and shall
the 1989 Elections of the Integrated Bar
be penalized accordingly. No lawyer holding an
of the Philippines, A.M. No. 491, Oct. 6,
elective, judicial, quasi-judicial or prosecutory office
1989)
in the Government or any political subdivision or
instrumentality thereof shall be eligible for election
Q: In the election of national officers of the IBP, the
or appointment to any position in the Integrated Bar
Supreme Court received reports of electioneering
or any Chapter thereof. A Delegate, Governor, officer
and extravagance that characterized the campaign
or employee of the Integrated Bar, or an officer or
conducted by the 3 candidates (Paculdo, Nisce and
employee of any Chapter thereof shall be considered
Mrs. Drilon) for President of the IBP. It is alleged
ipso facto resigned from his position as of the
that they used government planes, give free
moment he files his certificate of candidacy for any
accommodations to voters to expensive hotels and
elective public office or accepts appointment to any
there has been intervention of public officials to
judicial, quasi-judicial, or prosecutory office in the
influence the voting. Is there a violation of the IBP
Government or any political subdivision or
by-laws? Is there sufficient ground for the Supreme
instrumentality thereof. (Sec. 13, Rule 139-A, RRC)
Court to suspend the oath taking of the officials?
Q: What are the prohibited acts and practices
A: Yes. The candidates for the national positions in
relative to the elections of IBP officers?
the IBP conducted their campaign preparatory to the
election on June 3, 1989 in violation of Section 14 of
A: The following acts and practices relative to
the IBP by-laws and the Rules of Court, that the IBP
elections are prohibited, whether committed by a
shall be strictly non-political. Also the ethics of the
candidate for any elective office in the Integrated Bar
legal profession imposed on all lawyers has been
or by any other member, directly or indirectly, in any
violated corollary to their obligation to obey and
form or manner, by himself or through another

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 44
 DUTIES AND RESPONSIBILITIES OF A LAWYER
uphold the constitution and the laws, the duty to
promote respect for law and legal processes and to
abstain activities aimed at the defiance of the law or
at lessening confidence in the legal system. (In Re: IBP
Elections, B.M. 491, Oct. 6, 1989)
Q: May a delegate or governor or any national or
local officer of the IBP receive any compensation,
allowance or emolument from the funds of the
Integrated Bar?
A: No. Except as may be specifically authorized or
allowed by the Supreme Court, no Delegate or
Governor and no national or local Officer or
committee member shall receive any compensation,
allowance or emolument from the funds of the
Integrated Bar for any service rendered therein or be
entitled to reimbursement for any expense incurred
in the discharge of his functions. (Sec. 14, Rule 139-A,
RRC)
MEMBERSHIP AND DUES
Q: The Integrated Bar of the Philippines adopted a
resolution recommending to the Court the removal
of the name Marcial A. Edillon, a duly licensed
practicing attorney, from its Roll of Attorneys for
stubborn refusal to pay his membership dues to the
IBP since its constitution, notwithstanding due
notice. Is Edillon correct in his objection that the
Court is without power to compel him to become a
member of the IBP, hence, Sec. 1 of Rule 139-A of
the Rules of Court is unconstitutional for it impinges
on his constitutional right of freedom to associate
(and not to associate)?
A: No. To compel a member of the Integrated Bar is
not violative of his constitutional freedom to
associate. Integration does not make a lawyer a
member of any group of which he is not already a
member. He became a member of the Bar when he
passed the Bar Examinations. All that integration
actually does is to provide an official national
organization for the well-defined but unorganized
and incohesive group of which every lawyer is already
a member.
Assuming that the questioned provision does in a
sense compel a lawyer to be a member of the
Integrated Bar, such compulsion is justified as an
exercise of the police power of the State. (In the
Matter of IBP Membership Dues Delinquency of Atty.
Edillon, A.C. No. 1928, Dec. 19, 1980)
Note: Membership in the National IBP is integrated or
compulsory (Santos-Ong, 2009; Pineda, 1999).
45
A lawyer does not automatically become a member of the
IBP chapter where he resides or works after becoming a
full-fledged member of the Bar. He has the discretion to
choose the IBP Chapter he wants to join. (Garcia v. De Vera,
A.C. 6052, Dec. 11, 2003)
Unless he otherwise registers his preference for a particular
Chapter, a lawyer shall be considered a member of the
Chapter of the province, city, political subdivision or area
where his office is or, in the absence thereof, his residence
is located. In no case shall any lawyer be a member of more
than one Chapter. (Sec. 4, Rule 139-A, RRC)
Q: What is the procedure for voluntary termination
of membership in the IBP?
A: A member may terminate his membership by filing
a written notice to that effect with the Secretary of
the Integrated Bar, who shall immediately bring the
matter to the attention of the Supreme Court.
Forthwith he shall cease to be a member and his
name shall be stricken by the Court from the Roll of
Attorneys. (Sec.11, Rule 139-A, RRC)
Note: Re-instatement may be made by the Court in
accordance with rules and regulations prescribed by the
Board of Governors and approved by the Court. (Sec.11,
Rule 139-A, RRC)
Q: What is the rule on payment of membership
dues?
A: Every member of the Integrated Bar shall pay such
annual dues as the Board of Governors shall
determine with the approval of the Supreme Court. A
fixed sum equivalent to ten percent (10%) of the
collections from each Chapter shall be set aside as a
Welfare Fund for disabled members of the Chapter
and the compulsory heirs of deceased members
thereof. (Sec. 9, Rule 139-A, RRC)
Q: Who determines the amount of annual dues to
be paid by members?
A: Every member of the Integrated Bar shall pay such
annual dues as the Board of Governors shall
determine with the approval of the Supreme Court.
(Sec. 9, Rule 139-A, RRC)
Q: Is the provision requiring payment of a
membership fee void?
A: No. There is nothing in the Constitution that
prohibits the court, under its constitutional power
and duty to promulgate rules concerning the
admission to the practice of law and the integration
of the Philippine bar. It is quite apparent that the fee
is indeed imposed as a regulatory measure, designed
to raise funds for carrying out the purposes and
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
objectives of the integration. (In the Matter of IBP
Membership dues delinquency of Atty. Marcial
Edillon, A.M. No. 1928, Aug. 3, 1978)
Q: What is the effect of non-payment of IBP dues?
A: Default in the payment of annual dues for six
months shall warrant suspension of membership in
the Integrated Bar, and default in such payment for
one year shall be a ground for the removal of the
name of the delinquent member from the Roll of
Attorneys (Sec. 10, Rule 139-A, RRC) subject to the
requirement of due process. (Funa, 2009)
Q: Atty. Llamas, for a number of years, has not
indicated the proper PTR and IBP OR Nos. and data
in his pleadings. He only indicated “IBP Rizal
259060” but he has been using this for at least 3
years already. Atty. Llamas averred that he is only
engaged in a “limited” practice of law and under
R.A. 7432, as a senior citizen, he is exempted from
payment of income taxes and included in this
exemption, is the payment of membership dues. Is
Atty. Llamas correct?
A: Rule 139-A requires that every member of the
Integrated Bar shall pay annual dues and default
thereof shall warrant the appropriate penalties. It
does not matter whether or not Atty. Llamas is only
engaged in “limited” practice of law. Moreover, the
exemption invoked by Atty. Llamas does not include
exemption from payment of membership or
association dues. (Santos Jr. v. Atty. Llamas, A.C. No.
4749, Jan. 20, 2000)
Note: The exemption granted by R.A. 7432 to senior
citizens from paying individual income tax does not exempt
lawyers who are likewise senior citizens from paying IBP
dues and privilege tax. (Ibid) As regards dues, they are not
entitled to 20% discount. (Pineda, 1999)
Q: Atty. Arevalo sought exemption from payment of
IBP dues for the alleged unpaid accountability for
the years 1977-2005. He alleged that after being
admitted to the Philippine Bar in 1961, he became
part of the Philippine Civil Service then migrated to,
and worked in, the USA in December 1986 until his
retirement in the year 2003. He maintained that he
cannot be assessed IBP dues for the years that he
was working in the Philippine Civil Service since the
Civil Service law prohibits the practice of one’s
profession while in government service, and neither
can he be assessed for the years when he was
working in the USA. Is Atty. Arevalo entitled to
exemption from payment of his dues during the
time that he was inactive in the practice of law?
A: No. The Integration of the Philippine Bar means
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
the official unification of the entire lawyer
population. This requires membership and financial
support of every attorney as condition sine qua non
to the practice of law and the retention of his name
in the Roll of Attorneys of the Supreme Court.
Payment of dues is a necessary consequence of
membership in the IBP, of which no one is exempt.
This means that the compulsory nature of payment of
dues subsists for as long as one’s membership in the
IBP remains regardless of the lack of practice of, or
the type of practice, the member is engaged in. There
is nothing in the law or rules which allow exemption
from payment of membership dues. At most, as
correctly observed by the IBP, he could have
informed the Secretary of the Integrated Bar of his
intention to stay abroad before he left. In such case,
his membership in the IBP could have been
terminated and his obligation to pay dues could have
been discontinued. (Letter of Atty. Arevalo, Jr.
Requesting Exemption from Payment of Dues, B.M.
No. 1370, May 9, 2005)
UPHOLDING THE DIGNITY AND INTEGRITY
OF THE PROFESSION
Q: What are the academic requirements for
candidates for the bar?
A:
a. Pre-Law - Pursued and satisfactorily completed in
an authorized and recognized university or
college, requiring for admission thereto the
completion of a four-year high school course, the
course of study prescribed therein for a
bachelor's degree in arts or sciences (Sec. 6, Rule
138, Rules of Court)
b. Law proper - satisfactorily completed the
following courses in a law school or university
duly recognized by the government: civil law,
commercial law, remedial law, criminal law,
public and private international law, political law,
labor and social legislation, medical
jurisprudence, taxation and legal ethics. (Sec. 5,
rule 138, Rules of Court)
Rule 7.01, Canon 7, CPR
A lawyer shall be answerable for knowingly making
a false statement or suppressing a material fact in
connection with his application for admission to the
bar (1995, 1997, 2004, 2005 Bar Questions)
Note: The concealment of an attorney in his application to
take the bar exams of the fact that he had been charged
with or indicted for an alleged crime, is ground for
revocation of his license to practice law.
46
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: Is honest mistake a valid excuse?
A: An honest mistake in making false statement may
be a valid excuse but the burden of proof lies on the
one who alleges it.
On the other hand, to be liable for suppressing a fact
or information in the application, the suppression
must be:
1. Deliberately or knowingly made; and
2. The fact or information suppressed must be
material. (CPR Annotated, PhilJA)
Note: In order to determine whether or not a factual
declaration is material or not, reference should be made to
the requirements in applying for admission to the bar. (CPR
Annotated, PhilJA)
Q: What are the consequences of knowingly making
a false statement or suppression of a material fact in
the application for admission to the Bar?
A: Consequences of knowingly making a false
statement or suppression of a material fact in the
application for admission to the Bar:
1. If the false statement or suppression of material
fact is discovered before the candidate could
take the bar examinations, he will be denied
permission to take the examinations.
2. If the false statement or suppression of material
fact was discovered after the candidate had
passed the examinations but before having been
taken his oath, he will not be allowed to take his
oath as a lawyer.
3. If the discovery was made after the candidate
had taken his oath as a lawyer, his name will be
stricken from the Roll of Attorneys.
Q: What is the effect if what is concealed is a crime
NOT involving moral turpitude?
A: Concealment will be taken against him. It is the
fact of concealment and not the commission of the
crime itself that makes him morally unfit to become a
lawyer. When he made concealment he perpetrated
perjury.
Rule 7.02, Canon 7, CPR
A lawyer shall not support the application for
admission to the bar of any person known by him to
be unqualified in respect to character, education or
other relevant attribute.
Note: The rationale behind the rule goes beyond the
47
personal responsibility to be upright and honest. It further
extends to the lawyer’s responsibility to uphold the
integrity and dignity of the profession, by not blindly issuing
certifications in support of applications for admission to the
bar of persons known to him or her to have questionable
character, inadequate education or other relevant
attributes not consistent with any or all of the requirements
for admission. (CPR Annotated, PhilJA)
Public policy requires that the practice of law be limited to
those individuals found duly qualified in education and
character. The permissive right conferred on the lawyer is
an INDIVIDUAL AND LIMITED PRIVILEGE subject to
withdrawal if he fails to maintain proper standards of moral
and professional conduct.
Rule 7.03, Canon 7, CPR
A lawyer shall not engage in a conduct that
adversely reflects on his fitness to practice law, nor
shall he, whether in public or private life, behave in a
scandalous manner to the discredit of the legal
profession (2004 Bar Question)
Q: What constitutes fitness to practice law?
A: It is not to be determined only by the specific
qualifications for admission into the bar but
encompasses practically all aspects of a lawyer’s
public or private life that could actually or potentially
tarnish the integrity and dignity of the legal
profession. (CPR Annotated, PhilJA)
Q: Atty. Perenia got married in 2005. Then he met
another woman, Helen; they fell in love and started
living together. Atty. Perenia would even bring her
along social functions and introduce her as his
second wife. Is such act unethical?
A: Yes, it violates Rule 7.03 of CPR. The fact that he
shamelessly flaunts his mistress constitutes an act
which embarrasses and discredits the law profession
since it is his duty and obligation to uphold the dignity
and integrity of the profession. The actuation of Atty.
Perenia is contrary to good morals.
Note: While it has been held in disbarment cases that the
mere fact of sexual relations between two unmarried adults
is not sufficient to warrant administrative sanction for such
illicit behavior, it is not so with respect to betrayals of the
marital vow of fidelity. Even if not all forms of extra-marital
relations are punishable under penal law, sexual relations
outside marriage is considered disgraceful and immoral as
it manifests deliberate disregard of the sanctity of marriage
and the marital vows protected by the Constitution and
affirmed by our laws. (Vitug v. Roncal, A.C. No. 6313, Sept.
7, 2006)
Q: Atty. Kuripot was one of Town Bank’s valued
clients. In recognition of his loyalty to the bank, he
was issued a gold credit card with a credit limit of
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
P250,000.00. After two months, Atty. Kuripot
exceeded his credit limit, and refused to pay the
monthly charges as they fell due. Aside from a
collection suit, Town Bank also filed a disbarment
case against Atty. Kuripot. In his comment on the
disbarment case, Atty. Kuripot insisted that he did
not violate the Code of Professional Responsibility,
since his obligation to the bank was personal in
nature and had no relation to his being a lawyer. Is
Atty. Kuripot correct? Explain your answer.
A: Atty. Kuripot is not correct. Section 7.03 of the
Code of Professional Responsibility provides that “a
lawyer shall not engage in conduct that adversely
affects his fitness to practice law, nor shall he,
whether in public or private life, behave in a
scandalous manner to the discredit of the legal
profession.”
Q: Explain whether Atty. Kuripot should be held
administratively liable for his refusal to settle his
credit card bill. (2005 Bar Question)
A: He may not be held administratively liable. The
Supreme Court has held that it does not take original
jurisdiction of complaints for collection of debts. The
creditor’s course of action is civil, not administrative
in nature and proper reliefs may be obtained from
the regular courts (Litigio v. Dicon, A.M. No. MTJ-93-
806, July 13, 1995). Although lawyers have been held
administratively liable for obstinacy in evading
payment of a debt (Constantino v. Saludares, A.C. No.
2029, Dec. 7, 1993; Lao v. Medel, A.C. No. 5916, July
1, 2003), there is no obstinacy shown in this case.
COURTESY, FAIRNESS AND CANDOR TOWARDS
PROFESSIONAL COLLEAGUES
CANON 8, CPR
A LAWYER SHALL CONDUCT HIMSELF WITH
COURTESY, FAIRNESS AND CANDOR TOWARD HIS
PROFESSIONAL COLLEAGUES, AND SHALL AVOID
HARASSING TACTICS AGAINST OPPOSING COUNSEL
Lawyers, though they may represent different clients,
should bear in mind that they are not enemies but
brothers and sisters in their profession. (Antiquiera,
CPR, p. 34)
Q: Gretel’s residence in Makati Village was
foreclosed by Joli Bank. Armed with a writ of
possession issued by the lower court, the sheriff and
Joli Bank’s lawyers evicted Gretel and padlocked the
house. A restraining order issued by the Court of
Appeals which Gretel showed the sheriff was
disregarded. Gretel requested Hansel, an attorney
who lives in the same village, to assist her in
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
explaining the restraining order, since Gretel’s
counsel of record was out of town. The discussion
on the restraining order was conducted in the
sidewalk along Gretel’s house. The village security
guards were attracted by the commotion brought
about by the discussion, so they called the Makati
Police and the CAPCOM who responded
immediately. The CAPCOM colonel, who arrived at
the scene with his troop, took it upon himself to
open the house and declare Gretel as the rightful
possessor. The colonel invited Gretel and Hansel to
enter the house. Five days later, Hansel was made a
co-respondent (together with Gretel) in a complaint
for trespass to dwelling filed by the Joli Bank’s
lawyers before the Makati Fiscal’s Office.
Discuss the propriety of the act of Joli Bank’s
lawyers, considering that all lawyers are mandated
to conduct themselves with courtesy, fairness and
candor toward their professional colleagues and to
avoid harassing tactics against opposing counsel
(1989 Bar Question).
A: Considering that there was a restraining order
issued by the Court of Appeals, it was proper for
Gretel to take steps to maintain possession of his
residence with the assistance of Hansel as a lawyer. It
was not proper for Joli Bank’s lawyer to file an action
for trespass to dwelling against Gretel and lawyer
Hansel. Canon 8 of the CPR provides that a lawyer
shall conduct himself with fairness and candor
towards his professional colleagues and shall avoid
harassing tactics against opposing counsel.
Rule 8.01, Canon 8, CPR
A lawyer shall not, in his professional dealings, use
language which is abusive, offensive or otherwise
improper.
Q: Cite some instances of disrespectful language.
A:
1. Categorizes the SC decision as false, erroneous
and illegal (Suo v. Cloribel, A.M. No. 01-1-15-RTC,
July 10, 2003)
2. Description of judges attitude as “unjust, hostile,
vindictive and dangerous” (Cornejo v. Judge Tan,
G.R. No. L-2217, Mar. 23, 1950)
3. Stating that “justice is blind and also deaf and
dumb” (In Re: Almacen, G.R. No. L- 27654, Feb.
18, 1970)
4. Attributing to the SC acts of dismissing judges
“without rhyme and reason” and disbarring
lawyers “without due process” (Zaldivar v.
Gonzales, G.R. Nos. 79690-707, Feb. 1, 1989)
48
 DUTIES AND RESPONSIBILITIES OF A LAWYER
5. Calling an adverse counsel as “bobo” or using
the word “ay que bobo” in reference to the
manner of offering evidence. (Castillo v. Padilla
Jr., A.M. No. 2339, Feb. 1984); and
6. Any other analogous cases.
Note: The lawyer’s arguments, whether written or oral,
should be gracious to both the court and opposing counsel
and be of such words as may be properly addressed by one
gentleman to another. (National Security Co. v. Jarvis, 278
U.S. 610)
A lawyer’s language should be forceful but dignified,
emphatic but respectful as befitting an advocate and in
keeping with the dignity of the legal profession. (In Re:
Climaco, A.C. No. 134-J, Jan. 21, 1974).
Q: In the pleadings and motions filed by Tiongco, he
described Atty. Deguma as a love crazed Apache, a
horned spinster, man-hungry virago and female bull
of an Amazon who would stop at nothing to injure
defendant if only to please and attract her client.
Tiongco claims that she, as a lawyer in the Public
Attorney’s Office, is using the PAO as a marriage
bureau for her benefit. Is the language employed by
Tiongco improper and unethical?
A: Yes. The Code of Professional Responsibility
provides in Canon 8 that a lawyer shall conduct
himself with courtesy, fairness, and candor toward
his professional colleagues, and shall avoid harassing
tactics against opposing counsel. Rule 8.01 provides
that a lawyer shall not in his professional dealings,
use language which is abusive, offensive or otherwise
improper while Rule 11.03 provides that a lawyer
shall abstain from scandalous, offensive or menacing
language before the courts. Thus, Tiongco is warned
accordingly. (Tiongco Yared v. Ilarde, G.R. No. 114732,
Aug. 1, 2000)
Note: Lack of want of intention is no excuse for the
disrespectful language employed. Counsel cannot escape
responsibility by claiming that his words did not mean what
any reader must have understood them as meaning.
(Rheem of the Philippines v. Ferrer, G.R. No. L-22979, Jan.
27, 1967)
Although the Canon that the Rule implements pertains to a
lawyer’s dealings with his fellow lawyers, the Rule is
generally worded to apply to anyone in the wider context
of a lawyer’s professional dealings, including his or her
clients and witnesses. (CPR Annotated, PhilJA)
Rule 8.02, Canon 8, CPR
A lawyer shall not, directly or indirectly, encroach
upon the professional employment of another
lawyer; however, it is the right of any lawyer,
49
without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful
or neglectful counsel (1995, 1997, 2001, 2005, 2006
Bar Questions)
A person without a retained lawyer is a legitimate
prospective client for any lawyer whom he
approaches for legal services. But, as soon as he had
retained one and had not dismissed the retained
counsel, efforts on the part of another lawyer to take
him as client constitutes an act of encroaching upon
the employment of another lawyer.
A lawyer should not in any way communicate upon
the subject of controversy with a party represented
by counsel much less should he undertake to
negotiate or compromise the matter with him, but
should deal with his counsel.
Any act which is aimed to ease out a previous lawyer
with the intention to grab the case is highly unethical
and should be avoided. (Antiquiera, CPR, p. 35)
Exceptions:
1. A lawyer may properly interview any witness or
prospective witness or prospective witness for
the opposing side in any civil or criminal action
without the consent of opposing counsel or
party.
2. Any person who seeks relief against an unfaithful
or neglectful lawyer may approach another
lawyer for proper advice and assistance. Any
advice or assistance extended after proper
verification is not encroaching upon the business
of another lawyer for such act is justified under
the circumstances.
Q: Myrna, in a case for custody of children against
her husband, sought advice from Atty. Mendoza
whom she met at a party. She informed Atty.
Mendoza that her lawyer, Atty. Khan, has been
charging her exorbitant appearance fees when all he
does is move for postponements which have unduly
delayed the proceedings; and that recently, she
learned that Atty. Khan approached her husband
asking for a huge amount in exchange for the
withdrawal of her Motion for Issuance of Hold
Departure Order so that he and his children can
leave for abroad. Is it ethical for Atty. Mendoza to
advise Myrna to terminate the services of Atty. Khan
and hire him instead for a reasonable
attorney’s fees?
A: Such advice would be unethical. A lawyer shall
conduct himself with courtesy, fairness and candor
towards his professional colleagues (Canon 8, CPR).
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Specifically, he should not directly or indirectly
encroach upon the professional employment of
another lawyer (Rule 8.02, CPR).
Q: What should Atty. Mendoza do about the
information relayed to him by Myrna that Atty.
Khan approached her husband with an indecent
proposal? (2006 Bar Question)
A: He can advise her to terminate the services of Atty.
Khan and/or file an administrative case against Atty.
Khan. It is the right of any lawyer, without fear or
favor, to give proper advice and assistance to those
seeking relief against unfaithful or neglectful counsel
(Rule 8.02, CPR).
Q: You are the counsel of K in his action for specific
performance against DEV, Inc., a subdivision
developer which is represented by Atty. L. Your
client believes that the president of DEV Inc., would
be willing to consider an amicable settlement and
your client urges you to discuss the matter with DEV
Inc., without the presence of Atty. L whom he
consider to be an impediment to an early
compromise. Would it be alright for you to negotiate
the terms of the compromise as so suggested above
by your client? (1997 Bar Question)
A: No. Rule 8.02, Canon 8 of the Code of Professional
Responsibility provides that “a lawyer shall not,
directly or indirectly, encroach upon the professional
employment of another lawyer.” Canon 9 of the Code
of Professional Ethics is more particular. “A lawyer
should not in any way communicate upon the subject
of the controversy with a party represented by
counsel, much less should he undertake to negotiate
or compromise the matter with him but should deal
only with his counsel.” In the case of Likong v. Lim,
A.C. No. 3149, August 17, 1994, a lawyer was
suspended for negotiating a compromise agreement
directly with the adverse party without the presence
and participation of her counsels.
NO ASSISTANCE IN UNAUTHORIZED
PRACTICE OF LAW
CANON 9, CPR
A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY,
ASSIST IN THE UNAUTHORIZED PRACTICE OF LAW
(1992, 1995, 1997, 2000 Bar Questions)
Purpose: To protect the public, the court, the client and the
bar from the incompetence or dishonesty of those
unlicensed to practice law and not subject to the
disciplinary control of the court.
Note: Public policy requires that practice of law be limited
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
only to those individuals found duly qualified in education
and character. There is no violation of this canon if a lawyer
employs a paralegal graduate to assist him in the practice of
law since the job of a paralegal is limited to drafting of
documents, case management, etc. (Antiquiera, CPR, p. 37)
Q: Sanchez alleged that the complaint against him
and the supporting affidavits were subscribed and
sworn to before Tupas, the Clerk of Court, who is
not a member of the IBP and therefore engaged in
unauthorized practice of law. Is Tupas as Clerk of
Court authorized to administer oath?
A: The term "clerk of courts" in Section 41 of the
Administrative Code as amended is used as a general
term. The intention of the law is to authorize all
clerks of court regardless of whether they are clerks
of the MTCs, to administer oaths on matter involving
official business. As Clerk of Court of MCTC, Tupas has
the authority to administer oath of affidavits of
parties and witnesses which are to be filed in court.
(Sanchez v. Tupas, A.M. OCA IPI No. 03- 1687-P, Mar.
1, 2004)
Note: A lawyer is prohibited from allowing an intermediary
to intervene in the performance of his professional
obligation.
Rule 9.01, Canon 9, CPR
A lawyer shall not delegate to any unqualified
person the performance of any task which by law
may only be performed by a member of the bar in
good standing.
Rationale: The qualifications to be a lawyer is personal and
the Bar is an exclusive group of professionals who possess
the requisite qualifications and for whom defined functions
are reserved. To delegate the functions would violate the
rationale behind reserving defined functions exclusively for
those who are admitted to the bar.
Although the authority of a lawyer to represent a client
cannot be delegated to an unqualified person, it does not
follow however that the retained lawyer is automatically
authorized to make such delegation to a qualified person
because a client-lawyer relationship is personal. (CPR
Annotated, PhilJA)
Q: Lorenzo is a lawyer but is suspended in the
practice of law due to some unethical acts. He
worked for a law firm owned by one of his friends.
Since he has so many cases to handle, Atty.
Berenguer assigned a case to Lorenzo, believing he
can handle such easy case. Did Atty. Berenguer
violate any rule?
A: Yes, because he delegates handling of a case to a
person suspended from the practice of law. Under
50
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Rule 9.01 of CPR – A lawyer shall not delegate to any
unqualified person the performance of any task
which by law may only be performed by a member of
the bar in good standing.
Rule 9.02, Canon 9, CPR
A lawyer shall not divide or stipulate to divide a fee
for legal services with persons not licensed to
practice law.
Rationale: If attorney’s fees were allowed to non-lawyers, it
would leave the public in hopeless confusion as to whom to
consult in case of necessity and also to leave the bar in a
chaotic condition, aside from the fact that non-lawyers are
not amenable to disciplinary measures.
Note: The interest promoted by the prohibition is that the
independence of the professional judgment of a lawyer,
which the client is paying for, could be at risk if a non-
lawyer has direct rights to share in the legal fees resulting
from the exercise of such professional judgment. (CPR
Annotated, PhilJA)
Q: What are the exceptions to Rule 9.02?
A:
1. Where there is a pre-existing agreement with a
partner or associate that, upon the latter’s death,
money shall be paid over a reasonable period of
time to his estate to persons specified in the
agreement; (Rule 9.02, second par., Canon 9,
CPR) or
Note: This exception is in the nature of a bequest. It is
still in substance, payment to the deceased lawyer. His
estate and/or assignee could not claim entitlement to
the money in their own right but only by
representation. (CPR Annotated, PhilJA)
2. Where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer;
(Rule 9.02, third par., Canon 9, CPR) or
The estate or the heir cannot be made a member
of the partnership with the surviving partners.
The legal fees in this case, no longer represent
compensation for past services.
3. Where a lawyer or law firm includes a non-
lawyer employees in a retirement plan, even if
the plan is based in whole or in part, on a profit
sharing agreement. (Rule 9.02, fourth par., Canon
9, CPR)
Note: This is not a division of legal fees but a pension
representing deferred wages for the employees’
past services.
51
This exception is an implicit recognition of the
incontestable fact that lawyers need to, and in fact,
depend on non-lawyers for the administrative support
functions necessary to allow lawyers to discharge their
legal functions more efficiently. (CPR Annotated,
PhilJA)
Q: You had just taken your oath as lawyer. The
secretary to the president of a big university offered
to get you as the official notary public of the school.
She explained that a lot of students lose their
identification cards and are required to secure an
affidavit of loss before they can be issued a new
one. She claimed that this would be very lucrative
for you, as more than 30 students lose their
identification cards every month. However, the
secretary wants you to give her one-half of your
earning therefrom. Will you agree to the
arrangement? Explain. (2005 Bar Question)
A: No, I will not agree. Rule 9.02 of the Code of
Professional Responsibility provides that “a lawyer
shall not divide or stipulate to divide a fee for legal
service with persons not licensed to practice law”.
The secretary is not licensed to practice law and is not
entitled to a share of the fees for notarizing affidavits,
which is a legal service.
DUTIES AND RESPONSIBILITIES OF A
LAWYER TO THE COURTS
CANDOR, FAIRNESS AND GOOD FAITH
TOWARDS THE COURT
CANON 10, CPR
A LAWYER OWES CANDOR, FAIRNESS AND GOOD
FAITH TO THE COURT.
(1994 Bar Question)
Rationale: The burden cast on the judiciary would be
intolerable if it could not take at face value what is asserted
by counsel.
As officers of the court, lawyers have the primary obligation
towards the administration of justice. To mislead the court
is contumacious and clearly a ground for disciplinary action.
(Antiquiera, CPR, p. 39)
Q: Atty. Florido demanded that the custody of their
children be surrendered to him by showing his
spouse Hueysuwan-Florido a photocopy of an
alleged Resolution issued by the CA which
supposedly granted his motion for temporary child
custody. His spouse refused to surrender the
custody. Hence, Atty. Florido filed a verified petition
for the issuance of a writ of habeas corpus asserting
his right to custody of the children on the basis of
the alleged CA’s resolution. Hueysuwan obtained a
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
certification from the CA stating that no such
resolution had been issued. Hence, complainant
filed the instant complaint. May Atty. Florido be
held administratively liable for his reliance on and
attempt to enforce a spurious Resolution of the CA?
A: Yes. Atty. Florido’s actions erode the public
perception of the legal profession. Candor and
fairness are demanded of every lawyer. The burden
cast on the judiciary would be intolerable if it could
not take at face value what is asserted by counsel.
The time that will have to be devoted just to the task
of verification of allegations submitted could easily be
imagined. (Hueysuwan- Florido v. Atty. Florido, A.C.
No. 5624, Jan. 20, 2004)
Q: What are the requirements of candor?
A:
1. A lawyer shall not suppress material and vital
facts which bear on the merit or lack of merit of
complaint or petition.
2. A lawyer shall volunteer to the court any
development of the case which has rendered the
issue raised moot and academic.
3. Disclosure to the court of any decision adverse to
his position of which opposing counsel is
apparently ignorant and which court should
consider in deciding a case.
4. He shall not represent himself as a lawyer for a
client, appear in court and present pleadings in
the latter’s behalf only to claim later that he was
not authorized to do so.
Rule 10.01, Canon 10, CPR
A lawyer shall not do any falsehood, nor consent to
the doing of any in court; nor shall he mislead, or
allow the court to be misled by any artifice.
Note: A lawyer must be a disciple of truth. He should bear
in mind that as an officer of the court his high vocation is to
correctly inform the court upon the law and the facts of the
case and to aid it in doing justice and arriving at correct
conclusion.
The courts on the other hand are entitled to expect only
complete honesty from lawyers appearing and pleading
before them. While a lawyer has the solemn duty to defend
his client’s cause, his conduct must never be at the expense
of truth. (Young v. Batuegas, A.C. No. 5379, May 9, 2003)
Note: A lawyer owes fidelity to the cause of his client but
not at the expense of truth and the administration of
justice. (Garcia v. Francisco, Adm. Case no. 3923, Mar.
30,1993)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: Dr. Maligaya, a doctor and retired colonel of the
Air Force filed an action for damages against several
military officers for whom Atty. Doronilla stood as a
counsel. During the hearing of the case, Atty.
Doronilla says that he and Dr. Maligaya had an
agreement that if the opposing party withdraws the
case against him, Dr. Maligaya will also withdraw all
the cases. However, Dr. Maligaya swore that he
never entered into any agreement to withdraw his
lawsuits. Atty. Doronillo admitted that there was, in
fact, no such agreement. He pointed out that his
main concern was to settle the case amicably. Dr.
Maligaya filed a case against Atty. Doronilla charging
him of unethical conduct for having uttered
falsehood in court. Is Atty. Doronilla guilty as
charged?
A: Yes. Atty. Doronilla violated Canon 10 and Rule
10.01 of the CPR. Not only that, he also violated the
lawyer’s oath to do no falsehood, nor consent to the
doing of any in court, of which Canon 10 and Rule
10.01 are but restatements. His act infringed on every
lawyer’s duty to “never seek to mislead the judge or
any officer by an artifice or false statement of fact or
law”. (Maligaya v. Doronilla, A.C. No. 6198, Sept. 15,
2006)
Q: Is the lawyer’s act in presenting false evidence in
order that his client would win the case justifiable?
A: No, because it is a clear violation of Canon 10 and
Rule 10.01 of the CPR.
Note: Aside from violations of the CPR, the lawyer is also
guilty of a crime under Art. 184, Revised Penal Code,
which states, "Any person who shall knowingly offer in
evidence a false witness or testimony in any judicial or
official proceeding, shall be punished as guilty of false
testimony and shall suffer the respective penalties provided
in this section.”
Q: What are the some cases of falsehoods which
merited discipline?
A:
1. Lawyers falsely stating in a deed of sale that
property is free from all liens and encumbrances
when it is not so. (Sevilla v. Zoleta, A.C. No. 31,
Mar. 28, 1955)
2. Lawyers making it appear that a person, long
dead, executed a deed of sale, in his favor.
(Monterey v. Arayata, Per. Rec. Nos 3527, 3408,
Aug. 23, 1935)
3. Lawyer, encashing a check payable to a deceased
cousin by signing the latter’s name on the check.
(In re: Samaniego, A.C. No. 74, Nov. 20, 1959)
52
 DUTIES AND RESPONSIBILITIES OF A LAWYER
4. Lawyer falsifying a power of attorney and used it
in collecting the money due to the principal and
appropriating the money for his own benefit. (In
re: Rusina, A.C. No. 270, May 29, 1959)
5. Lawyer alleging in one pleading that his clients
were merely lessees of the property involved,
and alleged in a later pleading that the same
clients were the owners of the same property
where there are false allegations in the
pleadings. (Chavez v. Viola, GR No. 2152, Apr. 19,
1991)
6. Lawyer uttering falsehood in a Motion to
Dismiss. (Martin v. Moreno, A.C. No. 1432, May
21, 1984)
7. Lawyer denying having received the notice to file
brief which is belied by the return card.
(Ragasajo v. IAC, G.R. No. L-69129, Aug. 31,
1987)
8. Lawyer presenting falsified documents in court
which he knows to be false. (Berenguer v.
Carranza, A.C. No. 716, Jan. 30, 1969)
9. Lawyer filing false charges or groundless suits.
(Retuya v. Gorduiz, A.C. No. 1388, Mar. 28, 1980)
10. Making untruthful and false statements before
the court (Molina v. Magat, A.C. No. 1900, June
13, 2012)
Rule 10.02, Canon 10, CPR
A lawyer shall not knowingly misquote or
misrepresent the contents of the paper, the
language or the argument of opposing counsel, or
the text of a decision or authority, or knowingly cite
as law a provision already rendered inoperative by
repeal or amendment, or assert as a fact that which
has not been proved.
Rationale: If not faithfully and exactly quoted, the decisions
and rulings of the court may lose their proper and correct
meaning, to the detriment of other courts, lawyers and the
public who may thereby be misled.
Note: A mere TYPOGRAPHICAL ERROR in the citation of an
authority is not contemptuous.
Q: A lawyer filed a pleading in court citing a law
which was already repealed, since the new law is
not favorable to his client’s cause. Is he guilty of any
unethical act?
A: Yes, because he knowingly used the old law to
mislead the court, such act is unethical based on Rule
10.02 of the CPR.
53
Rule 10.03, Canon 10, CPR
A lawyer shall observe the rules of procedure and
shall not misuse them to defeat the ends of justice.
Note: Filing multiple actions constitutes an abuse of the
Court’s processes. Those who filed multiple or repetitive
actions subject themselves to disciplinary action for
incompetence or willful violation of their duties as
attorneys to act with all good fidelity to the courts, and to
maintain only such actions that appear to be just and
consistent with truth and honor. (Pablo R. Olivares etc. v.
Atty. Arsenio Villalon Jr., A.C. No. 6323, Apr. 13, 2007)
Q: When can a lawyer be subjected to disciplinary
actions after a pleading has been filed?
A: When a counsel deliberately:
1. Files an unsigned pleading in violation of the
rules;
2. Alleges scandalous matters therein;
3. Fails to promptly report to the court a change of
his address. (Sec. 3, Rule 7, Rules of Court).
Q: A lawyer habitually asks for the re-setting of the
case of his client for no apparent reason, in order for
the complainant to get frustrated and become
uninterested in the prosecution of the case. Is that
act considered unethical?
A: Yes, under Rule 10.03 of the CPR.
Note: A lawyer should not abuse his right of recourse to the
courts for the purpose of arguing a cause that had been
repeatedly rebuffed. Neither should he use his knowledge
of law as an instrument to harass a party nor to misuse
judicial processes, as the same constitutes serious
transgression of the Code of Professional Responsibility. For
while he owes fidelity to the cause of his client, it should
not be at the expense of truth and the administration of
justice. (Garcia v. Francisco, A.C. No. 3923, Mar. 30, 1993)
Rule 10.04, Canon 10, CPR
A lawyer shall, when filing a pleading, furnish the
opposing party with a copy thereof, together with
all the documents annexed thereto. Unless a motion
is ex parte, he should set it for hearing, with
sufficient notice to the other party.
The purpose of this rule is to avoid surprise and
delays in cases.
Q: What is the rule on notice in case of motion?
A: The motion which contains the notice of hearing
shall be served in such a manner as to ensure its
receipt by the other party at least three days before
the date of hearing, unless the court for good cause
sets the hearing on shorter notice (Sec. 4, Rule 15,
Rules of Court).
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
RESPECT FOR COURTS AND JUDICIAL OFFICERS
CANON 11, CPR
A LAWYER SHALL OBSERVE AND MAINTAIN THE
RESPECT DUE TO THE COURTS AND TO JUDICIAL
OFFICERS AND SHOULD INSIST ON SIMILAR
CONDUCT BY OTHERS.
(1996 Bar Question)
Rationale: Disrespect toward the court would necessarily
undermine the confidence of the people in the honesty and
integrity of the members of the court, and consequently to
lower or degrade the administration of justice by the court.
All lawyers are expected to recognize the authority of the
Supreme Court and obey its lawful processes and orders.
Despite errors which one may impute on the orders of the
Court, these must be respected, especially by the bar or the
lawyers who are themselves officers of the courts. (Yap-
Paras v. Atty. Paras, A.C. No. 4947, June 7, 2007)
In case of conflict between his duty to the court and his
duty to the society and his client, the other must yield since
it is his duty to the court that should take precedence.
Q: Can a lawyer criticize the courts?
A: Yes. The fact that a person is a lawyer does not
deprive him of the right, as enjoyed by every citizen,
to comment on and criticize the actuations of a judge
but it is the cardinal condition of all criticisms that it
shall be bona fide, and shall not spill over the walls of
decency and propriety. (Zaldivar v. Gonzales, G.R.
Nos. 79690-707, Feb. 1, 1989)
Note: What a lawyer can ordinarily say against a concluded
litigation and the manner the judge handed down the
decision therein may not generally be said to a pending
action. The court, in a pending litigation, must be shielded
from embarrassment and influence in performing the
important duty of deciding it. On the other hand, once
litigation is concluded, the judge who decided on it is
subject to the same criticism as any other public official
because then his ruling becomes public property and is
thrown open to public consumption.
Q: Attorney Paguia, asserts that the inhibition of the
members of the Supreme Court from hearing the
petition is called for under the Code of Judicial
Conduct prohibiting justices or judges from
participating in any partisan political activity.
According to him, the justices have violated the said
rule by attending the 'EDSA 2 Rally' and by
authorizing the assumption of Vice- President
Macapagal-Arroyo to the Presidency. The
subsequent decision of the Court in Estrada v.
Arroyo (G.R. Nos. 146710-15, Mar. 2, 2001 and G.R.
Nos. 146710-15, Apr. 3, 2001) is a patent mockery of
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
justice and due process. He went on to state that —
the act of the public officer, if lawful, is the act of
the public office. But the act of the public officer, if
unlawful, is not the act of the public office.
Consequently, the act of the justices, if lawful, is the
act of the Supreme Court. But the act of the justices,
if unlawful, is not the act of the Supreme Court. It is
submitted that the decision in Estrada v. Arroyo
being patently unlawful in view of the Code of
Judicial Conduct, is not the act of the Supreme Court
but is merely the wrong of those individual Justices
who falsely spoke and acted in the name of the
Supreme Court (Urbano v. Chavez, G.R. No. 87977,
Mar. 19, 1990). Are Atty. Paguia’s comments within
the bounds of “fair and well-founded criticisms”
regarding decisions of the SC?
A: No. Criticism or comment made in good faith on
the correctness or wrongness, soundness or
unsoundness, of a decision of the Court would be
welcome for, if well-founded, and such reaction can
enlighten the court and contribute to the correction
of an error if committed. (In re: Sotto, 82 Phil. 595.)
The ruling in Estrada v. Arroyo, being a final
judgment, has long put to end any question
pertaining to the legality of the ascension of Arroyo
into the presidency. By reviving the issue on the
validity of the assumption of Gloria Macapagal-
Arroyo to the presidency, Attorney Paguia is vainly
seeking to breathe life into the carcass of a long dead
issue. Attorney Paguia has not limited his discussions
to the merits of his client's case within the judicial
forum; indeed, he has repeated his assault on the
Court in both broadcast and print media.
The Supreme Court does not claim infallibility; it will
not denounce criticism made by anyone against the
Court for, if well-founded, can truly have constructive
effects in the task of the Court, but it will not
countenance any wrongdoing nor allow the erosion
of our people’s faith in the judicial system, let alone,
by those who have been privileged by it to practice
law in the Philippines. Canon 11 of the Code of
Professional Responsibility mandates that the lawyer
should observe and maintain the respect due to the
courts and judicial officers and, indeed, should insist
on similar conduct by others. In liberally imputing
sinister and devious motives and questioning the
impartiality, integrity, and authority of the members
of the Court, Atty. Paguia has only succeeded in
seeking to impede, obstruct and pervert the
dispensation of justice. (Estrada v. Sandiganbayan,
G.R. Nos. 159486-88, Nov. 25, 2003)
Q: Members of the faculty of the UP College of Law
published a statement on the allegations of
54
 DUTIES AND RESPONSIBILITIES OF A LAWYER
plagiarism and misrepresentation relative to the
Court’s decision in Vinuya v. Executive Secretary.
The authors directly accused the Court of
perpetrating extraordinary injustice by dismissing
the petition of the comfort women said case. The
insult to the members of the Court was aggravated
by imputations of deliberately delaying the
resolution of the said case, its dismissal on the basis
of “polluted sources,” the Court’s alleged
indifference to the cause of petitioners, as well as
the supposed alarming lack of concern of the
members of the Court for even the most basic values
of decency and respect.
A: While most agree that the right to criticize the
judiciary is critical to maintaining a free and
democratic society, there is also a general consensus
that healthy criticism only goes so far. Many types of
criticism leveled at the judiciary cross the line to
become harmful and irresponsible attacks. These
potentially devastating attacks and unjust criticism
can threaten the independence of the judiciary. The
court must “insist on being permitted to proceed to
the disposition of its business in an orderly manner,
free from outside interference obstructive of its
functions and tending to embarrass the
administration of justice.”
The Court could hardly perceive any reasonable
purpose for the faculty’s less than objective
comments except to discredit the April 28, 2010
Decision in the Vinuya case and undermine the
Court’s honesty, integrity and competence in
addressing the motion for its reconsideration. As if
the case on the comfort women’s claims is not
controversial enough, the UP Law Faculty would fan
the flames and invite resentment against a resolution
that would not reverse the said decision. This runs
contrary to their obligation as law professors and
officers of the Court to be the first to uphold the
dignity and authority of this Court, to which they owe
fidelity according to the oath they have taken as
attorneys, and not to promote distrust in the
administration of justice. Their actions likewise
constitute violations of Canons 10, 11, and 13 and
Rules 1.02 and 11.05 of the Code of Professional
Responsibility. (Re: Letter of the UP Law
Faculty entitled “Restoring Integrity: A Statement by
the Faculty of the University of the Philippines College
of Law on the Allegations of Plagiarism and
Misrepresentation in the Supreme Court.”(A.M. No.
10-10-4-SC, Oct. 19, 2010)
Q: The Court En Banc issued a Resolution directing
respondent Atty. De Vera to explain why he should
not be cited for indirect contempt of court for
uttering some allegedly contemptuous statements
55
in relation to the case involving the constitutionality
of the Plunder Law which was then pending. Atty.
De Vera admitted the report in the November 6,
2002 issue of the Philippine Daily Inquirer that he
“suggested that the Court must take steps to dispel
once and for all these ugly rumors and reports” that
“the Court would vote in favor of or against the
validity of the Plunder Law” to protect the credibility
of the Court. Is the statement of Atty. De Vera
disrespectful to the courts?
A: Yes. Indeed, freedom of speech includes the right
to know and discuss judicial proceedings, but such
right does not cover statements aimed at
undermining the Court’s integrity and authority, and
interfering with the administration of justice.
Freedom of speech is not absolute, and must
occasionally be balanced with the requirements of
equally important public interests, such as the
maintenance of the integrity of the courts and orderly
functioning of the administration of justice.
Thus, the making of contemptuous statements
directed against the Court is not an exercise of free
speech; rather, it is an abuse of such right.
Unwarranted attacks on the dignity of the courts
cannot be disguised as free speech, for the exercise
of said right cannot be used to impair the
independence and efficiency of courts or public
respect therefore and confidence therein. (In Re:
Published Alleged Threats by Atty. Leonard de Vera,
A.M. No. 01-12-03-SC, July 29, 2002)
Rule 11.01, Canon 11, CPR
A lawyer shall appear in court properly attired.
As an officer of the court and in order to maintain the
dignity and respectability of the legal profession, a
lawyer who appears in court must be properly
attired. Consequently, the court can hold a lawyer in
contempt of court if he does not appear in proper
attire. Any deviation from the commonly accepted
norm of dressing in court (barong or tie, not both) is
enough to warrant a citing for contempt.
The traditional attires for male lawyers in the
Philippines are the long-sleeve Barong Tagalog or
coat and tie. Female lawyers appear in semi-formal
attires. Judges also appear in the same attire in
addition to black robes.
Rule 11.02, Canon 11, CPR
A lawyer shall punctually appear at court hearings.
Note: Punctuality is demanded by the respect which a
lawyer owes to the court, the opposing counsel and to all
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
the parties to the case. (Funa, 2009) duty from a lawyer to a judge. A judge should also be
courteous to counsel, especially those who are young and
Rule 11.03, Canon 11, CPR inexperienced and to all those appearing or concerned in
the administration of justice.
A lawyer shall abstain from scandalous, offensive, or
menacing language or behavior before the Courts.
Q: An administrative case and disbarment
proceeding was filed against MDS, a Lady Senator
Q: After the parties had filed their respective briefs
for uttering in her privilege speech delivered in the
with the Court of Appeals and before the latter's
Senate floor where she was quoted as saying that
resolution submitting the case for decision was
she wanted “to spit on the face of Chief Justice and
released, respondent lawyers, Atty. Depasucat, and
his cohorts in the Supreme Court,” and calling the
others filed a pleading "Manifestation of Usurpation
Court a “Supreme Court of idiots.” She alleged that
of Authority of the Hon. Court of Appeals from a
it was considered as part of her Parliamentary
Self-Confessed Briber of Judges", which stated that
immunity as such was done during the session. Is
plaintiff-appellant Uy had, in fact, confessed to
she correct?
bribing judges. Consequently, Uy filed a verified
complaint against respondent lawyers for gross
A: Yes, because her statements, being part of her
misconduct. Should the respondents be disciplined
privilege speech as a member of Congress, were
for having authored and filed the “Manifestation of
covered by the constitutional provision on
Usurpation of Authority of the Hon. Court of
parliamentary immunity. Indeed, her privilege speech
Appeals from a Self-Confessed Briber of Judges”?
is not actionable criminally or in a disciplinary
proceeding under the Rules of Court. However, as a
A: Yes. Respondents went overboard by stating in the
member of the Bar, the Court wishes to express its
Manifestation that complainant "had in fact
deep concern about the language Senator MDS used
confessed to bribery and telling one of the judges,
in her speech and its effect on the administration of
after the judges allegedly refused to give in to their
justice. To the Court, the lady senator has
demands, by using illegally taped conversations-both
undoubtedly crossed the limits of decency and good
actual and/or by telephone". It belied their good
professional conduct. It is at once apparent that her
intention and exceeded the bounds of propriety,
statements in question were intemperate and highly
hence, not arguably protected; it is the surfacing of a
improper in substance. MDS should have taken to
feeling of contempt towards a litigant; it offends the
heart in the first place the ensuing passage in In Re:
court before which it is made. A lawyer shall abstain
Vicente Sotto that “x x x [I]f the people lose their
from scandalous, offensive or menacing language or
confidence in the honesty and integrity of this Court
behavior before the courts. It must be remembered
and believe that they cannot expect justice
that the language vehicle does not run short of
therefrom, they might be driven to take the law into
expressions which are emphatic but respectful,
their own hands, and disorder and perhaps chaos
convincing but not derogatory, illuminating but not
would be the result.”
offensive. It has been said that a lawyer's language
should be dignified in keeping with the dignity of the No lawyer who has taken an oath to maintain the
legal profession. It is the duty of Atty. Depasucat et al. respect due to the courts should be allowed to erode
as members of the Bar to abstain from all offensive the people’s faith in the judiciary. In this case, the
personality and to advance no fact prejudicial to the lady senator clearly violated Canon 8, Rule 8.01 and
honor or reputation of a party or witness, unless Canon 11 of the Code of Professional Responsibility.
required by the justice of the cause with which he is (Pobre v. Senator Santiago, A.C. No. 7399, Aug. 25,
charged. (Uy v. Depasucat, A.C. No. 5332, July 29, 2009)
2003)
Note: The lawyer’s duty to render respectful subordination
Note: The language of a lawyer, both oral and written, must to the courts is essential to the orderly administration of
be respectful and restrained in keeping with the dignity of justice. Hence, in the assertion of the client’s rights,
the legal profession and with his behavioral attitude toward lawyers – even those gifted with superior intellect, are
his brethren in the profession. The use of abusive language enjoined to rein up their tempers. (Zaldivar v. Gonzalez,
by counsel against the opposing counsel constitutes at the G.R. Nos. 79690-707, Oct. 7, 1988)
same time disrespect to the dignity of the court justice.
Moreover, the use of impassioned language in pleadings, Rule 11.04, Canon 11, CPR
more often than not, creates more heat than light. A lawyer shall not attribute to a Judge motives not
(Buenaseda v. Flavier, G.R. No. 106719, Sept. 21, 1993)
supported by the record or have no materiality to
The duty to observe and maintain respect is not a one-way the case.

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 56
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Every citizen has the right to comment upon and
criticize the actuations of public officers. This right is
not dismissed by the fact that the criticism is aimed at
a judicial authority, or that it is articulated by a
lawyer.
Such right is especially recognized where the criticism
concerns a concluded litigation, because the Court’s
actuations are thrown open to public consumption.
Courts thus treat with forbearance and restraint a
lawyer who vigorously assails their actuations for
courageous and fearless advocates are the strands
that weave durability into the tapestry of justice.
Post litigation utterances or publications made by
lawyers, critical of the courts and their judicial
actuations, whether amounting to a crime or not,
which transcend the permissible bounds of fair
comment and legitimate criticism and thereby tend to
bring them into dispute or to subvert public
confidence in their integrity and in the orderly
administration of justice, constitute grave
professional misconduct which may be visited with
disbarment or other lesser appropriate disciplinary
sanctions by the SC in the exercise of the prerogatives
inherent in it as the duly constituted guardian of the
morals and ethics of the legal fraternity. (In Re:
Almacen, G.R. No. L-27654, Feb. 18, 1970)
Q: Atty. Romeo Roxas was charged for contempt
when he, in a letter addressed to Associate Justice
Chico-Nazario, stated that Justice Nazario decided
the cases in favor of Zuzuarregui, ordering Attys.
Roxas and Pastor to pay the former P17,073,224.84
on considerations other than the pure merits of the
case and called the SC a “dispenser of injustice." He
ended his letter by mocking her when he said “sleep
well if you still can” and that “her earthly life will
be judged by the Supreme Dispenser of Justice
where only the merits of your Honor’s life will be
relevant and material and where technicalities can
shield no one from his or her wrongdoings." In the
written explanation of Atty. Roxas, he extended
apologies to Justice Nazario. He said he was merely
exercising his rights to express a legitimate
grievance or articulate fair criticisms of the court’s
ruling. Moreover, according to him, instead of
resorting to public criticisms, he chose to ventilate
his criticisms in a very discreet and private manner
by writing a personal letter. Should Atty. Roxas be
punished for the contents of his letter?
A: Yes. Atty. Roxas’ letter contains defamatory
statements that impaired public confidence in the
integrity of the Judiciary. The making of
contemptuous statements directed against the court
is not an exercise of free speech; rather, it is an abuse
57
of such right.
A letter furnished to all the members of the SC, even
if a copy was not disseminated to the media, does not
enjoy the mantle of right to privacy. Letters
addressed to the individual justices in connection
with the performance of their judicial functions
become part of the judicial record and are matter of
concern for the entire court.
Atty. Roxas is guilty of indirect contempt of court for
an improper conduct tending, directly and indirectly,
to impede, obstruct or degrade the administration of
justice; and with his contemptuous and defamatory
statements, Atty. Roxas likewise violated Canon 11 of
the CPR particularly Rules 11.03 and 11.04. (Roxas v.
Zuzuarregui, et al., G.R. No. 152072, July 12, 2007)
Q: When is public comment and criticism of a court
decision permissible and when would it be
improper? (1997 Bar Question)
A: A lawyer, like every citizen, enjoys the right to
comment on and criticize the decision of a court. As
an officer of the court, a lawyer is expected not only
to exercise that right but also to consider it his duty
to expose the shortcomings and indiscretions of
courts and judges. But such right is subject to the
limitations that it shall be bona fide. It is proper to
criticize the courts and judges, but it is improper to
subject them to abuse and slander, degrade them or
destroy public confidence in them. Moreover, a
lawyer shall not attribute to a judge motives not
supported by the record or have no materiality in the
case. (Rule 11.04, CPR)
Note: A lawyer should be reminded of his primary duty to
assist the court in the administration of justice. The
relations between counsel and judge should be based on
mutual respect and on a deep appreciation by one of the
duties of the other. It is upon their cordial relationship and
mutual cooperation that the hope of our people for speedy
and efficient justice rests. (Abiera v. Maceda, A.C. No. RTJ-
91-660, June 30, 1994)
If the court official or employee or a lawyer is to be
disciplined, the evidence against him should be substantial,
competent and derived from direct knowledge, not on
mere allegations, conjectures, suppositions or on the basis
of hearsay. (Cervantes v. Atty. Sabio, A.C. No. 7828, Aug. 11,
2008)
Rule 11.05, Canon 11, CPR
A lawyer shall submit grievances against a Judge to
the proper authorities only.
Q: Who are considered as the proper authorities?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
A:
NATURE OF THE CASE WHERE TO FILE
If administrative in It shall be filed with the
nature Office of the Court
Administrator of the
Supreme Court.
If criminal and not purely It shall be filed with the
administrative Office of the
Ombudsman.
If it involves a Justice of It must be coursed
the Supreme Court through the House of
based on impeachable Representative and the
offenses Senate in accordance
with the rules on
impeachment.
Source: (CPR Annotated, PhilJA)
Note: An administrative complaint is not an appropriate
remedy where judicial recourse is still available, such as a
motion for reconsideration, an appeal, or a petition for
certiorari, unless the assailed order or decision is tainted
with fraud, malice, or dishonesty. (Santiago III v. Justice
Enriquez, Jr., A.M. No. CA-09-47-J, Feb. 13, 2009)
Q: What are the rights and duties of a lawyer to
criticize Courts?
A:
1. The fact that a person is a lawyer does not
deprive him of the rights, enjoyed by every
citizen, to comment on and criticize the
actuations of a judge subject to ethical standard.
2. The court, in a pending litigation; must be
shielded from embarrassment or influence in its
all-important duty of deciding the case. Once
litigation is concluded, the judge who decided it
is subject to the same criticisms as any other
public official because his ruling becomes public
property and is thrown open to public
consumption.
3. It is the cardinal condition of all such criticism
that it shall be bona fide, and shall not spill over
the walls of decency and propriety (Zaldivar v.
Gonzales, G.R. Nos. 79690-707, Apr. 7, 1993).
4. The duty of the bar to support the judge against
unjust criticism and clamor does not, however,
preclude a lawyer from filing administrative
complaints against erring judges or from acting
as counsel for clients who have legitimate
grievances against them. But the lawyer should
file charges against the judge before the proper
authorities only and only after the proper
circumspection and without the use of
disrespectful language and offensive
personalities so as not to unduly burden the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
court in the discharge of its function.
ASSISTANCE IN THE SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE
CANON 12, CPR
A LAWYER SHALL EXERT EFFORT AND CONSIDER IT
HIS DUTY TO ASSIST IN THE SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE.
(1991, 1994, 1996, 2003 Bar Questions)
The filing of another action concerning the same
subject matter, in violation of the doctrine of res
judicata, runs contrary to this Canon. (Lim v.
Montano, A.C. No. 5653, Feb. 27, 2006).
A lawyer must exert every effort and consider it his
duty to assist in the speedy and efficient
administration of justice.
A lawyer is bound by his oath to serve his client with
utmost zeal and dedication and shall conduct himself
according to the best of his knowledge and
discretion. (Antiquiera, CPR, p. 50)
Q: Jardin engaged the services of Atty. Villar Jr. to
represent him in a collection case. The case went its
course, but later despite several extensions of time
given by the trial court, Atty. Villar Jr. failed to file
his formal offer of exhibits. The dismissal of the
collection case prompted Jardin to file a verified
affidavit-complaint for the disbarment of Atty. Villar
Jr. with the Court, wherein he alleged that after the
dismissal of the collection case, he terminated the
services of Atty. Villar Jr. as his counsel; that Atty.
Villar Jr. failed to return the originals of the
documentary exhibits entrusted to him; and that
Atty. Villar Jr. finally handed over the documents
only as an aftermath of a heated argument he had
with the Jardin's wife. Was Atty. Villar Jr. remiss in
his duties as counsel when he failed to file his formal
offer of exhibit?
A: Yes. The record clearly shows that Atty. Villar Jr.
has been languid in the performance of his duties as
counsel for the complainant. He was given by the
Trial Court several extensions of time. Therefore,
Atty. Villar Jr. had three (3) months and nine (9) days
within which to file the formal offer of exhibits. Atty.
Villar Jr. did not bother to give an explanation even in
mitigation or extenuation of his inaction.
Evidently, Atty. Villar Jr. has fallen short of the
competence and diligence required of every member
of the Bar. It is indeed dismaying to note Atty. Villar
Jr.’s patent violation of his duty as a lawyer. He
58
 DUTIES AND RESPONSIBILITIES OF A LAWYER
committed a serious transgression when he failed to
exert his utmost learning and ability and to give
entire devotion to his client's cause. His client had
relied on him to file the formal offer of exhibits
among other things. But he failed him. Resulting as it
did in the dismissal of the case, his failure constitutes
inexcusable default. (Jardin v. Atty. Villar, Jr., A.C. No.
5474, Aug. 28, 2003)
Q: Judgment was rendered against Eternal Gardens
ordering it to reconvey the cemetery to the rightful
owners. Despite the final decision of the SC, Eternal
Gardens was able to prevent the execution for 17
years, rendering the judgment ineffectual. They filed
several petitions and motions for reconsideration
with the trial court and the CA despite the fact that
it would never prosper as the trial court’s decision
had long become final before the said petitions were
filed. Did the lawyers violate Canon 12 of the CPR?
A: While lawyers owe their entire devotion to the
interest of the client and zeal in the defense of their
client’s right, they are also officers of the court, bound
to exert every effort to assist in the speedy and
efficient administration of justice. They should not
misuse the rules of procedure to defeat the ends of
justice or unduly delay a case, impede the execution
of a judgment or misuse court processes. The facts
and the law should advise them that a case such as
this should not be permitted to be filed to merely
clutter the already congested judicial dockets. They
do not advance the cause of law or their clients by
commencing litigations that for sheer lack of merit do
not deserve the attention of the courts. (Eternal
Gardens Memorial Park Corporation v. CA, G.R. No.
123698, Aug. 5, 1998)
Q: What are acts which amount to obstruction of
justice?
A: Instructing a complaining witness not to appear at
trial; asking a client to plead guilty to a crime he did
not commit; advising a client to escape from prison;
employing dilatory tactics; prosecuting clearly
frivolous cases or appeals; filing multiple actions.
Rule 12.01, Canon 12, CPR
A lawyer shall not appear for trial unless he has
adequately prepared himself on the law and the
facts of his case, the evidence he will adduce and the
order of its profference. He should also be ready
with the original documents for comparison with the
copies.
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint
59
himself with all the antecedent processes and
proceedings that have transpired in the record prior
to his takeover. (Villasis v. CA, G.R. Nos. L- 36874-76,
Sept. 30, 1974)
Rule 12.02, Canon 12, CPR
A lawyer shall not file multiple actions arising from
the same cause. (1991, 1997, 1998, 2002 Bar
Questions)
Q: What is forum-shopping?
A: It is the improper practice of filing several actions
or petitions in the same or different tribunals arising
from the same cause and seeking substantially
identical reliefs in the hope of winning in one of
them. It is the omission to disclose pendency of
appeal or prior dismissal of his case by a court of
concurrent jurisdiction with intent of seeking a
favorable opinion.
The prohibition includes the filing of petitions for
writs of certiorari, mandamus and prohibition when
there are similar petitions already filed or pending.
(CPR Annotated, PhilJA)
Note: The mere filing of several cases based on the same
incident does not necessarily constitute forum shopping.
The question is whether the several actions filed involve the
same transactions, essential facts and circumstances. If
they involve essentially different facts, circumstances and
causes of action, there is no forum shopping. (Paredes v.
Sandiganbayan, G.R. No. 108251, January 31, 1996)
The essence of forum shopping is the filing of multiple suits
involving the same parties for the same cause of action,
either simultaneously or successively, for the purpose of
obtaining a favorable judgment. (Foronda v. Atty. Guerrero,
A.C. No. 5469, Aug. 10, 2004)
Q: How is forum shopping committed?
A:
1. Going from one court to another in the hope of
securing a favorable relief in one court, which
another court has denied;
2. Filing repetitious suits and proceedings in
different courts concerning the same subject
matter after one court has decided the suit with
finality; or
3. Filing a similar case in a judicial court after
receiving an unfavorable judgment from an
administrative tribunal
Q: Who signs the forum shopping certification?
A: GR: The party himself as he has personal
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
knowledge of the facts therein stated.
XPN: Counsel, when clothed with a special power
of attorney to do so. (The lawyer shall certify that
he has personal knowledge of the facts therein
stated and shall give justifiable reason or
explanation why the party himself cannot sign the
same).
Note: In case of a juridical person, its lawyer, authorized
through a board resolution, must sign the certification.
Should there be more than one plaintiff or petitioner, all of
them must execute the certification and verification.
Unless, it is a suit involving conjugal property, in such a
case, the husband alone may execute the same.
Q: The trial court declared Paxton Development
Corporation (PDC) the lawful owner of the subject
lots. CA affirmed. Top Rate, as the losing party,
sought to have the said resolution set aside and
thereafter filed with the Supreme Court a motion for
extension of time to file a petition for review from
the adverse CA decision and resolution. The motion
contained a "verification/ certification" under oath
as to non-forum shopping, without mentioning the
pending manifestation and motion with the CA,
which was notarized by Atty. Manlangit. Both Atty.
Manlangit and Atty. Gana knew the relevant case
status after having invariably acted as counsel of
Top Rate before the trial court, the Court of Appeals
and the Supreme Court.
Top Rate then filed a series of motions with the SC,
all of which failed to state that Top Rate still has a
pending manifestation and motion with the CA. It
was only when it withdrew its Petition for Review
on Certiorari that Top Rate bared before the SC the
existence of the said manifestation and motion
pending with the CA. Should Top Rate and its
counsel be found guilty of forum shopping?
A: Yes. Although Top Rate as principal party executed
the several certifications of non-forum shopping,
Atty. Gana and Atty. Manlangit cannot deny
responsibility therefore since Atty. Manlangit
notarized the certifications and both of them
definitely knew the relevant case status after having
invariably acted as counsel of Top Rate before the
trial court, the Court of Appeals and the Supreme
Court. Attys. Gana and Manlangit of the Gana and
Manlangit Law Office, counsel of record of Top Rate,
are administratively liable for grotesque violations of
the Code of Professional Responsibility.
Forum shopping is committed by a party who
institutes two or more suits in different courts, either
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
simultaneously or successively, in order to ask the
courts to rule on the same or related causes or to
grant the same or substantially the same relief, on
the supposition that one or the other court would
make a favorable disposition or increase a party's
chances of obtaining a favorable decision or action. It
is an act of malpractice for it trifles with the courts,
abuses their processes, degrades the administration
of justice and adds to the already congested court
dockets. What is critical is the vexation brought upon
the courts and the litigants by a party who asks
different courts to rule on the same or related causes
and grant the same or substantially the same relief
and in the process creates the possibility of
conflicting decisions being rendered by different
forums upon the same issues, regardless of whether
the court, in which one of the suits was brought, has
no jurisdiction over the action. (Top Rate Construction
and General Services v. Paxton Devt. Corp., G.R. No.
151081, Sept. 11, 2003)
Note: The principle of non-forum shopping applies not only
with respect to suits filed in courts but also in connection
with litigations commenced in courts while an
administrative proceeding is pending, in order to defeat
administrative processes and in anticipation of an
unfavorable court ruling.
Q: What are the possible consequences of forum
shopping? (1998 Bar Question)
A:
1. Summary dismissal without prejudice unless
there is a willful or deliberate forum-shopping
(Sec. 5, Rule 7, Rules of Court)
2. Penalty for direct contempt of court on the party
and his lawyer in case of willful and deliberate
forum-shopping (Sec. 5, Rule 7, Rules of Court)
3. Criminal action for a false certification of non-
forum shopping and indirect contempt
4. Disciplinary proceedings for the lawyer
concerned. (Sec. 5, Rule 7, 1997 Rules of Civil
Procedure)
Q: Give five (5) instances of forum-shopping (2002
Bar Question)
A:
1. When, as a result of an adverse opinion in one
forum, a party seeks a favorable opinion (other
than by appeal or certiorari) in another
2. When he institutes two or more actions or
proceedings grounded on the same cause, on the
gamble that one or the other court would make a
favorable disposition (Benguet Electric
60
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Cooperative, Inc. v. NEA, G.R. No. 93924, Jan. 23,
1991)
3. Filing a second suit in a court without jurisdiction
(New Pangasinan Review, Inc. v. NLRC, G.R. No.
85939, Apr. 19, 1991)
4. Filing an action in court while the same cause of
action is still pending in an administrative
proceeding (Earth Minerals Exploration, Inc. v.
Macaraig, G.R. No. 78569, Feb. 11, 1991)
5. When counsel omits to disclose the pendency of
an appeal, in filing a certiorari case (Collado v.
Hernando, G.R. No.L- 43866, May 30, 1988).
Rule 12.03, Canon 12, CPR
A lawyer shall not, after obtaining extensions of
time to file pleadings, memoranda or briefs, let the
period lapse without submitting the same or
offering an explanation for his failure to do so.
(2003 Bar Question)
The court censures the practice of counsels who
secure repeated extensions of time to file their
pleadings and thereafter simply let the period lapse
without submitting the pleading or even an
explanation or manifestation of their failure to do so.
(Achacoso v. CA, G.R. No. L-35867, June 28, 1973).
Asking for extension of time must be in good faith.
Otherwise, it is an obstruction of justice and the
lawyer is subject to discipline. (CPR Annotated, PhilJA)
The same rule applies more forcefully to motion for
continuance. Postponement is not a matter of right
but of sound judicial discretion. (Edrial v. Quilat-
Quilat, G.R. No. 133625, Sept. 6, 2000)
Rule 12.04, Canon 12, CPR
A lawyer shall not unduly delay a case, impede the
execution of a judgment or misuse court processes.
It is understandable for a party to make full use of
every conceivable legal defense the law allows it.
However, of such attempts to evade liability to which
a party should respond, it must ever be kept in mind
that procedural rules are intended as an aid to justice,
not as means for its frustration.
Once a judgment becomes final and executory, the
prevailing party should not be denied the fruits of his
victory by some subterfuge devised by the losing
party. Unjustified delay in the enforcement of a
judgment sets at naught the role of the courts in
disposing justiciable controversies with finality.
(Aguilar v. Manila Banking Corporation, GR No.
157911, September 19, 2006)
61
Lawyers should not resort to nor abet the resort of
their clients, to a series of actions and petitions for
the purpose of thwarting the execution of a judgment
that has long become final and executory. (Cobb-
Perez v. Lantin, No. L-22320, May 22, 1968)
The writs of amparo and habeas data are
extraordinary remedies which cannot be used as
tools to stall the execution of a final and executory
decision in a property dispute (Castillo v. Cruz, G.R.
No. 182165, November 25, 2009).
Rule 12.05, Canon 12, CPR
A lawyer shall refrain from talking to his witness
during a break or recess in the trial, while the
witness is still under examination.
Rationale: To uphold and maintain fair play with the other
party and to prevent the examining lawyer from being
tempted to coach his own witness to suit his purpose.
Q: Who is a witness?
A: A human instrumentality through which the law
and its ministers, the judges and lawyers, endeavor to
ascertain the truth and to dispense justice to the
following parties.
Q: What are the guidelines in interviewing a
witness?
A:
1. A lawyer may interview a witness in advance of
the trial to guide him in the management of the
litigation;
2. A lawyer may also interview a “prospective
witness” for the opposing side in any civil and
criminal action without the consent of opposing
counsel or party;
3. A lawyer must properly obtain statements from
witnesses whose names were furnished by the
opposing counsel or interview the employees of
the opposing party even though they are under
subpoena to appear as witnesses for the
opposite side;
4. If after trial resulting in defendant’s conviction,
his counsel has been advised that a prosecution
witness has committed perjury, it is not only
proper but it is the lawyer’s duty to endeavor
honorable means to obtain such witness’
reaction, even without advising the public
prosecutor of his purpose and even though the
case is pending appeal; and
5. An adverse party, though he may be used as a
witness, is not however a witness within the
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
meaning of the rule permitting a lawyer to
interview the witness of the opposing counsel.
Note: Although the law does not forbid an attorney to be a
witness and at the same time an attorney in a cause, the
courts prefer that counsel should not testify as a witness
unless it is necessary and that they should withdraw from
the active management of the case. (PNB v. Uy Teng Piao,
G.R. No. L- 35252, Oct. 21, 1932) (2001, 2005 Bar
Questions)
Rule 12.06, Canon 12, CPR
A lawyer shall not knowingly assist a witness to
misrepresent himself or to impersonate another.
Q: What are the sanctions on a lawyer who shall
knowingly assist a witness to misrepresent himself
or to impersonate another?
A: Art. 184, Revised Penal Code provides: The lawyer
who presented a witness knowing him to be a false
witness is criminally liable for “Offering False
Testimony in Evidence”.
Note: The lawyer who is guilty of the above is both
criminally and administratively liable.
Q: Is the witness who committed the
misrepresentation criminally liable?
A: Yes. The witness who commits the
misrepresentation is criminally liable for “False
Testimony” either under Art. 181, 182 or 183, Revised
Penal Code, depending upon the nature of the case.
Q: Who commits subordination of perjury?
A: Subornation of perjury is not anymore expressly
penalized in the Revised Penal Code. The crime is
now treated as plain perjury, the one inducing
another as principal by inducement and the latter as
principal by direct participation (People v. Pudol,
October 18, 1938, G.R. No. L-45618)
Rule 12.07, Canon 12, CPR
A lawyer shall not abuse, browbeat or harass a
witness nor needlessly inconvenience him.
Q: Nolito Boras was convicted of statutory rape. The
victim, a minor, testified and the manner of
examination was excessive. The lawyer of Boras was
asking questions like, “Did you have any opportunity
at the time you were raped to hold the penis of
Nolito Boras?”, “At the time, when you were raped
by Nolito Boras, is his penis hard or soft?”, and “Did
you see your uncle Cerilo after the accused stop
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
pushing and pulling his penis to your vagina or while
he was still in the process of pushing and pulling his
penis to your vagina?” Did the lawyer of Nolito
Boras violate Rule 12.07?
A: Yes. It must be stressed that in dealing with rape
cases of children, especially those below 12 years of
age, due care must be observed by the trial court in
handling the victim. In fact, more often than not, the
grueling experience in the trial court in the course of
direct examination and cross-examination is more
traumatic than the fact of the rape itself. On such
occasions, mishandling of victims lead to
psychological imbalances which, if not properly
treated by medical experts, will lead to an abnormal
behavioral response against the idea of sex itself and
disturbed interaction with the opposite or same sex.
By subjecting her into explaining whether she was
forced or intimidated is excessive. It is because proof
of force and intimidation is unnecessary in statutory
rape. Considering that there is a medical report
substantiating the allegations made by the victim, the
manner of examination of the victim must be
tempered. Especially in this case since the child is
only six years old who remains uncorrupted. (People
v. Boras, G.R. No. 127495, Dec. 22, 2000)
Q: What is the obligation of a witness?
A: A witness must answer questions although his
answer may tend to establish a claim against him.
Q: What are the rights of a witness?
A:
1. To be protected from irrelevant, improper, or
insulting questions and from harsh or insulting
demeanor;
2. Not to be detained longer than the interest of
justice requires;
3. Not to be examined except only as to matters
pertinent to the issue;
4. Not to give any answer which will tend to subject
him to a penalty for an offense unless otherwise
provided by law; or
5. Not to give an answer which will tend to degrade
his reputation, unless it be the very fact at issue
or to a fact from which the fact in issue would be
presumed. But a witness must answer to the fact
of his previous and final conviction for an
offense. (Sec. 3, Rule 132 of RRC)
Note: It was highly inconsiderate for the prosecutor and the
defense counsel to trade quips at the precise time the
victim of rape was reviving her harrowing experience.
Courts are looked up to by the people with high respect and
are regarded as places were litigants are heard, rights and
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
conflicts are settled and justice solemnly dispensed. Levity
has no place in the courtroom during the examination of
the victim of rape, and particularly at her expense. (People
v. Nuguid, G.R. No. 148991, Jan. 21, 2004)
Rule 12.08, Canon 12, CPR
A lawyer shall avoid testifying in behalf of his client,
except:
a. On formal matters, such as the mailing,
authentication or custody of an instrument, and the
like; or
b. On substantial matters, in cases where his
testimony is essential to the ends of justice, in which
event he must, during his testimony, entrust the trial
of the case to another counsel.
Rationale: The function of a witness is to tell the facts as he
recalls them in answer to questions. The function of an
advocate is that of a partisan. It is difficult to distinguish
between the zeal of an advocate and the fairness and
impartiality of a disinterested witness.
Q: What are the instances when a lawyer may not
testify as a witness in a case which he is handling for
a client?
A: TARCC
1. When, as an attorney, he is to Testify on the
theory of the case;
2. When such would Adversely affect any lawful
interest of the client with respect to which
confidence has been reposed on him;
3. Having accepted a Retainer, he cannot be a
witness against his client;
4. He cannot serve Conflicting interests; and
5. When he is to violate the Confidence of his client.
Q: What are the instances when a lawyer may
testify as a witness in a case which he is handling for
a client?
A: FETAD
1. On Formal matters, such as the mailing,
authentication or custody of instrument and the
like;
2. Acting as an Expert on his fee;
3. On substantial matters in cases where his
Testimony is essential to the ends of justice, in
which event he must, during his testimony,
entrust the trial of the case to another counsel;
4. Acting as an Arbitrator; and
5. Deposition.
RELIANCE ON MERITS OF CASE AND AVOIDANCE
FROM ANY IMPROPRIETY WHICH TENDS TO
INFLUENCE OR GIVES THE APPEARANCE OF
INFLUENCE UPON THE COURTS
63
CANON 13, CPR
A LAWYER SHALL RELY UPON THE MERITS OF HIS
CAUSE AND REFRAIN FROM ANY IMPROPRIETY
WHICH TENDS TO INFLUENCE, OR GIVES THE
APPEARANCE OF INFLUENCING THE COURT
(1994, 1997, 2000, 2001, 2003 Bar Questions)
It is unethical for a lawyer to give an appearance as if
he is capable of influencing judges and court
personnel. Giving of gifts to the judges are
discouraged as it tend to give an appearance of
influencing the conduct of judicial function or
breeding familiarity with judges. (Antiquiera, CPR, p.
55)
It is reprehensible for a lawyer to wrongfully uses the
name of the law office for the purpose of “giving
more weight and credit to the pleading.” Motions and
pleadings filed in courts are acted upon in accordance
with their merits or lack of it, and not on the
reputation of the law firm or the lawyer filing the
same. (Rodica v. Atty. Lazaro, et al. A.C. No. 9259,
August 23, 2012)
Rule 13.01, Canon 13, CPR
A lawyer shall not extend extraordinary attention or
hospitality to, nor seek opportunity for cultivating
familiarity with judges.
Rationale: To protect the good name and reputation of the
judge and the lawyer.
Lawyers should not seek for opportunity to cultivate
familiarity with judges. A lawyer who resorts to such
practices of seeking familiarity with judges dishonors his
profession and a judge who consents to them is unworthy
of his high office.
It is improper for a litigant or counsel to see a judge in
chambers and talk to him about a matter related to the
case pending in the court of said judge. (Austria v.
Masaquel, G.R. No. 22536, Aug. 31, 1967)
Q: Atty. J requested Judge K to be a principal
sponsor at the wedding of his son. Atty. J met Judge
K a month before during the IBP-sponsored
reception to welcome Judge K into the community,
and having learned that Judge K takes his breakfast
at a coffee shop near his (Judge K's) boarding house,
Atty. J made it a point to be at the coffee shop at
about the time that Judge K takes his breakfast.
Comment on Atty. J's acts. Do they violate the Code
of Professional Responsibility? (2000 Bar Question)
A: Yes, his actions violate the Code of Professional
Responsibility. Canon 13 of the said Code provides
that a lawyer shall rely upon the merits of his cause
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
and refrain from any impropriety which tends to
influence, or gives the appearance of influencing the
court. Rule 13.01 of the same Code provides that a
lawyer shall not extend extraordinary attention or
hospitality to, nor seek opportunity for, cultivating
familiarity with judges. Atty. J obviously sought
opportunity for cultivating familiarity with Judge K by
being at the coffee shop where the latter takes his
breakfast, and is extending extraordinary attention to
the judge by inviting him to be a principal sponsor at
the wedding of his son.
Rule 13.02, Canon 13, CPR
A lawyer shall not make public statements in the
media regarding a pending case tending to arouse
public opinion for or against a party.
Q: When can there be prejudicial publicity?
A: There must be an allegation and proof that the
judges have been unduly influenced, not simply that
they might be, by barrage of publicity. (CPR
Annotated, PhilJA)
Note: The restriction does not prohibit issuances of
statements by public officials charged with the duty of
prosecuting or defending actions in court.
Q: What is the test to determine whether public
statements are contemptuous?
A: The character of the act done and its direct
tendency to prevent and obstruct the discharge of
official duty.
Note: In a concluded litigation, a lawyer enjoys a wider
latitude of comment on or criticize the decision of a judge
of his actuation. Thus, it has been held that a newspaper
publication tending to impede, obstruct, embarrass or
influence the courts in administering justice in a pending
case constitutes criminal contempt, but the rule is
otherwise after the litigation is ended. (In re: Loazano, 54
Phil. 801, July 24, 1930)
Q: Dumbledore, a noted professor of commercial
law, wrote an article on the subject of letters of
credit, which was published in the IBP Journal.
Assume that he devoted a significant portion of the
article to a commentary on how the Supreme Court
should decide a pending case involving the
application of the law on letters of credit. May he be
sanctioned by the Supreme Court? Explain.
A: Yes, Professor Dumbledore may be sanctioned by
the Supreme Court. Rule 13.02 of the CPR provides
that “a lawyer shall not make public statements in the
media regarding a pending case tending to arouse
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
public opinion for or against a party.” The Court in a
pending litigation must be shielded from
embarrassment or influence in its duty of deciding
the case.
Q: Assume Dumbledore did not include any
commentary on the case. Assume further after the
Supreme Court decision on the case had attained
finality, he wrote another IBP Journal article,
dissecting the decision and explaining why the
Supreme Court erred in all its conclusions. May he
be sanctioned by the Supreme Court? Explain. (2008
Bar Question)
A: He may not be sanctioned by the Supreme Court.
Once a litigation is concluded, the judge who decided
it is subject to the same criticism as any other public
official because his decision becomes public property
and is thrown open to public consumption. The
lawyer enjoys a wide latitude in commenting or
criticizing the judge’s decision, provided that such
comment or criticism shall be bona fide and not spill
over the bounds of decency and propriety.
Rule 13.03, Canon 13, CPR
A lawyer shall not brook or invite interference by
another branch or agency of the government in the
normal course of judicial proceedings.
Rationale: Such action will be contrary to the principle of
separation of powers.
All lawyers must uphold, respect and support the
independence of the judiciary. This independence from
interference is made to apply against all branches and
agencies of the government. (Funa, 2009)
The Supreme Court accordingly administered a reprimand
to Bumanlag for gross ignorance of law and of the
Constitution in having asked the President to set aside by
decree the Court’s decision which suspended him for two
years from the practice of law. (De Bumanlag v. Bumanlag,
A.M. No. 188, Nov. 29, 1976)
DUTIES AND RESPONSIBILITIES OF A
LAWYER TO THE CLIENTS
Q: What are the characteristics of an attorney-client
relationship? (1995, 1997 Bar Question)
A:
1. Strictly personal – Prohibits the delegation of
work without the client’s consent
2. Highly confidential
a. Communication made in the course of lawyers
professional employment; and
b. Communication intended to be confidential
64
 DUTIES AND RESPONSIBILITIES OF A LAWYER
3. Fiduciary
a. Hold in trust all moneys and properties of his
client that may come into his possession;
b. When a lawyer enforces a charging lien
against his client, the relationship is
terminated; and
c. An attorney cannot represent adverse
interest unless the parties consent to the
representation after full disclosure of facts
Q: Is a contract necessary in order to have a
professional relationship between a lawyer and a
client?
A: No, the absence of a written contract will not
preclude a finding that there is a professional
relationship. Documentary formalism is not an
essential element in the employment of an attorney;
the contract may be express or implied.
It is sufficient to establish the professional relation,
that the advice and assistance of an attorney is
sought and received in any matter pertinent to his
profession. An acceptance of the relation is implied
on the part of the attorney from his acting on behalf
of his client in pursuance of a request from the latter.
Note: If a person, in respect to his business affairs or any
troubles of any kind, consults with his attorney in his
professional capacity with the view to obtaining
professional advice or assistance and the attorney
voluntarily permits or acquiesce in such consultation, as
when he listens to his client’s preliminary statement of his
case or gives advice thereon, then the professional
employment is regarded as established just as effective as
when he draws his client’s pleading or advocates his client’s
cause in court. (Dee v. CA, G.R. No. 77439, Aug. 24, 1989)
Q: How is a lawyer-client relationship formed?
A:
1. Oral – When the counsel is employed without a
written agreement, but the conditions and
amount of attorney’s fees are agreed upon.
2. Express – when the terms and conditions
including the amount of fees are explicitly stated
in a written document, which may be a private or
public document. Written contract of attorney’s
fees is the law between the lawyer and the
client.
3. Implied – When there is no agreement, whether
oral or written, but the client allowed the lawyer
to render legal services not intended to be
gratuitous without objection and client is
benefited by reason thereof.
65
Q: What are the advantages of a written contract
between the Lawyer and the Client?
A:
1. It is conclusive as to the amount of
compensation.
2. In case of unjustified dismissal of an attorney, he
shall be entitled to recover from the client full
compensation stipulated in the contract. (R.A.
636)
Q: What are the rules protecting attorney-client
relationship?
A:
1. Best efforts must be exerted by the attorney to
protect his client’s interest;
2. The attorney must promptly account for any fund
or property entrusted by or received for his
client;
3. An attorney cannot purchase his client’s property
or interest in litigation;
4. The privacy of communications shall at all times
upheld;
5. An attorney cannot represent a party whose
interest is adverse to that of his client even after
the termination of the relation.
Q: What are the three principal types of professional
activity that a licensed attorney at law generally
engages in, in the practice of his profession?
A: LAP
1. Legal advice and instructions to clients to inform
them of their rights and obligations;
2. Appearance for clients before public tribunals
which possess power and authority to determine
rights of life, liberty, and property according to
law, in order to assist in proper interpretation
and enforcement of law; and
3. Preparation for clients of documents requiring
knowledge of legal principles not possessed by
ordinary layman. (CPR Annotated, PhilJA)
Q: Uy engaged the services of Atty. Gonzales to
prepare and file a petition for the issuance of a new
certificate of title. Uy confided with him the
circumstances surrounding the lost title and
discussing the fees and costs. When the petition was
about to be filed, Atty. Gonzales went to Uy’s office
and demanded a certain amount from him other
than what they had previously agreed upon. Uy
found out later that instead of filing the petition for
the issuance of a new certificate of title, Atty.
Gonzales filed a letter- complaint against him with
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
the Office of the Provincial Prosecutor for
“falsification of public documents.” The letter-
complaint contained facts and circumstances
pertaining to the transfer certificate of title that was
the subject matter of the petition which Atty.
Gonzales was supposed to have filed. Should Atty.
Gonzales be suspended for violating the lawyer-
client relationship when he filed a complaint for
“falsification of public documents” against his client
using facts connected with the latter’s petition?
A: No. As a rule, an attorney-client relationship is said
to exist when a lawyer voluntarily permits or
acquiesces with the consultation of a person, who in
respect to a business or trouble of any kind, consults
a lawyer with a view of obtaining professional advice
or assistance. It is not essential that the client should
have employed the attorney on any previous
occasion or that any retainer should have been paid,
promised or charged for, neither is it material that
the attorney consulted did not afterward undertake
the case about which the consultation was had, for as
long as the advice and assistance of the attorney is
sought and received, in matters pertinent to his
profession.
Evidently, the facts alleged in the complaint for
“estafa through falsification of public documents”
filed by Atty. Gonzales against Uy were obtained by
Atty. Gonzales due to his personal dealings with Uy.
Whatever facts alleged by Atty. Gonzales against Uy
were not obtained by Atty. Gonzales in his
professional capacity but as a redemptioner of a
property originally owned by his deceased son and
therefore, when Atty. Gonzales filed the complaint
for estafa against Uy, which necessarily involved
alleging facts that would constitute estafa, Atty.
Gonzales was not, in any way, violating Canon 21.
Clearly, there was no attorney-client relationship
between Atty. Gonzales and Uy. The preparation and
the proposed filing of the petition was only incidental
to their personal transaction. (Uy v. Atty. Gonzales,
A.C. No. 5280, Mar. 30, 2004)
AVAILABILITY OF SERVICE WITHOUT
DISCRIMINATION
CANON 14, CPR
A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE
NEEDY.
(1990, 1992, 2006 Bar Questions)
Rationale: The poor and indigent should not be further
disadvantaged by lack of access to the Philippine legal
system.
Q: Does a lawyer have a right to decline
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
employment?
A: GR: A lawyer is not obliged to act as legal counsel
for any person who may wish to become his client.
He has the right to decline employment.
XPN:
1. A lawyer shall not refuse his services to the
needy. (Canon 14)
2. He shall not decline to represent a person
solely on account of the latter’s race, sex,
creed or status in life or because of his own
opinion regarding the guilt of said person
(Rule 14.01); (1990, 1993, 2000, 2002, 2006
Bar Questions)
3. He shall not decline, except for serious and
efficient cause like
a. If he is not in a position to carryout
effectively or competently; and
b. If he labors under a conflict of interest
between him and the prospective client.
(Rule 14.03)
Q: What are legal aid cases?
A: Legal Aid cases are those actions, disputes and
controversies that are criminal, civil and
administrative in nature in whatever stage, wherein
an indigent and pauper litigants need legal
representation.
Q: What is the rationale for the establishment and
operation of legal aid offices in all chapters of the
IBP?
A: Legal aid is not a matter of charity. It is a means for
the correction of social imbalances that may and
often do lead to injustice, for which reason it is a
public responsibility of the Bar. The spirit of public
service should, therefore, underlie all legal aid offices.
The same should be so administered as to give
maximum possible assistance to the indigent and
deserving members of the community in all cases,
matters and situations in which legal aid may be
necessary to forestall an injustice. (Public Service.
Sec. 1 Art. 1 IBP Guidelines on Legal Aid)
Q: Are there instances where a lawyer has the duty
to decline employment? (1993 Bar Question)
A: A lawyer should decline no matter how attractive
the fee offered may be if its acceptance will involve:
RACCAA
1. A violation of any of the Rules of the legal
profession;
2. Advocacy in any manner in which he had
66
 DUTIES AND RESPONSIBILITIES OF A LAWYER
intervened while in the government service;
3. Nullification of a Contract which he prepared;
4. Employment with a Collection agency which
solicits business to collect claims;
5. Employment, the nature of which might easily be
used as a means of Advertising his professional
services of his skill; or
6. Any matter in which he knows or has reason to
believe that he or his partner will be an essential
witness for the prospective client.
Q: What are the ethical considerations in taking a
bad case?
A:
1. Criminal case - A lawyer may accept a losing
criminal case because every accused is presumed
innocent until proven guilty and is entitled to
counsel.
2. Civil case - The rules and ethics of the profession
enjoin a lawyer from taking a bad case.
Q: What are the reasons why a lawyer may not
accept a “losing” civil case?
A:
1. The attorney’s signature in every pleading
constitutes a certificate by him that there is good
cause to support it and that it is not interposed
for delay, and willful violation of such rule shall
subject him to disciplinary action;
2. It is the attorney’s duty to “counsel or maintain
such actions or proceedings only as appears to
him to be just and only such defenses as he
believes to be honestly debatable under the
law”;
3. A lawyer is not to encourage either the
commencement or the continuance of an action
or proceeding, or delay any man’s cause, for any
corrupt motive or interest; and
4. A lawyer must decline to conduct a civil cause or
to make a defense when convinced that it is
intended merely to harass or injure the opposite
party or to work oppression or wrong.
Q: Is there an instance when a lawyer may accept
losing case? (1996, 2001, 2002, 2005 Bar Questions)
a. In criminal case?
b. In civil case?
A:
a. A lawyer may accept a “losing” criminal case
since an accused is presumed to be innocent
until his guilt is proven beyond reasonable doubt.
67
Furthermore, CPR provides that a lawyer shall
not decline to represent a person because of his
opinion regarding the guilt of said person.
Otherwise innocent persons might be denied
proper defense. (Rule 14.01, Code of Professional
Responsibility)
b. A lawyer may also accept a losing civil case,
provided that, in so doing, he must not engage in
dilatory tactics and must advise his client about
the prospects and advantage of settling the case
through a compromise.
SERVICES REGARDLESS OF PERSON’S STATUS
Rule 14.01, Canon 14, CPR
A lawyer shall not decline to represent a person
solely on account of the latter’s race, sex, creed or
status of life, or because of his own opinion
regarding the guilt of said person.
Q: Atty. DD’s services were engaged by Mr. BB as
defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB was an
agnostic and a homosexual. By reason thereof, Atty.
DD filed a motion to withdraw as counsel without
Mr. BB’s express consent. Is Atty. DD’s motion
legally tenable? Reason briefly. (2004 Bar Question)
A: No. Atty. DD’s motion is not legally tenable. He
has no valid cause to terminate his services. His
client, Mr. BB, being an agnostic and homosexual,
should not be deprived of his counsel’s
representation solely for that reason.
SERVICES AS COUNSEL DE OFFICIO
Rule 14.02, Canon 14, CPR
A lawyer shall not decline, except for serious and
sufficient cause, an appointment as counsel de
officio or as amicus curiae, or a request from the
Integrated Bar of the Philippines or any of its
chapters for rendition of free legal aid (1991, 1993,
1994, 1996, 1998, 2001, 2002, 2004, 2006 Bar
Questions)
Q: What is the protection given by law to poor
litigants who cannot afford the services of a lawyer?
A: A court may assign an attorney to render
professional aid free of charge to any party in case, if
upon investigation it appears that the party is
destitute and unable to employ an attorney and that
the services of counsel are necessary to secure the
ends of justice and to protect the rights of the party.
It shall be the duty of the attorney so assigned to
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
render the required service, unless he is excused
therefrom by the court for sufficient cause shown.
(Sec. 31, Rule 138, RRC)
Q: Who may be appointed as counsel de officio?
A:
1. Members of the bar in good standing;
2. Any person, resident of the province and of good
repute for probity and ability, in localities
without lawyers
Q: What are considered in appointing a counsel de
officio?
A:
1. Gravity of offense
2. Difficulty of questions that may arise; and
3. Experience and ability of appointee
Q: A criminal complaint was filed against Bermas for
the crime of rape. The Second Assistant Prosecutor
issued a certification that the accused has waived his
right to preliminary investigation. On the day of the
scheduled arraignment, the accused was brought
before the trial court without counsel. The court
assigned a PAO attorney to be the counsel de officio
who, during trial also made a request that she be
relieved from the case. Another counsel was
thereafter assigned as the new counsel de officio.
When said new counsel for the accused failed to
appear before the court for their presentation of
evidence, the Court appointed another counsel de
officio but, again, said counsel asked to be relieved
from the case. The newly appointed counsel also
failed to appear before the court.
Despite the said events, the lower court convicted
the accused of death penalty for the violation of the
crime of rape. The defense counsel claimed that the
accused was deprived of due process, was denied
his Constitutional right to effective and vigilant
counsel and his Constitutional right to be tried by an
impartial judge. Is there a violation of due process
and was denied of his Constitutional right to
effective and vigilant counsel?
A: Yes. The right to counsel must be more than just
the presence of a lawyer in the courtroom or the
mere propounding of standard questions and
objections. The right to counsel means that the
accused is amply accorded legal assistance extended
by a counsel who commits himself to the cause for
the defense and acts accordingly. The right assumes
an active involvement by the lawyer in the
proceedings, particularly at the trial of the case, his
bearing constantly in mind of the basic rights of the
accused, his being well-versed on the case, and his
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
knowing the fundamental procedures, essential laws
and existing jurisprudence. The right of an accused to
counsel finds substance in the performance by the
lawyer of his sworn duty of fidelity to his client.
Tersely put, it means an efficient and truly decisive
legal assistance and not a simple perfunctory
representation.
It is never enough that accused be simply informed of
his right to counsel; he should also be asked whether
he wants to avail himself of one and should be told
that he can hire a counsel of his own choice if he so
desires or that one can be provided to him at his
request.
A counsel de officio is expected to act with utmost
diligence. A mere pro-forma appointment of de
officio counsel who fails to genuinely protect the
interests of the accused merits disapprobation. The
exacting demands expected of a lawyer should be no
less than stringent when one is a counsel de officio.
He must take the case not as a burden but as an
opportunity to assist in the proper dispensation of
justice. No lawyer is to be excused from this
responsibility except only for the most compelling
and cogent reasons.
Canon 18 of the Code of Professional Responsibility
requires every lawyer to serve his client with utmost
dedication, competence and diligence. He must not
neglect a legal matter entrusted to him, and his
negligence in this regard renders him administratively
liable. Obviously, in the instant case, the aforenamed
defense lawyers did not protect, much less uphold,
the fundamental rights of the accused. Instead, they
haphazardly performed their function as counsel de
officio to the detriment and prejudice of the accused
Sevilleno, however guilty he might have been found
to be after trial. (People v. Bermas, G.R. No. 120420,
Apr. 21, 1999)
VALID GROUNDS FOR REFUSAL
Rule 14.03, Canon 14, CPR
A lawyer may not refuse to accept representation of
an indigent client unless:
a. He is in no position to carry out the work
effectively or competently;
b. He labors under a conflict of interest between him
and the prospective client or between a present
client and a prospective client.
Q: When may refusal of a counsel to act as counsel
de oficio be justified on grounds aside from the
reasons of health, extensive travel abroad, or similar
reasons of urgency?
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
A: Other justified grounds for refusal to act as a
counsel de oficio are:
1. Too many de officio cases assigned to the lawyer;
(People v. Daeng, G.R. No. L- 34091, Jan. 30,
1973)
2. Conflict of interest; (Rule 14.03, CPR)
3. Lawyer is not in a position to carry out the work
effectively or competently; (supra)
4. Lawyer is prohibited from practicing law by
reason of his public office which prohibits
appearances in court; and
5. Lawyer is preoccupied with too many cases
which will spell prejudice to the new clients.
Note: A lawyer may refuse to handle cases due to these
valid reasons. However, Rule 2.02 requires him to give
advice on preliminary steps if he is asked until the client
secures the services of counsel. He shall refrain from giving
this preliminary advice if there is conflict of interest
between a present client and a prospective one for
extending such legal advice will create and establish an
attorney-client relationship between them and may involve
a violation of the rule prohibiting a lawyer from
representing conflicting interest.
Q: Atty. J. Bonanza, a semi-retired Metro Manila
practitioner has a cattle ranch in the remote
municipality of Nueva Ecija. He attends to his law
office in Manila on Mondays, Tuesdays and
Wednesdays, and the rest of the week he spends in
his cattle ranch raising horses. In a criminal case
pending before the Municipal Trial Court of
Carranglan, the only other licensed member of the
bar in the place is representing the complainant. The
accused is a detention prisoner. The judge wants to
expedite proceedings. What must the judge do to
expedite proceedings? (1988 Bar Question)
A: The judge may appoint attorney Bonanza as
counsel de officio considering that the accused is a
detention prisoner and therefore it is assumed that
he has no financial means of engaging a paid counsel.
Q: If Atty. Bonanza is requested to act as counsel for
the accused, could he or should he refuse by saying
that in the province, he wants to do nothing except
ride horses and castrate bulls? Explain.
A: The attorney cannot refuse to be appointed as
counsel de officio merely on the reason that he is a
semi-retired practicing lawyer. Precisely one of the
reasons for the integration of the Bar in the
Philippines is to compel all persons who have been
admitted to the practice of law in the Philippines to
perform their duties to assist the courts in the
administration of public.
69
Q: Assailed in a certiorari proceeding is an order of
respondent Judge Climaco denying a motion filed by
petitioner Ledesma to be allowed to withdraw as
counsel de officio. One of the grounds for such a
motion was his allegation that with his appointment
as Election Registrar by the COMELEC, he was not in
a position to devote full time to the defense of the
two accused. The denial by respondent Judge of
such a plea, notwithstanding the conformity of the
defendants, was due to “its principal effect of
delaying the case." Is the denial of Judge Climaco
correct?
A: Yes. The reluctance of Ledesma to comply with his
responsibilities as counsel de officio is not an
adequate ground for the motion of withdrawal.
Membership in the bar is a privilege burdened with a
condition. For some lawyers especially the neophytes
in the profession being appointed as a lawyer is an
irksome chore. Law is a profession dedicated to the
ideal of service and not a mere trade. Thus is made
manifest the indispensable role of a member of the
Bar in the defense of an accused. Such a
consideration could have sufficed for Ledesma not
being allowed to withdraw as counsel de oficio. For
he did betray by his moves his lack of enthusiasm for
the task entrusted to him, to put matters mildly. He
did point though to his responsibility as an election
registrar. Assuming his good faith, no such excuse
could be availed now. There is not likely at present,
and in the immediate future, an exorbitant demand
on his time. (Ledesma v. Climaco, G.R. No. L-23815,
June 28, 1974)
Q: Ferrer was accused of having raped his 11-year-
old stepdaughter. Ferrer’s counsel of record was
PAO's Atty. Macabanding. During the pre-trial, both
of them failed to appear. Ferrer was considered by
the court as having jumped bail. Trial in absentia
followed where Ferrer was assisted by another PAO
lawyer, Atty. Alonto. Atty. Macabanding did not
appear in all the subsequent hearings of the case. He
did not inform the court of his whereabouts. Ferrer
was found guilty beyond reasonable doubt of the
crime charged and imposed upon him the death
penalty. Did Atty. Macabanding live up to the
demands expected from a counsel de officio?
A: No. Ferrer was not properly and effectively
accorded the right to counsel. Canon 18 of the CPR
requires every lawyer to serve his client with utmost
dedication, competence and diligence. He must not
neglect a legal matter entrusted to him. For all
intents, purposes and appearances, Atty.
Macabanding abandoned his client, an accused who
stands to face the death penalty.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
While he faced the daunting task of defending an
accused that had jumped bail, this unfortunate
development is not a justification to excuse him from
giving his heart and soul to the latter's defense. The
exercise of their duties as counsel de officio meant
rendering full meaning and reality to the
constitutional precepts protecting the rights of the
accused. (People v. Ferrer, G.R. No. 148821, July 18,
2003)
Q: What is the rule on the appointment of counsel
de officio for an accused who was convicted by the
Regional Trial Court and is desirous of appealing
from the judgment of conviction? (1993 Bar
Question)
A: If an accused is found guilty by the trial court and
makes his intention to appeal the decision, the
appellate court may appoint a counsel de officio if it is
shown by a certificate of the Clerk of the Court that:
1. The defendant is confined in prison and not able
to file a bail bond;
2. He is without means to employ an attorney de
parte; and
3. He desires to be represented by an attorney de
officio.
Note: An appellant who is not confined in prison is not
entitled to an attorney de officio unless a request is made
within ten days from notice to file the appellant’s brief and
the right thereto is established by affidavit of poverty. (Sec.
13, Rule 122, RRC)
Q: May a lawyer decline a request for free legal aid
to an indigent accused made by a chapter of the
IBP? Explain.
A: No. Rule 14.02 of the CPR provides that “a lawyer
shall not decline, except for serious and sufficient
cause, an appointment as counsel de officio or as
amicus curiae or a request from the IBP or any of its
chapter for rendition of free legal aid.” He
may, decline such appointment only for “serious and
sufficient cause”.
Q: Will your answer be different if the legal aid is
requested in a civil case? (2002 Bar Question)
A: My answer will not be exactly the same, because in
a civil case, the lawyer can also decline if he believes
the action or defense to be unmeritorious. He is
ethically bound to maintain only actions and
proceedings which appear to him to be just and only
such defenses which he believes to be honestly
debatable under the law.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Rule 14.04, Canon 14, CPR
A lawyer who accepts the cause of a person unable
to pay his professional fees shall observe the same
standard of conduct governing his relations with
paying clients.(2008 Bar Question)
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos’
counsel. He failed to perfect their appeal before the
SC. He filed the petition for certiorari within the 20-
day period of extension that he sought in his 2nd
motion for extension. He learned that the period of
extension granted in his 1st motion for extension
was inextendible only after the expiration of the 2
periods of extension that he prayed for. A complaint
for negligence and malpractice was filed against
him, to which he pleaded good faith and excusable
neglect of duty. Is Atty. Dajoyag Jr. guilty of neglect
of duty?
A: Yes. Motions for extension are not granted as a
matter of right but in the sound discretion of the
court, and lawyers should never presume that their
motions for extension or postponement will be
granted or that they will be granted the length of
time they prayed for.
Further, regardless of the agreement Atty. Dajoyag,
Jr. had with Ramos with respect to the payment of his
fees, Atty. Dajoyag, Jr. owed it to Ramos to do his
utmost to ensure that every remedy allowed by law is
availed of. Rule 14.04 of the Code of Professional
Responsibility enjoins every lawyer to devote his full
attention, diligence, skills, and competence to every
case that he accepts. Pressure and large volume of
legal work do not excuse Atty. Dajoyag, Jr. for filing
the petition for certiorari out of time.
Nevertheless, Atty. Dajoyag Jr. exerted efforts to
protect the rights and interests of Ernesto Ramos,
including trying to secure a reconsideration of the
denial of the petition. Thus, he is guilty of simple
neglect of duty. (Ramos v. Dajoyag, Jr., A.C. No. 5174,
Feb. 28, 2002)
Note: The fact that his services are rendered without
remuneration should not occasion a diminution in his zeal.
(Ledesma v. Climaco, G.R. No. L-23815, June 28, 1974)
Lawyers who devote their professional practice to
representing litigants who could ill afford legal services
deserve commendation. However, it is not enough to say
that all pauper litigants should be assured of legal
representation. They deserve quality representation as
well. (Canoy v. Ortiz, A.C. No. 5485, Mar. 16, 2005)
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
CANDOR, FAIRNESS AND LOYALTY TO CLIENTS
CANON 15, CPR
A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND
LOYALTY IN ALL HIS DEALINGS AND TRANSACTIONS
WITH HIS CLIENT.
(1991 Bar Question)
Q: What does the Code of Professional
Responsibility provide pertinent to the lawyer’s duty
as regards his dealings and transactions with clients?
A: Canon 15 of the Code of Professional
Responsibility provides that "A lawyer shall observe
candor, fairness and loyalty in all his dealings and
transactions with his client.”
A lawyer owes absolute fidelity to the cause of his
client. He owes his client full devotion to his interest,
warm zeal in the maintenance and defense of his
rights.
Note: It demands of an attorney an undivided allegiance, a
conspicuous and high degree of good faith,
disinterestedness, candor, fairness, loyalty, fidelity and
absolute integrity in all his dealings and transactions with
his clients and an utter renunciation of every personal
advantage conflicting in any way, directly or indirectly, with
the interest of his client. (Oparel Sr. v. Abaria, A.C. No. 959,
July 30, 1971)
If they find that their client’s cause is defenseless, then it is
their bounden duty to advise the latter to acquiesce and
submit rather than to traverse the incontrovertible. (Rollon
v. Atty. Naraval, A.C. No. 6424, Mar. 4, 2005)
CONFIDENTIALITY RULE
Note: Confidentiality means the relation between lawyer
and client or guardian and ward, or between spouses, with
regard to the trust that is placed in the one by the other.
th
(Black’s Law Dictionary 7 Edition 1990, 2004)
A lawyer shall preserve the confidences and secrets of his
client even after the attorney-client relation is terminated
(Canon 21, Code of Professional Responsibility).
It is one of the duties of a lawyer, as provided for in the
Rules of Court, to maintain inviolate the confidence, and at
every peril to himself, to preserve the secrets of his client
(Sec. 20 (e), Rule 138, Rules of Court).
PRIVILEGED COMMUNICATIONS
Rule 15.02, Canon 15, CPR
A lawyer shall be bound by the rule on privilege
communication in respect of matters disclosed to
him by a prospective client. (2008 Bar Question)
71
Q. How is Rule 15.02 different from Canon 17?
A: Rule 15.02 speaks of the duty of confidentiality to
a prospective client while Canon 17 provides for the
duty of confidentiality to an actual client. (Funa,
2009)
Q: Are matters disclosed by a prospective client to a
lawyer protected by the rule on privileged
communication?
A: Yes. The foregoing disqualification rule applies to
prospective clients of a lawyer. Matters disclosed by a
prospective client to a lawyer are protected by the
rule on privileged communication even if the
prospective client does not thereafter retain the
lawyer or the latter declines the employment.
The reason for this is to make the prospective client
free to discuss whatever he wishes with the lawyer
without fear that what he tells the lawyer will be
divulged or used against him, and for the lawyer to be
equally free to obtain information from the
prospective client. (CPR Annotated, PhilJA)
Note: A privileged communication is one that refers to
information transmitted by voluntary act of disclosure
between attorney and client in confidence and by means
which, so far as the client is aware discloses the information
to no third person other than one reasonably necessary for
the transmission of the information or the accomplishment
of the purpose for which it was given.
Mere relation of attorney-client does not raise a
presumption of confidentiality. (Pineda, 2009) For an
information to be considered as privileged, it must be
intended by the client as such. (CPR Annotated, PhilJA)
Note: In addition to the proper administrative action, there
shall be imposed upon any attorney-at-law or solicitor who
by any malicious breach of professional duty or of
inexcusable negligence or ignorance, shall prejudice his
client, or reveal any of the secrets of the latter learned by
him in his professional capacity (article 209. Betrayal of
trust of an attorney or solicitor- Revelation of Secrets)
Q: What are the essential factors to establish the
existence of the attorney-client privilege
communication?
A: Where the legal advice of any kind is sought from a
professional legal adviser in his capacity as such, the
communications relating to that purpose, made in
confidence by the client, are at his instance
permanently protected from disclosure by himself or
by the legal advisor except if the protection be
waived. (Hadjula v. Madianda, A.C. No. 6711, July 3,
2007)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: What are the requisites of privilege
communication?
A:
1. There is attorney-client relationship or a kind of
consultancy requirement with a prospective
client;
2. The communication was made by the client to
the lawyer in the course of the lawyer’s
professional employment; and
3. The communication must be intended to be
confidential.
Note: The party who avers that the communication is
privileged has the burden of proof to establish the
existence of the privilege unless from the face of the
document itself, it clearly appears that it is privileged. The
mere allegation that the matter is privileged is not
sufficient. (People v. Sleeper, G.R. No. 22783, Dec. 3, 1924;
Lapena Jr., 2009)
Q: When is client identity privileged?
A: Client identity is privileged where a strong
probability exists that revealing the client’s name
would implicate that client in the very activity for
which he sought the lawyer’s advice. (Regala v.
Sandiganbayan, G.R. No. 105938, Sept. 20, 1996)
Q: Rosa Mercado’s husband filed an annulment
against her. Atty. Julito Vitriolo represented her.
Thereafter, a criminal action against her was filed by
the latter for falsification of public document.
According to Atty. Vitriolo, she indicated in the
Certificates of Live Birth of her children that she is
married to a certain Ferdinand Fernandez, and that
their marriage was solemnized on April 11, 1979,
when in truth, she is legally married to Ruben
Mercado and their marriage took place on April 11,
1978. Mercado claims that the criminal complaint
disclosed confidential facts and information relating
to the civil case for annulment handled by Vitriolo as
her counsel. Did Atty. Julito Vitriolo violate the rule
on privileged communication between attorney and
client?
A: The evidence on record fails to substantiate
Mercado’s allegations. She did not even specify the
alleged communication in confidence disclosed by
Atty. Vitriolo. All of Mercado’s claims were couched
in general terms and lacked specificity. Without any
testimony from Mercado as to the specific
confidential information allegedly divulged by Atty.
Vitriolo without her consent, it is difficult, if not
impossible to determine if there was any violation of
the rule on privileged communication. It is not
enough to merely assert the attorney-client privilege.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
The burden of proving that the privilege applies is
placed upon the party asserting the privilege.
(Mercado v. Vitrilio, A.C. No. 5108, May 26, 2005)
Q: What is the test in determining whether a
communication to an attorney is covered by the rule
on privileged communication?
A: The test is whether the communications are made
to an attorney with view of obtaining from him
personal assistance or advice regardless of whether
there is a pending or merely impending litigation or
any litigation.
Q: What are the characteristics of privileged
communication?
A:
1. Attorney-client privilege where legal advice
is professionally sought from an attorney.
2. The client must intend the above
communication to be confidential.
3. Attorney-client privilege embraces all forms
of communication and action.
4. As general rule, attorney-client privilege also
extends to the attorney’s secretary,
stenographer, clerk or agent with reference
to any fact acquired in such capacity.
5. The above duty is perpetual and
communication is absolutely privileged from
disclosure.
6. Persons entitled to claim privileges
Q: Who are the persons entitled to claim the
privilege?
A: The attorney-client privilege covers:
1. Lawyer;
2. Client; and
3. Third persons who by reason of their work
have acquired information about the case
being handled such as:
a. Attorney’s secretary, stenographer
and clerk;
b. Interpreter, messengers and agents
transmitting communication; and
c. An accountant, scientist, physician,
engineer who has been hired for
effective consultation. (Sec. 24(b),
Rule 130, RRC)
Q: Bureau of Immigration and Deportation (BID)
Intelligence Agent Hernandez, together with a
reporter, went to the house of Aoyagi, a Japanese
national. He was told that there were complaints
against him in Japan and that he was suspected to
72
 DUTIES AND RESPONSIBILITIES OF A LAWYER
be a Yakuza big boss, a drug dependent and an
overstaying alien. To prove that he had done
nothing wrong, Aoyagi showed his passport to
Hernandez who confiscated the same. A Contract for
Legal Services was entered into by Aoyagi and Atty.
Acejas III. Aoyagi paid Atty. Acejas P40,000.00,
P25,000 of which is 50% of the acceptance fee, and
the P15,000.00 is for filing/docket fee. Hernandez, in
the presence of Atty. Acejas, proposed that Aoyagi
pay the amount of P1 million in exchange for the
help he would extend to Takao in securing a
permanent visa in the Philippines. Atty. Acejas did
nothing. Did Atty. Acejas violate the legal ethics of
the profession?
A: Yes. The Court reminds lawyers to follow legal
ethics when confronted by public officers who extort
money. If the extortion is directed at the client, they
must advise the client not to perform any illegal act.
Moreover, they must report it to the authorities,
without having to violate the attorney-client
privilege. Naturally, they must not participate in the
illegal act. Atty. Acejas did not follow these
guidelines. Worse, he conspired with the
extortionists. (Acejas III v. People, G.R. No. 156643,
June 27, 2006)
Q: What is the duration of privileged
communication?
A: The privilege continues to exist even after the
termination of the attorney-client relationship.
Note: The privilege character of the communication ceases
only when waived by the client himself or after his death,
by his heir or legal representative. (Lapena, Jr. 2009)
Q: When is communication not privileged?
A: A communication made by a client to a lawyer is
not privileged:
1. After pleading has been filed because such
becomes part of public records.
2. When communication was intended by the
client to be sent to a third person through
his counsel.
3. When the communication sought by client is
intended to aid future crime or perpetration
of fraud.
4. When communication between attorney and
client is heard by a third party.
5. When there is consent or waiver of the
client.
6. When the law requires disclosure.
7. When disclosure is made to protect the
lawyer’s rights
73
Note: Even if the communication is unprivileged, the rule of
ethics prohibits lawyers from voluntarily revealing or using
to his benefit or to that of a third person, to the
disadvantage of the client, the said communication unless
the client consents thereto. (Sec. 3, Rule 138-A, RRC)
CONFLICT OF INTEREST
(1991, 1992, 1993, 1994, 1997, 1999, 2000, 2001,
2002, 2003, 2004, 2005, 2006, 2008 Bar Questions)
Rule 15.01, Canon 15, CPR
A lawyer, in conferring with a prospective client,
shall ascertain as soon as practicable whether the
matter would involve a conflict with another client
or his own interest, and if so, shall forthwith inform
the prospective client.
Q: What is “conflict search”?
A: It is examining the causes of action between the
prospective client and the lawyer’s current clients.
Q: What is the purpose of “conflict search”?
A: By conducting a conflict search, the lawyer will be
able to determine, in the first instance, if he is barred
from accepting the representation through conflicts
with his present clients or the lawyer’s own interest.
(CPR Annotated, PhilJA)
Q: What are the three tests to determine the
existence of conflicting interests?
A:
1. Conflicting Duties - When, on behalf of one
client, it is the attorney’s duty to contest for that
which his duty to another client requires him to
oppose or when possibility of such situation will
develop.
2. Invitation of Suspicion - Whether the acceptance
of the new relation will prevent a lawyer from
the full discharge of his duty of undivided fidelity
and loyalty to his client or will invite suspicion of
unfaithfulness or double-dealing in the
performance thereof.
3. Use of Prior Knowledge Obtained - Whether a
lawyer will be called upon in his new relation to
use against the first client any knowledge
acquired in the previous employment.
Q: What are the types of conflict of interest?
A:
1. Concurrent or multiple representations –
Generally occurs when a lawyer represents
clients whose objectives are adverse to each
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
other, no matter how slight or remote such
adverse interest may be.
The tests for concurrent or multiple
representations are:
a. Whether a lawyer is duty-bound to fight
for an issue or claim in behalf of one
client and, at the same time, to oppose
that claim for the other client;
b. Whether the acceptance of a new
relation would prevent the full discharge
of the lawyer’s duty of undivided fidelity
or loyalty to the client;
c. Whether the acceptance of new relation
would invite suspicion of unfaithfulness
or double-dealing in the performance of
the lawyer’s duty of undivided fidelity
and loyalty; and
d. Whether, in the acceptance of a new
relation, the lawyer would be called
upon to use against a client confidential
information acquired through their
connection.
2. Sequential or successive representation –
Involves representation by a law firm of a
present client who may have an interest adverse
to a prior or former client of the firm. (CPR
Annotated, PhilJA)
Note: What is material in determining whether there is a
conflict of interest in the representation is probability, not
certainty of conflict. (see discussion on disqualification or
limitation of public officials in practicing law, congruent-
interest representation conflict and adverse-interest
conflict).
Illustration: Existence of conflict of Interest
1. A v. B
A and B are present clients.
2. C v. D; E v. D
C is the present client and D is not a present
client in the same case but is a present client
in another case.
3. F v. G; H v. G
F is the present client and G was a former
client and the cases are related.
3. I v. J; K v. J
I is the present client and J was a former
client in a case that is unrelated.
4. L, M, N v. O, P, Q
L, M, N are present clients but L and
M joins O, P, Q. (People v. Davis)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What are the other instances of conflict of
interests?
A:
1. A corporate lawyer cannot join a labor union of
employees in that corporation;
2. A lawyer of an insurance corporation who
investigated an accident cannot represent the
complainant/injured person;
3. As a receiver of a corporation, he cannot
represent the creditor;
4. As a representative of the obligor, he cannot
represent the obligee; and
5. As a lawyer representing a party in a compromise
agreement, he cannot, subsequently, be a lawyer
representing another client who seeks to nullify
the agreement.
Q: What constitutes representing conflicting
interests?
A: To be guilty of representing conflicting interests, a
counsel-of-record of one party need not also be
counsel-of-record of the adverse party. He does not
have to publicly hold himself as the counsel of the
adverse party, nor make his efforts to advance the
adverse party's conflicting interests of record ---
although these circumstances are the most obvious
and satisfactory proof of the charge. It is enough that
the counsel of one party had a hand in the
preparation of the pleading of the other party,
claiming adverse and conflicting interests with that of
his original client. To require that he also be counsel-
of-record of the adverse party would punish only the
most obvious form of deceit and reward, with
impunity, the highest form of disloyalty. (Artueza v.
Atty. Maderazo, A.C. No. 4354, Apr. 22, 2002)
Q: Mr. X and his father went to the residence of
Atty. Y to seek his advice regarding the problem of
the alleged indebtedness of Mr. X's brother to
Caesar's Palace, a well-known gambling casino at Las
Vegas. Atty. Y assured Mr. X and his father that he
would inquire into the matter, after which his
services were reportedly contracted for P100,000.
00. Several long distance telephone calls and two
trips to Las Vegas by him elicited the information
that indeed Mr. X's brother has an outstanding
account to Caesar’s but further investigations
revealed that said account had actually been
incurred by Ramon Sy, with Mr. X's brother merely
signing for the chits. Atty. Y personally talked with
the president of Caesar's Palace and convinced the
latter’s president to go after Sy instead to which the
latter agreed with the condition that Atty. Y should
74
 DUTIES AND RESPONSIBILITIES OF A LAWYER
first convince Sy to pay the indebtedness to which
Atty. Y succeeded. He was able to free Mr. X's
brother from his indebtedness. Having thus settled
the account of Mr. X's brother, Atty. Y sent several
demand letters to Mr. X demanding the balance of
P50,000.00 as attorney's fees. Mr. X, however,
ignored these, thus, Atty. Y filed a complaint against
Mr. X for the collection of attorney's fees and refund
of transport fare and other expenses. Mr. X claimed,
that at the time Atty. Y was rendering services to
Mr. X, he was actually working "in the interest" and
"to the advantage" of Caesar's Palace of which he
was an agent and a consultant. This being the case,
Atty. Y is not justified in claiming that he rendered
legal services to Mr. X in view of the conflicting
interests involved. Did the Atty. Y violate the conflict
of interest rule?
A: No. Generally, an attorney is prohibited from
representing parties with contending positions.
However, at a certain stage of the controversy before
it reaches the court, a lawyer may represent
conflicting interests with the consent of the parties. A
common representation may work to the advantage
of said parties since a mutual lawyer, with honest
motivations and impartially cognizant of the parties'
disparate positions, may well be better situated to
work out an acceptable settlement of their
differences, being free of partisan inclinations and
acting with the cooperation and confidence of said
parties. A lawyer is entitled to have and receive the
just and reasonable compensation for services
rendered at the special instance and request of his
client and as long as he is honestly and in good faith
trying to serve and represent the interests of his
client, the latter is bound to pay his just fees. (Dee v.
Court of Appeals, G.R. No. 77439, Aug. 24, 1989)
Q: Can a lawyer engaged by a corporation defend
members of the Board of the same corporation in a
derivative suit?
A: No. The interest of the corporate client is
paramount and should not be influenced by any
interest of the individual corporate officials.
A lawyer engaged as counsel for a corporation cannot
represent members of the same corporation's Board
of Directors in a derivative suit brought against them.
To do so would be tantamount to representing
conflicting interests which is prohibited by the Code
of Professional Responsibility. (Hornilla v. Atty.
Salunat, A.C. No. 5804, July 1, 2003)
Q: Six months ago, Atty. Z was consulted by A, about
a four-door apartment in Manila left by her
deceased parents. A complained that her two
75
siblings, B and C, who were occupying two units of
the apartment, were collecting the rentals from the
other two units and refusing to give her any part
thereof. Atty. Z advised A to first seek the
intervention of her relatives and told her that if this
failed, he would take legal action as A asked him to
do. B asks Atty. Z to defend him in a suit brought by
A against him (B) and C through another counsel.
Should Atty. Z accept the case?
A: No. When A consulted him about her complaint
against B and C, a lawyer-client relationship was
created between A and Atty. Z. Atty. Z cannot
subsequently represent B against A in a matter he
was consulted about. This constitutes conflict of
interest. It does not matter if Atty. Z is not handling
the case for A.
Q: Should Atty. Z tell B that A consulted him earlier
about the same case? Why? (2002 Bar Question)
A: Yes. Rule 21.07 of the CPR provides that "a lawyer
shall not reveal that he has been consulted about a
particular case except to avoid possible conflict of
interest.” In this case, he has to reveal to B that he
had been consulted by A on the case that B if offering
to retain his services, in order to avoid a possible
conflict of interest.
Rule 15.03, Canon 15, CPR
A lawyer shall not represent conflicting interests
except by written consent of all concerned given
after a full disclosure of the facts.
GR: An attorney cannot represent diverse interests. It
is highly improper to represent both sides of an issue.
The proscription against representation of conflicting
interest finds application where the conflicting
interest arise with respect to the same general
matter and is applicable however slight such adverse
interest may be. It applies although the attorney’s
intention and motives were honest and he acted in
good faith.
XPN: Representation of conflicting interest
may be allowed where the parties consent
to the representation after full disclosure of
facts. (Nakpil v. Valdez, A.C. No. 2040, Mar.
4, 1998)
Note: A lawyer may at a certain stage of the controversy
and before it reaches the court represent conflicting
interests with the express written consent of all parties
concerned given after disclosure of the facts. The disclosure
should include an explanation of the effects of the dual
representation, such as the possible revelation or use of
confidential information.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
An attorney owes loyalty to his client not only in the case in
which he has represented him but also after relation of
attorney and client has terminated.
Q: What are the instances when a lawyer may not
represent conflicting interests despite consent of
both parties concerned?
A: Where the conflict is:
1. Between the attorney’s interest and that of a
client; or
2. Between a private client’s interests and that of
the government or any of its instrumentalities.
Q: What are the effects of representing adverse
interests?
A: DJ-FAC
1. Disqualification as counsel of new client on
petition of former client;
2. Where such is unknown to, and becomes
prejudicial to the interests of the new client, a
Judgment against such may, on that ground, be
set aside;
3. The attorney’s right to Fees may be defeated if
found to be related to such conflict and such was
objected to by the former client, or if there was a
concealment and prejudice by reason of the
attorney’s previous professional relationship
with the opposite party;
4. A lawyer can be held Administratively liable
through disciplinary action and may be held
Criminally liable for betrayal of trust.
Q: Huey Company and Dewey Corporation are both
retainer clients of Atty. Anama. He is the corporate
secretary of Huey Company. He represents Dewey
Corporation in three pending litigation cases. Dewey
Corporation wants to file a civil case against Huey
Company and has requested Atty. Anama to handle
the case. What are the options available to Atty.
Anama? Explain your answer.
A:
1. To decline the case because to do so will
constitute representing conflicting interests. It is
unethical for a lawyer to represent a client in a
case against another client in the same case.
2. To accept to file the case against Huey Company,
after full disclosure to both retained clients and
upon their express and written consent. The
written consent may free him from the charge of
representing conflicting interests, because
written consent amounts to a release by the
clients of the lawyer’s obligation not to represent
conflicting interests.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: If you were Atty. Anama, which option would you
take? Explain.
A: If I were Atty. Anama, I will choose the first option
and inhibit myself in the case as both entities are my
clients. The conflict of interests between the
contending clients may reach such a point that,
notwithstanding their consent to the common
representation, the lawyer may be suspected of
disloyalty by one client. His continuing to act in a
double capacity strikes deeply in the foundation of
the attorney-client relationship.
Rule 15.04, Canon 15, CPR
A lawyer may, with the written consent of all
concerned, act as mediator, conciliator or arbitrator
in setting the disputes.
Note: Where the lawyer performs the function of mediator,
conciliator, or arbitrator in disputes where the lawyer
labors under a conflict of interest, he remains subject to the
requirement of a prior written informed consent from all
parties concerned. The requirement subsists even if the
adverse interest is very slight, and notwithstanding the
lawyer’s honest intention and motive. (CPR Annotated,
PhilJA)
CANDID AND HONEST ADVICE TO CLIENTS
Rule 15.05, Canon 15, CPR
A lawyer when advising his client, shall give a candid
and honest opinion on the merits and probable
results of the client’s case, neither overstating nor
understating the prospects of the case.
Note: The lawyer must temper his client’s propensity to
litigate. (Cobb-Perez v. Lantin, G.R. No. L-22320, July 29,
1968)
As officers of the court, counsels are under obligation to
advise their clients against making untenable and
inconsistent claims. The counsel should inform his client
and dissuade him from filing the case if it is totally devoid of
merit. If he finds that his client’s cause is fairly meritorious
and ripe for judicial adjudication, he should refrain from
making bold and confident assurance of success.
Q: Consorcia Rollon went to the office of Atty.
Camilo Naraval to seek his assistance in a case filed
against her by Rosita Julaton for Collection of Sum of
Money with Prayer for Attachment. After going over
the documents she brought with her, Atty. Naraval
agreed to be her lawyer and she was required to pay
P8,000.00 for the filing and partial service fee. Atty.
Naraval did not inform her that the said civil suit has
been decided against her and which judgment has
long become final and executory.
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
Atty. Naraval was not able to act on the case.
Because of this, Rollon wanted to withdraw the
amount she has paid and to retrieve the documents
pertaining to said case. Unfortunately, despite
several follow-ups, Atty. Naraval always said that he
cannot return the documents because they were in
their house, and that he could not give her back the
P8,000.00 because he has no money. Did Atty.
Naraval fail to fulfill his undertakings?
A: Yes. Despite his full knowledge of the finality based
on the documents furnished to him, Atty. Naraval
withheld such vital information and did not properly
appraise Rollon. He should have given her a candid
and honest opinion on the merits and the status of
the case but he withheld such vital information. He
did not inform her about the finality of the adverse
judgment. Instead, he demanded P8,000 as “filing
and service fee” and thereby gave her hope that her
case would be acted upon.
Rule 15.05 of the Code of Professional Responsibility
requires that lawyers give their candid and best
opinion to their clients on the merit or lack of merit
of the case, neither overstating nor understating their
evaluation thereof. Knowing whether a case would
have some prospect of success is not only a function,
but also an obligation on the part of lawyers. If they
find that their client's cause is defenseless, then it is
their bounden duty to advise the latter to acquiesce
and submit, rather than to traverse the
incontrovertible. (Rollon v. Naraval, A.C. No. 6424,
Mar. 4, 2005)
Note: As officers of the court, counsels are under the
obligation to advise their client against making untenable
and inconsistent claims. Lawyers are not merely hired
employees who must unquestionably do the bidding of the
client, however unreasonably this may be when tested by
their own expert appreciation of the facts and applicable
law and jurisprudence. COUNSEL MUST COUNSEL. (Periquet
v NLRC, G.R. No. 91298, June 22, 1990).
Q: A Criminal Case was for Perjury and initiated by
the complainant's wife, Leni. This complaint arose
from the alleged untruthful statements or
falsehoods in the complainant's Petition for
Naturalization. In due course, an information was
filed in MCTC charging the complainant herein with
perjury allegedly committed. It was alleged that the
accused knew that his wife and children were not
residing at the said address stated in his petition,
having left 5 years earlier. The accused was also
alleged to be carrying out an immoral and illicit
relationship.
After trial, Judge Tiongson rendered judgment and
77
found the complainant herein guilty beyond
reasonable doubt of the crime of perjury. Thus,
Judge Chiongson was charged with grave
misconduct, gross bias and partiality and having
knowingly rendered an unjust judgment in said
criminal case. Complainant alleged that the said
judge failed to divulge the next-door-neighbor
relationship between him and the family of Leni and
to disqualify himself from sitting in the said case. Is
respondent judge guilty for not disqualifying himself
from the said case?
A: No. As to the respondent Judge's being a next-door
neighbor of the complainant's wife the complainant
in the perjury case it must be stressed that such fact
alone is not a ground for either a mandatory
disqualification under the first paragraph or for a
voluntary disqualification under the second
paragraph of Section 1, Rule 137 of the Rules of
Court. In any event, the complainant has failed to
disclose in his complaint that he had raised this
matter at any time before the rendition of the
judgment. In fact, the summary of the grounds of his
motion for reconsideration in the respondent's order
denying the said motion does not include this matter
(Choa v. Chiongson, A.M. No. MTJ-95- 1063, Feb. 9,
1996)
Rule 15.06, Canon 15, CPR
A lawyer shall not state or imply that he is able to
influence any public official, tribunal or legislative
body.
Note: This rule is known as INFLUENCE-PEDDLING. It is
improper for a lawyer to show in any way that he has
connections and can influence any tribunal or public
official, judges, prosecutors, congressmen and others,
especially so if the purpose is to enhance his legal standing
and to entrench the confidence of the client that his case or
cases are assured of victory.
Q: In a case for inhibition filed against Judge Paas, it
was found that her husband, Atty. Renerio Paas,
was using his wife's office as his office address in his
law practice. Judge Paas admitted that Atty. Paas
did use her office as his return address for notices
and orders in 2 criminal cases, lodged at the Pasay
City RTC, but only to ensure and facilitate delivery of
those notices, but after the cases were terminated,
all notices were sent to his office address in Escolta.
Was Atty. Paas’ act of using his wife’s office as his
office address unprofessional and dishonorable?
A: Yes. By allowing Atty. Paas to use the address of
her court in pleadings before other courts, Judge Paas
had indeed allowed her husband to ride on her
prestige for the purpose of advancing his private
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
interest.
Atty. Paas is guilty of simple misconduct because of
using a fraudulent, misleading, and deceptive address
that had no purpose other than to try to impress
either the court in which his cases are lodged, or his
client, that he has close ties to a member of the
judiciary, in violation of the Code of Professional
Responsibility.
The need for relying on the merits of a lawyer's case,
instead of banking on his relationship with a member
of the bench which tends to influence or gives the
appearance of influencing the court, cannot be
overemphasized. It is unprofessional and
dishonorable, to say the least, to misuse a public
office to enhance a lawyer's prestige. Public
confidence in law and lawyers may be eroded by such
reprehensible and improper conduct. (Paas v.
Almarvez, A.M. No. P-03-1690, Apr. 4, 2003)
COMPLIANCE WITH LAWS
Rule 15.07, Canon 15, CPR
A lawyer shall impress upon his client compliance
with the laws and the principle of fairness.
Q: Maria Cielo Suzuki entered into contracts of sale
and real estate mortgage with several persons. The
sale and mortgage transactions were facilitated by
Atty. Erwin Tiamson, counsel of the sellers. Suzuki
paid P80,000 as her share in the expenses for
registration. He retained in his possession the
subject deeds of absolute sale and mortgage as well
as the owner's copy of the title. However, he never
registered the said documents and did not cause the
transfer of the title over the subject property in the
name of Suzuki. Atty. Tiamson said that he did not
register the deed of sale to protect the interest of
his client and even if the same has been registered,
he cannot give him the owner's duplicate copy until
purchase price for the subject property has been
fully paid and the real estate mortgage cancelled. Is
Atty. Tiamson justified in not registering the
transaction?
A: No. Rule 15.07 obliges lawyers to impress upon
their clients compliance with the laws and the
principle of fairness. To permit lawyers to resort to
unscrupulous practices for the protection of the
supposed rights of their clients is to defeat one of the
purposes of the State, the administration of justice.
While lawyers owe their entire devotion to the
interest of their clients and zeal in the defense of
their client's right, they should not forget that they
are, first and foremost, officers of the court, bound to
exert every effort to assist in the speedy and efficient
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
administration of justice. The client's interest is amply
protected by the real estate mortgage executed by
complainant. Thus, Atty. Tiamson failed to live up to
this expectation. (Suzuki v. Tiamson, A.C. No. 6542,
Sept. 30, 2005)
CONCURRENT PRACTICE OF ANOTHER PROFESSION
Rule 15.08, Canon 15, CPR
A lawyer who is engaged in another profession or
occupation concurrently with the practice of law
shall make clear to his client whether he is acting as
a lawyer or in another capacity.
Rationale: Intended to avoid confusion; it is for the benefit
of both the client and the lawyer (Funa, 2009).
Note: The lawyer should inform the client when he is acting
as a lawyer and when he is not, because certain ethical
considerations governing the client-lawyer relationship may
be operative in one case and not in the other. (Report of
the IBP Committee, p.84)
A party’s engagement of his counsel in another capacity
concurrent with the practice of law is not prohibited, so
long as the roles being assumed by such counsel is made
clear to the client. (New Sampaguita Builder Construction,
Inc. v. Philippine National Bank, G.R. No. 148753, July 30,
2004)
A Lawyer is not barred from dealing with his client but the
business transaction must be characterized with the utmost
honesty and good faith. Business transactions between an
attorney and a client are disfavored and discouraged by
policy of law because by virtue of a lawyer’s office, he is an
easy position to take advantage of the credulity and
ignorance of his client. Thus, there is no presumption of
innocence or improbability of wrong doing in favor of
lawyers (Nakpil v. Valdez, A.C. No.2040, March 4, 1998)
CLIENT’S MONEYS AND PROPERTIES
CANON 16, CPR
A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND
PROPERTIES OF HIS CLIENT THAT MAY COME INTO
HIS POSSESSION. (2008 Bar Question)
Money collected by the lawyer on a judgment
favorable to his client constitute trust funds and
should be immediately paid over to the client. While
Section 37, Rule 138 of the Rules of Court grants the
lawyer a lien upon the funds, documents and papers
of his client, which have lawfully come into his
possession, such that he may retain the same until his
lawful fees and disbursements have been paid, and
apply such funds to the satisfaction thereof, the
lawyer still has the responsibility to promptly account
to his client for such moneys received. Failure to do
so constitutes professional misconduct.
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
The lawyer’s failure to turn over such funds, moneys,
or properties to the client despite the latter’s
demands give rise to the presumption that the lawyer
had converted the money for his personal use and
benefit. This failure also renders the lawyer
vulnerable to judicial contempt under Section 25,
Rule 138 of the Rules of Court. (CPR Annotated,
PhilJA)
Q: Luis de Guzman as defendant in a civil case,
obtained an adverse judgment. His counsel was
Atty. Emmanuel Basa. He wants to challenge the
decision through a petition for certiorari. It was
agreed that Luis will pay P15,000 for said legal
service. Atty. Basa collected a down payment of
P5,000. However, no such petition was filed. He did
not seasonably file with the CA the required
appellant’s brief resulting in the dismissal of the
appeal. Despite several extensions to file the
appellant’s brief, Atty. Basa failed to do so. Instead,
he filed two more motions for extension. When he
filed the appellant’s brief, it was late, being beyond
the last extension granted by the appellate court.
Was Atty. Emmanuel Basa negligent in the
performance of his professional duty to Luis de
Guzman?
A: Yes, he is guilty of gross misconduct. Where a
client gives money to his lawyer for a specific
purpose, such as to file an action or appeal an
adverse judgment, the lawyer should, upon failure to
take such step and spend the money for it,
immediately return the money to his client. His
unjustified withholding of Luis’ money is a gross
violation of the general morality and professional
ethics. (De Guzman v. Atty. Emmanuel Basa, A.C. No.
5554, June 29, 2004)
Q: Is a lawyer prohibited from acquiring properties
of his client?
A: Yes, pursuant to Canon 16 of the Code of
Professional Responsibility.
Furthermore, Article 1491 of the Civil Code states
that:
“The following persons cannot acquire
or purchase, even at public or judicial
auction, either in person or through the
mediation of another:
xxx
(5) lawyers, with respect to the property
and rights which may be the object of any
litigation in which they take part by virtue
of their profession.”
79
Note: This prohibition is entirely independent of fraud and
such need not be alleged or proven. Art. 1491 (5) of the
NCC applies only if the sale or assignment of the property
takes place during the pendency of the litigation involving
the client’s property. (Ramos v. Ngaseo, A.C. No. 6210, Dec.
9, 2004)
Q: What are the elements of prohibition against the
purchase of property in litigation under Art. 1491 of
the NCC?
A:
1. There is an attorney-client relationship;
2. The property is in litigation;
3. The attorney is the counsel of record in the case;
and
4. The attorney, by himself or through an agent,
purchases such property during the pendency of
said case.
Q: What are the instances where the rule under
Article 1491 of NCC is inapplicable?
A:
1. Where the property purchased by the lawyer was
not involved in the litigation.
2. Where the sale took place before it became
involved in the suit;
3. Where the attorney at the time of the purchase
was not the counsel in the case;
4. Where the purchaser of the property in litigation
was a corporation even though the attorney was
an officer thereof;
5. Where the sale took place after the termination
of the litigation;
6. A lawyer may accept an assignment from his
client of a money judgment rendered in the
latter’s favor in a case in which he was not
counsel, in payment of his professional services
performed in another case;
7. In a contract for attorney’s fees contingent upon
the outcome of the litigation (contingent fee
arrangement); and
8. When any of the four elements of Art. 1491 is
missing.
Q: What are the effects of violation of such
provision?
A:
1. Malpractice on the part of the lawyer and may be
disciplined for misconduct;
2. Transaction is null and void.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
FIDUCIARY RELATIONSHIP
Rule 16.01, Canon 16, CPR
A lawyer shall account for all money or property
collected or received for or from the client.
Note: A lawyer must be scrupulously careful in handling
money entrusted to him in his professional capacity,
because of the high degree of fidelity and good faith
expected on his part. (Medina v. Bautista, A.C. No. 190,
Sept. 26, 1964)
Lawyer’s inexcusable act of withholding the property of
client and imposing unwarranted fees in exchange for
release of documents deserve the imposition of disciplinary
action (Miranda v. Carpio, A.C. No. 6281, September 26,
2011)
Q: What is the nature of attorney-client
relationship?
A: An attorney-client privilege is highly fiduciary as it
is founded on trust and confidence where the lawyer
acts as the trustee and the client acting as trustor in
regard to the matter subject of the professional
engagement. ( Antiquiera, 2007)
Q: X sought assistance to the President of the IBP to
enable him to talk to Atty. U who had allegedly been
avoiding him for more than a year. Atty. U failed to
turn–over to his client the amount given to him by X
as settlement for a civil case. Is Atty. U guilty for
violating Canon 16 of the Code of Professional
Responsibility?
A: Yes. The Code of Professional Responsibility
mandates every lawyer to hold in trust all money and
properties of his client that may come into his
possession. A lawyer’s failure to return upon
demand the funds or property held by him on behalf
of his client gives rise to the presumption that he has
appropriated the same for his own use to the
prejudice of, and in violation of the trust reposed in
him by, his client. The relation between attorney and
client is highly fiduciary in nature. Being such, it
requires utmost good faith, loyalty, fidelity and
disinterestedness on the part of the attorney. Its
fiduciary nature is intended for the protection of the
client.
For misappropriating and failing to promptly report
and deliver the money report and deliver the money
received on behalf of their children of their clients,
some lawyers have been disbarred while others have
been suspended for six months. Since it appears to be
the first case of respondent lawyer, the lighter
penalty is imposed on him. (Espiritu vs. Ulep, A.C. No.
5808, May 4, 2005)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is fiduciary duty?
A: The principle that an attorney derives no undue
advantage that may operate to the prejudice or cause
an occasion for loss of a client. The relationship
between the lawyer and client is one of mutual trust
and confidence of the highest degree.
Q: When will the liability of a lawyer for “breach of
fiduciary obligation” arise?
A: A lawyer may be held liable if he fails in his
obligation to make an accounting of funds or
property that may come to his possession for a
lawyer holds his client’s funds or property in trust for
his client.
Q: What are the requisites for the liability of a
lawyer for damages?
A: AWI
1. Attorney-client relationship;
2. Want of reasonable care and diligence by lawyer;
and
3. Injury sustained by client as a proximate result of
the lawyer’s negligence.
Q: When will civil liability arise?
A:
1. Client is prejudiced by lawyer's negligence or
misconduct;
2. Breach of fiduciary obligation;
3. Civil liability to third persons;
4. Libelous words in pleadings;
5. violation of communication privilege;
6. Liability for costs of suit (Treble Costs) – when
lawyer is made liable for insisting on client's
patently unmeritorious case or interposing
appeal merely to delay litigation
Q: What are the kinds of damages that may be
awarded to the client?
A:
1. Nominal – where client lost the litigation as a
consequence of lawyer’s gross omission of
negligence
2. Actual/Compensatory
3. Moral
4. Attorney’s fees
Note: For nos. 2-4 there should be a showing that:
1. The lawyer had exercised due diligence
2. His client would have succeeded in recovering from
adverse party.
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: What are the effects of lawyer’s failure to return
client’s money or property after demand?
A:
1. There will be a presumption that the lawyer
misappropriated the same.
2. It will give rise to civil liability of the lawyer.
3. Criminal liability
4. Administrative liability
Note: Obviously, respondent’s failure to return the balance
to complainant upon demand gave rise to the presumption
that he misappropriated it in violation of the trust reposed
on him. (Villanueva v. Ishiwata, A.C. No. 5041, Nov. 23,
2004)
Q: What is the remedy of the client?
A: Recover property from lawyer, together with its
fruits, subject to client’s returning to his lawyer the
purchase price thereof and the legal interests
thereon.
Q: When is a lawyer not liable for libelous words in
the pleadings?
A: A lawyer is exempted from liability for slander,
libel or for words otherwise defamatory, published in
the course of judicial proceedings, provided the
statements are connected with, relevant, pertinent
and material to the cause in hand or subject of
inquiry.
Note: Test of relevancy – The matter to which the privilege
does not extend must be palpably wanting in relation to the
subject of controversy, that no reasonable man can doubt
its relevancy or propriety.
Pleadings should contain plain and concise statements of
material facts and if pleader goes beyond requisites of law
and alleges irrelevant matter, which is libelous, he loses his
privilege and may be liable in a separate suit.
Q: When will criminal liability exist?
A: A lawyer may be held criminally liable if he
commits any of the following:
1. Causing prejudice to the client thru malicious
breach of professional duty or thru inexcusable
negligence or ignorance;
2. Revealing client’s secrets learned in lawyer’s
professional capacity thru malicious breach of
professional duty or inexcusable negligence or
ignorance;
3. A lawyer who has undertaken the defense of a
client or has received confidential information
81
from said client in a case may be criminally liable
for undertaking defense of opposing party in
same cause without consent of first client; (Art.
209, RPC)
4. A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to the
damage of another or who, with intent to cause
such damage, shall use any false document may
be held criminally liable therefor; (Art. 172, RPC)
and
5. A lawyer who is appropriates his client’s funds
may be held liable for estafa.
Note: When a lawyer collects or receives money from his
client for a particular purpose, he should promptly account
to the client how the money was spent. His failure either to
render an accounting or to return the money (if the
intended purpose of the money does not materialize)
constitutes a blatant disregard of Rule 16.01 of the CPR.
(Belleza v. Malaca, A.C. No. 7815, July 23, 2009)
If a lawyer does not use the money for the intended
purpose, the lawyer must immediately return the money to
the client. (Villanueva v. Gonzales, A.C. No. 7657, Feb. 12,
2008)
Conversion by a lawyer of the funds entrusted to him is a
gross violation of professional ethics and a betrayal of the
public confidence in the legal profession. (Villanueva v
Ishiwata A.C. No. 5041, Nov. 23, 2004)
Q: Who is liable for the payment of costs of suits?
A: GR: Losing client and not the lawyer is liable for
costs of suit in favor of prevailing party, the lawyer
not being a party-litigant.
XPN: Where the lawyer insisted on client’s patently
unmeritorious case or interposed an appeal to delay
litigation or thwart prompt satisfaction of prevailing
party’s just and valid claim, the court may adjudge
lawyer to pay treble costs of suit.
CO-MINGLING OF FUNDS
Rule 16.02, Canon 16, CPR
A lawyer shall keep the funds of each client separate
and apart from his own and those of others kept by
him.
Failure of the lawyer to account all the funds and
property of his client which may come into his
possession would amount to misappropriation which
may subject him to disbarment on the ground of
grave misconduct or a criminal prosecution for estafa
under Art. 315, par. 1(b) of the RPC.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: BPI filed two complaints for replevin and
damages against Esphar Medical Center Inc. and its
President Cesar Espiritu. Espiritu engaged the
services of Atty. Juan Cabredo IV. While these cases
were pending in court, the latter advised Esphar to
remit money and update payments to the bank
through the trial court. Accordingly, Esphar's
representative delivered a total of P51,161 to Atty.
Cabredo's office. However, the management of
Esphar found out that he did not deliver said money
to the court or to the bank. Did Atty. Caredo commit
a breach of trust?
A: Yes. His act amounted to deceit in violation of his
oath. The relationship between a lawyer and a client
is highly fiduciary; it requires a high degree of fidelity
and good faith. Hence, in dealing with trust property,
a lawyer should be very scrupulous. Money or other
trust property of the client coming into the
possession of the lawyer should be reported by the
latter and account any circumstances, and should not
be commingled with his own or be used by him.
(Espiritu v. Cabredo, A.C. No. 5831, Jan. 13, 2003)
DELIVERY OF FUNDS
Rule 16.03, Canon 16, CPR
A lawyer shall deliver the funds and property of his
client when due or upon demand. However, he shall
have a lien over the funds and may apply so much
thereof as may be necessary to satisfy his lawful fees
and disbursements, giving notice promptly
thereafter to his client. He shall also have a lien to
the same extent on all judgments and executions he
has secured for his client as provided for in the Rules
of Court.
Q. May a counsel unilaterally retain or appropriate
funds of his client as his attorney’s lien?
A: No. A counsel has no right to retain or appropriate
unilaterally as lawyer’s lien any amount belonging to
his client which may come into his possession.
(Cabigao v. Rodrigo, Aug. 9, 1932)
Note: While this rule provides that the lawyer has the right
to retain the funds of his client as may be necessary to
satisfy his lawful fees and disbursements known as
attorney’s lien and his lien to the same extent on all
judgments and executions he has secured for his client
called charging lien, he is still duty bound to render an
accounting of his client’s funds and property which may
come into his possession in the course of his professional
employment In the application of attorney’s lien, a lawyer
shall give notice to his client otherwise, the same might be
construed as misappropriation which may subject him to
disciplinary action. (Antiquiera, 2007)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: After Atty. Benny got a P2 million final judgment
in his client’s favor, he promptly asked the court,
without informing his client, to allow him a charging
lien over the money in the amount of P500,000, his
agreed fees. The Court issued a writ of execution for
the whole judgment in Atty. Benny's name with an
order for him to turn over the excess to his client. Is
Atty. Benny’s action correct? (2011 Bar Question)
A: No, since he did not disclose to his client the
matter of getting a charging lien and a writ of
execution in his name.
Q: Fernandez engaged the services of Atty. Cabrera
II to handle the cases of her associates in Baguio
City. After taking hold of the records of the cases
that Fernandez entrusted to him and after getting
initially paid for the services he would render, Atty.
Cabrera II suddenly disappeared and could no longer
be located in his given address or in the addresses
that Fernandez gathered. Did Atty. Cabrera II violate
the Code of Professional Responsibility when he
accepted the records and money of the complainant
and thereafter failed to render his services?
A: Yes. Acceptance of money from a client establishes
an attorney-client relationship and gives rise to the
duty of fidelity to the client's cause. The Canons of
Professional Responsibility require that once an
attorney agrees to handle a case, he should
undertake the task with zeal, care, and utmost
devotion.
Atty. Cabrera's action projects his appalling
indifference to his client's cause and a brazen
disregard of his duties as a lawyer. Not only did he fail
to render service of any kind, he also absconded with
the records of the cases with which he was entrusted.
Then to top it all, he kept the money complainant
paid to him. Such conduct is unbecoming of a
member of the bar, for a lawyer's professional and
personal conduct must at all times be kept beyond
reproach and above suspicion. The duty of a lawyer is
to uphold the integrity and dignity of the legal
profession at all times. This can only be done by
faithfully performing the lawyer's duties to society, to
the bar, to the courts and to his clients. (Fernandez v.
Atty. Cabrera II, A.C. No. 5623, Dec. 11, 2003)
BORROWING OR LENDING
Rule 16.04, Canon 16, CPR
A lawyer shall not borrow money from his client
unless the client's interest are fully protected by the
nature of the case or by independent advice. Neither
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
shall a lawyer lend money to a client except, when in
the interest of justice, he has to advance necessary
expenses in a legal matter he is handling for the
client.
Note: A lawyer who takes advantage of his client’s financial
plight to acquire the latter’s properties for his own benefit
is of the confidence of the public in the fidelity, honesty and
integrity of the legal profession. (Hernandez, Jr. v. Go A.C.
No. 1526, January 2005)
Q: Is a lawyer allowed to borrow money from his
client?
A: No, unless the client’s interests are fully protected
by the nature of the case or by independent advice.
Note: While the lawyer may borrow money from his client,
where the client’s interests are fully protected by the
nature of the case he is handling for the client, or by
independent advice from another lawyer, he should not
abuse the client’s confidence by delaying payment.
(Alindogan v. Geron, G.R. Admin. Case No. 221, May 21,
1958).
Q: Is a lawyer allowed to lend money from his
client?
A: No except when in the interest of justice, he has to
advance necessary expenses in a legal matter he is
handling for the client. (Rule 16.04, Code of
Professional Responsibiility).
Note: Prohibition from lending is intended to assure the
lawyer’s independent professional judgment, for if the
lawyer acquires a financial interest in the outcome of the
case the free exercise of his judgment may be adversely
affected. (Agpalo, 2004; Comment of IBP Committee that
drafted the Code, p.90)
Q: Atty. Lozada was the retained counsel and legal
adviser of Frias to which all documents and titles of
properties of the latter were entrusted to. Atty.
Lozada persuaded Frias to sell her house, the former
acting as broker since she was in need of money.
Dra. San Diego, the prospective buyer then handed 2
million in cash and 1 million in check and out of the
2 million, Atty. Lozada took 1 million as her
commission without Frias’ consent. When Dra. San
Diego backed out from the sale, Frias tried to
recover from Atty. Lozada the title to the property
and other documents but Atty. Lozada started
avoiding her. Dra. San Diego filed a case against
Frias to return the 3 million she paid plus interest.
Frias claimed that her failure to return the money
was because of Atty. Lozada’s refusal to give
back the 1 million she took as commission. A case
was filed by Frias against Atty. Lozada but despite
83
the favourable decision, respondent refused to
return the money.
Atty. Lozada claimed that since she did not have
enough money, Frias requested her to sell or
mortgage the property and offered her a loan,
commission and attorney’s fees on the basis of the
selling price. He denied that Frias previously
demanded the return of 1 million until the civil case
against her was instituted in which she expressed
her willingness to pay the 900,000 plus agreed
interest. Did Atty. Lozada commit a violation of the
Code of Professional Responsibility in asking for a
loan from her client?
A: Yes. Her act of borrowing money from a client was
a violation of Canon 16.04 of the Code of Professional
Responsibility.
A lawyer’s act of asking a client for a loan, as what
respondent did, is very unethical. It comes within
those acts considered as abuse of client’s confidence.
The canon presumes that the client is disadvantaged
by the lawyer’s ability to use all the legal
maneuverings to renege on her obligation. (Frias v.
Lozada, A.C. NO. 6656, Dec. 13, 2005)
Note: The principle behind Rule 16.04 is to prevent the
lawyer from taking advantage of his influence over the
client or to avoid acquiring a financial interest in the
outcome of the case.
Not prohibited: advances for necessary expenses.
FIDELITY TO CLIENT’S CAUSE
CANON 17, CPR
A LAWYER OWES FIDELITY TO THE CAUSE OF HIS
CLIENT AND HE SHALL BE MINDFUL OF THE TRUST
AND CONFIDENCE REPOSED IN HIM.
Q: Schulz, a German national filed a complaint for
disbarment against Atty. Flores. He alleged that he
engaged the services of Atty. Flores for the purpose
of filing a complaint against Ong for revocation of
contract and damages. Atty. Flores advised him that
there was no need to refer the complaint to
barangay conciliation. Three months later, Atty.
Flores instructed him to file his complaint with the
Lupon Tagapamayapa. Ong refused to appear at the
conciliation hearings, arguing that the Lupon had no
jurisdiction over his person because he was a
resident of another barangay. Thus, Schulz brought
the complaint before the barangay in which Ong is a
resident. By that time, however, Schulz learned that
Ong had already filed a case for specific
performance against him. Schulz argued that Atty.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Flores’ inordinate delay in acting on his case resulted
in his being defendant rather than a complainant
against Ong. Is the actuation of Atty. Flores in
causing the delay of bringing the dispute under the
system of barangay conciliation reprehensible as to
warrant the suspension of Atty. Flores?
A: Yes. Atty. Flores committed a serious transgression
when he failed to exert his utmost learning and ability
to give entire devotion to his client's cause. His client
had relied upon him to file the complaint with
dispatch so that he would not be pre-empted by the
adverse party. But he failed him. As a consequence of
Atty. Flores' indolence, his client was haled to court
as a party-defendant. It therefore behooves this
Court to wield its corrective hand on this inexcusable
infraction which caused undeserved and needless
prejudice to his client's interest, adversely affected
the confidence of the community in the legal
profession and eroded the public's trust in the judicial
system. As an attorney, Atty. Flores is sworn to do his
level best and to observe full fidelity to the court and
his clients. (Schulz v. Atty. Flores, A.C. No. 4219, Dec.
8, 2003)
Q: Matias Lagramada residing with his uncle,
Apolonio Lagramada, was invited by the latter to
accompany him to the police station, supposedly to
pick up a refrigerator they were to repair. Upon
their arrival there, Matias was immediately taken in
and locked behind bars. Two information were filed
against him only 10 months after the first day of his
incarceration. With the assistance of counsel, Matias
pleaded not guilty when arraigned, without raising
the invalidity of the arrest. Was the case properly
handled?
A: No. Lawyers owe fidelity to the cause of their
clients and must be mindful of the trust and
confidence reposed in them. Matias’ counsel, in the
spirit of safeguarding his client’s rights, should have
taken the necessary steps to correct the situation.
However, he allowed his client to enter a plea during
the latter’s arraignment without raising the invalidity
of arrest. Thus, the former effectively waived his
client’s right to question its validity. Defense counsels
are expected to spare no effort to save the accused
from unrighteous incarcerations.
Matias’ counsel should have not only perfunctorily
represented his client during the pendency of the
case, but should have kept in mind his duty to render
effective legal assistance and true service by
protecting the latter’s rights at all times. (People v.
Lagramada, G.R. Nos. 146357 & 148170, Aug. 29,
2002)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
COMPETENCE AND DILIGENCE
CANON 18, CPR
A LAWYER SHALL SERVE HIS CLIENT WITH
COMPETENCE AND DILIGENCE.
(1998, 2001, 2002, 2005, 2008 Bar Questions)
Note: Diligence is the attention and care required of a
person in a given situation and is the opposite of
negligence. It is axiomatic in the practice of law that the
price of success is eternal diligence to the cause of the
client. (Edquibal v. Ferrer, A.C. No. 5687, Feb. 3, 2005)
Q: What degree of diligence or vigilance is expected
from a lawyer?
A: The legal profession demands of a lawyer that
degree of vigilance and attention of a good father of a
family (Lapena, 2009) or ordinary pater familias
(Pineda, 2009). He is not required to exercise
extraordinary diligence. (Edquibal v. Ferrer, Jr., A.C.
No. 5687, Feb. 3, 2005)
Note: The attorney’s duty to safeguard the client’s interests
commences from his retainer until his effective release
from the case or the final disposition of the whole subject
matter of the litigation. During the period, he is expected to
take such reasonable steps and such ordinary care as his
client’s interests may require.
A lawyer who received money to handle a client’s case but
rendered no service at all shall be subject to disciplinary
measure. (Dalisay v. Atty. Mauricio, A.C. No. 5655, Apr. 22,
2005)
An attorney is not expected to know all the laws. He is not
liable for disbarment for an honest mistake or error. He is
not an insurer of the result in a case where he is engaged in
as a counsel. Only ordinary care and diligence is required of
him.
Q: In a criminal case for rape with homicide, the
accused pleaded guilty. However, the three PAO
lawyers assigned as counsel de officio did not advise
their client of the consequences of pleading guilty;
one PAO lawyer left the courtroom during trial and
thus was not able to cross-examine the prosecution
witnesses. The other postponed the presentation of
evidence for the defense, and when he appeared, he
said he would rely solely on the plea of guilty, in the
belief that it would lower the penalty to reclusion
perpetua. Should the three PAO lawyers be
disciplined?
A: Yes. All three (3) of them displayed manifest
disinterest on the plight of their client. They lacked
vigor and dedication to their work. Canon 18 of the
Code of Professional Responsibility requires every
lawyer to serve his client with utmost dedication,
84
 DUTIES AND RESPONSIBILITIES OF A LAWYER
competence and diligence. He must not neglect a
legal matter entrusted to him, and his negligence in
this regard renders him administratively liable.
Obviously, in the instant case, the defense lawyers
did not protect, much less uphold, the fundamental
rights of the accused. Instead, they haphazardly
performed their function as counsel de officio to the
detriment and prejudice of the accused Sevilleno,
however guilty he might have been found to be after
trial. (People v. Sevilleno, G.R. No. 129058, Mar. 29,
1999)
ADEQUATE PROTECTION
Rule 18.02, Canon 18, CPR
A lawyer shall not handle any legal matter without
adequate preparation.
A lawyer should prepare his pleadings with great care
and circumspection. He should refrain from using
abrasive and offensive language, for it merely
weakens rather than strengthens the force of legal
reasoning and detracts from its persuasiveness. In
preparing a complaint for damages, counsel for
plaintiff should allege and state the specific amounts
claimed not only in the body of the complaint but
also in the prayer, so that the proper docket fees can
be assessed and paid. (Fernandez v. Atty. Novero, A.C.
No. 5394, Dec. 2, 2002)
The counsel must constantly keep in mind that his
actions or omissions, even malfeasance and
nonfeasance would be binding to his client. Verily, a
lawyer owes to the client the exercise of utmost
prudence and responsibility in representation.
(Fernandez v. Atty. Novero, A.C. No. 5394, Dec. 2,
2002)
NEGLIGENCE
Rule 18.03, Canon 18, CPR
A lawyer shall not neglect a legal matter entrusted
to him and his negligence in connection therewith
shall render him liable. (1998, 2002 Bar Questions)
A lawyer is enjoined not to neglect a legal matter
entrusted to him, and his negligence in connection
therewith shall render him liable. It is the duty of the
lawyer to serve his client with competence and
diligence and he should exert his best efforts to
protect within the bounds of the law, the interest of
his client (Vda. De Enriquez v. San Jose, 516 SCRA 486,
2007)
Q: When can it be said that a lawyer has been
negligent?
85
A: What amounts to carelessness or negligence in a
lawyer’s discharge of his duty to client is incapable of
exact formulation. It will depend upon the
circumstances of the case.
Note: Instances of negligence of attorneys:
Failure to appeal to CA despite instructions by the client to
do so constitutes inexcusable negligence on the part of the
counsel. (Abiero v. Juanino, A.C. No. 5302, Feb.18, 2005)
Even if a lawyer was "honestly and sincerely" protecting the
interests of his client, the former still had no right to waive
the appeal without the latter's knowledge and consent.
(Abay v. Atty. Montesino, A.C. No. 5718, Dec. 4, 2003)
Q: As an incident in the main case, Velasquez
appointed his counsel as attorney-in-fact to
represent him at the pre-trial. Counsel failed to
appear, hence Velasquez was declared in default.
The order of default was received by counsel but no
steps were taken to have it lifted or set aside.
Decide.
A: It is binding on Velasquez who is himself guilty of
negligence when, after executing the special power of
attorney in favor of his lawyer, he left for abroad and
apparently paid no further attention to his case until
he received the decision. There is therefore no fraud,
accident, mistake or excusable negligence which will
warrant a lifting of the order of default. As a general
rule, a client is bound by the mistakes of his counsel;
more so by the result of his own negligence.
(Velasquez v. CA, G.R. No. 124049, June 30, 1999)
Q: Are the mistakes or negligence of a lawyer
binding upon the client? (1998, 2000, 2002 Bar
Questions)
A: GR: Client is bound by attorney’s conduct,
negligence and mistake in handling a case or in the
management of litigation and in procedural
technique, and he cannot complain that the result
might have been different had his lawyer proceeded
differently.
XPN: LIPIG
1. Lack of acquaintance with technical aspect
of procedure;
2. When adherence thereto results in
outright deprivation of client’s liberty or
property or where Interest of justice so
requires;
3. Where error by counsel is Purely technical
which does not substantially affect client’s
cause;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
4. Ignorance, incompetence, or inexperience of
lawyer is so great and error so serious that
client, who has a good cause, is prejudiced
and denied a day in court;
5. Gross negligence of lawyer.
Note: If by reason of the lawyer’s negligence, actual loss
has been caused to his client, the latter has a cause of
action against him for damages. However, for the lawyer to
be held liable, his failure to exercise reasonable care, skill
and diligence must be proximate cause of the loss.
COLLABORATING COUNSEL
Rule 18.01, Canon 18, CPR
A lawyer shall not undertake a legal service which
he knows or should know that he is not qualified to
render. However, he may render such service if, with
the consent of his client, he can obtain as
collaborating counsel a lawyer who is competent on
the matter.
Q: What is the implication of lawyer’s acceptance of
cases?
A: The lawyer’s acceptance, whether for a fee or not,
is an implied representation that he possesses the
requisite degree of academic learning, skill and ability
to handle the case.
He is therefore directed not to take legal services,
which he knows or should know he is not qualified or
competent to render except if his client consents, the
lawyer can take as collaborating counsel another
lawyer who is competent on the matter.
Q: Who is a Collaborating Counsel?
A: One who is subsequently engaged to assist a
lawyer already handling a particular case for a client
(Pineda, 2009)
Note: The handling lawyer cannot just take another counsel
without the consent of the client. The new lawyer on the
other hand cannot just enter his appearance as
collaborating counsel without the conformity of the first
counsel.
The same diligence required of the first counsel is required
of the collaborating counsel. The negligence of the latter is
also binding on the client. (Sublay v. NLRC, G.R. No. 130104.
Jan. 31, 2000; Pineda 2009)
DUTY TO APPRISE CLIENT
Rule 18.04, Canon 18, CPR
A lawyer shall keep the client informed of the status
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
of his case and shall respond within a reasonable
time to the client’s request for information.
A lawyer should notify his client of the adverse
decision while within the period to appeal to enable
the client to decide whether to seek an appellate
review. He should communicate with him concerning
the withdrawal of appeal with all its adverse
consequences. The client is entitled to the fullest
disclosure of the mode or manner by which his
interest is defended or why certain steps are taken or
omitted.
Note: A lawyer should endeavor to seek instruction from
his client on any substantial matter concerning the
litigation, which may require decision on the part of the
client, such as whether to compromise the case or to
appeal an unfavorable judgment. He should give his client
sound advice on any such and similar matters and comply
with the client’s lawful instructions relative thereto. He
should resist and should never follow any unlawful
instruction of his client.
Q: Spouses Garcia engaged the services of Atty.
Rolando Bala to appeal to the CA the adverse
Decision of the Department of Agrarian Relations
Adjudication Board (DARAB). Instead, he
erroneously filed a Notice of Appeal. During one
instance when the spouses had called on him to ask
for a copy of the supposed appeal, Atty. Bala uttered
unsavory words against them. Because of his error,
the prescribed period for filing the petition lapsed,
to the prejudice of his clients. Did Atty. Bala violate
any ethical rules?
A: Yes. Rule 18.04 states that a "lawyer shall keep the
client informed of the status of his case and shall
respond within a reasonable time to the client's
request for information." Accordingly, the spouses
had the right to be updated on the developments and
status of the case for which they had engaged the
services of Atty. Bala. But he apparently denied them
that right. Having become aware of the wrong
remedy he had erroneously taken, he purposely
evaded his clients, refused to update them on the
appeal, and misled them as to his whereabouts.
Moreover, he uttered invectives at them when they
visited him for an update on the case. (Spouses
Garcia v. Bala, A.C. No. 5039, Nov. 25, 2005)
Note: The lawyer is obliged to respond within a reasonable
time to a client's request for information. A client is entitled
to the fullest disclosure of the mode or manner by which
that client's interest is defended or why certain steps are
taken or omitted. A lawyer who repeatedly fails to answer
the inquiries or communications of a client violates the
rules of professional courtesy and neglects the client's
interests. (Villariasa-Reisenbeck v. Abarrientos, A.C. No.
86
 DUTIES AND RESPONSIBILITIES OF A LAWYER
6238, Nov. 4, 2004) 5. Advise him of his constitutional rights.

Q: Explain the doctrine of imputed knowledge REPRESENTATION WITH ZEAL

WITHIN LEGAL BOUNDS
A: The knowledge acquired by an attorney during the
time that he is acting within the scope of his authority CANON 19, CPR
is imputed to the client. It is based on the assumption A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL
that an attorney, who has notice of matter affecting WITHIN THE BOUNDS OF THE LAW.
his client, has communicated the same to his (1994, 1997, 2001, 2003 Bar Questions)
principal in the course of professional dealings.
Q: What does a lawyer represent to a client when he
Note: The doctrine applies regardless of whether or not the accepts a professional employment of his services?
lawyer actually communicated to the client what he
learned in his professional capacity, the attorney and his
A: When a lawyer accepts a case, whether for a fee or
client being one judicial person.
not, his acceptance is an implied representation that
he: CASE
Q: Is notice to counsel equivalent to notice to client?
1. Will exercise reasonable and ordinary Care and
diligence in the pursuit or defense of the case;
A: GR: Yes. The law requires that service of any notice
2. Will possess the requisite degree of Academic
upon a party who has appeared by attorney shall be
learning, skill and ability in the practice of his
made upon his attorney. Notice sent to a party who
profession;
has appeared by counsel is not notice in law, it being
3. Will take steps as will adequately Safeguard his
immaterial that the client actually received the notice
client’s interests; and
or volunteered to get a copy thereof.
4. Will Exert his best judgment in the prosecution or
defense of the litigation entrusted to him. (Islas
XPN:
v. Platon, G.R. No. L-23183, Dec. 29, 1924)
1. Strict application might foster dangerous
collusion to the detriment of justice;
Q: Is a lawyer required to show his authority to
2. Service of notice upon party instead of upon
appear for or represent a client?
his attorney is ordered by the court;
3. Notice of pre-trial is required to be served
A: No. An attorney is presumed to be properly
upon parties and their respective lawyers;
authorized to represent any cause in which he
4. In appeal from the lower court to the RTC,
appears in all stages of the litigation and no written
upon docketing of appeal.
authority is required to authorize him to appear. A
mere denial by a party that he has authorized an
Q: What is a plea of guilty?
attorney to appear for him, in the absence of a
compelling reason, is insufficient to overcome the
A: It is an admission by the accused of his guilt of a
presumption especially when the denial comes after
crime as charged in the information and of the truth
the rendition of an adverse judgment.
of the facts alleged, including the qualifying and
aggravating circumstances.
Q: May a practicing lawyer be required to produce
or prove his authority to appear in court?
Q: What is the duty of the defense counsel when his
client desires to enter a plea of guilty?
A: Yes. The presiding judge may, on motion of either
party and on reasonable grounds therefore being
A: F-CEPA
shown, require an attorney who assumes the right to
1. Fully acquaint himself with the records and
appear in a case to produce or prove the authority
surrounding circumstances of the case;
under which he appears, and to disclose, whenever
2. Confer with the accused and obtain from him his
pertinent to any issue, the name of the person who
account of what had happened;
employed him, and may thereupon make such order
3. Thoroughly Explain to him the import of a guilty
as justice requires. (Sec. 21, Rule 138, RRC)
plea and the inevitable conviction that will
follow;
4. See to it that the prescribed Procedure which
experience has shown to be necessary to the
administration of justice is strictly followed and
disclosed in the court records; and
UNIVERSITY OF SANTO TOMAS
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 Legal Ethics
Q: What are the effects of an unauthorized
appearance?
A:
1. The party represented is not bound by attorney’s
appearance in the case neither by the judgment
rendered therein;
2. Court does not acquire jurisdiction over the
person of the party represented;
3. The adverse party who has been forced to litigate
as a defendant by the unauthorized action on the
part of the attorney for the plaintiff may, on that
ground, move for the dismissal of the complaint;
and
4. If unauthorized appearance is willful, attorney
may be cited for contempt as an officer of the
court who has misbehaved in his official
transactions, and he may be disciplined for
professional misconduct.
Q: May an attorney voluntarily appear for a person
without being employed?
A: No. An attorney may not appear for a person until
he is in fact employed by, or retained for such person.
An attorney willfully appearing in court for a person
without being employed, unless by leave of court,
may be punished for contempt as an officer of the
court, who has misbehaved in his official transactions.
(Sec. 26, Rule 138)
Q: How can an unauthorized appearance be ratified?
A:
1. Express – Categorized assertion by client that he
has authorized a lawyer or that he confirms his
authorization to represent him in the case.
2. Implied – Where party with knowledge of fact
that a lawyer has been representing him in a
case, accepts benefits of representation or fails
to promptly repudiate the assumed authority.
Q: What are the requisites of implied ratification by
silence?
A:
1. The party represented by the attorney is of age
or competent or if he suffers from any disability,
he has a duly appointed guardian or legal
representative;
2. The party or his guardian, as the case may be, is
aware of the attorney’s representation; and
3. He fails to promptly repudiate assumed
authority.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is the extent of a lawyer’s authority in the
conduct of litigation?
A: A lawyer has authority to bind the client in all
matters of ordinary judicial procedure. The cause of
action, the claim or demand sued upon and the
subject matter of the litigation are within the
exclusive control of the client. A client may waive,
surrender, dismiss, or compromise any of his rights
involved in litigation in favor of the other party even
without or against the consent of his attorney.
Q: Who has control over the proceedings?
A:
1. As to matters of procedure - it is the client who
yields to the lawyer and not the lawyer yielding
to the client. (Lapena 2009)
Rationale: The basis of this rule is that the lawyer is
better trained and skilled in law.
2. As to subject matter - the client is in control.
Note: Cause of action, claim or demand, and subject of
litigation are within client’s control. Proceedings to
enforce the remedy are within the exclusive control of
the attorney.
Q: State the rule with respect to the authority of an
attorney to compromise his client’s case
A: GR: The attorney has no authority to
compromise his client’s case. This is so because the
client, even if represented by counsel, retains
exclusive control over the subject matter of the
litigation. The client can, of course, authorize his
lawyer to compromise his case, and the settlement
made by the lawyer will bind his client.
XPN: When the lawyer is confronted with an
emergency where prompt and urgent action
is necessary to protect the interest of his
client and there is no opportunity for
consultation with the latter.
Note: Compromise is a contract whereby the parties, by
making reciprocal concessions, avoid litigation or put an
end to one already commenced. (Art. 2028, NCC)
USE OF FAIR AND HONEST MEANS
Rule 19.01, Canon 9, CPR
A lawyer shall employ only fair and honest means to
attain the lawful objectives of his client and shall not
present, participate in presenting or threaten to
present, participate in presenting or threaten to
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
present unfounded criminal charges to obtain an
improper advantage in any case or proceeding (1997
Bar Question)
Note: Under this rule, a lawyer should not file or threaten
to file any unfounded or baseless criminal case or cases
against the adversaries of his client designed to secure a
leverage to compel the adversaries to yield or withdraw
their own cases against the lawyer’s client. (Pena v. Atty.
Aparicio, A.C. No. 7298, June 25, 2007)
Rule 19.01 of the CPR obligates a lawyer, in defending his
client, to employ only such means as are consistent with
truth and honor. He should not prosecute patently frivolous
and meritless appeals or institute clearly groundless
actions. The act of a lawyer in preventing the execution of
the judgment against his clients shows that he actually
committed what the above rule expressly prohibits. (Que v.
Revilla, A.C. No. 7054, Dec. 4, 2009)
The lawyer must not present and offer evidence any
document, which he knows is false.
Use of force or violence in taking over office is punishable
as an administrative offense, (Rural Bank of Calape, Inc.
Bohol vs. Atty. James Benedict Florido, A.C. No. 5736, June
18, 2010)
Q: Alex Ong received a demand-letter from Atty.
Elpidio Unto, in the latter's capacity as legal counsel
of one Nemesia Gargania. The letter is in connection
with the claim of support of Nemesia Garganian
against him for her son. It was further stated therein
that failure to comply with the demand will result to
the filing of proper action in court. The real father of
Ms. Garganian's son was Alex' brother and he
merely assumed his brother's obligation to appease
Ms. Garganian who was threatening to sue them.
Alex then did not comply with the demands against
him. Consequently, Atty. Unto filed a complaint for
alleged violation of the Retail Trade Nationalization
Law and the Anti-Dummy Law. In addition, he
commenced administrative cases against Alex
before the Bureau of Domestic Trade, the
Commission on Immigration and Deportation, and
the Office of the Solicitor General. These cases were
subsequently denied due course and dismissed. This
prompted Alex to file a case for disbarment. Did
Atty. Unto fall short of professional standards?
A: Yes. He tried to coerce his client to comply with his
letter-demand by threatening to file various charges
against the latter. When Alex did not heed Atty.
Unto’s warning, he made good his threat and filed a
string of criminal and administrative cases against
him. His action is malicious as the cases he instituted
against the complainant did not have any bearing or
connection to the cause of his client, Ms. Garganian.
Clearly, Atty. Unto violated the proscription in Rule
89
19.01. His behavior is inexcusable. (Ong v. Unto, A.C.
No. 2417, Feb. 6, 2002)
CLIENT’S FRAUD
Rule 19.02, Canon 19, CPR
A lawyer who has received information that his
client has, in the course of the representation,
perpetrated a fraud upon a person or tribunal, shall
promptly call upon the client to rectify the same, and
failing which he shall terminate the relationship with
such client in accordance with the Rules of Court
(2001 Bar Question)
The lawyer’s duty to his client does not mean
freedom to set up false or fraudulent claims
especially with respect to provisions of law or
administrative rules and that while lawyers are bound
to exert utmost legal skill in prosecuting their client’s
cause or defending it, their duty, first and foremost, is
to the administration of justice. (CPR Annotated,
PhilJA)
Note: It is an unethical tactic for a lawyer to offer monetary
rewards to anyone who could give him information against
a party so that he could have leverage against all actions
involving such party. (CPR Annotated, PhilJA)
PROCEDURE IN HANDLING THE CASE
Rule 19.03, Canon 19, CPR
A lawyer shall not allow his client to dictate the
procedure in handling the case.
The Code enjoins a lawyer to employ only fair and
honest means to attain the lawful objectives of his
client and warns him not to allow his client to dictate
the procedure in handling the case. In short, a lawyer
is not a gun for hire. (Millare v. Atty. Montero, A.C.
No. 3283, July 13, 1995)
Note: The lawyer, and not the client, is assumed to have
knowledge of laws and rules of procedure. The procedure
in handling a case should therefore fall within the lawyer’s
control and supervision.
Q: Is the lawyer confined entirely on the information
his client gave?
A: No. The lawyer cannot entirely depend on the
information his client gave or the time his client
wished to give. The lawyer should take more control
over handling the case. Where the client is based
overseas, the lawyer should with more reason, have
moved to secure all the legal means available to him
either to continue representing his client effectively
or to make the necessary manifestation in court, with
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
the client’s conformity, that he was withdrawing as
counsel of record. (CPR Annotated, PhilJA)
Q: What is appearance?
A: It is the coming into court as a party either as a
plaintiff or as a defendant and asking relief
therefrom.
Q: What are the kinds of appearance?
A:
1. General appearance – When a party comes to
court either as plaintiff or defendant and seeks
general reliefs from the court for satisfaction of
his claims or counterclaims respectively.
2. Special appearance – When a defendant appears
in court solely for the purpose of objecting to the
jurisdiction of the court over his person.
Note: By virtue of Sec. 20, Rule 14 of the 1997 Rules of Civil
Procedure, there is no more distinction between general
appearance and special appearance, in the sense that a
defendant may file a motion to dismiss not only on the
ground of lack of jurisdiction over his person but also on
some other grounds without waiving the jurisdiction of the
court over his person.
Q: What is the difference between entry of
appearance and appearance of a counsel?
A: Entry of appearance is the written manifestation
submitted by the counsel of record to inform the
court that he will act as the counsel of a party made
before the date of the hearing while appearance is
the verbal manifestation of the counsel in order for
the court to recognize his presence during the
hearing of the case. (Sec.21, Rule 138, Rules of Court).
ATTORNEY’S FEES
(1990, 1991, 1992, 1994, 1995, 1997, 1998, 2005,
2006, 2007 Bar Questions)
CANON 20,CPR
A LAWYER SHALL CHARGE ONLY FAIR AND
REASONABLE FEES.
(1997, 1998, 2003 Bar Questions)
Q: Who are entitled to attorney’s fees?
A: GR: Only lawyers are entitled to attorney’s fees.
The same cannot be shared with a non-lawyer. It is
unethical.
XPN: A lawyer may divide a fee for legal services
with persons not licensed to practice law: CPR
1. A lawyer undertakes to Complete the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
unfinished legal business of a deceased
lawyer;
2. There is a Pre-existing agreement with a
partner or associate that, upon the latter’s
death, money shall be paid over a
reasonable period of time to his estate or to
persons specified in the agreement;
3. A lawyer or law firm includes non-lawyer
employees in Retirement plan, even if the
plan is based, in whole or in part, on a profit-
sharing agreement. (Rule 9.02, CPR)
Note: Entitlement to lawyer’s fees is presumed. (Funa,
2009) Unless otherwise expressly stipulated, rendition of
professional services by a lawyer is for a fee or
compensation and is not gratuitous. (Research and Services
Realty, Inc. v. CA, G.R. No. 124074, Jan. 27,1997)
Rule 20.01, Canon 20, CPR
A lawyer shall be guided by the following factors in
determining his fees:
a. The time spent and the extent of the service
rendered or required;
b. The novelty and difficulty of the questions
involved;
c. The importance of the subject matter;
d. The skill demanded;
e. The probability of losing other employment as a
result of acceptance of the proffered case;
f. The customary charges for similar services and
the schedule of fees of the IBP chapter to which he
belongs;
g. The amount involved in the controversy and the
benefits resulting to the client from the service;
h. The contingency or certainty of compensation;
i. The character of the employment, whether
occasional or established; and
j. The professional standing of the lawyer.
Note: Generally, the amount of attorney’s fees due is that
stipulated in the retainer agreement which is conclusive as
to the amount of lawyer’s compensation (Funa, 2009)
unless the stipulated amount in the written contract is
found by the court to be unconscionable or unreasonable
(Sec. 24, Rule 138, RRC). In the absence thereof, the
amount of attorney’s fees is fixed on the basis of quantum
meruit. (Sesbreno v. Court of Appeals, G.R. No. 117438, June
8,1995; Funa, 2009)
Q: What are the kinds of payment which may be
STIPULATED upon?
A:
1. Fixed or absolute fee that which is payable
regardless of the result of the case.
a. A fixed fee payable per appearance
b. A fixed fee computed upon the number
of hours spent
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
c. A fixed fee based on piece work
d. Combination of any of the above
2. Contingent fee – a fee that is conditioned on the
securing of a favorable judgment and recovery of
money or property and the amount of which may
be on a percentage basis.
Q: What are the requisites for the right to attorney’s
fees to accrue?
A:
1. Existence of attorney-client relationship; and
2. Rendition by the lawyer of services to the client.
Note: A pauper, while exempted from payment of legal
fees is not exempted from payment of attorney’s fees.
(Cristobal v. Employees Compensation Commission, G.R. No.
L-49280, Feb. 26, 1981)
Q: What are the factors in determining the
attorney’s fees? (1994 Bar Question)
A: In determining what is fair and reasonable, a
lawyer shall be guided by the following factors: STIP-
SNACCC
1. Skill demanded;
2. Time spent and the extent of the services
rendered or required;
3. Importance of the subject matter;
4. Probability of losing other employment as a
result of acceptance of the proffered case;
5. Professional Standing of the lawyer;
6. Novelty and difficulty of the questions involved;
7. Amount involved in the controversy and the
benefits resulting to the client from the services;
8. Customary Charges for similar services and the
schedule of fees of the IBP chapter to which he
belongs;
9. Contingency or certainty of compensation; and
10. Character of the employment, whether
occasional or established. (Rule 20.01)
Note: Imposition of interest in the payment
attorney’s fees is not justified. (Funa, 2009)
Contracts for attorney’s services in this jurisdiction stands
upon an entirely different footing from other contract for
the payment of compensation for any other services.
(Mambulao Lumber Co. v. Philippine National Bank, 130
Phil. 366)
Q: Are the courts bound by the opinions of attorneys
as expert witnesses as to the proper compensation
of the lawyer?
A: No. No court shall be bound by the opinion of
attorneys as expert witnesses as to the proper
compensation, and may disregard such testimony and
base its conclusion on its professional knowledge. A
written contract for services shall control the amount
to be paid therefor, unless found by the court to be
unconscionable or unreasonable. (Sec. 24, Rule 138,
RRC)
Q: In the absence of a fee arrangement, how would
the services of an attorney be compensated?
A: In the absence of a fee arrangement, the lawyer is
paid on a quantum meruit basis. The factors to be
taken into consideration in determining the amount
are: TINS
1. Time spent and the services rendered or required
– A lawyer is justified in fixing higher fees when
the case is so complicated and requires more
time and effort in fixing it.
2. Importance of subject matter – The more
important the subject matter or the bigger the
value of the interest of the property in litigation,
the higher is the attorney’s fees.
3. Novelty and difficulty of questions involved –
When the questions in a case are novel and
difficult, greater effort, deeper study and
research are bound to burn the lawyer’s time
and stamina considering that there are no local
precedents to rely upon.
4. Skill demanded of a lawyer – The totality of the
lawyer’s experience provides him skill and
competence admired in lawyers.
Q: What are the different types of fee arrangements
upon which an attorney may receive compensation?
A:
1. Retainer’s fee where the lawyer is paid for
services for an agreed amount for the case.
2. The lawyer agrees to be paid per court
appearance.
of
3. Contingent fee where the lawyer is paid for his
services depending on the success of the case.
This applies usually in civil suits for money or
property where the lawyer’s fee is taken from
the award granted by the court.
4. Attorney de officio. The attorney is appointed by
the court to defend the indigent litigant in a
criminal case. The client is not bound to pay the
attorney for his services although he may be paid
a nominal fee taken from a public fund
appropriated for the purpose.
5. Legal aid. The attorney renders legal services for
UNIVERSITY OF SANTO TOMAS
91 FACULTY OF CIVIL LAW
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those who could not afford to engage the client pays fixed retainer fees, which could be
services of paid counsel. monthly or otherwise. The fees are paid whether
or not there are cases referred to the lawyer;
6. Quantum meruit basis. If there is no specific
contract between the lawyer and the client, the
2. Special retainer – It is a fee for a specific or
lawyer is paid on quantum meruit basis, that is,
particular case or service rendered by the lawyer
what the lawyer deserves for his services.
for a client.
Q: What is a retainer?
Q: Atty. Francisco’s retainer agreement with RXU
said that his attorney's fees in its case against CRP
A: It may refer to two concepts:
“shall be 15% of the amounts collected.” Atty.
1. Act of a client by which he engages the services
Francisco asked the trial court to issue a temporary
of an attorney to render legal advice or to defend
restraining order against CRP but this was denied,
or prosecute his cause in court; or
prompting him to file a petition for certiorari with
the Court of Appeals to question the order of denial.
2. Fee which a client pays to the attorney.
At this point, RXU terminated Atty. Francisco’s
services. When the parties later settled their dispute
Q: Concept Placement retained the services of Atty.
amicably, CRP paid RXU P100 million. Because of
Funk. Under their retainer contract, Atty. Funk is to
this, Atty. Francisco came around and claimed a 15%
render various legal services except litigation, quasi-
share in the amount. What should be his attorney’s
judicial and administrative proceedings and similar
fees? (2011 Bar Question)
actions for which there will be separate billings.
Thereafter, Atty. Funk represented Concept
A: A reasonable amount that the court shall fix upon
Placement in the case filed against it for illegal
proof of quantum meruit.
dismissal. While the labor case was still pending,
Concept Placement terminated the services of Atty.
Q: What does quantum meruit mean?
Funk. Nevertheless, Atty. Funk continued handling
the case. Atty. Funk then advised Concept
A: Quantum meruit means, "as much as he deserves",
Placement of the POEA’s favorable decision and
and is used as the basis for determining the lawyer's
requested the payment of his attorney’s fees.
professional fees in the absence of a contract, but
Concept Placement refused. Is Atty. Funk entitled
recoverable by him from his client.
to attorney’s fees for assisting Concept Placement as
counsel in the labor case even if the services of Atty.
Q: When is the measure of quantum meruit resorted
Funk were already terminated?
to? (2007 Bar Question)
A: Yes. The expiration of the retainer contract
A: Quantum meruit is resorted to when:
between the parties during the pendency of the labor
1. There is no express contract for payment of
case does not extinguish the respondent’s right for
attorney’s fees agreed upon between the lawyer
attorney’s fees. The Court found that while the
and the client;
petitioner and the respondent did not execute a
2. Although there is a formal contract for attorney’s
written agreement on the fees in the labor case aside
fees, the stipulated fees are found
from the Retainer Agreement, the petitioner did
unconscionable or unreasonable by the court;
categorically and unequivocally admit in its
3. The contract for attorney’s fees is void due to
Compulsory Counterclaim that it has engaged the
purely formal matters or defects of execution;
services of the respondent as its counsel for a fee of
4. The counsel, for justifiable cause, was not able to
P60, 000, etc. (Concept Placement Resources Inc. v.
finish the case to its conclusion;
Atty. Funk, G.R. No. 137680, Feb. 6, 2004)
5. Lawyer and client disregard the contract for
attorney’s fees; and
Q: What are the kinds of retainer agreements on
6. The client dismissed his counsel before the
attorney’s fees?
termination of the case.
A:
Q: A client refuses to pay Atty. A his contracted
1. General retainer or retaining fee – It is the fee
attorney's fees on the ground that counsel did not
paid to a lawyer to secure his future services as
wish to intervene in the process of effecting a fair
general counsel for any ordinary legal problem
settlement of the case. Decide. (2001 Bar Question)
that may arise in the ordinary business of the
A: Rule 1.04 of the Code of Professional
client and referred to him for legal action. The

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 92
 DUTIES AND RESPONSIBILITIES OF A LAWYER
Responsibility provides that "a lawyer shall encourage
his clients to avoid, end or settle a controversy if it
will admit of a fair settlement". If a lawyer should
refuse to intervene in a settlement proceeding, his
entitlement to his attorney's fees may be affected.
However, if he has already rendered some valuable
services to the client, he must be paid his attorney's
fees on the basis of quantum meruit, even if it is
assumed that he is dismissed.
Q: What are the instances when counsel cannot
recover the full amount despite written contract for
attorneys’ fees? (2006 Bar Question)
A:
1. When the services called for were not performed
as when the lawyer withdrew before the case
was finished, he will be allowed only reasonable
fees
2. When there is a justified dismissal of the
attorney, the contract will be nullified and
payment will be on the basis of quantum meruit
only. A contrary stipulation will be invalid
3. When the stipulated attorney’s fees are
unconscionable, when it is disproportionate as
compared to the value of services rendered and
is revolting to human conscience;
4. When the stipulated attorney’s fees are in excess
of what is expressly provided by law;
5. When the lawyer is guilty of fraud or bad faith
toward his client in the matter of his
employment;
6. When the counsel’s services are worthless
because of his negligence;
7. When contract is contrary to law, morals or
public policy; and
8. Serving adverse interest unless the lawyer proves
that it was with the consent of both parties.
Q: Courts may interfere and reduce contractually
agreed upon attorney’s fees when the same is
unconscionable or excessive. What is the rationale
behind this authority?
A:
1. Indubitably intertwined with the lawyer’s duty to
charge only reasonable fees is the power of the
court to reduce the amount of attorney’s fees if
the same is excessive and unconscionable. (Roxas
v. De Zuzuarregui, Jr., G. R. No. 152072, Jan. 31,
2006);
2. A lawyer is primarily an officer of the court hence
93
fees should be subject to judicial control;
3. Sound public policy demands that courts
disregard stipulations for attorney’s fees when
they appear to be a source of speculative profit
at the expense of the debtor or mortgagor.
(Borcena v. IAC, et. al., G.R. No. 70099, Jan. 7,
1987)
Note: A trial judge may not order the reduction of the
attorney’s fees on the ground that the attorney is “below
average standard of a lawyer.” The opinion of the judge as
to the capacity of a lawyer is not a basis of the right to a
lawyer’s fees. (Fernandez v. Hon. Bello, No. L-14277, Apr.
30, 1960)
Q: When are attorney’s fees considered as
unconscionable?
A:
1. An amount compared to the value of the services
is so disproportionate as to shock human
conscience.
2. One in which no man in his right senses, not
under delusion, would make on one hand, and
which no fair and honest man would accept on
the other.
ACCEPTANCE FEES
Q: What is an acceptance fee?
A: It is an absolute fee arrangement which entitles a
lawyer to get paid for his efforts regardless of the
outcome of the litigation. (Funa, 2009)
Q: Rose engaged the services of Atty. Jack as counsel
for five cases. In the Retainer Agreement, Rose
agreed to pay Atty. Jack the amount of 200,000 as
Acceptance Fee for the five cases plus an additional
1,500 Appearance Fee per hearing and in the event
that damages are recovered, she would pay Atty.
Jack 10% as success fee. Rose issued two checks
amounting to 51,716.54 in favor of Atty. Jack
however despite receipt of said amounts he failed to
file a case in one of the five cases referred to him;
one case was dismissed due to untimely appeal; and
another case was dismissed but he failed to inform
Rose about it before she left for abroad. Dissatisfied
with the outcome of her cases she demanded from
Atty. Jack the return of all the records she had
entrusted to him however he returned only two of
the five cases. She filed a complaint charging him
with violation of Canon 16 and 16.03 of the Code of
Professional Responsibility. Was there a violation of
the said Canon by the respondent?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
A: None. From the records of the case, it was found
that four of the cases referred by Rose were filed but
were dismissed or terminated for causes not
attributable to Atty. Jack; and that there was no
probable cause to maintain the suit. No fault or
negligence can be attributed to the Atty. Jack. Rose
still owes payment of acceptance fee because she
only paid 51, 716.54
An acceptance fee is not a contingent fee, but is an
absolute fee arrangement which entitles a lawyer to
get paid for his efforts regardless of the outcome of
the litigation. Dissatisfaction from the outcome of the
cases would not render void the retainer agreement
for Atty. Jack appears to have represented the
interest of Rose. (Yu v Bondal, A.C. No. 5534, Jan. 17,
2005)
Note: The expiration of the retainer contract between the
parties during the pendency of the labor case does not
extinguish the respondent’s right to attorney’s fees. (Uy v.
Gonzales, A.C. No. 5280, Mar. 30, 2004)
CONTINGENCY FEE ARRANGEMENTS
Q: What is a contingent fee contract? Is it valid?
A: A contingency contract is one, which stipulates
that the lawyer will be paid for his legal services only
if the suit or litigation ends favorably to the client.
(Taganas vs. NLRC, G.R. No. 118746, September 7,
1995). It is like a contract subject to a suspensive
condition wherein the obligation to pay the counsel is
based upon the outcome of the case.
Contingent fees are sanctioned by the CPE and by the
CPR subject to certain limitations (Licudan vs. CA, G.R.
No. 91958, January 24, 1991)
Note: Contingent fee contracts are subject to the
supervision and close scrutiny of the court in order that
clients may be protected from unjust charges. The amount
of contingent fees agreed upon by the parties is subject to
the stipulation that counsel will be paid for his legal services
only if the suit or litigation prospers. A much higher
compensation is allowed as contingent fees because of the
risk that the lawyer may get nothing if the suit fails.
(Evangelina Masmud v. NLRC, et. al., G.R. No. 183385, Feb.
13, 2009)
If a lawyer employed on contingent basis dies or becomes
disabled before the final adjudication or settlement of the
case has been obtained, he or his estate will be allowed to
recover the reasonable value of the services rendered. The
recovery will be allowed only after the successful
termination of the litigation in the client’s favor. (Morton v.
Forsee, Ann. Cas. 1914 D. 197; Lapena, 2009, Pineda, 2009)
Q: What is the rationale for allowing contingent fee
contract?
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
A: Contracts of this nature (contingent fee contract)
are permitted because they redound to the benefit of
the poor client and the lawyer especially in cases
where the client has meritorious cause of action, but
no means with which to pay for the legal services
unless he can, with the sanction of law, make a
contract for a contingent fee to be paid out of the
proceeds of the litigation (Francisco, Legal Ethics
[1949])
Q: What limitation of the stipulation regarding
contingent fee contract?
A: It must be reasonable based on the circumstance
of the case. Contingent fee contracts are under the
supervision and close scrutiny of the court in order
that clients may be protected from just charges. Its
validity depends on the measure of reasonableness of
the stipulated fees under the circumstances of the
case (Sesbreno vs. CA, G.R. No. 117438, June 8, 1995)
Q: When is a contingent fee contract considered as
unconscionable?
A: Stipulated attorney’s fees are unconscionable
whenever the amount is by far so disproportionate
compared to the value of the services rendered as to
amount to fraud perpetrated to the client. (Sesbreno
vs. CA, G.R. No. 117438, June 8, 1995)
Q: What is the effect of unreasonable or
unconscionable contingent fee contract?
A: When the courts find that the stipulated amount is
excessive or the contract is unreasonable, public
policy demands that said contract be disregarded to
protect the client from unreasonable exaction
The degree of unconscionability or unreasonableness
of the stipulated fee will not, however, preclude
recovery. It merely justifies the court’s fixing
reasonable amount for the lawyer’s services based on
quantum meruit meaning “as much as he deserves”.
(Sesbreno vs. CA, G.R. No. 117438, June 8, 1995)
Q: The stipulation between the lawyer and counsel
is as follows, “the attorney’s fees of the Atty. X will
be ½ of whatever the client might recover from his
share in the property subject of the litigation.” Is the
stipulation valid?
A: Yes. The stipulation made is one of a contingent
fee which is allowed by the CPE and the CPR. It does
not violate the prohibition of acquisition of property
subject of the litigation by the lawyer provided for in
the Civil Code since the prohibition applies only to a
94
 DUTIES AND RESPONSIBILITIES OF A LAWYER
sale or assignment to the lawyer by his client during
the pendency of the litigation. The transfer actually
takes effect after the finality of the judgment and not
during the pendency of the case. As such it is valid
stipulation between the lawyer and client.
Q: Does the acceptance of an initial fee before or
during the progress of the litigation detract from the
contingent nature of the fees?
A: No. The acceptance of an initial fee before or
during the progress of the litigation does not detract
from the contingent nature of the fees, as long as the
bulk thereof is made dependent upon the successful
outcome of the action (Francisco vs. Matias, January
31, 1964, G.R. No. L-16349)
Q: Atty. Arthur agreed to represent Patrick in a
personal injury case after the latter signed a retainer
agreement for a 33% fee contingent on their
winning the case. In the course of trial, Patrick
dismissed Atty. Arthur after he presented their
evidence in chief and engaged Atty. Winston
another lawyer. They lost the case. What fee would
Atty. Arthur be entitled to? (2011 Bar Question)
A: Absolutely nothing
Q: Chester asked Laarni to handle his claim to a
sizeable parcel of land in Quezon City against a well-
known property developer on a contingent fee
basis. Laarni asked for 15% of the land that may be
recovered or 15% of whatever monetary settlement
that may be received from the property developer
as her only fee contingent upon securing a favorable
final judgment or compromise settlement. Chester
signed the contingent fee agreement. Assume the
property developer settled the case after the case
was decided by the Regional Trial Court in favor of
Chester for P1 Billion. Chester refused to pay Laarni
P150 Million on the ground that it is excessive. Is the
refusal justified? Explain.
A: The refusal of Chester to pay is unjustified. A
contingent fee is impliedly sanctioned by Rule
20.01(f) of the CPR. A much higher compensation is
allowed as contingent fees is consideration of the risk
that the lawyer will get nothing if the suit fails. In
several cases, the Court has indicated that a
contingent fee of 30% of the money or property that
may be recovered is reasonable. Moreover, although
the developer settled the case, it was after the case
was decided by the RTC in favor of Chester, which
shows that Atty. Laarni has already rendered service
to the client.
95
Q: Assume there was no settlement and the case
eventually reached the Supreme Court which
promulgated a decision in favor of Chester. This time
Chester refused to convey to Laarni 15% of the
litigated land as stipulated on the ground that the
agreement violates Article 1491 of the Civil Code,
which prohibits lawyers from acquiring by purchase
properties and rights, which are the object of
litigation in which they take part by reason of their
profession. Is the refusal justified? Explain. (2008
Bar Question)
A: Chester’s refusal is not justified. A contingent fee
arrangement is not covered by Art.1491 of the Civil
Code, because the transfer or assignment of the
property in litigation takes effect only upon finality of
a favorable judgment. (Director of Lands v. Ababa,
No. L-26096, Feb. 27, 1979); Macariola v. Asuncion,
A.C. No. 133-J, May 31, 1982)
Q: Evangelina Masmud’s husband, the late
Alexander, filed a complaint against his employer for
non-payment of permanent disability benefits,
medical expenses, sickness allowance, moral and
exemplary damages, and attorney’s fees. He
engaged the services of Atty. Go, as his counsel and
agreed to pay attorney’s fees on a contingent basis,
as follows: 20% of total monetary claims as settled
or paid and an additional 10% in case of appeal. The
Labor Arbiter granted the monetary claims of
Alexander. Eventually, after several appeals, the
decision being favorable to Evangelina (substituted
her deceased husband), the decision became final
and executory. Upon motion of Atty. Go, the surety
company delivered to the NLRC Cashier, the check
amounting to P3,454,079.20. Thereafter, Atty. Go
moved for the release of the said amount to
Evangelina. Out of the said amount, Evangelina paid
Atty. Go the sum of P680,000.00. Dissatisfied, Atty.
Go filed a motion to record and enforce the
attorney’s lien alleging that Evangelina reneged on
their contingent fee agreement. Evangelina
manifested that Atty. Go’s claim for attorney’s fees
of 40% of the total monetary award was null and
void based on Article 111 of the Labor Code. Is her
contention correct?
A: No. Art. 111. Attorney's fees. (a) In cases of
unlawful withholding of wages, the culpable party
may be assessed attorney's fees equivalent to ten
percent of the amount of the wages recovered.
Contrary to Evangelina’s proposition, Article 111 of
the Labor Code deals with the extraordinary concept
of attorney’s fees. It regulates the amount
recoverable as attorney's fees in the nature of
damages sustained by and awarded to the prevailing
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
party. It may not be used as the standard in fixing the
amount payable to the lawyer by his client for the
legal services he rendered.
In this regard, Section 24, Rule 138 of the Rules of
Court should be observed in determining Atty. Go’s
compensation. The said Rule provides:
Sec. 24. Compensation of attorneys; agreement as to
fees. An attorney shall be entitled to have and recover
from his client no more than a reasonable
compensation for his services, with a view to the
importance of the subject matter of the controversy,
the extent of the services rendered, and the
professional standing of the attorney. No court shall
be bound by the opinion of attorneys as expert
witnesses as to the proper compensation, but may
disregard such testimony and base its conclusion on
its own professional knowledge. A written contract for
services shall control the amount to be paid therefor
unless found by the court to be unconscionable or
unreasonable.
The retainer contract between Atty. Go and
Evangelina provides for a contingent fee. The
contract shall control in the determination of the
amount to be paid, unless found by the court to be
unconscionable or unreasonable. The criteria found in
the Code of Professional Responsibility are also to be
considered in assessing the proper amount of
compensation that a lawyer should receive. (Canon
20, Rule 20.01, CPR; Evangelina Masmud v. NLRC, et.
al., G.R. No. 183385, Feb. 13, 2009)
Q: What is a champertous contract? (1999, 2000,
2006 Bar Questions)
A: It is one where the lawyer stipulates with his client
in the prosecution of the case that he will bear all the
expenses for the recovery of things or property being
claimed by the client, and the latter agrees to pay the
former a portion of the thing or property recovered
as compensation. It is void for being against public
policy. (Like gambling)
Note: A champertous contract is considered void due to
public policy, because it would make him acquire a stake in
the outcome of the litigation which might lead him to place
his own interest above that of the client. (Bautista v.
Gonzales, A.M. No. 1625, Feb. 12, 1990)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is the difference between a contingent
contract and champertous contract?
A:
CONTINGENT CHAMPERTOUS
CONTRACT CONTRACT
Payable in cash – Payable in kind - a
dependent on the portion of the thing or
success of the property recovered as
litigation compensation
Lawyers do not Lawyers undertake to
undertake to pay all pay all expenses of
expenses of litigation litigation
Valid Void
Q: The contract of attorney's fees entered into by
Atty. Quintos and his client, Susan, stipulates that if
a judgment is rendered in favor of the latter, Atty.
Quintos gets 60% of the property recovered as
contingent fee. In turn, he will assume payment of
all expenses of the litigation. May Atty. Quintos and
Susan increase the amount of the contingent fee to
80%? (2006 Bar Question)
A: No. Atty. Quintos and Susan cannot agree to
increase the amount of the contingent fee to 80%
because the agreement is champertous. Even if there
is no champertous provision present, the contingent
fee of 80% of the PROPERTY recovered could still be
considered as unconscionable, because it is so
disproportionate as to indicate that an unjust
advantage had been taken of the client, and is
revolting to human conscience. Contracts for
attorney's fees are always subject to control by the
courts.
ATTORNEY’S LIENS
Note: A lawyer is not entitled to unilaterally appropriate his
client’s money for himself by the mere fact alone that the
client owes him attorney’s fees. (Rayos v. Hernandez, GR
No. 169079, Feb. 12, 2007)
Q: Define an attorney’s retaining lien (1994, 1995,
1996, 1998, 2000 Bar Questions)
A: A retaining lien is the right of an attorney to retain
the funds, documents and papers of his client who
have lawfully come into his possession and may
retain the same until his lawful fees and
disbursements have been paid, and may apply such
funds to the satisfaction thereof.
96
 DUTIES AND RESPONSIBILITIES OF A LAWYER

Q: What are the requisites in order for an attorney actively enforced. It is a enforced by execution. It
to be able to exercise his retaining lien? general lien. is a special lien.
As to Basis
A: ALU Lawful possession of Securing of a favorable
1. Attorney-client relationship; papers, documents, money judgment for
2. Lawful possession by the lawyer of the client’s property belonging to client.
funds, documents and papers in his professional the client.
capacity; and As to Coverage
3. Unsatisfied claim for attorney’s fees or Covers papers, Covers all judgments for
disbursements. documents, and the payment of money
properties in the lawful and execution issued in
Q: Define an attorney’s charging lien (1994, 2008 possession of the pursuance of such
Bar Questions) attorney by reason of his judgment.
professional
A: A charging lien is the right of a lawyer to the same employment
extent upon all judgments for the payment of money, As to Effect
and executions issued in pursuance of such As soon as the attorney As soon as the claim for
judgments which he has secured in a litigation of his gets possession of attorney’s fees had
client, from and after the time when he shall have papers, documents, or been entered into the
caused a statement of his claim of such lien to be property. records of the case.
entered upon the records of the court rendering such As to Applicability
judgment, or issuing such execution, and shall have May be exercised before Generally, exercised only
caused written notice thereof to be delivered to his judgment or execution when the attorney had
client and to the adverse party; and he shall have the or regardless thereof. already secured a
same right and power over such judgments and favorable judgment for
executions as his client would have to enforce his lien his client.
and secure the payment of his fees and
As to Extinguishment
disbursements. (Sec. 37, Rule 138, Revised Rules of
When possession When client loses action
Court)
lawfully ends as when as lien may only be
lawyer voluntarily parts enforced against
Q: What are the requisites in order for an attorney
with funds, documents, judgment awarded in
to be able to exercise his charging lien?
and papers of client or favor of client, proceeds
offers them as evidence. thereof/executed
A:
thereon.
1. Existence of attorney-client relationship;
2. The attorney has rendered services;
Q: Upon being replaced by Justice C, Atty. B, the
3. Favorable money judgment secured by the
former counsel of the parents of the victims of the
counsel for his client;
OZONE Disco tragedy, was directed to forward all
4. The attorney has a claim for attorney’s fees or
the documents in his possession to Justice C. Atty. B
advances; and
refused, demanding full compensation pursuant to
5. A statement of the claim has been duly recorded
their written contract. Sensing that a favorable
in the case with notice thereof served upon the
judgment was forthcoming, Atty. B filed a motion in
client and the adverse party.
court relative to his attorney’s fees, furnishing his
former clients with copies thereof. Is Atty. B legally
Note: A charging lien, to be enforceable as a security for
the payment of attorney’s fees, requires as a condition sine and ethically correct in refusing to turn over the
qua non a judgment for money and execution in pursuance documents and in filing the motion? Explain. (1996
of such judgment secured in the main action by the Bar Question)
attorney in favor of his client.
A: Yes. He is entitled to a retaining lien which gives
Q: What is the difference between a retaining lien him the right to retain the funds, documents and
and a charging lien? papers of his client which have lawfully come to his
possession until his lawful fees and disbursement
A: have been paid (Sec. 37, Rule 138, Rules of Court; Rule
RETAINING LIEN CHARGING LIEN 16.03, Code of Professional Responsibility). He is also
As to Nature legally and ethically correct in filing a motion in court
Passive lien. It cannot be Active lien. It can be relative to his fees. He is entitled to a charging lien
UNIVERSITY OF SANTO TOMAS
97 FACULTY OF CIVIL LAW
 Legal Ethics
upon all judgments for the paying of money, and
executions issued in pursuance of such judgments,
which he has secured in a litigation of his client, from
and after the time when the records of the court
rendering such judgment or issuing such execution.
FEES AND CONTROVERSIES WITH CLIENTS
Rule 20.02, Canon 20, CPR
A lawyer shall, in cases of referral, with the consent
of the client, be entitled to a division of fees in
proportion to the work performed and responsibility
assumed.
Note: This is not in the nature of a broker’s commission.
Q: How does Lawyer-Referral System work?
A: Under this system, if another counsel is referred to
the client, and the latter agrees to take him as
collaborating counsel, and there is no express
agreement on the payment of attorney’s fees, the
said counsel will receive attorney’s fees in proportion
to the work performed and responsibility assumed.
The lawyers and the client may agree upon the
proportion but in case of disagreement, the court
may fix the proportional division of fees. (Lapena,
2009)
Rule 20.03
A lawyer shall not, without the full knowledge and
consent of the client, accept any fee, reward, costs,
commission, interest, rebate or forwarding
allowance or other compensation whatsoever
related to his professional employment from anyone
other than the client. (1997, 2003 Bar Questions)
Rationale: It is intended to secure the fidelity of the lawyer
to his client’s cause and to prevent a situation in which the
receipt by him of a rebate or commission from another with
the client’s business may interfere with the full discharge of
his duty to his client. (Report of the IBP Committee)
XPN: A lawyer may receive compensation from a
person other than his client when the latter has full
knowledge and approval thereof. (Sec. 20 (e), Rule
138)
Rule 20.04, Canon 20, CPR
A lawyer shall avoid controversies with clients
concerning his compensation and shall resort to
judicial action only to prevent imposition, injustice
or fraud. (1998 Bar Question)
Q: Can a lawyer file a case against his client for the
enforcement of attorney’s fees?
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
A: GR: A lawyer should avoid the filing of any case
against a client for the enforcement of attorney’s
fees.
Note: The legal profession is not a money-making trade but
a form of public service. Lawyers should avoid giving the
impression that they are mercenary (Perez v. Scottish Union
and National Insurance Co., C.A. No. 8977, Mar. 22, 1946).
It might even turn out to be unproductive for him for
potential clients are likely to avoid a lawyer with a
reputation of suing his clients.
XPNs: (Rule 20.04, CPR)
1. To prevent imposition
2. To prevent injustice
3. To prevent fraud
Note: A client may enter into a compromise agreement
without the intervention of the lawyer, but the terms of the
agreement should not deprive the counsel of his
compensation for the professional services he had
rendered. If so, the compromise shall be subjected to said
fees. If the client and the adverse party who assented to
the compromise are found to have intentionally deprived
the lawyer of his fees, the terms of the compromise, insofar
as they prejudice the lawyer, will be set aside, making both
parties accountable to pay the lawyer’s fees. But in all
cases, it is the client who is bound to pay his lawyer for his
legal representation. (Atty. Gubat v. NPC, G.R. No. 167415,
Feb. 26, 2010)
Q: Where and how may attorney's fees be claimed
by the lawyer?
A:
1. In the same case – It may be asserted either in
the very action in which the services of a lawyer
had been rendered or in a separate action.
2. In a separate civil action – A petition for
attorney's fees may be filed before the judgment
in favor of the client is satisfied or the proceeds
thereof delivered to the client.
The determination as to the propriety of the fees
or as to the amount thereof will have to be held
in abeyance until the main case from which the
lawyer's claim for attorney's fees may arise has
become final. Otherwise, the determination of
the courts will be premature.
Q: What are the instances when an independent civil
action to recover attorney’s fees is necessary?
A:
1. Main action is dismissed or nothing is awarded;
2. Court has decided that it has no jurisdiction over
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
the action or has already lost it;
3. Person liable for attorney’s fees is not a party to
the main action;
4. Court reserved to the lawyer the right to file a
separate civil suit for recovery of attorney’s fees;
5. Services for which the lawyer seeks payment are
not connected with the subject litigation; and
6. Judgment debtor has fully paid all of the
judgment proceeds to the judgment creditor and
the lawyer has not taken any legal step to have
his fees paid directly to him from the judgment
proceeds.
Q: What are the effects of the nullity of contract
on the right to attorney’s fees?
A: If the nullification is due to:
1. The illegality of its object - the lawyer is
precluded from recovering; and
2. Formal defect or because the court has found the
amount to be unconscionable - the lawyer may
recover for any services rendered based on
quantum meruit.
Q: To what compensation is a lawyer entitled to?
A:
1. Counsel de parte – He is entitled to the
reasonable attorney’s fees agreed upon, or in the
absence thereof, on quantum meruit basis.
2. Counsel de officio – The counsel may not demand
from the accused attorney’s fees even if he wins
the case. He may, however, collect from the
government funds, if available based on the
amount fixed by the court.
3. Amicus Curae – not entitled to attorney’s fees.
CONCEPTS OF ATTORNEY’S FEES
Q: What are the two concepts of attorney’s fees?
A:
1. Ordinary attorney's fee – The reasonable
compensation paid to a lawyer by his client for
the legal services he has rendered to the latter.
(Pineda, 2009)
Note: The basis for this compensation is the fact of his
employment by and his agreement with the client.
2. Extraordinary attorney's fee – An indemnity for
damages ordered by the court to be paid by the
losing party in litigation.
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Note: The basis for this is any of the cases provided for
by law where such award can be made, such as those
authorized in Article 2208 of the Civil Code, and is
payable to the client, NOT to the lawyer unless they
have agreed that the award shall pertain to the lawyer
as additional compensation or as part thereof.
ORDINARY CONCEPT OF ATTORNEY’S FEES
Q: Aurora Pineda filed an action for declaration of
nullity of marriage against Vinson Pineda, who was
represented by Attys. Clodualdo de Jesus, Carlos
Ambrosio and Emmanuel Mariano. The parties'
proposal for settlement regarding Vinson's visitation
rights over their minor child and the separation of
their properties was approved by the court. The
marriage was subsequently declared null and void.
Throughout the proceedings counsels and their
relatives and friends, availed of free products and
treatments from Vinson’s dermatology clinic. This
notwithstanding, they billed him additional legal
fees amounting to P16.5 million which he, however,
refused to pay. Instead, he issued them several
checks totaling P1.12 million as full payment for
settlement. Still not satisfied, the three lawyers filed
in the same court a motion for payment of lawyers'
fees for P50 million, which is equivalent to 10% of
the value of the properties awarded to Pineda in the
case. Are their claim justified?
A: No. Clearly, what they were demanding was
additional payment for legal services rendered in the
same case. Demanding P50 million on top of the
generous sums and perks already given to them was
an act of unconscionable greed. They could not
charge Pineda a fee based on percentage, absent an
express agreement to that effect. The payments to
them in cash, checks, free products and services from
Pineda’s business more than sufficed for the work
they did. The full payment for settlement should have
discharged Vinson's obligation to them.
As lawyers, they should be reminded that they are
members of an honorable profession, the primary
vision of which is justice. It is the lawyer’s despicable
behavior in the case at bar which gives lawyering a
bad name in the minds of some people. The
vernacular has a word for it: nagsasamantala. The
practice of law is a decent profession and not a
money-making trade. Compensation should be but a
mere incident. (Pineda v. de Jesus, G.R. No. 155224,
Aug. 23, 2006)
Q: DOY Mercantile Inc. refused to satisfy Atty.
Gabriel, Jr.’s attorney’s fees, prompting the latter to
file with the RTC a Motion to Allow Commensurate
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Fees and to Annotate Attorney’s Lien on certain
TCTs. The RTC fixed Atty. Gabriel, Jr.’s fees and
ordered that a lien be annotated on the TCTs. A Writ
of Execution was later issued by the trial court in
Atty. Gabriel, Jr.’s favor. Upon Atty. Gabriel Jr.’s
motion for reconsideration, the RTC increased his
fees. It then issued another Writ of Execution to
enforce the new award but denied the Motion to
Annotate the Award at the back of the TCTs. DOY,
for its part, filed several petitions to set aside the
RTC Orders involving the award of attorney’s fees.
Eventually, CA rendered a decision, fixing Atty.
Gabriel, Jr.’s fees at P200,000.00 and affirming the
subsequent order of the RTC not to annotate such
award on the TCTs. Should the court rely on the
importance of the subject matter in controversy and
the professional standing of counsel in awarding
attorney’s fee?
A: No. DOY’s contention that the appellate court
should also have taken into account the importance
of the subject matter in controversy and the
professional standing of counsel in determining the
latter’s fees is untenable. Although Rule 138 of the
Rules of Court and Rule 20.01, Canon 20 of the Code
of Professional Responsibility lists several other
factors in setting such fees, these are mere guides in
ascertaining the real value of the lawyer’s service.
Courts are not bound to consider all these factors in
fixing attorney’s fees. While a lawyer should charge
only fair and reasonable fees, no hard and fast rule
maybe set in the determination of what a reasonable
fee is, or what is not. That must be established from
the facts in each case. (DOY Mercantile, Inc. v. AMA
Computer College, G.R. No. 155311, Mar. 31, 2004)
EXTRAORDINARY CONCEPT OF ATTORNEY’S FEES
Q: State the rule on attorney’s fees being awarded
as damages and its exceptions.
A: GR: Attorney’s fees as damages are not
recoverable. An adverse decision does not ipso facto
justify their award in favor of the winning party.
XPN: Attorney’s fees in the concept of damages
may be awarded in any of the following
circumstances:
1. When there is an agreement;
2. When exemplary damages are awarded;
3. When defendant’s action or omission
compelled plaintiff to litigate;
4. In criminal cases of malicious prosecution
a. Plaintiff was acquitted; and
b. The person who charged him knowingly
made the false statement of facts or
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
that the filing was prompted by sinister
design to vex him;
5. When the action is clearly unfounded;
6. When defendant acted in gross and evident
bad faith;
7. In actions for support;
8. In cases of recovery of wages;
9. In actions for indemnity under workmen’s
compensation and employee’s liability laws;
10. In a separate civil action arising from a crime;
11. When at least double costs are awarded
(costs of suit does not include attorney’s
fees);
12. When the court deems it just and equitable;
and
13. When a special law so authorizes. (Art. 2208,
NCC)
Q: Why is there a need to state the reason for the
award of attorney’s fees in the text of the
court’s decision?
A: The award of attorney’s fees being an exception
rather than the general rule, it is necessary for the
court to make findings of facts and law that would
bring the case within the exception and justify the
grant of such award. (Agustin vs. CA, G.R. No. 84751,
June 6, 1990)
Q: Is attorney’s fee deemed incorporated in the
general prayer for ‘such other relief and remedy as
this court may deem just and equitable’?
A: No. Attorney’s fees must be specifically prayed for
and proven and justified in the decision itself. (Trans-
Asia Shipping Lines, Inc. vs. CA, G.R. No. 118126, Mar.
4, 1996)
Q: Can the Court of Appeals review the decision of
lower courts fixing attorney’s fees?
A: Yes. The CA, in the exercise of its jurisdiction to
review the decisions of lower courts can determine
whether the attorney’s fees fixed by said courts are
reasonable under the circumstances. After taking into
consideration the various factors to guide the courts
in the fixing of such fees, an appellate court can
reduce the attorney’s fees stipulated by the parties in
a contract for professional services or awarded by the
lower court to levels which it deems reasonable.
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
PRESERVATION OF CLIENT’S CONFIDENCES
CANON 21, CPR
A LAWYER SHALL PRESERVE THE CONFIDENCES AND
SECRETS OF HIS CLIENTS EVEN AFTER THE
ATTORNEY-CLIENT RELATION IS TERMINATED.
(1998, 2006 Bar Questions)
Note: The protection given to the client is perpetual and
does not cease with the termination of the litigation nor is
affected by the party ceasing to employ the attorney and
employ another or any other change of relation between
them. It even survives the death of the client.
Q: What is confidence?
A: It refers to the information protected by the
attorney-client privilege. (Report of IBP Committee)
Q: What are secrets?
A: It refers to other information gained in the
professional relationship that the client has
requested to be held inviolate or the disclosure of
which would be embarrassing or detrimental to the
client. (Ibid)
PROHIBITED DISCLOSURES AND USE
Rule 21.01, Canon 21, CPR
A lawyer shall not reveal the confidences or secrets
of his client except;
a. When authorized by the client after acquainting
him of the consequences of the disclosure;
b. When required by law;
c. When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action.
Q: May a lawyer reveal the confidences or secrets of
his client?
A: GR: A lawyer shall not reveal the confidences and
secrets of his client.
Note: An attorney cannot, without the consent of his client,
be examined as to any communication made by the client
to him, or his advice given thereon in the course of, or with
a view to, professional employment, nor can an attorney’s
secretary, stenographer, or clerk be examined, without the
consent of the client and his employer, concerning any fact
the knowledge of which has been acquired in such capacity.
(Sec. 24(b), Rule 130, RRC)
XPN:
a. When authorized by his client after
acquainting him of the consequences of
the disclosure;
101
The only instance where the waiver of the
client alone is insufficient is when the
person to be examined with reference to
any privileged communication is the
attorney’s secretary, stenographer or
clerk, in respect to which, the consent of
the attorney is likewise necessary.
b. When required by law;
c. When necessary to collect his fees or to
defend himself, his employees or
associates by judicial action.
Note: Payment of retainer fee is not essential before an
attorney can be required to safeguard a prospective client’s
secret acquired by the attorney during the course of the
consultation with the prospective client, even if the
attorney did not accept the employment.
Q: What are the instances when a lawyer may testify
as a witness in a case which he is handling for a
client?
A:
1. On formal matters, such as the mailing,
authentication or custody of an instrument and
the like;
2. Acting as an expert on his free;
3. Acting as an arbitrator;
4. Depositions; and
5. On substantial matters in cases where his
testimony is essential to the ends of justice, in
which event he must, during his testimony,
entrust the trial of the case to another counsel.
Rule 21.02, Canon 21, CPR
A lawyer shall not, to the disadvantage of his client,
use information acquired in the course of
employment, nor shall he use the same to his own
advantage or that of a third person, unless the client
with full knowledge of the circumstances consents
thereto.
Rule 21.05, Canon 21, CPR
A lawyer shall adopt such measures as may be
required to prevent those whose services are utilized
by him, from disclosing or using confidences or
secrets of the client.
Rule 21.06, Canon 21, CPR
A lawyer shall avoid indiscreet conversation about a
client’s affairs even with members of his family.
Rule 21.07, Canon 21, CPR
A lawyer shall not reveal that he has been consulted
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
about a particular case except to avoid possible
conflict of interest.
Q: Bun Siong Yao is a majority stockholder of Solar
Farms & Livelihood Corporation and Solar Textile
Finishing Corporation. Atty. Leonardo Aurelio is also
a stockholder and the retained counsel of both the
corporation and Bun Siong Yao. The latter purchased
several parcels of land using his personal funds but
were registered in the name of the corporations
upon the advice of Atty. Aurelio. After a
disagreement between Atty. Aurelio and Bun Siong
Yao’s wife, the former demanded the return of
his investment in the corporations but when Yao
refused to pay, he filed 8 charges for estafa and
falsification of commercial documents against Yao
and his wife and the other officers of the
corporation. Yao alleged that the series of suits is a
form of harassment and constitutes an abuse of the
confidential information which Atty. Aurelio
obtained by virtue of his employment as counsel.
Atty. Aurelio however said that he only handled
isolated labor cases for the said corporations. Did
Atty. Aurelio abuse the confidential information he
obtained by virtue of his employment as counsel?
A: Yes. The long-established rule is that an attorney is
not permitted to disclose communications made to
him in his professional character by a client, unless
the latter consents. Atty. Aurelio took advantage of
his being a lawyer in order to get back at Yao. In
doing so, he has inevitably utilized information he has
obtained from his dealings with Yao and Yao's
companies for his own end.
Lawyers cannot be allowed to exploit their profession
for the purpose of exacting vengeance or as a tool for
instigating hostility against any person most
especially against a client or former client. (Bun Siong
Yao v. Aurelio, A.C. No. 7023, Mar. 30, 2006)
Q: What are the acts punished as betrayal of trust by
attorney as provided for in Art. 209 of the Revised
Penal Code?
A:
1. By causing damage to his client, either 1) by any
malicious breach of professional duty, 2) by
inexcusable negligence or ignorance
2. By revealing any of the secrets of his clients
learned by him in his professional capacity.
3. By undertaking the defense of the opposing party
in the same case, without the consent of his first
client, after having undertaken the defense of
said first client or after having received
confidential information from said client.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Rule 21.03, Canon 21, CPR
A lawyer shall not, without the written consent of
his client, give information from his files to an
outside agency seeking such information for
auditing, statistical, bookkeeping, accounting, data
processing, or any other similar purposes.
Q: Certain government officers, armed with search
warrant duly issued, seized among other things, a
filing cabinet belonging to Atty. X. In seeking the
return of the cabinet, Atty. X claimed that the
cabinet contained documents and articles belonging
to his clients but the government refused to return
the cabinet. Atty. X petitioned the court which
issued the warrant, praying that the agents be
prohibited from opening the cabinet. Should
Atty. X’s petition be given due course?
A: Yes. The lower court cannot order the opening of
said cabinet. To do so is in violation of his rights as an
attorney. It would be tantamount to compelling him
to disclose his client’s secrets. (Lapena, 2009)
Note: Confidential information obtains even against
government agencies and instrumentalities. (Funa, 2009)
DISCLOSURE, WHEN ALLOWED
Rule 21.04, Canon 21, CPR
A lawyer may disclose the affairs of a client of the
firm to partners or associates thereof unless
prohibited by the client.
Note: Professional employment of a law firm is equivalent
to retainer of members thereof. In a law firm, partners or
associates usually consult one another involving their cases
and some work as a team. Consequently, it cannot be
avoided that some information about the case received
from the client may be disclosed to the partners or
associates.
Q: In need of legal services, Niko secured an
appointment to meet with W Atty. Henry of Henry &
Meyer Law Offices. During the meeting, Niko
divulged highly private information to Atty. Henry,
believing that the lawyer would keep the
confidentiality of the information. Subsequently,
Niko was shocked when he learned that Atty. Henry
had shared the confidential information with his law
partner, Atty. Meyer, and their common friend,
private practitioner Atty. Canonigo. When
confronted, Atty. Henry replied that Niko never
signed any confidentiality agreement, and that he
shared the information with the two lawyers to
secure affirmance of his legal opinion on
Niko’s problem. Did Atty. Henry violate any rule of
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
ethics? Explain fully. (2008 Bar Question)
A: Atty. Henry violated Canon No. 21 of the CPR by
sharing information obtained from his client Niko
with Atty. Canonigo. Canon No. 20 provides that “a
lawyer shall preserve the confidences or secrets of his
client even after the attorney-client relationship is
terminated.” The fact that Atty. Canonigo is a friend
from whom he intended to secure legal opinion on
Niko’s problem, does not justify such disclosure. He
cannot obtain a collaborating counsel without the
consent of the client. (Rule 18.01, CPR)
On the other hand, Atty. Henry did not violate Canon
21 in sharing information with his partner Atty.
Meyer. Rule 21.04 of the CPR specifically provides
that “a lawyer may disclose the affairs of a client of
the firm to partners or associates thereof
unless prohibited by the client.” Atty. Henry was not
prohibited from disclosing the affairs of Niko with the
members of his law firm. The employment of a
member of a firm is generally considered as
employment of the firm itself. (Hilado v. David, G.R.
No. L-961, Sept. 21, 1949)
Q: Can the lawyer refuse from disclosing his
client’s identity?
A: GR: A lawyer may not invoke privileged
communication to refuse revealing a client’s identity.
XPN:
1. When there is a strong possibility that
revealing the client’s name would implicate
the client in the very activity for which he
sought the lawyer’s advice;
2. When disclosure would open the client to
civil liability;
3. When government’s lawyers have no case
against an attorney’s client and revealing the
client’s name would furnish the only link that
would come from the chain of testimony
necessary to convict him.
Q: What is the reason why a lawyer may not invoke
privileged communication to refuse revealing a
client’s identity?
A:
1. Due process considerations require that the
opposing party should know the adversary;
2. The privilege pertain to the subject matter of
the relationship;
3. The privilege begins to exist only after
attorney-client relationship has been
established hence it does not attach until
there is a client; and
103
4. The court has a right to know that the client
whose privileged information is sought to be
protected is flesh and blood.
WITHDRAWAL OF SERVICES
CANON 22, CPR
A LAWYER SHALL WITHDRAW HIS SERVICES ONLY
FOR GOOD CAUSE AND UPON NOTICE APPROPRIATE
IN THE CIRCUMSTANCES.
(1994, 1995, 1997, 2000, 2001, 2004, 2005, 2008 Bar
Questions)
Q: When is a lawyer allowed to withdraw his
services?
A: A lawyer shall withdraw his services only for good
cause and upon notice appropriate in the
circumstances.
GR: A lawyer lacks the unqualified right to withdraw
once he has taken a case. By his acceptance, he has
impliedly stipulated that he will prosecute the case to
conclusion. This is especially true when such
withdrawal will work injustice to a client or frustrate
the ends of justice.
XPN: The right of a lawyer to retire from the case
before its final adjudication, which arises only
from:
1. The client’s written consent; or
2. By permission of the court after due
notice and hearing.
Q: Does the written consent of the client require
approval of the court to be effective?
A: The withdrawal in writing of a lawyer as counsel
for a party, with the client’s written conformity, does
not require the approval of the court to be effective,
especially if the withdrawal is accompanied by a
formal appearance of a new counsel.
Q: What are the instances when a lawyer may
withdraw his services without the consent of his
client?
A: FIC MOVIE
1. When the client deliberately Fails to pay the fees
for the services or fails to comply with the
retainer agreement;
2. When the client pursues an Illegal or immoral
course of conduct in connection with the matter
he is handling;
3. When the lawyer finds out that he might be
appearing for a Conflicting interest;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
4. When the Mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively;
5. Other similar cases;
6. When the client insists that the lawyer pursue
conduct in Violation of these canons and rules;
7. When his Inability to work with co-counsel will
not promote the best interest of the client; and
8. When the lawyer is Elected or appointed to a
public office. (Rule 22.01, CPR)
Q: What is the procedure when withdrawal is
without client’s consent?
A:
1. File a petition for withdrawal in court.
2. Serve a copy of this petition upon his client and
the adverse party at least 3 days before the date
set for hearing.
Note: He should present his petition well in advance of the
trial of the action to enable the client to secure the services
of another lawyer.
If the application is filed under circumstances that do not
afford a substitute counsel sufficient time to prepare
for trial or that work prejudice to the client’s cause, the
court may deny his application and require him to conduct
the trial.
A lawyer should not presume that the court will grant his
petition for withdrawal. Until his withdrawal shall have
been proved, the lawyer remains counsel of record who is
expected by his client as well as by the court to do what the
interests of his client require.
Q: Can a client discharge the services of his lawyer
without a cause? (1994,1997,1998 Bar Question)
A: Yes. A client has the right to discharge his attorney
at any time with or without a cause or even against
his consent.
1. With just cause – lawyer is not necessarily
deprived of his right to be paid for his services.
He may only be deprived of such right if the
cause for his dismissal constitutes in itself a
sufficient legal obstacle to recovery.
2. Without just cause
a. No express written agreement as to fees -
reasonable value of his services up to the
date of his dismissal (quantum meruit).
b. There is written agreement and the fee
stipulated is absolute and reasonable – full
payment of compensation.
c. The fee stipulated is contingent.
d. If dismissed before the conclusion of the
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2013 GOLDEN NOTES
action - reasonable value of his services
(quantum meruit)
e. If contingency occurs or client prevents its
occurrence – full amount.
Note: A lawyer should question his discharge otherwise he
will only be allowed to recover on quantum meruit basis.
Q: What are the limitations on client’s right to
discharge the services of his lawyer?
A:
1. When made with justifiable cause, it shall
negate the attorney’s right to full payment of
compensation.
2. The attorney may, in the discretion of the court,
intervene in the case to protect his right to fees.
3. A client may not be permitted to abuse his right
to discharge his counsel as an excuse to secure
repeated extensions of time to file a pleading or
to indefinitely avoid a trial.
Q: Is notice of discharge necessary?
A: It is not necessary between client and attorney.
But insofar as the court and the adverse party is
concerned, the severance of the relation of attorney
and client is not effective until:
1. A notice of discharge by the client or a
manifestation clearly indicating that purpose
is filed with the court; and
2. A copy thereof served upon the adverse
party.
Q: What should a lawyer do if no notice of discharge
was filed by the client with the court?
A: If the client has not filed a notice of discharge, the
duty of the attorney, upon being informed by his
client that his services have been dispensed with, is
to file:
1. A notice of withdrawal with the client’s
conformity; or
2. An application to retire from the case, he being
released from professional responsibility only
after his dismissal or withdrawal is made of
record.
Q: What are the conditions for substitution of
counsel?
A:
1. Written application
2. Written consent of the client
3. Written consent of the attorney to be
substituted, or in the absence thereof, proof of
service of notice of said motion to the attorney
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 DUTIES AND RESPONSIBILITIES OF A LAWYER
to be substituted in the manner prescribed by
the rules.
Q: Is heavy workload an excuse to withdraw as
counsel?
A: No. Standing alone, heavy workload is not
sufficient reason for the withdrawal of a counsel.
When a lawyer accepts to handle a case, whether for
a fee or gratis et amore, he undertakes to give his
utmost attention, skill and competence to it
regardless of its significance. Failure to fulfill his
duties will subject him to grave administrative liability
as a member of the Bar. (Ceniza v. Atty. Rubia, A.C.
No. 6166, October 2, 2009)
Rule 22.01, Canon 22, CPR
A lawyer may withdraw his services in any of the
following case:
a. When the client pursues an illegal or immoral
course of conduct in connection with the matter he is
handling;
b. When the client insists that the lawyer pursue
conduct violative of these canons and rules;
c. When the inability to work with co- counsel will
not promote the best interest of the client;
d. When the mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively;
e. When the client deliberately fails to pay the fees
for the services or fails to comply with the retainer
agreement
f. When the lawyer is elected or appointed to public
office; and
g. Other similar cases.
Note: In cases a-e above, the lawyer must file a written
motion with an express consent of his client and the court
shall determine whether he ought to be allowed to retire.
He may also retire at any time from an action or special
proceeding without the consent of his client, should the
court, on notice to the client and attorney, and on hearing,
determine that he ought to be allowed to retire. (Sec. 26,
Rule 138, RRC)
Q: What is Hot Potato Rule?
A: The principle that a lawyer may not unreasonably
withdraw from representing a client. An exception
may be allowed for a conflict of interest arising from
circumstances beyond the control of the lawyer or
th
the law firm (Black’s Law Dictionary,9 edition).
Q: On the eve of the initial hearing for the reception
of evidence for the defense, the defendant and his
counsel had a conference where the client directed
105
the lawyer to present as principal defense witnesses
2 persons whose testimonies were personally
known to the lawyer to have been perjured. The
lawyer informed his client that he refused to go
along with the unwarranted course of action
proposed by the defendant. But the client insisted
on the directive, or else he would not pay the
agreed attorney’s fees. When the case was called for
hearing the next morning the lawyer forthwith
moved in open court that he be relieved as counsel
for the defendant. Both the defendant and the
plaintiff’s counsel objected to the motion. Under the
given facts, is the defense lawyer legally justified in
seeking withdrawal from the case? Why or why not?
Reason briefly.
A: Yes, he is justified. Under rule 22.01 of the CPR, a
lawyer may withdraw his services “if the client insists
that the lawyer pursue conduct violative of these
canon and rules”. The insistence of the client that the
lawyer present witnesses whom he personally knows
to have been perjured, will expose him to criminal
and civil liability and violate his duty of candor,
fairness and good faith to the court.
Q: Was the motion for relief as counsel made by the
defense lawyer in full accord with the procedural
requirements for a lawyer’s withdrawal from a
court case? Explain briefly. (2004 Bar Question)
A: No his actuation is not in accord with the
procedural requirements for the lawyer’s withdrawal
from a court case. Whether or not a lawyer has a
valid cause to withdraw from a case, he cannot just
do so and leave the client in the cold unprotected. He
must serve a copy of his petition upon the client and
the adverse party. He should, moreover, present his
petition well in advance of the trial of the action to
enable the client to secure the services of another
lawyer.
Q: Atty. X filed a notice of withdrawal of appearance
as counsel for the accused Y after the prosecution
rested its case. The reason for the withdrawal of
Atty. X was the failure of accused Y to affix his
conformity to the demand of Atty. X for increase in
attorney's fees. Is the ground for withdrawal
justified? Explain. (2000 Bar Question)
A: The ground for the withdrawal is not justified. Rule
22.01 (e) of the Code of Professional Responsibility
provides that a lawyer may withdraw his services
when the client deliberately fails to pay the fees for
his services or fails to comply with the retainer
agreement. In this case, the client has not failed to
pay the lawyer's fees or to comply with the retainer
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

agreement. He has only refused to agree with the

lawyer's demand for an increase in his fees. It is his
right to refuse as that is part of his freedom of
contract

Rule 22.02, Canon 22,CPR

A lawyer who withdraws or is discharged shall,
subject to a retaining lien, immediately turn over all
papers and property to which the client is entitled,
and shall cooperate with his successor in the orderly
transfer of the matter, including all information
necessary for the proper handling of the matter.

Q: What are the duties of a discharged lawyer or one

who withdraws?

A:
1. Immediately turn-over all papers and
property to which the client is entitled; and
2. To cooperate with his successor in the
orderly transfer of the case.

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 106
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS

SUSPENSION, DISBARMENT AND 2. Admonish;

DISCIPLINE OF LAWYERS 3. Reprimand;
RULE 139-B, RULES OF COURT 4. Suspend an attorney from practice for any of
the causes named in Sec 27, Rule 138 until
NATURE AND CHARACTERISTICS OF DISCIPLINARY further action of the Supreme Court in the
ACTIONS AGAINST LAWYERS case; (Sec. 16, Rule 139-B) and
5. Probation (IBP Guidelines)
Q: What is the rationale of disciplining errant
lawyers? Note: The CA and RTC cannot disbar a lawyer.

A: Practice of law is not a natural or constitutional
right, but it is in the nature of a privilege franchise.
Hence, the same may be suspended or removed from
the lawyer for reasons provided in the rules, law and
jurisprudence.
Q: What is the purpose of disciplining lawyers?
A: To ascertain that a lawyer still possesses those
qualifications which are conditions precedent for the
continuous practice of law and; to deter others from
similar misconduct, to protect the court and the
public from the misbehavior of its officers.
Note: A lawyer may be disciplined or suspended for any
misconduct professionally or privately (Cruz v. Atty. Jacinto,
Adm. Case No. 5235, March 22, 2000)
Q: What is the nature of the power to discipline?
A: The power to discipline a lawyer is JUDICIAL in
nature and can be exercised only by the courts. It
cannot be defeated by the legislative or executive
departments.
Note: The power to disbar and to reinstate is an inherently
judicial function (Andres v. Cabrera, SBC- 585, Feb. 29,
1984)
Q: What are the powers of the Supreme Court with
regard to the discipline of errant lawyers?
A: WARDSIP
1. Warn;
2. Admonish;
3. Reprimand;
4. Disbar;
5. Suspend a lawyer; [Sec. 27, Rule 138, Revised
Rules of Court (RRC)]
6. Interim suspension; and
7. Probation (IBP Guidelines)
Q: What about the Court of Appeals and the
Regional Trial Court?
A: They are also empowered to: WARSP
1. Warn;
Q: What are the other sanctions and remedies?
A: RALARRO
1. Restitution;
2. Assessment of costs;
3. Limitation upon practice;
4. Appointment of a receiver;
5. Requirement that a lawyer take the bar
examination or professional responsibility
examination;
6. Requirement that a lawyer attend
continuing education courses; and
7. Other requirements that the highest court or
disciplinary board deems consistent with the
purposes of the sanctions.
Q: What are the forms of disciplinary measures?
(2002, 2004 Bar Questions)
A: WARCS-DIP
1. Warning – an act of putting one on his guard
against an impending danger, evil, consequence
or penalty;
2. Admonition – a gentle or friendly reproof, mild
rebuke, warning, reminder, or counseling on a
fault, error or oversight; an expression of
authoritative advice;
3. Reprimand – a public and formal censure or
severe reproof, administered to a person at fault
by his superior officer or the body to which he
belongs;
4. Censure – official reprimand;
5. Suspension – temporary withholding of a
lawyer’s right to practice his profession as a
lawyer for a certain period or for an indefinite
period of time:
a. Definite;
b. Indefinite – qualified disbarment; lawyer
determines for himself how long or how
short his suspension shall last by proving
to court that he is once again fit to
resume practice of law.
Note: Indefinite suspension is not cruel. Indefinite
suspension put in his hands the key for the

UNIVERSITY OF SANTO TOMAS

107 FACULTY OF CIVIL LAW
 Legal Ethics
restoration of his rights and privileges as a lawyer
(Dumadag v. Atty. Lumaya, A.C. No. 2614, June
29, 2000)
6. Disbarment – it is the act of the Supreme Court
of withdrawing from an attorney the right to
practice law. The name of the lawyer is stricken
out from the Roll of Attorneys;
Note: A disbarred lawyer cannot be disbarred again.
(Yuhico v. Atty. Gutierrez, A.C. No. 8391, November 23,
2010)
7. Interim Suspension – it is the temporary
suspension of a lawyer from the practice of law
pending imposition of final discipline;
Includes:
a. Suspension upon conviction of a
“serious crime”;
b. Suspension when the lawyer’s
continuing conduct is or is likely to
cause immediate and serious injury to a
client or public
8. Probation – it is a sanction that allows a lawyer
to practice law under specified conditions.
SUI GENERIS
Q: What is the nature of the disciplinary actions
against lawyers?
A: Administrative cases against lawyers belong to a
class of their own (sui generis). They are distinct from
and may proceed independently of civil and criminal
cases. (In re Almacen, G.R. No. L-27654, Feb. 18,
1970; Funa, 2009)
Q: What are the main objectives of disbarment and
suspension?
A: To:
1. Compel the attorney to deal fairly and honestly
with his clients;
2. Remove from the profession a person whose
misconduct has proved him unfit to be entrusted
with the duties and responsibilities belonging to
the office of an attorney;
3. Punish the lawyer;
4. Set an example or a warning for the other
members of the bar;
5. Safeguard the administration of justice from
incompetent and dishonest lawyers;
6. Protect the public.
Note: The purpose and the nature of disbarment
proceedings make the number of defenses available in civil
and criminal actions inapplicable in disciplinary
proceedings.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
PRESCRIPTION
Q: Is there a prescriptive period for filing
administrative complaints against lawyers?
A: None. Rule VII, Section 1 of the Rules of Procedure
of the CBD-IBP, which provides for a prescriptive
period for the filing of administrative complaints
against lawyers, should be struck down as void and of
no legal effect for being ultra vires. (Heirs of Falame v.
Atty. Baguio, A.C. No. 6876, Mar. 7, 2008)
Q: May a lawyer be suspended or disciplined for his
misconduct in his private capacity?
A: GR: No.
XPN: If the misconduct is so GROSS as to show
him to be wanting in moral character, honesty,
probity and demeanor (Ducat, Jr. v. Villalon, A.C.
No. 3910, June 28, 2001).
Q: Atty. Gutierrez phoned Yuhico and asked for a
cash loan claiming that he needed money to pay for
the medical expenses of his mother who was
seriously ill, and promised to pay the loan very soon.
Consequently, he asked Yuhico again for a loan to
pay for his wife’s hospitalization and again
promised to pay “within a short time” but
failed to do so. Later, he again attempted to borrow
money for his daughter’s licensure
examination in the US Medical Board and assured
Yuhico that he will pay his debts on or before a
certain date but Yuhico refused to lend him the
money, instead, he demanded payment of his debts.
Atty. Gutierrez failed to pay which led to the filing of
a complaint before the IBP- CBD for non-payment of
just debts. It turned out that Atty. Gutierrez was
previously disbarred in the case of Huyssen v Atty.
Gutierrez for gross misconduct in view of his failure
to pay his debts and his issuance of worthless
checks. May Atty. Gutierrez be disbarred for the
second time?
A: No. The SC held that while the IBP recommended
to disbar Atty. Gutierrez for the second time, we do
not have double or multiple disbarment in our laws or
jurisprudence and neither do we have a law
mandating a minimum 5-year requirement for
readmission, as cited by the IBP. Thus, while
Gutierrez’s infraction calls for the penalty of
disbarment, they cannot disbar him anew. (Yuhico v
Atty. Gutierrez, A.C. No. 8391, Nov. 23, 2010)
108
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
GROUNDS
Q: What are the grounds for suspension and
disbarment of members of the bar under the Rules
of Court?
A: The following are specific grounds for suspension
or disbarment of a lawyer:
a. Deceit;
b. Malpractice;
c. Grossly immoral conduct
d. Conviction of a crime involving moral
turpitude;
e. Violation of oath of office;
f. Willful disobedience of any lawful order
of a superior court
g. Corrupt or willful appearance as an
attorney for a party to a case without
authority to do so. (Sec. 27, Rule 138,
RRC)
h. Non-payment of IBP membership dues
(Santos, Jr. v. Atty. Llas, Adm. Case No.
4749, January 20, 2000)
Note: Kinds of grounds for the suspension and disbarment
of a lawyer consist of those acts of misconduct committed:
1. Prior to admission to the bar - acts of misconduct prior
to admission include those that indicate that at the
time the lawyer took his oath, he did not possess the
required qualifications for membership in the bar.
Consequently, the cancellation of his license is
justified.
2. After admission to the bar - those which cause loss of
moral character on his part or involve violation of his
duties to the court, his client, to the legal profession
and to the public.
Disbarment and suspension of a lawyer, being the most
severe forms of disciplinary sanction, should be imposed
with great caution and only in those cases where the
misconduct of the lawyer as an officer of the court and a
member of the bar is established by clear, convincing and
satisfactory proof. (Vitug v. Rongcal, A.C. No. 6313, Sept. 7,
2006)
Disbarment is merited when the action is not the lawyer’s
first ethical infraction of the same nature. (Que v. Revilla,
A.C. No. 7054, Dec. 4, 2009)
Lending money by a justice of Supreme Court, not a ground
for disbarment and helping a person apply for sale
application on a lot is not an offense and not also a ground
for disbarment (Olazo v. Justice Tinga (Ret.), A.M. No. 10-5-
7-SC, December 7, 2010)
Q: Are the grounds for disbarment exclusive?
A: No. A lawyer may be removed from office or
suspended from the practice of law on grounds other
109
than those specifically provided in the law.
The statutory enumeration is not to be taken as a
limitation on the general power of SC to suspend or
disbar a lawyer. (In Re: Puno, A.C. No. 389, Feb. 28,
1967)
Q: What is deceit?
A: Deceit is a fraudulent and deceptive
misrepresentation, artifice or device used by one or
more persons to deceive and trick another who is
ignorant of the true facts, to the prejudice and
damage of the party upon which it was imposed.
There must be false representation as a matter of
fact. (e.g. Misappropriation of client’s fund)
Q: What is malpractice?
A: Malpractice refers to any malfeasance or
dereliction of duty committed by a lawyer. (Tan
TekBeng v. David, Adm. Case No. 1261, Dec. 29 1983;
Lapena,Jr., 2009)
Note: Legal malpractice consists of failure of an attorney to
use such skill, prudence and diligence as a lawyer of
ordinary skill and capacity commonly possess and exercise
in the performance of tasks which they undertake, and
when such failure proximately causes damage, it gives rise
to an action in tort. (Tan TekBeng v. David, A.C. No. 1261,
Dec. 29, 1983)
Q: What is Gross Misconduct?
A: Gross Misconduct is any inexcusable, shameful or
flagrant unlawful conduct on the part of the person
concerned in the administration of justice which is
prejudicial to the rights of the parties or to the right
determination of a cause, a conduct that is generally
motivated by a predetermined, obstinate or
intentional purpose. (Yumol Jr. v. Ferrer, Sr., A.C. No.
6585, Apr. 21, 2005)
Q: What is Grossly Immoral Conduct?
A: Grossly immoral conduct is one that is so corrupt
and false as to constitute a criminal act or so
unprincipled or disgraceful as to be reprehensible to a
high degree. (Vitug v. Rongcal, A.C. No. 6313, Sept. 7,
2006);
Note: Mere intimacy between a lawyer and a woman with
no impediment to marry each other, and who voluntarily
cohabited and had two children, is neither so corrupt to
constitute a criminal act nor so unprincipled as to warrant
disbarment or disciplinary action against the man as a
member of the bar. (Arciga v. Maniwang, A.C. No. 1608,
Aug. 14, 1981)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: What is Moral Turpitude?
A: Moral turpitude has been defined as “everything
that is done contrary to justice, honesty, modesty, or
good morals, an act of baseness, vileness, or
depravity in the private duties which a man owes his
fellowmen, or to society in general, contrary to the
accepted and customary rule of right and duty
between man and woman, or conduct contrary to
justice, honesty modesty, or good morals. (Soriano v.
Dizon, A. C. No. 6792, Jan. 25, 2006)
Q: What are the other statutory grounds for
suspension and disbarment of members of the bar?
A: Other statutory grounds include:
1. Acquisition of interest in the subject matter of
the litigation, either through purchase or
assignment; (Art. 1491, New Civil Code)
2. Breach of professional duty, inexcusable
negligence, or ignorance, or for the revelation of
the client’s secrets; (Art. 208, Revised Penal
Code)
3. Representing conflicting interests. (Art. 209, RPC)
Q: What are the other grounds for disciplining a
lawyer?
A:
1. Non-professional misconduct
GR: A lawyer may not be suspended or disbarred
for misconduct in his non-professional or private
capacity.
XPN: Where such is so gross as to show him to be
morally unfit for office or unworthy of privilege,
the court may be justified in suspending or
removing him from the Roll of Attorneys. (2005
Bar Question)
Note: The issuance of worthless checks constitutes
gross misconduct as its effect transcends the private
interests of the parties directly involved in the
transaction and touches the interests of the
community at large.
2. Gross immorality – An act of personal immorality
on the part of a lawyer in his private relation with
opposite sex may put his character in doubt. But
to justify suspension or disbarment, the act must
not only be immoral, it must be grossly immoral.
(Abaigar v. Paz, A.M. No. 997, Sept. 10, 1979)
Note: Cohabitation per se is not grossly immoral. It
depends on circumstances and is not necessary that
there be prior conviction for an offense before lawyer
may be disciplined for gross immorality. If the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
evidence is not sufficient to hold a lawyer liable for
gross immorality, he may still be reprimanded where
evidence shows failure on his part to comply with
rigorous standards of conduct required from lawyers.
3. Conviction of a crime involving moral turpitude –
All crimes of which fraud or deceit is an element
or those inherently contrary to rules of right
conduct, honesty or morality in civilized
community.
4. Promoting to violate or violating penal laws
5. Misconduct in discharge of official duties – A
lawyer who holds a government office may not
be disciplined as a member of the bar for
misconduct in the discharge of his duties as
government official.
However, if the misconduct is in violation of the
CPR or of his oath as a lawyer or is of such a
character as to affect his qualifications as a
lawyer, he may be subject to disciplinary action
such as disbarment. (Collantes v. Renomeron,
A.C. No. 3056, Aug. 16, 1991)
Note: This rule does not apply to impeachable officials
like SC justices, members of constitutional
commissions and Ombudsman because they can be
removed only by impeachment.
6. Commission of fraud or falsehood; and
7. Misconduct as notary public
Note: By applying for having himself commissioned as
notary public, a lawyer assumes duties in a dual
capacity, the non-performance of which may be a
ground for discipline as a member of the bar.
Q: What are the acts constituting breach of duties to
court?
A:
1. Obstructing justice and abuse of legal
process;
2. Misleading the court;
3. Forum shopping;
4. Preferring false charges;
5. Introducing false evidence;
6. Willfully disobeying court orders and
disrespecting the court;
7. Using vicious or disrespectful language;
8. Continuing practice after suspension
Q: What are the acts constituting breach of duties to
client?
A:
1. Negligence in the performance of his duties
110
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
2. Employment of unlawful means
3. Deceit or misrepresentation to the prejudice
of or as a means to defraud his client
4. Representing adverse interests and revealing
client’s secrets
5. Purchasing client’s property in litigation
6. Failing to account or misappropriating
client’s property
7. Collecting unreasonable fees
8. Acting without authority
9. Willfully appearing without being retained
Q: What are the acts constituting breach of duties to
the bar?
A:
1. Defaming fellow lawyers
2. Communicating with adverse party
3. Soliciting business
4. Advertising
5. Cooperating in illegal practice of law
6. Non-payment of IBP dues
Q: Is the judgment of suspension against a Filipino
lawyer in foreign court conclusive evidence to
suspend the lawyer in his practice in the Philippines?
A: No. The judgment of suspension against a Filipino
lawyer in a foreign jurisdiction does not automatically
result in his suspension or disbarment in the
Philippines as the acts giving rise to his suspension
are not grounds for disbarment and suspension in
this jurisdiction. Judgment of suspension against a
Filipino lawyer may transmute into a similar judgment
of suspension in the Philippines only if the basis of
the foreign court's action includes any of the grounds
for disbarment or suspension in this jurisdiction. Such
judgment merely constitutes prima facie evidence of
unethical acts as lawyer (Velez v. De Vera, A.C. No.
6697, July 25, 2006).
PROCEEDINGS
Q: What are the characteristics of disbarment
proceedings?
A:
1. Sui Generis –
a. Neither purely civil nor purely criminal, they
do not involve a trial of an action or a suit,
but are rather investigations by the Court
into the conduct of one of its officers.
b. Not a civil action because there is neither
plaintiff nor respondent, and involves no
private interest. The complainant is not a
party and has no interest in the outcome
111
except as all citizens have in the proper
administration of justice. There is no redress
for private grievance.
c. Not a criminal prosecution because it is not
meant as a punishment depriving him of
source of livelihood but rather to ensure that
those who exercise the function should be
competent, honorable and reliable so that
the public may repose confidence in them.
Note: A disbarment proceeding may proceed
regardless of interest or lack of interest of the
complainant (Rayos-Ombac v. Rayos, A.C. No. 2884,
Jan. 28, 1998). However, if the complainant refuses to
testify and the charges cannot then be substantiated,
the court will have no alternative but to dismiss the
case. (2000 Bar Question)
2. The defense of “double jeopardy” cannot be
availed of in a disbarment proceeding;
3. It can be initiated motu proprio by the SC or IBP.
It can be initiated without a complaint;
4. It is imprescriptible;
5. Conducted confidentially;
6. It can proceed regardless of the interest or the
lack thereof on the part of the complainant; and
7. It in itself constitutes due process of law.
8. Whatever has been decided in a disbarment case
cannot be a source of right that may be enforced
in another action;
9. In pari delicto rule not applicable;
10. No prejudicial question in disbarment
proceedings;
11. Penalty in a disbarment case cannot be in the
alternative; and
12. Monetary claims cannot be granted except
restitution and return of monies and properties
of the client given in the course of the lawyer-
client relationship.
Q: What is the three-fold purpose of confidentiality
of disbarment proceedings? (1991 Bar Question)
A:
1. To enable the court to make its investigation free
from extraneous influence or interference;
2. To protect the personal and professional
reputation of attorneys from baseless charges of
disgruntled, vindictive and irresponsible persons
or clients by prohibiting publication of such
charges pending their final resolution (Albano v.
Coloma, A.C. No. 528, Oct. 11, 1967);
3. To deter the press from publishing charges or
proceedings based thereon for even a verbatim
reproduction of the complaint against an
attorney in the newspaper may be actionable.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Note: The confidentiality of the proceedings is a privilege
which may be waived by the lawyer in whom and for the
protection of whose personal and professional reputation it
is vested, as by presenting the testimony in a disbarment
case or using it as impeaching evidence in a civil suit.
(Villalon v. IAC, G.R. No. L-73751, Sept. 24, 1986)
Q: What are the offices authorized to INVESTIGATE
disbarment cases?
A:
1. Supreme Court (Sec. 13, Rule 139-B, Rules of
Court)
2. IBP through its Commission on Bar Discipline or
authorized investigator (Sec. 2, Rule 139-B, Rules
of Court)
3. Office of the Solicitor General (Sec. 13, Rule 139-
B, Rules of Court)
Q: What are the purposes of disbarment as a means
of disciplining erring lawyers? (1991 Bar Question)
A: The purposes of disbarment are:
1. To protect the public
2. To protect and preserve the legal profession
Note: The court requires for such admission to
the Bar the possession of a good moral character.
Disbarment is necessary so that respectability of
the bar will be maintained.
3. To compel the lawyer to comply with his
duties and obligations under the CPR.
Q: Who has the burden of proof?
A: The burden of proof is upon the complainant and
the SC will exercise its disciplinary power only if the
complainant establishes his case by the required
quantum of proof which is clear, convincing and
satisfactory evidence. (Aquino v. Mangaoang, A.C.
No. 4934, Mar. 17, 2004)
PROCEDURE FOR DISBARMENT
BAR MATTER NO. 1960
(MAY 1, 2000)
AMENDMENT OF SECTION 1, RULE 139-B OF THE
REVISED RULES OF COURT
Q: How is a disbarment proceeding instituted?
A: Proceedings for disbarment, suspension or
discipline of attorneys may be taken by the:
1. Supreme Court motuproprio; or
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
2. Integrated Bar of the Philippines (IBP) upon the
verified complaint of any person. The complaint
shall state clearly and concisely the facts
complained of and shall be supported by
affidavits of persons having personal knowledge
of the facts therein alleged and/or by such
documents as may substantiate said facts.
DISBARMENT PROCEEDINGS BEFORE THE IBP
The IBP Board of Governors may:
1. Motu proprio; or
2. Upon referral by the Supreme Court; or
3. By a Chapter Board of Officers; or
4. At the instance of any person, initiate and
prosecute proper charges against erring
attorneys including those in the government
service; Provided, however, that all charges
against Justices of the Court of Tax Appeals and
the Sandiganbayan, and Judges of the Court of
Tax Appeals and lower courts, even if lawyers are
jointly charged with them, shall be filed with the
Supreme Court; Provided, further, that charges
filed against Justices and Judges before the IBP,
including those filed prior to their appointment
in the Judiciary, shall immediately be forwarded
to the Supreme Court for disposition and
adjudication.
"Six (6) copies of the verified complaint shall be filed
with the Secretary of the IBP or the Secretary of any
of its chapters who shall forthwith transmit the same
to the IBP Board of Governors for assignment to an
investigator.” (Sec. 1, third par., Rule 139-B, RRC)
PROCEDURAL STEPS FOR
DISBARMENT IN THE IBP
1. The Board of Governors shall appoint from
among the IBP members an investigator or when
special circumstances so warrant, a panel of 3
investigators to investigate the complaint;
2. If the complaint is meritorious, the respondent
shall be served with a copy requiring him to
answer within 15 days from service.
3. The respondent shall file a verified answer
containing 6 copies; after receipt of the answer
or lapse of the period to do so, the Supreme
Court, may, motu proprio or at the instance of
the IBP Board of Governors, upon
recommendation by the investigator, suspend an
attorney from practice, for any of the causes
under Rule 138, Sec. 27, during the pendency of
the investigation
4. After joinder of the issues or failure to answer,
112
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
the respondent shall be given full opportunity to
defend himself. But if the respondent fails to
appear to defend himself in spite of notice, the
investigator may proceed ex parte. The
investigation shall be terminated within 3
months from commencement which period may
be extended.
5. The investigator shall make a report to the Board
of Governors within 30 days from termination of
the investigation which report shall contain his
findings and recommendations together with the
evidence.
6. The Board of Governors shall have the power to
review the decision of the investigator. Its
decision shall be promulgated within a period not
exceeding 30 days from the next meeting of the
Board following the submission of the report of
the investigator.
7. If the decision is a finding of guilt of the charges,
the IBP Board of Governors shall issue a
resolution setting forth its findings and
recommendations which shall be transmitted to
the Supreme Court for final action together with
the record.
If the decision is for exoneration, or if the
sanction is less than suspension or dismissal, the
Board shall issue a decision exonerating the
respondent of imposing a lesser sanction. The
resolution exonerating the respondent shall be
considered as terminating the case unless upon
petition of the complainant or other interested
party filed with the Supreme Court within 15
days from notice of the Board’s decision.
RESOLUTION OF THE COURT EN BANC
DATED JUNE 17, 2008 B.M. NO. 1755
(RE: RULES OF PROCEDURE OF THE COMMISSION
ON BAR DISCIPLINE)
Q: Is a motion for reconsideration allowed?
A: It depends.
1. A party can no longer file a motion for
reconsideration of any order or resolution of the
Investigating Commissioner, such motion being a
prohibited pleading.
2. Regarding the issue of whether a motion for
reconsideration of a decision or resolution of the
Board of Governors (BOG) can be entertained, an
aggrieved party can file said motion with the
BOG within fifteen (15) days from notice of
receipt thereof by said party.
3. In case a decision is rendered by the BOG that
113
exonerates the respondent or imposes a sanction
less than suspension or disbarment, the
aggrieved party can file a motion for
reconsideration within the 15-day period from
notice. If the motion is denied, said party can file
a petition for a review under Rule 45 of the Rules
of Court with the Supreme Court within fifteen
(15) days from notice of the resolution resolving
the motion. If no motion for reconsideration is
filed, the decision shall become final and
executory and a copy of said decision shall be
furnished the Supreme Court.
4. If the imposable penalty is suspension from the
practice of law or disbarment, the BOG shall
issue a resolution setting forth its findings and
recommendations. The aggrieved party can file a
motion for reconsideration of said resolution
with the BOG within fifteen (15) days from
notice. The BOG shall first resolve the incident
and shall thereafter elevate the assailed
resolution with the entire case records to the
Supreme Court for final action. If the 15-day
period lapses without any motion for
reconsideration having been filed, then the BOG
shall likewise transmit to this Court the
resolution with the entire case records for
appropriate action.
Note: Lawyers must update their records with the IBP by
informing the IBP National Office or their respective
chapters of any change in office or residential address and
other contact details. In case such change is not duly
updated, service of notice on the office or residential
address appearing in the records of the IBP National Office
shall constitute sufficient notice to a lawyer for purposes of
administrative proceedings against him. (KeldStemmerik v.
Atty. Leonuel Mas, A.C. No. 8010, June 16, 2009)
DISBARMENT PROCEEDINGS BEFORE THE
SUPREME COURT
1. In proceedings initiated motu proprio by the
Supreme Court or in other proceeding when the
interest of justice so requires, the Supreme Court
may refer the case for investigation to the
Solicitor General or to any officer of the Supreme
Court or judge of a lower court, in which case the
investigation shall proceed in the same manner
provided in Sections 6 to 11 of Rule 139-B, RRC,
save that the review of the report of
investigation shall be conducted directly by the
Supreme Court (Sec. 13, Rule 139-B, RRC)
Note: Reference of the Court to the IBP of complaints
against lawyers is not mandatory (Zaldivar v.
Sandiganbayan, G.R. Nos. 79590-707; Zaldivar v.
Gonzales, G.R. No. 80578, Oct. 7,1988).
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

Note: Reference of complaints to the IBP is not an

exclusive procedure under Rule 139-B, RRC. The Court
may conduct disciplinary proceedings without the
intervention of the IBP by referring cases for
investigation to the Solicitor General or to any officer
of the Supreme Court or judge of a lower court. In such
case, the report or recommendation of the
investigating official shall be reviewed directly by the
Supreme Court. (Bautista v. Gonzales, A.M. No. 1626,
February 12,1990; Funa, 2009)

2. Based upon the evidence adduced at the

investigation, the Solicitor General or other
Investigator designated by the Supreme Court a
report containing his findings of fact and
recommendations together with the record and
all the evidence presented in the investigation
for the final action of the Supreme Court. (Sec.
14, Rule 139-B, RRC)

Q: Atty. Narag’s spouse filed a petition for

disbarment because her husband courted one of his
students, maintained the said student as a mistress
and had children with her. On the other hand, Atty.
Narag claimed that his wife was a possessive,
jealous woman who abused him and filed the
complaint against him out of spite. Atty. Narag,
however, failed to refute the testimony given
against him. His actions were of public knowledge. Is
Atty. Narag’s disbarment appropriate?

A: Yes, Atty. Narag failed to prove his innocence

because he failed to refute the testimony given
against him and it was proved that his actions were of
public knowledge and brought disrepute and
suffering to his wife and children. Good moral
character is a continuing qualification required of
every member of the bar. Thus, when a lawyer fails to
meet the exacting standard of moral integrity, the
Supreme Court may withdraw his or her privilege to
practice law. When a lawyer is found guilty of gross
immoral conduct, he may be suspended or disbarred.
As a lawyer, one must not only refrain from
adulterous relationships but must not behave in a
way that scandalizes the public by creating a belief
that he is flouting those moral standards. (Narag v.
Atty. Narag, A.C. No. 3405, June 29, 1998)

Q: What is the effect of a lawyer’s death during

pendency of disciplinary action against him?

A:
1. Renders the action moot and academic, but
2. The Court may still resolve the case on its merit
in order to clear publicly the name of the lawyer

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 114
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS

PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTONEYS BY THE

SUPREME COURT MOTU PROPRIO (Rule 139-B, RRC)

Supreme Court shall refer the case to an investigator, who

may either be:
1. Solicitor General,
2. Any officer of the SC, or
3. Any judge of a lower court

e
Notify Respondent

RESPONDENT’S VERIFIED ANSWER (Must be filed

within 15 days from service)

INVESTIGATION
(TERMINATE WITHIN 3 MONTHS)

REPORT TO SUPREME COURT (to be submitted not later

than 30 days from investigation’s termination)

REPORT MUST CONTAIN THE INVESTIGATOR’S:

SUPREME COURT
1. Findings of fact
FOR REVIEW or
2. Recommendations
JUDGMENT

Note: An investigating judge cannot dismiss a case. The investigating judge’s authority is only to investigate, make a report
and recommendation on the case to be submitted to the SC for final determination. (Garciano v. Sebastian, A.M. MTJ-88-160,
Mar. 30, 1994)

UNIVERSITY OF SANTO TOMAS

115 FACULTY OF CIVIL LAW
 Legal Ethics

PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP (Rule 139-B, RRC)

VERIFIED COMPLAINT TO THE IBP BY ANY PERSON

IBP MotuProprio(Committee on Bar Complaint must be:
Discipline through National Grievance 1. In writing;
Investigator) 2. State facts complained of; and
3. Supported by affidavits / documents

Shall appoint an investigator / panel of 3

investigators and notify respondent

RECOMMEND DISMISSAL IF NOT IF MERITORIOUS,

MERITORIOUS RESPONDENT’S VERIFIED ANSWER
(Must be filed within 15 days from
service)

DISMISSAL BY BOARD OF GOVERNORS – INVESTIGATION (terminate within 3 months)

(should be promulgated within a period not
exceeding 30 days from the next meeting of
the board following the submittal of the
investigator’s report)
1. Investigator may issue subpoenas and
administer oaths,
2. Provide respondent with opportunity to be
heard,
3. May proceed with investigation ex parte
should respondent fail to appear.

BOARD OF GOVERNORS FOR REVIEW REPORT TO BOARD OF GOVERNORS

(issues a Resolution – Should be (Submitted not later than 30 days from
promulgated within a period not termination of investigation) containing:
exceeding 30 days from the next Findings of facts
meeting of the board following the Recommendations
submittal of the Investigator’s Report.)

SUPREME COURT FOR

JUDGMENT

ISSUE DECISION IF: The case shall be deemed terminated unless

Exonerated upon petition of the complainant or other
Sanction is less than suspension / interested party filed with the Supreme Court
disbarment (admonition, within fifteen (15) days from notice of the
reprimand, or fine) Board's resolution, the Supreme Court orders
otherwise

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2013 GOLDEN NOTES 116
 SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
Q: What is the effect of the desistance, withdrawal
of complaint or non-appearance of complainant in
disbarment proceedings?
A: The desistance or the withdrawal of the
complainant of the charges against a judge/lawyer
does not deprive the court of the authority to
proceed to determine the matter. Nor does it
necessarily result in the dismissal of the complaint
except when, as a consequence of the withdrawal or
desistance no evidence is adduced to prove the
charges.
Q: Is the doctrine of res ipsa loquitur applicable in
cases of dismissal of judges or disbarment of
lawyers? (1996, 2003 Bar Questions)
A: Yes. This principle or doctrine applies to both
judges and lawyers. Judges had been dismissed from
the service without need of a formal investigation
because based on the records, the gross misconduct
or inefficiency of judges clearly appears. (Uy v.
Mercado, A.M. No. R-368-MTJ, Sept. 30, 1987)
The same principle applies to lawyers. Thus, where on
the basis of the lawyer’s comment or answer to show
a show-cause order of SC, it appears that the lawyer
has so conducted himself in a manner which exhibits
his blatant disrespect to the court, or his want of
good moral character or his violation of the
attorney’s oath, the lawyer may be suspended or
disbarred without need of trial-type proceeding.
What counts is that the lawyer has been given the
opportunity to air his side. (Prudential Bank v. Castro,
A.M. No. 2756, June 5, 1986)
Q: What are the mitigating circumstances in
disbarment?
A:
1. Good faith in the acquisition of a property of the
client subject of litigation (In Re: Ruste, A.M. No.
632, June 27, 1940);
2. Inexperience of the lawyer (Munoz v. People,
G.R. No. L-33672, Sept. 28, 1973);
3. Age (Santos v. Tan, A.C. No. 2697, Apr. 19, 1991);
4. Apology (Munoz v. People, G.R. No. L- 33672,
Sept. 28, 1973);
5. Lack of Intention to slight or offend the Court
(Rheem of the Philippines, Inc. v. Ferrer, G.R. No.
L-22979, Jan. 27, 1967);
6. Absence of prior disciplinary record;
7. Absence of dishonest or selfish motive;
8. Personal or emotional problems;
9. Timely good faith effort to make restitution or to
rectify consequences of misconduct;
117
10. Full and free disclosure to disciplinary board or
cooperative attitude toward the proceedings;
11. Character or reputation;
12. Physical or mental disability or impairment;
13. Delay in disciplinary proceedings;
14. Interim rehabilitation;
15. Imposition of other penalties or sanctions;
16. Remorse;
17. Remoteness of prior offenses. (IBP Guidelines
9.32)
Note: Disbarment should not be decreed where any
punishment less severe such as reprimand, suspension or
fine would accomplish the end desired. (Amaya v. Tecson,
A.C. No. 5996, Feb. 7, 2005)
Q: What are the aggravating circumstances in
disbarment?
A:
1. Prior disciplinary offenses;
2. Dishonest or selfish motives;
3. A pattern of misconduct;
4. Multiple offenses;
5. Bad faith obstruction of the disciplinary
proceeding by intentionally failing to comply with
rules or orders of the disciplinary agency;
6. Submission of false evidence, false statements,
or other deceptive practices during the
disciplinary process;
7. Refusal to acknowledge wrongful nature of
conduct;
8. Vulnerability of victim;
9. Substantial experience in the practice of law; and
10. Indifference to making restitution. (IBP
Guidelines 9.22)
Q: What are the instances that are neither
aggravating nor mitigating?
A:
1. Forced or compelled restitution;
2. Agreeing to the client’s demand for certain
improper behavior or result;
3. Withdrawal of complaint against the lawyer;
4. Resignation prior to completion of disciplinary
proceedings;
5. Complainants recommendation as to sanctions;
6. Failure of injured client to complain. (IBP
Guideline 9.4)
Q: What are the guidelines to be observed in the
matter of the lifting of an order suspending a lawyer
from the practice of law?
A:
1. Upon the expiration of the period of suspension,
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

respondent shall file a Sworn Statement with the

Court, through the Office of the Bar Confidant,
stating therein that he or she has desisted from
the practice of law and has not appeared in any
court during the period of his or her suspension;
2. Copies of the Sworn Statement shall be furnished
to the Local Chapter of the IBP and to the
Executive Judge of the courts where respondent
has pending cases handled by him or her, and/or
where he or she has appeared as counsel; and
3. The Sworn Statement shall be considered as
proof of respondent’s compliance with the order
of suspension;

DISCIPLINE OF FILIPINO LAWYERS

PRACTICING ABROAD

Q: What is the effect in the Philippines of the

disbarment or suspension of a Filipino lawyer in a
foreign country?

A: If the Filipino lawyer is disbarred or suspended

from the practice of law by a competent court or
disciplinary agency in a foreign jurisdiction where he
has been admitted as an attorney, and a ground
therefor includes any of the acts enumerated in
Section 27, Rule 138 of the RRC, such disbarment or
suspension is a ground for his disbarment or
suspension in the Philippines. (Lapena, 2009)

Note: The judgment, resolution or order of the foreign

court or disciplinary agency shall be prima facie evidence of
the ground for disbarment or suspension. (SC Resolution
date 21 February 1992 amending Sec. 27, Rule 138, RRC)

Q: Atty. LA is a member of the Philippine Bar and the

California Bar in the United States. For willful
disobedience of a lawful order of a Superior Court in
Los Angeles, Atty. LA was suspended from the
practice of law in California for one (1) year. May his
suspension abroad be considered a ground for
disciplinary action against Atty. LA in the
Philippines? Why? (2002 Bar Question)

A: The suspension of Atty. LA from the practice of law

abroad may be considered as a ground for
disciplinary action here if such suspension was based
on one of the grounds for disbarment in the
Philippines or shows a loss of his good moral
character, a qualification he has to maintain in order
to remain a member of the Philippine Bar.

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2013 GOLDEN NOTES 118
 READMISSION TO THE BAR
READMISSIONTO THE BAR
Q: What is reinstatement?
A: It is the restoration in disbarment proceedings a
disbarred lawyer the privilege to practice law.
Note: The power of the Supreme Court to reinstate is based
on its constitutional prerogative to promulgate rules on the
admission of applicants to the practice of law. (Sec. 5[5],
Art. VIII, 1987 Constitution)
Q: What are the conditions in reinstatement?
A: The applicant must, like a candidate for admission
to the Bar, satisfy the Court that he is a person of
good moral character – a fit and proper person to
practice law.
READMISSION TO THE BAR OF LAWYERS
WHO HAVE BEEN SUSPENDED
Q: Raul Gonzales was found guilty of both contempt
of court in facie curiae and gross misconduct as an
officer of court and member of the bar. For this, he
was suspended indefinitely. After more than 4 years
from his suspension, Gonzales filed an ex-parte
motion to lift his suspension from the practice of
law, alleging that he gave free legal aid services by
paying lawyers to do the same as he could not
personally represent said clients; pursued civic work
for the poor; brought honor to the country by
delivering a paper in Switzerland; that he has a long
record in the service of human rights and the rule of
law; his suspension of 51 months has been the
longest so far; states his profound regrets for the
inconvenience which he has caused to the Court;
sincerely reiterates his respect to the institution as
he reiterates his oath to conduct himself as a
lawyer. May his suspension be lifted?
A: Yes. Gonzales’ contrition, so noticeably absent in
his earlier pleadings, has washed clean the offense of
his disrespect. His remorse has soften his arrogance
and made up for his misconduct. Gonzales’
suspension has given him ample time and
opportunity to amend his erring ways, rehabilitate
himself, and thus, prove himself worthy once again to
enjoy the privileges of membership of the Bar. His
motion was granted. (Zaldivar v. Gonzales, G.R. Nos.
79690- 707, April 7, 1993)
Q: Is the lifting of the suspension order automatic?
A: No. The lifting of a lawyer’s suspension is
not automatic upon the end of the period stated in
the Court’s decision, and an order from the Court
119
lifting the suspension at the end of the period is
necessary in order to enable [him] to resume the
practice of his profession. (J.K. Mercado and Sons
Agricultural Enterprises, Inc. et al. v. Atty. de Vera, et
al. and Atty. de Vera v. Atty. Encanto, et al.)
Thus, according to the OBC, a suspended lawyer must
first present proof(s) of his compliance by submitting
certifications from the Integrated Bar of the
Philippines and from the Executive Judge that he has
indeed desisted from the practice of law during the
period of suspension. Thereafter, the Court, after
evaluation, and upon a favorable recommendation
from the OBC, will issue a resolution lifting the order
of suspension and thus allow him to resume the
practice of law. (Maniago v. Atty. De Dios, A.C. No.
7472, March 30, 2010)
Q: What are the guidelines to be observed in case of
lifting an order suspending a lawyer from the
practice of law?
A: The following guidelines were issued by the
Supreme Court, the same to be observed in the
matter of the lifting of an order suspending a lawyer
from the practice of law:
1. After a finding that respondent lawyer must be
suspended from the practice of law, the Court
shall render a decision imposing the penalty;
2. Unless the Court explicitly states that the
decision is immediately executory upon receipt
thereof, respondent has 15 days within which to
file a motion for reconsideration thereof. The
denial of said motion shall render the decision
final and executory;
3. Upon the expiration of the period of suspension,
respondent shall file a Sworn Statement with the
Court, through the Office of the Bar Confidant,
stating therein that he or she has desisted from
the practice of law and has not appeared in any
court during the period of his or her suspension;
4. Copies of the Sworn Statement shall be furnished
to the Local Chapter of the IBP and to the
Executive Judge of the courts where respondent
has pending cases handled by him or her, and/or
where he or she has appeared as counsel;
5. The Sworn Statement shall be considered as
proof of respondent’s compliance with the
order of suspension;
6. 6. Any finding or report contrary to the
statements made by the lawyer under oath shall
be a ground for the imposition of a more severe
punishment, or disbarment, as may be
warranted.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
READMISSION TO THE BAR OF LAWYERS
WHO HAVE BEEN DISBARRED
Q: What are the requirements for judicial clemency
for disbarred lawyers and judges?
A:
1. There must be proof of remorse and
reformation.
2. Sufficient time must have elapsed from the
imposition of the penalty to ensure a period of
reform.
3. The age of the person asking for clemency must
show that he still has productive years ahead of
him that can be put to good use by giving him a
chance to redeem himself.
4. There must be a showing of promise (such as
intellectual aptitude, learning or legal acumen or
contribution to the legal scholarship and the
development of the legal system), as well as
potential for public service.
5. There must be other relevant factors and
circumstances that may justify clemency.
Q: What must the Supreme Court take into
consideration in reinstatement?
A:
1. The applicant’s character and standing prior
to the disbarment;
2. The nature and character of the charge for which
he was disbarred;
3. His conduct subsequent to the disbarment, and
the time that has elapsed between the
disbarment and the application for
reinstatement; (Prudential Bank v. Benjamin
Grecia, A.C. No. 2756, Dec. 18, 1990)
4. His efficient government service; (In re: Adriatico,
G.R. No. L-2532, Nov. 17, 1910)
5. Applicant’s appreciation of the significance
of his dereliction and his assurance that he now
possesses the requisite probity and integrity; and
6. Favorable endorsement of the IBP and pleas of
his loved ones. (Yap Tan v. Sabandal, B.M. No.
144, Feb. 24, 1989)
Note: Whether or not the applicant shall be reinstated rests
on the discretion of the court. (Prudential Bank v. Benjamin
Grecia, A.C. No. 2756, Dec. 18, 1990)
The court may require applicant for reinstatement to enroll
in and pass the required fourth year review classes in a
recognized law school. (Cui v. Cui, In Re: Resian, A.C. No.
270, Mar. 20, 1974)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is the effect of reinstatement?
A:
1. Reinstatement to the roll of attorneys wipes out
the restrictions and disabilities resulting from a
previous disbarment (Cui v. Cui, G.R. No. L-18727,
Aug. 31, 1964);
2. Recognition of moral rehabilitation and mental
fitness to practice law;
3. Lawyer shall be subject to same law, rules and
regulations as those applicable to any other
lawyer; and
4. Lawyer must comply with the conditions
imposed on his readmission.
Q: Is a disbarred lawyer by reason of conviction of a
crime automatically reinstated to the practice of law
upon being pardoned by the President?
A: No. To be reinstated, there is still a need for the
filing of an appropriate petition with the Supreme
Court. (In re: Rovero, A.M. No. 126, Dec. 29, 1980)
Q: What is the effect if during the pendency of a
disbarment proceeding, the erring lawyer was
granted executive pardon?
A: If during the pendency of a disbarment proceeding
the respondent was granted executive pardon, the
dismissal of the case on that sole basis will depend on
whether the executive pardon is absolute or
conditional.
1. Absolute or unconditional pardon - the
disbarment case will be dismissed.
2. Conditional pardon - the disbarment case will not
be dismissed on the basis thereof.
Q: X filed proceedings for disbarment against his
lawyer, Atty. C, following the latter’s conviction for
estafa for misappropriating funds belonging to his
client (X). While the proceedings for disbarment was
pending, the President granted absolute pardon in
favor of Atty. C. Atty. C, then, moved for the
dismissal of the disbarment case. Should the motion
be granted?
A: An absolute pardon by the President is one that
operates to wipe out the conviction as well as the
offense itself. The grant thereof to a lawyer is a bar to
a proceeding for disbarment against him, if such
proceeding is based solely on the fact of such
conviction. (In re: Parcasio, A.C. No. 100, Feb. 18,
1976)
But where the proceeding to disbar is founded on the
120
 READMISSION TO THE BAR
professional misconduct involved in the transaction
which culminated in his conviction, the effect of the
pardon is only to relieve him of the penal
consequences of his act and does not operate as a
bar to the disbarment proceeding, inasmuch as the
criminal acts may nevertheless constitute proof that
the attorney does not possess good moral character.
(In re: Lontok, 43 Phil. 293, Apr. 7, 1922)
Note: In the light of recent court pronouncements that a
lawyer may be disciplined even for non-professional
misconduct, one may argue that a lawyer convicted of a
crime involving moral turpitude, and subsequently receives
absolute pardon, may still be proceeded against under the
Code of Professional Responsibility even if the acts of which
he was found guilty did not involve professional misconduct
(A modification of In Re Lontok, supra). The ground for the
petition for disciplinary action under the Code must,
however, not be founded alone on the conviction but must
be based on the acts committed by the lawyer which
rendered him morally unfit to be a member of the bar.
(Aguirre, Legal and Judicial Ethics. A Pre-week Reviewer,
2006 Edition)
Q: X, a member of the Bar, was charged with and
found guilty of estafa, for which he was sentenced
to suffer imprisonment and to indemnify the
offended party for the amount Involved. Not having
taken an appeal from the judgment of conviction,
upon finality thereof he was taken into custody to
serve sentence. A month after he was incarcerated,
he was granted pardon by the Chief Executive on
condition that he would not commit another offense
during the unserved portion of his prison sentence.
Soon after X’s release from custody after being
pardoned, the offended party in the criminal case
filed a Complaint for Disbarment against X in the
Supreme Court. X set up the defense that having
been pardoned by the Chief Executive for which
reason he was released from imprisonment, he may
not be disbarred from the practice of law anymore.
Is X’s contention tenable? (1999 Bar Question)
A: X’s contention is not tenable. He was granted only
a conditional pardon. Such conditional pardon merely
relieved him of the penal consequences of his act but
did not operate as a bar to his disbarment. Such
pardon does not reach the offense itself. Hence, it
does not constitute a bar to his disbarment. (In Re
GutierrezbA.C. No. L-363, July 31, 1962; In re
Avancena, A.C. No. 407, Aug. 15, 1967). Furthermore,
the acts of X leading to his conviction may be used to
show that he does not possess the necessary
requirement of good moral character for continued
membership in the Bar. (In re Valloces, A.C. No. 439,
Sept. 30, 1982)
121
READMISSION TO THE BAR OF LAWYERS
WHO HAVE BEEN REPATRIATED
Q: Dacanay practiced law until he migrated to
Canada to seek medical attention to his ailments. He
subsequently applied for Canadian citizenship to
avail of Canada’s free medical aid program. His
application was approved and he became a
Canadian citizen. Dacanay later on reacquired his
Philippine citizenship by virtue of R.A. 9225. Did
Dacanay lose his membership in the Philippine bar
when he gave up his Philippine citizenship? Can he
automatically practice law upon reacquiring Filipino
citizenship?
A: The Constitution provides that the practice of all
professions in the Philippines shall be limited to
Filipino citizens save in cases prescribed by law. Since
Filipino citizenship is a requirement for admission to
the bar, loss thereof terminates membership in the
Philippine bar and, consequently, the privilege to
engage in the practice of law. In other words, the loss
of Filipino citizenship ipso jure terminates the
privilege to practice law in the Philippines. The
practice of law is a privilege denied to foreigners.
The exception is when Filipino citizenship is lost by
reason of naturalization as a citizen of another
country but subsequently reacquired pursuant to R.A.
9225. This is because “all Philippine citizens who
become citizens of another country shall be deemed
not to have lost their Philippine citizenship under
the conditions of R.A. 9225.” Therefore, a Filipino
lawyer who becomes a citizen of another country is
deemed never to have lost his Philippine citizenship if
he reacquires it in accordance with R.A. 9225.
Although he is also deemed never to have terminated
his membership in the Philippine bar, no automatic
right to resume law practice accrues.
Before a lawyer who reacquires Filipino citizenship
pursuant to R.A. 9225 can resume his law practice, he
must first secure from the SC the authority to do so,
conditioned on:
1. The updating and payment in full of the annual
membership dues in the IBP;
2. The payment of professional tax;
3. The completion of at least 36 credit hours of
mandatory continuing legal education, this is
especially significant to refresh the
applicant/petitioner’s knowledge of
Philippine laws and update him of legal
developments; and
4. The retaking of the lawyer’s oath which will not
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

only remind him of his duties and responsibilities

as a lawyer and as an officer of the Court, but
also renew his pledge to maintain allegiance to
the Republic of the Philippines. (Petition for
Leave to Resume Practice of Law of Benjamin
Dacanay, B.M. No. 1678, Dec. 17, 2007)

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 122
 MANDATORY CONTINUING LEGAL EDUCATION
MANDATORY CONTINUING LEGAL EDUCATION
(MCLE)
PURPOSE
Q: What is the purpose of the MCLE? (2003, 2006
Bar Questions)
A: MCLE is required of members of the IBP to ensure
that throughout their career, they keep abreast with
law and jurisprudence, maintain the ethics of the
profession and enhance the standards of the practice
of law.
Q: What is the Composition of the Committee on
Mandatory Continuing Legal Education?
A:
1. Composition:
a. Retired Justice of the SC – to act as
Chairman, who is nominated by the SC
b. IBP National President – acts as the Vice-
Chairman
c. 3 other members – nominated by the
Philippine Judicial Academy, UP Law Center
and Association of Law Professors,
respectively
2. Members are of proven probity and integrity
3. Compensation as may be determined by the SC
4. The initial terms of each of the 3 members shall
be 5, 4, and 3 years respectively
REQUIREMENTS
Q: What are the requirements of completion of
MCLE?
A: Members of the IBP, unless exempted under Rule
7, shall complete every 3 years at least 36 hours of
continuing legal education activities. The 36 hours
shall be divided as follows:
1. 6 hours – legal ethics
2. 4 hours – trial and pretrial skills
3. 5 hours – alternative dispute resolution
4. 9 hours – updates on substantive and
procedural laws and jurisprudence
5. 4 hours – legal writing and oral advocacy
6. 2 hours – international law and international
conventions
7. Remaining 6 hours – such other subjects as
may be prescribed by the Committee on
MCLE
123
Q: When does the initial MCLE compliance period of
a newly admitted member of the bar begin? (2011
Bar Question)
A: On the first day of the month of his admission.
(Sec. 5, last par. Bar Matter No. 850)
Q: What are the classes of credits?
A:
1. Participatory credit – Attending approved
education activities like seminars, conventions,
symposia, and the like; speaking or lecturing, or
assigned as panelist, reactor, or commentator,
etc. in approved education activities; teaching in
law school or lecturing in bar review classes.
2. Non-participatory – Preparing, as author or co-
author, written materials (article, book or book
review) which contribute to the legal education
of the author member, which were not prepared
in the ordinary course of his practice or
employment; editing a law book, law journal or
legal newsletter.
COMPLIANCE
Q: What constitutes non-compliance of MCLE?
A:
1. Failure to complete education requirement
within the compliance period;
2. Failure to provide attestation of compliance or
exemption;
3. Failure to provide satisfactory evidence of
compliance (including evidence of exempt status)
within the prescribed period;
4. Failure to satisfy the education requirement and
furnish evidence of such compliance within 60
days from receipt of non-compliance notice;
5. Failure to pay non-compliance fee within the
prescribed period; or
6. Any other act or omission analogous to any of
the foregoing or intended to circumvent or evade
compliance with the MCLE requirements.
Note: Members failing to comply will receive a Non-
Compliance Notice stating the specific deficiency and will
be given 60 days from date of notification to file a
response.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
EXEMPTIONS
Q: Who are the persons exempted from the MCLE?
(2006 Bar Question)
A:
1. The President, Vice-President and the Secretaries
and Undersecretaries of Executive Departments;
2. Senators and Members of the House of
Representatives;
3. The Chief Justice and Associate Justices of the
Supreme Court, incumbent and retired members
of the judiciary, incumbent members of Judicial
Bar Council, incumbent members of the MCLE
Committee, incumbent court lawyers who have
availed of the Philippine Judicial Academy
programs of continuing judicial education
(Amendment to Bar Matter 850, Resolution of
the Court En Banc, July 13, 2004);
4. The Chief State Counsel, Chief State Prosecutor
and Assistant Secretaries of the Dept. of Justice;
5. The Solicitor General and the Assistant Solicitor
General;
6. The Government Corporate Counsel, Deputy and
Assistant Government Corporate Counsel;
7. The Chairman and Members of the Constitutional
Commissions;
8. The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsmen and the
Special Prosecutor of the Office of the
Ombudsman;
9. Heads of government agencies exercising quasi-
judicial functions;
10. Incumbent deans, bar reviewers and professors
of law who have teaching experience for at least
10 years in accredited law schools;
11. The Chancellor, Vice-Chancellor and members of
the Corps of Professional and Professorial
Lecturers of the Philippine Judicial Academy; and
12. Governors and Mayors because they are
prohibited from practicing their profession
Other parties exempted:
1. Those who are not in law practice, private or
public;
2. Those who have retired from law practice with
the approval of the IBP Board of Governors.
Q: May a member of the bar not included in the
enumeration ask for exemption?
A: Yes, if there is a good cause for exemption from or
modification of requirement. A member may file a
verified request setting forth good cause for
exemption (such as physical disability, illness, post-
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
graduate study abroad, proven expertise in law, etc.)
from compliance with or modification of any of the
requirements, including an extension of time for
compliance, in accordance with procedure to be
established by the Committee on MCLE.
Note: Applications for exemption from or modification of
the MCLE requirement shall be under oath and supported
by documents.
Q: Atty. Mike started teaching Agrarian Reform and
Taxation in June 2001 at the Arts and Sciences
Department of the Far Eastern University. In 2005,
he moved to San Sebastian Institute of Law where
he taught Political Law. Is Atty. Mike exempt from
complying with the MCLE for the 4th compliance
period in April 2013? (2011 Bar Question)
A: No, since he has yet to complete the required
teaching experience to be exempt.
SANCTIONS
Q: What are the consequences of non-compliance?
A: A member who fails to comply with the
requirements after the 60-day period shall be listed
as delinquent member by the IBP Board of Governors
upon recommendation of the Committee on MCLE.
Note: The listing as a delinquent member is administrative
in nature but shall be made with notice and hearing by the
Committee on MCLE. B.M. No. 1922, which took effect on
January 1, 2009, requires practicing members of the bar to
indicate in all pleadings filed before the courts or quasi-
judicial bodies, the number and date of issue of their MCLE
Certificate of Compliance or Certificate of Exemption, as
may be applicable, for the immediately preceding
compliance period. Failure to disclose the required
information would cause the dismissal of the case and the
expunction of the pleadings from the records.
BAR MATTER 2012, RULE ON MANDATORY LEGAL
AID SERVICE
Q: What is the rule on Mandatory Legal Aid Service?
A: The mandatory Legal Aid Service mandates every
practicing lawyer to render a minimum of 60 hours of
free legal aid services to indigent litigants yearly.
Q: What is the purpose of the rule?
A: The rule seeks to enhance the duty of lawyers to
the society as agents of social change and to the
courts as officers thereof by helping improve access
to justice by the less privileged members of society
and expedite the resolution of cases involving them.
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 MANDATORY CONTINUING LEGAL EDUCATION
Mandatory free legal service by members of the bar
and their active support thereof will aid the efficient
and effective administration of justice especially in
cases involving indigent and pauper litigants. (Sec. 2,
B.M. No. 2012)
Q: What is the scope of the rule?
A: It shall govern the mandatory requirement for
practicing lawyers to render free legal aid services in
all cases (whether, civil, criminal or administrative)
involving indigent and pauper litigants where the
assistance of a lawyer is needed. It shall also govern
the duty of other members of the legal profession to
support the legal aid program of the Integrated Bar of
the Philippines. (Sec 3, B.M. No. 2012)
Q: Who are the practicing lawyers for the purpose of
this rule?
A: Practicing lawyers are members of the Philippine
Bar who appear for and in behalf of parties in courts
of law and quasi-judicial agencies, including but not
limited to the National Labor Relations Commission,
National Conciliation and Mediation Board,
Department of Labor and Employment Regional
Offices, Department of Agrarian Reform Adjudication
Board and National Commission for Indigenous
Peoples.
The term “practicing lawyers” shall exclude:
1. Government employees and incumbent elective
officials not allowed by law to practice;
2. Lawyers who by law are not allowed to appear in
court;
3. Supervising lawyers of students enrolled in law
student practice in duly accredited legal clinics of
law schools and lawyers of non-governmental
organizations (NGOs) and peoples’ organizations
(POs) like the Free Legal Assistance Group who
by the nature of their work already render free
legal aid to indigent and pauper litigants; and
4. Lawyers not covered under subparagraphs 1 to 3
including those who are employed in the private
sector but do not appear for and in behalf of
parties in courts of law and quasi-judicial
agencies.(Sec. 4[a], B.M. 1. 2012)
Q: Who are these indigent and pauper litigants?
A: Under Section 19, Rule 141, Rules of Court,
indigent litigants are those:
1. Whose gross income and that of their immediate
family do not exceed an amount double the
monthly minimum wage of an employee; and
125
2. Who do not own real property with a fair market
value as stated in the current tax declaration of
more than three hundred thousand
(P300,000.00) pesos shall be exempt from the
payment of legal fees
Note: A party may be authorized to litigate his action, claim
or defense as an indigent if the court upon an ex-parte
application and hearing, is satisfied that the party is one
who has no money or property sufficient and available for
food, shelter and basic necessities for himself and his
family. (Sec. 21, Rule 3, RRC)
When the application does not satisfy one or both
requirements, then the application should not be denied
outright; instead, the court should apply the "indigency
test" under Section 21 of Rule 3 and use its sound
discretion in determining the merits of the prayer for
exemption. (Algura vs. Naga City, G.R. No. 150135, October
30, 2006)
Q: What does legal aid cases include?
A: It includes actions, disputes, and controversies that
are criminal, civil and administrative in nature in
whatever stage wherein indigent and pauper litigants
need legal representation. (Sec. 4[c], B. M.2012)
Q: What are free legal aid services?
A: Free legal aid services refer to appearance in court
or quasi-judicial body for and in behalf of an indigent
or pauper litigant and the preparation of pleadings or
motions. It shall also cover assistance by a practicing
lawyer to indigent or poor litigants in court-annexed
mediation and in other modes of alternative dispute
resolution (ADR). Services rendered when a practicing
lawyer is appointed counsel de oficio shall also be
considered as free legal aid services and credited as
compliance under the Rule. (Sec. 4[d], B.M. 2012)
Q: What are the requirements for mandatory legal
aid service?
A: Under the Rule, a practicing lawyer, among others,
shall coordinate with the Clerk of Court or the Legal
Aid Chairperson of one’s Integrated Bar of the
Philippines (IBP) Chapter for cases where the lawyer
may render free legal aid service:
1. Every practicing lawyer is required to render a
minimum of 60 hours of free legal aid services to
indigent litigants in a year. Said 60 hours shall be
spread within the period of 12 months, with a
minimum of 5 hours of free legal aid services
each month. However, where it is necessary for
the practicing lawyer to render legal aid service
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
for more than 5 hours in one month, the excess
hours may be credited to the said lawyer for the
succeeding periods. (Sec. 5[a] first par., B.M.
2012)
Note: For this purpose, a practicing lawyer shall
coordinate with the Clerk of Court for cases where he
may render free legal aid service. He may also
coordinate with the IBP Legal Aid Chairperson of the
IBP Chapter to inquire about cases where he may
render free legal aid service. In this connection, the IBP
Legal Aid Chairperson of the IBP Chapter shall regularly
and actively coordinate with the Clerk of Court. (Sec.
5[a] second par., B.M. 2012)
2. The practicing lawyer shall report compliance
with the requirement within 10 days of the last
month of each quarter of the year. (Sec. 5[a]
third par., B.M. 2012)
3. A practicing lawyer shall be required to secure
and obtain a certificate from the Clerk of Court
attesting to the number of hours spent rendering
free legal aid services in a case. (Sec. 5[b] B.M.
2012)
4. Said compliance report shall be submitted to the
Legal Aid Chairperson of the IBP Chapter within
the Court’s jurisdiction. (Sec. 5[c] B.M. 2012)
5. The IBP chapter shall, after verification, issue a
compliance certificate to the concerned lawyer.
The IBP Chapter shall also submit compliance
reports to the IBP’s National Committee on Legal
Aid (NCLA) for recording and documentation. The
submission shall be made within forty-five (45)
days after the mandatory submission of
compliance reports by the practicing lawyers.
(Sec. 5[d] B.M. 2012)
6. Practicing lawyers shall indicate in all pleadings
filed before the courts or quasi-judicial bodies
the number and date of issue of their certificate
of compliance for the immediately preceding
compliance period. (Sec 5[e] B.M. 2012)
Q: What should the certificate from the Clerk of
Court, attesting the number of hours spent
rendering free legal services contain?
A: The certificate shall contain the following
information:
1. The case or cases where the legal aid service was
rendered, the party or parties in the said case(s),
the docket number of the said case(s) and the
date(s) the service was rendered
2. The number of hours actually spent
3. The number of hours actually spent attending
mediation, conciliation or any other mode of ADR
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
on a particular case
4. A motion (except a motion for extension of time
to file a pleading or for postponement of hearing
or conference) or pleading filed on a particular
case shall be considered as one (1) hour of
service. (Sec 5[b] B.M. 2012)
Note: The Clerk of Court shall issue the certificate in
triplicate, one (1) copy to be retained by the practicing
lawyer, one (1) copy to be retained by the Clerk of Court
and one (1) copy to be attached to the lawyer's compliance
report. (Sec 5[b][iv] second par., B.M. 2012)
Q: What credits should be given to a lawyer who
renders mandatory legal aid service?
A: A lawyer who renders mandatory legal aid service
for the required number of hours in a year for the
three year-period covered by a compliance period
under the Rules on MCLE shall be credited the
following:
1. Two (2) credit units for legal ethics
2. Two (2) credit units for trial and pretrial skills
3. Two (2) credit units for alternative dispute
resolution
4. Four (4) credit units for legal writing and oral
advocacy
5. Four (4) credit units for substantive and
procedural laws and jurisprudence
6. Six (6) credit units for such subjects as may
be prescribed by the MCLE Committee under
Section 2(g), Rule 2 of the Rules on MCLE
A lawyer who renders mandatory legal aid service for
the required number of hours in a year for at least
two consecutive years within the three year- period
covered by a compliance period under the Rules on
MCLE shall be credited the following:
1. One (1) credit unit for legal ethics
2. One (1) credit unit for trial and pretrial skills
3. One (1) credit unit for alternative dispute
resolution
4. Two (2) credit units for legal writing and oral
advocacy
5. Two (2) credit units for substantive and
procedural laws and jurisprudence
6. Three (3) credit units for such subjects as
may be prescribed by the MCLE Committee
under Section 2(g), Rule 2 of the Rules on
MCLE. (Sec. 8, B.M. 2012)
Q: What is the sanction in case of non- compliance
of the rule on mandatory legal aid service?
A:
1. At the end of every calendar year, any practicing
lawyer who fails to meet the minimum
126
 MANDATORY CONTINUING LEGAL EDUCATION

prescribed 60 hours of legal aid service each year

shall be required by the IBP, through the National
Committee on Legal Aid (NCLA), to explain why
he was unable to render the minimum prescribed
number of hours.
2. If no explanation has been given or if the NCLA
finds the explanation unsatisfactory, the NCLA
shall make a report and recommendation to the
IBP Board of Governors that the erring lawyer be
declared a member of the IBP who is not in good
standing.
3. Upon approval of the NCLA’s recommendation,
the IBP Board of Governors shall declare the
erring lawyer as a member not in good standing.
4. The notice to the lawyer shall include a directive
to pay P4,000.00 penalty which shall accrue to
the special fund for the legal aid program of the
IBP.
5. The “not in good standing” declaration shall be
effective for a period of 3 months from the
receipt of the erring lawyer of the notice from
the IBP Board of Governors.
6. During the said period, the lawyer cannot appear
in court or any quasi-judicial body as counsel.
7. Provided, however, that the “not in good
standing” status shall subsist even after the lapse
of the 3-month period until and unless the
penalty shall have been paid.
8. Any lawyer who fails to comply with his duties
under this Rule for at least 3 consecutive years
shall be the subject of disciplinary proceedings to
be instituted motu proprio by the Committee on
Bar Discipline. (Sec. 7, B.M. 2012)
Note: The falsification of a certificate or any contents
thereof by any Clerk of Court or by any Chairperson of the
Legal Aid Committee of the IBP local chapter where the
case is pending or by the Director of a legal clinic or
responsible officer of an NGO (non-governmental
organizations) or PO (people’s organizations) shall be a
ground for an administrative case against the said Clerk of
Court or Chairperson. This is without prejudice to the filing
of the criminal and administrative charges against the
malfeasor. (Sec. 7[e] B.M. 2012)

UNIVERSITY OF SANTO TOMAS

127 FACULTY OF CIVIL LAW
 Legal Ethics
NOTARIAL PRACTICE
(1996, 2005, 2007 Bar Questions)
Q: What is the purpose of notarial law (A.M. No. 02-
8-13-SC)?
A:
1. To promote, serve, and protect public interest;
2. To simplify, clarify, and modernize the rules
governing notaries public; and
3. To foster ethical conduct among notaries public
(Sec. 2, Rule I, A.M. No. 02-8-13-SC)
QUALIFICATIONS OF NOTARY PUBLIC
Q: Who is a notary public?
A: He is a person appointed by the court whose duty
is to attest to the genuineness of any deed or writing
in order to render them available as evidence of facts
stated therein and who is authorized by the statute to
administer various oaths.
Note: “Notary Public" and "Notary" refer to any person
commissioned to perform official acts under the rules on
Notarial Practice. (Sec. 9, Rule II, A.M. No. 02-8-13-SC)
Q: What is the effect of a notarized document?
A: A document acknowledged before a notary public
is a public document (Sec. 19, Rule 132, Rules of
Court) and may be presented in evidence without
further proof, the certificate of acknowledgment
being prima facie evidence of the execution of the
instrument or document involved (Sec. 30, Rule 132,
Rules of Court).
Q: What must one possess to qualify as a notary
public?
A: To be eligible for commissioning as notary public,
the petitioner must be:
1. A citizen of the Philippines;
2. Over 21 years of age;
3. A resident in the Philippines for at least 1 year and
maintains a regular place of work or business in
the city or province where the commission is to
be issued;
4. A member of the Philippine Bar in good standing
with clearances from the Office of the Bar
Confidant of the Supreme Court and the
Integrated Bar of the Philippines; and
5. Has not been convicted in the first instance of any
crime involving moral turpitude. (second par., Sec.
1, Rule III,2004 Rules on Notarial Practice, A.M.
No. 02-8-13-SC)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: Is a lawyer always a notary public?
A: No. Not every member of the Bar is a notary public
because a lawyer requires a commission of
appointment to be designated as a notary public.
Note: Notarization is not an empty, meaningless, routinary
act. It is invested with substantive public interest, such that
only those who are qualified or authorized may act as
notaries public. For this reason, notaries public must
observe with utmost care the basic requirements in the
performance of their duties. Otherwise, the confidence of
the public in the integrity of this form of conveyance would
be undermined. (Vda. De Rosales v. Ramos, A.C. No.5645,
July 2, 2002)
Q: What are the 2 kinds of duties imposed by law to
a notary public?
A:
1. Execution of formalities required by law; and
2. Verification of the capacity and identity of the
parties as well as the legality of the act executed
Q: What are the duties of a notary public? (1995 Bar
Question)
A:
1. To keep a notarial register
2. To make the proper entry or entries in his
notarial register touching his notarial acts in the
manner required by the law
3. To send the copy of the entries to the proper
clerk of court within the first 10 days of the
month next following
4. To affix to acknowledgments the date of
expiration of his commission, as required by law
5. To forward his notarial register, when filled, to
the proper clerk of court
6. To make report, within reasonable time to the
proper judge concerning the performance of his
duties, as may be required by such judge
7. To make the proper notation regarding residence
certificates. (Sec. 240, Rev. Adm. Code)
Q: Must a notary public always be a lawyer?
A. GR: Yes. Only those admitted to the practice of law
are qualified to be notaries public.
XPN: When there are no persons with the
necessary qualifications or where there are
qualified persons but they refuse appointment. In
which case, the following persons may be
appointed as notaries:
1. Those who passed the studies of law in a
reputable university; or
128
 NOTARIAL PRACTICE
2. A clerk or deputy clerk of court for a period
of not less than two years.
Q: Can an RTC judge notarize a document?
A: No. Section 35, Rule 138, of the Revised Rules of
Court as well as Canon 5, Rule 5.07 of the Code of
Judicial Conduct provides that no judge or other
official or employee of the superior courts shall
engage in private practice as a member of the bar or
give professional advice to clients. Notarization of
documents is considered a practice of law.
It is based on sound reasons of public policy, for there
is no question that the rights, duties, privileges and
functions of the office of an attorney-at-law are so
inherently incompatible with the high official
functions, duties, powers, discretions and privileges
of a judge of the Regional Trial Court. This rule makes
it obligatory upon the judicial officers concerned to
give their full time and attention to their judicial
duties, prevent them from extending special favors
for their own private interests and assure the public
of impartiality in the performance of their functions.
Q: Are MTC judges prohibited from acting as notary
public?
A: No. MTC and MCTC judges may act as notaries
public ex-officio in the notarization of documents
connected only with the exercise of their official
functions and duties. They may not, as notaries public
ex-officio, undertake the preparation and
acknowledgment of private documents, contracts and
other acts of conveyances which bear no direct
relation to the performance of their functions as
judges.
However, MTC and MCTC judges assigned to
municipalities or circuits with no lawyers or notaries
public may, in the capacity as notaries public ex-
officio, perform any act within the competence of a
regular notary public, provided that:
1. All notarial fees charged be for the account
of the Government and turned over to the
municipal treasurer
2. Certification be made in the notarized
documents attesting to the lack of any
lawyer or notary public in such municipality
or circuit.
Q: Vicente Batic charged Judge Victorio Galapon Jr.
with engaging in unauthorized notarial practice for
having notarized a Deed of Absolute Sale between
Antonio Caamic and Lualhati Ellert. Under the deed
of sale, Lualhati Ellert, was described as single. At
129
the time of Galapon’s notarization of the Deed of
Sale, there was a notary public in Dulag, Leyte.
Judge Galapon claims that he did not prepare the
document and that his participation was limited to
its acknowledgment, for which the corresponding
fee was collected by and paid to the clerk of court.
Are MTC judges like Judge Galapon absolutely
prohibited from acting as notaries public?
A: No. While Judge Galapon explains that he sincerely
believed that when no notary public is available, the
MTC may act as ex-officio notary public, provided the
fees shall be for the government, such is not enough
to exonerate him from liability. His acts do not fall
under the exception because at the time of his
notarization of the Deed of Sale, there was a notary
public in Dulag, Leyte. (Vicente Batic v. Judge Victorio
Galapon Jr., A.M. No. MTJ-99-1239, July 29, 2005)
Q: Is the authority of MTC judges to notarize limited
to their sala?
A: Yes. Their authority to notarize is limited to their
sala.
Q: Can a judge of another town notarize the
complaint to be filed in another town?
A: No. It is considered as a practice of law.
Q: Can a clerk of court notarize a document?
A: Yes. A clerk of court can notarize a document
provided he is commissioned and has been permitted
by his superior. Such consent is necessary because
the act of notarizing a document is a practice of law.
Q: What are the rules with regard to fees that a
notary public may charge?
A:
1. For performing a notarial act, a notary public
may charge the maximum fee as prescribed by
the Supreme Court unless he waives the fee in
whole or in part (Sec. 1, Rule V, A. M. 02-8-13-
SC);
2. A notary public may charge travel fees and
expenses separate and apart from the notarial
fees when traveling to perform a notarial act if
the notary public and the person requesting the
notarial act agree prior to the travel (Sec. 2, Rule
V, A. M. 02-813-SC);
3. No fee or compensation of any kind, except
those expressly prescribed and allowed herein,
shall be collected or received for any notarial
service (Sec. 3, Rule V, A. M. 02-813-SC);
4. A notary public shall not require payment of any
fees specified herein prior to the performance of
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
a notarial act unless otherwise agreed upon (first
par., Sec. 4, Rule V, A. M. 02-813-SC);
5. Any travel fees and expenses paid to a notary
public prior to the performance of a notarial act
are not subject to refund if the notary public had
already traveled but failed to complete in whole
or in part the notarial act for reasons beyond his
control and without negligence on his part.
(second par., Sec. 4, Rule V, A. M. 02-813-SC).
Note: A notary public who charges fee for notarial services
shall issue a receipt registered with the Bureau of Internal
revenue and keep a journal of notarial fees. He shall enter
in the journal all fees charges for services rendered. A
notary public shall post in a conspicuous place in his office a
complete schedule of chargeable notarial fees. (Sec. 5, Rule
V, A. M. 02-813-SC)
TERM OF OFFICE OF A NOTARY PUBLIC
Q: What is the term of office of a notary public?
(1995 Bar Question)
A: A notary public may perform notarial acts for a
period of 2 years commencing the 1st day of January
of the year in which the commissioning is made until
the last day of December of the succeeding year
regardless of the actual date when the application
was renewed, unless earlier revoked or the notary
public has resigned under the Rules on Notarial
Practice and the Rules of Court. (Section 11, Rule III,
A.M. No. 02-8-13-SC)
Note: The period of 2 years of a notarial commission will
commence at January first regardless of when it was really
granted and will end at exactly 2 years from said date of
nd
commencement up to December of the 2 year. Ex. Atty.
Antonio applied for and was given notarial commission on
12 November 2010, such term will expire on 31 December
2011 (2011 Bar Question).
Q: Juan dela Cruz was commissioned as a notary
public in 2001. His friend asked him to notarize a
deed of absolute sale sometime in 2004, to which he
agreed free of charge. A complaint for malpractice
was filed against him. Is Juan dela Cruz guilty of
malpractice?
A: Yes. Absent any showing that his notarial
commission has been renewed, his act constitutes
malpractice because at the time he notarized the
document, his notarial commission has already
expired. It is not a defense that no payment has been
received. The requirement for the issuance of the
commission as notary public must not be treated as a
mere casual formality. In fact, Juan’s act also
constitutes falsification of public document.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What is a commission?
A: It refers to the grant of authority to perform
notarial acts and to the written evidence of the
authority. (Sec. 3, Rule II, A.M. 02-8-13-SC)
Q: Who issues a notarial commission?
A: A notarial commission may be issued by an
Executive Judge to any qualified person who submits
a petition in accordance with the Rules on Notarial
Practice. (first par., Sec. 1, Rule III, A.M. No. 02-8-13-
SC)
Q: What is the form of the petition and supporting
documents for a notarial commission?
A: Every petition for a notarial commission shall be in
writing, verified, and shall include the following:
1. A statement containing the petitioner's personal
qualifications, including the petitioner's date of
birth, residence, telephone number, professional
tax receipt, roll of attorney's number and IBP
membership number;
2. Certification of good moral character of the
petitioner by at least 2 executive officers of the
local chapter of the Integrated Bar of the
Philippines where he is applying for commission;
3. Proof of payment for the filing of the petition as
required by the Rules on Notarial Practice; and
4. Three passport-size color photographs with light
background taken within 30 days of the
application. The photograph should not be
retouched. The petitioner shall sign his name at
the bottom part of the photographs. (Sec. 2,Rule
III, A.M. No. 02-8-13-SC)
Note: Every petitioner for a notarial commission shall pay
the application fee as prescribed in the Rules of Court. (Sec.
3, Rule III, A.M. No. 02-8-13-SC)
Q: Before the Executive Judge shall conduct a
summary hearing on the petition, what
requirements must be met?
A:
1. The petition is sufficient in form and substance;
2. The petitioner proves the allegations contained
in the petition; and
3. The petitioner establishes to the satisfaction of
the Executive Judge that he has read and fully
understood the Rules on Notarial Practice.
Note: The Executive Judge shall forthwith issue a
commission and a Certificate of Authorization to
Purchase a Notarial Seal in favor of the petitioner.
(Sec. 4, Rule III, A.M. No. 02-8-13-SC)
130
 NOTARIAL PRACTICE
Q: What must a notary public do when his
commission expires?
A: A notary public may file a written application with
the Executive Judge for the renewal of his
commission within 45 days before the expiration
thereof. A mark, image or impression of the seal of
the notary public shall be attached in the application.
(first par., Sec. 13, Rule III, A.M. No. 02-8-13-SC)
Note: If a person is applying for a commission for the first
time, what he files is a petition and not an application.
Q: What is the effect of failure of the notary public
to file an application for the renewal of his
commission?
A: Failure to file said application will result in the
deletion of the name of the notary public in the
register of notaries public and may only be reinstated
therein after he is issued a new commission. (second
and third pars., Sec. 13, Rule III, A.M. No. 02-8-13-SC)
Note: The Executive Judge shall, upon payment of the
application fee, act on an application for renewal of a
commission within thirty (30) days from receipt thereof. If
the application is denied, the Executive Judge shall state the
reasons therefor. (Sec. 14, Rule III, A.M. No. 02-8-13-SC)
POWERS AND LIMITATIONS OF A NOTARY PUBLIC
Q: What are the powers of a notary public?
A: A notary public is empowered to perform the
following notarial acts: JAO-CAS
1. Acknowledgements;
2. Oaths and affirmations;
3. Jurats;
4. Signature witnessings;
5. Copy certifications; and
6. Any other act authorized by these rules
(Section 1(a), Rule IV, A.M. No. 02-8-13-SC)
Q: What is an acknowledgement?
A: Acknowledgment refers to an act in which an
individual on a single occasion:
1. Appears in person before the notary public and
presents an integrally complete instrument or
document;
Note: A notary public cannot perform a notarial act over
a document that has missing pages, or that contains
blanks that should be filled-in prior to the notarial act.
2. Is attested to be personally known to the notary
public or identified by the notary public through
131
competent evidence of identity as defined by the
Rules on Notarial Practice; and
3. Represents to the notary public that the signature
on the instrument or document was voluntarily
affixed by him for the purposes stated in the
instrument or document, declares that he has
executed the instrument or document as his free
and voluntary act and deed, and, if he acts in a
particular representative capacity, that he has the
authority to sign in that capacity. (Sec. 1, Rule II,
A.M. 02-8-13-SC)
Q: Cabanilla filed a complaint against Atty. Cristal-
Tenorio with the IBP, alleging that he never
appeared before her when she notarized the deed of
sale of his house, and that the signatures appearing
opposite their respective names were forgeries. Did
Atty. Cristal-Tenorio fail to comply with the
mandates of the law when she notarized the deed of
sale without the complainant and his children? Does
such failure warrant the revocation of her notarial
commission?
A: Yes. Under Section 1(a) of Act 2103, a notary public
taking the acknowledgment in a document or
instrument is mandated to certify that the person
acknowledging the instrument or document is known
to him and that he is the same person who executed
it and acknowledged that the same is his free act and
deed. To "acknowledge before" means to avow; to
own as genuine, to assert, to admit; and "before"
means in front or preceding in space or ahead of. A
party acknowledging must appear before the notary
public. A notary public should not notarize a
document unless the persons who signed the same
are the very same persons who executed and
personally appeared before the said notary public to
attest to the contents and truth of what are stated
therein. The presence of the parties to the deed
making the acknowledgment will enable the notary
public to verify the genuineness of the signature of
the affiant. A notary public is enjoined from
notarizing a fictitious or spurious document. The
function of a notary public is, among others, to guard
against any illegal deed. (Cabanilla v. Cristal-Tenorio,
A.C. No. 6139, Nov. 11, 2003)
th
Q: “Before me personally appeared this 30 of
August 2010 Milagros A. Ramirez, who proved her
identity to me through witnesses: 1. Rosauro S.
Balana, Passport UU123456; 1-5-2010/Baguio City;
and 2. Elvira N. Buela, Passport VV200345; 1-17-
2009/Manila. “Both witnesses, of legal ages, under
oath declare that: Milagros A. Ramirez is personally
known to them; she is the same seller in the
foregoing deed of sale; she does not have any
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics

current identification document nor can she obtain it and acknowledged that
one within a reasonable time; and they are not privy the same is his free act and
to or are interested in the deed he signed.” What is deed.
the status of such a notarial acknowledgement? Two-fold purpose: To Purpose: Gives the
authorize the deed to be document a legal
A: Valid since it is a manner of establishing the given in evidence without character.
identity of the person executing the document. (2011 further proof of its
Bar Question) execution, and, to entitle it
to be recorded.
Q: What is a jurat? Where used: Where used:
1. To authenticate an 1. Affidavits;
A: It refers to an act in which an individual on a single agreement between two or 2. Certifications;
occasion: more persons; or 3. Whenever the
1. Appears in person before the notary public and 2. Where the document person executing
presents an instrument or document; contains a disposition of makes a statement of
2. Is personally known to the notary public or property. facts or attests to the
identified by the notary public through truth of an event,
competent evidence of identity as defined by the under oath.
Rules on Notarial Practice; E.g. The acknowledgement E.g. An affidavit
3. Signs the instrument or document in the in a deed of lease of land. subscribed before a
presence of the notary; and notary public or
4. Takes an oath or affirmation before the notary public official
public as to such instrument or document. (Sec. authorized for the
6, Rule II, A.M. 02-8-13-SC) purpose.

Note: A jurat is not a part of a pleading but merely Note: In notarial wills, acknowledgement is required, not
evidences the fact that the affidavit was properly made. merely a jurat.
The claim or belief of Atty. Dela Rea that the presence of
petitioner Gamido was not necessary for the jurat because
Q: What is signature witnessing?
it is not an acknowledgment is patently baseless. If this had
been his belief since he was first commissioned as a notary
public, then he has been making a mockery of the legal A: It refers to a notarial act in which an individual on
solemnity of an oath in a jurat. Notaries public and others a single occasion:
authorized by law to administer oaths or to take 1. Appears in person before the notary public and
acknowledgments should not take for granted the solemn presents an instrument or document;
duties appertaining to their offices. Such duties are dictated 2. Is personally known to the notary public or
by public policy and are impressed with public interest. identified by the notary public through
(Gamido v. Bilibid Prisons Officials, G.R. No. 114829, Mar. 1, competent evidence of identity as defined by the
1995)
Rules on Notarial Practice; and
3. Signs the instrument or document in the
Q: Distinguish acknowledgement from jurat
presence of the notary public. (Sec. 14, Rule II, A.
A: M. No. 02-8-13-SC)
ACKNOWLEDGMENT JURAT
Act of one who has That part of an Q: Is a notary public authorized to certify the affixing
executed a deed, in going to affidavit in which the of a signature by thumb or other mark on an
some competent officer or notary public or instrument or document presented for notarization?
court and declaring It to be officer certifies that (1995 Bar Question)
his act or deed the instrument was
sworn to before him. A: Yes. It is also within the powers of a notary public,
The notary public or officer It is not part of a provided:
taking the pleading but merely 1. The thumb or other mark is affixed in the
acknowledgement shall evidences the fact presence of the notary public and of two (2)
certify that the person that the affidavit was disinterested and unaffected witnesses to the
acknowledging the properly made. instrument or document;
instrument or document is 2. Both witnesses sign their own names in addition
known to him and he is the to the thumb or other mark;
same person who executed

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 132
 NOTARIAL PRACTICE
3. The notary public writes below the thumb or
other mark: “thumb or other mark affixed by
(name of signatory by mark) in the presence of
(names and addresses of witnesses) and
undersigned notary public”; and
4. The notary public notarizes the signature by
thumb or other mark through an
acknowledgment, jurat or signature witnessing.
(Sec. 1(b), Rule IV, A.M. No. 02-8-13-SC)
Q: Is a notary public authorized to sign on behalf of a
person who is physically unable to sign or make a
mark on an instrument or document? (1995 Bar
Question)
A: Yes. It likewise falls within the powers of a notary
public, provided:
1. The notary public is directed by the person
unable to sign or make a mark to sign on his
behalf;
2. The signature of the notary public is affixed in
the presence of 2 disinterested and unaffected
witnesses to the instrument or document;
3. Both witnesses sign their own names;
4. The notary public writes below his signature:
“Signature affixed by notary in the presence of
(names and addresses of person and 2
witnesses)”; and
5. The notary public notarizes his signature by
acknowledgment or jurat. (Sec. 1(c), Rule IV, A.M.
02-8-13-SC)
Q: What is copy certification?
A: It refers to a notarial act in which a notary public:
1. Is presented with an instrument or document
that is neither a vital record, a public record, nor
publicly recordable;
2. Copies or supervises the copying of the
instrument or document;
3. Compares the instrument or document with the
copy; and
4. Determines that the copy is accurate and
complete. (Sec. 4, Rule II, A.M. 02-8-13-SC)
Note: The document copied must be an original document.
It cannot be a copy itself.
Q: How should a notary public notarize a paper
instrument or document?
A: In notarizing a paper instrument or document, a
notary public shall:
1. Sign by hand on the notarial certificate only the
name indicated and as appearing on the notary's
commission; not sign using a facsimile stamp or
printing device; and
133
2. Affix his official signature only at the time the
notarial act is performed. (Sec. 1, Rule VII, A.M.
02-8-13-SC)
Q: What are the effects of notarization?
A:
1. The notary, in effect, proclaims to the world that:
a. All the parties therein personally
appeared before him;
b. They are personally known to him;
c. They are the same persons who
executed the instrument;
d. He inquired into the voluntariness of the
execution of the instrument;
e. They acknowledge personally before
him that they voluntarily and freely
executed the same.
2. Converts a private document into a public one
and renders it admissible in court without further
proof of its authenticity.
3. Documents enjoy a presumption of regularity. It
constitutes prima facie evidence of the facts
which give rise to their execution and of the date
of said execution, but not of the truthfulness of
the statement.
Note: A notarial document is by law entitled to full faith
and credit upon its face and, for this reason, notaries public
must observe with utmost care the basic requirements in
the performance of their duties, lest, the confidence of the
public in the integrity of the document will be undermined.
Q: What is a notarial certificate?
A: It refers to the part of, or attachment to a
notarized instrument or document that is completed
by the notary public which bears the notary's
signature and seal, and states the facts attested to by
the notary public in a particular notarization as
provided for by the Rules on Notarial Practice. (Sec. 8,
Rule II, A. M. No. 02-8-13)
Note: “Loose notarial certificate” refers to a notarial
certificate that is attached to a notarized instrument or
document.
"Official seal" or "seal" refers to a device for affixing a mark,
image or impression on all papers officially signed by the
notary public conforming the requisites prescribed by the
Rules on Notarial Practice. (Sec. 13, Rule II, A.M. No. 02-8-
13-SC)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: What must the notarial certificate contain?
A:
1. The name of the notary public as exactly
indicated in the commission;
2. The serial number of the commission of the
notary public;
3. The words "Notary Public" and the province or
city where the notary public is commissioned,
the expiration date of the commission, the office
address of the notary public; and
4. The roll of attorney's number, the professional
tax receipt number and the place and date of
issuance thereof, and the IBP membership
number. (Sec. 2, RuleVIII, A.M. 02-8-13-SC)
Note: A notary public shall not:
a. execute a certificate containing information
known or believed by the notary to be false; or
b. affix an official signature or seal on a notarial
certificate that is incomplete.
Q: What are the limitations to the performance of
a notarial act of a notary public?
A: A person shall not perform a notarial act if the
person involved as signatory to the instrument or
document is:
a. Not in the notary's presence personally at the
time of the notarization; and (Sec. 2(b)(1), RuleIV,
A.M. No. 02-8-13-SC)
b. Not personally known to the notary public or
otherwise identified by the notary public through
competent evidence of identity as defined by the
Rules on Notarial Practice. (Sec.2(b)(2), Rule IV,
A.M. No. 02-8-13-SC)
c. The document is blank or incomplete; (Sec.6 (a)
Rule IV, A.M. 02-8-13-SC)
d. An instrument or document is without
appropriate notarial certification. (Sec. 6, Rule IV,
A.M. 02-8-13-SC)
Q: Engineer Cynthia de la Cruz Catalya filed an
application for building permit in connection with
the renovation of a building situated on a lot owned
by her brother Rolando de la Cruz. One of the
documents required in the processing of the
application was an affidavit to be executed by the
lot owner. Since Rolando de la Cruz was a resident
abroad, an affidavit was prepared wherein it was
made to appear that he was a resident of Leyte; that
he was the owner of the lot whereon the building
subject of the application for the issuance of a
building permit was situated. Atty. Francisco
Villamor notarized the purported affidavit.
According to him, a Chinese mestizo appeared in his
law office one time, requesting that his affidavit be
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
notarized. Said person declared that he was Rolando
de la Cruz. Atty. Villamor then asked for the
production of his residence certificate, but he said,
he did not bother to bring the same along with him
anymore as, he has already indicated his serial
number, in the jurat portion together with the date
of issue and place of issue. Did Atty. Francisco
Villamor commit a violation of notarial law?
A: Yes. It is the duty of the notarial officer to demand
that the document presented to him for notarization
should be signed in his presence. By his admission,
the affidavit was already signed by the purported
affiant at the time it was presented to him for
notarization. Atty. Villamor thus failed to heed his
duty as a notary public to demand that the document
for notarization be signed in his presence. (Traya Jr. v.
Villamor, A.C. No. 4595,Feb. 6, 2004)
Q: During their lifetime, the Spouses Villanueva
acquired several parcels of land. They were survived
by their 5 children: Simeona, Susana, Maria, Alfonso,
and Florencia. Alfonso executed an Affidavit of
Adjudication stating that as “the only surviving son
and sole heir” of the spouses, he was adjudicating
himself a parcel of land. Thereafter, he executed a
Deed of Absolute Sale, conveying the property to
Adriano Villanueva. Atty. Salud Beradio appeared as
notary public on both the affidavit of adjudication
and the deed of sale. Atty. Beradio knew of the
falsity of Alfonso’s statement. Florencia and
descendants of the other children of the spouses
were still alive at the time of execution of both
documents. Was there a failure to discharge
properly the duties of a notary public?
A: Yes. Atty. Beradio’s conduct breached the Code of
Professional Responsibility, which requires lawyers to
obey the laws of the land and promote respect for
the law and legal processes as well as Rule 1.01 of the
Code which proscribes lawyers from engaging in
unlawful, dishonest, immoral, or deceitful conduct.
She herself admitted that she knew of the falsity of
Alfonso’s statement that he was the “sole heir” of the
spouses. She therefore notarized a document while
fully aware that it contained a material falsehood.
The affidavit of adjudication is premised on this very
assertion. By this instrument, Alfonso claimed a
portion of his parents’ estate all to himself, to the
exclusion of his co-heirs. Shortly afterwards, Atty.
Beradio notarized the deed of sale, knowing that the
deed took basis from the unlawful affidavit of
adjudication. (Heirs of the Late Spouses Lucas v .Atty.
Beradio, A.C. No. 6270, Jan. 22, 2007)
Note: Where admittedly the notary public has personal
knowledge of a false statement or information contained in
134
 NOTARIAL PRACTICE
the instrument to be notarized, yet proceeds to affix his or
her notarial seal on it, the court must not hesitate to
discipline the notary public accordingly as the
circumstances of the case may dictate. Otherwise, the
integrity and sanctity of the notarization process may be
undermined and public confidence on notarial documents
diminished. (Ibid)
Q: When is a notary public disqualified from
performing a notarial act? (1995 Bar Question)
A: When the notary public:
1. Is a party to the instrument or document that is
to be notarized;
2. Will receive, as a direct or indirect result, any
commission, fee, advantage, right, title, interest,
cash, property, or other consideration, except as
provided by the Rules on Notarial Practice and by
law; or
3. Is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the fourth
civil degree.(Sec. 3, Rule IV, A.M. No. 02-8-13-SC)
Note: The function of a notary public is, among others, to
guard against any illegal or immoral arrangements. That
function would be defeated if the notary public is one of
the signatories to the instrument. For then, he would be
interested in sustaining the validity thereof as it directly
involves himself and the validity of his own act. It would
place him in an inconsistent position, and the very purpose
of the acknowledgment, which is to minimize fraud, would
be thwarted. (Villarin v. Sabate, A.C. No. 3224,Feb. 9, 2000)
Q: When may a notary public refuse to notarize even
if the appropriate fee is tendered?
A:
1. The notary knows or has good reason to believe
that the notarial act or transaction is unlawful or
immoral;
2. The signatory shows a demeanor which
engenders in the mind of the notary public
reasonable doubt as to the former's knowledge
of the consequences of the transaction requiring
a notarial act;
3. In the notary's judgment, the signatory is not
acting of his or her own free will; (Sec.4, Rule V,
A.M. No. 02-8-13-SC) or
4. If the document or instrument to be notarized is
considered as an improper document by the
Rules on Notarial Practice.
Note: Improper instrument/document is a blank or
incomplete instrument or an instrument or document
without appropriate notarial certification. (Sec. 6, Rule V,
A.M. No. 02-8-13-SC)
135
A notary public should not notarize a document unless the
person who signs it is the same person who executed it,
personally appearing before him to attest to the contents
and the truth of what are stated therein. This is to enable
the notary public to verify the genuineness of the signature
of the acknowledging party and to ascertain that the
document is the party’s free act. The duties of a notary
public is dictated by public policy and impressed with public
interest. It is not a meaningless ministerial act of
acknowledging documents executed by parties who are
willing to pay the fees for notarization. It is of no moment
that the subject SPA was not utilized by the grantee for the
purpose it was intended because the property was
allegedly transferred from complainant to her brother by
virtue of a deed of sale consummated between them. What
is being penalized is respondent’s act of notarizing a
document despite the absence of one of the parties. A
notarized document is by law entitled to full credit upon its
face and it is for this reason that notaries public must
observe the basic requirements in notarizing
documents. Otherwise, the confidence of the public in
notarized documents will be undermined. (NesaIsenhardt
vs. Atty. Leonardo M. Real, A.C. No. 8254, Feb. 15, 2012)
Q: What is affirmation or oath?
A: It refers to an act in which an individual on a single
occasion:
1. Appears in person before the notary public;
2. Is personally known to the notary public or
identified by the notary public through
competent evidence of identity as defined by the
Rules on Notarial Practice; and
3. Avows under penalty of law to the whole truth of
the contents of the instrument or document.
(Sec. 2,Rule II, A.M. No. 02-8-13-SC)
REPUBLIC ACT NO. 9406
MARCH 23, 2007
AN ACT REORGANIZING AND STRENGTHENING THE
PUBLIC ATTORNEY'S OFFICE, AMENDING FOR THE
PURPOSE PERTINENT PROVISIONS OF EXECUTIVE
ORDER NO. 292, OTHERWISE KNOWN AS THE
"ADMINISTRATIVE CODE OF 1987", AS AMENDED,
GRANTING SPECIAL ALLOWANCE TO PAO OFFICIALS
AND LAWYERS, AND PROVIDING FUNDS THEREFOR
Q: Who are the officers authorized to administer
oaths?
A: The following officers have general authority to
administer oaths:
1. President;
2. Vice-President;
3. Members and Secretaries of both Houses of the
Congress;
4. Members of the Judiciary;
5. Secretaries of Departments;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
6. Provincial governors and lieutenant-governors;
7. City mayors;
8. Municipal mayors;
9. Bureau directors;
10. Regional directors;
11. Clerk of courts;
12. Registrars of deeds;
13. Other civilian officers in the public service of the
government of the Philippines whose
appointments are vested in the President and are
subject to confirmation by the Commission on
Appointments;
14. All other constitutional officers;
15. PAO lawyers in connection with the performance
of duty; and
16. Notaries public (Sec. 41)
Q: What is the rule regarding the duty to administer
oaths?
A: Officers authorized to administer oaths, with the
exception of notaries public, municipal judges and
clerks of court, are not obliged to administer oaths or
execute certificates save in matters of official
business or in relation to their functions as such; and
with the exception of notaries public, the officer
performing the service in those matters shall charge
no fee, unless specifically authorized by law. (Section
42)
Note: P.A.O. Lawyers now have the authority to administer
oaths, provided it is in connection with the performance of
their duties.
The fiscal or the state prosecutor has the authority to
administer oaths. (R.A. No. 5180, as amended by P.D. 911)
NOTARIAL REGISTER
Q: What is a Notarial Register?
A: It refers to a permanently bound book with
numbered pages containing a chronological record of
notarial acts performed by a notary public. (Sec. 5,
Rule II, A.M. No. 02-8-13-SC)
Q: What is the form of notarial register?
A: A notary public shall keep, maintain, protect and
provide for lawful inspection as provided in these
Rules, a chronological official notarial register of
notarial acts consisting of a permanently bound book
with numbered pages.
The register shall be kept in books to be furnished by
the Solicitor General to any notary public upon
request and upon payment of the cost thereof. The
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
register shall be duly paged, and on the first page, the
Solicitor General shall certify the number of pages of
which the book consists.
For purposes of this provision, a Memorandum of
Agreement or Understanding may be entered into by
the Office of the Solicitor General and the Office of
the Court Administrator. (Sec. 1(a), RuleVI, A.M. No.
02-8-13-SC)
Q: How many notarial register may a notary public
keep?
A: A notary public shall keep only one active notarial
register at any given time. (Sec. 1(b), RuleVI, A.M. No.
02-8-13-SC)
Q: What information should be entered in the
notarial register?
A:
a. For every notarial act, the notary shall record in
the notarial register at the time of notarization
the following:
1. the entry number and page number;
2. the date and time of day of the notarial act;
3. the type of notarial act;
4. the title or description of the instrument,
document or proceeding;
5. the name and address of each principal;
6. the competent evidence of identity as
defined by these Rules if the signatory is not
personally known to the notary;
7. the name and address of each credible
witness swearing to or affirming the person's
identity;
8. the fee charged for the notarial act;
9. the address where the notarization was
performed if not in the notary's regular place
of work or business; and
10. any other circumstance the notary public
may deem of significance or relevance. (Sec.
2(a), Rule VI, A.M. No.02-8-13-SC)
b. In case of failure to complete a notarial act, record
in the notarial register the reasons and
circumstances for not completing a notarial act
(Sec. 2(b), Rule VI, A.M. No. 02-8-13-SC)
c. The circumstances of any request to inspect or
copy an entry in the notarial register, including
the requester's name, address, signature,
thumbmark or other recognized identifier, and
evidence of identity (Sec.2(c),Rule VI, A.M. No. 02-
8-13-SC)
136
 NOTARIAL PRACTICE
Note: The reasons for refusal to allow inspection or
copying of a journal entry shall also be recorded. (Ibid.)
d. When the instrument or document is a contract,
keep an original copy thereof as part of his
records and enter in said records a brief
description of the substance thereof and shall give
to each entry a consecutive number, beginning
with number one in each calendar year.
(Sec.2(d),Rule VI, A.M. No. 02-8-13-SC)
Note: He shall also retain a duplicate original copy for
the Clerk of Court. (Ibid.)
e. In case of a protest of any draft, bill of exchange or
promissory note, make a full and true record of all
proceedings in relation thereto and shall note
therein whether the demand for the sum of
money was made, by whom, when, and where;
whether he presented such draft, bill or note;
whether notices were given, to whom and in what
manner; where the same was made, when and to
whom and where directed; and of every other fact
touching the same. (Sec. 2(f), Rule VI, A.M.No. 02-
8-13-SC)
f. At the end of each week, the notary public shall
certify in his notarial register the number of
instruments or documents executed, sworn to,
acknowledged, or protested before him; or if
none, this certificate shall show this fact. (Sec.
2(g),Rule VI, A.M. No. 02-8-13-SC)
Note: A certified copy of each month's entries and a
duplicate original copy of any instrument acknowledged
before the notary public shall, within the first ten (10) days
of the month following, be forwarded to the Clerk of Court
and shall be under the responsibility of such officer. If there
is no entry to certify for the month, the notary shall
forward a statement to this effect in lieu of certified copies
herein required. (Sec. 2(h), Rule VI, A.M. No. 02-8-13-SC)
The notary public shall give to each instrument or
document executed, sworn to, or acknowledged before him
a number corresponding to the one in his register, and shall
also state on the instrument or document the page/s of his
register on which the same is recorded. No blank line shall
be left between entries. (Sec. 2(e), Rule VI, A.M. No. 02-8-
13-SC)
Q: Raul sought Ely’s disbarment for notarizing a
deed of sale knowing that four of the sellers were
dead. Ely admitted that he notarized the deed of
sale but only after his client assured him that the
signatures of the others were authentic. Later, Raul
moved to have the complaint against him dismissed
on the ground that it was filed because of a
misunderstanding which had already been clarified.
137
This prompted the IBP to recommend the dismissal
of the complaint. Can the dismissal be allowed?
(2011 Bar Question)
A: No. given Ely’s admission that he notarized the
document when some signatories were absent. (Sec.
2, Rule IV, A. M. No. 02-8-13-SC)
Q: Who shall sign or affix a thumbmark in the
notarial register?
A: At the time of notarization, the notary's notarial
register shall be signed or a thumb or other mark
affixed by each:
a. principal;
b. credible witness swearing or affirming to
the identity of a principal; and
c. witness to a signature by thumb or other
mark, or to a signing by the notary public on
behalf of a person physically unable to sign.
Sec. 3,Rule VI,A.M. No. 02-8-13-SC)
Q: Can any person inspect an entry in the notarial
register?
A: Yes, provided:
1. The inspection is made in the notary’s presence;
2. During regular business hours;
3. The person's identity is personally known to the
notary public or proven through competent
evidence of identity as defined in these Rules;
4. The person affixes a signature and thumb or
other mark or other recognized identifier, in the
notarial register in a separate, dated entry;
5. The person specifies the month, year, type of
instrument or document, and name of the
principal in the notarial act or acts sought; and
6. The person is shown only the entry or entries
specified by him. (Sec.4 (a), Rule VI,A.M. No. 02-
8-13-SC)
Q: May a law enforcement officer examine the
notarial register?
A: Yes, the notarial register may be examined by a
law enforcement officer in the course of an official
investigation or by virtue of a court order.(Sec. 4(b),
Rule VI, A. M. No. 02-8-13-SC)
Note: The notary public shall supply a certified true copy of
the notarial record, or any part thereof, to any person
applying for such copy upon payment of the legal fees. (Sec.
6,Rule VI, A. M. No. 02-8-13-SC)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
Q: May a notary public refuse the request of
inspection for register of deeds?
A: Yes. If the notary public has a reasonable ground
to believe that a person has a criminal intent or
wrongful motive in requesting information from the
notarial register, the notary shall deny access to any
entry or entries therein. (Sec. 4(c), Rule VI, A. M. No.
02-8-13-SC)
Q: State the rule in case of loss, destruction or
damage of notarial register
A:
1. In case the notarial register is stolen, lost,
destroyed, damaged, or otherwise rendered
unusable or illegible as a record of notarial acts,
the notary public shall, within ten (10) days after
informing the appropriate law enforcement
agency in the case of theft or vandalism, notify
the Executive Judge by any means providing a
proper receipt or acknowledgment, including
registered mail and also provide a copy or
number of any pertinent police report.
2. Upon revocation or expiration of a notarial
commission, or death of the notary public, the
notarial register and notarial records shall
immediately be delivered to the office of the
Executive Judge. (Sec. 5, RuleVI, A. M. No. 02-8-
13-SC)
JURISDICTION OF NOTARY PUBLIC AND
PLACE OF NOTARIZATION
Q: What is the jurisdiction of a notary public?
A: A notary public may perform notarial acts in any
place within the territorial jurisdiction of the
commissioning court.
Q: What is the phrase “regular place of work or
business” of a notary public mean?
A: The regular place of work or business refers to a
stationary office in the city or province wherein the
notary public renders legal and notarial services. (Sec.
11, Rule II, 2004 Rules on Notarial Practice)
Note: Under the Notarial Law, the jurisdiction of a notary
public is co-extensive with the province for which he was
commissioned; and for the notary public in the city of
Manila, the jurisdiction is co-extensive with said city.
Circular 8 of 1985, however, clarified further that the
notary public may be commissioned for the same term only
by one court within the Metro Manila region.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: Can a notary public perform a notarial act outside
his jurisdiction and his regular place of work or
business? (1996 Bar Question)
A: GR: A notary public shall not perform a notarial act
outside his jurisdiction and his regular place of work
or business.
XPN: A notarial act may be performed at the
request of the parties in the following sites, other
than his regular place of work or business, located
within his territorial jurisdiction:
1. Public offices, convention halls, and similar
places where oaths of office may be
administered;
2. Public function areas in hotels and similar
places for the signing of instruments or
documents requiring notarization;
3. Hospitals and other medical institutions where
a party to an instrument or document is
confined for treatment
4. Any place where a party to an instrument or
document requiring notarization is under
detention. (Sec. 2, Rule IV, A. M. No. 02-8-13-
SC)
5. Such other places as may be dictated because
of emergency.
Note: It is improper for a notary public to notarize
documents in sidewalk since it is now required that a
notary public should maintain a regular place of work or
business within the city or province where he is
commissioned. The SC evidently wants to eradicate the
practice of “fly by night” notaries public who notarized
documents in “improvised” offices.
REVOCATION OF COMMISSION
Q: Who can revoke a notarial commission?
A: The notarial commission may be revoked by
1. The Executive Judge of the RTC who issued the
commission on any ground on which an
application for commission may be denied (Sec.
1, Rule XI, A.M. No. 02-8-13-SC,); or
2. By the Supreme Court itself in the exercise of its
general supervisory powers over lawyer.
Q: What are the grounds for revocation of notarial
commission?
A: The executive Judge shall revoke a notarial
commission for any ground on which an application
for a commission may be denied. In addition, the
Executive Judge may revoke the commission of, or
impose appropriate administrative sanctions upon,
138
 NOTARIAL PRACTICE
any notary public who:
1. Fails to keep a notarial register;
2. Fails to make the proper entry or entries in his
notarial register concerning his notarial acts;
3. Fails to send the copy of the entries to the
Executive Judge within the first ten (10) days of
the month following;
4. Fails to affix to acknowledgments the date of
expiration of his commission;
5. Fails to submit his notarial register, when filled,
to the Executive Judge;
6. Fails to make his report, within a reasonable
time, to the Executive Judge concerning the
performance of his duties, as may be required by
the judge;
7. Fails to require the presence of a principal at the
time of the notarial act;
Note: "Principal" refers to a person appearing before
the notary public whose act is the subject of
notarization.
8. Fails to identify a principal on the basis of
personal knowledge or competent evidence;
9. Executes a false or incomplete certificate under
Section 5, Rule IV;
10. Knowingly performs or fails to perform any other
act prohibited or mandated by these Rules; and
11. Commits any other dereliction or act which in the
judgment of the Executive Judge constitutes
good cause for revocation of commission or
imposition of administrative sanction.(Sec. 1,
Rule XI,Rule on Notarial Practice)
Note: Functions of notary public – violations: suspension as
notary not for the practice of law (Villarin v. Sabate, A.C.
No. 3224,Feb. 9, 2000).
COMPETENT EVIDENCE OF IDENTITY
Note: Competent evidence of identity is not required in
cases where the affiant is personally known to the Notary
Public. (Amora, Jr. v. Comelec, G.R. No.192280, Jan. 25,
2011)
Q: What is competent evidence of identity?
A: It refers to the identification of an individual based
on:
1. At least one current identification document
issued by an official agency bearing the
photograph and signature of the individual such
as but not limited to:
a. Passport,
139
b. Driver’s license,
c. Professional Regulation Commission ID,
d. National Bureau of Investigation
clearance,
e. Police clearance,
f. Postal ID,
g. Voter’s ID,
h. Barangay Certification,
i. Government Service Insurance System
e-card,
j. Social Security System card,
k. Philhealth card,
l. Senior Citizen card,
m. Overseas Workers Welfare
Administration (OWWA) ID,
n. OFW ID,
o. sea man’s book,
p. alien certificate of registration,
q. government office ID,
r. certification from the National Council
for the Welfare of Disabled Persons
(NCWDP),
s. Department of Social Welfare
Development (DSWD) certification; or
2. The oath or affirmation of one credible witness
not privy to the instrument, document or
transaction who is personally known to the
notary public and who personally knows the
individual, or of two credible witnesses neither of
whom is privy to the instrument, document or
transaction who each personally knows the
individual and shows to the notary public
documentary identification. (Amendment to Sec.
12 (a), Rule II of the 2004 Rules on Notarial
Practice, Feb. 19, 2008).
Note: Notaries public are required by the Notarial Law to
certify that the party to the instrument has acknowledged
and presented before the notaries public the proper
residence certificate (or exemption from the residence
certificate) and to enter its number, place, and date of issue
as part of certification. Sec. 12, Rule II of the 2004 Rules on
Notarial Practice now requires a party to the instrument to
present competent evidence of identity. (Legaspi v. Atty.
Dimaano, Jr., A.C. No. 7781,Sept. 12, 2008)
Q: Is a community tax certificate still a competent
evidence of identity?
A: No. A notary public can no longer accept a cedula
or a community tax certificate (CTC), the successor
document to the residence certificate originally
required by the Notarial Law as proof of identity.
Such does not even contain a photograph of the
person to whom it is issued. Further, CTC may be
easily obtained by anyone, without any supporting
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Legal Ethics
papers, thereby debasing its value as an identity
document.
Note: In the list of grounds for disqualification of persons
running for any local elective position under Section 40 of
the LGC, nowhere therein does it specify that a defective
notarization is a ground for the disqualification of a
candidate. Thus, presentation of CTC before the notary
public, in compliance with the requirement of presentation
of competent evidence of identity, though improper, does
not in itself warrant the disqualification of a candidate to
run for any elective position. (Amora,Jr. v. Comelec, G.R.
No. 192280, Jan. 25, 2011)
Q: Is the presentation of Community Tax Certificate
no longer necessary in view of the amendment?
A: No. Its presentation is still mandatory pursuant to
Local Government Code of the Philippines in order to
show payment of taxes. Said law provides:
“When an individual subject to the community tax
acknowledges any document before a notary public,
takes the oath of office upon election or appointment
to any position in the government service; receives
any license, certificate, or permit from any public
authority; pays any tax or fee; receives any money
from any public fund; transacts other official
business; or receives any salary or wage from any
person or corporation, it shall be the duty of any
person, officer, or corporation with whom such
transaction is made or business done or from whom
any salary or wage is received to require such
individual to exhibit the community tax certificate.”
(Sec. 163,LGC)
Q: Atty. Regino Tamabago notarized a last will and
testament under which, the decedent supposedly
bequeathed his entire estate to his wife, save for a
parcel of land which he devised to Vicente Lee, Jr.
and Elena Lee, half siblings of Manuel Lee, the
complainant. The will was purportedly executed and
acknowledged before respondent on June 30, 1965.
However, the residence certificate of the testator
noted in the acknowledgment of the will was dated
January 5, 1962. There is also absence of notation of
the residence certificates of the purported
witnesses. Did Atty. Regino Tamabago violate any of
the duties of a notary public?
A: Atty. Tamabago, as notary public, evidently failed
in the performance of the elementary duties of his
office. There is absence of a notation of the residence
certificates of the notarial witnesses in the will in the
acknowledgment. Further, the notation of the
testator’s old residence certificate in the same
acknowledgment was a clear breach of the law. The
Notarial Law then in force required the exhibition of
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
the residence certificate upon notarization of a
document or instrument. By having allowed decedent
to exhibit an expired residence certificate, Atty.
Tamabago failed to comply with the requirements of
the old Notarial Law. As much could be said of his
failure to demand the exhibition of the residence
certificates of notarial witnesses. Defects in the
observance of the solemnities prescribed by law
render the entire will invalid. (Manuel Lee v. Atty.
Regino Tamabago, A.C. No. 5281, Feb. 12, 2008)
SANCTIONS
Q: What are punishable acts under the 2004 Rules
on Notarial Practice?
A: The Executive Judge shall cause the prosecution of
any person who knowingly:
1. Acts or otherwise impersonates a notary public;
2. Obtains, conceals, defaces, or destroys the seal,
notarial register, or official records of a notary
public; and
3. Solicits, coerces, or in any way influences a
notary public to commit official misconduct. (Sec.
1, Rule XII, Rule on Notarial Practice
Q: Which of the following will subject Atty. Lyndon,
a Manila notary public, to sanctions under the
notarial rules? (2011 Bar Question)
A. Notarizing a verification and certification
against forum shopping in Manila Hotel at the
request of his Senator-client.
B. Refusing to notarize an extra-judicial settlement
deed after noting that Ambo, a friend, was
delisted as heir when he was in fact, one.
C. Performing signature witnessing involving his
brother-in-law and recording it in his register.
D. Notarizing a deed of sale for someone he knew
without requiring any proof of identity.
A: C. Performing signature witnessing involving his
brother-in-law and recording it in his register.
140
 CANONS OF PROFESSIONAL ETHICS

CANONS OF Q: Can a lawyer make known his services through

PROFESSIONAL ETHICS intermediaries?

Q: What are the Canons of Professional Ethics? A: No. The professional services of a lawyer should
not be controlled or exploited by any lay agency,
A: The Canons of Professional Ethics (CPE) were personal or corporate, which intervenes between
framed by the American Bar Association in 1908 and client and lawyer. He should avoid all relations which
were adopted in the Philippines in 1917 and direct the performance of his duties by or in the
subsequently revised in 1946. It is one of the sources interest of such intermediary. A lawyer's relation to
or the main basis of our legal ethics at the present his client should be personal, and his responsibility
which is the Code of Professional Responsibility (CPR). should be direct to the client. Charitable societies
While the CPE is superseded by the CPR, the CPE rendering aid to the indigents are not deemed such
continues to be an invaluable source of knowledge intermediaries.
and understanding of legal ethics.
A lawyer may accept employment from any
Note: Most of the provisions of the Code of Professional organization, such as an association, club or trade
Ethics are incorporated in the Code of Professional organization, to render legal services in any matter in
Responsibility. Only those topics not considered
which the organization, as an entity, is interested, but
incorporated are included to prevent redundancy.
this employment should not include the rendering of
legal services to the members of such an organization
Q: What is the duty of the bar in the selection of
in respect to their individual affairs (Canon 35,
judges?
Canons of Professional Ethics).
A: It is the duty of the bar to endeavor to prevent
Q: Is it proper for a lawyer to write articles in a
political considerations from outweighing judicial
newspaper and the like for publication?
fitness in the selection of judges. It should strive to
have elevated thereto only those willing to forego
A: A lawyer may with propriety write articles for
other employments whether of a business, political
publications in which he gives information upon the
or other character, which may embarrass their free
law; but he could not accept employment from such
and fair consideration of questions before them for
publication to advice inquiries in respect to their
decision (Canon 2, Canons of Professional Ethics).
individual rights (Canon 40, Canons of Professional
Ethics).
Q: Can a lawyer stipulate with the client that a
portion of the latter’s interest in the property
Q: May a lawyer interview any witness or
subject of the litigation be conveyed to the former
prospective witness for the opposing side in any civil
as payment for his services?
or criminal action without the consent of opposing
counsel or party?
A: No. The same is prohibited both by the CPE and
the Civil Code. The CPE provides that a lawyer should
A: Yes. In doing so, however, he should scrupulously
not purchase any interest in the subject matter of the
avoid any suggestion calculated to induce the witness
litigation which he is conducting. Likewise, the Civil
to suppress or deviate from the truth, or in any
Code provides that prosecuting attorneys connected
degree to affect his free and untrammeled conduct
with the administration of justice cannot acquire by
when appearing at the trial or on the witness stand
purchase properties in litigation to which they
(Canon 39, Canons of Professional Ethics).
exercise their respective functions (Canon 10, Canons
of Professional ethics; Art. 1491, Civil Code).
Q: Mr. A disclosed to his lawyer that he had been
bribing one of the court officials to destroy the
Q: What is the lawyer’s duty in its last analysis?
evidence of the other party to tilt the disposition of
the case in his favor. If you are Mr. A’s lawyer, what
A: It is the lawyer’s duty to render service or give
will you do?
advice tending to impress upon the client and his
undertaking exact compliance with the strictest
A: When a lawyer discovers that some fraud or
principles of moral law. He must advice his client to
deception has been practiced, upon the court or
observe the statute law, and above all to be faithful
party, he should endeavor to rectify it; at first by
to private trust and to public duty, as an honest man
advising his client, and should endeavor to rectify it
and as a patriotic and loyal citizen. (Canon 32, Canons
and if his client refuses to forego the advantage thus
of Professional Ethics).
UNIVERSITY OF SANTO TOMAS
141 FACULTY OF CIVIL LAW
 Legal Ethics

unjustly gained, he should promptly inform the

injured person or his counsel, so that they may take
appropriate steps. (Canon 41, Canons of Professional
Ethics). Furthermore, if the client failed or refuses to
rectify the same, he shall terminate the relationship
with such client in accordance with the Rules of
Court. (Canon 19.02, Code of Professional
Responsibility)

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 142
 SOURCES
JUDICIAL ETHICS
Q: What is judicial ethics?
A: It is the branch of moral science which treats of the
right and proper conduct to be observed by all judges
in trying and deciding controversies brought before
them for adjudication which conduct must be
demonstrative of impartiality, integrity, competence,
independence and freedom from improprieties. This
freedom from improprieties must be observed in
both the public and private life of a judge – being the
visible representation of the law.
Q: Who is a judge?
A: Any person exercising judicial power however
designated (New Code of Judicial Conduct).
A judge is a public officer who, by virtue of his office,
is clothed with judicial authority; A public officer
lawfully appointed to decide litigated questions in
accordance with law (People v. Manantan, G.R. No. L-
14129, Aug. 30, 1962).
Note: This refers to persons only. There may be a judge
without a court.
Q: Who is a de jure judge?
A: One who exercises the office of a judge as a matter
of right, fully vested with all the powers and functions
conceded to him under the law. (Luna v. Rodriguez,
G.R. No. L-13744, Nov. 29, 1918)
Q: Who is a de facto judge?
A: An officer who is not fully vested with all the
powers and duties conceded to judges but, one who
exercises the office of judge under some color of
right. He has the reputation of the officer he assumes
to be, yet he has some defect in his right to exercise
judicial functions at the particular time. (Luna v.
Rodriguez, G.R. No. L-13744, Nov. 29, 1918)
Note: There cannot be a de facto judge when there is a de
jure judge in the actual performance of the duties of the
office. Moreover, one cannot be actually acting under any
color of right when he has ceased to be a judge and has
actually vacated the office by the acceptance of another
office and by actually entering upon the duties of the other
office. (Luna v. Rodriguez and De Los Angeles, G.R. No. L-
13744, Nov. 29, 1918)
Q: In several policy addresses extensively covered by
media since his appointment on December 21, 2005,
Chief Justice Artemio V. Panganiban vowed to leave
a judiciary characterized by "four Ins" and to focus
143
in solving the "four ACID" problems that corrode the
administration of justice in our country. Explain this
"four Ins" and "four ACID" problems (2006 Bar
Question).
A: Chief Justice Panganiban vowed to lead a judiciary
characterized by four Ins: Independence, Integrity,
Industry and Intelligence; one that is morally
courageous to stand its ground against the
onslaughts of influence, interference, indifference
and insolence; and that is impervious to the plague of
ships - kinship, relationship, friendship and
fellowship.
He identified four ACID problems that corrode justice
in our country; namely, (1) limited Access to justice
by the poor; (2) Corruption; (3) Incompetence; and
(4) Delay in the delivery of quality judgments
(http://sc.judiciary.gov.ph/speech/acid-.pdf)
Note: Then Chief Justice Panganiban also asked for the
employees of the Judiciary for three things encapsulated by
the Code DHL: Dedication to duty, Honesty in every way,
and full loyalty to the judiciary and to the Supreme Court
Q: The Chief Justice also said that the judiciary must
"safeguard the liberty" and "nurture the prosperity"
of our people. Explain this philosophy. Cite Decisions
of the Supreme Court implementing each of these
twin beacons of the Chief Justice (2006 Bar
Question)
A: The twin beacons of LIBERTY and PROSPERITY
constitute the core judicial philosophy of Chief Justice
Panganiban. He “advances the view that liberty must
include the freedoms that prosperity allows. In the
same manner, prosperity must include liberty,
especially the liberty to strive for the ‘good life’
according to a person’s conception”. He further said
that the Judiciary can contribute to the advancement
of liberty and prosperity by adopting two standards
of judicial review: “that in litigations involving civil
liberties, the scales should weigh heavily against the
government and in favor of the people. However, in
conflicts affecting prosperity, development and the
economy, deference must be accorded to the political
branches of the government.”
In the case of Lumanlaw v. Peralta, GR No. 164953,
February 13, 2006, a decision penned by the Chief
Justice himself, the Court ordered the release of a
detainee who had been imprisoned at the Manila City
Jail for almost two years but had not yet been
arraigned.
In the case of Republic, et al. v. Judge Gingoyon and
Philippine International Air Terminals Co., Inc., GR No.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

166429, February 1, 2006, the Court upheld PIATCO’s
right to be paid Php300 billion before the
Government can take over the Ninoy Aquino
International Airport Passenger Terminal III facilities
(http://sc.judiciary.gov.ph/publications/benchmark/2
006/04/040611.php).
Q: What are the qualifications of justices of the
Supreme Court or Court of Appeals?
A: One must be:
1. A natural-born citizen of the Philippines;
2. At least 40 years of age;
3. A person who has been, for 15 years or more, a
judge of a lower court or engaged in the practice
of law; and
4. A person of proven competence, integrity,
probity and independence. (Sec. 7(2), Art. VIII,
1987 Constitution)
must not utter intemperate language during
the hearing of a case.
Q: What is the proper judicial conduct?
A: Judges and justices must conduct themselves as
to be beyond reproach and suspicion and be free
from appearance of impropriety in their personal
behavior not only in the discharge of official duties
but also in their everyday lives.
SOURCES
Q: What are the two sources of judicial ethics?
A:
a. New Code of Judicial Conduct for the Philippine
Judiciary (Bangalore Draft);
b. Code of Judicial Conduct

Q: What are the qualifications to be a RTC judge? Q: What is the difference between the New Code of
(1997 Bar Question) Judicial Conduct for the Philippine Judiciary and
Code of Judicial Conduct?
A: One must be:
1. A natural-born citizen of the Philippines; A:
2. At least 35 years of age; and NEW CODE OF JUDICIAL
CODE OF JUDICIAL
3. For at least 10 years engaged in the practice of CONDUCT FOR THE
CONDUCT
law in the Philippines or held a public office in PHILIPPINE JUDICIARY
the Philippines requiring admission to the Focuses on the Concerned primarily
practice of law as an indispensable requisite. institutional and with the institutional
personal independence independence of the
Q: What are the qualifications to be an MTC judge? of judicial officers judiciary.
Contains eight norms of Contained three
A: One must be: conduct that judges “ guidelines explaining
1. A natural-born citizen of the Philippines; shall follow” what judges “should do”
2. At least 30 years of age; and * Canon 1 of the 1989
3. For at least 5 years, engaged in the practice of Code created a weaker
law in the Philippines or held a public office in mandate.
the Philippines requiring admission to the
practice of law as an indispensable requisite. THE NEW CODE OF JUDICIAL CONDUCT
FOR THE PHILIPPINE JUDICIARY
Q: What is the proper judicial deportment? (BANGALORE DRAFT)
(A.M. NO. 03-05-01)
A:
1. Attitude toward counsel – He must be Note: The New Code of Judicial Conduct (NCJC) for the
courteous especially to the young and Philippine Judiciary which took effect on June 1, 2004
inexperienced, should not interrupt in their supersedes the Canons of Judicial Ethics and the Code of
arguments except to clarify his minds as to Judicial Conduct. Provided, however, that in case of
their positions, must not be tempted to an deficiency or absence of specific provisions in this New
Code, the Canons of Judicial Ethics and Code of Judicial
unnecessary display of learning or premature
Conduct shall be applicable in a suppletory character.
judgment, may criticize and correct (2007, 2009 Bar Questions)
unprofessional conduct of a lawyer but not in
an insulting manner. This was adopted from the universal declaration of
standards for ethical conduct embodied in the Bangalore
2. Attitude toward litigants and witnesses–He Draft as revised at the Round Table Conference of Chief
must be considerate, courteous and civil, Justices at the Hague.

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 144
 SOURCES
Note: The New Code contains 6 Canons and 44 Rules.
Q: One of the foundations of the Bangalore Draft of
the Code of Judicial Conduct is the importance in a
modern democratic society of what? (2011 Bar
Question)
A: Public confidence in its judicial system and in the
moral authority and integrity of its judiciary.
Q: What are the six (6) canons under the New Code
of Judicial Conduct for the Philippine Judiciary?
A:
1. Independence
2. Integrity
3. Impartiality
4. Propriety
5. Equality
6. Competence and Diligence
Note: The purpose of the New Code of Judicial Conduct for
the Philippine Judiciary is to update and correlate the code
of judicial conduct and canons of judicial ethics adopted for
the Philippines, and also to stress the Philippines’ solidarity
with the universal clamor for a universal code of judicial
ethics. (See aforementioned "four Ins" and "four ACID"
problems by Chief Justice Artemio V. Panganiban)
Q: What is the role of the Supreme Court in the
hierarchy of the Philippine Judiciary?
A: The Supreme Court is the highest court of the land.
All courts must adhere to its decisions and orders. If
the supremacy of the highest court will be
undermined, there will be no more end to judicial
controversies and judicial chaos will ensue. People
will not go to courts anymore and it is the rule of
force, not rule of law that will govern. The behavior
and conduct of judges must affirm the people’s faith
in the integrity of the judiciary. Justice must not
merely be done but must also be seen to be done
(Sec. 2, Canon 2, New Code of Judicial Ethics).
Q: How can the people’s confidence in the judicial
system be maintained if not reinforced?
A: The people’s confidence in the judicial system is
founded not only on the magnitude of legal
knowledge and diligence of the members of the
bench, but also on the highest standard of integrity
and moral uprightness they are expected to possess.
In the judiciary, moral integrity is more than a
cardinal virtue, it is a necessity (Tales-Dabon v. Arceo,
259 SCRA 315, Pascual v. Judge Rodolfo R. Bonifacio,
A.M. No. RTJ-01-1625, March 10, 2003).
145
Q: What are the duties of a magistrate that will
bolster the public’s confidence to our judicial
system?
A:
a. Duty to be above reproach and to appear above
reproach (Sec.1, Canon 2, New Code of Judicial
Conduct)
b. Duty to be impartial (Canon 3, New Code of
Judicial Conduct)
c. Duty to avoid improprieties and appearance of
improprieties (Sec. 1, Canon 4, New Code of
Judicial Conduct)
d. Duty of Financial Transparency and duty to avoid
financial conflicts of interest (Sec. 7, Canon 4,
New Code of Judicial Conduct)
e. Duty to be efficient, fair and prompt (Sec. 5,
Canon 6, New Code of Judicial Conduct)
f. Duty to be free from favor, bias, or prejudice
(Sec. 1 Canon 3 New Code of Judicial Conduct)
CODE OF JUDICIAL CONDUCT
(1989)
Q: What is the applicability of this Code?
A: This code applies suppletorily.
CANON 1, CJC
A JUDGE SHOULD UPHOLD THE INTEGRITY AND
INDEPENDENCE OF THE JUDICIARY.
Rule 1.01, Canon 1, CJC
A judge should be the embodiment of
competence, integrity and independence.
Q: A complaint was filed against Judge Grageda for
the delay in the resolution of motions relative to
Civil Case No. 54-2001, entitled Pio Angelia v. Arnold
Oghayan. Plaintiff Angelia averred that the case was
filed way back on August 8, 2001. After numerous
postponements, pre-trial was finally set on
December 6, 2007. On December 20, 2007, counsel
for complainant received an order dated December
6, 2007 dismissing the case for failure to prosecute.
On December 28, 2007, Angelia filed a motion for
reconsideration reasoning out that the failure to
prosecute could not be attributed to him. On July
28, 2008, he filed his Urgent Motion for the Early
Resolution of said December 2007 Motion for
Reconsideration. He claimed that despite the lapse
of a considerably long period of time, no action was
taken by Judge Grageda. Is respondent Judge
Gragela GUILTY of undue delay in resolving a motion
in violation of Rule 1.02, Canon 1 and Rule 3.05,
Canon 3 of the Code of Judicial Conduct?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
A: Yes. Failure to decide cases and other matters
within the reglementary period constitutes gross
inefficiency and warrants the imposition of
administrative sanction against the erring magistrate.
Delay in resolving motions and incidents pending
before a judge within the reglementary period of
ninety (90) days fixed by the Constitution and the law
is not excusable and constitutes gross inefficiency. As
a trial judge, Judge Grageda was a frontline official of
the judiciary and should have at all times acted with
efficiency and with probity.
Judges must decide cases and resolve matters with
dispatch because any delay in the administration of
justice deprives litigants of their right to a speedy
disposition of their case and undermines the people’s
faith in the judiciary. Indeed, justice delayed is justice
denied. (Angeliav. Grageda, A.M. No. RTJ-10-2220,
Feb. 7, 2011)
Rule 1.02, Canon 1, CJC
A judge should administer justice impartially and
without delay.
Rule 1.03, Canon 1, CJC
A judge should be vigilant against any attempt
to subvert the independence of the judiciary and
should forthwith resist any pressure from
whatever source intended to influence the
performance of official functions.
CANON 2, CJC
A JUDGE SHOULD AVOID IMPROPRIETY AND THE
APPEARANCE OF IMPROPRIETY IN ALL ACTIVITES.
Rule 2.01, Canon 2, CJC
A judge should so behave at all times as to
promote public confidence in the integrity and
impartiality of the judiciary.
Q: Judge Canoy was charged with several counts of
gross ignorance of the law and/or procedures, grave
abuse of authority, and appearance of impropriety
(Canon 2, Code of Judicial Conduct) for granting bail
to Melgazo, the accused in a criminal case, without
any application or petition for the grant of bail filed
before his court or any court. He verbally ordered
the branch clerk of court to accept the cash deposit
as bail, to earmark an official receipt for the cash
deposit, and to date it the following day. He did not
require Melgazo to sign a written undertaking
containing the conditions of the bail under Sec. 2,
Rule 114 to be complied with by Melgazo. Thus,
Judge Canoy ordered the police escorts to release
Melgazo without any written order of release.
Should respondent Judge Canoy be held
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
administratively liable for violating of Supreme
Court rules, directives and circulars under Sec. 9,
Rule 140, RRC (as amended by A.M. No. 01-8-10-SC)?
A: Yes. Granting of bail without any application or
petition to grant bail is a clear deviation from the
procedure laid down in Sec. 17 of Rule 114. As
regards the insistence of Judge Canoy that such may
be considered as “constructive bail,” there is no such
species of bail under the Rules. Despite the noblest of
reasons, the Rules of Court may not be ignored at will
and at random to the prejudice of the rights of
another. Rules of procedure are intended to ensure
the orderly administration of justice and the
protection of substantive rights in judicial and
extrajudicial proceedings. In this case, the reason of
Judge Canoy is hardly persuasive enough to disregard
the Rules. (Pantilo III v. Canoy, A.M. No. RTJ-11-2262,
Feb. 9, 2011)
Rule 2.02, Canon 2, CJC
A judge should not seek Publicity for personal
vainglory.
Rule 2.03, Canon 2, CJC
A judge shall not allow family, social, or other
relationships to influence judicial conduct or
judgment.
The prestige of judicial office shall not be used or
lent to advance the private interests of others, nor
convey the impression that they are in a special
position to influence the judge.
Q: Judge Belen was charged with grave abuse of
authority and conduct unbecoming a judge. He filed
a complaint for Estafa against complainant’s father.
However such was dismissed by the city prosecutor
for lack of probable cause. After the dismissal of the
complaint, Judge Belen started harassing and
threatening the complainant with filing of several
cases against the latter. He also wrote using his
personal stationary, several letters addressed to
certain local government authorities and employees,
requesting information on complainant’s piggery
and poultry business and advising them of the
alleged violations by the complainant of the
National Building Code and certain environmental
laws. An administrative complaint was filed against
the judge for violation of the New Code of Judicial
Conduct on the ground that by using the letter head
indicating his position as the Presiding Judge he was
trying to use the prestige of his judicial office for his
own personal interest. Is the judge liable?
A: Yes. While the use of the title is an official
designation as well as an honor that an incumbent
146
 SOURCES
has earned, a line still has to be drawn based on the
circumstances of the use of the appellation. While the
title can be used for social and other identification
purposes, it cannot be used with the intent to use the
prestige of his judicial office to gainfully advance his
personal, family or other pecuniary interests. Nor can
the prestige of a judicial office be used or lent to
advance the private interests of others, or to convey
or permit others to convey the impression that they
are in a special position to influence the judge.
(Canon 2, Rule 2.03 of the Code of Judicial Conduct)
To do any of these is to cross into the prohibited field
of impropriety. (Belen v. Belen,A.M. No. RTJ-08-2139,
Aug. 9, 2010)
Rule 2.04, Canon 2, CJC
A judge should refrain from influencing in any
manner the outcome of litigation or dispute
pending before another court or administrative
agency.
CANON 3, CJC
A JUDGE SHOULD PERFOM OFFICIAL DUTIES
HONESTLY, AND WITH IMPARTIALITY AND
DILIGENCE
ADJUDICATIVE RESPONSIBILITIES
Rule 3.01, Canon 3, CJC
A judge shall be faithful to the law and maintain
professional competence.
Q: Plaintiff Conquilla was charged for direct assault
after respondent Judge B conducted a preliminary
investigation and found probable cause to hold the
complainant for trial for the said crime. Complainant
then filed an administrative complaint, alleging that
under A.M. No. 05-08-[2]6-SC, first level court judges
no longer have the authority to conduct preliminary
investigations. Is the respondent judge guilty of
gross ignorance of the law?
A: Yes. When a law or a rule is basic, judges owe it to
their office to simply apply the law. Anything less is
gross ignorance of the law. Judges should exhibit
more than just a cursory acquaintance with the
statutes and procedural rules, and should be diligent
in keeping abreast with developments in law and
jurisprudence.
It was therefore incumbent upon respondent judge to
forward the records of the case to the Office of the
Provincial Prosecutor for preliminary investigation,
instead of conducting the preliminary investigation
himself upon amendment of the law stripping the
power of first level court judges to conduct
147
preliminary investigation. (Conquilla v. Bernando,
A.M. No.MTJ-09-1737, Feb. 9, 2011)
Rule 3.02, Canon 3, CJC
In every case, a judge shall endeavor diligently to
ascertain the facts and the applicable law
unswayed by partisan interests, public opinion or
fear of criticism.
A judge is expected to decide cases only on the basis
of the applicable law on the matter, not on any other
extraneous factors, such as public opinion, personal
convictions and partisan interests. (Lapena, 2009)
Rule 3.03, Canon 3, CJC
A judge shall maintain order and proper decorum
in the court.
Rule 3.04, Canon 3, CJC
A judge should be patient, attentive, and
courteous to lawyers, especially the inexperienced,
to litigants, witnesses, and others appearing
before the court.
A judge should avoid unconsciously falling into the
attitude of mind that the litigants are made for the
courts, instead of the courts for the litigants.
Q: How would you characterize the relationship
between the judge and a lawyer? Explain (1996 Bar
Question)
A: The Code of Professional Responsibility requires
lawyers to observe and maintain respect for judicial
officers (Canon 11, CPR). On the other hand, the Code
of Judicial Conduct requires judges to be patient,
attentive and courteous to lawyers (Rule 3.03, CJC). In
a word, lawyers and judges owe each other mutual
respect and courtesy.
Rule 3.05, Canon 3, CJC
A judge shall dispose of the court’s business
promptly and decide cases within the required
periods.
Article VIII, Section 15(1) of the 1987Constitution
mandates lower court judges to decide a case within
the reglementary period of 90 days. The Code of
Judicial Conduct under Rule 3.05 of Canon 3 likewise
enunciates that judges should administer justice
without delay and directs every judge to dispose of
the court’s business promptly within the period
prescribed by law. Rules prescribing the time within
which certain acts must be done are indispensable to
prevent needless delays in the orderly and speedy
disposition of cases. Thus, the 90-day period is
mandatory. (Re: Cases Submitted for Decision Before
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Hon. Teresito A. Andoy, A.M. No. 09-9-163-MTC, May
6, 2010)
Note: The Court has repeatedly emphasized the need for
judges to resolve their cases with dispatch. Delay does not
only constitute a serious violation of the parties’
constitutional right to speedy disposition of cases, it also
erodes the faith and confidence of the people in the
judiciary, lowers its standards, and brings it into disrepute.
(Office of the Court Administrator v. Quilatan, A.M. No.
MTJ-09-1745, Sept. 27, 2010)
Rule 3.06, Canon 3, CJC
While a judge may, to promote justice, prevent
waste of time or clear up some obscurity,
properly intervene in the presentation of evidence
during the trial, it should always be borne in mind
that undue interference may prevent the proper
presentation of the cause or the ascertainment of
truth.
Rule 3.07, Canon 3, CJC
A judge should abstain from making public
comments on any pending or impending case and
should require similar restraint on the part of
court personnel.
ADMINISTRATIVE RESPONSIBILITIES
Rule 3.08, Canon 3, CJC
A judge should diligently discharge
administrative responsibilities, maintain
professional competence in court management,
and facilitate the performance of the
administrative functions or other judges and
court personnel.
Rule 3.09, Canon 3, CJC
A judge should organize and supervise the court
personnel to ensure the prompt and efficient
dispatch of business, and require at all times the
observance of high standards of public service
and fidelity.
Rule 3.10, Canon 3, CJC
A judge should take or initiate appropriate
disciplinary measures against lawyers or court
personnel for unprofessional conduct of which
the judge may have become aware.
DISQUALIFICATION
Rule 3.12, Canon 3, CJC
A judge should take no part in a proceeding
where the judge’s impartiality might reasonably
be questioned.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
These cases include among others, proceedings
where:
a. The judge has personal knowledge of disputed
evidentiary facts concerning the proceeding;
b. The judge served as executor, administrator,
guardian, trustee or lawyer in the case or matter
in controversy, or a former associate of the judge
served as counsel during their association, or the
judge or lawyer was a material witness therein;
c. The judge’s ruling in a lower court is the subject
of review;
d. The judge is related by consanguinity or affinity
to a party litigant within the sixth degree or to
counsel within the fourth degree;
e. The judge knows the judge’s spouse or child
has a financial interest, as heir, legatee, creditor,
fiduciary, or otherwise, in the subject matter in
controversy or in a party to the proceeding,
f. Any other interest that could be substantially
affected by the outcome of the proceeding.
In every instance, the judge shall indicate the
legal reason for inhibition.
Q: In a hearing before the Court of Tax Appeals,
Atty. G was invited to appear as amicus curiae. One
of the Judges hearing the tax case is the father of
Atty. G. The counsel for the respondent moved for
the inhibition of the judge in view of the father-son
relationship. Is there merit to the motion? Decide.
(1996 Bar Question)
A: There is no merit to the motion. Rule 3.12 of the
CJC provides that “a judge should take no part where
the judge’s impartiality might reasonably be
questioned. Among the instances for the
disqualification of a judge is that he is related to a
party litigant within the sixth degree or to counsel
within the fourth degree of consanguinity or affinity.
But this refers to counsel of the parties. As amicus,
he represents no party to the case. There is,
therefore, no ground to fear the loss of the judge’s
impartiality in this case if his son is appointed amicus
curiae.
REMITTAL OF DISQUALIFICATION
Rule 3.13, Canon 3, CJC
A judge disqualified by the terms of Rule 3.12
may, instead of withdrawing from the
proceeding, disclose on the record the basis of
disqualification.
If, based on such disclosure the parties and
lawyers independently of the judge’s
participation, all agree in writing that the reason
for the inhibition is immaterial or insubstantial,
148
 SOURCES
the judge may then participate in the
proceeding.
The agreement signed by the parties, shall be
incorporated in the record of the proceeding.
CANON 4, CJC
A JUDGE MAY, WITH DUE REGARD TO OFFICIAL
DUTIES, ENGAGE IN ACTIVITIES TO IMPROVE THE
LAW, THE LEGAL SYSTEM AND THE
ADMINISTRATION OF JUSTICE.
Rule 4.01, Canon 4, CJC
A judge may, to the extent that the following
activities do not impair the performance of
judicial duties or cast doubt on the judge’s
impartiality:
a. Speak, write, lecture, teach of participate in
activities concerning the law, the legal system
and the administration of justice;
b. Appear at a public hearing before a legislative
or executive body on matters concerning the
law, the legal system or the administration of
justice and otherwise consult with them on
matters concerning the administration of justice;
c. Serve on any organization devoted to the
improvement of the law, the legal system or the
administration of justice.
CANON 5, CJC
A JUDGE SHOULD REGULATE EXTRAJUDICIAL
ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT
WITH JUDICIAL DUTIES.
(1995, 1997, 1999, 2000, 2002 Bar Questions)
A judge should regulate his extra-judicial activities so
as to minimize the risk of conflict with judicial duties.
ADVOCATIONAL, CIVIL AND CHARITABLE ACTIVITES
Rule 5.01, Canon 5, CJC
A judge may engage in the following activities
provided that they do not interfere with the
performance of judicial duties or detract from
dignity of the court:
1. Write, teach and speak on non-legal subjects;
2. Engage in the arts, sports, and other special
recreational activities;
3. Participate in civic and charitable activities;
4. Serve as an officer, director, trustee, or non-legal
advisor of non-profit or non-political, educational,
religious, charitable, fraternal, or civic organization.
FINANCIAL ACTIVITIES
Rule 5.02, Canon 5, CJC
A judge shall refrain from financial and business
149
dealing that tend to reflect adversely on the
court’s impartiality, interfere with the proper
performance of judicial activities or increase
involvement with lawyers or persons likely to
come before the court.
A judge should so manage investments and other
financial interests as to minimize the number of
cases giving grounds for disqualifications.
Q: What is the rule regarding financial activities?
A: A judge shall refrain from financial and business
dealings that tend to:
1. Reflect adversely on the court’s impartiality;
2. Interfere with the proper performance of judicial
activities; or
3. Increase involvement with lawyers or persons
likely to come before the court.
A judge should so manage investments and other
financial interests as to minimize the number of cases
giving grounds for disqualification. (Rule 5.02)
Rule 5.03, Canon 5, CJC
Subject to the provisions of the proceeding rule,
a judge may hold and manage investments but
should not serve as officer, director, manager or
advisor, or employee of any business except as
director of a family business of the judge.
Q: May a judge hold and manage an investment?
A: GR: A judge may hold and manage investments but
should not serve as:
1. An officer
2. Director
3. Manager
4. Advisor
5. Employee of any business
XPN: As director of a family business of the judge.
(Rule 5.03)
Rule 5.04, Canon 5, CJC
A judge or any immediate member of the family
shall not accept a gift, bequest, factor or loan
from anyone except as may be allowed by law.
Rule 5.05, Canon 5, CJC
No information acquired in judicial capacity shall
be sued of disclosed by a judge in any financial
dealing or for any other purpose not related to
judicial activities.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
QUALITIES
(NEW CODE OF JUDICIAL CONDUCT)
INDEPENDENCE
CANON 1
JUDICIAL INDEPENDENCE IS A PRE-REQUISITE TO
THE RULE OF LAW AND A FUNDAMENTAL
GUARANTEE OF A FAIR TRIAL.
A JUDGE SHALL, THEREFORE, UPHOLD AND
EXEMPLIFY JUDICIAL INDEPENDENCE IN BOTH ITS
INDIVIDUAL AND INSTITUTIONAL ASPECTS.
Q: What is an independent Judiciary?
A: It is one free from inappropriate outside influence.
Q: What is the importance of judicial independence?
A: Judicial independence is a pre-requisite to the rule
of law and a fundamental guarantee of a fair trial. A
judge shall, therefore, uphold and exemplify judicial
independence in both its individual and institutional
aspects. (Canon 1, NCJC)
Note: Individual Judicial Independence focuses on each
particular case and seeks to insure his or her ability to
decide cases with autonomy within the constraints of the
law while Institutional Judicial Independence focuses on the
independence of the judiciary as a branch of government
and protects judges as a class. (In the Matter of the
Allegations Contained in the Columns of Mr. Amado P.
Macasaet Published in Malaya dated Sept. 18, 19, 20 and
21, 2007)
Note: The treatment of independence as a single Canon is
the primary difference between the new Canon 1 and the
Canon 1 of the 1989 Code.
Section 1, Canon 1, NCJC
Judges shall exercise the judicial function
independently on the basis of their assessment of
the facts and in accordance with a conscientious
understanding of the law, free of any extraneous
influence, inducement, pressure, threat or
interference, direct or indirect, from any quarter
or for any reason.
Judges should inspire public confidence in the
judiciary which can be attained only if judges are
perceived by the public to be fair, honest, competent,
principled, dignified and honorable. Accordingly, the
first duty of judges is to conduct themselves at all
times in a manner that is beyond reproach.
Judges must reject pressure by maintaining
independence from, but not limited to the following:
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
1. Independence from public officials – the public
laid their confidence on the fact that the official
is mentally and morally fit to pass upon the
merits of their varied intentions.
2. Independence from government as a whole –
avoid inappropriate connections, as well as any
situation that would give rise to the impression
of the existence of such inappropriate
connections.
3. Independence from family, social, or other
relationships –Do not sit in litigation where a
near relative is a part of or counsel; be
independent from judicial colleagues (Sec. 2) and
avoid such actions as may reasonably tend to
wake the suspicion that his social or business
relations constitute an element in determining
his judicial course.
4. Independence from public opinion –only guide is
the mandate of law.
Q: In a civil case submitted for a decision, Judge
Corpuz-Macandog acted on it based on a telephone
call from a government official telling her to decide
the case in favor of the defendant, otherwise she
will be removed. The judge explained that she did so
under pressure considering that the country was
under a revolutionary government at that time. Did
the judge commit an act of misconduct?
A: Yes. A judge must decide a case based on its
merits. For this reason, a judge is expected to be
fearless in the pursuit to render justice, to be
unafraid to displease any person, interest or power,
and to be equipped with a moral fiber strong enough
to resist temptation lurking in her office. Here, it is
improper for a judge to have decided a case based
only on a directive from a government official and not
on the judge’s own ascertainment of facts and
applicable law. (Ramirez v. Corpuz-Macandog, A.M.
No. R-351-RTJ, Sept. 26, 1986)
Q: Mayor C was shot by B, the bodyguard of Mayor
D, inside the court room of Judge Dabalos.
Consequently, an information with no bail
recommendation was filed against B and D. The
murder case was then scheduled for raffle but
before the scheduled date, the son of Mayor C
together with their counsel, Atty. Libarios, and other
sympathizers staged a rally demanding immediate
arrest of the accused. Judge Dabalos then issued an
order without prior hearing directing the issuance of
a warrant of arrest against the accused. Did the
judge commit an act of misconduct?
150
 QUALITIES
A: Yes. The judge should not issue warrant of arrest
without personally evaluating the resolution of the
prosecutor and its supporting evidence to establish
judicial probable cause (Sec.6, Rule 112, Rules of
Crim.Pro). A judge in every case should endeavor
diligently to ascertain the facts and the applicable law
unswayed by partisan or personal interests, public
opinion or fear of criticism. Here, the judge should
not have allowed himself to be swayed into issuing a
warrant of arrest. (Libarios v. Dabalos A.M. No.RTJ-
89-286, July 11, 1991)
Note: In the performance of their judicial duties, judges
must not bow down to public opinion, and disregard
editorials, columns or TV or radio commentaries on cases
pending before them.
The highest degree of independence is required of judges.
Once a judge gives in to pressures from whatever source,
that judge is deemed to have lost his independence and is
considered unworthy of the position. More than just a
breach of the rudiments laid down in the Code of Judicial
Conduct, judges who succumb to pressure and, as a result,
knowingly ignore proven facts or misapply the law in
rendering a decision commit corruption and face both
administrative and criminal prosecution under R.A. 3019
(Anti-Graft and Corrupt Practices Act) and Art.204, RPC.
Sec. 2, Canon 1, NCJC
In performing judicial duties, Judges shall be
independent from judicial colleagues in respect of
decisions which the judge is obliged to make
independently.
Q: May a judge consult with staff and court officials?
A: No. The highest degree of independence is
required of judges. He must be independent in
decision-making. However, he can ask colleagues
purely academic or hypothetical questions but not to
the extent of asking them to decide a case.
Note: It is every judge’s duty to respect the individual
independence of fellow judges.
Sec. 3, Canon 1, NCJC
Judges shall refrain from influencing in any manner
the outcome of litigation or dispute pending before
another court or administrative agency.
(Principle of Subjudice)
Note: A judge is prohibited from making public statements
in the media regarding a pending case so as not to arouse
public opinion for or against a party. (2007 Bar Question)
This section affirms that a judge’s restraint from exerting
influence over other judicial or quasi-judicial bodies is
required for more than just propriety.
151
Q: Is the influence exerted by a judge required to be
successful in order to constitute misconduct?
A: No. Any attempt, whether successful or not, to
influence the decision-making process of another
judge, especially one who is of lower rank and over
whom a judge exercises supervisory authority
constitutes serious misconduct.
Note: If the consultation is purely on an academic or
hypothetical basis, and the judge does not surrender his or
her independent decision making, there can be no breach
of Sections 2 and 3 of Canon 1 of the New Code.
Q: A Judge of the RTC wrote a letter to the judge of
the lower court, seeking to influence him to hear the
case and even intimating that he issue an order of
acquittal. Is it proper?
A: No, the Supreme Court ruled that a judge who tries
to influence the outcome of a case pending before
another court not only subverts the independence of
the judiciary but also undermines the people’s faith in
its integrity and impartiality. The interference in this
decision-making process of another judge is a breach
of conduct so serious as to justify dismissal from
service based only on preponderance of evidence.
(Sabitsana Jr. vs. Villamor, A.M. No. 90-474, Oct. 4
1991)
Sec. 4, Canon 1, NCJC
Judges shall not allow family, social, or other
relationships to influence judicial conduct or
judgment.
The prestige of judicial office shall not be used or
lent to advance the private interests of others, nor
convey or permit others to convey the impression
that they are in a special position to influence the
judge.
Q: What is the purpose of Sec. 4, Canon 1 of NCJC?
A: It is intended to ensure that judges are spared
from potential influence of family members by
disqualifying them even before any opportunity for
impropriety presents itself.
Q: What does the term “judge’s family” include?
A:
1. Judge’s spouse
2. Son
3. Daughter
4. Son-in-law
5. Daughter-in-law
6. Other relative by consanguinity or affinity within
the sixth civil degree, or
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
7. Person who is a companion or employee of the
judge and who lives in the judge’s household
(NCJC of the Philippine Judiciary-Annotated,
February 2007)
Q: When is a judge’s disqualification to sit in a case
mandatory?
A: When the judge is related to one of the parties
within the sixth degree of consanguinity or affinity.
Note: Judges should ensure that their family members,
friends and associates refrain from creating the impression
that they are in a position to influence the judge. Judges
should, therefore, at all times remind themselves that they
are not in the judiciary to give out favors but to dispense
justice. They should also make it clear to the members of
their family, friends and associates that they will neither be
influenced by anyone, nor would they allow anyone to
interfere in their work.
Sec. 5, Canon 1, NCJC
Judges shall not only be free from inappropriate
connections with, and influence by, the executive
and legislative branches of government, but must
also appear to be free therefrom to a reasonable
observer.
This section affirms the independence of the judiciary from
the two other branches of government.
Note: Judicial independence is the reason for leaving
exclusively to the Court the authority to deal with internal
personnel issues, even if the court employees in question
are funded by the local government (Bagatsing v. Herrera,
G.R. No. L-34952,July 25, 1975)
Q: Is it enough that a judge is free from
inappropriate connections with executive and
legislative branches of the government?
A: No. Judges must also appear to be free from such
to a reasonable observer.
Q: Several employees of the city government of
Quezon City were appointed and assigned at the
office of the Clerk of Court-MeTC QC to assist the
organic staff of the Judiciary. However, the
executive judge of MeTC QC, in view of a
reorganization plan, returned those employees to
different offices of QC government saying that the
court is already overstaffed. The judge also
requested the QC Mayor to re-employ the laid off
employees. Did the judge commit any improper
conduct?
A: Yes. An executive judge has no authority to cause
the transfer of court employees as the jurisdiction to
do so is lodge solely upon the SC through the Office
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
of the Court Administrator. This is so because of the
need to maintain judicial independence. Moreover, a
judge shall be free from inappropriate connections
with and influence from the executive and legislative
branch. Here, the judge did not act independently of
the LGU when she asked the Mayor of QC to re-
employ the displaced employees instead of informing
the SC through the OCA of the need to streamline her
court of its personal needs. (Alfonso v. Alonzo-
Legasto, A.M. No. MTJ 94-995, Sept. 5, 2002)
Sec. 6, Canon 1, NCJC
Judges shall be independent in relation to society in
general and in relation to the particular parties to a
dispute which he or she has to adjudicate.
Note: It is desirable that the judge should, as far as
reasonably possible, refrain from all relations which would
normally tend to arouse suspicion that such relations warp
or bias his judgment, and prevent an impartial attitude of
minds in the administration of judicial duties. Judges should
not fraternize with litigants and their counsel; they should
make a conscious effort to avoid them in order to avoid the
perception that their independence has been
compromised. A judge’s act of sending his staff to talk with
the complainant and show copies of his draft decisions, and
his act of meeting with litigants outside the office premises
beyond office hours violate the standard of judicial conduct
required to be observed by members of the bench. (Tan
v.Rosete, A.M. No. MTJ-04-1563, Sept. 8, 2004)
Q: Are judges allowed to join religious and
professional organizations?
A: Yes. Section 6, Canon 1 of the NCJC does not
require a judge to live a hermit’s life. Judges should
socialize and be sensitive to social concerns and
developments. They may join religious or professional
organizations but their membership in these
organizations should not interfere with their judicial
tasks.
Sec. 7, Canon 1, NCJC
Judges shall encourage and uphold safeguards for
the discharge of judicial duties in order to maintain
and enhance the institutional and operational
independence of the judiciary.
Sec. 8, Canon 1, NCJC
Judges shall exhibit and promote high standards of
judicial conduct in order to reinforce public
confidence in the judiciary, which is fundamental to
the maintenance of judicial independence.
Note: Sections 7 and 8 of Canon 1 are intended to serve as
catch-all provisions for all other acts that would guarantee
the independence of the judiciary.
152
 QUALITIES
There can be no sure guarantee of judicial independence
than the character of those appointed to the Bench.
Q: Who are good judges?
A: Good judges are described as those who:
1. Have the mastery of the principles of law;
2. Discharge their duties in accordance with law;
3. Are permitted to perform the duties of the office
undeterred by outside influence; and
4. Are independent and self-respecting human units
in a judicial system equal and coordinate with the
other two departments of the government
(Borromeo v. Mariano, G.R. No. 16808, Jan. 3,
1921)
Judges must remain conscious of their character and
reputation as judges and should avoid anything which
will not dignify their public positions and demean the
institution to which they belong, in whatever
atmosphere or environment they may happen to be.
INTEGRITY
CANON 2
INTEGRITY IS ESSENTIAL NOT ONLY TO THE PROPER
DISCHARGE OF THE JUDICIAL OFFICE, BUT ALSO TO
THE PERSONAL DEMEANOR OF JUDGES.
A judge should act with integrity and behave with
integrity at all times so as to promote public
confidence in the integrity of the judiciary.
Q: Is integrity required only in the discharge of
judicial duties?
A: No. Integrity is essential not only to the proper
discharge of the judicial office but also to the
personal demeanor of judges. (Canon 2, NCJC) The
integrity of the judiciary rests not only upon the fact
that it is able to administer justice but also upon the
perception and confidence of the community that
people who run the system have done justice. Justice
must not be merely done but must also be seen to be
done. (Panaligan v. Judge Ibay, A.M. No. TJ-06-1972,
June 21, 2006)
In the Judiciary, moral integrity is more than a
cardinal virtue, it is a necessity (Pascual v. Bonifacio,
AM No. RTJ-01-1625, Mar. 10, 2003). Judges must be
models of uprightness, fairness and honesty. (Rural
Bank of Barotac Nuevo, Inc v. Cartagena, A.M. No.
707-MJ, July 21, 1978)
Note: Under the 1989 Code, the values of INTEGRITY and
INDEPENDENCE were grouped together, but the New Code
of Judicial Conduct separated them to emphasize the need
153
to maintain a life of PERSONAL and PROFESSIONAL
INTEGRITY in order to properly carry out their judicial
functions.
Q: What is the presumption as regards judges?
A: Judges are presumed honest and, are men of
integrity, unless proven otherwise.
Section 1, Canon 2, NCJC
Judges shall ensure that not only is their conduct
above reproach, but that it is perceived to be so
in the view of a reasonable observer.
Q: Is the maintenance of the court’s integrity the
sole duty of the judge?
A: No, it is also the duty of court personnel to see to
it that its integrity is unblemished.
Note: A judge’s personal behavior, both in the performance
of his duties and in his daily life, must be free from any
appearance of impropriety as to be beyond reproach.
Q: Judge Ferdinand Marcos of RTC Cebu is married
to Rotilla with whom he begot 2 children. However,
during a Fun Run sponsored by Philippine Judges
Association (PJA), Judge Marcos appeared with a
woman other than his wife whom he even
introduced to Justice Davide as his living partner.
Should the judge be disciplined?’
A: Yes. The Code of Judicial Conduct requires a judge
to be the embodiment of integrity, and to avoid
appearance of impropriety in all activities. Here,
Judge Marcos’ conduct of flaunting his mistress is a
conduct unbecoming of a judge. By living with a
woman other than his legal wife, Judge Marcos has
demonstrated himself to be wanting in integrity,
thus, unfit to remain in office and continue
discharging the functions of a judge. (Re: Complaint
of Mrs. Rotilla A. Marcos and Her Children against
Judge Ferdinand J. Marcos, RTC, Br. 20, Cebu City,
A.M. No. 97-2-53 RTC, July 6, 2001)
Q: May a judge be admonished for not wearing the
judicial robe in the performance of judicial
functions?
A: Yes. A judge must take care not only to remain
true to the high ideals of competence and integrity
his robe represents, but also that he wears one in the
first place. (Chan v. Majaducan A.M. No. RTJ-02-1697,
Oct. 15, 2003)
Q: What should Judges essentially emulate?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

A: Judges must be models of uprightness, fairness
and honesty. (Rural Bank of Barotac Nuevo vs.
Cartagena, A.M. No. 707-MJ, July 21, 1978)
Sec. 2, Canon 2, NCJC
The behavior and conduct of judges must reaffirm
the people’s faith in the integrity of the Judiciary.
Justice must not merely be done, but must also be
seen to be done.
A judge has the duty to not only render a just and
impartial decision, but also render it in such a
manner as to be free from any suspicion as to its
fairness and impartiality, and also as to the judge’s
integrity. While judges should possess proficiency in
law in order that they can completely construe and
enforce the law, it is more important that they
should act and behave in such a manner that the
parties before them should have confidence in their
impartiality. (Sibayan-Joaquin v. Javellana, A.M. No.
RTJ-00-1601, Nov. 13, 2001)
Q: Justice Mariano Del Castillo was charged with
plagiarism, twisting of cited materials, and gross
neglect in connection with the decision he wrote for
the court in G.R. No. 162230, entitled Vinuya v.
Romulo. Petitioners, members of the Malaya Lolas
Organization, seek reconsideration of the decision
of the Court dated October 12, 2010 that dismissed
the said complaint. Petitioners claim that the Court
has by its decision legalized or approved of the
commission of plagiarism in the Philippines. Should
the respondent justice be held guilty for plagiarism?
A: No. A judge writing to resolve a dispute, whether
trial or appellate, is exempted from a charge of
plagiarism even if ideas, words or phrases from a law
review article, novel thoughts published in a legal
periodical or language from a party’s brief are used
without giving attribution. Thus, judges are free to
use whatever sources they deem appropriate to
resolve the matter before them, without fear of
reprisal. This exemption applies to judicial writings
intended to decide cases for two reasons: the judge
is not writing a literary work and, more importantly,
the purpose of the writing is to resolve a dispute. As
a result, judges adjudicating cases are not subject to
a claim of legal plagiarism.
Although as a rule, practicing lawyers receive
compensation for every pleading or paper they file in
court or for every opinion they render to clients,
lawyers also need to strive for technical accuracy in
their writings. They should not be exposed to charges
of plagiarism in what they write so long as they do
not depart, as officers of the court, from the objective
of assisting the Court in the administration of justice.
(In matter of the Charges of Plagiarism etc.. Against
Associate Justice Mariano C. Del Castillo, A.M. No. 10-
7-17-SC, February 8, 2011)
Sec. 3, Canon 2, NCJC
Judges should take or initiate appropriate
disciplinary measures against lawyers or court
personnel for unprofessional conduct of which the
judge may have become aware.
Q: Can a judge punish lawyers and court personnel
for their misbehavior?
A: Yes. A judge may summarily punish any person
including lawyers and court personnel, for direct
contempt for misbehavior committed in the presence
of or so near a court or a judge as to obstruct or
interrupt the proceedings before the same. (Rule 71,
Revised Rules of Court)
He may also punish any person for indirect contempt
after appropriate charge and hearing, for acts
enumerated under Section 3, Rule 71 of the Rules of
Court.
Q: What is the judge’s duty with respect to court
employees?
A: A judge should constantly keep a watchful eye on
the conduct of his employees. His constant scrutiny of
the behavior of his employees would deter any abuse
on the part of the latter in the exercise of their duties.
The slightest breach of duty by and the slightest
irregularity in the conduct of court officers and
employees detract from the dignity of the courts and
erode the faith of the people in the judiciary
(Buenaventura v. Benedicto, A.C. No. 137-5, Mar. 27,
1971).
Note: Judges should not be lenient in the administrative
supervision of employees. As an administrator, the judge
must ensure that all court personnel perform efficiently and
promptly in the administration of justice. (Ramirez v.
Corpuz-Macandog, A.M. No. R-351-RTJ, Sept. 26, 1986)
All court personnel, from the lowliest employees to the
clerks of court, are involved in the dispensation of justice
like judges and justices, and parties seeking redress from
the courts for grievances look upon them also as part of the
judiciary. In performing their duties and responsibilities,
court personnel serve as sentinels of justice, that any act of
impropriety they commit immeasurably affects the honor
and dignity of the judiciary and the people's confidence in
the judiciary. They are, therefore, expected to act and
behave in a manner that should uphold the honor and
dignity of the judiciary, if only to maintain the people’s
confidence in the judiciary. (Guerrero v.Ong, A.M. No. P-09-
2676, Dec. 16, 2009)

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2013 GOLDEN NOTES 154
 QUALITIES
Q: Can a judge dismiss court personnel?
A: No. The power to dismiss a court employee is
vested in the Supreme Court. (Dailay-Papa v. Almora,
A.M. Nos. 543-MC and 1525-MJ, Dec. 19, 1981)
Q: While Judge Tuparin was in his chambers
dictating an order to a stenographer, two lawyers
who were in the courtroom waiting for the start of
the session almost came to blows as a result of a
heated argument. Tuparin came out of his chambers
and after identifying the lawyers involved in the
commotion promptly declared them in contempt of
court. Was the action of Judge Tuparin proper?
A: No. The act committed by the two lawyers was
indirect contempt violative of the rule punishing “any
improper conduct tending directly or indirectly, to
impede, obstruct, or degrade the administration of
justice”, since the judge was then engaged in
dictating an order before the morning session was
called. The act of the two lawyers constituted
obstruction of the administration of justice, which
was indirect contempt. Accordingly, they could only
be punished after notice and hearing.
IMPARTIALITY
CANON 3
IMPARTIALITY IS ESSENTIAL TO THE PROPER
DISCHARGE OF THE JUDICIAL OFFICE.
IT APPLIES NOT ONLY TO THE DECISION ITSELF BUT
ALSO TO THE PROCESS BY WHICH
THE DECISION IS MADE.
Q: Is impartiality applicable only to the decision
rendered by the judge?
A: No. Impartiality is essential to the proper discharge
of the judicial office. It applies not only to the
decision itself but also to the process by which the
decision is made. (Canon 3, NCJC)
Q: What is the principle of cold neutrality of an
impartial judge?
A: A judge should not only render just, correct, and
impartial decision but should do so in a manner free
from suspicion as to his fairness, impartiality and
integrity. This is an indispensable requisite of due
process. (Rallos v. Gako, A.M. No.RTJ-98-1484, Mar.
17, 2000)
Note: A judge has both: the duty of rendering a just
decision; and, doing it in a manner completely free from
suspicion as to his fairness and as to his integrity.
155
Sec. 1, Canon 3, NCJC
Judges shall perform their judicial duties without
favor, bias or prejudice.
It is the duty of all judges not only to be impartial but
also to appear impartial.
Q: Who has the burden of proof to show bias or
prejudice?
A: The burden of proof lies with the complainant to
show that there is bias sufficient to be a ground for
inhibition.
Note: There is Bias or Prejudice when the resulting opinion
is based upon an extrajudicial source: that is, some
influence other than the facts and law presented in the
courtroom.
Q: What is the degree of proof required to prove
bias and prejudice on the part of the judge?
A: The complainant must prove the same by clear and
convincing evidence since allegations of bias are quite
serious. Mere allegations are not sufficient to
constitute a violation of the rule.
Q: A filed an action for specific performance with
the RTC of Quezon City, presided by Judge Santiago,
against X Corporation asking for the delivery of the
title of 1 subdivision lot in Batangas which lot was
given to him in payment for his services as geodetic
surveyor. Meanwhile X Corporation filed with MTC
of Batangas an action for an unlawful detainer
against certain lot buyers on motion of A. Judge
Santiago issued TRO against X Corporation and
Judge of MTC and enjoining the latter from
proceeding with the case. X Corporation now filed a
motion to inhibit the judge on the ground that he
arbitrarily issued such TRO, but without presenting
evidence showing partiality on the part of the judge.
Should the judge be inhibited?
A. No. For a judge to be inhibited, allegations of
partiality and pre-judgment must be proven by clear
and convincing evidence. Here, mere allegation that
the judge arbitrarily issued the TRO without
presenting evidence showing bias on his part is not
sufficient. While Judge Santiago acted in excess of his
jurisdiction when he issued the TRO for such should
only be enforceable within his territorial jurisdiction,
such error may not necessarily warrant inhibition at
most it is correctible by certiorari. (Dimo Realty
&Development, Inc. v. Dimaculangan, G.R. No.
130991, Mar. 11, 2004).
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Q: What should the complainant show in order to
sustain the charge of bias on the part of the judge?
A: The complainant must show that the resulting
opinion of the judge is based on extra-judicial source.
Q: What is the extra-judicial source rule?
A: It means that the decision is based on some
influence other than the facts and law presented in
the courtroom.
Q: A motion to inhibit Judge Dicdican was filed on
the ground of partiality and bias on his part for
allegedly denying a motion to hear affirmative
defenses thereby denying the movant the
opportunity to be heard. Should the judge be
inhibited?
A: No. Judge Dicdican cannot be charged with bias
and partiality, merely on the basis of his decision not
to grant a motion for a preliminary hearing.
Allegations and perceptions of bias from the mere
tenor and language of a judge are insufficient to show
pre-judgment. Moreover, as long as opinions formed
in the course of judicial proceedings are based on the
evidence presented and the conduct observed by the
judge, such opinion – even if later found to be
erroneous on appeal or made with grave abuse of
discretion on certiorari –will not necessarily prove
personal bias or prejudice on the part of the judge. To
allow inhibition for such reason would open
floodgates to abuse. Here, the denial of the motion to
hear affirmative defenses is based on the Rules of
Court which provides that preliminary hearing of
defenses is discretionary, hence the judge cannot be
charged with partiality on the basis of such decision.
(Gochan v. Gochan,G.R. No. 143089, Feb. 27, 2003)
Sec. 2, Canon 3, NCJC
Judges shall ensure that his or her conduct, both in
and out of court, maintains and enhances the
confidence of the public, the legal profession and
litigants in the impartiality of the judge and of the
Judiciary.
Rationale: No judge should handle a case in which he might
be perceived, rightly or wrongly, to be susceptible to bias
and impartiality. His judgment must not be tainted by even
the slightest suspicion of improbity or preconceived
interest. The rule is aimed at preserving at all times the
faith and confidence in courts of justice by any party to the
litigation. (Urbanes, Jr. v. C.A., G.R. No. 117964, Mar.28,
2001)
Q: When is there undue interference by the judge?
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
A: There is undue interference where the judge’s
participation in the conduct of the trial tends to build
or to bolster a case of one of the parties. (Ty v. Banco
Filipino Savings and Mortgage Bank, CA and Hon. Tac-
an G.R. Nos. 149797-98, Feb. 13, 2004)
Q: Banco Filipino filed a complaint for reconveyance
of property against Ty and Tala Realty Services
Corp., which complaint was dismissed on the ground
of lack of jurisdiction. However, on motion for
reconsideration filed by Banco Filipino, the case was
reinstated and the judge even relieved Banco
Filipino from its obligation to prove service of its
motion for reconsideration and presumed actual
receipt of the same by the other party. Thereafter,
the judge directed the respondents to present
certain documents within a certain period of time
despite failure of Banco Filipino to tender the costs
for such production and inspection. Tala then filed a
motion for inhibition but the same was denied by
the judge. Did the judge commit any improper
conduct?
A: Yes. The rule is that a judge may not be legally
prohibited from sitting in litigation, but when
circumstances appear that will induce doubt to his
honest actuations and probity in favor of either party,
or incite such state of mind; he should conduct a
careful self-examination. He should exercise his
discretion in a way that the people's faith in the
courts of justice is not impaired. The better course for
the judge under such circumstances is to disqualify
himself. That way, he avoids being misunderstood;
his reputation for probity and objectivity is preserved.
What is more important, the ideal of impartial
administration of justice is lived up to. Here, the
judge, by assuming actual receipt by the respondents
of proof of service of the motion for reconsideration,
absolving Banco Filipino from paying the expenses of
production of documents, and suggesting to Banco
Filipino what evidence to present to prove its case,
transgressed the boundaries of impartiality. Thus, the
judge should inhibit himself. (Ty v. Banco Filipino
Savings and Mortgage Bank, et. al., G.R. Nos. 149797-
98, Feb. 13, 2004)
Q: Can a trial judge ask questions from witnesses?
A: Yes. In every examination of a witness, the court
shall take active part in examining him to determine
his credibility as well as the truth of his testimony and
to elicit the answers that it needs for resolving the
issues (Sec. 7, Judicial Affidavit Rule).
Note: In disposing of a criminal case, a judge should avoid
appearing like an advocate for either party. It is also
improper for the judge to push actively for amicable
156
 QUALITIES
settlement against the wishes of the complainant. A judge’s
unwelcome persistence makes the judge vulnerable to
suspicions of favoritism. (Montemayor v. Bermejo, Jr.,A.M.
No.MTJ-04-1535, Mar. 12, 2004)
Sec. 3, Canon 3,NCJC
Judges shall, so far as is reasonable, so conduct
themselves as to minimize the occasions on which
it will be necessary for them to be disqualified
from hearing or deciding cases.
Q: What is meant by “duty to sit?”
A: It means that a judge must ensure that he will not
be unnecessarily disqualified from a case.
Q: May a judge inhibit himself as he pleases?
A: No. A decision to inhibit must be based on good,
sound or ethical grounds, or for just and valid
reasons. It is not enough that a party cast some
tenuous allegations of partiality at the judge.
Q: What is the Rule of Necessity?
A: It states that a judge is not disqualified to sit in a
case where there is no other judge available to hear
and decide the case. Furthermore, when all judges
will be disqualified as a result, it will not be permitted
to destroy the only tribunal with the power in the
premises. The doctrine operates on the principle that
a basic judge is better than no judge at all. It is the
duty of the disqualified judge to hear and decide the
case regardless of objections or disagreements.
(Parayno v.Meneses, G.R. No. 112684, Apr. 26, 1994)
Sec. 4, Canon 3, NCJC
Judges shall not knowingly, while a proceeding is
before or could come before them, make any
comment that might reasonably be expected to
affect the outcome of such proceeding or impair
the manifest fairness of the process.
Nor shall judges make any comment in public or
otherwise that might affect the fair trial of any
person or issue.
A judge’s language, both written and spoken, must be
guarded and measured, lest the best of intentions be
misconstrued. (Fecundo v. Berjamen,G.R. No. 88105,
Dec. 18, 1989)
Q: What is the reason for the rule?
A: This Section warns judges against making any
comment that might reasonably be expected to affect
the outcome of the proceedings before them; or
those that the judge may later decide but not yet
157
before him; or "impair the manifest fairness of the
process.”
Q: A murder case was filed against Martinez, Duclan
and Bayongan. As the first two were not
apprehended, trial proceeded with respect to
Bayongan. Thereafter, Judge Girronellam rendered a
decision acquitting Bayongan saying that he had no
participation in the commission of the crime as the
crime was committed by Martinez. Subsequent to
the acquittal, Martinez surrendered and was
arraigned before the same court presided by Judge
Girronella. A Motion for inhibition was then filed on
the ground of partiality saying that the judge has
already formed an opinion as to who committed the
crime. Should the judge be inhibited?
A: Yes. The judge’s statement in the decision
acquitting Bayongan to the effect that the crime was
committed by Martinez renders it impossible for the
judge to be free from suspicion that in deciding the
case he will be biased. (Martinez v.Gironella, G.R. No.
L-37635, July 22, 1975)
Q: Justice Antonio Carpio penned a decision
regarding the invalidity of the amended joint
venture agreement between Public Estates
Authority (PEA) and Amari Coastal Bay Development
Corporation saying that the agreement is
unconstitutional as PEA cannot transfer ownership
of a reclaimed land to a private corporation. Amari
now filed a motion to inhibit Justice Carpio on the
ground of bias and pre-judgment allegedly because
he had previously wrote in his column in Manila
Times a statement to the effect that the law
requires public bidding of reclaimed projects and
that the PEA-Amari contract is flawed for it was not
bid by the PEA. Decide on the motion.
A: The motion to inhibit must be denied for three
reasons:
1. The motion to inhibit must be denied if filed after
a member of the court had already rendered his
opinion on the merits of the case. Here, the
motion was filed after Justice Carpio had already
rendered a decision;
2. The ratio decidendi of the decision was not based
on his statements on the column. Here, the
decision was based on constitutional grounds
and not in the absence of public bidding; and
3. Judges and justices are not disqualified from
participating in a case just because they have
written legal articles on the law involved in the
case. (Chavez v. PEA, G.R. No. 133250, May 6,
2003)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Q: Are judges absolutely prohibited from making
comments?
A: No. Not all comments are impermissible. Judges
may express their open-mindedness regarding a
pending issue in cases where the judges’ comments
do not necessarily favor one side over the other.
Note: However, judges should avoid side remarks, hasty
conclusions, loose statements or gratuitous utterances that
suggest they are prejudging a case. Judges should be aware
that the media might consider them a good and credible
source of opinion or ideas, and therefore should refrain
from making any comment on a pending case. Not only is
there danger of being misquoted, but also of compromising
the rights of the litigants in the case.
Sec. 5, Canon 3, NCJC
Judges shall disqualify themselves from
participating in any proceeding in which they are
unable to decide the matter impartially or in which
it may appear to a reasonable observer that they
are unable to decide the matter impartially.
Q: What does the phrase “any proceedings” include?
A: Such proceedings include, but are not limited to
instances where:
The judge has actual bias or prejudice concerning
a party or personal knowledge of disputed
evidentiary facts concerning the proceedings
(Sec. 5(a), Canon 3, NCJC);
Note: The rule also requires disqualification if a judge
has outside knowledge of disputed facts. To be a
ground for disqualification, the knowledge must be
obtained extra-judicially like out-of-court observations.
This prohibition also disallows extra-judicial research
on the internet.
Litigants are entitled to a judge who will decide on the
merits of the facts presented.
The judge previously served as a lawyer or was a
material witness in the matter in controversy (Sec.
5(b), Canon 3, CJC);
Note: A judge may be disqualified if he was formerly
associated with one of the parties or their counsel.
A judge who previously notarized the affidavit of a person
to be presented as a witness in a case before him shall be
disqualified from proceeding with the case.
The judge, or a member of his or her family, has an
economic interest in the outcome of the matter in
controversy (Sec. 5(c), Canon 3, NCJC);
A municipal judge who filed complaints in his own
court for robbery and malicious mischief against a
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
party for the purpose of protecting the property
interests of the judge’s co-heirs, and then issued
warrants of arrest against the party, was found guilty
of serious misconduct and ordered dismissed from
the bench before he was able to rescue himself
(Oktubre v. Velasco A.M. No. MTJ-02-02-1444, July
20, 2004)
The judge served as executor, administrator,
guardian, trustee or lawyer in the case or matter in
controversy, or a former associate of the judge
served as counsel during their association, or the
judge or lawyer was a material witness therein (Sec.
5(d), Canon 3, NCJC);
Note: The restriction extends to judges who served as
lawyers in closely related cases.
The judge’s ruling in a lower court is the subject of
review (Sec. 5(e), Canon 3, NCJC);
Note: An associate justice of the Court of Appeals refused
to inhibit himself from reviewing the decision in a case
which he had partially heard as a trial judge prior to his
promotion, on the ground that the decision was not written
by him. The Supreme Court upheld his refusal, but
nevertheless commented that he "should have been more
prudent and circumspect and declined to take on the case
owing to his earlier involvement in the case”. The Court has
held that a judge should not handle a case in which he
might be perceived, rightly or wrongly, to be susceptible to
bias and prejudice. (Sandoval v. CA, G.R. No. 106657,Aug. 1,
1996)
The judge is related by consanguinity or affinity to a
th
party litigant within the 6 civil degree or to counsel
th
within the 4 civil degree (Sec. 5(f), Canon 3, NCJC);
Note: A preliminary injunction issued by a judge in favor of
his sister before inhibiting himself was found reprehensible.
(Hurtado v.Judajena, G.R. No. L-40603, July 13, 1978)
No judge should preside in a case which he is not wholly
free, disinterested, impartial and independent. (Garcia v.
De La Pena. A.M.No.MTJ-92-637, Feb. 9, 1994)
The judge knows that his or her spouse or child has
a financial interest as heir, legatee, creditor,
fiduciary or otherwise, in the subject matter in
controversy or in a party to the proceeding, or any
other interest that could be substantially affected by
the outcome of the proceedings. (Sec. (g), Canon 3,
NCJC)
Note: This rule is intended to ensure judges’ impartiality by
preventing situations in which a judge must consider
familial interests in the conflicts before him or her. If the
public is aware of a family member’s financial interest, the
158
 QUALITIES
public may question the judge’s impartiality
Q: When Atty. Rojas was appointed as a judge, he
inherited a criminal case in which he acted as
prosecutor. He explained that his delay in inhibiting
himself from presiding on that case was because it
was only after the belated transcription of the
stenographic notes that he remembered that he
handled that case. He also says that the counsels did
not object and he never held “full-blown” hearings
anyway. Should Judge Rojas be reprimanded?
A: Yes. The Rules of Court prevent judges from trying
cases where they acted as counsel “without” the
consent of the parties. This prevents not only a
conflict of interest but also the appearance of
impropriety on the part of the judge. Here, the judge
should not have taken part in the proceeding as his
impartiality will naturally be questioned considering
that he previously handled the case as prosecutor. He
should administer justice impartially & without delay.
The prohibition does not only cover hearings but all
judicial acts (e.g. orders, resolutions) some of which,
Judge Rojas did make. (Re: Inhibition of Judge Eddie R.
Rojas, A.M. No. 98-6-185-RTC, Oct. 30, 1998)
Q: Judge Mijares was charged with grave
misconduct for taking cognizance and deciding a
special proceeding for correction of entry in the
record of her grandson, notwithstanding such
relationship. It was also alleged that the judge
dispensed with the publication requirement in said
proceeding. In her answer, Judge Mijares contended
that the prohibition provided for under the Code
does not apply to special proceeding which is not
controversial in nature and since she does not have
any pecuniary interest in the case. Is the contention
correct?
A: No. A judge who is related to a party within the 6
th
degree of consanguinity is mandated to inhibit
himself from hearing the case “notwithstanding lack
of pecuniary interest in the case”. This is so because
lack of such interest does not mean that she can
already be free from bias and partiality in resolving
the case by reason of her close blood relationship as
evident from the fact that here, she waived the
publication requirement in order to save the
petitioner from the payment of publication fee. Thus,
the judge’s taking cognizance of the petition is
improper. (Villaluz v.Mijares, A.M. No. RTJ -98-1402
288, Apr. 3, 1998)
Q: What degree of compliance is required by the
rule under Canon 3, Section 5 of NCJC?
A: Strict compliance of the rule is required so as to
159
protect the rights of the parties and assure an
impartial administration of justice, as well as to
prevent erosion of the people's confidence in the
judiciary. (Marfil v. Cuachon, A.M. No. 2360-MJ,Aug.
31, 1981)
Q: Are the grounds for disqualification of a judge
enumerated under Sec. 5 of Canon 3 exclusive?
A: No. The provision provides that it is not limited to
the grounds therein provided.
Sec. 6, Canon 3, NCJC
A judge disqualified as stated above may, instead
of withdrawing from the proceeding, disclose on
the records the basis of disqualification.
If, based on such disclosure, the parties and
lawyers, independently of the judge’s
participation, all agree in writing that the reason
for inhibition is immaterial or unsubstantial, the
judge may then participate in the proceeding.
The agreement, signed by all parties and lawyers,
shall be incorporated in the record of the
proceedings.
Q: What are the types of disqualification?
A:
1. Mandatory or compulsory disqualification
2. Voluntary disqualification or inhibition
Q: What is inhibition?
A: An act when a judge personally prevents himself
from taking cognizance of the case. This is made
through a written petition to inhibit which shall state
the grounds for the same. The explanation of the
judge whether or not to take cognizance of the case
must also be in writing.
If the judge inhibits himself from taking cognizance of
the case, the same cannot be appealed. However,
the judge should not immediately inhibit himself. He
should make a careful examination by first taking
into consideration the following:
1. General consideration – whether or not
people’s faith in the judicial system will be
impaired
2. Special consideration –He must reflect on the
probability that the losing party will nurture at
the back of his mind that he tilted the scale of
justice
Q: What are the distinctions between
disqualification and inhibition?
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

A: his objectivity may not constitute reversible error.

DISQUALIFICATION
There are specific
grounds enumerated
under the rules of court
for disqualification.
The judge has no
discretion; mandatory
INHIBITION
The rule only provides Q: Does the filing of an administrative case against a
broad basis for judge disqualify him from sitting in a case?
inhibition.
A: No, it does not automatically disqualify him. It
The rule leaves the must be shown that there are other acts or conducts
matter to the judge’s by the judge which constitute a ground for his
sound discretion disqualification.

Note: The second paragraph of Section 1, Rule 137does not
give the judge the unfettered discretion to decide whether
or not he will desist from hearing a case. The inhibition
must be for just and valid causes. The mere imputation of
bias or partiality is not enough ground for a judge to inhibit,
especially when the same is without any basis. (People v.
Kho, G.R. No. 139381, Apr. 20, 2001)
Q: May mandamus lie to compel a judge to inhibit
himself?
A: Yes, a judge may by mandamus be compelled to
act on questions regarding his disqualification from
sitting in a case.

Q: When should the petition to disqualify be filed?

Q: What are the grounds for mandatory
disqualification?
A: The petition to disqualify a judge must be filed
before rendition of the judgment, and cannot be
A:
raised on appeal. Otherwise, the parties are deemed
1. When he, or his wife, or child is pecuniarily
to have waived any objection regarding the
interested as heir, legatee, creditor, or
impartiality of the judge.
otherwise;
th
2. When he is related to either party within the 6
Q: A judge rendered a decision in a criminal case
degree of consanguinity or affinity or to counsel
th finding the accused guilty of estafa. Counsel for the
within the 4 civil degree;
accused filed a motion for reconsideration which
3. When he has been an executor, guardian,
was submitted without arguments. Later, another
administrator, trustee, or counsel; or
lawyer entered his appearance for the accused. The
4. When he has presided in an inferior court where
judge issued an order inhibiting himself from further
his ruling or decision is subject to review,
sitting in the case because the latter lawyer had
without the written consent of the parties. (Rule
been among those who recommended him to the
137, RRC)
bench. Can the judge’s voluntary inhibition be
sustained?
Q: When may a judge voluntarily inhibit himself?
A: The judge may not voluntarily inhibit himself by
A: The judge may in his discretion inhibit himself, for
the mere fact that a lawyer recommended him to the
just and valid reasons other than the grounds for
bench. In fact, the appearance of said lawyer is a test
mandatory disqualification. The rule on voluntary
as to whether the judge can act independently and
disqualification or inhibition is discretionary upon the
courageously in deciding the case according to his
judge on the basis of his conscience.
conscience. “Inhibition is not allowed at every
instance that a friend, classmate, associate or patron
This leaves the discretion to the judge to decide for
of a presiding judge appears before him as counsel
himself questions as to whether he will desist from
for one of the parties to a case. ‘Utang na loob’, per
sitting in a case for other just and valid reasons with
se, should not be a hindrance to the administration of
only his conscience to guide him, unless he cannot
justice. Nor should recognition of such value in
discern for himself his inability to meet the test of
Philippine society prevent the performance of one’s
cold neutrality required of him, in which event the
duties as judge.” However, in order to avoid any
appellate court will see to it that he disqualifies
suspicion of partiality, it is better for the judge to
himself.
voluntarily inhibit himself. (Query of Executive Judge
Estrella T. Estrada, Regional Trial Court of Malolos,
A decision to disqualify himself is not conclusive and
Bulacan, on the Conflicting Views of Regional Trial
his competency may be determined on application
Court – Judges Masadao and Elizaga Re: Criminal
for mandamus to compel him to act. Judge’s decision
Case No. 4954-M, A.M. No. 87-9-3918-RTC, Oct. 26,
to continue hearing a case in which he is not legally
1987)
prohibited from trying notwithstanding challenge to

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 160
 QUALITIES
Q: Does a judge’s active participation during the
hearing of the writ of preliminary injunction amount
to an evident display of his bias and partiality in
favor of the private respondents and should he
therefore disqualify himself from further hearing the
civil case?
A: No. Mere intervention of the respondent judge
during the hearing of preliminary injunction by simply
asking the materiality of a question directed upon the
witness and ruling against the petitioners are within
the prerogatives and powers of the judge. The fact
that the judge asked questions in the course of the
trial does not make him a biased judge. (Hizon v. Dela
Fuente,G.R. No. 152328, Mar. 23, 2004).
Q: What is remittal of disqualification?
A: A judge disqualified may, instead of withdrawing
from the proceeding, disclose in the records the basis
of disqualification. If, based on such disclosure, the
parties and lawyers, independently of the judge’s
participation, all agree in writing that the reason for
the inhibition is immaterial or insubstantial; the judge
may then participate in the proceeding. The
agreement, signed by all parties and lawyers, shall be
incorporated in the record of the proceedings. (Sec. 6,
Canon 3, NCJC)
Q: What are the requirements for a judge to
continue hearing a case despite the existence of
reasons for disqualifications?
A:
1. The bona fide disclosure to the parties in
litigation; and
2. The express acceptance by all the parties of the
cited reason as not material or substantial.
PROPRIETY
CANON 4
PROPRIETY AND THE APPEARANCE OF PROPRIETY
ARE ESSENTIAL TO THE PERFORMANCE OF ALL THE
ACTIVITIES OF A JUDGE.
Note: The judge’s own perception of motives is not
relevant when considering appearance of impropriety.
Sec. 1, Canon 4, NCJC
Judges shall avoid impropriety and the
appearance of impropriety in all of their activities.
Note: The public holds judges to higher standards of
integrity and ethical conduct than lawyers and other
persons not invested with public trust.
161
Q: What does the Code prohibit?
A: It prohibits not only actual impropriety but even
the mere appearance of impropriety.
Q: When can one say that there is an appearance of
impropriety?
A: When the conduct of a judge would create
unreasonable minds a perception that the judge’s
ability to carry out judicial responsibilities with
integrity, impartiality and competence is impaired.
Note: Acts done by a judge which are not illegal may still
constitute a violation of this rule.
Q: After the prosecution cross-examined Sheila, a
witness for the accused, Judge Pedro asked her ten
additional questions that were so intense, they
made her cry. One question forced Sheila to admit
that her mother was living with another man, a fact
that weighed against the accused. This prompted
the latter’s counsel to move to move to expunge the
judge’s questions for building on the prosecution’s
case. Judge Pedro denied the motion, insisting that
bolstering a party’s case is incidental to the court’s
desire to be clarified. Did Judge Pedro commit an
impropriety? (2011 Bar Question)
A: Yes, because he effectively deprived the defense of
its right to due process when he acted both as
prosecutor and judge.
Q: Cite examples of acts of a judge which are not
illegal but will constitute a violation of this rule.
A:
1. The act of a judge of hearing cases on a day when
he is supposed to be on official leave. (Re:
Anonymous complaint Against Judge Edmundo
Acuña, A.M. No. RTJ-04-1891, July 28, 2005)
2. Photograph showing the judge and a subordinate
coming out of a hotel together even if there was
no clear evidence of sexual congress between
them is enough to give rise to the appearance of
impropriety that the code strongly warns against.
(Liwanag v. Lustre, A.M. No. MTJ-98-1168, Apr.
21 1999)
3. Joking remark made by a judge to a litigant
suggesting that the litigant prove he harbored no
ill feelings towards the judge. (Co v. Plata, A.M.
No. MTJ-03-1501,Mar. 14, 2005)
Q: During the hearing of an election protest filed by
the brother of Judge Dojillo, the latter sat beside the
counsel of his brother allegedly to give moral
support. Did the judge commit any improper
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
conduct?
A: Yes. The judge violated the rule on impropriety
under Sec 1, Canon 4, NCJC for even if he did not
intend to use his position as a judge to influence the
outcome of his brother’s election protest, it cannot
be denied that his presence in the courtroom during
the hearing of his brother’s case would immediately
give cause for the community to suspect that his
being a colleague in the judiciary would influence the
judge trying the case to favor his brother (Vidal v.
Judge Dojillo Jr., A.M. No. MTJ-05-1591, July 14,
2005).
Note: The Judge’s act in riding in defendant’s car deserves
the stern probation of the Court. By such act, he openly
exposed himself and the office he holds to suspicion, thus
impairing the trust and faith of the people in the
administration of justice. A judge’s official conduct should
be free from the appearance of impropriety and his
personal conduct and behavior should be beyond reproach.
(Spouses Cabreana v. Avelino A.M. No. 1733 CFI, Sept. 30,
1981)
Q: Judge Duque of the RTC was charged with
Impropriety, Corruption and Gross Misconduct.
Reyes alleged that she was a party-in-intervention in
Land Registration filed by the Philippine Savings
Bank against the spouses Choi. In a Decision, Judge
Duque granted the motion for the issuance of a writ
of possession in favor of the bank. Complainant
Reyes filed an “Urgent Petition for Lifting and
Setting Aside of Writ of Possession and Quashal
of Notice to Vacate” claiming that she bought the
subject property from the spouses Choi and that she
was in actual possession of the property with full
knowledge of the bank. At the hearing, Atty. Ubana,
the lawyer of Reyes, introduced her to Judge Duque
who allegedly gave Reyes 30 days to settle matters
with the bank. She was unable to re-negotiate with
the bank. Reyes then allegedly received a phone call
from Judge Duque and he instructed Reyes to go “to
his house and bring some money in order that he
can deny the pending motion to break open.” When
she already had the money, she went to his house.
The son of Judge Duque opened the gate. At his
house, Judge Duque demanded money from her.
Another incident happened, whereby Reyes went to
the house of Judge Duque for the payment of a sum
of money. Judge Duque allegedly scolded her for not
bringing the whole amount. Judge Duque then
locked the main door of his house and asked Reyes
to step into his office. Judge Duque held the waist of
Reyes, embraced and kissed her. Reyes tried to
struggle and free herself. Judge Duque raised her
skirt, opened her blouse and sucked her breasts. He
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
touched her private parts and attempted to have
sexual intercourse with Reyes. Reyes shouted for
help but the TV was too loud. As a desperate move,
Reyes appealed to Judge Duque saying: “kung gusto
mo, huwag dito. Sa hotel, sasama ako sayo.” Judge
Duque suddenly stopped his sexual advances and
ordered Reyes to fix her hair. Is the respondent
judge guilty of impropriety and gross misconduct?
A: Yes. Judges should avoid impropriety and the
appearance of impropriety in all of their activities.
Judges should conduct themselves in a way that is
consistent with the dignity of the judicial office.
Judges, like any other citizen, are entitled to freedom
of expression, belief, association and assembly, but in
exercising such rights, they should always conduct
themselves in such a manner as to preserve the
dignity of the judicial office and the impartiality and
independence of the judiciary.
The conduct of Judge Duque fell short of the exacting
standards for members of the judiciary. He failed to
behave in a manner that would promote confidence
in the judiciary. Considering that a judge is a visible
representation of the law and of justice, he is
naturally expected to be the epitome of integrity and
should be beyond reproach. Judge Duque’s conduct
indubitably bore the marks of impropriety and
immorality. He failed to live up to the high moral
standards of the judiciary and even transgressed the
ordinary norms of decency of society. Had Judge
Duque not retired, his misconduct would have
merited his dismissal from the service. (Reyes v.
Duque, A.M. No. RTJ-08-2136 , Sept. 21, 2010)
Sec. 2, Canon 4, NCJC
As a subject of constant public scrutiny, judges
must accept personal restrictions that might be
viewed as burdensome by the ordinary citizen and
should do so freely and willingly.
In particular, judges shall conduct themselves in a
way that is consistent with the dignity of the
judicial office.
Note: Membership in the judiciary circumscribes one’s
personal conduct and imposes upon him certain
restrictions, the faithful observance of which, is the price
one has to pay for holding such a distinguished position.
Accordingly, a magistrate of the law must comport himself
in a manner that his conduct must be free of a whiff of
impropriety, not only with respect to the performance of
his official duties, but also to his behavior outside his sala
and as a private individual. His conduct must be able to
withstand the most searching public scrutiny, for the ethical
principles and sense of propriety of a judge are essential to
the preservation of the people’s faith in the judicial system
lest public confidence in the judiciary would be eroded by
the incompetent, irresponsible and negligent conduct of
162
 QUALITIES
judges. (Bayaca v. Judge Ramos, A.M. No. MTJ-07-1676,
Jan. 29, 2009)
Q: What is dignified conduct?
A: Dignified conduct is best described as conduct
befitting men and women possessed of temperance
and respect for the law and for others.
Q: Judge Gonzales together with his two male
friends went to the house of A and asked the two
girls who were then boarding in A’s house to
accompany his two male friends and take a stroll in
the beach. When the girls refused, the judge
admonished them. Consequently, the judge was
charged with conduct unbecoming of a judge. Will
the action prosper?
A: Yes. A judge should so comport himself as not to
degrade or bring embarrassment to his office. Here,
Judge Gonzales’ act of imposing his will on the
complainants constitutes conducts unbecoming of a
judge who should be civil, humble and considerate of
the rights of others. (Mariano v. Gonzales, A.M. No.
2180-MJ 114, May 31, 1982)
Note: In every litigation, the manner and attitude of a judge
are crucial to everyone concerned. It is not for him to
indulge or even to give the appearance of catering to the
at-times human failing of yielding to first impressions. He is
to refrain from reaching hasty conclusions or prejudging
matters. It would be deplorable if he lays himself open to
the suspicion of reacting to feelings rather than to facts, of
being imprisoned in the net of his own sympathies and
predilections. His language, both written and spoken, must
be guarded and measured, lest the best intentions be
misconstrued. He should avoid such action as would subject
him to suspicion of interest in a case in his court. It is of
utmost importance that a judge must preserve the trust
and confidence reposed in him by the parties as an
impartial, unbiased and dispassionate dispenser of justice.
When he conducts himself in a manner that gives rise, fairly
or unfairly, to perceptions of bias, such faith and confidence
are eroded. His decisions, whether right or wrong, will
always be under suspicion of irregularity. (Abesa v. Judge
Nacional, A.M. No. MTJ-05-1605, June 8, 2006)
Sec. 3, Canon 4, NCJC
Judges shall, in their personal relations with
individual members of the legal profession who
practice regularly in their court, avoid situations
which might reasonably give rise to the suspicion
or appearance of favoritism or partiality.
Q: What is the reason for this rule?
A: This section is directed at bolstering the principle
of cold neutrality of an impartial judge as it requires
163
judges to scrupulously guard against any act that may
be construed as an expression of bias in favor of a
litigant.
Note: Constant company with a lawyer tends to breed
intimacy and camaraderie to the point that favors in the
future may be asked from the judge which he may find it
hard to resist. If a judge is seen eating and drinking in public
places with a lawyer who has cases pending in his or her
sala, public suspicion may be aroused, thus tending to
erode the trust of litigants in the impartiality of the judge.
(Padilla v. Zantua, G.R. No. 110990, Oct. 23, 1994)
Q: Complainant Prosecutor filed an administrative
complaint against respondent Sandiganbayan
Justices for grave misconduct, conduct unbecoming
a Justice, and conduct grossly prejudicial to the
interest of the service. Allegedly, during a hearing,
Justice Ong uttered words like “We are playing Gods
here, we will do what we want to do, your contempt
is already out, we fined you eighteen thousand
pesos, even if you will appeal, by that time I will be
there, Justice of the Supreme Court.” Also, he often
asked lawyers from which law schools they had
graduated, and frequently inquired whether the law
school in which Justice Hernandez had studied and
from which he had graduated was better than his
(Justice Ong’s) own alma mater. The complainant
opined that the query was manifestly intended to
emphasize that the San Beda College of Law, the
alma mater of Justice Ong, and the UP College of
Law, that of Justice Hernandez, were the best law
schools. On another occasion in that hearing in Cebu
City, Justice Hernandez discourteously shouted at
Prosecutor Hazelina Tujan-Militante, who was then
observing trial from the gallery and said “You are
better than Director Somido? Are you better than
Director Chua? Are you here to supervise Somido?
Your office is wasting funds for one prosecutor who
is doing nothing”. Finally, Justice Hernandez berated
Atty. Pangalangan, the father of former UP Law
Dean Raul Pangalangan, and uttered words such as
“Just because your son is always nominated by the
JBC to Malacañang, you are acting like that! Do not
forget that the brain of the child follows that of their
(sic) mother.” Should the respondent justices be
held liable for conduct unbecoming?
A: Yes. Publicizing professional qualifications or
boasting of having studied in and graduated from
certain law schools, no matter how prestigious, might
have even revealed, on the part of Justice Ong and
Justice Hernandez, shows their bias for or against
some lawyers. Their conduct was impermissible,
consequently, for Section 3, Canon 4 of the New Code
of Judicial Conduct for the Philippine Judiciary,
demands that judges avoid situations that may
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
reasonably give rise to the suspicion or appearance of
favoritism or partiality in their personal relations with
individual members of the legal profession who
practice regularly in their courts. Judges should be
dignified in demeanor, and refined in speech. In
performing their judicial duties, they should not
manifest bias or prejudice by word or conduct
towards any person or group on irrelevant grounds. It
is very essential that they should live up to the high
standards their noble position on the Bench
demands. Their language must be guarded and
measured, lest the best of intentions be
misconstrued. In this regard, Section 3, Canon 5 of
the New Code of Judicial Conduct for the Philippine
Judiciary, mandates judges to carry out judicial duties
with appropriate consideration for all persons, such
as the parties, witnesses, lawyers, court staff, and
judicial colleagues, without differentiation on any
irrelevant ground, immaterial to the proper
performance of such duties. (Jamsani-Rodriguez v.
Ong, A.M. No. 08-19-SB-J, Aug. 24, 2010)
Sec. 4, Canon 4, NCJC
Judges shall not participate in the determination of
a case in which any member of their family
represents a litigant or is associated in any manner
with the case.
This rule rests on the principle that no judge should preside
in a case in which the judge is not wholly free,
disinterested, impartial and independent.
Sec. 5, Canon 4, NCJC
Judges shall not allow the use of their residence by a
member of the legal profession to receive clients of
the latter or of other members of the legal
profession.
It was inappropriate for a judge to have entertained a
litigant in his house particularly when the case is still
pending before his sala. (J. King and Sons. v. Hontanosas,
Adm. Matter No. RTJ-03-1802, Sept. 21, 2004)
Q: What is the reason for this rule?
A: The reason is that judges are required to always
exhibit cold neutrality of an impartial judge.
Sec. 6, Canon 4, NCJC
Judges, like any other citizen, are entitled to
freedom of expression, belief, association and
assembly, but in exercising such rights, they shall
always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the
impartiality and independence of the judiciary.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
While judges are not expected to live a hermit-like
existence or cease functioning as citizens of the
Republic, they should remember that they do not
disrobe themselves of their judicial office upon
leaving their salas. In the exercise of their civil
liberties, they should be circumspect and ever
mindful that their continuing commitment to
upholding the judiciary and its values places upon
them certain implied restraints to their freedom.
Q: In an anonymous letter sent to the OCA, Judge
Acuña was charged with improper conduct for
allegedly making humiliating statements such as
“putris,” and “putang-ina”. In his comment, Judge
Acuña explained that those words are only his
favorite expressions and they are not directed to
any particular person. He also explained that his
behavior is justified by the fact that he is still
mourning the sudden demise of his eldest son. Is the
Judge guilty of improper conduct?
A: Yes. Judges are demanded to be always temperate,
patient and courteous both in the conduct and
language. Indeed, judges should so behave at all
times because having accepted the esteemed
position of a judge he ought to have known that more
is expected of him than ordinary citizen. Here, the
judge’s use of humiliating and insensitive expressions
like “putris” and ”putang-ina” is improper as such
intemperate language detracts from how he should
conduct himself. Moreover, it does not matter
whether such expressions were directed to a
particular person or not, as they give the impression
of a person’s ill manners. (Re: Anonymous complaint
Against Judge Acuña, A.M. No. RTJ-04-1891, July 28,
2005)
Note: Judges in the exercise of their civil liberties, should be
circumspect and ever mindful of their continuing
commitment to uphold the judiciary and its value places
upon them certain implied restraints to their freedom. A
judge was admonished for the appearance of engaging in
partisan politics when he participated in a political rally
sponsored by one party, even though he only explained the
mechanics of block voting to the audience. (Macias v. Arula,
A.M. No. 1895-CFI, July 20, 1982)
Sec. 7, Canon 4, NCJC
Judges shall inform themselves about their
personal fiduciary and financial interests and shall
make reasonable efforts to be informed about the
financial interests of members of their family.
Note: This section should be read in conjunction with Sec. 7
of the R.A. 6713 (Code of Conduct and Ethical standards for
Public Officials and Employee), which prohibits certain
personal fiduciary and financial conflicts. A judge shall
refrain from financial and business dealings that tend to
reflect adversely on the court's impartiality, interfere with
164
 QUALITIES
the proper performance of judicial activities, or increase
involvement with lawyers or persons likely to come before
the court.
Sec. 8, Canon 4, NCJC
Judges shall not use or lend the prestige of the
judicial office to advance their private interests, or
those of a member of their family or of anyone
else, nor shall they convey or permit others to
convey the impression that anyone is in a special
position improperly to influence them in the
performance of judicial duties.
Q: What are the acts prohibited by the rule?
A:
1. Judge’s act of using judicial office to advance
private interests
Note: An RTC judge took advantage of his position, by
filing in the Makati court a collection case in which he
and his wife were the complainants. The Court ruled
that although a stipulation in the contract gave the
judge, as creditor, choice of venue, the judge had
nonetheless fallen short of what is expected of him as
a judicial officer. This act of the judge would lead the
public, and in particular the judge’s adversary, to
suspect that the judge would use the choice of venue
as a means to exert influence in favor of himself.
(Javier v. De Guzman, A.M. No. RTJ-89-380, Dec. 19,
1990)
2. Judge’s act of giving impression that he can be
influenced to use the judicial office to advance
the private interests of others.
Note: Another common violation of this rule is using
judicial power to exact personal vengeance.
Q: Judge Escano was charged with allegedly using
court facilities (bulletin board) in advertising for
attractive waitresses and cooks for possible
employment in their restaurant business. In
addition, the judge also allowed the use of the court
address to receive applications as well as his office
in screening the applicants. In his comment, the
judge explained that he merely wanted to give
assistance to his wife, and the posting of
advertisements as well as the conduct of screening
in his office is the most convenient way for him
considering the difficulty of locating the residence.
Did the judge commit any unethical act?
A: Yes. Judges shall not use or lend the prestige of the
judicial office to advance their private interests for
those of a member of a family. This is so to avoid
possible interference which may be created by such
business involvements in the exercise of their duties
165
which may tend to corrode the respect and dignity of
the court as bastion of justice. Here, the act of the
judge in using the court facilities to promote family
business is improper. (Dionisio v. Escano, A.M.No.
RTJ-98-1400, Feb. 1, 1999)
Q: What is ticket fixing?
A: Ticket fixing is misconduct in which judges
impermissibly take advantage of their public position
to avoid punishment for traffic violations.
Sec. 9, Canon 4, NCJC
Confidential information acquired by judges in
their judicial capacity shall not be used or
disclosed for any other purpose not related to
their judicial duties.
Rationale: The prohibition will discourage, if not stop
judges from making business speculations in some business
ventures, the secrets of which they learned by reason of
their position as judges.
Q: Judge Lilagam was charged with improper
conduct for allowing his wife to have access to court
records. In his answer, the judge admitted that he
requested his wife who was previously a legal
researcher, to go over the records and pinpoint
problem areas and to suggest measures to rectify
the same and to improve the system of case
monitoring. Is the judge guilty of improper conduct?
A: Yes. Records of cases are necessarily confidential,
and to preserve their integrity and confidentiality,
access thereto ought to be limited only to the judge,
the parties or their counsel and the appropriate court
personnel in charge of the custody of said records.
Here, since Mrs. Lilagam is not a court employee
specifically in charge of the custody of said records,
the judge’s act of allowing her to have access thereto
is improper as such would convey the impression that
she is the one who can influence the judge’s official
function. (Gordon v. Lilagam, A.M. No. RTJ-00-1564,
July 26, 2001)
Q: At the pre-trial of a civil case for collection, one of
the parties mentioned that he expected to settle his
obligation as he was investing in some stocks of a
realty corporation that were sure to soar in the
market because of some confidential information he
obtained from his brother-in-law, a top rank officer
of the corporation. Upon hearing the information
the judge lost no time in buying the stocks in the
realty corporation and as predicted, made a lot of
money. Is the judge guilty of unethical conduct?
(1995 Bar Question)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
A: Yes. Sec. 9, Canon 4 of NJCJ provides that “no
information acquired in a judicial capacity shall be
used or disclosed by a judge in any financial dealing
or for any other purpose not related to judicial
activities.” The judge in this case has violated the
foregoing rule, and acted unethically.
Q: May a violation of this rule constitute criminal
offense?
A: Yes. The act may constitute the following criminal
offenses: Under Sec. ([k) of R.A. 3019, and under Art.
229 and 230 of the RPC, to wit:
1. Divulging valuable information of a confidential
character, acquired by his office or by him on
account of his official position to unauthorized
persons, or releasing such information in
advance of its authorized release date. (3[k] of
R.A.3019)
2. Revelation of secrets by an officer –Any public
officer who shall reveal any secret known to him
by reason of his official capacity, or shall
wrongfully deliver papers or copies of papers of
which he may have charge and which should not
be published, shall suffer imprisonment.
(Art.229, RPC)
3. Public officer revealing secrets of private
individual –Any public officer to whom the
secrets of any private individual shall become
known by reason of his office who shall reveal
such secrets, shall suffer the penalties of arresto
mayor and a fine. (Art.230, RPC)
Sec. 10, Canon 4, NCJC
Subject to the proper performance of judicial duties,
judges may:
1. Write, lecture, teach and participate in activities
concerning the law, the legal system, the
administration of justice or related matter;
2. Appear at a public hearing before an official body
concerned with matters relating to the law, the legal
system, the administration of justice or related
matters;
3. Engage in other activities if such activities do not
detract from the dignity of the judicial office or
otherwise interfere with the performance of judicial
duties.
Note: This section allows the judge to participate in legal
academia and public discourse on legal matters with the
proviso that there shall be no interference in the
performance of the judge’s primary functions with respect
to his or her jurisdiction. In dealing with the media
however, the Philippine Judicial Academy suggests that a
judge or court should avoid acrimonious debate with
reporters and the public, for a knee jerk reaction from the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
court or judge may only provoke negative follow-up reports
and articles.
This section’s tolerance of judicially-related activities is
limited by Sec. 12, Article VIII of the Constitution, which
prohibits judges from being “designated to any agency
performing quasi-judicial or administrative functions”.
Q: May a judge be a member of the Provincial
Committee on Justice?
A: No. Such membership would violate the
constitutional provision on the discharge by members
of the judiciary of administrative functions in quasi-
judicial or administrative agencies. This does not
mean, however, that judges should adopt an attitude
of monastic insensibility or unbecoming indifference
to the Provincial/City Committee on Justice. As
incumbent judges, they form part of the structure of
government. Even as non-members, Judges should
render assistance to said Committees to help
promote the laudable purposes for which they exist,
but only when such assistance may be reasonably
incidental to the fulfillment of their judicial duties. (In
Re: Designation of Judge Rodolfo U. Manzano, A.M.
No. 88-7-1861-RTC, Oct. 5, 1988)
Note: Under Sec. 10(c), Section 10, Canon 4, a judge may
engage in private business without the written permission
of the Supreme Court. (Borre v. Moya,A.M. No. 1765-CFI,
Oct. 17, 1980)
Sec. 11, Canon 4, NCJC
Judges shall not practice law whilst the holder of
judicial office.
Q: What is the basis of the prohibition?
A: This prohibition is based on the inherent
incompatibility of the rights, duties and functions of
the office of an attorney with the powers, duties and
functions of a judge.
Note: Sec. 35 of Rule 138 of the Rules of Court prohibits
judges from engaging in the practice of law or giving
professional advice to clients. Philippine courts not only
prohibit judges from overtly representing clients as counsel
of record, but also from acting more subtly in a way more
befitting an advocate than a judge.
The rule disqualifying a municipal judge from engaging in
the practice of law seeks to avoid the evil of possible use of
the power and influence of his office to affect the outcome
of the litigation where he is retained as counsel. Compelling
reasons of public policy lie behind this prohibition, and
judges are expected to conduct themselves in such a
manner as to preclude any suspicion that they are
representing the interests of party litigant (Dia-Anonuevo v.
Bercacio, A.M. No. 177-MTJ, Nov. 27, 1975)
166
 QUALITIES
Q: Respondent Judge Lelina was administratively
charged for violation of Section 35, Rule 138 of the
Rules of Court and Rule 5.07, Canon 5 of the Code of
Judicial Conduct. He was then preventively
suspended by the Court on account of an earlier
administrative complaint filed charging him with
harassment in connection with the criminal
complaint for Rape and the complaint for Abduction
with Rape and Slight Illegal Detention. He then filed
a Motion for Early Resolution of the criminal case
praying for a resolution in his favor. Subsequently
he appealed to the Court to grant him the
permission to practice law during the remainder of
his preventive suspension or, if such cannot be
granted, to consider him resigned from the
judiciary. It turned out that before he filed the
above-said Manifestation, Appeal and Omnibus
Motion, Judge Lelina engaged in the private practice
of law. Did the judge commit any unethical act?
A: Yes. Since Section 35, Rule 138 of the Rules of
Court and Section 11, Canon 4 of the New Code of
Judicial Conduct for the Philippine Judiciary does not
make any distinction in prohibiting judges from
engaging in the private practice of law while holding
judicial office, no distinction should be made in its
application. In the present case, Judge Lelina having
been merely suspended and not dismissed from the
service, he was still bound under the prohibition.
(Binalay v. Lelina Jr,A.M. No. RTJ-08-2132, July 31,
2009)
Q: In an extrajudicial settlement of the estate of the
late Juan Mayaman, the heirs requested Judge
Maawain, a family friend, to go over the document
prepared by a new lawyer before they signed it.
Judge Maawain agreed and even acted as an
instrumental witness. Did Judge Maawain engage in
the unauthorized practice of law? Why? (2002 Bar
Question)
A: No. In the case of de Castro v. Capulong, 118SCRA
5 (1982), the Supreme Court held that a judge who
merely acted as a witness to a document and who
explained to the party waiving his rights of
redemption over mortgaged properties the
consequences thereof, does not engage himself in
the practice of law. This appears to be more
applicable to the case of Judge Maawain. He did not
give professional advice in anticipation of litigation.
He was just asked to review a deed of extrajudicial
settlement of estate. He signed merely as an
instrumental witness and not as a legal counsel.
Besides, his act was an isolated act.
167
Sec. 12, Canon 4, NCJC
Judges may form or join associations of judges
or participate in other organizations
representing the interests of judges.
Note: This rule recognizes the difference between
membership in associations of judges and membership in
associations of other legal professionals. While attendance
at lavish events hosted by lawyers might create an
appearance of impropriety, participation in judges-only
organizations does not.
Q: What is the general rule with regard to
prohibition against accepting gifts, bequests, or
loans?
A: The general rule is that found in Sections 13and 14.
Sec. 13, Canon 4, NCJC
Judges and members of their families shall
neither ask for nor accept, any gift, bequest, loan
or favor in relation to anything done or to be
done or omitted to be done by him or her in
connection with the performance of judicial
duties.
Sec. 14, Canon 4, NCJC
Judges shall not knowingly permit court staff or
others subject to their influence, direction or
authority, to ask for, or accept, any gift, bequest,
loan or favor in relation to anything done, to be
done or omitted to be done in connection with
their duties or functions.
Note: Section 13 should be read in conjunction with Section
7(d) of R.A. 6713 (Code of Conduct and Ethical Standards
for Public officials and Employee) which provides that,
public officials and employees shall not solicit or accept,
directly or indirectly, any gift, gratuity, favor,
entertainment, loan or anything of money value from any
person in the course of their official duties or in connection
with any operation being regulated by, or any transaction
which may be affected by the functions of their office.
Respondent Judge Ganay clearly fell short of the exacting
standards set by the New Code of Judicial Conduct for the
Philippine Judiciary. His acts of receiving law books worth
fifty thousand pesos, cellular phones and monthly cellular
phone prepaid cards from the property guardians of the
late Rev. Fr. Aspiras, who was then the ward of the court,
constitute impropriety which the Court cannot allow.
Respondent Judge Ganay’s act of issuing Orders directing
the manager of the PNB, La Union Branch to draw checks
amounting to thousands of pesos from the account of the
late Rev. Fr. Aspiras creates the impression of impropriety
and subjects the court to suspicion of irregularities in the
conduct of the proceedings. (Heirs of the late Rev. Fr. Jose
Aspiras v.Judge Ganay, A.M. No. RTJ-07-2055, Dec. 17,
2009)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Note: Section 14 should be read in relation to Section 7(d)
of RA No. 6713 which prohibits public officials from
soliciting or accepting gifts from any person in the course of
their official duties.
Q: What is the reason for this rule?
A: This section is intended to assure that what the
judge cannot do directly (soliciting gifts), may not be
done indirectly through the use of employees or staff
members.
Q: X was charged with grave threat before the sala
of Judge Elias Lelina. During the pendency of the
case, X offered a business partnership to the
daughter of Judge Lelina who then accepted the
same. Should the judge be disciplined?
A: Yes. Judges should not allow members of their
family to accept gifts nor favor in relation to anything
done, to be done, or omitted to be done by the judge
in connection with the performance of his official
duties. Here, the judge’s act of allowing his daughter
to accept the business offer of X despite knowledge
of the possible intention of the latter who has
pending case in his sala is improper (Dulay v. Lelina
Jr., A.M. No. RTJ-99-1516, July 14, 2005)
Q: What is the exception to Sections 13 and 14 of
Canon 4 of the NCJC?
A: Canon 4, Section 15 of NCJC.
Sec. 15, Canon 4, NCJC
Subject to law and to any legal requirements of
public disclosure, judges may receive a token
gift, award or benefit as appropriate to the
occasion on which it is made, provided that such
gift, award or benefit might not reasonably be
perceived as intended to influence the judge in
the performance of official duties or otherwise
give rise to an appearance of partiality.
Judges are allowed to accept token gifts, awards, or
benefits when given as a consequence of a special
occasion.
Q: What gifts and grants from foreign countries are
allowed?
A:
1. The acceptance and retention by a public official
or employee of a gift of nominal value tendered
and received as a souvenir or mark of courtesy;
2. The acceptance by a public official or employee
of a gift in the nature of a scholarship or
fellowship grant or medical treatment; or
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
3. The acceptance by a public official or employee
of travel grants or expenses for travel taking
place entirely outside the Philippines (such as
allowances, transportation, food and lodging) of
more than nominal value if such acceptance is
appropriate or consistent with the interest of the
Philippines, and permitted by the head office,
branch or agency to which the judge belongs.
(Sec. 7[d], R.A. 6713)
Q: When is a judge considered guilty of indirect
bribery? Of direct bribery?
A: Acceptance of gifts given by reason of the office of
the judge is indirect bribery (Art. 211, Revised Penal
Code) Acts punishable in direct bribery are as follows:
a) By agreeing to perform an act which constitute a
crime in connection with his official duties for a
consideration.
b) By accepting a gift in consideration of the
execution of an act which does not constitute a
crime in consideration with the performance of
his official duty.
c) By refraining, from doing something which it is
his official duty to do, in consideration of gift or
promise. (Art. 210, Revised Penal Code)
Q: Under the Anti-Graft and Corrupt Practices Act
(RA 3019), is a judge criminally liable for receiving
gifts, presents or other pecuniary or material benefit
for himself or for another under the conditions
provided in Section 2?
A: GR: Yes, the judge is liable criminally for directly or
indirectly receiving gifts, presents or other pecuniary
or material benefit for himself or for another under
conditions provided in Section 2, pars. b and c of the
law.
XPN: Unsolicited gifts or presents of small
value offered or given as a mere ordinary
token of gratitude or friendship according to
local custom or usage (Section 14, RA 3019)
Note: Under Section 16 Article XI of the 1987Constitution
“No loan, guarantee or other form of financial controlled
bank or financial institution to members of the Supreme
Court xxx during their tenure.
It is a serious misconduct for a judge to receive money from
a litigant in the form of loans which he never intended to
pay back. Even if the judge intends to pay, it is an act of
impropriety to take a loan from a party litigant. The judge
could not be wholly free from bias in deciding a case where
his lender is a party. A judge should always strive to be free
from suspicion and all forms of improprieties. (Ompoc v.
Judge Torres, A.M. No. MTJ-86-11, Sept. 27, 1989)
168
 QUALITIES
Note: To ensure equality of treatment to all before the
courts is essential to the due performance of the judicial
office. As the guardians of justice, courts must adhere to
the principle of equality. People expect the courts to be
unaffected by differences in social status, degree of
education and even physical abilities.
EQUALITY
CANON 5
ENSURING EQUALITY OF TREATMENT TO ALL BEFORE
THE COURTS IS ESSENTIAL TO THE DUE
PERFORMANCE OF THE JUDICIAL OFFICE.
A judge must be able to render substantial justice and
maintain public confidence in the judicial system, by
being aware of the diversity in society. With that
awareness, a judge should not yield to first
impression, reach hasty conclusions or prejudge
matters. (Castillo v. Judge Juan, 62 SCRA 124)
Sec. 1, Canon 5, NCJC
Judges shall be aware of and understand
diversity in society and differences arising from
various sources, including, but not limited to,
race, color, sex, religion, national origin, caste,
disability, age, marital status, sexual orientation,
social and economic status, and other like
causes.
Q: What is the reason for this rule?
A: To render substantial justice and maintain public
confidence in the judicial system, judges are expected
to be aware of the diversity in society that results
from an increased worldwide exchange of people and
ideas.
Note: Judges should be mindful of the various international
instruments and treaties ratified by the Philippines, which
affirm the equality of all human beings and establish a
norm of non-discrimination without distinction as to race,
sex, language, or religion. Judges should not yield to first
impression, reach hasty conclusions or prejudge matters.
They have a duty to ensure that the minority status of a
party plays no part in their decisions.
Sec. 2, Canon 5, NCJC
Judges shall not, in the performance of judicial
duties, by words or conduct, manifests bias or
prejudice towards any person or group on
irrelevant grounds.
Magistrates of law must comport themselves at all
times in such a manner that their conduct, can
withstand the highest level of public scrutiny.
Judges should avoid private remarks, hasty
169
conclusions, or distasteful jokes that may give even
erroneous impressions of prejudice and lead the
public to believe that cases before them are being
prejudged.
Sec. 3, Canon 5, NCJC
Judges shall carry out judicial duties with
appropriate consideration for all persons, such as
the parties, witnesses, lawyers, court staff and
judicial colleagues, without differentiation on
any irrelevant ground, immaterial to the proper
performance of such duties.
As arbiters of the law, judges should be
conscientious, studious, courteous, patient and
punctual in the discharge of their judicial duties,
recognizing that time of litigants, witnesses and
counsel is of value. Judges should act with decorum
toward jurors, parties, court staff, spectators, and
alike.
Q: Judge Tormis made a comment in a certain case
to the effect that the same should be dismissed as
the act complained of was already decriminalized by
a special law. Thereafter, Judge Navarro, who
previously handled the case before he was
appointed as a judge, barged into the office of Judge
Tormis telling to the staff that their judge does not
know her law. Judge Tormis then retaliated by
saying that to her, the office of Judge Navarro does
not exist. Are the judges guilty of conduct
unbecoming of a judge?
A: Yes. Judges, being dispensers of justice should not
act in a way that would cast suspicion in order to
preserve faith in the administration of justice. They
should so behave to avoid poor public impression on
the judiciary. Here, the judges act of fighting each
other by uttering derogatory remarks against each
other is a conduct unbecoming of a judge for which
they should be disciplined as their fight has impaired
the image of the judiciary. (Navarro v. Tormis, A.M.
No. MTJ-00-1337, Apr. 27, 2004)
Q: Atty. Quinto was the defense counsel in a
criminal case. In his verified complaint, he alleged
that during the hearing, he manifested that he was
waiving the presentation of evidence for the
accused. Judge Vios then allegedly got angry,
shouted and scolded him, stating that the defense
had no right to waive the presentation of evidence.
He did not even listen to Atty. Quinto’s explanation
and, thereafter, compelled the latter to withdraw
his appearance as counsel of the accused, under
pain of contempt. In the presence of the
complainant, Judge Vios appointed a counsel
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
deofficio. May Judge Vios be held administratively
liable for compelling the lawyer to withdraw as
counsel for the accused under pain of contempt?
A: Yes. A judge should avoid unconsciously falling
into the attitude of mind that the litigants are made
for the courts, instead of the courts for the litigants.
Here, the judge should be held liable for misconduct
when he threatened to punish complainant for
contempt of court if he would refuse to withdraw his
appearance, as counsel for the accused, when the
latter insisted on waiving the presentation of the
evidence for the defense.(Atty. Quinto v. Judge Vios,
A.M. No. MTJ-04-1551, May 21, 2004)
Note: Unequal and disparate treatment in the courthouse,
whether intentional or perceived, is unacceptable and can
negatively impact the professional lives of attorneys and
employees, the assessment of claims of litigants, and the
respect and credibility of the justice system.
Sec. 4, Canon 5, NCJC
Judges shall not knowingly permit court staff or
others subject to his or her influence, direction or
control to differentiate between persons
concerned, in a matter before the judge, on any
irrelevant ground.
Q: What are the duties of judges under this section?
A:
1. To ensure that court personnel under their
supervision do not discriminate by dispensing
special favors or disclosing confidential
information to any unauthorized person,
regardless of whether such information came
from authorized or unauthorized sources; and
2. To organize their courts to ensure the prompt
and convenient dispatch of business and should
not tolerate misconduct by clerks, sheriffs and
other assistants who are sometimes prone to
expect favors or special treatment due to their
professional relationship with the judge.
Note: All personnel involved in the dispensation of justice
should conduct themselves with a high degree of
responsibility. (Mataga v. Rosete, A.M. No.MTJ-03-1488,
Oct. 13, 2004)
Sec. 5, Canon 5, NCIC
Judges shall require lawyers in proceedings before
the court to refrain from manifesting, by words or
conduct, bias or prejudice based on irrelevant
grounds, except such as are legally relevant to an
issue in proceedings and may be the subject of
legitimate advocacy.
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Judges should conduct proceedings in court with
dignity and in a manner that reflects the importance
and seriousness of proceedings. They should maintain
order and proper decorum in the court. (Rule 3.03,
Canon 3, 1989 Code of Judicial Conduct)
Judges have the duty to prevent lawyers from
abusing witnesses with unfair treatment.
As courts are expected to ensure equality, any lawyer
who makes an insensitive or demeaning comment in
court should be admonished.
Q: During the hearing of a case for statutory rape
filed against X, the lawyer is asking the 6-year-old
victim to relate exactly and step by step the sexual
intercourse between her and the accused. The
lawyer is also asking questions whether at the time
of the alleged rape, the accused’s penis was hard,
and whether at the time they were caught, the
accused was still pushing and pulling his penis inside
her vagina. Should the judge allow such questions?
A: No. The judge shall require lawyers to refrain from
making abusive and uncalled for queries. Here, the
fact that the victim of rape is a child of tender years,
there is more reason to require the lawyer to be
tactful. No woman especially child of tender years
would exactly remember step by step the sexual
intercourse in the hands of the maniacal beast.
Hence, all the questions asked are excessive. (People
v. Boras, G.R. No. 127495,Dec. 22, 2000)
COMPETENCE AND DILIGENCE
CANON 6
COMPETENCE AND DILIGENCE ARE PRE-REQUISITES
TO THE DUE PERFORMANCE OF JUDICIAL OFFICE.
A judge upon assumption to office, becomes the
visible representation of law and of justice, hence,
the Constitution (Section 7 (3), Article VIII), prescribes
that he must be a person of proven competence as a
requisite of his membership in the judiciary.
A judge should be the epitome of competence,
integrity and independence to be able to render
justice and uphold public confidence in the legal
system. He must be conversant with basic legal
principles and well-settled doctrines. He should strive
for excellence and seek the truth with passion.(Rino
v. Judge Cawaling, A.M. No. MTJ-02-1391, June 7,
2004)
Note: As members of the judiciary, judges ought to know
the fundamental legal principles; otherwise, they are
susceptible to administrative sanction for gross ignorance
of the law (Heirs of Piedad v.Estrella, A.M. No. RTJ-09-2170,
170
 QUALITIES
Dec. 16, 2009).
Q: Judge Ramos was charged with gross misconduct,
dishonesty, gross ignorance of the law, arbitrary
detention, incompetence, grave abuse of discretion,
and conduct prejudicial to the best interest of the
service allegedly for erroneously issuing a warrant of
arrest against Bayaca. It was alleged that Bayaca
was convicted by Judge Ramos in a criminal case for
arson through reckless imprudence and imposed
upon him the penalty of imprisonment, with all the
accessory penalties imposed by law in addition to
the payment of costs and damages. On appeal, the
RTC deleted the penalty of imprisonment. However,
Judge Ramos subsequently issued a warrant of
arrest and Commitment on Final Sentence which led
to complainant’s incarceration at the Solano District
Jail from August 8 to 28, 2006. In his comment, the
judge clarified that his issuance of the warrant of
arrest against Bacaya was a mistake done in good
faith and that the same was just a simple
negligence. Should the judge be disciplined?
A: Yes. The judge was inexcusably negligent when he
issued a Warrant of Arrest and Commitment to Final
Sentence despite the deletion by the appellate court
of that portion of the judgment imposing the penalty
of imprisonment. In the performance of his duties,
Judge Ramos failed to observe that diligence,
prudence and circumspection which the law requires
in the rendition of any public service. If only Judge
Ramos had exercised the requisite thoroughness and
caution, he would have noted not only the
modification of the monetary awards by the appellate
court, but also the deletion of the penalty of
imprisonment upon which the Warrant of Arrest and
Commitment to Final Sentence that he signed was
based. (Bayaca v. Judge Ramos,A.M. No. MTJ-07-
1676, Jan. 29, 2009)
Sec.1, Canon 6, NCJC
The judicial duties of a judge take precedence
over all activities.
Q: What are the duties of a judge under this
section?
A:
1. A judge must perform his judicial duties with
regard to a case where he is not disqualified to
do so and, may not divest himself of such case if
he is not so disqualified; and
2. A judge shall not inhibit himself simply to avoid
sitting on difficult or controversial cases.
Q: An administrative case against Judge Calderon
171
was filed for incurring leaves of absence for almost a
straight period of 3 years. In his comment, he
claimed that he was suffering from a lingering illness
of malignant hypertension which claim was
supported by medical certificates prepared by his
personal doctor. However, when the court physician
conducted some tests, the same contradicted the
diagnosis given by the judge’s personal doctor. Is
Judge Calderon guilty of gross misconduct?
A: Yes. A judge shall be cautious of his court duties.
Here, the judge should have been aware that, in
frequently leaving his station, he has caused great
disservice to many litigants and has denied them
speedy justice. (Re: Leaves of Absence Without
Approval of Judge Eric Calderon, Municipal Trial Court
Judge of Calumpit, Bulacan, A.M. No. 98-8-105-MTC,
Jan. 26, 1999)
Q: Judge Limsiaco was charged with gross ignorance
of the law and procedure and violations of the Code
of Judicial Conduct when it was established by the
records and by his own admission that he decided
an ejectment case before his sala more than two (2)
years after it was declared submitted for resolution.
Due to his delay of rendering the decision, he was
held guilty of the said charge. He moved for an
extension of time to file a motion for
reconsideration. Despite the extension of time given
however, Judge Limsiaco failed to file his motion for
reconsideration and the required explanation thrice.
In another complaint against him for Delay in the
Disposition of a Case, the OCA issued an order for
him to file a comment for the administrative
complaint. Is the respondent judge administratively
liable for unethical conduct and gross inefficiency
under the provisions of the New Code of Judicial
Conduct, specifically, Sections 7 and 8 of Canon 1,
and Section 5 of Canon 6?
A: Yes. A judge is the visible representation of the
law, and more importantly of justice; he or she must,
therefore, be the first to follow the law and weave an
example for the others to follow. For a judge to
exhibit indifference to a resolution requiring him to
comment on the accusations in the complaint
thoroughly and substantially is gross misconduct, and
may even be considered as outright disrespect for the
Court. The office of the judge requires him to obey all
the lawful orders of his superiors. After all, a
resolution of the Supreme Court is not a mere
request and should be complied with promptly and
completely. Such failure to comply accordingly
betrays not only a recalcitrant streak in character, but
has likewise been considered as an utter lack of
interest to remain with, if not contempt of the judicial
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
system. A resolution of the Supreme Court requiring
comment on an administrative complaint against
officials and employees of the judiciary should not be
construed as a mere request from the Court. Nor
should it be complied with partially, inadequately or
selectively. Respondents in administrative complaints
should comment on all accusations or allegations
against them in the administrative complaints
because it is their duty to preserve the integrity of the
judiciary.
Moreover, the Court should not and will not tolerate
future indifference of respondents to administrative
complaints and to resolutions requiring comment on
such administrative complaints. Under the
circumstances, the conduct exhibited by Judge
Limsiaco constitutes no less than clear acts of
defiance against the Court’s authority. His conduct
also reveals his deliberate disrespect and indifference
to the authority of the Court, shown by his failure to
heed our warnings and directives. Judge Limsiaco’s
actions further disclose his inability to accept our
instructions. Moreover, his conduct failed to provide
a good example for other court personnel, and the
public as well, in placing significance to the Court’s
directives and the importance of complying with
them. (Inoturan, v.Limsiaco, Jr., A.M. No. MTJ-01-
1362, Feb. 22, 2011)
Sec. 2, Canon 6, NCJC
Judges shall devote their professional activity to
judicial duties, which include not only the
performance of judicial functions and
responsibilities in court and the making of
decisions, but also other tasks relevant to the
judicial office or the court’s operations.
Violations of this section often involve a failure to
keep records or handle funds in compliance with
court rules.
Q: Judge Daguman was charged with neglect of duty
in failing to retain a copy and to register with the
Local Civil Registrar a marriage contract. In his
comment, the judge explained that his failure to do
so was occasioned by circumstances beyond his
control. He averred that after the wedding
ceremony, the copies of the marriage contract were
left on top of his desk in his private office where the
ceremony was held but after few days, when he
gathered all the documents relating to the marriage,
the copies were already missing. He also explained
that he was not able to inform the parties about the
fact of loss as they were already out of the country.
Should the judge be disciplined?
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
A: Yes. A judge is charged with extra care in ensuring
that records of the cases and official documents in his
custody are intact. Moreover, judges must adopt a
system of record management, and organize their
dockets in order to bolster the prompt and efficient
dispatch of business. Here, the circumstances show
that the loss of the documents was occasioned by the
carelessness on the part of the judge. The judge
should not have left such important documents in his
table to be gathered only after few days, instead, he
should have devised a filing system in his court so as
to avoid such incident. (Beso v.Daguman, A.M. No.
MTJ-99-1211, Jan. 28, 2000)
Q: X charged Judge Garillo with dishonesty and
corrupt practices for allegedly requiring the former
to deposit with the latter a sum of money in
connection with a pending case in the latter’s sala
but failed to give the deposited sums of money to
the adverse party. It was also alleged that when X
demanded the return of money, the judge failed to
return the same despite his promise. Is the judge
guilty of serious misconduct?
A: Yes. A judge should always be a symbol of
rectitude and propriety, and should always comport
himself in a manner that will raise no doubt
whatsoever about his honesty. Here, the judge’s act
of misappropriating the money entrusted to him by
litigants in connection with a case pending in his
court constitutes gross misconduct. Moreover, the
judge violated Circular No. 50-95 which provides that,
fiduciary collections should be deposited with the
Land Bank of the Philippines. Because of his
actuations, the image of the judiciary was impaired.
(De Pacete v. Judge Garillo, A.M. No. MTJ-03-1473,
Aug. 20, 2003)
Q: Should the judge return court records upon
retirement?
A: Yes. Since the proper and efficient management of
the court is the responsibility of the judge, he is the
one directly responsible for the proper discharge of
official functions. Thus, a judge is obliged to return to
the court the records of the cases filed in his sala
upon his retirement. (Office of the Court
Administrator v. Retired Judge Carteciano, A.M. No.
MTJ-07-1664, Feb. 18, 2008)
Sec. 3, Canon 6, NCJC
Judges shall take reasonable steps to maintain
and enhance their knowledge, skills and personal
qualities necessary for the proper performance of
judicial duties, taking advantage for this purpose
the training and other facilities which should be
made available, under judicial control, to judges.
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 QUALITIES
Service in the judiciary means a continuous study and
research on the law from beginning to end. Judges
are regarded as persons learned in the law.
“Ignorance of the law excuses no one” has special
application to judges.
Though good faith and absence of malice or
corruption are sufficient defenses, such does not
apply where the issues are so simple and the
applicable legal principles evident and basic as to be
beyond possible margin of error. (Corpus
v.Ochotoresa, A.M. No. RTJ 04-1861, July 30, 2004)
One who accepts the exalted position of a judge owes
the public and the Court the duty to maintain
professional competence at all times. When a judge
displays an utter lack of familiarity with the rules, he
erodes the confidence of the public in the courts. A
judge owes the public and the Court the duty to be
proficient in the law and is expected to keep abreast
of laws and prevailing jurisprudence. Ignorance of the
law by a judge can easily be the mainspring of
injustice. (Villanueva v.Judge Buaya, A.M. No. RTJ-08-
2131, Nov. 22, 2010).
Q: Judge Delos Santos averred that Judge Mangino
of the MTC Tarlac approved the bail bond for
provisional liberty of the accused Santos who was
arrested and whose criminal cases were pending in
Angeles City. It was also made to appear from the
contents of the said bond that the accused appeared
before notary public Ancanan in Makati City.
According to the accused, she never went to Tarlac
and appeared before said Judge Mangino. She also
alleged that she never went to Makati City and
appeared before Notary Public Ancanan. Is Judge
Mangino guilty of grave misconduct?
A: Yes. Judges should be diligently acquainted with
the law and jurisprudence. As an advocate of justice
and a visible representation of the law, a judge is
expected to keep abreast with and be proficient in
the application and interpretation of the law. Here,
by mere glancing at the bail bond application, the
judge ought to know that he had absolutely no
authority or jurisdiction to approve the bail bond of
the accused as the case was pending with another
court. By approving the bail bond application, the
judge failed to exert such conscientiousness,
studiousness, and thoroughness expected and
demanded of a judge. (Judge de los Santos v. Judge
Mangino,A.M. No. MTJ-03-1496, July 10, 2003)
Q: Judge Gacott Jr. dismissed an election case on the
ground of non-payment of docket fees, although the
case had been previously admitted and was deemed
173
properly filed by the original Judge (who inhibited
himself due to relationship to one of the parties).
Judge Gacott issued the dismissal order relying on a
case (Manchester v.CA) which states that - a case is
deemed commenced only upon the payment of the
proper docket fees. To his opinion, the required fees
in this case were not yet paid by the protestant.
Enojas charged him with gross ignorance of the law.
Is Judge Gacott Jr. guilty of gross ignorance of the
law?
A: Yes. A judge is duty bound to adhere to, and apply
the recent jurisprudence, and he cannot feign
ignorance thereof, because he is required to be an
embodiment of, among other things, judicial
competence. Here, the ruling relied upon by the
judge does not apply to election cases as in the latter
case the filing fee is fixed and the claim for damages,
to which the docket fess shall be made to apply, is
merely ancillary to the main cause of action and is
not even determinative of the court’s jurisdiction. It
must also be noted that in this case, the original
judge already made an order that from the deposit
given by the protestant for the expenses of reopening
the questioned ballots, an amount shall be allocated
for the payment of the required fees. Thus, the
election protest was already properly filed. (Enojas v.
Judge Gacott, Jr., A.M. No. RTJ-99-1513, Jan. 19,
2000)
Sec. 4, Canon 6, NCJC
Judges shall keep themselves informed about
relevant developments of international law,
including international conventions and other
instruments establishing human rights norms.
Norms of international law has become the concern
of judges because they form part of legal standards
by which their competence and diligence required by
the New Code of Judicial Conduct are to be
measured.
Sec. 5, Canon 6, NCJC
Judges shall perform all judicial duties, including
the delivery of reserved decisions, efficiently,
fairly and with reasonable promptness.
A judge may be subject to an administrative fine for
inefficiency, neglect, and unreasonable delay in
elevating the records of a civil case to the Court of
Appeals. A delay of three years in the transmission of
court records to the appellate court, where a period
of 30 days is required, is inexcusable. (Pataleon v.
Guidez,A.M. No. RTJ-00-1525, Jan. 25, 2000)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Q: Why should delay be avoided in the
administration of justice?
A: Delay results in undermining the people's faith in
the judiciary and from whom the prompt hearing of
their supplications is anticipated and expected, and
reinforces in the mind of the litigants the impression
that the wheels of justice grind ever so slowly.
Certainly, undue delay cannot be countenanced at a
time when the clogging of the court dockets is still
the bane of the judiciary. Judges are expected to
observe utmost diligence and dedication in the
performance of their judicial functions and the
discharge of their duties. (Imbang v. Judge del
Rosario, A.M. No. MTJ-03-1515, Feb. 3, 2004)
Q: Judge Diaz was charged with inefficiency
allegedly for his failure to render a decision on time.
It was alleged that in an unlawful detainer case filed
by De Joya against spouses Hornillos which was
already submitted for decision upon the approval of
a motion for summary judgment filed by De Joya
that Judge Diaz failed to render a decision despite
the lapse of several months from the submission of
the case for resolution. In his comment, the judge
explained that his delay was the result of an
oversight due to the volume of work that he and his
staff had to handle. Should the judge be disciplined?
A: Yes. Decision-making is a primordial and by far the
most important duty of a member of the bench. The
Code of Judicial Conduct mandates that a judge must
dispose of the court's business promptly and to act
on cases pending before him within the prescribed
periods therefore. A judge's failure to observe time
prescriptions for the rendition of judgments in
derogation of an otherwise speedy administration of
justice constitutes a ground for administrative
sanction. A judge cannot be excused from complying
with the periods on the ground that he has heavy
case loads, for in such cases, all he has to do is to
request for additional time to decide cases. Here, the
judge’s failure to decide the unlawful detainer case
within 30 days from the submission for decision
renders him liable for inefficiency for which he should
be disciplined unless he was granted, upon his
request, additional time to decide the case. (De Joya
v. Judge Diaz, A.M. No.MTJ-02-1450, Sept. 23, 2003)
Note: The Constitution provides that all lower courts must
decide all cases filed within three months. Further, the
Code of Judicial Conduct states that a judge shall dispose of
the court’s business promptly and decide the cases within
the required periods. Delay in the disposition of cases
erodes the faith and confidence of the people in the
judiciary, lowers its standards, and brings it to disrepute.
Judges should not abuse the grant of an extension to decide
a case, and strive to decide the case within the extended
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
period granted by the Court. Under Sec. 9, Rule 140of the
Rules of Court, undue delay in rendering a decision or order
is classified as a less serious charge punishable with
suspension from office without salary and other benefits
for not less than one (1) nor more than three (3) months; or
a fine of more than P10,000.00, but not exceeding
P20,000.00. (Request of Judge Nino Batingana, A.M. No. 05-
8-463-RTC, Feb. 17, 2010)
Q: The records disclose that on February 21, 1994,
Cabasares filed a Complaint for Malicious Mischief
against a certain Rodolfo Hebaya. The case was
docketed as Criminal Case No. 8864 and
subsequently assigned to the branch of respondent
Judge. As early as February 27, 2002, the case had
been submitted for decision, but respondent judge
did not pen a decision. He was charged with
violation of Section 15 (1), Article VIII of the
Constitution and Canon 3, Rule 3.05 of the Code of
Judicial Conduct. The judge contend that it have
escaped his mind.
A: Judges should meticulously observe the periods
prescribed by the Constitution for deciding cases
because failure to comply with the said period
transgresses the parties’ constitutional right to
speedy disposition of their cases. Thus, failure to
decide cases within the ninety (90)-day reglementary
period may warrant imposition of administrative
sanctions on the erring judge. However, the Court is
not unmindful of circumstances that justify the delay
in the disposition of the cases assigned to judges.
When a judge sees such circumstances before the
reglementary period ends, all that is needed is to
simply ask the Court, with the appropriate
justification, for an extension of time within which to
decide the case. Evidently, respondent Judge failed
to do any of these options. Since the judge retired
from service he was only fined. (Antonio Y. Cabasares
v. Judge Filemon A. Tandinco, Jr. Municipal Trial Court
in Cities, 8th Judicial Region, Calbayog City, Western
Samar, A.M. No. MTJ-11-1793, Oct. 19, 2011)
Q: Amion was charged with murder. During the trial,
Judge Chiongson ordered that he be represented by
counsel de officio because Amion’s attorney is
always postponing the trial for various reasons like
illness and unavailability for trial. Amion then
charged said judge with ignorance of the law and
oppression because the fact that the counsel de
officio did not know the particulars of the case
meant that Amion would be denied due process.
Should Judge Chiongson be disciplined?
A: No. A judge should always be imbued with a high
sense of duty and responsibility in the discharge of his
obligation to promptly administer justice. Here, Judge
174
 QUALITIES
Chiongson appointed a FLAG lawyer because of
various dilatory means used by the complainant.
Thus, the judge should be commended for his effort
to expedite the case. (Amion v. Judge Chiongson,
A.M. No. RTJ-97-1371, Jan. 22, 1999)
Note: A Flag lawyer refers to a lawyer of non-governmental
organizations (NGOs) and people’s organizations (POs) who
by the nature of his work already render free legal aid to
indigent and pauper litigants. (Section 4a(iii), BAR MATTER
No. 2012,Feb. 10, 2009)
Sec. 6, Canon 6, NCJC
Judges shall maintain order and decorum in all
proceedings before the court and be patient,
dignified and courteous in relation to litigants,
witnesses, lawyers and others with whom the
judge deals in an official capacity.
Judges shall require similar conduct of legal
representatives, court staff and others subject to
their influence, direction or control.
Besides possessing the requisite learning in the law, a
magistrate must exhibit that hallmark judicial
temperament of utmost sobriety and self-restraint
which are indispensable qualities of every judge
(Rodriguez v. Bonifacio, A.M. No. RTJ-99-1510, Nov. 6,
2000).
Q: Judge Belen was charged with conduct
unbecoming of a judge allegedly for humiliating,
demeaning and berating a young lawyer who
appeared in his sala. It was alleged that when the
judge learned that the lawyer was an alumnus of
MCQU and not of UP, the judge made the following
statement “you’re not from UP”. Then you cannot
equate yourself to me because there is a saying and
I know this, not all law students are created equal,
not all law schools are created equal, not all lawyers
are created equal despite what the Supreme Being
stated that we all are created equal in His form and
substance.” Should the judge be disciplined?
A: Yes. The judge’s sarcastic, humiliating, threatening
and boastful remarks to a young lawyer are improper.
A judge must be aware that an alumnus of a
particular law school has no monopoly of knowledge
of the law. By hurdling the Bar Examinations, taking
of the Lawyer’s oath, and signing of the Roll of
Attorneys, a lawyer is presumed to be competent to
discharge his functions and duties as, inter alia, an
officer of the court, irrespective of where he obtained
his law degree. For a judge to determine the fitness
or competence of a lawyer primarily on the basis of
his alma mater is clearly an engagement in an
argumentum ad hominem. As a judge, he must
address the merits of the case and not on the person
175
of the counsel. Judges must be that even on the face
of boorish behavior from those they deal with, they
ought to conduct themselves in a manner befitting
gentlemen and high officers of the court. (Atty. Mane
v. Judge Belen, A.M. No.RTJ-08-2119, June 30, 2008)
Q: Judge Ante Jr. was charged with conduct
unbecoming of a judge. It was alleged that when the
court employee placed the docket book on top of
the filing cabinet, the same fell on the floor causing
loud sound. Unexpectedly, the judge shouted saying
“why did you throw the docket book? You get out of
here, punyeta, we don’t need you!” The judge also
threw a monobloc chair at the court employee.
Should the judge be disciplined?
A: Yes. The judge, for shouting invectives and hitting
complainant with a chair displayed a predisposition to
use physical violence and intemperate language
which reveals a marked lack of judicial temperament
and self-restraint - traits which, aside from the basic
equipment of learning in the law - are indispensable
qualities of every judge. (Briones v. Judge Ante Jr.,
A.M. No.MTJ-02-1411, Apr. 11, 2002)
Sec. 7, Canon 6, NCJC
Judges shall not engage in conduct
incompatible with the diligent discharge of
judicial duties.
Q: What is the duty of the judge under this Section?
A: A judge shall not accept duties that will interfere
with his devotion to the expeditious and proper
administration of his official functions
Note: When a judge, along with two other people, acted as
real estate agents for the sale of a parcel of land for which
he agreed to give a commission of P100,000 to each of his
companions, and after the transaction was completed only
gave the complainants P25,000 each, the high Court held
that the judge violated the section of the prior Code of
Judicial Conduct. (Catbagan v. Barte, A.M. No. MTJ-02-
1452, Apr. 6, 2005)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

DISCIPLINE OF MEMBERS OF A: “Sui Generis” or “a class of its own”

THE JUDICIARY Q: What are the grounds for impeachment?

Q: Who has the power to discipline members of the A:

bench? 1. Treason
2. Bribery
A: 3. Other High Crimes
1. The Supreme Court shall have the administrative 4. Graft and Corruption
supervision over all courts and the personnel. 5. Betrayal of Public Trust (Sec. 2 Art. XI, 1987
(Section 6, Art. VIII, 1986 Constitution) Constitution)
2. The Court en banc has the power to discipline all
judges of lower courts including justices of the Q: Who are subject to impeachment?
Court of Appeals. (Section 11, Art. VIII, 1986
Constitution) A:
1. The President
Q: May judges and justices be disbarred? 2. Vice-President
3. Members of the Supreme Court
A: Yes. Judges and justices, being lawyers, may also 4. Members of the Constitutional Commissions
be disbarred, if found guilty of certain crimes and/or 5. Ombudsman
other causes for disbarment under the Rules of Court.
All other public officers and employees may be
Justices of the Supreme Court however may not be removed from office as provided by law, but not by
disbarred unless and until they shall have been first impeachment (Sec. 2 Art. XI, 1987 Constitution).
impeached in accordance with the Constitution.
Q: Who wields the power to impeach?
Note: While it is the duty of the court to investigate and
determine the truth behind every matter in complaints A: The Philippine Congress holds the sole power in
against judges and other court personnel, it is also their impeachment process.
duty to see to it that they are protected and exonerated
a. House of Representatives - initiates all cases of
from baseless administrative charges. The Court will not
shirk from its responsibility of imposing discipline upon its
impeachment.
magistrates, but neither will it hesitate to shield them from b. Senate – tries and decides on all the cases.
unfounded suits that serve to disrupt rather than promote
the orderly administration of justice. (Ocenar v. Judge Q: Who can file an impeachment complaint?
Mabutin, A.M. No. MTJ 05- 1582, Feb. 28, 2005)
A:
DISCIPLINE OF THE MEMBERS OF THE 1. Any member of the House of Representatives
SUPREME COURT 2. Any citizen with an endorsement of any member
of the House of Representatives.
IMPEACHMENT
Note: When the President of the Philippines is impeached,
Q: What is impeachment? the Chief Justice presides over the impeachment trial; in all
other cases of impeachment, the Senate President presides.
A: It is a constitutional process of removing public Q: What is the procedure of impeachment?
servants from office as an assurance against abusive
officials in the country (Impeachment Primer, Official A:
Gazette, 2012). 1. Initiate impeachment through filing of a verified
complaint
Q: What is the object of impeachment?
2. Include in Order of Business within 10 session
days
A: The object of impeachment is solely to determine
3. Referred to the proper committee within 3
whether or not the official is worthy of the trust
session days
conferred upon him/her. It is not determination of
4. Committee conducts hearing
criminal guilt or innocence as in criminal case (Ibid.).
5. Committee votes
Q: What is the nature of impeachment proceedings 6. If YES, the matter will be referred to the Plenary
against SC justices? within 60 days.
7. Plenary votes – at least 1/3 vote is required

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 176
 DISCIPLINE OF MEMBERS OF THE JUDICIARY
8. If at least 1/3 vote is attained, Resolution and
Articles of Impeachment are referred to Senate
9. House elects its prosecutors
10. Senate as plenary body adopts its rules on
impeachment
11. Senate convenes as impeachment court
12. Senate issues summons to respondent
13. Respondent appears and files answer
14. Senate receives testimonial and documentary
evidence
15. Senator-judges interpose questions
16. Submission for voting (Convict or Acquit)
Q: What is the fast track procedure for
impeachment?
A: If an impeachment complaint or resolution is filed
by at least one-third (1/3) of all members of the
House, the Articles of Impeachment shall be sent to
Senate for trial
Q: How is conviction or acquittal determined?
A: Senators are expected to vote according to their
conscience.
Note: The standard of proof required is NOT “proof beyond
reasonable doubt” because it is not a criminal trial. Rather,
it is a political process. (Impeachment Primer, Official
Gazette, 2012)
Q: How many votes are needed for conviction?
A: A vote of at least two-thirds (2/3) of all members
of the Senate for any one article of impeachment.
Note: 16 votes are required to convict on any article while 8
Negative votes can prevent conviction on any article.
Q: What is the result of conviction?
A: Removal from office. The Senate can additionally
impose penalty of disqualification from holding any
office in the Philippine government.
Note: The party convicted shall nevertheless be subject to
prosecution, trial, and punishment according to law.
Criminal liability must be established by criminal trial.
(Impeachment Primer, Official Gazette, 2012)
ETHICAL LESSONS FROM FORMER CHIEF JUSTICE
CORONA’S IMPEACHMENT
Q: What are the grounds for impeachment against
former Chief Justice Renato Corona?
A:
177
1. Betrayal of public trust through:
a. Track record marked by partiality and
subservience in cases involving the Arroyo
administration from the time of his
appointment as Supreme Court justice and
until his dubious appointment as a midnight
chief justice to the present. (Article I)
b. Wanton arbitrariness and partiality in
consistently disregarding the principle of res
judicata in the cases involving the 16 newly-
created cities, and the promotion of Dinagat
Island into a province. (Article V)
c. Arrogating unto himself, and to a committee
he created, the authority and jurisdiction to
improperly investigate a justice of the
Supreme Court for the purpose of exculpating
him. Such authority and jurisdiction is
properly reposed by the Constitution in the
House of Representatives via impeachment.
(Article VI)
d. Partiality in granting a temporary restraining
order (TRO) in favor of former president
Gloria Macapagal-Arroyo and her husband
Jose Miguel Arroyo in order to give them an
opportunity to escape prosecution and to
frustrate the ends of justice, and in distorting
the supreme court decision on the effectivity
of the TRO in view of a clear failure to comply
with the conditions of the Supreme Court
own TRO. (Article VII)
e. Commission of graft and corruption when he
failed and refused to account for the judiciary
development fund (JDF) and special
allowance for the judiciary (SAJ) collections.
(Article VIII)
2. Culpable violation of the Constitution through:
a. Failure to disclose to the public his
statement of assets, liabilities, and net
worth as required under Sec. 17, Art. XI of
the 1987 Constitution (Article II)
b. Failure to meet and observe the stringent
standards under Art. VIII, Section 7 (3) of the
Constitution that provides that [a] member
of the judiciary must be a person of proven
competence, integrity, probity, and
independence• in allowing the Supreme
court to act on mere letters filed by a
counsel which caused the issuance of flip-
flopping decisions in final and executory
cases; in creating an excessive entanglement
with Mrs. Arroyo through her appointment
of his wife to office; and in discussing with
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
litigants regarding cases pending before the
Supreme Court. (Article III)
c. Blatant disregard of the principle of
separation of powers by issuing a status quo
ante order against the House of
Representatives in the case concerning the
impeachment of then Ombudsman
Merceditas Navarro-Gutierrez. (Article IV)
Q: Under what ground did the Senate, sitting as an
impeachment court, found former Chief Justice
Corona guilty of?
A: He was convicted under Article II of the Articles of
impeachment, which is the failure to disclose to the
public his statement of assets, liabilities, and net
worth as required under sec. 17, Art. XI of the 1987
Constitution, by a vote of 20-3.
Note: It is the "obligation" of an employee to submit a
sworn statement, as the "public has a right to know" the
employee's assets, liabilities, net worth and financial and
business interests. Hence, a court interpreter who failed to
include in her SALN rental payments she received from a
market stall was dismissed from service (Rabe v. Flores,
A.M. No. P-97-1247, May 14, 1997). The Senator judges
ruled that the law applies to all, including the Chief Justice
of the Philippines, thus, his failure to include his dollar
accounts in his SALN warrants his impeachment from office.
Q: Is the Law on Secrecy of Foreign Currency Deposit
Account (FCDA) a defense in failing to include a
dollar deposit in a SALN?
A: No. The issue is not the conflict between the FCDA
requiring secrecy of foreign currency deposits and the
disclosure required by the SALN law, but the
Constitution which requires public officials to declare
their assets and does not distinguish between peso
and foreign accounts (Senator Judge Pangilinan).
The Supreme Court in one case said that the FCDA
cannot be used as a haven for the corrupt and the
criminals. To interpret it in the manner that the Chief
Justice would want … is to say that the law could be
used as a haven to hide proceeds of criminal acts.
(Senator Judge Drilon)
Q: What mandates the Chief Justice to disclose his
Statement of Assets and Liabilities?
A:
1. 1987 Constitution - Section 17. A public officer or
employee shall, upon assumption of office and as
often thereafter as may be required by law,
submit a declaration under oath of his assets,
liabilities, and net worth. In the case of the
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
President, the Vice-President, the Members of
the Cabinet, the Congress, the Supreme Court,
the Constitutional Commissions and other
constitutional offices, and officers of the armed
forces with general or flag rank, the declaration
shall be disclosed to the public in the manner
provided by law.
2. R.A. 6713 - Section 8. Statements and Disclosure.
Public officials and employees have an obligation
to accomplish and submit declarations under
oath of, and the public has the right to know,
their assets, liabilities, net worth and financial
and business interests including those of their
spouses and of unmarried children under
eighteen (18) years of age living in their
households.
Statements of Assets and Liabilities and Financial
Disclosure. - All public officials and employees,
except those who serve in an honorary capacity,
laborers and casual or temporary workers, shall
file under oath their Statement of Assets,
Liabilities and Net Worth and a Disclosure of
Business Interests and Financial Connections and
those of their spouses and unmarried children
under eighteen (18) years of age living in their
households.
The Statements of Assets, Liabilities and Net
Worth and the Disclosure of Business Interests
and Financial Connections shall be filed by:
xxx
(2) Senators and Congressmen, with the
Secretaries of the Senate and the House of
Representatives, respectively; Justices, with the
Clerk of Court of the Supreme Court; Judges, with
the Court Administrator; and all national
executive officials with the Office of the
President.
Q: What is the basis for the public’s right to inquire
upon the statement of assets and liabilities of public
officers?
A: The postulate of public office is a public trust,
institutionalized in the Constitution to protect the
people from abuse of governmental power, would
certainly be mere empty words if access to such
information of public concern is denied.
The right to information (Section 7, Article III of
Constitution) goes hand-in-hand with the
constitutional policies of full public disclosure and
honesty in the public service. It is meant to enhance
the widening role of the citizenry in governmental
decision-making as well as in checking abuse in
178
 DISCIPLINE OF MEMBERS OF THE JUDICIARY
government. (252 Phil. 264, Valmonte v. Belmonte, Jr,
February 13 1989)
Q: Is the right to information, with its companion
right of access to official records absolute?
A: No. While providing guaranty for that right, the
Constitution also provides that the people’s right to
know is limited to “matters of public concern” and is
further subject to such limitations as may be provided
by law.
Q: What are the established limitations to the right
to information, with its companion right of access to
official records?
A:
1. National security matters and intelligence
information
2. Trade secrets and banking transactions
3. Criminal matters
4. Other confidential information such as
confidential or classified information officially
known to public officers and employees by
reason of their office and not made available to
the public as well as diplomatic correspondence,
closed door Cabinet meetings and executive
sessions of either house of Congress, and the
internal deliberations of the Supreme Court.
Q: Is motive a consideration in allowing the
disclosure of statement of assets and liabilities?
A: No. Custodians of public documents must not
concern themselves with the motives, reasons and
objects of the persons seeking access to the records.
While public officers in the custody or control of
public records have the discretion to regulate the
manner in which records may be inspected, examined
or copied by interested persons, such discretion does
not carry with it the authority to prohibit access,
inspection, examination, or copying of the records.
The Court finds no cogent reason to deny the public
access to the SALN, PDS and CV of the Justices of the
Court and other magistrates of the Judiciary subject
to the limitations and prohibitions provided in R.A.
No. 6713, its implementing rules and regulations, and
in the guidelines set forth in the decretal portion.
(A.M. No. 09-8-6-SC Re: request for copy of 2008
statement of assets, liabilities and net worth [SALN]
and personal data sheet or curriculum vitae of the
justices of the Supreme Court and officers and
employees of the judiciary.)
179
Q: What is probity?
A: Probity is the uncompromising adherence to the
highest principles and ideals or impeachable integrity.
(Webster's 3rd New International Dictionary)
Q: Why is probity an important quality of a
magistrate?
A: Canons 3 and 4 of the new Code of Judicial
Conduct mandate, respectively, that “judges shall
ensure that not only is their conduct above reproach,
but that it is perceived to be so in the view of the
reasonable observer” and that “judges shall avoid
improprieties and the appearance of impropriety in
all of their activities.” These very stringent standards
of decorum are demanded of all magistrates and
employees of the courts. As such, those who serve in
the judiciary, particularly justices and judges, must
not only know the law but must also possess the
highest degree of integrity and probity, and an
unquestionable moral uprightness both in their public
and private lives (Veloso vs. Caminade, A.M. No. RTJ-
01-1655, July 8, 2004)
Q: What is integrity?
A: Integrity is a steadfast adherence to a strict moral
or ethical code. It is honesty and honorableness put
into one.
Q: How is integrity observed in the judiciary?
A: In the Judiciary, moral integrity is more than a
cardinal virtue, it is a necessity. The exacting
standards of conduct demanded from judges are
designed to promote public confidence in the
integrity and impartiality of the judiciary. When the
judge himself becomes the transgressor of the law
which he is sworn to apply, he places his office in
disrepute, encourages disrespect for the law and
impairs public confidence in the integrity of the
judiciary itself (Lachica vs Tormis, A.M. No. MTJ-05-
1609, September 20, 2005).
Q: What is the importance of maintaining the
confidence of the people upon the judiciary?
A: The integrity of the Judiciary rests not only upon
the fact that it is able to administer justice, but also
upon the perception and confidence of the
community that the people who run the system have
administered justice. In order to create such
confidence, the people who run the judiciary,
particularly judges and justices, must not only be
proficient in both the substantive and procedural
aspects of the law, but more importantly, they must
possess the highest integrity, probity, and
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
unquestionable moral uprightness, both in their
public and in their private lives. Only then can the
people be reassured that the wheels of justice in this
country run with fairness and equity, thus creating
confidence in the judicial system. (Tan vs. Pacuribot,
A.M. No. RTJ-06-1982, December 14, 2007).
DISCIPLINE OF LOWER COURT JUDGES AND
JUSTICES OF THE COURT OF APPEALS AND
SANDIGANBAYAN
The acts of a judge in his judicial capacity are not
subject to disciplinary action. In the absence of fraud,
malice or dishonesty in rendering the assailed
decision or order, the remedy of the aggrieved party
is to elevate the assailed decision or order to the
higher court for review and correction. However, an
inquiry into a judge’s civil, criminal and/or
administrative liability may be made after the
available remedies have been exhausted and decided
with finality. (Republic v. Caguioa, A.M. No. RTJ-07-
2063, June 26, 2009)
Q: How are the proceedings for the discipline of
judges instituted?
A: Proceedings for the discipline of judges of regular
and special courts and justices of the Court of
Appeals and the Sandiganbayan may be instituted:
1. Motu propio by the Supreme Court;
2. Upon a verified complaint filed before the
Supreme Court supported by:
a. Affidavit of persons who have personal
knowledge of the facts alleged therein;
or
b. Documents which may substantiate said
allegations.
3. Anonymous complaint supported by public
records of indubitable integrity filed with the
Supreme Court.
Q: What is the form of the complaint and what
should it state?
A: The complaint shall be in writing and shall state
clearly and concisely the acts and omissions
constituting violations of standards of conduct
prescribed for judges by law, the Rules of Court, or
the Code of Judicial Conduct.
Q: On appeal, RTC Judge Rudy affirmed the MTC’s
conviction of Lorna for violation of the bouncing
checks law and awarded Agnes, the complainant,
Php1.6 million in damages. Two years later, upon
Lorna’s motion and after ascertaining that her
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
counsel never received the court’s decision, Judge
Rudy recalled the entry of judgment in the case,
reversed himself, and absolved Lorna of guilt.
Claiming an unjust judgment, Agnes filed an
administrative complaint against Judge Rudy, saying
that it is plain from the circumstances that he
connived with Lorna, her counsel, and the handling
prosecutor. But she offered no further evidence.
Judge Rudy denied the charges and asserted that
any error in his judgment is correctible only by an
appeal, not by an administrative suit. Should Judge
Rudy be disciplined? (2011 Bar Question)
A: No, because Agnes’ complaint is merely based on
suspicions and speculations.
GROUNDS
Q. What are the grounds for discipline of judges?
A:
1. Serious Misconduct – implies malice or wrongful
intent, not mere error of judgment.
Judicial acts complained of:
a. Must be corrupt or inspired by an
intention to violate the law; or
b. Were in persistent disregard for well-
known legal rules.
Note: There is misconduct when there is reliable evidence
showing that judicial actions are corrupt or inspired by
intent to violate the law or in persistent disregard of legal
rules.
2. Inefficiency – implies negligence, incompetence,
ignorance and carelessness. A judge would be
inexcusably negligent if he failed to observe in
the performance of his duties that diligence,
prudence and circumspection which the law
requires in the rendition of any public service.
Q: Should a judge be held administratively liable for
ignorance of the law for granting bail to an accused
in a criminal case without the requisite bail hearing,
and despite the fact that there was an eyewitness to
the murder who made a positive identification of
the accused?
A: Yes. It is already settled that when a judge grants
bail to a person charged with a capital offense, or an
offense punishable by reclusion perpetua or life
imprisonment without conducting the required bail
hearing, he is considered guilty of ignorance or
incompetence the gravity of which cannot be excused
by a claim of good faith or excusable negligence.
When a judge displays an utter unfamiliarity with the
law and the rules, he erodes the confidence of the
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 DISCIPLINE OF MEMBERS OF THE JUDICIARY
public in the courts. A judge owes the public and the
court the duty to be proficient in the law and is
expected to keep abreast of laws and the prevailing
jurisprudence. Ignorance of the law by a judge can
easily be the mainspring of injustice (Grageda v.
Judge Tresvalles, A.M. MTJ No. 04-1526, Feb. 2,
2004).
Q: Respondent judge failed to cause the raffle of an
injunction case and failed to follow the procedural
requirements in issuing a TRO and a writ of
preliminary injunction as he issued them without
prior notice to the defendant and without a hearing.
Is he liable for gross ignorance of the law?
A: Yes. Though not every judicial error bespeaks
ignorance of the law or of the rules, and that, when
committed in good faith, does not warrant
administrative sanction, the rule applies only in cases
within the parameters of tolerable misjudgment.
When the law or the rule is so elementary, not to be
aware of it or to act as if one does not know it
constitutes gross ignorance of the law. A judge is
expected to keep abreast of the developments and
amendments thereto, as well as of prevailing
jurisprudence. Ignorance of the law by a judge can
easily be the mainspring of injustice. In the absence
of fraud, dishonesty or corruption, the acts of a judge
in his judicial capacity are not subject to disciplinary
action. However, the assailed judicial acts must not
be in gross violation of clearly established law or
procedure, which every judge must be familiar with.
(Sps. Lago v. Judge Abul, Jr., A.M. No. RTJ-10-2255,
Jan. 17, 2011)
Q: Santiago and Sanchez were complainants in two
different criminal cases before the MTC of Bulacan
and the RTC of Pampanga respectively. The suspects
in each of the criminal cases were caught and
detained by authorities. However, both suspects
were released by order of Judge Jovellanos of MCTC
Pangasinan. The complainants questioned both
Orders for Release, alleging that the requirements
for the bail bond had not been fulfilled and that the
said judge had no jurisdiction to order the release. Is
Judge Jovellanos guilty of gross incompetence and
gross ignorance of the law?
A: Yes. A judge should be acquainted with legal
norms and precepts as well as with statutes and
procedural rules. Unfamiliarity with the Rules of
Court is a sign of incompetence. He must have the
basic rules at the palm of his hands as he is expected
to maintain professional competence at all times.
Here, there are two defects in the Orders for Release
signed by Judge Jovellanos. First, in both cases, the
181
detainees had not registered the bailbond in
accordance with the Rules of Criminal Procedure. One
may not be given provisional liberty if the bailbond is
not registered with the proper office. Secondly, Judge
Jovellanos did not have jurisdiction to order the
release of the detainees as the cases were not
pending in his court and the suspects were not
arrested within his jurisdiction. (Santiago v. Judge
Jovellanos, A.M. No. MTJ-00-1289, Aug. 1, 2000)
Note: Judges are not expected to be infallible; not every
error or irregularity committed by judges in the
performance of official duties is subject to administrative
sanction. In the absence of bad faith, fraud, dishonesty, or
deliberate intent to do injustice, incorrect rulings do not
constitute misconduct and may give rise to a charge of
gross ignorance of the law. (Cruz v. Iturralde, A.M. No. MTJ-
03-1775, Apr. 30, 2003)
Q: Cruz was the defendant in an ejectment case filed
by the Province of Bulacan involving a parcel of land
owned by the said province. A decision was
rendered against Cruz. He then filed an appeal and
several motions for reconsideration but Justice
Alino-Hormachuelos before whom the motions were
filed subsequently denied all. Consequently, Cruz
charged all the judges and justices with grave
misconduct, gross inexcusable negligence, and
rendering a void judgment. Should the judges be
held liable for grave misconduct and gross ignorance
of the law?
A: No. The Court has consistently held that judges will
not be held administratively liable for mere errors of
judgment in their rulings or decisions absent a
showing of malice or gross ignorance on their part.
Bad faith or malice cannot be inferred simply because
the judgment is adverse to a party. To hold a judge
administratively accountable for every erroneous
ruling or decision he renders, assuming that he has
erred, would be nothing short of harassment and
would make his position unbearable. Here, the fact
that the judge or justices rendered a decision not
favorable to Cruz is not enough to make them liable
for grave misconduct. (Cruz v. Justice Alino-
Hormachuelos et. al., A.M. No. CA-04-38, Mar. 31,
2004)
Q: Is a disciplinary and criminal action against a
judge a substitute for judicial remedies?
A: Disciplinary and criminal actions against a judge,
are not complementary or suppletory of, nor a
substitute for, judicial remedies, whether ordinary or
extraordinary. Resort to and exhaustion of judicial
remedies are prerequisites for the taking of other
measures against the persons of the judges
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
concerned, whether of civil, administrative, or
criminal nature. It is only after the available judicial
remedies have been exhausted and the appellate
tribunals have spoken with finality that the door to an
inquiry into his criminal, civil, or administrative
liability may be said to have opened, or closed
(Maquiran v. Grageda, A.M. No. RTJ-04-1888, Feb. 11,
2005).
Q: Santiago’s Petition for Reconstitution of
Lost/Destroyed Original Certificate of Title was
granted by the Quezon City RTC. The Republic of the
Philippines through the Office of the Solicitor
General appealed the decision to the Court of
Appeals the case of which was raffled to the Division
where Justice Enriquez was Chairperson. The special
division reversed and set aside the Decision of the
Quezon City RTC. Motion for Reconsideration having
been denied, complainant filed the present
complaint before the SC. Pending the decision of the
SC, an administrative charge of Gross Ignorance of
the law/Gross Incompetence was filed against
respondent Associate Enriquez. Is the filing of the
administrative complaint against him proper?
A: No. The remedy of the aggrieved party is not to file
an administrative complaint against the judge, but to
elevate the assailed decision or order to the higher
court for review and correction. An administrative
complaint is not an appropriate remedy where
judicial recourse is still available, such as a motion for
reconsideration, an appeal, or a petition for
certiorari, unless the assailed order or decision is
tainted with fraud, malice, or dishonesty.
The failure to interpret the law or to properly
appreciate the evidence presented does not
necessarily render a judge administratively liable.
A judicial officer cannot be called to account in a civil
action for acts done by him in the exercise of his
judicial function, however erroneous. In the words of
Alzua and Arnalot v. Johnson, “it is a general principle
of the highest importance to the proper
administration of justice that a judicial officer, in
exercising the authority vested in him, shall be free to
act upon his own convictions, without apprehension
of personal consequences to himself." This concept of
judicial immunity rests upon consideration of public
policy, its purpose being to preserve the integrity and
independence of the judiciary. This principle is of
universal application and applies to all grades of
judicial officers from the highest judge of the nation
and to the lowest officer who sits as a court.
(Santiago III v. Justice Enriquez, Jr. A.M. No. CA-09-47-
J, Feb. 13, 2009)
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
Q: What are the classifications of charges?
A: Administrative charges are classified as:
1. Serious
2. Less serious
3. Light
Note: Administrative penalties imposed on judges are both
punitive and corrective (2011 Bar Question).
Q: What are considered as serious charges?
A:
1. Bribery, direct or indirect
2. Dishonesty and violations of the Anti-Graft and
Corrupt Practices Law (R.A. 3019)
3. Gross misconduct constituting violations of the
Code of Judicial Conduct
4. Knowingly rendering an unjust judgment or order
as determined by a competent court in an
appropriate proceeding
5. Conviction of a crime involving moral turpitude
6. Willful failure to pay a just debt
7. Borrowing money or property from lawyers and
litigants in a case pending before the court
8. Immorality
9. Gross ignorance of the law or procedure
10. Partisan political activities
11. Alcoholism and/or vicious habits
Q: What are considered as less serious charges?
A:
1. Undue delay in rendering a decision or order, or
in transmitting the records of a case
2. Frequently and unjustified absences without
leave or habitual tardiness
3. Unauthorized practice of law
4. Violation of Supreme Court rules, directives, and
circulars
5. Receiving additional or double compensation
unless specifically authorized by law
6. Untruthful statements in the certificate of service
7. Simple misconduct
Q: What are considered as light charges?
A:
1. Vulgar and unbecoming conduct
2. Gambling in public
3. Fraternizing with lawyers and litigants with
pending case/cases in his court
4. Undue delay in the submission of monthly
reports
Q: Are the proceedings against them confidential?
A: Yes. Proceedings against judges of regular and
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 DISCIPLINE OF MEMBERS OF THE JUDICIARY
special courts and justices of the Court of Appeals
and the Sandiganbayan shall be private and
confidential, but a copy of the decision or resolution
of the Court shall be attached to the record of the
respondent in the Office of the Court Administrator.
(Sec 12, Rule 140, RRC)
Q: What is the effect of resignation or retirement of
a judge when there is a pending administrative case
against him?
A: The retirement of a judge or any judicial officer
from service does not preclude the finding of any
administrative liability to which he should still be
answerable. Also, the withdrawal or recantation of
the complaint does not necessarily result in the
dismissal of the case. (Atty. Molina v. Judge Paz, A.M.
No. RTJ -01-1638, Dec. 8, 2003)
Note: The acceptance by the President of the resignation
does not necessarily render the case moot or deprive the
SC of the authority to investigate the charges. The court
retains its jurisdiction either to pronounce the respondent
officially innocent of the charges or declare him guilty
thereof. A contrary rule will be fraught with injustice and
pregnant with dreadful and dangerous implications (Pesole
v. Rodriguez A.M. No. 755-MTJ, Jan. 31, 1978)
Q: May the heirs of a judge who was found guilty of
gross neglect of duty and dismissed from the service
with disqualification from holding public office for
an offense committed before he was appointed
judge, be entitled to gratuity benefits?
A: Yes. Upon demise, the administrative complaint of
the OCA had to be considered closed and terminated.
Therefore, there is no valid reason why the heirs of
the deceased should not be entitled to gratuity
benefits for the period he rendered service as MTCC
judge up to the finality of the CSC Resolution which
imposed the penalty of "dismissal from service with
all the accessory penalties including disqualification
from holding public office and forfeiture of benefits”.
The penalty of disqualification from holding public
office and forfeiture of benefits may not be applied
retroactively, however, the judge should be
considered terminated from service in the judiciary as
his appointment as MTCC judge is deemed
conditional upon his exoneration of the CSC
administrative charges against him. (Re: Application
for retirement/gratuity benefits under R.A. 910 as
amended by R.A. 5095 and P.D. 1438 filed by Mrs.
Butacan, surviving spouse of the late Hon. Jimmy
Butacan, former judge of MTC, Tuguegarao City, who
died on July 28, 2005,A.M. No. 12535-Ret, Apr. 22,
183
2008)
Q: What is the quantum of evidence required for the
removal of a judicial officer?
A: The ground for removal of a judicial officer should
be established beyond reasonable doubt. Such is the
rule where the charge on which the removal is sought
is misconduct in office, willful neglect, corruption or
incompetence. The general rules in regard to
admissibility of evidence in criminal trials apply.
Q: May a judge be disciplined by the Supreme Court
based solely on a complaint filed by the complainant
and the answer of respondent judge? If so, in what
circumstances? What is the rationale behind this
power of the Supreme Court? (1996 Bar Question)
A: A judge may be disciplined by the Supreme Court
based solely on the basis of the complaint filed by the
complainant and the answer of the respondent judge,
under the principle of res ipsa loquitor. The Supreme
Court has held that when the facts alleged in the
complaint are admitted or are already shown on the
record, and no credible explanation that would
negate the strong inference of evil intent is
forthcoming, no further hearing to establish such
facts to support a judgment as to culpability of the
respondent is necessary (In Re: Petition for dismissal
of Judge Dizon).
Note: The doctrine of res ipsa loquitur does not and cannot
dispense with the twin requirements of due process, notice
and the opportunity to be heard. It merely dispenses with
the procedure laid down in Rule 140, RRC (Rule 140:
Discipline of Judges of Regular and Special Courts and
Justices of the Court of Appeals and the Sandiganbayan).
Q: In Administrative Circular No. 1 addressed to all
lower courts dated January 28, 1988, the Supreme
Court stressed that all judges are reminded that the
Supreme Court has applied the Res Ipsa Loquitor
rule in the removal of judges even without any
formal investigation whenever a decision, on its
face, indicates gross incompetence or gross
ignorance of the law or gross misconduct (Cathay
Pacific Airways v. Romillo, G.R. No. 64276, 12 August
1986). The application of the res ipsa loquitor rule in
the removal of judges is assailed in various quarters
as inconsistent with due process and fair play. Is
there any basis for such a reaction? Explain.
A:
1. First view - there is a basis for the reaction
against the res ipsa loquitor rule on removing
judges. According to the position taken by the
Philippine Bar Association, the res ipsa loquitor
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
rule might violate the principle of due process
that is the right to be heard before one is
condemned.
Moreover, Rule 140 of the Rules of Court
provides for the procedure for the removal of
judges. Upon service of the complaint against
him, he is entitled to file an answer. If the answer
merits a hearing, it is referred to a justice of the
Court of Appeals for investigation, the report of
the investigation is submitted to the Supreme
Court for proper disposition.
The danger in applying the res ipsa loquitor rule
is that the judge may have committed only an
error of judgment. His outright dismissal does
violence to the jurisprudence set in. (In Re
Horilleno, 43 Phil. 212, March 20, 1922)
2. Second view- According to the Supreme Court
the lawyer or a judge can be suspended or
dismissed based on his activities or decision, as
long as he has been given an opportunity to
explain his side. No investigation is necessary.
Q: Does suspension pendente lite apply to judges?
A: No. While it is true that preventive suspension
pendente lite does not violate the right of the accused
to be presumed innocent as the same is not a
penalty, the rules on preventive suspension of judges,
not having been expressly included in the Rules of
Court, are amorphous at best.
Moreover, it is established that any administrative
complaint leveled against a judge must always be
examined with a discriminating eye, for its
consequential effects are, by their nature, highly
penal, such that the respondent judge stands to face
the sanction of dismissal or disbarment. As
aforementioned, the filing of criminal cases against
judges may be used as tools to harass them and may
in the long run create adverse consequences. (Re:
Conviction of Judge Adoracion G. Angeles, A.M. No.
06-9-545-RTC, Jan. 31, 2008)
Q: May justices and judges be investigated under
the grievance procedure in the ROC?
A: No. Complaints against justices and judges are filed
with the Supreme Court which has exclusive
administrative supervision over all courts and the
personnel thereof pursuant to Section 6 Art. VIII,
Constitution. The Court en banc has the power to
discipline all judges of lower courts including justices
of the Court of Appeals (Section 11, Art. VIII, 1987
Constitution).
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
As a matter of practice, the Supreme Court has
assigned complaints against Municipal or
Metropolitan Trial Judges to an Executive Judge of a
Regional Trial Court and complaints against judges of
Regional Trial Courts to a justice of the Court of
Appeals, while a complaint against a member of the
Court of Appeals would probably be assigned to a
member of the Supreme Court for investigation,
report and recommendation. Retired SC Justices are
now tasked for this purpose.
Q: What is the rule on the liability of judges?
A: GR: A judge is not liable administratively, civilly, or
criminally, when he acts within his legal powers and
jurisdiction, even though such acts are erroneous so
long as he acts in good faith. In such a case, the
remedy of aggrieved party is not to file an
administrative complaint against the judge but to
elevate the error to a higher court for review and
correction.
Reason: To free the judge from apprehension of personal
consequences to himself and to preserve the integrity and
independence of the judiciary.
XPN: Where an error is gross or patent, deliberate
and malicious, or is incurred with evident bad
faith; or when there is fraud, dishonesty, or
corruption.
Q: What are the civil liabilities under the Civil Code?
A:
1. Article 27 – refusal or neglect without just cause
by a public servant to perform his official duty
2. Article 32 – directly or indirectly obstructing,
defeating, violating or in any manner impeding or
impairing civil liberties guaranteed by the
Constitution
This responsibility for damages is not, however,
demandable of judges except when his act or
omission constitutes a violation of the Penal Code or
other penal statute.
Q: What are the disabilities/restrictions under the
Civil Code?
A:
1. Article 1491 (5) – Justices, judges, prosecuting
attorneys, clerks of court of superior and inferior
courts and other officers and employees
connected with the administration of justice
cannot acquire by purchase, even at a public or
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 DISCIPLINE OF MEMBERS OF THE JUDICIARY
judicial action, either in person or through the
mediation of another the property and rights in
litigation or levied upon an execution before the
court within whose jurisdiction or territory they
exercise their respective functions.
This prohibition includes the act of acquiring by
assignment and shall apply to lawyers, with
respect to the property and rights that may be
the object of any litigation in which they may
take part by virtue of their profession (1996 Bar
Question).
2. Article 739 – Donations made to a judge, his wife,
descendants and ascendants by reason of his
office are void.
Q: What are the Criminal Liabilities under the RPC
and the Anti-Graft and Corrupt Practices Act?
A:
1. Misfeasance
a. Article 204 – Knowingly rendering unjust
judgment.
b. Manifestly Unjust Judgment – one which is
so patently against the law, public order,
public policy and good morals that a
person of ordinary discernment can easily
sense its invalidity and injustice.
Note: It must be shown beyond doubt that the
judgment is unjust as it is contrary to law or is not
supported by evidence and the same was made with
conscious and deliberate intent to do an injustice. (In
Re: Climaco, A.C. No. 134-J, January 21, 1974)
If the decision rendered by the judge is still on appeal,
the judge cannot be disqualified on the ground of
knowingly rendering an unjust judgment. (Abad v.
Bleza, A.M. No. R-227-RTJ, October 13, 1986)
2. Article 205– Judgment rendered through
negligence – committed by reason of inexcusable
negligence or ignorance.
Note: Negligence and ignorance are inexcusable if they
imply a manifest injustice, which cannot be explained
by reasonable interpretation. (In Re: Climaco, A.C. No.
134-J, January 21, 1974)
3. Article 206– Knowingly rendering an unjust
interlocutory order; and
4. Maliciously delaying the administration of
justice.
Note: The act must be committed maliciously with
deliberate intent to prejudice a party in a case.
185
IMPEACHMENT
(ETHICAL ASPECTS)
Q: What is the provision of the Constitution on the
accountability of public officers?
A: Public officers and employees must at all times be
accountable to the people, serve them with utmost
responsibility, integrity, loyalty, and efficiency, act
with patriotism and justice, and lead modest lives
(Sec. 1, Article XI 1987 Constitution).
Q: What is the nature of public office?
A: A public office is a public trust. It is not to be
understood as a position of honor, prestige and
power but a position of rendering service to the
public.
Q: What is the principle of accountability?
A: It sets down the mandate that all government
officials and employees, whether they be the highest
in the land or the lowliest public servants, shall at all
times be answerable for their misconduct to the
people from whom the government derives its
powers.
Q: What is the purpose of impeachment in relation
the accountability of public officers?
A: Its purpose is to protect the people from official
delinquencies or malfeasances. It is therefore
primarily intended for the protection of the State, not
for the punishment of the offender.
Q: What is the importance of maintaining public
trust in public offices?
A: It is essential that responsible and competent
public officers be chosen for public office to maintain
the faith and confidence of the people to the
government otherwise it becomes ineffective. No
popular government can survive without the
confidence of the people. It is the lone guarantee and
justification of its existence.
SANCTIONS IMPOSED BY THE SUPREME COURT ON
ERRING MEMBERS OF THE JUDICIARY
Q: What are the sanctions if the judge is found guilty
of a serious charge?
A: Any of the following sanctions may be imposed:
1. Dismissal from the service, forfeiture of all or
part of the benefits as the Court may determine,
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

and disqualification from reinstatement or

appointment to any public office, including
government-owned or controlled corporations.
Provided, however, that the forfeiture of benefits
shall in no case include accrued leave credits

2. Suspension from office without salary and other

benefits for more than three (3) but not
exceeding six (6) months

3. A fine of more than P20,000.00 but not

exceeding P40,000.00

Q: What are the sanctions if the respondent is found

guilty of a less serious charge?

A:
1. Suspension from office without salary and other
benefits for not less than one (1) nor more than
three (3) months; or
2. A fine of more than P10,000.00 but not
exceeding P20,000.00.

Q: What are the sanctions if the respondent is found

guilty of a light charge?

A: Any of the following sanctions shall be imposed:

1. A fine of not less than P1,000.00 but not
exceeding P10,000.00 and/or
2. Censure
3. Reprimand
4. Admonition with warning

REINSTATEMENT OF A JUDGE
PREVIOUSLY DISCIPLINED

Q: When is reinstatement proper?

A: Reinstatement is proper when there is no

indication that the judge is inspired by corrupt
motives or reprehensive purpose in the performance
of his functions.

Q: What are the factors to be considered in

reinstatement?

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

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2013 GOLDEN NOTES 186
 DISCIPLINE OF MEMBERS OF THE JUDICIARY

PROCEDURE FOR DISCIPLINE OF JUDGES OF REGULAR AND SPECIAL COURTS AND

JUSTICES OF THE COURT OF APPEALS AND THE SANDIGANBAYAN
(A.M. NO. 01-8-10-SC)
(2005 Bar Question)

If the complaint is sufficient in form and

substance, a copy thereof shall be If the complaint is not sufficient
served upon the respondent and he in form and substance, the same
shall be required to comment within 10 shall be dismissed.
days from date of service.

Upon the filing of the respondent’s

comment or upon the expiration of the
time for filing the same and unless other
pleadings or documents are required, the
Supreme Court shall refer the matter to:

Office of the Court Administrator for The investigating justice or judge shall
evaluation, report, and set a day of the HEARING and send
recommendation notice thereof to both parties. At such
hearing the parties may present oral
Or assign the case for investigation,
and documentary evidence.
report, and recommendation to a
retired member of the Supreme Court,
If, after due notice, the respondent
if the respondent is a justice of the CA
fails to appear, the investigation shall
and the Sandiganbayan
proceed ex parte.
Or to a justice of the CA, if the
The investigating justice or judge shall
respondent is a judge of a Regional Trial
terminate the investigation within
Court or of a special court of equivalent
ninety (90) days from the date of its
rank
commencement or within such
Or to a judge of the Regional Trial Court extension as the Supreme Court may
if the respondent is a judge of an grant.
inferior court.

Within thirty (30) days from the termination of the

investigation, the investigating Justice or Judge shall submit to
The Court shall take such the Supreme Court a REPORT containing findings of fact and
ACTION on the report as the recommendation. The report shall be accompanied by the
facts and the law may warrant. record containing the evidence and the pleadings filed by the
parties. The report shall be confidential and shall be for the
exclusive use of the Court.

Note: Before the Court approved this resolution, administrative and disbarment cases against members of the bar who were
likewise members of the court were treated separately. However, pursuant to the new rule, an administrative case against a
judge of a regular court based on grounds which are also grounds for the disciplinary action against members of the Bar shall be
automatically considered as disciplinary proceedings against such judge as a member of the Bar.

Since membership in the bar is an integral qualification for membership in the bench, the moral fitness of a judge also reflects his
moral fitness as a lawyer. A judge who disobeys the basic rules of judicial conduct also violates his oath as a lawyer (Samson v.
Judge Caballero, A.M. No. RTJ-08-2138, Aug. 5, 2009)

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187 FACULTY OF CIVIL LAW
 Judicial Ethics

DISQUALIFICATION OF JUSTICES AND JUDGES courts of justice will not be impaired. His decision, as to
(RULE 137) whether to hear the case or not should be based and
dependent to giving importance to the confidence in the
impartiality of a judge.
COMPLUSORY

Q: What are the mandatory or compulsory instances Q: What are the grounds sufficient to disqualify a
that a judge may be disqualified? judge?

A: Section 1 of Rule 317 provides that a judge is A: Mere suspicion is not enough. Bias and prejudice
mandated by law to be disqualified if any of the are recognized as a valid ground to disqualify a judge.
following instance, is present: The appearance of bias or prejudice can be damaging
to the public competence and administration of
1. The judge, or his wife, or child is pecuniarily justice.
interested as heir, legatee, creditor or otherwise
2. The judge is related to either party of the case
within the sixth degree of consanguinity or
affinity, or to the counsel within the fourth
degree (computed according to the rule of civil
law)
3. The judge has been an executor, administrator,
guardian, trustee or counsel
4. The judge has presided in any inferior court when
his ruling or decision is the subject of review

Rationale: there is a conclusive presumption that the judge

cannot objectively or impartially try the case. The law
expressly prohibits him and strikes at the judge’s authority
to hear and decide the case.

Q: Is there an exception to the compulsory or

mandatory disqualification?

A: Yes. The same rule also provides that the judge

may hear and decide the case despite the presence of
a disqualification provided the interested parties both
give a written consent, signed by them and entered
upon the record. It has been decided by the Supreme
Court that oral consent is not valid, even though both
parties have agreed. (Lazo v. Judge Tiong, 300 SCRA
173, 1998)

VOLUNTARY

Q: What is a voluntary inhibition?

A: The Rules of Court states that a judge through the

exercise of sound discretion may, for just or valid
reasons to inhibit himself.

Note: A presiding judge must maintain and preserve the

trust and faith of the parties-litigants. He must hold himself
above reproach and suspicion. At the very sign of lack of
faith and trust in his actions, whether well-grounded or not,
the judge has no other alternative but to inhibit himself
from the case (Gutang v. Court of Appeals, 292 SCRA 76).

The self-examination of the judge is necessary. He should

exercise his discretion in a way that people’s faith in the

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 POWERS AND DUTIES OF COURTS AND JUDICIAL OFFICERS
POWERS AND DUTIES OF COURTS
AND JUDICIAL OFFICERS
(RULE 135)
Q: Can any pleading, motion or other papers, for the
trial of cases, hearing of motions, and for the
issuance of orders or rendition of judgments be filed
anytime?
A: No. Section 1, Rule 135 of Rules of Court provides:
“Courts always open; justice to be promptly and
impartially administered.” Courts of justice shall
always be open, except on legal holidays, for the filing
of any pleading, motion or other papers, for the trial
of cases, hearing of motions, and for the issuance of
orders or rendition of judgments. Justice shall be
impartially administered without unnecessary delay.
GR: Courts of justice shall always be open; Justice to
be promptly and impartially administered.
XPN: Legal holidays
Note: Upon the request of the local government unit
concerned, the Executive Judges of the MeTCs or the
MTCCs of the cities and municipalities comprising Metro
Manila and of the cities of Baguio, Bacolod, Cagayan de
Oro, Cebu, Davao and Iloilo may assign all judges to hold
night court sessions daily from Monday to Friday and on
official holidays and special days, from four-thirty o’clock in
the afternoon to eleven o’clock in the evening, on rotation
basis, and in pairs of two (Sec. 15, A.M. No. 03-8-02-SC).
Q: Can the public be excluded from a proceeding?
A: Yes. Section 2, Rule 135 of Rules of Court provides:
“Publicity of proceedings and records--The sitting of
every court of justice shall be public, but any court
may, in its discretion, exclude the public when the
evidence to be adduced is of such nature as to
require their exclusion in the interest of morality or
decency. xxx”
GR: The sitting of every court of justice shall be public
XPN: When the evidence to be adduced is of
such nature as to require their exclusion in
the interest of morality or decency.
Q: Shall the records of every court of justice be
always in public?
A: No. Section 2, Rule 135 of Rules of Court provides:
“The records of every court of justice shall be public
records and shall be available for the inspection of
any interested person, at all proper business hours,
under the supervision of the clerk having custody of
189
such records, unless the court shall, in any special
case, have forbidden their publicity, in the interest
of morality or decency.”
GR: The records of every court of justice shall be
public records and shall be available for the
inspection of any interested person, at all proper
business hours, under the supervision of the clerk
having custody of such records.
XPN: Unless the court shall, in any special
case, have forbidden their publicity, in the
interest of morality or decency.
Q: Where can the process of inferior courts be
enforceable?
A: Within the province where the municipality or city
lies.
Q: Is there any exception in which process of inferior
courts can be served outside boundaries of
province?
A: Yes, Provided, with the approval of judge of first
instance of said province.
Q: May a criminal process issued by a justice of the
peace or other inferior court be served outside his
province?
A: Yes. When the district judge, or in his absence the
provincial fiscal, shall certify that in his opinion the
interests of justice require such service.
Section 4 of Rule 135 of Rules of Court provides:
Process of inferior courts— The process of inferior
courts shall be enforceable within the province where
the municipality or city lies. It shall not be served
outside the boundaries of the province in which they
are comprised except with the approval of the judge
of first instance of said province, and only in the
following cases:
a. When an order for the delivery of personal
property lying outside the province is to be
complied with;
b. When an attachment of real or personal property
lying outside the province is to be made;
c. When the action is against two or more
defendants residing in different provinces;
d. When the place where the case has been
brought is that specified in a contract in writing
between the parties, or is the place of the
execution of such contract as appears therefrom.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics
Writs of execution issued by inferior courts may be
enforced in any part of the Philippines without any
previous approval of the judge of first instance.
Criminal process may be issued by a justice of the
peace or other inferior court, to be served outside his
province, when the district judge, or in his absence
the provincial fiscal, shall certify that in his opinion
the interests of justice require such service.
Q: What are the instances or cases in which process
issued from a superior court may be enforced in any
part of the Philippines?
A:
1. A case is pending to bring in a defendant
2. for the arrest of an accused person
3. Execution of any order or judgment of the court
Section 3 of Rule 135 of Rules of Court provides:
Process of superior courts enforced throughout the
Philippines— Process issued from a superior court in
which a case is pending to bring in a defendant, or for
the arrest of any accused person, or to execute any
order or judgment of the court may be enforced in
any part of the Philippines.
Q: What are the cases where the judge of the first
instance of a particular province can approve the
service of process of inferior courts outside the
boundaries of province in which they are
comprised?
A:
1. When an order for the delivery of personal
property lying outside the province is to be
complied with;
2. When an attachment of real or personal property
lying outside the province is to be made;
3. When the action is against two or more
defendants residing in different provinces;
4. When the place where the case has been
brought is that specified in a contract in writing
between the parties, or is the place of the
execution of such contract as appears therefrom
Q: What are the inherent powers of courts?
A: Section 5, Rule 135 of Rules of Court provides:
Inherent powers of courts-- Every court shall have
power:
a. To preserve and enforce order in its
immediate presence;
b. To enforce order in proceedings before it, or
before a person or persons empowered to
conduct a judicial investigation under its
authority;
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
c. To compel obedience to its judgments,
orders and processes, and to the lawful
orders of a judge out of court, in a case
pending therein;
d. To control, in furtherance of justice, the
conduct of its ministerial officers, and of all
other persons in any manner connected with
a case before it, in every manner
appertaining thereto;
e. To compel the attendance of persons to
testify in a case pending therein;
f. To administer or cause to be administered
oaths in a case pending therein, and in all
other cases where it may be necessary in the
exercise of its powers;
g. to amend and control its process and orders
so as to make them comfortable to law and
justice;
h. To authorize a copy of a lost or destroyed
pleading or other paper to be filed and used
instead of the original, and to restore, and
supply deficiencies in its records and
proceedings.
Q: What are the means that courts and officers can
employ to carry jurisdiction into effect?
A: All auxiliary writs, processes and other means
necessary to carry jurisdiction into effect may be
employed by court or officer.
Section 6, Rule 135 of Rules of Court provides:
Means to carry jurisdiction into effect. -- When by law
jurisdiction is conferred on a court or judicial
officer, all auxiliary writs, processes and other means
necessary to carry it into effect may be employed by
such court or officer; and if the procedure to be
followed in the exercise of such jurisdiction is not
specifically pointed out by law or by these rules, any
suitable process or mode of proceeding may be
adopted which appears conformable to the spirit of
said law or rules.
Q: Where should trials upon the merits shall be
conducted?
A: In open court or in a regular court room
Section 7, Rule 135 of Rules of Court provides:
Trials and hearings; orders in chambers.--All trials
upon the merits shall be conducted in open court and
so far as convenient in a regular court room. All other
acts or proceedings may be done or conducted by a
judge in chambers, without the attendance of the
clerk or other court officials.
190
 POWERS AND DUTIES OF COURTS AND JUDICIAL OFFICERS

Q: Who shall have the power to hear and determine
any interlocutory motion or issue after due and
reasonable notice to the parties, within the district
though without his province?
A: Judge of first instance.
Section 8, Rule 135 of Rules of Court provides:
Interlocutory orders out of province.-- A judge of first
instance shall have power to hear and determine,
when within the district though without his province,
any interlocutory motion or issue after due and
reasonable notice to the parties. xxx
also authorize the judge who has partly heard the
case, if no other judge had heard the case in part, to
continue hearing and to decide said case
notwithstanding his transfer or appointment to
another court of equal jurisdiction.
Conditions:
1. Upon petition of any of the parties
2. Recommendation of the respective district judge

Q: What are the instances or cases where the

hearings may be had at any place in the judicial
district which the judge shall deem convenient?

A:
1. On the filing of a petition for the writ of habeas
corpus
2. For release upon bail or reduction of bail in any
Court of First Instance (Section 8, Rule 135 of
Rules of Court)

Q: What are the processes that a judge should

secure in case he shall leave the province by transfer
or assignment to another court of equal jurisdiction,
or by expiration of his temporary assignment,
without having decided a case totally heard by him
and which was argued or an opportunity given for
argument to the parties or their counsel?

A:
1. Prepare and sign his decision in said case
anywhere in within the Philippines.
2. Send the same by registered mail to the clerk of
the court where the case was heard or argued to
be filed therein as of the date when the same
was received by the clerk, in the same manner as
if he had been present in court to direct the filing
of the judgment.

Q: When can the Supreme Court authorize the judge

to continue hearing and to decide said case
notwithstanding his transfer or appointment to
another court of equal jurisdiction?

A:
1. If a case has been heard only in part.
2. If no other judge had heard the case in part.

Section 9, Rule 135 of Rules of Court provides:

Signing judgments out of province.—If a case has
been heard only in part, the Supreme Court, upon
petition of any of the parties to the case and the
recommendation of the respective district judge, may

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191 FACULTY OF CIVIL LAW
 Judicial Ethics
COURT RECORDS AND GENERAL DUTIES OF
CLERKS AND STENOGRAPHER
(RULE 136)
Q: What are the records kept by the clerk?
A:
1. General Docket - A record kept by the clerk each
page of which shall be numbered and prepared
for receiving all the entries in a single case, and
shall enter therein all cases, numbered
consecutively in the order in which they were
received, and, under the heading of each case
and a complete title thereof, the date of each
paper filed or issued, of each order or judgment
entered, and of each other step taken in the
case, so that by reference to a single page, the
history of the case may be seen. (Sec. 8, Rule
136, Rules of Court)
2. Judgment and Entries Book - book containing a
copy of each judgment rendered by the court in
order of its date, and a book of entries of
judgments containing at length in chronological
order entries of all final judgments or orders of
the court.(Sec. 9, Rule 136, Rules of Court)
3. Execution Book - book in which he or his deputy
shall record at length in chronological order each
execution, and the officer’s return thereon, by
virtue of which real property has been sold.(Sec.
10, Rule 136, Rules of Court)
Note: The general docket, judgment book, entries book and
execution book shall each be indexed in alphabetical order
in the names of the parties, and each of them.
If the court so directs, the clerk shall keep two or more of
either or all of the books and dockets above mentioned,
separating civil from criminal cases, or actions from special
proceedings, or otherwise keeping cases separated by
classes as the court shall deem best.(Sec. 13, Rule 136,
Rules of Court)
Q: What are the items entered in the docket of
inferior courts?
A: Docket and other records of inferior courts. - Every
municipal or city judge shall keep a well-bound
labeled “docket,” in which he shall enter for each
case:
a. Title of the case including the names of all
the parties;
b. The nature of the case, whether civil or
criminal, and if the latter, the offense
charged;
c. The date of issuing preliminary and
intermediate process including order of
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
arrest and subpoenas, and the date and
nature of the return thereon;
d. The date of the appearance of default of the
defendant;
e. The date of presenting the plea, answer, or
motion to quash, and the nature of the
same;
f. The minutes of the trial, including the date
thereof and of all adjournments;
g. The names and addresses of all witnesses;
h. The date and nature of the judgment, and, in
a civil case, the relief granted;
i. An itemized statement of the costs;
j. The date of any execution issued, and the
date and contents of the return thereon;
k. The date of any notice of appeal filed, and
the name of the party filing the same.
A municipal or city judge may keep two dockets, one
for civil and one for criminal cases. He shall also keep
all the pleadings and other papers and exhibits in
cases pending in his court, and shall certify copies of
his docket entries and other records proper to be
certified, for the fees prescribed by these rules. It
shall not be necessary for the municipal or city judge
to reduce to writing the testimony of witnesses,
except that of the accused in preliminary
investigations. (Sec. 18, Rule 136, Rules of Court)
Q: May record be taken from the clerk’s office?
A: No except by order of the court.
Note: However, the Solicitor General or any of his
assistants, the provincial fiscal or his deputy, and the
attorneys de officio shall be permitted, upon proper
receipt, to withdraw from the clerk’s office the record of
any case in which they are interested. (Sec. 14, Rule 136,
Rules of Court)
Q: What are the duties of Clerks of Superior Court?
A:
1. Issue under the seal of the court all ordinary
writs and process incident to pending cases, the
issuance of which does not involve the exercise
of functions appertaining to the court or judge
only. (Sec. 4, Rule 136, Rules of Court)
2. Receive and file all pleadings and other papers
properly presented, endorsing on each paper the
time when it was filed;
3. Attend all the sessions of the court;
4. Prepare minute of sessions to be entered in a
minute book kept by him. (Sec. 6, Rule 136, Rules
of Court)
192
 COURT RECORDS AND GENERAL DUTIES OF CLERKS AND STENOGRAPHERS

Q: What are the duties of clerks in general?

A:
1. The clerk shall safely keep all records, papers,
files, exhibits and public property committed to
his charge, including the library of the court, and
the seal and furniture belonging to his office (Sec.
7, Rule 136, Rules of Court);
2. Demand that the stenographer deliver notes of
the session of the court to him immediately after
each session (Sec. 17, Rule 136, Rules of Court).

Q: What are the duties of clerk in the absence of the

judge?

A: In the absence of the judge, the clerk may:

1. Perform all the duties of the judge in receiving
applications, petitions, inventories, reports;
2. Issue orders and notices(Sec. 5, Rule 136, Rules of
Court)

Q: What are the duties of the clerk by the direction

of the judge?

A: When directed to do so by the judge, clerk may:

1. Receive the accounts off executors,
administrators, guardians, trustees, and
receivers;
2. Receive all evidence relating to them, or to
the settlement of the estates of deceased
persons, or to guardianships, trusteeships, or
receiverships;
3. Transmit such reports, accounts, and
evidence to the judge, together with his
findings in relation to the same, if the judge
shall direct him to make findings and include
the same in his report.(Sec. 5, Rule 136,
Rules of Court)
4. Make out and sign letters of administration,
appointments of guardians, trustees and
receivers, and all writs and process issuing
from the court.(Sec. 4, Rule 136, Rules of
Court)

Q: What is the duty of the stenographer who has

attended a session of a court either in the morning
or in the afternoon?

A: It shall be the duty of the stenographer to deliver

to the clerk of court, immediately at the close of such
morning or afternoon session, all the notes he has
taken, to be attached to the record of the case.(Sec.
17, Rule 136, Rules of Court)

Note: Transcript of notes delivered to the clerk, must be

duly initialed on each page, to be attached to the record of
the case.
UNIVERSITY OF SANTO TOMAS
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 Judicial Ethics
LEGAL FEES
(RULE 141, A.M. NO. 04-2-04-SC)
MANNER OF PAYMENT
Q: When shall payment be made?
A: Upon the filing of the pleading or other application
which initiates an action or proceeding.
Q: What is the required manner of payment?
A: The fees prescribed shall be paid in full upon filing
of the pleading or application.
FEES IN LIEN
Q: What if the court awards a claim not alleged or
relief more than claimed in the pleading?
A: The amount shall be considered Fees in lien.
Where the court in its final judgment awards a claim
not alleged, or a relief different from, or more than
that claimed in the pleading, the party concerned
shall pay the additional fees which shall constitute a
lien on the judgment in satisfaction of said lien.
PERSONS AUTHORIZED TO COLLECT LEGAL FEES
Q: Who are the persons authorized to collect legal
fees?
A: Except as otherwise provided, these officers and
persons, together with their assistants and deputies,
may demand, receive, and take the several fees
hereinafter mentioned and allowed for any business
by them respectively done by virtue of their several
offices, and no more:
1. Clerks of the Supreme Court, Court of
Appeals, Sandiganbayan and Court of Tax
Appeals
2. Clerks of Regional Trial Courts
3. Clerks of Court of the First Level Courts
4. Sheriffs, process servers and other persons
serving processes
5. Notaries
6. Other officers taking depositions
The following persons are also entitled to receive
fees/ compensation under rule 141:
1. Stenographers
2. Witnesses
3. Appraisers
4. Commissioners in eminent domain
proceedings
UNIVERSITY OF SANTO TOMAS
2013 GOLDEN NOTES
5. Commissioners in the proceedings for
partition of real estate
Note: The persons herein authorized to collect legal fees
shall be accountable officers and shall be required to post
bond in such amount as prescribed by the law.
Q: What shall be the basis of the amount of fee in
filing an action or proceeding with the Court of Tax
Appeals?
A:
1. In an action or proceeding, including petition for
intervention, and for all services in the same –
amount of fee would be based on the:
a. Sum claimed or amount of disputed tax or
customs assessment, inclusive of interest,
penalties and surcharges, damages of
whatever kind and attorney’s fees
b. Value of the article of property in seizure
cases.
If the value of the subject matter cannot be
estimated – P 5,000.
2. Petition for review from a decision of the RTC or
of the Central Board of Assessment Appeals or a
special civil action with the CTA or an appeal
from a decision of a CTA Division to the CTA En
Banc – P3,000.00.
Q: What are the consequences if fees are not paid?
A: If the fees are not paid, the court may refuse to
proceed with the action until they are paid and may
dismiss the action or proceedings.
Q: What shall be the basis of the amount of fee in
filing permissive OR COMPULSORY counter-claim,
CROSS-CLAIM, money claim against an estate not
based on judgment, Third-party, fourth-party, etc.
complaint, complaint-in-intervention in the RTC ?
A: TOTAL SUM CLAIMED, Inclusive of Interests,
Penalties, Surcharges, Damages of whatever kind, and
Attorney’s Fees, Litigation Expenses and Costs
In cases involving REAL property in litigation it is
based on the fair market value as:
1. stated in the current tax declaration or
2. current zonal valuation of the bureau of
internal revenue, whichever is higher,
3. if there is none, the stated value of the
property in litigation
In case of PERSONAL property, the FAIR MARKET
value of the property in litigation as alleged by the
claimant.
194
 LEGAL FEES
Q: What is the basis for determining amount of fees
in personal actions in first level courts?
A: The value of the subject matter involved, or the
amount of the demand, inclusive of
interests, PENALTIES, SURCHARGES, damages of
whatever kind, attorney’s fees, litigation expenses
and costs.
Q: What is the basis for determining amount of fees
in real actions?
A: The FAIR MARKET value of the property:
1. Stated in the current tax declaration or
2. Current zonal valuation of the bureau of internal
revenue, whichever is higher, or,
3. If not declared for taxation purposes, the
estimated value thereof shall be alleged by the
claimant and shall be the basis in computing the
fees.
Q: Are there exemptions to these real actions?
A: Yes, Forcible entry and unlawful detainer. The
amount of fee would depend on whether damages or
costs are prayed for.
Q: Are Witnesses entitled to fees?
A: Yes. Witnesses in the Supreme Court, in the Court
of Appeals and in the Regional Trial Courts and in the
st
1 level courts, either in actions or special
proceedings, shall be entitled to P200.00 per day,
inclusive of ALL EXPENSES;
Fees to which witnesses may be entitled in a civil
action shall be allowed on the certification of the
clerk of court or judge of his appearance in the case.
Q: What are the Limitations?
A:
1. A witness shall not be allowed compensation for
his attendance in more than one case or more
than one side of the same case at the same time,
but may elect in which of several cases or on
which side of a case, when he is summoned by
both sides, to claim his attendance.
2. A person who is compelled to attend court on
other business shall not be paid as a witness.
Q: Who are exempt from payment of Legal Fees?
A:
1. Indigent litigants
2. Republic of the Philippines
195
Q: What is the rule with regard to Indigent litigants?
A: Indigent litigants are exempt from payment of
legal fees. However, the legal fees shall be a lien on
any judgment rendered in the case favorable to the
indigent litigant unless the court otherwise provides.
Q: What must the indigent litigant do to be entitled
to the exemption?
A: He must execute an affidavit that he and his
immediate family do not earn a gross income
abovementioned, and they do not own any real
property with the fair value aforementioned,
supported by an affidavit of a disinterested person
attesting to the truth of the litigant’s affidavit. The
current tax declaration, if any, shall be attached to
the litigant’s affidavit.
Any falsity in the affidavit of litigant or disinterested
person shall be sufficient cause to dismiss the
complaint or action or to strike out the pleading of
that party, without prejudice to whatever criminal
liability may have been incurred. (Sec. 19)
Q: What is the rule as to Republic of the Philippines?
A: The Republic of the Philippines, its agencies and
instrumentalities are exempt from paying the legal
fees provided in the rule.
Q: Does the exemption include Local government
and GOCCs?
A: No. Local governments and government-owned or
controlled corporations with or without independent
charters are not exempt from paying such fees.
However, all court actions, criminal or civil, instituted
at the instance of the provincial, city or municipal
treasurer or assessor under Sec. 280 of the Local
Government Code of 1991 shall be exempt from the
payment of court and sheriff’s fees.
Q: Are there exceptions in payment of mediation
fees?
A: Yes. The following are exempt from contributing to
the mediation fund:
1. Pauper litigant.
Note: However, the court shall provide that the unpaid
contribution to the Mediation Fund shall be
considered a lien on any monetary award in a
judgment favorable to the pauper litigant.
2. Accused-appellant
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
 Judicial Ethics

Q: What is the purpose of mediation fund?

A: The Fund shall be utilized for the promotion of

court-annexed mediation and other relevant modes
of alternative dispute resolution (ADR), training of
mediators, payment of mediator’s fees, and
operating expenses of the Philippine Mediation
Center (PMC) units including expenses for technical
assistance and organizations/individuals,
transportation/communication expenses,
photocopying, supplies and equipment, expense
allowance and miscellaneous expenses, whenever
necessary, subject to auditing rules and regulations.

Q: Will these fees form part of Judiciary

Development Fund?

A: No, the mediation fees shall not form part of the

Judiciary Development Fund (JDF) under P.D. No.
1949 nor of the special allowances granted to justices
and judges under Republic Act No. 9227.

The amount collected shall be receipted and

separated as part of a special fund to be known as the
“Mediation Fund” and shall accrue to the SC-PHILJA-
PMC Fund, disbursements from which are and shall
be pursuant to guidelines approved by the Supreme
Court.

UNIVERSITY OF SANTO TOMAS

2013 GOLDEN NOTES 196
 COSTS
COSTS
(RULE 142)
RECOVERY OF COSTS
PREVAILING PARTY
Q; How are Costs allowed to a Prevailing Party?
A: Costs shall be allowed to a prevailing party as a
matter of course. However, the court shall have
power, for special reasons, to adjudge that either
party shall pay the costs of an action, or that the
same be divided, as may be equitable (Sec. 1, Rule
142, Rules of Court)
Q: Can the Republic be adjudged to pay for Costs?
A: No, Costs shall not be allowed to the Republic of
the Philippines. (Sec. 1, Rule 142, Rules of Court)
Q: Is the Land bank of the Philippines liable to the
cost of suit in the performance of a governmental
function such as disbursement of agrarian funds to
satisfy awards of just compensation?
A: No, the Land Bank of the Philippines is in the
performance of a Governmental function in an
agrarian reform proceeding, hence, according to Rule
142, it is exempt from the payment of Cost of Suit.
(Land Bank of the Philippines vs. Esther Anson Rivera,
G.R. No. 182431, Nov. 17, 2010)
DISMISSED APPEAL OR ACTION
Q: If an Appeal has been dismissed, does the Court
still have power to render judgment for Costs?
A: Yes, if an Action or Appeal is dismissed, for want
of Jurisdiction or otherwise, the Court retains the
power to render judgment for Costs, as justice may
require. (Sec. 2, Rule 142, Rules of Court)
FRIVOLOUS APPEAL
Q: If an Appeal is deemed frivolous, what Costs will
be imposed?
A: Double or Treble Costs shall be imposed on the
plaintiff or appellant, which shall be paid by his
attorney, if so ordered by the Court. (Sec. 3, Rule 142,
Rules of Court)
Q: A vehicular accident between a Fuso truck owned
by Maglana Rice and Corn Mill and a Honda Accord
owned by Sps. Tan occurred on Aug. 28, 1996. Sps.
197
Tan filed a complaint in the MTCC which was
favored. The petitioners appealed, but RTC upheld
the MTCC. Petitioners further appealed to the CA,
which was denied for lack of merit. The MR being
also denied, hence the appeal to the Supreme Court.
The issue is whether or not the appeal is frivolous.
A: Yes, the rejection by CA indicated that the three
lower courts with legal capacity and official function
to resolve issues, all found the same set of facts. In
this recourse, the petitioners presented no ground
sufficient to persuade the court to warrant a review
of the uniform findings of fact. Given the
frivolousness of the appeal, the court imposes treble
costs of suit on the petitioners under Rule 142.
(Maglana Rice and Corn Mill Inc. vs. Annie L. Tan, G.R.
No. 159051, Sept. 21, 2011)
FALSE ALLEGATIONS
Q: Are there imposable Costs for False Allegations?
A: Yes, A False Allegation made without reasonable
cause and found untrue shall subject the offending
party to the reasonable expenses as may have been
necessarily incurred by the other part by reason of
such untrue pleading. The amount I fixed by the
Judge and taxed as costs. (Sec. 4, Rule 142, Rules of
Court)
NON-APPEARANCE OF WITNESSES
Q: If a Witness does not appear, who bears the cost
of such nonappearance?
A: If a Witness fails to appear at the time and place
specified in the subpoena issued by any inferior court,
the costs of the warrant of arrest and of the arrest of
the witness shall be borne by him, if the court
determines that his failure to answer the subpoena
was willful and without excuse. (Sec. 12, Rule 142,
Rules of Court)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW