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~ATENEO
() ~CENTRAL •
() I BAR OPERATIONS 20191

(i
JORGE ALFONSO C. MELO
:. ( I Bar Review Coordinator

Ir, l I
LEILA S. LIM
Bar Review Secretariat

(! ATENEO CENTRAL BAR OPERATIONS

PATRICK EDWARD BALISONG

Chairman

KATRINA Y. COSCOLLUELA JONATHAN VICTOR NOEL CZARINA CHER CUERPO

GENICA THERESE ENDALUZ JOHN STEPHEN PANGILINAN BENIGNO ENCISO
Administration Committee Academics Committee Heads Hotel Operations Committee
Heads Heads

FR. ISMAEL JOSE V. CHAN-GONZAGA Ill, S.J.

TANYAK. LAT
RICARDO PILARES, Ill

c RICHIE AVIGALE RAMOS-PILARES

ETHICS AND LEGAL FORMS Faculty Advisers

(_ i KESTER RIDGE GO BIAO

DANNAH MIKHAELA GALINDEZ
t) LAUREN ISABEL ONG
ETHICS AND LEGAL FORMS Subject Heads
()
EUNICE A. MALA YO
FRANCES CHRISTINE F. SAYSON
Central Bar Operations
Academics Understudies
(l
MARIANNE BARRAMEDA
() MARK GAMBOA
,,. ETHICS AND LEGAL FORMS Understudies

C7
NICA LAHOZ MICHAELA DEFENSOR LARA !SABEL PANGILINAN
(
'-. JONASJOSHCABOCHAN GENEVIEVE MANALAC HOSEA SALAZAR
ADA JOLINE ACAMPADO NIKOS NOEL CABRERA EILEEN LAURICIO
( ETHICS AND LEGAL FORMS Volunteers

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o TABLE OF CONTENTS
•
o l LEGALETHICS 1
PRELIMINARY MATTERS 1
A. PRACTICE OF LAW 2
·1. CONCEPT 2
2. QUALIFICATIONS FOR ADMISSION TO THE BAR 3
3. CONTINUING REQUIREMENTSFOR MEMBERSHIPIN THE BAR 5
Good Moral Character 5
a. Law Student Practice (Rule 138-A) 6
b. Non-Lawyers in Courts (MOC-LC) and Adminsitrative Tribunals 6
c. Proceedings where Lawyers are Prohibited from Appearing 7

5. Limitations on Appearance of Non-Lawyers Before the Courts 7

6. Public Officials and Practice Of Law and the practice of law; prohibitions and disqualifications 7
7. LAWYER'S OATH 10

B. DUTIES AND RESPONSIBILITIES OF A LAWYER 10

(l
1. DUTIES TO SOCIETY (CANONS 1-6) ------------------- 10
C• A.
B.
Respect for Law and Legal Processes
Efficient and Convenient Legal Services
11
12
() C.
D.
True, Honest, Fair, Dignified and Objective Information on Legal Services
Participation in the Improvement and Reforms in the Legal System
13
17
f) E. Participation in Legal Education Program 17
2. DUTIES TO THE LEGAL PROFESSION (CANONS 7-9) 17
o 3. DUTIES TO THE COURTS (CANONS 10-13) 24

() 4. DUTIES TO THE CLIENTS 33

A. Canons 14-22 33
() B. Attorney's fees 50
i. Acceptance fees 51
ii. Contingency Fee Arrangements 55
(} iii. Attorney's Liens 58
iv. Fees and Controversies with Clients 62
() v. Quatum Meruit 65

b C. SUSPENSION, DISBARMENT,AND DISCIPLINE OF LAWYERS 66

( 1. NATURE AND CHARACTERISTICS OF DISCIPLINARYACTIONS AGAINST LAWYERS 66

A. Suigeneris 66
B. Prescription 66
2. GROUNDS FOR DISCIPLINE 67
3. PROCEEDINGS 73
{_ 4. RECOVERABLE AMOUNTS; INTRINSICALLY LINKED TO PROFESSIONAL ENGAGEMENT_ 77
,. D. READMISSION TO THE BAR 78
" 1. LAVVYERS WHO HAVE BEEN SUSPENDED --------------- 78
2. LAWYERS WHO HAVE SEEN DISBARRED 78
e. MANDA TORY CONTINUING LEGAL EDUCATION 79

1.• PURPOSE~--------------------------79
2. REQUIREMENTS 79
3. COMPLIANCE 79
4. EXEMPTIONS 79
5. SANCTIONS 80
F. NOTARIAL PRACTICE (A.M. No. 02-8-13-SC, as amended) 81
1. QUALIFICATIONS(F21- GOODMORAL RESIDENT) 81
2. TERM OF OFFICEOF NOTARYPUBLIC 81
3. POWERSAND LIMITATIONS 82
4. NOTARIALREGISTER 86
5. Jurisdiction of Notary Public and Place of Notarization 88
6. COMPETENTEVIDENCEOF IDENTITY 88
7. SANCTIONS 88
8. RELATIONTO CODEOF PROFESSIONALRESPONSIBILITY 90
II. JUDICIAL ETHICS 91
A. Sources 91
1. NEW CODEOF JUDICIAL CONDUCTFORTHE PHILIPPINEJUDICIARY 91
2. Code of Judicial Conduct 92
B. RULE_ 137: DISQUAL/FICA TIONS OF JUSTICES AND JUDGES 115
1. Compulsory Disqualification 115
2. VOLUNTARYDISQUALIFICATION 115

C. DISCIPLINE OF MEMBERS OF THE JUDIGIARY 116

Ill. PRACTICAL EXERCISES 129

A. PRELIMINARYDISCUSSION 129
B. DEMANDAND AUTHORIZATIONLETTERS 133
C. SIMPLECONTRACTS:LEASEAND SALE 135
D. SPECIALPOWEROF ATTORNEY_ 143
E. VERIFICATIONAND CERTIFICATEOF NON-FORUMSHOPPING 146
F. NOTICE OF HEARINGAND EXPLANATIONIN MOTIONS 150
G. JUDICIAL AFFIDAVIT 152
H. NOTARIALCERTIFICATES: JURAT AND ACKNOWLEDGEMENT 158
I. MOTIONSFOR EXTENSIONOF TIME, TO DISMISSAND TO DECLAREIN DEFAULT 158
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o ATENEO CENTRAL
BAR OPERATIONS 2019 LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE

n r I. LEGAL ETHICS What are the main sources of legal ethics in the e

·, PRELIMINARY MATTERS
In
I ( )
LEGALETHICS
Definition of Legal Ethics
() Legal Ethics is the "branch of moral science which treats
of the duties which an attorney owes to the court, to his
client, to his colleaguesin the professionand to the public."
(Justice George Malcolm)
Terms
(} 1. Attorney- a person who is a member of the Philippine
Bar and who, by the warrant of another, practices law,
or who acts professionally in legal formalities,
negotiationsor proceedings, by authority of his client
2. Attorney ad hoc - a person appointed by the court to
defend an absentee defendant in the suit in which the
() appointmentwas made
3. Attorney-at-law - that class of persons who are
() licensed officers of U1e court empowered to appear,
prosecute, and defend, and upon whom peculiar
(; duties, responsibilities,and liabilities are developed by
law as consequence
Cr. 4. Attorney-in-fact- an agent whose authority is strictly
limited by the instrument appointing him. His authority
o- is provided in the special power of attorney or general
power of attorney or letter of attorney. He is not
(} necessarilya lawyer.
5. Attorney of Record - attorney whose name, together
with his address, is entered in the record of a case as
the designatedcounsel of the party litigant in the case
/ ' and to whom judicial notices relative thereto are sent
\ .J
(Rule 7, Section 5 Rules of Court)
6. Bar - the legal profession
7. Bench - the judiciary
8. Counsel - is an adviser, a person professionally
engaged in the trial or managementof a cause in court:
a legal advocate managing a case at law (Villegas v.
Legaspi, 113 SCRA 39, 1982)
9. Counsel de parte - an attorney retained by a party
litigant, usually for a fee, to prosecute or defend his
. cause in court
v. 10. Counsel de oficio - an attorney appointedby the court
I
to defend an indigent defendant in a criminal action or
\.) to represent a destitute party in a case. (Rule 138,
f
Section 31 Rules of Court)
u 11. Lawyer "of counsel" - an experienced lawyer, who is
usually a retired member of the judiciary, employed by
law firms or consultant
Philippines?
1. The Lawyer's Oath
2. The Code of ProfessionalResponsibility
3. Rule 138, Section 20 of the Rules of Court (Duties of
Attorneys)
Weight Given to Canons of professional Ethics
The Canons of Professional Ethics (hereinafter "CPE")
promulgatedby the Philippine Bar Association are binding
only on its members. However, the CPE can provide
guidance to the Bench and Bar, as the SupremeCourt has
cited some of its provisions with approval in a number of
its decisions (Form 28, appended to the Rules of Court as
revised on Oct. 25, 1979).
What are the specific duties of a lawyer under Section
20 of Rule 138 of the Rules of Court? (J's REDCOAT)
1. To counsel or maintain such actions or proceedings
only as appear to him as Just, and such defenses only
as he believes to be honestlydebatableunder the laws:
2. To observe and maintainthe Respect due to the courts
of justice and judicial officers;
3. 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;
4. In the Defense of a person accused of a crime, by all
fair and honorable means, regardless of his personel
opinion as to the guilt of the accused, to present every
defense that the law permits to the end that no person
may be deprived of life or liberty, but by due processof
law.;
5. To maintain inviolate the Confidenceand at every petil
to himself, to preserve the secrets in connectionwith
his client and to accept no compensationin connection
with his client's bu_siness except from him or with his
knowledge and approval;
6. Never to reject for any consideration personal to
himself, the cause of the defenselessor Oppressed;
7. To maintain Allegiance to the Republic of the
Philippinesand to support the Constitutionand to obey
the laws of the Philippines;
8. To employ, for the purpose of maintainingthe 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

PAGE 1 OF 164
 ATENEO CENTRAL
BAR OPERATIONS 2019 LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE

Significance of Legal Ethics (GRAAB) 3. Decide who will be admitted to practice;

1. Guard aqainst the abuses and ills of the profession 4. Discipline, suspend or disbar any unfit and unworthy
such as dishonesty, deceit, immorality, negligence, member of the Bar;
slothfulness, lack of diligence, and the many forms of 5. Reinstate any disbarred or indefinitely suspended
malpractice of the members of the Bar attorney;
2. Raise the standard of the legal profession, encourage 6. Ordain the integration of the Bar;
and enhance the respect for the law 7. Punish for contempt any person for unauthorized
3. Assure an effective and efficient administration of practice of law; and
justice 8. In general, exercise overall supervision of the legal
4. Assist in the keeping and maintenance of the law and profession.
order in coordination with the other departments of the
government A. PRACTICE OF LAW
5. Provides for the Basis for the weeding out of the unfit
1. Concept
and the misfit in the legal profession for the protection
2. Qualifications for admission to the Bar (Bar Matter No.
of the public
1153)
3. Continuing requirements for membership in the bar
SUPERVISION AND CONTROL OF THE LEGAL
4. Appearance of Non-Lawyers
PROFESSION
(a) Law student practice rule (Rule 138-A)
(b) Non-lawyers in courts and/or administrative
Regulation of the Practice of Law in the Philippines
tribunals
Section 5. The Supreme Court shall have the following
(c) Proceedings where lawyers are prohibited from
powers:
appearing as counsels
(5} Promulgate rules concerning the protection and
5. Prohibited practice of non-lawyers and appearance
enforcement of constitutional rights, pleading, practice,
without authority
and procedure in all courts, the admission to the practice
6. Public officials and the practice of law; prohibitions and
of law, the integrated bar, and legal assistance to the
disqualifications
underprivileged (PHIL. CONST. art. VIII, Sec. 5, Par. 5).
7. The Lawyer's Oath
8. Public officials and the practice of law; prohibitions and
Exclusive Power of t~e Court to admit Applicants to
disqualifications
the Practice of Law
9. The Lawyer's Oath
It is the primary and inherent prerogative of the Supreme
Court to render the ultimate decision on who may be
1. CONCEPT
admitted and may continue in the practice of law according
to existing rules. The admission, suspension, disbarment
Definition of the practice of law
and reinstatement of attorneys at law in the practice of the
Generally, to engage in the practice of law is to do any of
profession and their supervision have been disputably a
those acts which are characteristic of the legal profession
judicial function and responsibility. Congress may repeal,
(Cayetano v. Monsod, G.R. No. 10013, 1991, citing 111
alter and supplement the rules promulgated by this Court,
ALR 23).
but the authority and responsibility over the admission,
suspension, disbarment and reinstatement of attorneys at
The practice of law means any activity, in or out of court,
law and their supervision remain vested in the Supreme
which requires the app!ication of law, legal procedure,
Court. (!n Re: Cunanan, 94 Phil. 554, 1954).
knowledge, training and experience (Cayetano v. Monsod;
most recently reiterated in Arienda v. Monilla. A.M. No. P-
The practice of all professions in the Philippines shall be
11-2980, 2013) and calls for legal knowledge, training, and
iirnited to Filipino citizens, save in cases prescribed by law
experience for which a member of the bar has been
{Philippine Constitution Art. XII, Sec. 14, Par.2}.
prepared (Philippine Lawyer's Association v. Celedonio
Agrava, G.R. No. L-12426, 1959).
Scope of Power to Regulate the Practice of Law
The power to regulate the practice of law includes:
1. Authority to define practice of law;
2. Prescribe the qualifications of a candidate to and the
subjects of the bar examinations;

PAGE 2 OF 164
()
ATENEO CENTRAL
() BAR OPERATIONS 2019
n What are some factors determinative of engaging in
• the practice of law? (HACA)
(}
1. !:fabituality
implies customarily or habitually holding
oneself out to the public as a lawyer (People v.
Villanueva, G.R. No. L-19450, 1965);
2. Attorney-client relationship;
3. ~ompensation implies that one must have presented
himself to be in the active practice and that his
professional services are available to the public for
(
compensation, as a source of his livelihood or in
\ consideration of his said services;
4. Aµplication of law, legal principle, practice, or
( procedure calls for legal knowledge, training and
experience (Agpalo, Legal and Judicial Ethics, p. 38,
() 2009, citing Cayetano v. Monsod, Padilla Dissenting
opinion).
r of their rights and obligations;
Who may practice law?
{ Any person heretofore duly admitted as a member of the
bar, or hereafter admitted as such in accordance with the
( ·.:
provisions of this rule, and who is in good and regular
standing. (Sec. 1, Rule 138, Rules of Court hereinaft.er:
{ _;- ROC)
r· Practice of law is merely a Privilege, not a right
The practice of law is not a matter of right but merely a
privileg·e bestowed upon individuals who are not only
learned in the law but who are also known to possess good
r. morat character (Agpalo, Legal and Judicial Ethics, p. 41,
\.. i
2009);
r,
\ I
Law as a profession, not a business or trade
'\ It is a profession, not business; it is an essential part in the
administration of justice, a profession in pursuit of which
( pecuniary reward is considered as merely incidental. It is
not a moneymaking venture (Jayme v. Bua/an, G.R. No.
,
l. ' 37386, 1933).
A lawyer shall not do or permit to be done any act designed
primarily to solicit legal business (Rule 2.03, Code of
Professional Responsibility hereinafter: CPR).
Section 25 of Rule 127 expressly provides that the practice
of soliciting cases at law for the purpose of gain, either
personally or thru paid agents or brokers, constitutes
,.
malpractice (Director of Religious Affairs v. Bayot, A.C. No.
L-1117, 1944).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
What are the primary characteristics which distinguish
the legal profession from a business?
1. Duty of service, of which the emolument is a by-
product;
2. A relation as an 'Officer of court' to the administration
of justice involving thorough sincerity, integrity and
reliability;
3. A relation to clients in the Highest degree of fiduciary;
4. A Relation to 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 with their clients (Agpalo, Legal
and Judicial Ethics, p. 13, 2009).
General Coverage of Practice of Law
1. Legal Advice and Instructions to clients to inform them
2. Preparation of Documents requiring knowledge of legal
principles not possessed by ordinary layman;
3. Appearance for clients before public tribunals (Ulep v
Legal Clnic Inc, BM No 553, June 17, 1993);
4. Teaching law is considered practice of law because
the fact of their being law professors is inextricably
intertwined with the fact that they are lawyers [Re:
Letter of UP Law Faculty, A. M. 10-10-4-SC (20'11 )].
2. QUALIFICATIONS FOR ADMISSION TO THE BAR
Requisites for the Practice of Law
1. Admission to the Bar
2. Good and Regular Standing
Qualifications for the Admission to the Bar
Generally, every applicant for admission to the practice of
law must be (F21-Good-Resident)
1. filipino citizen;
2. At least 21 years of age;
3. Of Good moral character; and,
4. A Resident of the Philippines (/d. at Sec. 2).
He must also show that (MEBO}:
1. No charges of Moral turpitude are filed or pending
against him (Id.)
2. Possesses the required .§ducational qualifications
(including a 4-year pre-law degree in an authorized or
recognized university or college) (Id., at Secs. 5 & 6).
3. Must have already earned a Bachelor's Degree in Arts
or Sciences (pre-law);
4. Law course - completed courses in Civil Law,
Commercial Law, Remedial Law, Criminai Law. Public
International Law, Political Law, Labor and Social
PAGE 3 OF 164
 ATENEO CENTRAL
BAR OPERATIONS 2019
Legislation, Medical Jurisprudence, Taxation, Legal
• courses
Ethics; •
5. Pass the .§.ar examinations (Id., at Secs. 14 & 17);
6. Taken an Oath before the Supreme Court;
7. .§igned and registered in the Boll of Attorneys; and,
8. Qther qualifications as may be prescribed by the
Supreme Court (In Re: Cunanan, 94 Phil. 534, 1954).
Bar Matter No. 1153, amending Section 5 and 6 of Rule
138
Filipino graduates of Foreign Law schools may take
PH Bar
Amending Sections 5 and 6 of Rule 138 of the Rules of
Court, the Supreme Court now allows Filipino graduates of
foreign law schools to take the Phiiippine Bar, subject to
certain conditions.
Additional Requirement for Applicants for Admission
1. Completion of all courses leading to the degree of
Bachelor of Laws or its equivalent degree: Must
satisfactorily show that they have successfully
completed all the prescribed courses (i.e., 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);
2. Recognition and accreditation of law school by the
proper authority: Must have completed a degree of
Bachelor of Laws in a 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;
3. Completion of all fourth year subjects in the
Bachelor of Laws academic program in a law
school duly recognized by the PH Government.
Completion of a Separate Bachelor's Degree
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, 2010,
Re: Letter of Atty. Esietito P. Mendoza Proposing Reforms
in the Bar Examinations Through Amendments to Rules
138, Sec. 5 & 6, ROG).
A bachelor's degree alone, conferred by a law school upon
completion of certain academic requirements, does not
entitle its hoider to exercise the legal profession (Cui v. Cui,
G.R. No. 39773, 1934).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Effect of Not completing pre-law before taking up law
X concealed the fact that he had not completed, before
taking up law subjects, the required pre-legal education
prescribed. Passing such examinations is not the
only qualification to become an attorney-at-law; taking the
prescribed courses of leqal study in the regular manner is
equally essential (Diao v. Martinez, A.G. No. 244, 1963).
Duty of Court to 'Weed Out' Lawyers
It is the sworn duty of this Court not only to weed out"
lawyers who have become a disgrace lo the noble
profession of the law but, also of equal importance, to
prevent "misfits" from taking the lawyer's oath. The Court
recognized that X. although convicted in a criminal case, is
not inherently of bad moral fiber. Various certifications
show that he is morally fit to be a lawyer and is thereby
allowed to take the lawyer's oath (In Re: Argosino, B.M.
No. 712, 1997).
Effect of Representing Oneself as Lawyer whi!e not yet
a lawyer
Complainant alleges that X, while not yet a lawyer,
appeared as counsel for a candidate in a local elections
and even signed a pleading representing himself as a
lawyer. Possession of moral integrity is of greater
importance than possession of legal learning. The practice
of law is a privilege bestowed only on the morally fit. A bar
candidate who is morally unfit cannot practice law even if
he passes the bar examinations (Aguirre v. Rana, B.M. No.
1036, 2003).
Who may use the term 'Attorney'?
The term "attorney" is reserved for those who pass the
Philippine Bar. Those who only took and passed the
Shari'a Bar cannot use it. {Alawi v. Alauya, A.M. SOC-97-
2-P, 1997) The unauthorized use of the appellation
"attorney" may render a person liable for indirect contempt
of court (In Re: Petition to Take the Bar 8.M. No. 1209,
2003).
The title 'Attorney' is reserved to those who has
[have?]:
1. Obtained the necessary degree in the study of law;
2. Successfully taken the bar exams;
3. Admitted to the IBP;
4. Remain members thereof in good standing;
5. Been authorized to practice law in the Philippines.
PAGE 4 OF 164
 ,.-

0
ATENEO CENTRAL
C'; BAR OPERATIONS 2019 LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE

In Effect of Failure to Sign Roll of Attorneys 3. Oath of Allegiance to the Republic of the Philippines;
X failed to-Sign in the Roll of Attorneys allegedly because
I
i
< he had misplaced the Notice to Sign the Roll of Attorneys
4. Identification Certificate (IC) issued by the Bureau of
Immigration;
given by the Bar Office when he went home to his province 5. Certificate of Good Standing issued by the IBP;
for a vacation. Only after several years of practice did he 6. Certification from the IBP indicating updated
discover the Notice and realized that he had failed to sign payments of annual membership dues;
the roll. Practicing law while failing to sign the Roll of
7. Proof of payment of professional tax; and,
Attorneys will make the offender guilty of unauthorized
8. Certificate of compliance issued by the MCLE Office;
practice of law (In Re: Petition to Sign in the Roll of
9. Retaking of the lawyer's oath
Attorneys, B.M. No. 2540, September 24, 2013).
(In Re: Petition to Re-acquire the Privilege to Practice
Law in the Philippines, BM No. 2112, 2012).
3. CONTINUING REQUIREMENTS FOR
{ MEMBERSHIP IN THE BAR
Good Moral Character
(' Definition of Good Moral Character
What are the continuing requirements for membership
The court has defined good moral character as usomething
in the bar?
more than an absence of bad character. It is the good
( 1. Citizenship; name, which, the applicant has acquired, or should have
2. Good Moral Character; acquired, through association with his fellows. It means
3. Payment of professional Tax; that he must have conducted himself as a man of upright
4. Membership ln the IBP; character ordinarily would, or should. or does. Such
(;
5. Payment of IBP dues; character expresses itself in the will to do the unpleasant
6. Good and regular standing; thing if it is right, and the resolve not to do the pleasant
(.1
7. Compliance with the MCLE. thing if it is wrong (In Re: Al C. Argosino B.M. No. 712,
1995, citing 131 S.E. 661 [1926]). ·
···-:
Citizenship Requirement
General Rule: Th'e practice of all professions in the The non-disclosure of pending criminal cases in one's
Philippines shall be limited to Filipino citizens. save in petition to take the bar examinations is an act of
r cases prescribect by law ( Constitution, Art. XII, Sec. 14, concealment which constitutes dishonesty and speaks of
'\ .:
par.2). the petitioner's lack of the requisite good moral character.
It is also violative of Rule 7 .01 of the Code of Professional
Being a Filipino citizen is a "continuing requirement" for law Responsibility, which states that "a lawyer shall be
practice in the Philippines, and the loss of it automatically answerable for knowingly making a false statement or
means the termination of that privilege. [Petition to suppressing a material fact in connection with his
Resume Practice of Law of Dacanay, B.M. 1678 (2007)]. application for admission to the bar." The merit of the cases
against the petitioner is immaterial (/n the Matter of the
./ I Exception: Re-acquisition of the privilege to practice law Disqualification of Bar Examinee Haron S. Meling in the
\.i 2002 Bar Examinations, B.M. No. 1154, 2004).
in the Philippines under R.A. No. 9225 or the Citizenship
Retention and Reacquisition Act of 2003
....__/
: I

Hazing Cases -vis-a-vis Legal Ethics

A Filipino lawyer who became a citizen of another country
and later reacquired Filipino citizenship under R.A. No.
9225 remains a member of the Philippine Bar.
However, the right to resume the practice of law is not
automatic. R.A. No. 9225 provides that a person
reacquiring Filipino citizenship, who intends to practice law
in the Philippines, must apply with the Office of the Bar
Confidant for a license or permit to engage in such
practice, together with the following requirements:
1. Petition for reacquisition of Philippine citizenship;
2. Order for reacquisition of Philippine citizenship;
In the case of ln re Al C. Argosino (B.M. No. 712 [19951),
petitioner Argosino. along with 13 other individuals, was
convicted cf reckless imprudence resulting in homicide due
to his involvement in the fraternity hazing which resulted in
the death of Raul Camaligan. While his application for
probation was granted and he was allowed to take the
1993 bar examinations (which he passed), his petition to
take the Lawyer's Oath and to sign the Roll of Attorneys
was denied. The Supreme Court eventually allowed him to
take the Lawyer's Oath when he presented proof of the
required moral character.

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ATENEO CENTRAL
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In the ecy;e of Villareal vs. People, Lenny Villa died during
the initiation rites of the Aquila Legis fraternity. Of the thirty-
five (35) accused and charged for his death, five were
found guilty beyond reasonable doubt of reckless
imprudence resulting in homicide. They were ordered to
serve a maximum term of 4 years and 2 months of prision
correctional ( Consolidated cases of Villareal vs. People of
the Philippines, G.R. No. 151258, People vs. Court of
Appeals, G.R. No. 154954, Dizon vs. People, G.R. No.
155101, and Villa vs. Escalona, G.R. Nos. 178057 and
178080, 2012).
Prohibitions and Limitations in the Practice of Law
1. Appearance of non-Lawyers in Court;
2. Practice of Law by Public Officials;
3. Practice of Law by a Corporation.
4. APPEARANCE OF NON-LAWYERS IN COURTS
General Rule: Non-lawyers cannot practice law.
Exceptions: Non-lawyers may appear in certain.cases:
a. Law Student Practice (Rule 138-A)
Legal Aid Program
A senior law student, who is enrolled in a recognized law
school's . cfinical education program approved ·by the
Supreme Court, may appear before any court without
compensation, to represent indigent clients, accepted by
the Legal Clinic of the law school (Rule 138-A, Section 1,
ROC).
Must· be Under the Direct Supervision & Control of an
IBP Member
The student shall be under the direct supervision and
control of an IBP member duly accredited by the law
school.
Rule on who Signs the Documents
All papers to be filed must be signed by the supervising
attorney for and in behalf of the legal clinic (Id. at Section
2).
Applicability of Rule on Privileged Communications
The rule on privileged communications applies to
communications made to or received by the law student
acting for the legal clinic (Id. at Section 4).
Personal Conduct of Law Student
The law student must comply with the standards of
professional conduct governing members of the Bar. The
supervising attorney's failure to provide adequate
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
supervision of student practice may be a ground for
disciplinary action (Id. at Section 34).
b. Non-Lawyers in Courts (MOC-LC) and
Adminsitrative Tribunals
1. In cases before the MTC, a non-lawyer may represent
himself as a party to the litigation, in-person OR through
an agent or friend appointed by him for that purpose
(Agpa/o, Legal and Judicial Ethics, p. 43, 2009; Sec.
34, Rule 138, ROC).
2. Before any Other court, they may also appear as a
party to the litigation or in person (Id.). Thus, a fourth
year law student may seek lo enter his appearance for
and on his own behalf as plaintiff in a civil case NOT
because of Rule 138-A but because of Section 34 of
Rule 138 ( Cruz v. Mijares, G.R. No. 154464, 2008).
3. In Criminal cases 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 (1) a resident
of the province (2) of good repute for probity and ability
to aid the accused in his defense ( Section 7, Rule 116,
ROG).
4. They may also appear before the Cadastral Court
( Section 9, Cadastral Act, Act 2259).
Does a person have the right to represent himself in
civil cases?
Yes. An individual litigant has the right to conduct his
litigation personally in civil cases (Rule 138, Section 34
ROG).
Can a person represent himself in criminal cases?
Yes, except in criminal cases involving grave and less
grave offenses, an accused who is a layman must always
appear by counsel. He cannot conduct his own defense,
as his right to counsel may not be waived without violating
his right to due process of law (People v. Holgado, G.R.
No. L-2809, 1950).
Administrative Tribunals
Non-Lawyers before the DARAS
A non-lawyer may represent a party before the Department
of Agrarian Reform Adjudication Board (DA-RAB) (2009
DA- RAB Rules of Procedure, Rule VIII, Section 1).
Non-Lawyers before the NLRC or LA
Non-lawyers may also appear before the NLRC or any
Labor Arbiter if (1) they represent themselves, (2) they
represent their organization or members thereof or (3) they
are duly accredited members of any legal aid office duly
recognized by the DOJ or the IBP in cases referred to the
latter (Article 222, Labor Code, P.O. 442, as amended).
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o Procedure when Non-Lawyers Represent a Party Hence, lawyers engaged in government service are also
Before the HLURB • governed by the Canons and Rules in the Code of
() A non-lawyer who represents a party shall attach to the Professional Responsibility (Canon 6, Code of
pleading a special power of attorney authorizing such Professional Responsibility; Pineda, p. 100). They are
() person to file the case and an affidavit duly executed by expected to be more sensitive to their professional
the party represented stating the reasons why such person obligation because their conduct may be scrutinized by the
\) was authorized (Sec. 11(b), Rule 3, 2011 Revised Rulss of public eye. (Report cf IBP Committee, p. 30).
Procedure of the HLURB, Res. No. 871).
( ·~
Public Officials Who Cannot Practice Law or With
c. Proceedings where Lawyers are Prohibited Restrictions
r 1.
from Appearing
Small claims (The Rule of Procedure for Small Claims
General Rule: Public officials and employees are
prohibited from engaging in the private practice of law
(J Cases, A.M. 08-8-7-SC) except when the lawyer during their term.
himself is the plaintiff or defendant, but under no
(; circumstances can he appear as a representative or Exception: If authorized by the Constitution or law, and
attorney-in-fact of the party; provided such practice shall not interfere in the
() 2. Proceedings which involve a conflict of interest for the performance of his duties. (R.A. 6713, Sec. 7 [b] (2)).
lawyer (Mejia v. Reyes. A.C. No. 378, 1962);
3. In Katarungang Pambarangay proceedings; Lawyers in government service cannot handle private
4. Lawyers who are members of Congress are prohibited cases for they are expected to devote themselves full-time
(.) from appearing before any court of justice, before the to the work of their respective offices. (Ramos v. lmbang,
Electoral Tribunals, and quasi-judicial and other A. c. 6788, 2007).
r .
\.) administrative bodies {Section 14, Article VJ, 1987
Philippine Constitution). Although the Commission allows CHR lawyers to engage
() in private practice, a written request and approval thereof,
5. LIMITATIONS ON APPEARANCE OF NON- with a duly approved leave of absence for that matter are
LAWYERS BEFOR1: THE COURTS indispensable (Yumol v. Fe"er, A. C. No. 6585, 2005; See
1. He must confine his work to non-adversary Rule XVJ/1, Section 12, Revised Civil Service Rules, cf.

'
')
,.
contentions. He should not undertake purely legal work
such as the examination of cross-examination of
\.r)_ witnesses, or the presentation of evidence;
2. His services should not be habitually rendered; and
(_; 3. He should not charge or collect attorney's fees (PAFLU
v Binalbangan lsabela _Sugar, GR No. 23959,
(_. November 29, 1971).
(J 6. PUBLIC OFFICIALS AND PRACTICE OF LAW AND
THE PRACTICE OF LAW; PROHIBITIONS AND
b DISQUALIFICATIONS
Prohibitions or disqualification of former government
attorneys
The Canons shall apply to lawyers in government services
in the discharge of their tasks. ( Canon 6)
I 4. Officia!s and employees of the OSG (Id.);
'-.
A lawyer shall not, after leaving government service,
I
accept engagement or employment in connection with any
\.
matter in which he had intervened while in said service
f (Rule 6.03).
'\
A lawyer does not shed his professional obligations upon
assuming public office (Report of IBP Committee, p. 30).
Memorandum Circular No. 17, s. 1986 and Special Rules
governing members of the judiciary. See Rule 1 :J.8, Sec.
35, ROG vis- a-vis RA 6713, Sec. 7 (b) (2)).
Persons who are Absolutely Prohibited from
Practicing Law
The following public officials are not allowed to engage in
the private practice of law in the Philippines: (PRESIDENT-
JJOGS-CCOG)
1. PRESIDENT, Vice-President, members of the cabinet,
their deputies and assistants (Art. VIII, Section 15,
1987 Constitution);
2. Members of the Judicial Bar Council (CONST. Art IX-
A, Sec. 2);
3. Judges and other officials as employees of the
Supreme Court (Rule 138, Sec. 35, ROC);
5. Government prosecutors (People v. Villanueva);
6. Those prohibited by Special law {See Sec. 7(b) & 11,
R.A. 6713);
7. Chairman and Members of the Constitutional
Commission (Section 2, Art IX-A, 1987 Constitution);
8. Civil service officers or employees whose duties
require them to devote their entire time at the disposal

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of the governme'lt (Catu v Rellosa, AC No. 5738,
February 19,2008); • he may, in an isolated case, represent a relative or a close
9. Qmbudsman and his deputies (Art. IX, Section 8, 1987
Constitution);
10. All §overnors, city and municipal mayors ( Section
90(a}, Local Government Code).
Persons who are NOT Absolutely Prohibited
Public officials who are allowed to engage in the private
practice of law, subject to certain restrictions:
1. Members of Congress - No Senator or member of the
House of Representative may personally appear as
counsel before any court of justice as before the
Electoral Tribunals, as well as quasi-judicial and other
administrative bodies (Article VI, Section 14, 1987
Philippine Constitution). However, they are allowed to
engage in other aspects of the law practice such as
giving of legal advice to clients, negotiating contracts in
behalf of clients which necessitates legal knowledge
and similar others.
2. Sanggunian Members - 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; oR
(d) Use property and personnel of the government
EXCEPT · when the Sanggunian member
concerned is defending the interest of the
government ( Section 91, Local Government
Code).
3. Retired justice or judge - A retired justice or judge
receiving pension from the government cannot act as
counsel in any civil case in which the Government, or
any of its subdivision or agencies, is the adverse party
or in a criminal case wherein an officer or employee of
the Government is accused of an offense in relation to
his office (Sect10n 1, RA 910, as amended).
4. Civil Service Officers of Employees - Civil officers
or employees need to secure a written permit from the
head of the department concerned, unless such official
is expressiy prohibited from practicing law (Zeta v
Malinao, AM No P220, December 20, 1978).
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
But if such official is authorized by the department head,
family friend (Noriega v, Sison, AM No. 2266, October 27,
1983).
PRACTICE OF LAW BY A CORPORATION
A corporation cannot practice law directly or indirecUy by
• employing a lawyer to practice for it or to appear for others
for its benefit (Rule 138. Sec. 1 , ROC).
However it may hire an attorney to attend to and conduct
its own legal business and affairs (AGPALO).
Reasons why Corporation not Allowed to Practice Law
1. The intervention of the corporation is destructive of the
privilege and of the confidential and trust relation
between attorney and client.
2. A corporation cannot perform the conditions required
for membership in the Bar.
UNAUTHORIZED PRACTICE OF LAW
What constitutes unauthorized practice of law?
1. Non-lawyers (not falling under any of the exceptions)
appearing in courts;
· • 2. Government lawyers who engage in the practice of law
during their service in government when they are
expressly prohibited form doing so;
• 3. Government lawyers who are not expressly prohibited
from practicing law but who fail to secure the necessary
permission from their head of agency;
4. Lawyers who engage in the practice while suspended
or disbarred.
Sanctions for Unauthorized Practice or Appearance
1. Lawyers without Authority : A lawyer who appears
without proper authority from a client is liable for
contempt as an officer of the court who misbehaved in
his official transactions (Rule 138, Section 25, ROC)
2. Non-Lawyers: A non-lawyer who practices law is guilty
of illegal practice of iaw (Zeta v. Malinao, Adm. Case
No. P-220, 1978). In addition, he may be liable for
indirect contempt for assurning to be an attorney or an
officer of a court, and acting as such without authority
(Rule 71, Section 3[e], ROG). He can also be criminally
prosecuted for such false representation.
What are the remedies against unauthorized practice
of law? (Contempt-DIED)
1. CONTEMPT of court (Rule 71, Section 3(e), ROC)
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() a Qisqualification and complaints for disbarment (Rule Code, it is the municipal legal officer, or in the absence
138, Section 27, ROC) • of one, the provincial attorney, who must represent a
( ) 3. Petition for Injunction (Ulep v. The Legal Clinic, B.M. municipality in court cases. Being a special law on the
No. 553, 1993) issue of representation in court that is exclusively made
4. Criminal complaint for gstafa against a person who applicable to LGUs, the LGC must prevail over the
falsely represented to be an attorney to the injury of a provisions of the Administrative Code (defining the
party (Saladaga v. Astorga, A.G. No. 4697, 2014). duties and responsibilities of the OSG (OSG v. CA,
5. Qeclaratory relief (Que v. Revilla J1., A.C. No 7054, G.R. No. 199027, 2014).
2009)
2. Deputized Agent - The Sol. Gen. may deputize other
{
government officials in the prosecution of its cases. In
'· Remedies available against Unauthorized Practice of
such cases, notice to the deputized agent will not bind
r: Law
i • the Sol. Gen. until notice is actually received by the Sol.
NON- Gen. But when a government agency which the Sol.
( ) REMEDY LAWYERS
LAWYERS Gen. is tasked to represent appears through its
internal counsel, then notice to such internal counsel
r ''
I Petition for Injunction is deemed notice to the Sol. Gen. (Commissioner of
J J Customs v. CA, G.R. No. 132929, 2000).
{ I
\. j
Contempt of Court J J 3. Private Lawyer hired by GOCC - A GOCC may also
c. Disqualification and
engage the services of a private lawyer, provided that
the following indispensable conditions are met (1)
J
CJ complaint for disbarment private counsel can only be hired in exceptional cases;
(2) the GOCC must first secure the written conformity
( ·, and acquiescence of the Sol. Gen. or the OGCCi. as the
'~ i Declaratory relief J case may be; and (3) the written concurrence of the
. COA must also be secured (Vargas, et al. v. lgnes, A. C.
Administrative complaint J No. 8096, 2010).
ahainst erring lawyer or
goverment official
.
Discipline of Lawyers in Government Service :
l)
\..
General Rule: A lawyer who holds public office may not
Criminal complaint for be disciplined as a member of the bar for misconduct in the
J
() Estafa for falsely discharge of his duties as a government official.
rerpresenting himself to
{. be an attorney Exception: The misconduct constitutes a violation of his
'·. duties as a lawyer (0/azo v. Justice Tinga, A.M. No. 10-5-
7-SC, 2010).
Lawyers authorized to represent the government
Asay person appointed to appear for the Government of the Misconduct in office as a public official may be a ground
Philippines in accordance with law is authorized to for disciplinary action if it is of such character as to affect
represent the government (Rule 138, Section 33, ROC). his qualification as lawyer or to show moral delinquency.

General Rule: It is the Office of the Solicitor General (Sol.
Gen.) that represents the government in cases involving er
affecting il For cases involving government-owned or
controlled corporations (GOCCs), it is generally the Office
of the Government Corporate Counsel (OGCC) that
appears.
Disbarment cannot be used as a means of unseating or
ousting a public official, especially where admission to the
bar is one of the requisites for holding public office. For
example, the ombudsman cannot be disbarred since it is a
constitutional requirement that he or she must be a lawyer.

Exceptions:
1. Municipal Legal Officer - However, the OSG cannot
be directed to file a pleading on behalf of a Municipality.
Based on Section 481 (b )(3 )(i) of the Local Government
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7. LAWYER'S OATH
Lawyer's Oath not a Mere Ceremony
The lawyer's oath is not a mere ceremony or formality for
practicing law. Every lawyer should at all times weigh his
actions according to the sworn promises he makes when
taking the lawyer's oath. If all lawyers conducted
themselves strictly according to the lawyer's oath and the
Code of Professional Responsibility, the administration of
justice will undoubtedly be faster, fairer and easier for
everyone concerned fin re: Argosino, A.M. 712 (1997)].
"I. , do solemnly swear that I will
maintain allegiance to the Republic of the Philippines;
I will support its constitution and obey the laws as well as
the legal orders of the duly constituted authorities therein;
I will do no falsehood, nor consent to the doing of any in
court;
I will not willingly nor wittingly 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 t>est of my knowledge
and discretion, with all good fidelity as well to the court as
to my clients
and I impose upon myself these voluntary obligations
without any mental reservation or purpose of evasion. So
help me God.
---- end of topic----
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
B. DUTIESAND RESPONSIBILITIES OF A
• LAWYER
1. To society (Canons 1-6)
(a) Respect for law and legal processes
(b) Efficient and convenient legal services
(c) True, honest, fair, dignified .and objective information
qn legal services
(d) Participation in the improvement and reforms i11 the
legal system
( e) Participation in legal education program
2. To the l~gal profession (Canons 7-9)
3. To the courts (Canons 10-13)
4. To the clients
(a) Canons 14-22
{b) Attorney's Fees
i. Acceptance fees
ii. Contingency fee arrangements
iii. Attorney's liens
iv. Fees and controversies with clients
v. · Quantum meruit
What are the four-fold duties of a lawyer? (SPCC)
1. .§.ociety/Public (Canons 1-6) - Lawyer should not
violate his responsibility to society, exemplar for
uprigt:lteousness, ready to render legal aid, foster social
reforms: guardian of due process, aware of special role
in the solution of special problems and be always ready
to lenGt assistance in the study and solution of social
problems;,
2. The legal J!rofession (fellow lawyers) (Canons 7-9)-
Candor, fairness, courtesy and truthfulness, avoid
encroachment in the business of other lawyers, uphold
the honor of the profession;;
3. ~ourt (Canons 10-13) - Respect or defend it against
criticisms, uphold authority and dignity, obey its orders
and processes, assist in the administration of justice;
and
4. ~lient (Canons 14-22) - Entire devotion to client's
interest ( See Cruz v. Alino-Hormachue/os, A.M No. CA-
04-38, 2004).
1. DUTIES TO SOCIETY {CANONS 1-6)
General Overview
The primary duty of a lawyer to the society or the State is
to maintain allegiance to the Republic of the
Philippines, uphold the Constitution and obey the laws
of the land (Lawyer's Oath; Rule 138, Sec. 20, ROC;
Canon 1 of the CPR; Montecillo v. Gica, 60 SCRA 234,
1974).
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While the duty.to uphold the Constitution and obey the law
is an obligation imposed on every citizen, • a lawyer
assumes responsibilities well beyond the basic
requirements of good citizenship. As a servant of the law.
a lawyer likewise entrusted w the administration of law and
the dispensing of justice (Sama/a v. Valencia, Adm. Case
No. 5439, 2007 & Lee v. Tambango, A.G. No. 5281, 2008).
A. Respect for Law and Legal Processes
Duty to Uphold the Constitution and Obey the Law
Basis: Canon 1 - A Lawyer shall uphold the Constitution,
obey the laws of the land and promote respect for law and
legal processes.
' Duty Not to Engage in Unlawful Conduct
r '
: I
Basis: Rule 1.01 of the CPR provides that a lawyer "shall
not engage in unlawful, dishonest, immoral or deceitful
conduct."
Unlawful conduct
An act or omission which is against the law. The law
transgressed or violated need not be a penal law. The
I presence of evil intent on the part of the lawyer is not
\.
essential in order to bring his act or omission within the
,r '\ terms of this Ruh~ (Samson v. Resttivera G.R. No 178454,
I.
2011).
Dishonest Act
A dishonest' act is an act which characterizes the absence
of integrity; a disposition to cheat, deceive, defraud, or
betray (Balasbas v. Monayao G.R. No 190524, 2014).
Immoral or deceitful conduct
Conduct that involves moral turpitude, and includes acts
done contrary to justice, modesty or good morals amongst
others (In re: Basa, 41 Phil. 275, 1920).
\ .
Grossly immoral conduct
Conduct which is willful, flagrant, or shameless and which
shows a morai indifference to the opinion of the good and
respectable members of the community (Arciga v.
Manfwag, "106 SCRA 591, 1981). it is so corrupt and false
as to constitute a criminal act or so unprincipled or
disgraceful as to be reprehensible to a high degree (Reyes
V. Wong, A.M. No. 547, 1975).
Moral turpitude
Anything which is done contrary to justice, honesty,
modesty or good morals (R11/e 138, Sec. 27. Rules of
Court), or to any act of vileness, baseness or depravity in
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
the private and social duties that a man owes his
fellowmen or to society, contrary to the accepted rule of
right and duty between man and man (In re Gutierrez, A.M.
No. L-363, 1962).
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 Rule 1.01 which specifically prohibits lawyers from
engaging in unlawful conduct (Re: Financial Audit of Atty.
Raquel G. Kho, A.M. No. P-06-2177, 2007).
When Atty. X attempted to purchase illegal drugs, a
question affecting his standing as an attorney of law arose.
Atty. X argued that the act complained of was not
committed in the exercise of his profession and therefore
cannot constitute a ground for disciplinary action. However,
the Supreme Court ruled otherwise: As good character is
an essential qualification for admission of an attorney to
practice, when the attorney's character is bad in such
respects as to show he is unsafe and unfit to be entrusted
with the powers of an attorney, the court retains the power
to discipline him (Piatt v. Abordo, 58 Phil 350, 1933).
Moral Character v. Good Reputation
Moral character is the objective reality of what a· person
really is while good reputation is the opinion of the public
generally entertained of a person or the estimate in which
he is held by the public where he is known (Royong v.
Ob/ma, AC No 376, April 30, 1963).
Duty Not to Counsel Illegal Activities
Basis: 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.
Nor should he subvert the law by counseling or assisting in
activities which are in defiance of the law (Comments of
IBP Committee that drafted the Code. p. 5). Hence, he
should not promote nor assist organizations which violate
the law.
Lawyer's Advise to Beg and Cry as Violation of Rule
A lawyer who advised her clients and their relatives to
approach the judge and fiscal to "beg and cry" so that their
motions would be granted and their c.ases against them
would be dismissed, violates Rule 1.02 of the CPR. Judges
must be free to judge, without pressure or influence from
external forces or factors according to the merits of the
case (Arreola v. Mendoza, A.G. No. 10135, 2014).
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Nature of Lawyer's Transactions • This rule aims to prevent barratry and ambulance chasing.
A lawyer is not barred from dealing with his client but the
business transaction must be characterized with utmost
honesty and good faith. No presumption of innocence or
improbability of wrongdoing is considered in an attorney's
favor (Chua v. Mesina, Jr., A.C. No. 4904, 2004).
Lawyers Proposing Remedies contrary to Law
Thus, a lawyer who proposes to his client a recourse or
remedy that is contrary to law, public policy, public order,
and public morals, or that lessens the public confidence in
the legal system is guilty of gross misconduct. and should
be suspended from the practice of law, or even disbarred
(Coronelv. Cunanan,A.C.No. 6738, 2015).
Atty. X prepared and notarized illegal lease contracts in
favor of aliens who sought to own private lands in the
Philippines. Atty. X argued that he cannot be held liable
since he was only performing his clients wishes by
preparing documents that reflected their true agreements.
In preparing and notarizing the illegal lease contracts, Atty.
X violated the Attorney's Oath and several canons of the
Code of Professional Responsibility. One of the foremost
sworn duties of an attorney-at-law is to "be the law of the
Philippines. n This duty is enshrined in the Attorney's Oath
and in Canon 1. A plain reading of these contracts clearly
shows that they violate the law limiting the lease of private
lands to aliens for a period of 25 years fKupers v.
Hontanosas, A.G. No. 5704, 2009).
Atty. X advised a foreign national that the latter was eligible
to own real property in the Philippines. Wtien the foreign
national found out that a prohibition ofin ownership of real
property existed, a complaint for disbarment was lodged
against Atty. X. The Supreme Court ordered Atty. X's
disbarment, ruling in the wise: Lawyers, as members of a
noble profession, have the duty to promote respect for the
law and uphold the integrity of the bar. Thus, a lawyer who
leads a foreign national to believe he may validly acquire
land in the Philippines has committed a serious breach of
his oath as a lawyer. He showed disrespect for the
Constitution and gross ignorance of basic law. Worse, he
prepared spurious documents that he knew were void and
illegal. A lawyer who resorts to nefarious schemes to
circumvent the law poses a clear and present danger to the
rule of law and the legal system ( Stemmerik v. Mas, A. C.
No. 8010, 2009).
Duty Not to Encourage Lawsuits
Basis: Rule 1.03 - A lawyer shall not, for any corrupt
motive or interest, encourage any suit or proceeding or
delay any man's cause.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
•
Barratry or 'Maintenance'
Defined as "an offense of frequently exciting and stirring up
quarrels and suits, either at law or otherwise." (4 Bia. Com.
134; Co. Litt. 368.) It is the lawyer's act of fomenting suits
among individuals and offering his legal services to one of
them for monetary raotlves of purposes.
The offense of inciting or stirring up quarrels, litigation or
groundless lawsuits, either at law or otherwise [Bouvier]
1. Voiunteering advice to bring lawsuits, except where ties
of blood, relationship or trust make it a duty to do so
2. Hunting up defects in titles or other causes of action in
order to be employed to bring suit or breed litigation
Ambulance chasing
The solicitation of almost any kind of legal business by an
attorney, personally or through an agent, in order to gain
employment (Linsangan vs. Tolentino, A. C. No. 6672,
2009).
Ambulance Chasing and Barratry, Distinguished
AMBULANCE CHASING BARRATRY
Refers to personal'mjury Refers to any action
Refers to cases Brought Refers to suits before
before judicial bodies judicial or non- judicial
bodies
Duty to Encourage Amicable Settlements
Basis: Rule 1.04 of the CPR states that a lawyer "shall
encourage his clients to avoid, end or settle a controversy
if it will admit of a fair settlement. n He should serve as a
mediator for compromises rather than an instigator of
controversies or conflicts (De Ysasi v. NLRC, G.R. No.
104599, 1994).
Rule 15.04 - A lawyer may, with the written consent of
all concerned, act as mediator, conciliator, or arbitrator
in settling disputes.
B. Efficient and Convenient Legal Services
Bases:
CANON 2 - A Lawyer shall make his legal services
available in an efficient and convenient manner compatible
with the independence, integrity and effectiveness of the
prof ession,
PAGE 12 OF 164
 ••
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() Rule 2.01 A lawyer shall not reject, except for valid
; !
reasons, the cause of the defenseless or the oppressed.
It is the prime duty of a lawyer to see to it that justice be
accorded to all without discrimination. If the party is without
means to employ an attorney and the services of a lawyer
are necessary to protect such parties' right, the lawyer
assigned has to render effective legal services until the
court excuses him {Agpalo, Legal and Judicial Ethics,
2009).
A LaVtt-yer shall not refuse to render legal advice
Rule: A lawyer shall not reject, except for valid reasons,
the cause of the defenseless or oppressed (Rule 2.01).
Even if a lawyer does not accept because of a valid reason,
he shall not refuse to render legal advice to the person
(
concerned if only to the extent necessary to safeguard
latter's rights (Rule 2.02).
Instances when Layer can Refuse
However, the lawyer can refuse to represent an indigent
client:
1. If he is in no position to carry out the work effectively or
competently, or
2. If he labors under a conflict of interest between him and
a prospective, or between a present client and the
prospective client (Rule 14.03, CPR).
Rule 2.02 In such cases, even if the lawyer does not
accept a case, he shall not refuse to render legal advice to
the person concerned if only to the extent necessary to
safeguard the latter's rights.
Advice on Preliminary Steps to Take
Advice may be on what .preliminary steps to take until the
client has secured the services of counsel. But he shall
refrain from giving legal advice if the reason for not
accepting the case is that there involves a conflict of
interest between him and a prospective client or between
a present client and a prospective client (Agpalo, 2004).
Rule 2.03 A lawyer shall not do or permit to be done any
act designed to primarily solicit legal business.
A Lawyer Shall Not Solicit Legal Business
The law absolutely prohibits lawyers from soliciting cases
for the purpose of gain, either personally or through paid
agents or brokers, which constitutes malpractice. (Rule
138, Sec. 27, ROG) Also. a lawyer should shall not do or
permit to be done any act designed primarily to solicit legal
business (Rule 2.03, CPR).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Practice of Soliciting Cases
• Law is not a business but a profession. Unlike a
businessman, the lawyer has:
1. Relation to the administration of justice involving
sincerity, integrity and reliability as an officer of the
court;
2. Duty of public service;
3 .• Relation to clients with the highest degree of fiduciary;
4. Relation to colleagues at the bar characterized by
candor, fairness and unwillingness to resort to business
methods of advertising and encroachment on their
practice, or dealing directly with their clients (Agpalo
{2004)].
Thus, the practice of soliciting cases at law for the purpose
of gain. either personally or through paid agents or brokers,
constitutes malpractice (Sec. 27, Rule 138].
C. True, Honest, Fair, Dignified and Objective
Information on Legal Services
Bases:
CANON 3 - A lawyer in making known his legal services
shall use only true, honest, fair. dignified, and objective
information or statement of facts.
Rule 3.01 -A lawyer shall not use or permit the use-of any
false, fraudulent, misleading, deceptive, undignified, self-
laudatory or unfair statement or claim regarding his
qualifications or legal services.
A Lawyer Cannot Advertise His Talent
Advertisements are not allowed. The most worthy and
effective advertisement possible is the establishment of a
well-merited reputation for professional capacity and
fideliey to trust (Canon 27, Canons of Professional Ethics;
In re: Tagorda, G.R. No. 32329, (1929)).
A lawyer cannot advertise his talent as a shopkeeper
advertises his wares (In Re Tagorda, 54 Phil. 37, 1929). A
lawyer is a member of an honorable profession whose
primary purpose is to render public service and help secure
justice and in which remuneration ls a mere incident
(Canon 12, CPE).
What acts are considered indirect advertisements?
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.
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The rule on advertisements is not Absolute. • Prohibited
The following are considered permissible
advertisements: (Yellow Legal RACE)
1. Yellow pages/telephone directories containing the firm
name, addresses and contact numbers
2. Advertisements or announcement in any Legal
publication, including books, journals, and legal
magazines.
3. Reputable law lists, in a manner consistent with the
standards of conduct imposed by the canons, of brief
biographical and informative data, are allowed (Ulep v.
Legal Clinic, inc., B.M. No. 553, 1993).
4. A simple ~nnouncement 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 (Id.).
5. Ordinary simple professional ~ard. 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 (Id.).
6. Advertisements or simple announcement of the
gxistence 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.
Writing Legal Articles
A lawyer may, with propriety, write articles for publications
in which he gives information upon the law; but he should
not accept employment from such publications to advise
inquiries in respect to the individual rights (Canon 40,
CPE).
What should be guarded against are:
1. Improper advertising by a lawyer; (Canon 27, CPE)
2. Giving legal advice to one when no attorney-client
relationship exists; (Canon 35, CPE) and
3. Aiding a layman to engage in unauthorized practice of
law (Canon 47, CPE).
Note: The Canons of Professional Ethics are cited in an
advisory capacity; they ;,i;e not mandatory except on
members of the Philippine Bar Association.
Entering into Other Businesses
To constitute as inconsistent with the lawyer's profession,
it is advisable that they be entirely separate and apart such
that a layman could drstinquish between the two functions.
The lawyer must make it ciear to his client whether he is
acting as a lawyer or in another capacity.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Advertisement [Sec. 27, Canon of
Professional Ethics]
1. Through touters of any kind whether allied real estate
firms or trust companies advertising to secure the
drawing of deeds or wills;
2. Offering retainers in exchange for executorships or
trusteeships to be influenced by the lawyer;
3. Furnishing or inspiring • newspaper comments
concerning the manner of their conduct, the magnitude
of the interests involved, the importance of lawyer's
position, and all other like self-!audation.
A lawyer may not properly publish his brief biographical
and informative data in a daily paper, magazine, trade
journal or society program in order to solicit legal business
[Khan v. Simbil/o, A.G. 5299 (2003)J.
In the last analysis, where to draw the line is a question of
good faith and good taste.
Lawyer Shall Not Use False or Misleading Firm Name
Basis: Rule 3.02 - In the choice of a firm name, no faise,
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.
'
A law partnership is a mere association of lawyers for such
purpose and is a non-legal entity.•lt is not a taxpayer, even
if such law partnership is registered with the SEC. In the
formation of such partnership, no person should be
admitted or held out as a member who is not a lawyer.
(Canon 33, CPE) Filipino lawyers cannot practice law
under the name of a foreign law firm, as the latter
cannot practice law in the Philippines (Dacanay v.
Baker& McKenzie, Adm. Case No. 2131, 1985).
Rule on Use of Deceased Person's Name
The use of a deceased person's name as part of the firm
name is allowed as long as the public is not misled, e.g.
there is an indication that the person is deceased (For
example, by placing a cross beside the name of the
deceased lawyer.).
Partner W!io Accepts Public Office Should Withdraw
from the Firm
Basis:
Rule 3.03 - Where a partner accepts public office, he shall
withdraw from the firm and his name shali be dropped from
the firm name ..miess the law allows him to practice law
concurrently.
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() Purpose of the Law • Government lawyer is a keeper of public faith
The purpose of the rule is to prevent the law firm from using
( \ the partner's name to attract business and to avoid
suspicion or undue influence (Comments of IBP committee
that drafted the Code, p. 16).
Exception: A partner may opt not to withdraw from the firm
if the law allows him to practice law concurrently.
If the unauthorized practice on the part of a person who
assumes to be an attorney causes damage to a party, the
former may be held liable for estafa.
Lawyer Shall Not Seek Media Publicity
Basis: Rule 3.04 - A lawyer shall not pay or give anything
of value to representatives of the mass media in
(
anticipation of, or in return for, publicity to attract legal
business.
Media publicity, as a normal by-product of efficient legal
service, is not improper. What is improper is for a lawyer to
resort to propaganda to secure media publicity for the
( purpose of attracting legal business (Id.)
(
l Prohibition from Making Indirect Publicity Gimmick
This rule prohibits from making indirect PJJblicity gimmick,
such as furnishing or inspiring newspaper comments,
procuring his photograph to be published in connection
<,.• with cases which he is handling, making a courtroom
scene lo attract the attention of · newspapermen, or
{ arranging for the purpose an interview with him by media
people [Agpalo 2004].
Lawyers in Government Service
Basis: Canon 6 - These canons shall apply to lawyers in
government service in the discharge of their official duties.
Rationale
\. A member of the bar who assumes public office does not
shed his professional obligation. Lawyers in government
are public servants who owe the utmost fidelity to the
public service. A lawyer in public service is a keeper of
public faith and is burdened with a high degree of social
responsibility, perhaps higher than her brethren in private
practice [Vitriolo v. Dasig. A.G. 4984 (2003)].
As counseis of the State, it is their duty to promote high
ethical standards in pubiic service in keeping with the
fundamental principle that c1 public office is a public trust
and that a pub!ic servant owes utmost fidelity to public
service.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
A gover~1ment lawyer is a keeper of public faith and is
burdened with a high degree of social responsibility, higher
than his brethren in private practice (Ramos v. lmbang, A.
C. No. 6788, 2007). Thus, violation of the Code or the
lawyer's oath in the discharge of official duties may hold a
government counsel administratively liable (Comments of
the IBP that drafted the Code, p.30).
Norms of Conduct of Public Officials
Under RA. No. 6713, Section 4 (Code of Conduct and
Ethical Standards for Public Officials and Employees), the
following norms of conduct is expected from government
counsels as public officials in the conduct and execution of
their duties:
1. Commitment to public interest
2. Professionalism
3. Justness and sincerity
4. Political neutrality
5. Responsiveness to the public
6. Nationalism and patriotism
7. Commitment to democracy
8. Simple living
Duty of a Lawyer Engaged in Public Prosecution
Basis: Rule 6.01 - The primary duty of a lawyer engaged
in public prosecution is not to convict but to see that justice
is done. The suppression of facts or the concealment of
witnesses capable of establishing the innocence of the
accused is highly reprehensible and is cause for
disciplinary action.
Obligation of Prosecutor
As a representative of the State, the prosecutor has an
obligation to govern with impartiality and must see to it that
either guilt shall not escape or innocence suffer, that while
he may strike hard blows, he is not at liberty to strike foul
ones (Suarez v. Platon, G.R. No. 46371, 1940). As a
quasi-judicial officer, his primary duty is not to convict but
to see that justice is done (Agpalo, Legal and Judicial
Ethics, 82, 2009).
Thus, Rule 6.0, Canon 6 also adds that 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. He
therefore holds the duty to present to the court the
pertinent facts with the aim of erasing from the court's mind
the innocence or guilt of the accused (Dimatulac v. Villalon,
G.R. No. 127107, 1998).
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In appellate courts however, it is the Solicitor General who
is the lawyer of the People of the Philippines. The
exception is provided by R.A. No. 8249, which provides
that cases elevated to the Sandiganbayan will be
represented by the Office of the Ombudsman through its'
special prosecutor.
A Lawyer in Government Service Must Not Use his
Position for Private Interests
Basis: Rule 6.02 - 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
pubiic duties.
General Rule: The private practice of the profession is
prohibited while they remain in government service.
Exception: When private practice is authorized by the
Constitution or law, provided that such practice will not
conflict with their official function.
As a general rule, Rule 6.02, Canon 6 prohibits a lawyer
in government service from using his public
position neither fur private gain, nor to allow lhe latter to
interfere with his public duties. Lawyers in government
service cannot handle private cases for they are expected
to devote themselves full-time to the work of their
respective government offices (Ramos v. lmbang, .4. C.
No. 6788, 2007).
Should they be allowed to practice law alongside their
public office, they should do so while refraining from any
private legal business which would conflict with their
official duties (Comments of IBP Committee that drafted
the Code, pp. 31-32).
R.A. No. 6713, Section 4 prohibits public officials
from directly or indirectly having any financial or material
interest in any transaction requiring the approval of their
office.
The same law also prohibits the following activities outside
of their employment:
1. Owning, controlling, or accepting employment in any
private enterprise regulated, supervised or licensed by
their office unless expressly allowed by law;
2. Engaging 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
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
3. ~commending any person to any position in a
private enterprise which has a fegular or pending
official transaction with their office.
A Lawyer After Leaving Government Service Must
Refrain from any Conflict of Interest
Basis: 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
Rule on Lawyers who has left Government Service
A lawyer who has left government service (e.g., through
retirement or resignation) may not accept engagement or
employment in connection with any matter in which he had
intervened while in said service. The purpose of this
prohibition is to avoid a conflict of interest, whether
adverse-interest conflicts or congruent-interest conflicts,
between the lawyer and his former clients (Rule 6.03,
CPR).
This is reiterated in R.A. No. 6713, Section 7(b) which
states that the prohibition on private practice applies even
to former lawyers in government service with regard to
the practice of his profession in connection with
any matter that he has handled before the. government
office he used to work with. •
In PCCG vs. Sandiganbayan (G.R. Nos.» 151809-12,
200p), the SC clarified the contentious terms within Rule
6.03 of Canon 6, specifically:
1. "Matter" - As defined by Formal Opinion 342 of the
American Bar Association, is the 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 procedures. regulations or laws, or briefing
abstract principles of law.
2. "Intervene" - Must be a substantial (not merely
innocuous or insignificant) intervention that must affect
the interests of parties.
General Rule: Public officials and employees during their
incumbency shall not engage in the private practice of their
profession (R.A. No. 6713, par.7(b)).
Exception: Unless authorized by the Constitution or law,
and provided that such practice will not conflict or tend to
conflict with their official functions.
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n The professional concerned can engage in his prolession
immediately after his resignation, retirement or separation
from office.
However, he cannot practice his possession in connection
with any matter before the office he used to be with for a
period of 1 year after said retirement, resignation, or
separation from office.
Practice of Law after Government Service
General rule: Practice of profession is allowed
immediately after leaving public service.
Exceptions: The lawyer cannot practice as to matters with
which he had connection during his term. This prohibition
lasts:
(·
i 1. For one year, if he had not intervened;
2. Permanently, if he had intervened
D. Participation in the Improvement and Reforms
in the Legal System
Participating in Legal Development
Basis: Canon 4 - A lawyer shall participate in the
development of the legal system by initiating or supporting
efforts in law reform and in the improvement of the
administration of justice.
It is not a strict duty of lawyers to contribute to the
improvement of the legal system. However, it is a duty that
'· .;
stems from a lawyer's sense of responsibility. He must
recognize that the law is part of an intricate sociai network,
which necessarily includes interaction with the society. He
must broaden out and continue to grow in knowledge and
competence in order to be able to make the law socially
responsive (Comments of the IBP Committee that drafted
the Code, pp. 20-21). · constituted on May 4, 1973 into a body corporate by P.O.
E. Participation in Legal Education Program
Lawyers shall keep abreast of legal developments
Basis: Canon 5 - That lawyers "shall keep abreast of legal
developments, participate in continuing legal education
programs, support efforts to achieve highest standards in
law schools as well as in the practical training of law
students and assist in disseminating information regarding
the law and jurisprudence."
Requirement of Continuing Legal Education
Under Bar Matter No. 850, continuing legal education is
required of members of the IBP to ensure that they keep
abreast with law and jurisprudence, maintain the ethics of
the profession and enhance the standards of the practice
of law.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Members of the IBP.not exempt from Rule 7 of the Rules
on Mandatory Continuing Legal Education (MCLE) are
required to complete at least thirty-six (36) hours of
continuing legal education activities every three (3) years.
Consequence of Failure to Comply
Failure to comply shall pay-a non-compliance fee of P1 ,000
and be listed as a delinquent member of the IBP.
Failure to disclose the required infonnation would case the
dismissal of the case and the expunction of the pleadings
from the records (B.M. No .. 1922).
Failure to comply with the MCLE requirements and
disregards of the directives of MCLE office warrants an
attorney's declaration as a delinquent member. He will be
suspended until he has complied with the requirement
(Samuei Amado v. Atty. Homobono A. Adaza, A. C. No.
9834, 2015).
2. DUTIES TO THE LEGAL PROFESSION (CANONS
7-9)
The maintenance by the bar of a high standard · of legal
proficiency as well as honesty and fair dealing is a
prerequisite to making the Oar an effective instrument in
the proper administration of justice. But the bar can only be
as reputable as its members (Agpalo, Legai and Judicial
Ethics, 100, 2009).
Integrated Bar of the Philippines (IBP) (Rule 139-A)
IBP
The IBP is the national organization of lawyers created on
January 16, 1973 under Rule 139-A, Rules of Court, and
No. 181.
Integration of the Bar
The official unification of the entire lawyer population.
It requires membership and financial support of every
attorney as conditions sine qua non to the practice of law
and retention of his name in the Roll of Attorneys of the
Supreme Court.
All lawyers are subject to all the rules prescribed for the
governance of the Bar, including:
1. The payment of a reasonable annual fee for the
effective discharge of the purposes of the Bar: and,
2. Adherence to a code of professional ethics or
professional responsibility (Leiter of Atty Cecilio Y.
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Arevalo, Jr., Requesting Exemption from Payment of
IBP Dues, B.M. No. 1370, 2005).
Power to Integrate the Bar
The Constitution vests upon the Supreme Court the power
to integrate the Philippine Bar. Such power is an inherent
part.of the Court's constitutional authority over the bar (See
Art. VIII, Sec. 5, paragraph 5, Philippine Constitution).
Prior to this, the Philippine Congress granted the Supreme
Court the power to adopt rules of court to effect the
integration of the Philippine Bar by enacting R.A. No. 6397
(An Act Providing tor the Integration of the Philippine Bar
and Appropriating Funds Therefor). Rule 139-A was
passed by the Supreme Court on January 16, 1973.
Constitutionality of Integration
The Court is fully convinced that the integration of the
Philippine Bar is "perfectly constitutional and legally
unobjectionable," v.ithin the context of contemporary
conditions in the Philippines, has become an imperative
means to raise the standards of the legal profession.
improve the administration of justice, and enable the Bar
to discharge its public responsibility fully and effectively (In
the Matter of the Integration of the Bar of the Philippines,
49 SCRA 22, 1973).
Mandatory Membership and Freedom of Association
Mandatory membership in the national IBP is net violative
of a lawyer's freedom to associate (In re: Edi/Ion, A.M. No.
1928, 1978). It does not make a lawyer a member of any
group which he is not already a member of. All that
integration actually does is to provide an official national
organization for the well-defined but unorganized group of
which every lawyer is already a member. Assuming that it
is a compulsion, it's justified under the police power of the
State (In the Matter of the IBP Membership Dues
Delinquency of Atty. Marcial A. Edi/ion, A.M. No. 1928,
1978).
Purposes and Objectives of IBP
Generally:
1. To elevate the standards of the legal profession;
2. To improve the administration of justice;
3. To enable the Bar to discharge its public responsibility
more effectively.
Non-political Bar
The Integrated Bar shall be strictly non-political, and every
activity tending to impair this basic feature is strictly
prohibited and shall be penalized accordingly (IBP By-
laws, Art. I, Sec. 4).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Not Eligible fQr Election and Appointment to any
position in the IBP •
No lawyer holding an elective, judicial, quasi-judicial, or
prosecutory office in the Government or any political
subdivision or instrumentality thereof shall be eligible for
election or appointment to any position in the Integrated
Bar or any Chapter thereof.
Purpose of the IBP
1. To assist in the administration of justice;
2. To foster and maintain on the part of its members high
ideals of integrity, learning, professional competence,
public service and conduct;
3. To safeguard the professional interest of its members;
4. To cultivate among its members a spirit of cordiality and
brotherhood;
5. To provide a forum for the discussion of law,
jurisprudence, law reform, pleading, practice and
procedure, and the relations of the bar to the bench and
to the public, and publish information relating thereto;
6. To encourage and foster legal education; ·
7. To promote a continuing proqrarn of legal research in
substantive and adjective law, and make reports and
recommendations thereon.
Membership and r,:>ues
Mandatory Membership
Membership is mandatory. A lawyer does n~t
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, but he must join (Garcia v. de Vera, A. C.
No. 6052, 2003).
No Retirement in the IBP
There is no retirement in the IBP. A lawyer, however, may
terminate his bar membership after filing the required
verified notice of termination with the Secretary of the
Integrated Bar who shall bring the matter to the Supreme
Court (Rule 139-A, Section 11).
The SC granted a petition for voluntary delisting by Atty. X
which was filed to protest the alleged corruption in the
profession, specifically those in the prosecution service of
the judiciary. (Decision not available; verified news
information lifted from:
http://newsinfo.inquirer.net/87 5282/sc-grants-cebu-
lawyers-bid-to-be-delisted-from-corrupt-professionj.
Membership dues
Every member of the Integrated Bar shall pay such annual
dues, as the Board of Governors shall determine with the
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approval of the Supreme Court. A fixed sum equivalent to
ten percent ( 10%) of the collection 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 (Rule 139-A, Section 9).
Effect of Non-Payment of Dues
Without paying IBP dues, a lawyer cannot engage in
practice of law, no matter how limited is his practice.
(Santos, Jr. v. Llamas, Adm. Case No. 47 49, January 20,
2000.) IBP dues are not subject to the senior citizen
discount and the student discount (Id.).
Default in the payment of annual dues for 6 months
shall warrant suspension of membership in the
Integrated Bar, and default in such payment for 1 year
( shall be a ground for the removal of the name of the
' delinquent member from the Roll of Attorneys (Buehs
v. Bacatan, A.C. No. 6674, 2009).
( 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
r·
' I
remains regardless of the lack of practice of, or the type of
practice, the member is engaged in (Letter of Atty. Cecilio
Arevalo, B.M. No. 1370, 2005).
All lawyers shall indicate in all pleadings, motions and
papers signed and flied by them in any court in the
Philippines, the number and date of their official receipt
indicating payment of their annual membership dues to the
Integrated Bar of the Philippines for the current year;
provided, however, that such official receipt number and
date for any year may be availed of ar id indicated in all
such pleadings, motions and papers filed by them in court
up to the end of the month of February of the next
succeeding year (OCA Circular 10-85, dated July 24,
1985).
Officers of the Integrated Bar
The Integrated Bar shall have a President and an
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 (5) Governors.
Each of the regional members of the Board shall be ex
officio Vice President for the Region which he represents.
The Integrated Bar shall have a Secretary, a Treasurer,
and 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
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
• at the pleasure of the Board or for such tenns as it may fix.
Said officers and employees need not be members of the
Integrated Bar (Rule 139-A, Section 7).
Misconduct of lawyers during IBP elections diminishes the
dignity of the IBP as an association of a noble and
honorable profession (in the Matter of the Brewing
Controversies in the Election of the Integrated Bar of the
Philippines, A.M. No. 09-5-2-SC, 2010).
Board of Governors
A Board of Governors shall govern the ,ntegrated Bar. The
House of Delegates shall elect nine Governors from the
nine (9) Regions on the representation basis of one (1)
Governor from each Region.
House of Delegates
Deliberative body of the Integrated Bar
The Integrated Bar shall have a House of Delegates of not
more than 120 members who shall be apportioned among
all the Chapters as nearly as may be according to the
number of their respective members, but each Chapter
shall have at least 1 Delegate (Rule 139-A, Section 5,).
Chapter Government
A Chapter of the Integrated B3r shall be organized in every
province. Except as herein provided,' euery city shall be
considered part of the province within which it is
geographically situated (Id., Section 4)~
• Upholding the Dignity and Integrity of the Profession
Basis: Canon 7- A lawyer shall at all times uphold the
integrity and dignity of the legal profession and support the
activities of the integrated bar
Significance of High Standard of Legal Proficiency
Maintenance of a high standard of legal proficiency as well
as honesty and fair dealing is a pre-requisite to making the
bar an effective instrument in the proper administration of
justice.
A Person Shall Make No False Statement in His
Application For Admission to the Bar
Basis: Rule 7.01 - A lawyer shall be answerable for
knowingly making false statement or suppressing a
material fact in connection with his application for
admission to the bar.
Failure to live up to the standards of conduct may prevent
an aspiring iawyer from heing admitted to practice (Barba
v. Pedro, A.M No. 545-SBC, 1974). In a case where the
lawyer did not disclose the fact that he obtained his A.A.
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degree six months after he began his law studies, even if
he was admitted without the Supreme Court acquiring
knowledge of his transgressions thereof, he may be
disbarred for such misconduct (Diao v. Martinez, A. C. No.
244, 1963).
Penalties
1. Disqualification of the applicant from taking the bar, if
the concealment is discovered before he takes the bar
examinations;
2. Prohibition from taking the lawyer's oath, if the
concealment is discovered after the candidate has
taken the bar examinations;
3. Revocation of license to practice, if the concealment
was discovered after he has taken his lawyer's oath [In
re: Diao, A.G. 244 (1963)).
Act of Concealment that makes one Morally unfit
It is the fact of concealment and not the commission of the
crime itself that makes him morally unfit to become a
lawyer [In Re: Galang, A.M. 1162 (197~)].
A Lawyer Shall Not Support an Unqualified Applicant
to the Bar
Basis: Rule 7 .02 - A lawyer shall not support the
application for admission to the bar of any person known
by him to be unqualified in respect to character, education,
or other relevant attribute.
He should volunteer information or cooperate in any
investigation concerning alleged anomalies in the bar
examination so that those candidates who failed therein
can be ferreted out and those lawyers responsible therefor
can be disbarred (In re Parazo, 82 Phil. 230, 1948).
A lawyer should not readily execute an affidavit of good
moral character in favor of an applicant who has not lived
up to the standard set by law [Agpalo (2004)).
A Lawyer Shall Always Conduct Himself Ethically and
Morally
Basis: Rule 7.03 - A lawyer shall not engage in any
conduct or do any act that adversely reflects on his fitness
to practice law, nor to behave, in his public or private life,
in a scandalous manner to the discredit of the legal
profession.
He should conduct himself at all time in such a way as to
give credit to the legal profession and to inspire the
confidence, respect and trust of his clients and the
community.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
May a lawyer be disbarred/ penalized for acts done not
in a professional capacity? •
Yes. A lawyer may be disciplined for misconduct committed
either in his professional or private capacity. The test is
whether his conduct shows him to be wanting in moral
character, honesty, probity, and good demeanor, or
whether it renders him unworthy to continue as an officer
of the court (Navarro v. So/idum Jr., A.C No. 9872, 2014).
Acts that justify suspension from practice or
disbarment:
1. Gross immorality;
2. Conviction of a crime involving moral turpitude (De
Jesus-Paras v. Vailoces, A.C. No. 439, 1961 );
3. Fraudulent transactions.
Gross Immorality Reflective of Unfitness to Practice
To justify suspension or disbarment, the act must not only
be immoral; it must be grossly immoral as well (Figueroa v.
Barranco, Jr., SBC Case No. 519. 1997).
Grossly Immoral Conduct
It is 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 (Arciga v.
Maniwag, A.M. No. 1608, 1981).
I
Grossly Immoral Act
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 (Reyes v. Wong, A.M. No. 547, 1975).
The question of whether an act is grossly immoral may
depend, to some extent, upon the prejudice, caprice & bias
of the court, and the general concept of morality prevailing
at the time. ·
Is cohabitation considered grossly immoral?
Cohabitation per se is not grossly immoral; ii will depend
on the surrounding circumstances (In re: Regidor R. Toledo
v. Atty. Jerry R. Toledo, A.M. No. P-07-2403, 2008). Mere
intimacy between a man and woman, both of whom
possess no impediment to marry, voluntarily-carried 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 (Figueroa v.
Barranco, Jr., SBC Case No. 519, 1997). This ru!e does
not apply to lawyers who are married.
The admission by lawyer of the paternity of a child and
agreeing to support the child renders his immorality not so
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In gross and scandalous (Marcayda v. Naz, A.M. No. 1856,
1983).
{ I
Capacity Exercised during Commission of Crime
There is no distinction as to whether the transgression is
committed in the lawyer's professional capacity or in his
private life or in his private transaction because a lawyer
may not divide his personality so as to be an attorney at
one time and a mere citizen at another [Funa].
Conviction of a Crime Involving Moral Turpitude
Moral turpitude
Anything which is done contrary to justice, honesty,
modesty or good morals (Rule 138, Sec. 27, ROG), or to
any act of vileness. baseness or depravity in the private
and social duties that a man owes his fellowmen or to
society, contrary to the accepted rule or right and duty
between man and man (In re Gutierrez, A.M. No. L-363,
1962). It is difficult to state with precision and to fix an
inflexible standard as to what is grossly immoral conduct
(Arciga v. Maniwang, A.M. No. 1608, 1981).
The following acts have been declared by the Supreme
Court as involving moral turpitude:
1. Those that involve fraud or decoit:
(a) Violation of BP 22;
(b) Falsification of public documents;
(c) Estafa;
(d) Embezzlement;
{ e) Swindling;
(f) Smuggling.
2. Those that are inherently contrary to rules of right
conduct, honesty, or morality in a civilized community:
(a) Abduction with consent (In re Basa, 41 Phil. 275,
1920);
(b) Murder (In re Gutie"ez, Adm. Case No. L-363,
1962);
(c) Bigamy;
(d) Participation in fatal hazing of a fraternity neophyte
(In re Al Argosino, supra).
Lawyers convicted of crimes involving moral turpitude are
either suspended from the practice of law or disbarred.
Commission of Fraud or Falsehood
The commission of fraud or falsehood in the lawyer's
private dealings may make him administratively liable
therefor.
1. Falsely.stating in a deed of sale that the property is free
from liens or encumbrances (In Re Quiar.,bao, A.C. No.
195, 1958);
2. Misappropriating money belonging to his employer
(Investment and Management Services Corp. v. Roxas,
A.C. No. 1417, 1996);
3. A Shari'a lawyer referring to himself as an attorney
(Alawi v. Alauya, A.M. No. SDC-97-2-P, 1997);•
4. Advising a foreigner that he could legally and validly
acquire real estate in the Philippines and assuring that
the property was alienable when it was not ( Stemmerik
v. Mas, A. C. No. 8010, 2009);
5· Tampering of votes in an election (Pimentel v. LJorente,
A. C. No. 4690, 2000);
6· Misappropriating insurance proceeds of a client's
deceased husband (Freeman v. Reyes, A. C. No. 6246,
2011).
Courtesy, Fairness, and Candor Towards Professional
Colleagues
Bases:
CANON 8 - A Lawyer shall conduct himself with courtesy,
fairness and candor toward his professional colleagues,
and shall avoid harassing tactics against opposing counsel
Rule 8.01 • A lawyer shall not, in his professional dealings,
use language which is abusive, offensive or otherwise
improper.
Candor, Fairness, and Truthfulness
.
Should
Characterize Relations
Candor, fairness, and truthfulness should characterize the
conduct of a lawyer with other lawyers.
1. He should not ignore recognized customs and
practices of the bar ( Canon 25, CPE).
2. He should not yield to his client's demand that he
should be illiberal, nor should he do anything repugnant
to his sense of honor and propriety (Canon 24, CPE).
3. He should not take advantage of the excusable
unpreparedness or absence of counsel during the trial
of a case (See Yulo v Yang Chiao Seng. G.R. No. L-
1?.541, 1960).
4. A lawyer who rudely interrupts his fellow lawyer while
the latter was making representations in behalf of the
other party is in violation of this Canon (Bugaring v.
Espanol, G.R. No. 13:3090, 2001).
5. A iawyer should not avoid performance of an
agreement fairly made simply because it has not been
reduced into writing.

Some examples of frauds and falsehoods include:

A Lawyer Should Use Temperate Language
.A. lawyer shall not, in his professional dealings, use
language which is abusive. offensive or otherwise
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improper (Rule 8.01, CPR). No attorney ought to be
criticized in the making of an honest legal effort to protect
the interest of his client (Asia Banking v. Herridge, G.R. No.
20993, 1923). Disrespectful language serves no useful
purpose and constitutes direct contempt or contempt in
facie curiae (Surigao Mineral Reservation Board v.
Cloribel, G.R. No. L-27072, 1970). Lack or want of
intention is no excuse for the disrespectful language
employed (Rheem of the Philippines v. Ferrer, G.R. No.
22979, 1967). However, strong language is justified if
impelled by the same language used by the Judge
(Fernandez v. Hon. Bello, G.R. No. L-14277, 1960).
He should only use such temperate but forceful language
in his pleadings or arguments as befitting an advocate.
Lawyer's Right to Scold and Insult
A lawyer does not have the right to scold his opposing
counsel and insult and berate those who tried to calm him
down, even for the reason that he was moved by the plight
of his client (Alcantara v. Pefianco, AC. No. 5398, 2002).
Lawyer's act of Raising his Voice
A lawyer's act of raising his voice and uttering vulgar
invectives to the clerk of court was not only ill-mannered
but also unbecoming considering that he did these in front
of the complainant's subordinates (Dallong-Ga/icinao v.
Castro, AC. No. 6396, 2005).
Rule on Privilaged Communication with respect to
Judicial Proceedings
However, it must be noted that "utterances, petitions and
motions made in the course of judicial proceedings have
consistently been considered as absolutely privileged,
however false or malicious they may be, but only for so
long as they are pertinent and relevant to the subject of
inquiry." In this regard. the Supreme Court has stated the
test for relevancy as follows:
As to the degree of re!evancy or pertinence necessary to
make alleged defamatory matters privileged the courts
favor a liberal rule. The matter to which the privilege does
not extend must be so palpably wanting in relation to the
subject matter of the controversy that no reasonable man
can doubt its relevancy and impropriety. In order that
matter alleged in a pleading may be privileged, it need not
be in every case material to the issues presented by the
pleadings. It must, however, be legitimately related thereto,
or so pertinent to the subject of the controversy that it may
become the subject of inquiry in the course of the trial
(Saberon v. Larong, A. C. No. 65G7, 2008).
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
A Lawyer Should Not Encroach Upo11, the Business of
Another
Basis: Rule 8.02 -A lawyer shall not, directly or indirectly,
encroach upon the professional employment of another
lawyer, however, it is the right of any lawyer, without fear
or favor, to give proper advice and assistance to those
seeking relief against unfaithful or neglectful counsel.
A lawyer should not steal the other lawyer's client nor
induce the latter to retain him by a promise of better service
or reduced fees (Linsangan v. Tolentino, A. C. No. 6672,
2009).
There is no encroachment when the previous lawyer was
already dismissed (Laput v. Remotigue, A.M. No. 219,
1962).
A lawyer retained to take over a case from a peer in the bar
should do so only after he shall have obtained the
conformity of the counsel whom he would substitute.
Negotiation with the Opposite Party
A lawyer should not in any way communicate upon the
subject of controversy with a party represented by counsel,
much less should he undertake to negotiate or
compromise the matter with. him. but should deal only with
his counsel. It is incumbent upon thE! lawyer most
particularly to avoid everything that may tend to mislead a
party not represented by counsel, and he should not
undertake to advise him as to the. law ( Camacho v.
Pangulayan,A.C.No.480~ 2000).
The act of a lawyer, representing the defendants of the
case, of preparing the affidavit of desistance encroached
upon the legal functions of the complainants' attorney. It
was unscrupulous of the defendants' lawyer to compel
some of the complainants to execuie the affidavit of
desistance sans the knowledge and agreement of the
latter's counsel. (Binay-an v. Addog, A.G. No. 10449,
2014).
Neither should the lawyer attempt to interview the opposite
party and question him as to the facts of the case ever: if
the adverse party is williny to do so (A. 8. A. Op. 75, 1932).
Lawyers May:
1. Accept employment to handle a matter previously
handled by another lawyer:
(a) Provided the other lawyer has been given notice of
termination of service lest it amounts to an
improper encroachment upon the professional
employment of the originai counsel [Laput v.
Remotigue, A.M. 219 (1962)]; or
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(b) In the absence of a notice of termination from the
client, provided he has obtained the conformity of
the counsel whom he would substitute; or
(c) In the absence of such conformity, a lawyer must
at least give sufficient notice to original counsel so
that original counsel has the opportunity to protect
his claim against the client.
In the case of Angeles.v. Bagay (A.C. No. 8103, 2014), the
lawyer left the country and left his office open and ;,is
secretary in charge during his absence. This enabled his
secretary to sign as notary public on his behalf and to
notarize documents without restraint. Through his
negligence he allowed an unauthorized person to practice
law, in violation of Canon 9 of the CPR.

2. Give advice or assistance to any person who seeks
relief against an unfaithful or neglectful lawyer;
3. Associate as a colleague in a case, provided he
communicate with the original counsel before making
an appearance as co-counsel:
(a) Should the original lawyer object, he should decline
association but if the original lawyer is relieved, he
may come into the case;
(b) Should it be impracticable for him, whose judgment
has been overruled by his co- counsel to cooperate
effectively, he should ask client to relieve him.
Establishing Law Office with Non-Lawyers
A lawyer may not, without aiding the unauthorized practice
of law by a layman, establish a law office with one who has
not been licensed to practice law by the Supreme Court
(U.S. v. Ney & Bosque, G.R. No. 3593, 1907).
Acts which may be delegated to Non-Lawyers
1. The examination of case law;
2. Finding and interviewing witnesses;
3. Examining court records;
4. Delivering papers and similar matters.

No Assistance in Unauthorized Practice of Law Appearing as Counsel before Signing Roll of

Duty to Prevent Unauthorized Practice of Law
Bases:
Canon 9 - A lawyer shall not, directly or indirectly assist in
the unauthorized practice of law.
Rule 9.01 - A lawyer shall not delegate to any unqualified
person the performance of any task which by law may only
be performed by a member of the Bar in good standing.
Attorneys
There is unauthorized practice of law when a successful
bar examinee who has taken the oath appears as counsel
before having signed the Roll of Attorneys. In order to be a
full-fledged lawyer, one must have passed the exam, taken
the oath and signed the' Roll (Aguirre v. Rana, B. M. No.
1036, 2003).

The lawyer demonstrated good faith when he filed a

When Unauthorized Practice Committed
Petition to Sign the Roll of Attorneys. It was not a third party
Unauthorized practice is committed when a person not a
who called the Court's attention to his omission of
lawyer pretends to be one and performs acts which are
mistakenly assuming the attendance record during the
exclusive to the members of the bar; it is punishable by fine
oath taking as the Roll of Attorneys. However, the
or imprisonment or both (Tan v. Balajadia, G.R. No.
petitioner cannot be fully exculpated from all liability for his
169517, 2006).
years of inaction. The unauthorized practice of law by the
lawyer himself is subsumed under Canon 9 of the CPR (In
Collaboration between Lawyer and Non-Lawyer
re: Petition to Sign Roll of Attorneys b_v Michael A. Medado,
Collaborating with a person who is not a member of the bar
B.M. No. 2540, 2013).
can subject one to disciplinary proceedings (Beltran v.
Abad, Bar Matter No. 139, 1984).
Practice during Period of Suspension
The unauthorized practice of law of a suspended attorney
Allowing Non-Lawyers to Sign Pleadings
is a ground for disbarment or suspension (Feliciano v.
Allowing a non-lawyer to affix his signature to a pleading is
Bautista-Lozada, A.C. No. 7593, March 11, 2015).
an unauthorized practice of law. The preparation and
signing of a pleading constitute legal work involving the
Scope of Suspension
practice of law, which is reserved exclusively for members
Suspension by the Court necessarily includes suspension
of the legal profession. Although he may delegate the
from any activity that would constitute practice of law, as
signing of a pleading to another lawyer, he may not
defined in Cayetano v. Monsod. A suspended lawyer
delegate it to a non-lawyer (Tapay v. Banco/a, A. C. No.
cannot keep his government position that requires the
9604, 2013).
application of law as such will constitute as unauthorized
practice of iaw (Lingan v. Calubaquib and Baliga, A. C. No .
. 5377, June 30. 2014).
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Intervention of Intermediary Not Allowed
The lawyer's re!ation with his client is personal and his
responsibility is direct to the client. He should avoid all
relations which direct the performance of his duties by or
in the interest of such intermediary (Canon 35, CPEJ.
A lawyer may accept employment from any organization
and render legal services in any matter in which the
orqanization as an entity is interested, or may give legal
opinion on problems common to all members. But he
should not render legal services to members of such
organization in respect to their individual affairs, unless his
services are individually retained by such members
(Canon 35, CPE).
Employment of paralegals: Giving legal materials &
answering questions relating to legal concepts is
equivalent to the practice of law ( Ulep v. The Legal Clinic,
Inc., Bar Matter No. 553, 1993).
Lawyers Shall Not Divide Fees with Non-lawyers
Basis:
Rule 9.02 - A lawyer shali not divide or stipulate to divide
a fee for legal services with persons not licensed to
practice law, except:
a) Where there is a pre-existing agreement with a
partner or associate that, upon the latter's death, money
shall be paid over a reasonable period of time to his estate
or to persons specified in the agreement; or
b) Where a lawyer undertakes to complete unfinished
legal business of a deceased lawyer; or
c) Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan is based
in whole or in part, on a profitable sharing arrangement.
Rationale
Allowing non-lawyers to get attorney's fees would confuse
the public as to whom they should consult. It would leave
the bar in a chaotic condition because non-lawyers are
also not subject to disciplinary action.
Impropriety arises where the effect of the arrangement is
to:
1. Make !he estate or heir a member of the partnership
along w! the surviving partners
2. Make the estate or heir the recipient of a percentage of
the fees that may be paid from the future business of
the deceased lawyer's clients.
Dividing Fees between Lawyer and Non-Lawyer
A lawyer who agrees with a non-lawyer to divide attorney's
fees paid by clients supplied or solicited by tile non-lawyer
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
is guilty of malpractice (Tan Tek Beng v. David, Ad'7l.Case
No. 1261, 1983).
A Lawyer Shall Not Charge Lower Rates to Attract
Business
A lawyer shall not charge rates lower than those
customarily prescribed unless the circumstances so
warrant (Rule 2.04, CPR). However, the rule does not
prohibit a lawyer from charging a reduced fee or none at
all to an indigent or to a person who would have difficulty
paying the fee usually charged for such services
(Comments of the IBP Committee that drafted the Code, p.
12).
3. DUTIES TO THE COURTS {CANONS 10-13}
OVERVIEW
Lawyer as an Officer of the Court
A lawyer is an officer of the court. He is an officer of the
court because he is one with the court in upholding justice.
His first duty is not to his client but to the administration of
justice; to that end, his client's success is wholly
subordinate; and his conduct ought to and must always be
scrupulously observant of the law and ethics of the
profession (City Sheriff, 11/igan City v. Fortunato, G.R. No.
80390, 1998).
Rule when there exists a conflict between ccurt and
client interest
Should there be a conflict of between the lawyer's· duly to
the courts and to that of his client, he should uphold his
duty to the former (Cobb-Perez 11: Lantin, 24 SCRA 291,
1968).
Candor. Fairness, and Good Faith Towards the Courts
Lawyer Should be Candid and Truthful to the Court.
Basis: Canon 10 - A lawyer owes candor, fairness, and
good faith to the court.
Lawyer as an Officer of the Court
A lawyer is, first and foremost. an officer of the court.
Accordingly, should there be a conilict between his duty to
his client and that to the court, he should resolve the
conflict against the former and in favor of the latter, his
primary responsibility being to uphold the cause of justice
[Cobb Perez v. Lantin, G.R. L-22320 (1968)).
A lawyer must conduct his duties and affc1irs with full
respect to the judicial office. Courts are entitled to expect
only complete honesty from lawyers appearing and
pleading before them.
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Candor in all dealings is the very essence of honorable
membership in the legal profession. Lawyer is obliged to
observe the rules of procedure and not to misuse them to
defeat the ends of justice (Cuaresma v Daquis, GR No.
35113, 1975).
Lawyer Should Do No Falsehood
Basis: Rule 10.01 - A lawyer shall not do any falsehood,
nor consent to the doing of any in court; nor shall he
mislead, or allow the court to be misled by any artifice.
Preparing and notarizing the affidavit of a perjured witness
is a violation of Rule 10.01. (Samonte vs. Jumamil, A.C.
No. 11668 (Resolution) Aug. 17, 2017
Lawyer should not conceal the truth from the Court
A lawyer should not conceal the truth from the court, nor
mislead the court in any manner no matter how demanding
his duties to clients may be. His duties to his client shouid
yield to his duty to deal candidly with the court. For no client
is entitled to receive from the lawyer any service involving
dishonesty to the courts [Comments of IBP Committee}.
A lawyer should seek to preserve the public's faith in the
' \
courts. It is his duty not to conceal the truth from the court
nor mislead it. The courts will not be able to uphold justice
if they rely on false submissions and representations of
lawyers. It has been said of a lawyer that as an officer of
the court, it is his sworn and moral duty to help build and
not destroy unnecessarily that high esteem and regard
towards the courts so essential to the proper administration
of justice (Lacson, Jr. v. CA, G.R. No. 113591, 1995).
No client is entitled to receive from the lawyer any service
involving dishonesty to the courts (Comments of the IBP
that drafted the Code, p. 53).
Some cases of Falsehood committed by Lawyers:
1. A lawyer who made false representations in the
certificates against forum shopping is liable under Rule
10.01 of the CPR and should be held administratively
liable ( Crisostomo, et al. v. Nazareno, A. C. No. 6677,
2014).
2. A lawyer who used the IBP number of his law office
partner in signing a pleading for his client was
suspended from the practice of law for 6 months
(Bongalonta v. Castillo, CBD Case No. 176, 1995).
3. A lawyer who conveniently left out a material fact in his
pleading that could have a bearing on the outcome of
the case was strongly admonished by the Supreme
Court (Santos v, Paguin, A.M No. MTJ-93-781, 1993).
. •'
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
Lawyer Should Not Misquote nOI' Misrepresent
Basis: Rule 10.02 • A lawyer shall not knowingly misquote
or misrepresent the contents of a paper, the language of
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.
Deliberate Misquoting
Knowingly misquoting or misrepresenting is both
unprofessional and contemptuous (Agpalo, Deiparine, Jr.
\I. CA, G.R. No. 96643, 1993).
Ever present is the danger that if not faithfully and exactly
quoted, the decisions and rulings of the Supreme Court
may lose their proper and correct meaning, to the
detriment of other courts, lawyers and the public who may
be misled (Insular Life Assurance Co., Ltd. Employees
Ass'n. v. Insular Life, G.R. No. L-25291; 1971).
Necessity of Going Over Documents and Records
The legal profession demands that lawyers thoroughly go
over pleadings, motions and other documents dictated or
prepared by them, typed or transcribed by their secretaries
or clerks, before filing them with the court. If a client is
bound by the acts of his counsel, with more reason should
counsel be bound by the acts of his secretary who merely
follows his orders [Adez Realty, Inc. v. CA, G.R. 100643
(1992)].
Lawyer Should Not Misuse the Rules of Procedure
Basis: Rule 10.03 • A lawyer shall observe the rules of
procedure and shall not misuse them to defeat the ends of
. f
JUS.!Ce.
Significance of Procedure
The rules of procedure are intended to facilitate the
delivery of justice to those whom it is due without
unnecessary expense and waste of time.
Lawyer should not abuse right of recourse
A lawyer should not abuse his right of recourse to the
courts for the purpose of arguing a cause that had been
repealedly rebuffed [Garcia v. Francisco, A.G. 3923
(199~)].
A lawyer must remember that he is an officer of the court
and any such lawyer who uses the Rules of Procedure to
defeat or frustrate the ends of justice deserves
condemnation.
While a lawyer owes fidelity to his client, it should not be at
the expense of truth and the administration of justice. This
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includes a deliberate misinterpretation or misreading of the
law.
RP.spect for Courts and Judicial Officers
Basis: CANON 11 - .A lawyer shall observe and maintain
the respect due to the courts and to judicial officers and
should insist on similar conduct by others.
Respect Due to the Courts
A lawyer owes the court the duty to observe and maintain
a respectful attitude not for the sake of the temporary
incumbent of the judicial office but for the maintenance of
its supreme importance (Department of Health v. Sy Chi
Siong Co., Inc., et al., G.R. No. 85289, 1989). Respect of
courts helps build the high esteem and regard towards
them which is essential to the proper administration of
justice (People v. Carillo, G.R. No. L-283, 1946).
Observing respect due to the courts means that a lawyer
should conduct himself toward judges:
1. With courtesy everyone is entitled to expect [Paragas v
Cruz, G ..R. L-24438 (1965)];
2. With the propriety and dignity required by the courts
[Salcedo v Hernandez, G.R. L- 42992 (1935)].
Publication intended to Bully Courts ar.d Judges
• While freedom of the press includes the right to comment
on pending judicial cases and the right to criticize the
public and private life of al. public officers, without any
exception, it does not safeguard any publication intended
to bully courts and judges in order to sway their
judgments on pending cases (In re Sotto, 82 Phil 595,
1949).
· Obeying Court Orders
The highest sign of respect to the courts is the lawyer's
obedience to court orders and processes. Court orders
must be respected, however erroneous they may be (De
Leon v. Torres,Adm. Case No. 180, 1956).
Filling a motion for extension of time to file comment and
not doing so is a violation of this Canon. (Roque, Jr. v.
Balbin I A. C. No. 7088 I December 4, 2018)
Defending Judges from Unjust Criticism
It is a lawyer's duty as an officer of the court to deiend a
judge from unfounded criticism or groundless personal
attack (People v. Carillo, G.R. No. L-283, 1946). The
lawyer himself should refrain from subjecting a judge to
groundless accusations and discourage others from doing
so (Cabansag v. Fernandez, G.R. No. L-8974, 195?).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Respect to the Courts and Judicial Officers •
Upholding the dignity and authority of the courts ensures
the stability of the judicial institution. Hence, a lawyer must
not file frivolous administrative complaints against judges
and court personnel. While parties may seek the inhibition
or disqualification of partial judges, averments must be
substantiated by clear and convincing evidence.
Otherwise, lawyers, by their bare allegations, can overturn
the presumption that judges discharge their duties
according to the law and the facts, without fear nor favor
(Madrid v. Dea/ca, A.C. No. 7474, September 9, 2014).
Lawyer Shall Appear in Proper Attire
Basis: Rule 11.01 -A lawyer shall appear in court properly
attired.
Both male and female lawyers must always be in business
attire (for male lawyers, "business attire" means either
Sarong Tagalog or coat and tie). Appearing in court
properly attired helps in maintaining ihe dignity and esteem
the courts and the legal profession are entitled to. The
court can hold the lawyer in contempt of court if he appears
in improper attire (Agpalo, Legal and Judicial Ethics, p. 152-
153, 2009).
May be Cited with Contempt
A lawyer who dresses improperly may be cited with
contempt [Agpalo (2004)].
Proper Attire
1. Male: Long-sleeved Sarong Tagalog or coat and tie
2. Female: Semi-formal or business attires
3. Judges: Same attire as above under their robes
Lawyer Shall be Punctual
Basis: Rule 11.02 - A lawyer shall punctually appear at
court hearings.
Punctuality as Sign of Respect
A lawyer should show respect due the court by appearing
during trial punctually. A lawyer owes it to his client, court
and public to be punctual in attendance and to be concise,
and direct in the trial and disposition of cases. If the lawyer
fails attend punctually or has repeated tardiness, the
lawyer might prejudice his client who may be declared non-
suited or in default (Id.).
The Supreme Court requires that court sessions must start
properly at 8:30 A.M. in the morning and 2:00 P.M. in the
afternoon.
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r. Punctuality includes Prompt Compliance with Court
Orders
The duty to be punctual also includes prompt compliance
with court orders.
Tardiness and Absences
Inexcusable absence from, or. repeated tardiness in,
attending a pre-trial or hearing may subject the lawyer to
disciplinary action as his actions show disrespect to the
court and are therefore consideredcontemptuousbehavior
( (Agpalo (2004)].
Lawyer Shall Abstain from Offensive Language or
Behavior
Basis: Rule 11.03 - A lawyer shall abstain from
scandalous, offensive or menacing language or behavior
(
before the courts.
' G.R. No. L-27072, 1970).
! Dignified Language
' A lawyer's language should be forceful but dignified, in
r: keeping with the dignity of the legal profession (In Re
\..
C!imaco, A.C. No. 134-J, 1974).
{ motives not supported by the record or have no materiality
Lawyers may use Strong but not Abusive language
Lawyers may use strong language to drive home a point;
they have a right to be in pursuing a client's cause [The
British Co. v De Los Angeles, G.R. L-33720 (1975)).
( However,the use of abusive language by counsel against
\
the opposing counsel constitutes at the same time
disrespect to the dignity of the court justice. Moreover,the
use of impassionedlanguage in pleadings,more often than
not, creates more heat than light (Buenaseda v. Flavier,
G.R. 106719 (1993)).
Lawyers cannot resort to scurrilous remarks that have the
( tendency to degrade the courts and destroy the public
.
;
confidencein them [In Re: Almacen, G.R. L-27654 (1970)] .
A lawyer pleads; he does not dictate (Radii v. Garcia, G.R.
No. L-49155, 1981).
It is a lawyer's duty to abstain from al! offensive personality
and to advance no fact prejudicial to the honor or
reputation of a party or witness, unless required by the
justice of the cause with which he is charged. However,he
has the right to be zealous, even tenacious, in the
prosecution or defense of the client's cause {The British
Co. v. Delos Angeles, G.R. No. L-33720, 1975).
A lawyeris not at liberty to resort to arrogance,intimidation,
and innuendo.The lawyer must exhaust judicial remedies
or await the result thereof to hold a Judgeto have gravely
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
erred before filing an administrative case; otherwise, he
may be accountable(Flores v. Abesamis, A.M. No. SC-96-
1. 1997).
Judge Should be Courteous to Lawyer to Merit
Respect
Observing and maintaining respect is not a one-way duty
from a lawyer to a judge. A judge should also be courteous
to counselfor if a judge desires not to be insultedhe should
start using temperate language himself (Fernandez v.
Bello, G.R. No. L-14277, 1960).
Upholding the Court's Authority and Dignity
A lawyer, as a member of the bar and as an officer of the
court, should uphold the dignity and authority of the court.
He should not promote distrust in the administration of
justice (Surigao Mineral Reservation Board v. Cloribel,
Lawyer Shall Not Attribute to a Judge Improper
Motives
Basis: Rule 11.04 -A lawyer shall not attribute to a judge
to the case.
Making Hasty Accusations
A lawyer should not make hasty accusations ~gainst a
juoqe, before whom he pleads his case, without any valid
ground (People v. Teneo, G.R. No. L-37673, 1933).
Constructive Criticism Allowed
This rule however does not preclude a lawyer from
criticizingjudicial conduct so long as it is supported by the
record or is material to the case (In Re Almacen, supra).
The cardinal conditionof all such criticism is that it shall be
bona fide, and shall not spill over the wall of decency and
propriety [Zaldivar v. Gonzales, G.R. 79690-707 (1989)).
Lawyer who seeks a judge's inhibition must establish
his ground of bias
A lawyer who seeks the inhibition or disqualificationof a
judge must estabiish by ciear and convincingevidence the
ground of bias and prejudiceof the judge. Bare allegations
of partiality and hostility do not suffice because the
presumptionis that a judge would undertakehis noble role
to dispensejustice according to Jaw and the evidence and
without fear or favor (Judge Madrid v. Dea/ca, A.C. No.
7474, 2014).
A lawyer who falsifies a court decision must be disbarred.
Such act reflects a high degree of rnorai turpitude, which
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mocks the administration of justice (Embido v. Pe, A.C. No.
68l2, 2013).
Lawyer Sha!I Submit Grievances to Proper Authorities
Basis: Rule 11.05 - A lawyer sha!i submit grievances
against a Judge to the proper authorities only.
The duty, to respect does r.ot preclude a lawyer from filir.g
administrative complaints against erring judges.
Supreme Court Supervision
The Supreme Court shall have administrative supervision
over all courts and the personnel thereof (Art. VIII, Sec. 6,
1987 Constitution).
When Lawyer may File before Supreme Court
A lawyer may only file a complaint with the Supreme Court,
through the Office of the Court Administrator, if the case is
administrative in nature, or with the Office of the
Ombudsman, if the complaint is criminal.
A lawyer may not file an administrative complaint against a
judge, which arises from his judicial acts, until the lawyer
shall have exhausted judicial remedies which result in a
finding that the judge has gravely erred (Flores v.
Abesamis, A.M. No. SC-96-1, 1997).
Jurisdiction of Ombudsman
The Ombudsman has jurisdictlon to investigate criminal
offenses committed by judges, reqardless if such offense
relates to official duties or not. But the Supreme Court has
the sole administrative supervision over judges. Thus, for
a criminal case against a judge for falsification of its
Certificate of Service, the Ombudsman must defer to the
Supreme Court the factual determination of whether or not
the judge falsified the said Certificate. Absent an
administrative action from the Supreme Court over the
judge, the Ombudsman cannot exercise its jurisdiction
over the judge because the same amounts to a violation of
the doctrine of separation of powers (Maceda v. Vasquez,
G.R. No. 102781, 1993).
Assistance in the Speedy and Efficient Administration
of Justice
Basis: Canon 12 - A lawyer shall exert every effort and
consider it his duty to assist in the speedy and efficient
administration of justice.
All persons shall have the right to a speedy disposition of
their cases before all judicia!, quasi-judicial, or
administrative bodies (Art. Ill, Sec. 16, 1987 Constiunion}.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
It is the duty of an attorney not to encourage either the
commencement or the continuance of an action or
proceeding, or delay any man's cause, irom any corrupt
motive or interest (Rule 138, Sec. 20 {g), ROG).
Duty to Assist in the Administration of Justice
A lawyer is an officer of the court. Hence, his primary duty
is not to his client, but the administration of justice. A lawyer
may be able to help the court in the due ar.d orderly
administration of justice by doing no act that obstructs,
perverts or impedes the administration of justice and by
faithfully complying with all his duties to the court and to his
clients (City Sheriff case, supra).
Lawyer Should Come to Court Adequately Prepared
Basis: Rule 12.01 - A lawyer shall not appear for trial
unless he has adequately prepared himself on the law and
the facts of his case, the evidence he will adduce and the
order of its preference. He should also be ready with the
original documents for comparison with the copies.
Effect of Lack of Adequate Preparation
Without adequate preparation, the lawyer may not be able
to effectively assist the court in the speedy and efficient
administration of justice nor can he serve his client with
competence and diligence. A lawyer's unpreparedness can
also lead to postponements and delays. The duty of a
lawyer to appear on the dates of hearing adequately
prepared is an obligation which he owes to the court as
well as the client (Comments of the IBP Committee that
drafted the Code, p. 65).
Presumption with respect to Newly Hired Counsel
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint himse!f
with all the antecedent processes and proceedings that
have transpired in the record prior to his takeover [Villasis
v. CA, G.R. L-34369 (1974)].
Some Acts Which Amount to Obstruction in the
Administration of Justice:
1. Inadequate preparation;
2. Instructing complaining witness ir: a criminal action not
to appear at the schedule hearing so that the case
against the client would be dismissed;
3. Asking a client to plead guilty to a crime which the
lawyer knows his client did not commit;
4. Advising a client who is detained for crime to escape
from prison;
5. Employing dilatory tactics to frustrate satistacticn cf
clearly valid ciaims;
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t .
6. Prosecuting clearly frivolous cases or appeals to drain
the resources of the other party and compel him to
submit out of exhaustion;
7. Filing multiple petitions or complaints for a cause that
has been previously rejected in the false expectation of
getting favorable action;
8. Other acts of similar nature.
Lawyer Shall Not Resort to Forum Shopping
Basis: Rule 12.02 - A lawyer should not fiie multiple
actions arising from the same cause.
Forum shopping
The improper practice of going from one court to another
in the hope of securing a favorable relief in one court which
another court has denied or the filing of repetitious suits or
proceedings in different courts concerning substantially the
same subject matter.
There is also forum shopping when there is an adverse
r curable by mere amendmeni of the complaint or other
\. opinion in one forum, a party seeks a favorable opinion in
another forum, other than through an appeal or certiorari.
{ Continuously filing motions for inhibition against Supreme
Court Justices based from flimsy to wild accusations of
(
\ partiality in order to delay the administration of justice can
result in the disbarment of a lawyer (In re SC Resolution
dated 28 April 2003, A.G. 6332, 2012).
·- A certification against forum shoppir 19 is required to be filed
~
..:..
with the initiatory pleading; failure to do so is a ground for
dismissal (Rule 7, Sec. 5, ROG).
Test to Determine Forum Shopping
Whether the elements of litis pendentia are present or
whether a final judgment in one case will amount to res
judicata in another (First Phil. International Bank v. CA,
G.R. No. 115849, 1996).
Duty to Disclose Pending Case
A disclosure of any pending cases at the time the initiatory
pleading is filed must be made, even if:
1. He has withdrawn the pending case, or it has otherwise
been terminated; or
2. The initiatory pleading is not based on the same cause
of action as the pending case (Soller v. Comelec, 339
SCRA 378, 1998).
The Certification Against Forum Shopping Must be
Signed by the Party, Not His Counsel
General Rule: The party himself must sign such
certification as he has per son al knowiedge of the facts
stated therein. Only the party himself has actual knowledge
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
of whether or not he has initiated similar actions or.
proceedings in courts or agencies (Digital Microware Corp.
v. CA, G.R. No. 128550, 2000).
Exception: A certification executed by counsel of the party
must certify that he has personal knowledge of the facts
stated therein and must give a justifiable reason or
explanation why the party himself cannot sign the
certification {Orliz v. CA, G.R. No. 127393, 1998).
When there are two or more plaintiffs or petitioners, all of
them must sign the certification, unless one is authorized
to sign on behalf of the others. If the party is a juridical
person, it has to be executed by a corporate officer or
agent duly authorized by its board.
Sanctions for Non-filing of Certificate Against Forum
Shopping and Failure to Comply With its
Requirements
1 .. Dismissal of the Case: Failure to comply shall not be
initiatory pleading but shall be cause for the dismissal
of the case without prejudice, unless otherwise
provided, upon motion and after hearing.
2. Indirect Contempt of Court: The submission of a
false certification or non-compliance with any of the
undertakings therein shall constitute indirect contempt '
of court, without prejudice to the corresponding
admirnstrative and criminal actions.
Sanctions for willful and deliberate forum shopping:
·1. Summary dismissal of au actions, with prejudice;
2. Criminal, civil and/or administrative liability;
3. Direct contempt of court.
Lawyer to Temper Client's Propensity to Litigate
A lawyer should resist the whims and caprices of his client
and temper his client's propensity to litigate (Cobb-Perez
v. Lantin, G.R. No. L-22320, 1968). A lawyer has an
affirmative duty to check useless litigations, willful violation
of which may subject him to appropriate disciplinary action
(Arambulo v. Perez, G.R. No. L-185, 1947) or render him
liable for costs of litigation (Pajares v. Abad Santos, G.R.
No. L-29543, 1969).
Res Judicata requires that:
1. There be a decision on the merits;
2. It be decided by a court of competent jurisdiction;
3. The decision is final; and
4. The two actions involved identical parties, subject
matter, and causes of action.
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Lawyer Sha!I File His Pleadings Within the Prescribed
Period • altered (Castaneda v. Ago, G.R. No. L-28546, 1975).
Basis: Rule 12.03 - A lawyer shall not, alter cbtaininy
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.
Where a lawyer's motion for extension of time to file a
pleading, memorandum or brief has remained un-acted
upon by the court, the least that is expected of him is to file
within the period asked for. (Roque, Jr. v. Balbin I A. C.
No. 7088 / December 4, 2018)
If for some reason, he fails to do so, he should nonetheless
file it with a motion for leave to admit the same, explaining
the reasons for the delay, or file a manifestation informing
the court that he can no longer file the same (Roxas v. CA,
G.R. No. 76549, 1987).
Duty of Lawyer to Inform Court of Client's Death and
Change of Counsel's Address
It is the duty of a lawyer to inforrn the court, within 30 days,
of the death of his client in a pending case and if the claim
is not extinguished by death, of the name of the deceased's
representatives, so that substitution can be made. If there
is no notice made, the court will proceed as if the party is
alive and its decision thereon is binding upon the heirs of
the deceased (Heirs of Elias Lori/la v. CA., G.R. No.
118655, 2000).
It is also the lawyer's duty to inform the court of any change
of his address. Such duty is part of a lawyer's obligation to
assist in the early termination of the case. Failure on the
lawyer's part will result in the binding effect of service done
at the lawyer's unchanged address of record (City Sheriff
v. Fortunato, supra).
Lawyer Shall Nol Abuse Court Processes
Rule 12.04 - A lawyer shall not unduly delay a cause.
impede the execution of a judgment, or misuse court
processes.
It is essential to an effective and efficient administration of
justice that once a judgment has become final, the winning
party be not, through subterfuge and misuses of legal
process, be deprived of that verdict (Likim Tho v. Sanchez,
G.R. No. L-2676, 1949).
Lawyer to Discourage Appellate Review
If a lawyer is honestly convinced of the futiiity of an appeal
in a civil suit, he should not hesitate to inform his
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
disappointed client that most likely the verdict will not be
A lawyer who interposes an appeal manifestly for the
purpose delay does so with full awareness of his
responsibility as an officer of the court and of the risk of
being disciplined therefore (Samar Mining Co. v. Amado,
G.R. No. L-22304, 1968).
Lawyer Shall Not Talk to Witness During Recess
Rule i 2.05 - A lawyer shall refrain from talking to his
witness during the break or recess in the trial, while the
witness is still under examination.
Purpose: To avoid any suspicion that he is coaching the
witness what to say during the resumption of the
examination (Agpalo, Legal and Judicial Ethics, p. 173,
2009).
Lawyer Shall Not Assist a Witness to Misrepresent
Bases:
Rules 12.06 - A lawyer shall not knowingly assist a witness
to misrepresent himself or to impersonate another.
Art. 184, RPC. The lawyer who presented a witness
knowing him to be a false witness is criminaliy liable for
offering false testimony in evidence. The lawyer is both
criminally and administratively liable.
While he may interview witnesses in advance or attend to
their needs if they are poor and have no adequate means
of defraying their own expenses, (People v. Elfzaga, G.R.
No. L-2487, 1950) the lawyer must avoid any action that
may be misinterpreted as an attempt to influence the
testimony of a witness (Id.).
Subornation of Perjury
Subornation of perjury is committed by a person who
knowingly and willfully procures another to swear falsely
and the witness suborned [or induced] does testify under
circumstances rendering him guilty of perjury [US v.
Ballena, G.R. L-6294 (191'/)J.
Lawyer Shall Not Harass a Witness
Rule 12.07 - A lawyer shali not abuse, browbeat or harass
a witness nor needlessly inconvenience him.
Rights of Witnesses (Sec.3, Rule 132)
1. To be protected from irrelevant, improper or insulting
questions and from a harsh or insulting demeanor:
2. Not to be detained longer than the interests of justice
require;
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3. Not to be examined except as to matter pertinent to the
• issues before the court;
4. Not to give an answer which will tend to subject him to
a penalty for an offense unless otherwise provided by
law;
5. Not to give an answer which will tend to degrade the
witness' reputation, but a witness must answer the fact
• of any previous final conviction for a criminal offense.
Lawyer Shall Avoid Testifying for a Client
Basis:_Rule 12.08 -A lawyer shall avoid testifying in behalf
of his client, except:
(a) On formal matters, such as the mailing,
authentication or custody of an instrument, and the like, or
(b) On substantial matters, in cases where his
testimony is essential to the ends of justice, in which event
he must, during his testimony, entrust the trial of the case
to another counsel.
Ratio
The underlying reason for the impropriety of a lawyer
acting in such dual capacity lies in the difference between
the function of a witness and that of an advocate. The
function of a witness is to tell the facts as he recalls then in
answer to questions. The function of an advocate is that of
a j)cll'tisan.
It is difficult to distinguish between the zeal of an advocate
and the fairness and impartiality of a disinterested witness.
The lawyer will find it hard to disassociate his relation to his
client as an attorney and his relation to the party as a
witness [Agpa/o].
Lawyer should avoid testifying in court in behalf of his
client
When a lawyer is a witness for his client, except as to
merely formal matters, such as the attestation or custody
of an instrument and the like, he should leave the trial of
the case to other counsel. Except when essential to the
ends of justice, a lawyer should avoid testifying in court in
behalf of his client [PNB v. Uy Teng Piao, G.R. L-35252
(1932)].
Lawyers as Partisans
Lawyers are partisans, actively advocating the case.
Witnesses, on the other hand, are expected to tell facts as
they recall them. If lawyers become witnesses, there is
now doubt on their fairness and impartiality. Hence, this
involves a question of propriety more than competency
(Santiago v. Rafanan, A.C. 6252, 2004).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
While the law does not disqualify a lawyer from being a
witness and an advocate at the same time, the practice is
frowned upon. It may be done when absolutely necessary
and the lawyer must withdraw from active management of
the case (Phil. National Bank v. Uy Teng Piao, G.R. No. L-
35252, 1932).
Reliance on merits of his/her cause and avoidance of
any impropriety which tends to influence or gives the
appearance of influence upon the courts
Canon 13 - A lawyer shall rely upon the merits of his cause
and refrain from any impropriety which tends to influence
or give the appearance of influencing the court.
Improper acts of lawyer which give the appearance of
influencing the court to decide case in a particular way
lessen the confidence of the public in the impartial
administration of justice, and should be avoided
(Comments of IBP Committee that drafted the Code, p.
70).
Some acts considered improper
1. Despite the pending cases and the notice of the
Supreme Court to cease, the unions intensified their
picketing by settinq quarters on the pavement in front
of the Supreme Court, obstructing the passageway,
littering the area, raising placards, and using loud
speakers all day long (Nestle Philippines v. Sanchez,
G.R. No. 75209, 1987).
2. A lawyer who, in a newspaper article, asked the
Supreme Court to dispel rumors that it would rule on
the Plunder Law as unconstitutional was guilty of
indirect contempt (In re: De Vera, A.M. No. 01-12-03-
SC, 2002; In re: De Vera, A. C. No. 6052, 2003).
3. The recording of the triai of then President Estrada in
the Sandiganbayan should not be televised real-time;
otherwise, public opinion may affect the regularity and
fairness of the trial (Perez v. Estrada, A.M. No. 01-4-
03-SC, 2001).
Lawyer Shall Not Extend Hospitality or Extraordinary
Attention to a Judge
Rule 13.01 - A lawyer shall not extend extraordinary
attention or hospitality to, nor seek opportunity for
cultivating familiarity with judges.
Such attitude may subject both lhe judge and the lawyer to
suspicion. It is not, however, incumbent on a lawyer to
refuse professional employment in a case because it may
be heard by a judge who is his relative, compadre or former
colleague. The responsibility is on the judge not to sit in a
case unless he is both free from bias and from the
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appearance thereof (Bautista v. Rebueno, G.R. No. L-
46117, 1978).
Lawyer Shall Not Publicly Discuss Pending Cases
Ruie 13.02 - A lawyer shall not make public statements in
the media regarding a pending case tending to arouse
public opinion for or against a party.
Publications may interfere with Fair Trial
Newspaper publications by a lawyer concerning a pending
litigation may interfere with a fair trial in court and otherwise
prejudice the impartial administration of justice (Cruz v.
Salva, G.R. No. L-12871, 1959; Martelino v. Aleiandro,
G.R. No. L-30894, 1970). The restriction does not prohibit
issuance of statements by public officials charged with the
duty of prosecuting or defending actions in court.
However, such statements should avoid any statement of
fact likely to create an adverse attitude in the public mind
respecting the alleged actions of the defendants to the
per.ding proceedings.
Criticism of Pending and Concluded Litigation
The court, in a pending litigation, must be shielded from
embarrassment or influence in its all-important duty of
deciding the case. However, once litigation is concluded,
the judge who decided it is subject-to the same criticism as
other people (In re Gomez, 43 Phil. 376, 1922) because
then his ruling becomes public property and is thrown open
to public consumption (Strebel v. Figueras, G.R. No. L-
4722, 1974; In re Almacen, G.R. No. L-27654, 1970).
In a concluded litigation, a lawyer enjoys wide latitude of
comment on or criticism of the judge's decision or his
actuation.
Sub judice rule
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 Abistado.
557 Phil. 668, 1932; In re Lozano, 54 Phil. 801, 1930).
Limitations on the Right to Criticize
The right of a lawyer to comment on or criticize the decision
of a judge or his actuation is not unlimited.
It "is the cardinal condition of such criticism that it shall be
bona fide and shall not spil! over the walls of decency and
propriety" (In ro Almacen, supra).
Respect for the judiciary cannot be had if persons are
privileged to scorn the resolution of the court adopted ior
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
good purposes and if such persons are to be permitted by
subterranean means to diffuse inaccurate accounts of
confidential proceedings to the embarrassment of the
parties and the court (In re Lozano, 54 Phil. 801, 1930; In
re Abistado, 57 Phil. 668, 1932).
Right and Duty of Lawyer to Criticize Courts
As a citizen and officer of the court, a lawyer is expected
not only to exercise the right but also to consider it his duty
to expose the shortcomings and indiscretions of courts and
judges.
Courts and judges are not sacrosanct. They should expect
critical evaluation of their performance.
Lawyer Shall Not Invite Interference by Another
Branch of Government
Rule 13.03 -A lawyer shall not brook or invite interference
by another branch or agency of government in the normal
course of judicial proceedings.
Ratio
The basis for this rule is the principle of separation of
powers.
A lawyer filed in the Office of the President a so-called
complaint against the justices of the Supreme Court for
their alleged biases and ignorance of the law. But the
lawyer forgets the separation of powers. The Judicial
Department is third branch of government, vested with
judicial power. The Supreme Court is. indeed, supreme -
the President nor any other department or agency may not
pass judgment on it (Maglasang v. People, G.R. No.
90083. 1990).
CONTEMPT
Direct Contempt (Rule 71, Sec.1, ROG)
A person guilty of misbehavior in the presence of or so near
a court as to obstruct or interrupt the proceedings before
the same, including disrespect toward the court, offensive
personalities toward others, or refusal to be sworn or to
answer as a witness, or to subscribe an affidavit or
deposition when lawfully required to do so.
Penalty: Punished by a fine not exceeding two thousand
pesos or imprisonment not exceeding ten (10) days, or
both, if it be a Regional Trial Court or a court of equivalent
or higher rank, or by a fine not exceeding two hundred
pesos or imprisonment not exceeding one (1} day, or both,
if ii be a lower court.
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Indirect Contempt (Rule 71, Sec.3, ROC)
A perscn guilty of any of the following acts may be
punished for indirect contempt: (DRAMA-FID)
1. Qisobedience of or resistance to a lawful writ, process,
order, or judgment of a court, including the act of a
person who, after being dispossessed or ejected from
any real property by the judgment. or process of any
court of competent jurisdiction, enters or attempts or
induces another to enter into or upon such real
property, for the purpose of executing acts of
ownership or possession, or in any manner disturbs the
possession. given to the person adjudged to be entitled
thereto;
2. The Bescue, or attempted rescue, of a person or
property in the custody of an officer by virtue of an order
or process of a court held by him.
3. Any Abuse of or any unlawful interference with the
processes or proceedings of a court not constituting
direct contempt under section 1 of this Rule;
4. Misbehavior of an officer of a court in ihe performance
of his official duties or in his official transactions;
5. Assuming to be an attorney or an officer of a court, and
acting as such without authority;
6. failure to obey a subpoena duly served;
7. Any Improper conduct tending, directly or indirectly, to
impede, obstruct, or degrade the administration of
justice;
8. Qisobedience of or resistance to a lawful writ. process,
order, or judgment of a court, including the act of a
person who, after being dispossessed or ejected from
any real property by the judgment or process of any
court of competent jurisdiction, enters or attempts or
induces another to enter into or upon such real
property, for the purpose of executing acts of
ownership or possession, or in any manner disturbs the
possession given to the person adjudged to be entitled
thereto;
Penalty: If the respondent is adjudged guilty of indirect
contempt committed against a RTC or a court of equivalent
or higher rank, he may be punished by a fine not exceeding
thirty thousand pesos or imprisonment not exceeding six
(6) months, or both.
If he is adjudged guilty of contempt committed against a
lower court, he may be punished by a fine not exceeding
five thousand pesos or imprisonment not exceeding one
(1) month, or both. If the contempt consists in the violation
of a writ of injunction. temporary restr~ining order or status
quo order, he may also be ordered to make complete
restitution to the party injured by such violation of the
property involved or such amount as may be aileged and
proved.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
4. DUTIES TO THE CLIENTS
A. Canons 14-22
Nature of the Client-relationship
A lawyer is more than an agent or servant since he
possesses special powers of trust and confidence,
independence and powers superior to those of an ordinary
agent aside from being an officer of the court (Rega/a v.
Sandiganbayan, G.R. No.105938, 1996).
Characteristics of the Relationship: (PCF)
1. Strictly personal;
2. Highly confidential; and
3. Fiduciary.
In sum, the relationship between a lawyer and his client of
one of trust and confidence. (Agpalo, Legal and Judicial
Ethics, p. 182. 2009)
Relationship as Strictly Personal
Features:
1. Involves mutual trust and confidence of the highest
degree;
2. Court or administrative tribunal must take client's word
on the creation or existence of the relationship;
3. Should not be established out of pressure or deception;
4. Prohibits delegation of the relationship in favor of
another attorney without the client's consent;
5. Can be terminated at any time at the will of the client,
with or without cause;
6. Cannot be terminated at the will of the lawyer without
consent of the client or the court;
7. The relationship terminates upon the death of either the
client or the attorney.
However, a lawyer is not required to adapt a client's
troubles as his own as a professional detachment will
better serve the interest of the client and keep his
professional conduct within ethical bounds (Agpalo, Legal
and Judicial Ethics, p. 184, 2009).
Relation as Fiduciary and Confidential
The relation is a very delicate. exacting and confidential
character (Daroy v. Legaspi, A.M. No. 936, 1975; In re de
la Rosa, 27 Phil. 258, 1914; Canon 15, CPR) entailing
responsibilities that must be reconciled with the lawyer's
duties to the court, the bar and the public.
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De111ands from the lawyer (Daroy v. Legaspi, supra)
1. Undivided allegiance, conspicuoue and high degree of
good faith, loyalty, fidelity;
2. Disinterestedness, Candor, Fairness;
3. Absolute integrity in all his dealings with clients;
4. Renunciation of any personal advantage, direct or
indirect, that conflicts with client's interest.
Rules Protective of Relation
Public interest requires that the personal, confidential and
fiduciary relationship between the attorney and client be
preserved and protected (Hernandez v. Villanueva, G.R.
No. L-16223, 1920; Go Beltran v. Fernandez, A.M. No.
747, 1940).
Only faithful adherence to the rules can safeguard the trust
and confidence placed by a client on his attorney, and the
Supreme Court subjects violators of the rules to discipline
and administrative liability in order to protect the public, the
courts and the clients from dishonesty and incompetence
of unfaithful lawyers (Hernandez v. Villanueva, G.R. No. L-
16223, 1920).
Attorney-Client Relationship
When is an attorney-client relationship deemed to
exist? .
An atterney-cllent relationship is said to exist when a
lawyer voluntarily permits or acquiesces with the
consultation of a person, who in respect to ~ business or
troubie of any kind, consults a lawyer with a view of
obtaining professional advice or assistance (Uy v.
Gonzales, A. C. No. 5280, 2004).
Sufficiency of Professional Employment
1. Formality is not an essential element, as the contract
may be express or implied;
2. In the absence of a written contract, circumstantial
evidence is sufficient to establish a professional
relationship;
3. What is necessary to establish is that the advice and
assistance of an attorney is sought and received in any
manner pertinent to his profession;
4. It is not necessary that:
(a) A fee was paid or promised to be paid;
(b) The lawyer was previously employed by the client;
(c) The attorney consulted undertook the case; or that
( d) Confidential information was confided or acquired
by the attorney.
Concept of Retainer
A retainer refers to:
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
1. The act of the client by which he engages the services
of an attorney to render legal advice, or to defend or
prosecute his cause in court; or
2. The fee a client pays to an attorney when he is retained,
a "retaining fee", paid to insure and secure his future
services and to compensate counsel for being
forbidden from acting as counsel for the other party
(Hilado v. David, G.R. No. L-961, 1949).
Note: The proper time for a lawyer to deal with the issue of
his attorney's fees is at the commencement of the lawyer-
client relationship (Faja;do v. Sugaring, A. C. No. 5113,
2004).
Kinds of Retainer Agreements:
1. General Retainer - The purpose is to secure
beforehand the services of an attorney for any legal
problem that may afterward arise.
2. Special Retainer - The purpose is to a particular case
or service (Agpalo, Legal and Judicial Ethics, p. 186).
Necessity of retainer
1. An attorney has no power to represent or appear in
court on behalf of a client without being retained or
· employed;
2. There must be a contract of employment, express or
implied, between the lawyer and the client or the client's
representative (Hilado v. David, supra).
Employment of the law firm
1. A professional relationship arises when a client seeks
and is given advice by a member of the law firm.
2. Employment of the law finn is employment of all the
members thereof and employment of a member of the
firm is employment of the law firm (Hilado v. David,
supra).
3. A member of the firm acts in the name and interest of
the firm, thus information disclosed to him as a member
of the firm is deemed disclosed to the firm.
4. Employment of the firm results in the continuation of the
professional relationship even after the death of the
counsel.
5. Notice to a law firm as counsel of record is deemed to
be notice to all the members of the firm (Trust
International Corporation v. Pelaez, G.R. No. 164871,
2006).
Who can employ (L-MAE-WB)
1. Any person with .begal capacity;
2. Minors or incapacitated persons with the assistance of
guardian ad litem:
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~
r:
I 3. Agents with special power of attorney with regard to
r-
principal's propetty or interest;
4. 5.xecutors or administrators or trustee, on behalf of ihe
estate or beneficiary;
5. Wife in instances where law allows her to sue or be
sued on her own; and
6. ~oard of directors of a corporation, a corporate- officer
with delegated power to be hire an attorney or a
stockholder in a derivative suit on behalf of the
corporation.
Availability of Service Without Discrimination
Canon 14 - A lawyer shall not refuse his services to the
needy.
General Rule: While the primary task of the lawyer as
advocate is to represent a party litigant in court, he is not
obliged to act as counsel for any person who wishes to
(
become his client.
Exception: Under Canon 14, when rendering free legal
services to the needy and oppressed who are unable to
pay attorney's fees (Canon 14, CPR; Comments of IBP
Committee that drafted the Code, p. 75) in order to aid the
plight of the needy and in fulfillment of the IBP's goal to
make legal services available to those who need them.
,-
1. Lawyer has powers superior to those of an ordinary
agent.
2. A lawyer's first duty ls not to his client but to the
administration of justice.
3. The poor and the indigent should not be further
disadvantaged by a lack of access to the Philippine
legal system.
4. Rule on Mandatory Legal Aid Service - 60 hours a year
Services regardless of a person's status
Rule 14.01 - A lawyer shall not decline to represent a
person solely on account of the latter's race, sex, creed or
status of life, or because of his own opinion regarding the
guilt of the said person.
1. A lawyer may ethically defend a person whom he
believes to be guilty.
2. A defense counsel who referred to his clients as the
culprits that ··salvaged" the victim, has shown
discrimination (Francisco v Portugal, A. C. No. 6155,
2006).
A lawyer should not decline to represent an unpopular
client regardless of his personal feelings (Rule 138. Sec.
20(h). ROC: Rule 14.01, CPR) on the guilt or innocence of
the accused. This is distinct from a situation where a lawyer
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
who knows that his client is guilty, in which case he cannot
put up an honest and whole-hearted defense.
Gent::ral Rule: 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.
Exceptions:
1. A lawyer shall not refuse his services to the needy
[Canon 14)
2. A lawyer shall not decline to represent a person solely
on account of the latter's race, sex, creed or status of
life, or because of his own opinion regarding the guilt of
said person. [Rule 14.01)
3. 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 the prospective client. [ Rule 14. 02]
4. 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 the prospective client. [Rule 14.03]
Lawyer shall not decline appointment by the court or
by the IBP
Rule 14.02 -A lawyer shall not decline, except for serious
and sufflcient cause, an appointment as counsel de officio
or as arnicus curiae, or a request from the Integrated Bar
of the Philippines or any of its chapters for rendition of free
legal aid.
Features:
1. A client-attorney relation is created not only by
agreement but also by appointment; and,
2. The lawyer owes the same duty to the indigent litigant
as to a paying client (People v. Estebia, G.R. No. L-
26868, 1969; People v. lngco, G.R. No. L-32994, 1971;
Ledesma v. Climaco, G.R. No. L-23815, 1974).
The lawyer is duty-bound to render the required service
unless he is excused by the court upon sufficient cause
shown (Rule 138, Sec. 31, ROG).
A counsel de officio is expected to do his utmost as an
opportunity to assist in the proper dispensation of justice.
Mere presence in the court rs not enough.
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Service as Coupsel de Officio
What is counsel de officio? • aid free of charge to any party in a case, if upon
A court may assign a lawyer to render professional aid, free
of charge, to any party in a case if upon investigation it
appears that the party is destitute and unable to employ a
lawyer and that the services of a counsel are necessary to
secure the ends of justice.
A counsel de officio is expected to render effective service
wand to exert his best efforts on behalf of an indigent
accused. He has as high a duty to a poor litigant as to a
playing client. He should as a vanguard in the bastion of
justice have a bigger dose of social conscience and a little
less of self-interest. He should ever be conscious of his
duty to the indigent whom he defends (Lames v. Lascieras,
AM No. 1919, 1979).
Who may be appointed counsel de officio?
The court, considering the gravity of the offense and the
difficulty of the questions that may arise, shall appoint as
counsel de officio such members of the bar in good
standing who, by reason of their experience and ability, can
competently defend the accused. But in localities where
such members of the bar are not available, the court may
appoint any person, resident of the province and of good
repute for probity and ability, to defend the accused (Rqle
116, Sec. 7, ROCJ.,
Are all counsel de officio lawvers?
No. In localities where members of the Bar are n~t
available, the court may appoint any person, resident of the
province and good repute for probity and ability, to defend
the accused (Rule 116, Sec. 7, ROC).
When assigned; In criminal actions
In criminal actions, a counsel de officio is assigned before
arraignment and accused has not named a counsel of
choice (Rule 116, Sec. 6, ROCJ.
1. Upon filing of the notice of appeal in the RTC. CA or SC
and the clerk of court inquires if appellant desires that
a counsel de officio to be appointed; (Rule 122, Sec.
13, ROC)
2. If it appears from the record as transmitted that the
accused:
(a) !s in prison;
(b) Is without counsel de parte on appeal; or,
(c) Has signed the notice of appeal himself, the clerk
of court may designate a counsel de officio,
3. An appellant not confined in prison may, upon request,
be assigned a counsel de officio within 1 O days from
receipt of notice to fi!e brief and establishment of right
thereto (Rule 124, Sec. 2. ROG);
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
4. A court may assign an attorney to render professional
investigation it appears that the party is destitute and
unable to employ an attorney, and the services of
counsel are necessary to secure the ends of justice and
to protect the rights of the party. It shall be the duty of
the attorney so assigned to render the required service,
unless he is excused by the court for sufficient cause
shown (Rule 138, Sec. 31, ROG);
5. If a criminal case is pending in a location where there
are no available practicing lawyers, the city or
municipal judge concerned shall immediately
recommend to the nearest District Judge the
appointment of a counsel de officio, and the District
Judge shall appoint a municipal judge or a lawyer
employed in any branch, subdivision, or instrumentality
of the government within the province as counsel de
officio for the indigent. The services shall be duly
compensated by the Government in accordance with
Rule 138, Sec. 32 (P.O. 543: 1974).
When not assigned:
1. it is not enough for the Court to apprise an accused of
his right to have an attorney, it is not enough to ask him
whether he desires the aid of an attorney, but it is
essential that the court should assign one de oficio for
him if he so desires and he is poor or grant him a
reasonable time to procure an attorney of his own.
Failure to do · so may be a ground to set aside the
judgment and a new trial ordered. (People v.
Malunsing, G.R. No. L-29015, 1975).
2. Right to counsel of choice is violated when:
(a) Accused informed trial court his desire to acquire
counsel of choice;
(b) A counsel de officio is appoint;
( c) Accused protests appointment and actions of
counsel de officio (People v. Solis, G.R. No. L-
33957. 1984 ).
Frequent appointment of the same counsel
discouraged
The accused may be denied affective assistance when a
lawyer is repeatedly appointed as counsel de officio by the
court as:
1. He may be overburdened by his regular practice and
have little time for his de officio cases; or,
2. He may treat de officio cases as a regular source of
income and be inordinateiy eager to finish his cases
and collect fees (People v. Daeng, G.R. No. L-34091,
1973).
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• Who may be Appointed as Counsel de Oficio
1. A member of the bar in goo~ standing who, by reason
of their experience and ability, can competently defend
the accused;
2. In localities without lawyers:
(a) Any person resident of the province and of good
repute for probity and ability [ Sec. 7, Rule 116);
(b) A municipal judge or a lawyer employed in any
branch, subdivision or instrumentality of the
government within the province [Sec. 1, PD 543).
Lawyer shall observe the same standards for all
clients.
RULE 14.04 - A Lawyer who accepts the cause of a
person unable to pay his professional fees shall observe
the same standard of conduct governing his relations with
(
paying clients.
\ Characteristics
1. The purpose of the legal profession is public service
and secure justice; livelihood is only a secondary
consideration (Agpalo, Legal and Judicial Ethics, p. 12,
r
2009).
'
2. The attorney's fees or the client's ability to pay should
not determine the devotion of a lawyer to his client's
cause (Operel v. Abaria, A.G. No. 959, 1971; People v.
Estebia, G.R. No. L-26868, 1969).
3. The fact that he merely volunteered his services or the
' circumstance that he was a counsel de oficio neither
diminishes nor alters the degree of professional
responsibility owed to his client. (People v. Rio, G.R.
No. 90294, 1991). Failure to pay the agreed fees does
nnt warrant ;:1handonment of the client's case (In re
Montague & Dominguez, G.R. No. 1107, 1904).
Lawyers who devoted their professional practice in
representing litigants who could ill afford legal service
deserve commendation. However, this mantle of public
service will not deliver the lawyer, no matter how well
meaning, from the consequences of negligent acts. 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,
2005).
Valid grounds for refusal to serve
RULE 14.03 - A Lawyer may not refuse to accept
representation of an indigent client unless:
(a) He is not in the 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
the prospective client.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
General Rule: A lawyer is not obligated to represent any
person who wishes to be his client (Enriquez v. Gimenez,
G.R. No. L-12817, 1960).
Exceptions:
1. A lawyer may not refuse to represent indigent client
UNLESS (People v. lrisuilo, G.R. No. L-1473, 1948;
Ledesma v. Climaco, G.R. No. L-23815, 1974j he is
relieved by the court for sufficient cause, such as wher.:
(a) He is not in a position to carry out the work
effectiveiy or competently; or
(b) There exists a conflict of interest between him and
the prospective client.
2. A government lawyer called upon to represent the
government, any of its agencies or any officer thereof
UNLESS he is disqualified to aci as counsel (Enriquez,
Sr. v. Gimenez, G.R. No. L-121817; Reyes v. Comi.sta,
G.R. No. L-55555, 1953; Municipality of Bocaue v.
Manotok, G.R. No. L-6528, 1953; Aquador v. Enerio,
G.R. No. L-20388, 1971; Callejo v. Court of Appeals,
G.R. No. 156413, 2004).
The Solicitor General, in cases requiring him to act on
behalf of the government, should not decline to appear in
court without a just and valid reason (Gonzales v. Chavez,
G.R. No. 97351, 1992) even in cases where two
government agencies are at odds against each other.
A lawyer must accept only as much cases as he can
efficiently handle, otherwise the interests of his clients will
suffer (Parias v. Paguinto, A. C. 6297, 2004).
Candor, Fairness and Loyalty to Clients
Canon 15 - A lawyer shall observe candor, fairness and
loyalty in all his dealings and transactions with his client.
1. In his dealings with his client, a lawyer must conduct
himself with integrity in a manner beyond approach.
2. A lawyer should refrain from any action whereby for his
personal benefit or gain, he abuses or takes advantage
of the confidence reposed in him by the client.
Duty to preserve the cflent's confidence
Canon 17 - A lawyer owes fidelity to the cause of his client
and he shal! be mindfui of the trust and confidence reposed
in him.
To hide from the complainant, avoid his calls, ignore his
letters, and leave him helpless is unforgivable; and to
commit all these acts and omissions after receiving the full
amount of legal fees and after assurinq the client of his
commitment and responsibility violates the Code of
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Professional Responsibility. (Overgaard v. Valdez, A.G. Safeguarding these secrets requires the application of both
7902, 2008). • ethical and evidentiary considerations.

Confidentiality Rule It is important to distinguish between information disclosed

Canon 21 - A lawyer shall preserve the confidence of his "in confidence" or as a "secret", versus information that
client even after the attorney-client relationship is may be secured elsewhere-the privilege covers only the
terminated. first type of information.

Confidential communication
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
(Mercado v. Vitriolo, A.G. No. 5108 (2005)].
Purpose
Confidentiality is needed to promote a full disclosure of the
client's most confidential information to his/her lawyer for
an unhampered exchange of information between them.
Legaspi v. Fajardo I A.G. No. 9422 I November 19, 2018
Rule 130, Sec 24(b) of the Rules of Court makes the
communication between an attorney and his client
privileged communication. It precludes the attorney from
testifyinq on such matters. 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.
Duration of duty
The duty to keep secret is a perpetual duty that continues
even after the attorney-client relationship has been

[coNFIDENCEOF
CLIENTS
SECRETSOF CLIENTS I terminated (Canon 21, CPE; Canon 37, CPR) or the death
of the client for once professional confidence is reposed it
can.not be divested by either event.
Refer to information Refer tb information gained in the I
protected by I profession relationship that the An attorney is forbidden:
attorney-client I client has requested to be held I 1. To do anything which will injuriously affect hls former
privilege under the I invlolate or the disclosure of client: and
Rules of Court (i.e .• , which would be embarrassing or 2. To disclose or use against the client information gained
information would likely be detrimental to the by virtue of the professional relationship, whether in or
pertinent to the case client (i.e., information not out of court.
being handled) exactly pertinent to the case).
General Rule: The protection of the attorney client
privilege is perpetual.

Exceptions:
1. When removed by the client himself (Agpalo, Legal and
Judicial Ethics, p.266, 2009);
2. When removed after the death of the client by his heir
Duty to preserve the client's confidence
or legal representative (!cl.);
Rule 21.0i - A lawyer shall not reveal the confidence or
3. When a supervening act done pursuant to the purpose
secrets of his clients except:
of the communication causes such communication to
a. When authorized by the client after acquainting
lose its priviieged character such as:
him of the consequences of the disclosure;
(a) Communication sent by ciieni ihrough his attorney
b. When required by !aw;
once it has reached third party recipient (Uy Chico
c. When necessary to collect his fees or to defend
v. Union Life Assurance Society, G.R. No. L-9231,
himself, his employees or associates or by judicial action.
1915); or,
(b) The contents of a pleading before it is filed (Agpalo,
A lawyer has the duty to preserve the secrets of his clients.
Legal and Judicial Ethics, p.266, 2009).
including prospective clients, e\'en at his own peril.

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Suing one's attorney may result in the termination of the
attorney-client relationship. It is incompatible with the
mutual confidence and trust essential to every attorney-
client relationship. Hence, it was held in this case that the
attorney-client relationship was implicitly terminated by the
client upon the filing of a civil suit against his lawyer. The
civil suit for rescission resulted in the termination of the
attorney-client relationship. The object of the civil suit
resulted in a conflict of interest (Pfelider v. Palanca, AC.
No. 927, 1970).
Lawyer shall not use client's secret without his
consent
Rule 21.02 - A lawyer shall not, to the disadvantage of his
client, use information acquired in the course of his
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.
Use of client's secrets by the lawyer to the client's
(
disadvantage or to the lawyer's or a third person's
advantage deals a blow to the attorney-client relationship
(Nombrado v. Hernandez, A.G. No. 555, 1968).
Lawyer shall not give information from his files
' .
Rule 21.03 - A lawyer shall not, without the written· consent
of his client, give information from his file to an outside
r
agency seeking such information for auditing, statistical
bookkeeping, accounting, processing or any othet similar
'
purpose:
The work products of a lawyer, contained in his files, are
privileged matters that neither the lawyer nor his heir or
legal representative may give out without his client's
consent.
The file cabinet of a lawyer containing his client's records
and documents may not be ordered opened because that
would be tantamount to compelling him to divulge the
client's confidence in violation of the law imposing upon
him the duty to strictly preserve the client's secrets (People
v Sy Juco, G.R. No. L-41957, 1937).
Lawyer may disclose affairs of client to partners
Rule 21.04 - A lawyer may disclose the affairs of a client
of the firm to partners or associates thereof unless
prohibited by the client.
Partners and practitioners who held supervisory capacities
are legally responsible to exert ordinary diligence in
apprising themselves of the comings and goings of the
cases handled by the persons over which they are
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
exercising supervisory authority and in exerting necessary
efforts to foreclose he occurrence of violations of the Code
of Professional Responsibility by persons under their
charge (So!atan v lnocentes, A. C. No. 6504, 2005).
Lawyer Shall Adopt Measures Against Disclosures of
Client's - Secrets and Shall Avoid Indiscreet
Conversation about Client's Affairs
Rule 21.05 - 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 - A lawyer shall avoid indiscreet conversation
about a client's affairs even with members of his family.
Indiscreet conversations about client's affairs are
prohibited in order to better preserve the client's
confidences and to avoid prejudice to the client and loss of
respect to the legal profession ( Comments of the IBP
Committee that drafted the Code, p. 120).
Lawyer Shall Not Reveal His Having Been Consulted
Rule 21.07 - A lawyer shall not reveal that he has been
consulted about a particular case except to avoid possible
conflict of interest.
General Rule:
1. Revealing that a lawyer has been consulted is
tantamount to revealing the confidences and secrets of
the client;
2. The rule on privileged communications extends to
matters disclosed by a prospective client;
3. This applies even when the lawyer does not accept the
employment, as the disclosure and the lawyer's opinion
on the matter already create an attorney-client
relationship.
Exception: When the lawyer will be placed in a situation
of representing conflicting interests.
Privileged communications
Requisites: (AC-ConProf)
1. There exists an Attorney-~lient relationship, or a
prospective attorney-client relationship, and it is by
reason of this relationship that the client made the
communication;
2. The client made the communication in Confidence, in
the course of. or with a view to professional
employment;
3. The legal advice must be sought from the attorney ln
his Professional capacity (Jimenez v. Atty. Francisco,
A.C. No. 10548, 2014).
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Evidentiary Privilege: All the elements u,herent in the rule
must concur to make the communication privileged
communication against disclosure (Mercado v. Vitriolo,
A.G. No. 5108, 2005).
Burden of Proof
The burden of proof is on the person asserting the
privilege, unless the document itself is prima facie
privileged. The mere assertion that the document is
privileged is insufficient (Agpalo, Legal and Judicial
Ethics).
Relation of attorney and client
The privilege is only extended to communication given by
a client to his lawyer, and the advice given by the lawyer
thereon. it does not extend to a person who is not a lawyer.
However, one who poses as a lawyer with ulterior motives
and to whom the client confides to is protected by the
privilege (Agpalo, Legal and Judicial Ethics, p.273, 2009).
The communication must be in accordance with the
purpose of the attorney-client relation, otherwise it is not
privileged (Pfleider v. Palanca, A.C. No. 927, 1970).
The privile!)e extends only to communications within the
lawful employment of the lawyer. it does not extend to
those made ir. contemplation of a crime or' perpetration of
a fraud. (Genera v. Silapan, A.C. No. 4078, 2003).
When a person goes to an attorney t9 bare his personal
secrets and sensitive documents for the purpose of
obtaining legal advice and assistance, a lawyer-client
relationship arises. The burdens of such relationship is that
which enjoins the lawyer to keep inviolate confidential
information acquired or revealed during legal
consultations. If a person, in respect to business affairs or
troubles of any kind, consults a lawyer with a view of
obtaining professional advice or assistance, and the
attorney voluntarily permits or acquiesces with the
consultation, then the professional employment is
established (Hadjula v. Madianda, A.G. No. 6711, 2007).
Confidentiality
Not oniy must there be an attorney-client reiationship, the
client must iniend the communication be confidential,
intended only for seeking legal advice from the attorney
and not for the information of third persons (Uy Chico v.
Union Life Assurance Society, G.R. No.L-9231, 1915).
A lawyer shall preserve the confidence and secrets of his
client even after the attorney-client relationship is
terminated. But not all information can be considered as
confidential. such as those considered as public
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
information. In one case, a corporation's retained counsel
had knowledqe of proposed by-law amendments to allow
teleconferencing in meetings. His services were
terminated. Subsequently, the lawyer appeared as proxy
for one stockholder in a stockholder's meeting, and
opposed the appearance of certain board members at the
meeting via teleconference on the ground that the by-laws
had not been. amended yet. The court held that the
information about the necessity of amendment could not
be considered as "confidential information". For one, the
SEC also requires the submission of copies of the
amendments or the new by-laws attached to the original
articles of incorporation. Thus, the documents are public
records and cannot be considered confidential (Rebecca
J. Palm v. Atty Felipe 1/edan,A. C. No. 8242, 2009).
Confidentiality is not affected by the fact that:
1. A third person overheard the information intended to be
confidential;
2. Other attorneys represented the client.
However, the confidentiality rule does not apply when the
client uses the lawyer as an intermediary between himself
and a third person ( Uy Chico v. Union Life Assurance
Society, G.R. No. L-9231, 1915).
When is communication confidential?
It is when information is transmitted by voluntary act of
disclosure between attorney and client in confidence and
by a means of 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 it was
given (Agpalo, citing Brown v. Saint Paul City R. Co., 62
NW2d 688, 44 ALR 535, 1954).
Form or mode of communication
There is no particular mode, but the question to ask is
whether it was intended to be part of the communication by
the client to the attorney in connection with legal advice
sought or given ( San Francisco v. Superior Court of San
Francisco, 37 Cal2d 227, 231, P2d 26, 25 ALR2d 1418,
1951).
The rule covers (People v. Sandiganbayan, G.R. No.
115439-41, 1997):
1. Written;
2. Oral;
3. Actions, signs or other means of communication
Communication may be transmitted: (DAO)
1. Qirectly;
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2. Through an ~gent. whether the client's or attorney's; (c) Attorney was employed ·for Future fraudulent or
3. Through any Qlher form of transmission. • criminal transactions;
(d) Prosecution of a lawyer for a Criminal offense
Persons entitled to claim privilege (Baird v. Koerner. 279 F2d 623, 95 ALR2d 303,
Who are covered by the privilege? (MISS-ACES) 1960).
1. Messenger or any other agent of transmitting the
Matters not privileger:I
communication;
• 1. Any communication between attorney and client which
2. [nterpreter;
lacks one of the elements;
3. §.tenographer or clerk;
2. Compromise agreements prepared by the attorney for
4. Attorney's §ecretary;
his client and delivered to opposing party ( Uy Chico v.
5. ~ttorney;
Union Life Assurance Society, G.R. No. L-9231, 1915);
6. ~lient;
3. An offer and counter offer for settlement;
7. An gxpert hired by the client or attorney for effective
4. A letter written by a client to his attorney in the
consultation or communication between attorney and
possession of a third party (Barton v. Leyte Asphalt &
client during the course of his employment;
Mineral Oil Co., G.R. No. L-21237, 1924);
8. §tudent allowed to appear in court for indigent clients
'
' accepted by his law school's legal clinic.
5. Document given by client to his counsel not in his
professional capacity (Pfleider v. Palanca, A.C. No.
927, 1970);
Who are entitled to claim the privilege?
6. Documents given to the lawyer for custodial, business
1. Client, since the privilege is intended primarily for his
( or personal services or assistance;
protection;
7. Contracts relating to attorney's fees (Orient Ins. Co. v.
2. Lawyer or lawyer's empioyee, unless the client does
Revilla, G.R. No. 34098, 1930).
not waive the privilege (In re: Hamilton, G.R. No. L-
8. those considered as public information (Rebecca J.
' 7725, 1913);
.{ Palm v. Atty Felipe 1/edan, A.G. No. 8242, 2009)· .
3. Attorney's Secretary, stenographer, clerk, unless the
attorney and client Mntly waive the privilege (Rule 130,
• Effect of breach
Sec. 24(b), ROC); or,
( 4. Client's heir or legal representative, against a stranger IF PRIVILEGED IF NOT PRIVILEGED
to the estate.
~
Disciplinary sanction; Civil iiabilily; (Pfleider v.
Application of the rule (Canon 37, CPE; Rule 138, Palanca, A.G. No. 927,
A lawyer may not be compelled or subpoenaed as a Sec. 20(e), ROC-; Br1utista 1970)
witness on communication from a client which is privileged. v. Barrios, A.M. No. 258,
1963)
Privileged matters
What are privileged matters? (PD-PAN) Criminal liability (Article
1. The work Products of a lawyer, his effort, research and 209, Revised Penal Code);
thought contained in his files;
2. Privileged Documents delivered to attorney and then to
the client (Brown v, St. Paul City R. Co., 62 NWD2d Exceptions to attorney-client privilege:
688, 44 ALR?.d 535, 1954 ); Client's waiver of privilege
3. Statements made in a Pleading or in open court in General Rule: Only the client's consent is necessary to
connection with a case the lawyer is har:diing (De!es v. waive the atiorr.ey-client priviiege.
Aragona, Jr., Adm. Case No. 598, 1969);
4. Records of an Accident turned over by a party to his Exception: When the person to be examined is the
attorney (Re: Story, 111 EN2d 385, 36 ALR2d 1312, attorney's secretary, stenographer or clerk, in such case
1953); the consent of the attorney is required (ROG Rule 130, sec.
5. Name of the client, if revealing the name exposes client 24(b)).
to civil liability or implicate hirr.; UNLESS:
(a) Litigatior. has Commenced; Who may waive the privilege?
(b) identificaticn is related to the Employment of a third
1. The client may waive the privilege personally;
person:
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2. An attorney retained in a case has an implied auJhority
to waive the privilege concerning procedural matters in
the case. BUT only the client may waive the privilege in
cases involving the attorney's relation with his client,
e.g. breach of client's confidence on the part of the
attorney.
How is the privilege waived?
Only entirely, not partially; a partial waiver is a waiver of the
whole. A client may not waive part of a privileged document
as to the parts that could help his case and not waive those
parts that will adversely affect him (Orient Ins. Co. v.
Revilla, G.R. No. 34098, 1930).
Disclosure to protect attorney's rights
The attorney may disclose the confidential
communications of his client when:
1. He is charged by either his client or a third person,
involving the performance of his duty to said client;
2. He is suing his client for attorney's fees.
BUT such disclosure must only be to the extent necessary
to secure his rights (Agpalo, Legal and Judicial Ethics,
pp.286-287, 2009).
Communications as to crime
General Rule: Communications about a crime already
committed are covered under privileged communications.
Exceptions: Future criminal acts or plans in aid pf such
acts are not privileged communication, UNLESS:
1. The client was not sure if the act was wrong, and the
latter desisted from committing the act, based from his
consultation with his attorney.
2. Communications as to fraud:
(a) Communication about a fraud already committed is
privileged.
(b) Communication about a fraud that has yet to be
committed is not privileged.
Naming One's Client
General Rule: A lawyer should name his client. This is
grounded on the following principles:
1 . Court has right to know;
2. Attorney-client relationship does not exist if there is no
client;
3. Privilege pertains to the subject matter of the
relationship;
4. Due process for the adversary, in relation lo the right lo
know (Rega/a v. Sendiqenbeyen, G.R. No. 105938,
1996).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Exception: However. client's identity is privileged:
t. Where a strong orobability exists that revealing the
client's name would Implicate that client in the very
activity for which he sought the lawyer's advice:
2. Where the disclosure would open the client lo civil
liability; and
3. Where the government's lawyers have no case aqainst
an attorney's client un)ess, by revealing the client's
name, the said name would furnish the only link that
would form the chain of testimony necessary to convict
an individual of a crime (Rega/a v. Sandiganbayan,
G.R. No. 105938, 1996).
Conflict of Interest
A lawyer shall not represent conflicting interests
Rule 15.03 - A lawyer shall not represent conflic.:ting
interests except by written consent of all concerned given
after full disclosure of the facts.
Tests of inconsistency cf interests in concurrent or
multiple representations
1. Wouid the acceptance of a new relation prevenl the full
discharge of the lawyer's duty cf undivided fidelity or
loyalty?
2. Would the acceptance of a new relation invite suspicion
of unfaithfuiness or double-dealing?
3. In nccepting the new relation, will the lawyer be called
upon to use confidentiai information acquired throuqh
their connection, aqains} a client?
Reasons for the prohibition on representing
conflicting interests
1. The relationship of trust and confidence, of the highest
degree, between attorney and client;
2. The lawyer knows the strength and weakness of his
client's action, and such knowledge must be guarded;
3. To prevent fraudulent conduct;
4. To prevent a practitioner from putting himself in a
position where he may be required to Choose between
conflicting duties;
5. To prevent unfounded suspicion of professional
misconduct (Samson v. Atty. Era, A.G. No. 6664,
2013).
Examples of parties and situations involving
conflicting interests:
1. Husband and wife in a matrimonial action
2. Contending claimants to the same property
3. A creditor and debtor in a recovery suit
4. Seller and purchaser of property
5. An insurer and an insured
6. Accused and an offended party in a criminal action.
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7. Retained counsel of a university appearing for some of
the plaintiffs in a case against the university
(Northwestern University v. Arquillo, A.C. No. 6632,
2005).
8. Counsel for a prevailing party in a case, appearing as
counsel for the sheriff in a case filed against the latter
by his former client, for negligence in enforcing the writ
of execution in the former case (Gonzales v,
Cabucana, A.C. No. 6836, 2006).
9. Lawyer offering services to the accused without
disclosing that he was already retained by the family of
the victim.
10. A lawyer who prepares a deed of partition cannot
represent any of the heirs in a suit over the same estate
partitioned.
11. A corporate counsel cannot appear as counsel for the
Board of Directors in a derivative suit filed against them
(Homilla v. Salunat, AC. No. 5804, 2003).
Effect of termination of relation
i ) General Rule: The termination of the attorney-client
relationship does not allow a lawyer to represent an
(,. interest adverse to or in conflict with that of the former
client.
Exception: Where the former client expressly consents
(Senior Marketing Corp. v. Solinas, AC. No. 6740, 2014).
f
The nature of the attorney-client relationship is one of trust
\
and confidence of the highest degree. The termination of
attorney-client relation provides no justification for a lawyer
to represent an interest adverse to or in conflict with that of
the former client. Even after the severance of the relation,
a lawyer should not do anything which will injuriously affect
his former client in any matter in which he previously
represented him, nor should he disclose or use any of the
client's confidences acquired in the previous relation.
Fidelity to a client is perpetual (Heirs of Falame v. Baguio,
,.
AC. No. 6876, 2008).
l present client in another totally unrelated action, for he
Materiality of confidential information
The prohibition against representation of conflicting
interest applies to an attorney accepting professional
employment from the client's adversary, may it be in the
same case, or a different one as long as the action ts
related. The prohibition applies whether or not the lawyer
has acquired confidential information from his former client
(Samala v. Valencia, A.C. No. 5439, 2007).
When the attorney is consulted regarding the case by one
party, even if he replies that he will not take the case, an
attorney-client relationship is already created. It is not
essential that the client should have employed the attorney
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
professionally on any previous occasion nor is it necessary
thas 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.
Therefore, since there is already an attorney-client
relationship, he is already precluded from accepting the
opposite party's retainer in the same litigation regardless
of what information was received by him from his first
client; that lhere was no secret communication transmitted
would not. vary the situation (Hilado v. David, G.R. No. L-
961, 1949).
Opposing clients in same or related suits
A conflict of interest exists when a lawyer accepts
employment from his client's adversary in a case involving
a related subject matter (Northwestern University v.
Arquillo, A.G. No. 6632, 2005).
Where corporate directors er trustees have committed
breach of trust through fraud, ultra vires acts, etc., and the
corporation is unwilling to institute suit to remedy wrong, a
stockholder may sue on his behalf for the benefit of the
corporation to bring redress to the wrong done to the
corporation and the stockholders. In a derivative suit the
corporation- is the real party in interest while the
stockholder filing the suit is on!y a nominal party. The
corporation should be included as a party in the suit.
Therefore, in all derivative suit actions, outside counsel
must be retained to represent one of the defendants, or
else be guilty of misconduct for representing conflicting
interests. Furthermore, this restriction on dual
representation should not be waivable by consent in the
usual way; the corporation is presumptively incapable of
giving consent (Homilla v. Salunat, A.C. No. 5804, 2003).
Opposing clients in unrelated actions
A lawyer may not appear as counsel for a party against his
might not be able to represent both parties properly, or he
might be suspected of disloyalty.
It is of no moment that the lawyer would not be called upon
to contend for one client that which the lawyer has to
oppose for the other client, or that there would be no
occasion to use the confidential information acquired from
one to the disadvantage of the other as the two actions are
wholly unrelated. It is enough that the opposing parties in
one case, one of whom would lose the suit, are present
clients and the nature or conditions of the lawyer's
respective retainers with each of them would affect the
performance of the duty of undivided fidelity to both clients.
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Hence, it was held even if one of the cases is an ejectment Notarization and conflict of interest
case and the other is a replevin case, the attorney's • Merely notarizing a document, does not effectively amount
representation of opposing clients in both cases, though to representation of a client and is insufficient in itself t
unrelated, obviously constitutes conflict of interest or, at the
least, invites suspicion of double-dealing (Quiambao v.
Attorney's interest vs. client's interest
Bamba, A.G. No. 6708, 2005).
It is improper for an attorney, even with his client's consent,
to continue to be his client's counsel against a defendant,
New clients against former client
when the former brings another suit, in-his own behalf, if it
The lawyer is prohibited from representing a subsequent
is uncertain whether the latter will be able to satisfy both
client against a former client ONLY when the subject
claims. The lawyer may also not have financial stakes in
matter of the present controversy is related, directly or
the subject matter of the suit brought on behalf of his client.
indirectly, to the subject matter of the previous iitigation in
which he appeared for the former c!ient. However, it is
A lawyer is not authorized to have financial stakes in the
allowable when the controversy is wholly unrelated,
subject matter of the suit brought in behalf of his client. In
provided that notice to previous client is given.
this case, an attorney was the Union President who was
Conflicting duties among those who were illegally dismissed. In the illegal
A lawyer may not perform conflicting duties any more than dismissal case, he was the attorney representing the Union
he may represent antagonistic interests. and at the same time an interested party, being one of
those dismissed. A comprorr.ise was entered and the
employer was made to pay a sum to the Union. But before
Examples of conflicting duties:
giving the money to the Union, he secretly took his share
1. Being an employee, which attends to a company's legal
from the sum. It was held that defendant failed to avoid
affairs, and being a member of the labor union of the
conflict of interests, first, when he negotiated for the
company's employees;
compromise agreement wherein he played the diverse
2. Being a receiver or partner of a corporation and being
roles of union president, union attorney and interested
an employee of such corporation's creditor;
party being one of the dismissed employees seeking his
3. An attorney was at once the lawyer of the estate, and
own restltution, and thereafter, when he obtained the
at the same time, through his accounting firm, giving
attorney's fees without full prior disclosure of the
accounting services to the creditors. The proscription
circumstances justifying such claim to h:,s client (Gamil/a v.
against representation of conflicting interests finds
Manno Jr., A.G. No. 4763, 2003).
application where the conflicting interests arise with
respect to the same general matter and is applicable
Rules applicable to the iaw firm
however slight such adverse interest may be.(Nakpil v.
When a iawyer is disqualified from appearing as counsel in
Valdez, A.C. No. 2040, 1998).
a case because of conflict of interests, his law firm and all
4. A lawyer who filed a case in behalf of one party to annul
its members are also disqualified from said case. Since the
a deed of sale he previously prepared for another party
employment of the law firm is considered a retainer of all
is guilty of misconduct for representing conflicting
its members.
interests (Aninon v. Sabitsana, A.G. No. 5098, 2012).

Information obtained from a client by a member or

The prohibition on conflicting duties also prevents a
assistant of a law firm is information imparted to the firm.
lawyer from: (PPG)
Hence, such an attorney is still disqualified due to conflict
1. Being a counsel in any mailer upon the merits of which
of interest even if was his partner who received the client's
he has previously intervened as a Public Officer;
information and replied to it (Hilado v. David, G.R. No. L-
2. Attacking the validity of an instrument which was 961, 1949).
Prepared by him;
3. Enforcing an agreement against another who was his
Limitations on the general rule
Client in the preparation thereof.
Rule against representation of conflicting interests does
4. A lawyer who filed a case in behalf of one party to annul
not apply when·
a deed of sale he previously prepared for another party
1. The clients knowingly consent to the duai
is guilty of misconduct for representinq conflictinq
representation;
interests (Aninon v. Sabitsana, A.G. No. 5098. 2012).
2. There is no true attorney-client re!ationship.

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F)
Examples: • Effects of representation
1. Representing the administrator of the estate of a
deceased wife, and the administrator of the deceased
husband;
2. Being a prosecutor for rape, and after the marriage with
the offended party, as counsel for the accused asked
for the dismissal or the complaint.
Where clients knowingly consent
General Rule: A lawyer may, before the controversy
reaches the court, represent conflicting interests as long as
all parties give their express written consent after a full
disclosure of the facts.
Disclosure alone is not enough for the clients must give
their informed consent to such representation. The lawyer
must explain to his clients the nature and extent of the
conflict and the possible adverse effect must be thoroughly
understood by his clients (Nakpil v. Valdez, A. C. No. 2040,
1998).
This general rule only applies when one client is a
former client, not when both clients are current clients
in the case.
The attorney should also discontinue dual representation
when the conflict of interest has reached such 'point that
the lawyer may be suspected of disloyalty to one client,
although he may not be held administratively liable
because of the consent.
Exception: Dual representation, even when there is
consent, is not allowed when:
1. The conflict is between the attorney's interest against
his clients, in such case the client's interest is superior.
2. Conflict of interest between a private client against the
government and any of its instrumentalities, in this case
dual representation is absolutely prohibited.
Where no true attorney-client relationship exists
The prohibition against the representation of conflicting
interests does not apply when there is no true attomey-
client relationship.
The prohibition on conflict of interest however, still applies
to an attorney's secretary, stenographer or clerk, who in
such capacity has acquired confidential information from,
the attorney's client, who latter becomes an attorney, even
though there is no true-attorney client relationship.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
of conflicting interests
The possible ~ffects of representation of conflicting of
interest, in the absence of written consent of all parties
concerned given after a full disclosure of facts are:
1. Disciplinary action
2. Disqualification from representing the new client upon
petition of former client
3. When the representation of conflicting interests is
unknown and works to the prejudice of the new client,
setting aside of adverse judgment against the new
client, provided that both are present;
(a) That the attorney discharge or had the opportunity
to discharge conflicting duties
{b) And that new client was prejudiced
4. Right to be paid for his services to the former client may
be affected, only when:
(a) The two matters are related; and,
(b) The former client objected to such representation.
Candid and Honest Advice to Clients
When lawyer must answer Queries
A lawyer should only answer his client's query, after:
1. Having full knowledge of his client's cause, and
2. Studying the case.
A lawyer should give ·a ~andid and honest opinion on the
merits or lack of it on the case, without understating or
overstating the prospects of the case. He should also
advise his client to stdp when the action is devoid of
merit, and pursue a case when it is meritorious.
Compliance with Laws
In the judicial forum, the client is entitled to the benefit of
any and every remedy. and defense that is authorized by
law, and he may expect his lawyer to assert every such
remedy in his defense. A lawyer is required to represent his
client within the bounds of the law.
Concurrent Practice of Another Profession
Lawyers are not precluded from engaging in husiness.
Impropriety arises when the business is of such a nature
or is in such a manner as to be inconsistent with the
lawyer's duties as a member of the bar, i.e. if the business
will readiiy lend itself as a means of procuring professional
employment for him.
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 (Rule 15.08, CPR).
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A lawyer-CPAcan be held liable for misconduct if he fails
to apprise a client in what capacity he was acting (i.e.,
whether as an accountantor as a lawyer) (Nakpil v. Valdes,
A.C.No. 204~ 1998).
Client's monies and properties
Fiduciary relationship
Commingling of Funds
Rules 16.02 - A lawyer shall keep the funds of each client
separate and apart from his own and those of others kept
by him.
Duty to Deliver Funds
Rule 16.03 - 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 th_e same extent on all
judgments and executions he has securedfor his client as
provided for in the Rules of Court.
Money entrusted to a lawyer for a specific purpose, such
as for the processingor transfer of land title, but not used
for the purpose, should be immediately returned. A
lawyer's failure to return upon demand the funds held by
him on behalf of his client gives rise to the presumptionthat
he has appropriatedthe same for his own use in violation
of the trust reposed to him by his client. (lsalos v. Cristal,
A.C. No. 11822 (Resolution),[November22, 2017]).
The lawyer's admissionof his use of a client's funds for his
personal use constitutes substantial evidence of
malpractice (Velez v De Vera, A.C. No. 6697, 2006).
When a lawyer receives money from his client for a
particular purpose, he is bound to render an accountingto
the client showing that the money was spend for the
intended purpose(OLAYTA-CAMBA v BONGON, A.C. No.
8826 March 25, 2015)
The lawyer's continuing exercise of his retainin9 lien
presupposes that the client agrees with the amount of
attorney's fees to be charged. In case of disagreementor
when the client contests that amount for being
unconscionable, however. the lawyer must not arbitrarily
apply the funds in his possession to the payment of his
fees. He can file, if he still deems it desirable, the
necessary action or proper motion with the proper court to
fix the amount of such fees (Daniel Lemoine v. Amadeo
Balon, Jr. A. C. No. 5829, 2003).
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
When a la~er is accused of delay in the delivery of the
sum of money due to his client, he must expla-n the reason
for such a delay. His failure to explain such delay gives
rise to the presumption that he has appropriated the
same for his own use in violation of the trust reposed
in him by his client. (Dongga-asv, Cruz-AngelesA.C. No.
11113 Aug 9, 2016).
Rebates and Commission
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 compensationwhatsoeverrelated to his professional
employmentfrom anyone other than the client.
"Whateverthe client receivesfrom the opposite party in the
service of his client belongs to the client, in the absenceof
his client's consent, after a full disclosure of facts."
Generally"a lawyer may not claim the attomey's fees in the
concept of damages awarded by the court in favor of his
client, except when he and his client have agreed that
whatever amount the court may award as attorney's fees
would form part of his compensation."(Agpalo, Legal and
Judicial Ethics. p. 249-250, 2009)
I
Duty Not to Borrow from or Lend to Client
Rule 16.04 - A lawyer shall not borrow money from his
client unless the client's interests are fully protectedby the
nature of the case or by independentadvice. Neither shall
a lawyerlend 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 clienL
A lawyer. asked financial help from his client for the
constructionof his house and purchase of a car to which
his client willingly helped. However,for such help, the said
lawyer paid his client by issuing a check which was later
dishonored.It was held that the act of a lawyer in issuinga
check without sufficient funds constitutes such willful
dishonesty and immoral conduct as to undermine the
public confidence in the legal profession. He cannotjustify
his act of issuing worthless checks by his dire financial
condition. If he suffered a reversal of fortune, he should
have explained with particularity the circumstanceswhich
caused his failure to meet his obligations. His generalized
and unsubstantiatedallegations as to why he reneged in
the payment of his debts promptly despite repeated
demandsand sufficient time afforded him cannot withstand
scrutiny (Jerry Wong v. Atty. Salvador N. Moya, AC. No.
6972, 2008j.
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() Duty Not to Acquire Client's Property • Competence and diligence
Art. 1491, Civil Code- The following persons cannot
acquire by purchase, even at a public or judicial auction,
either in person or through the mediation of another:
(GAPE-JO)
1 . The §uardians, the property of the person or persons
who may be under his guardianship;
2. ,Agents, the property whose administration or sale may
have been entrusted to them, unless the consent of the
principal has been given;
3. f ublic officers and employees, the property of the State
or of any subdivision thereof, or of any government-
owned or controlled corporation, or institution, the
administration of which has been entrusted to them;
this provision shall apply to judges and government
experts who, in any manner whatsoever, take part in
( the sale;
4. I;,xecutors and administrators, the property of the
(
estate under administration;
' 5. ,Justices, judges, prosecuting attorneys, clerks of
{ superior and inferior courts, and other officers and
employees connected with the administration of justice.
the property and rights in litigation or levied upon an
execution before the court within whose jurisdiction or
territory they exercise their respective functions; this
prohibition includes the act of acquiring by assignment
f
and shall apply to lawyers, with respect to the property '
' and rights which may be the object of any litigation in
which they may take part by viriue of their profession.
6. Any Others specially disqualified by law. (NCC, Aft.
1491)
The prohibition against acquisition of a client's property
•,
does not apply when the subject property is not involved in
litigation The relationship between the parties is not of a
lawyer and a client but one of business partners (Zalamea
v. Atty. de Guzman (A.C. No. 7387, 2016).
Fidelity to client's cause
Canon 17 - A lawyer owes fidelity to the cause of his client
and he shall be mindful of the trust and confidence reposed
in him.
Generally, any benefit as a result of the abuse of his client's
confidence, inures to the benefit or the client.
A lawyer should not normally draw a will, which might give
a suspicion of undue influence; and if he were to receive a
bequest, such should be reasonable and not more than
' ' what he should receive under the law.
r-- - -
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
•
Adequate Protection
Canon 18 -A lawyer shall serve his client with competence
and diligence.
The lawyer is expected to employ all reasonable steps ir.
the ordinary care of his client.
Lawyer shall not handle a case without adequate
preparation
Rule 18.02 - A lawyer shall not handle any legal matter
without adequate preparation.
The full protection of the client's interests requires no less
than a mastery of the applicable law and the facts involved
in a case, regardless of the nature of the assignment
(Agpalo, Legal and Judicial Ethics, p. 221, 2009).
Inadequate preparations cause adverse effects. It may
cast doubt upon the lawyer's intellectual honesty and
capacity (Cuaresma v. Daquis, G.R. No. L-35113, 1975),
which may lead to embarrassment, disciplinary action or
contempt of court (Lim Se v. Argel, G.R. No. L-42800,
1976).
Negligence
Rule 18.03- A lawyer shall not neglect a legal matter
entrusted to him, and his negligence in connection
therewith shali render him liable.
Collaborating Counsel
Rule 18.01 - A lawyer shall not undertake a legal service
which he knows or should know that he is not qualified to
render. However, he may render such service if, with the
consent of his client, he can obtain as collaborating
counsel a lawyer who is competent on the matter.
The lawyer's acceptance is an implied representation that
he possesses the academic learning. skill, and ability to
handle the case.
Duty to Apprise Client
Rule 18.04 - A lawyer shall keep the client informed of the
status of his case and shall respond within a reasor.able
time to client's request for information.
Duty to keep the client fully informed
A lawyer must advise his client promptly whenever he has
any information to give which it is important that the client
receive. (Adecer v. Ak11t, A. C. No. 4809, 2006) He should
notify his client of an adverse decision well within the
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period to appeal to enable his client to decide whether to
seek an appellate review thereof ( Tan v. Dimante, A. C. No.
7766, 2014).
The client is entitled to the fullest disclosure of the more or
manner by which his interest is. defended or why certain
steps are taken of omitted ( Villariasa-Reisenbeck v.
Aberrientos. A.G. No. 6238, 2004).
However, it is also the client's duty to make proper inquiries
from his counsel concerning his case (Florendo v.
Florendo, G.R. No. L-24982, 1969).
Representation With Zeal Within Legal Bounds
Canon 19 - A lawyer shall represent his client with zeal
within the bounds of the law.
Use of Fair and Honest Means
Rule 19.01 - A lawyer shall employ only fair and honest
means to attain the lawful objectives of his client and sha!I
not present, participate in presenting or threaten to present
unfounded criminal charges to obtain an improper
advantage in any case or proceeding.
Based on this rule, the lawyer should, among other things:
1. Not offer in evidence any document which he knows is
false;
2. Not present any witness whom he know will perjure;
3. Only make such defenses which he be!ieves to be
debatable under the law;
4. Abstain from offensive personalities;
5. Not advance a fact prejudicial to the honor or reputation
of a party or witness unless required to serve justice;
6. Not state as fact what he merely expects to accomplish;
7. Not, in advocating his client's cause, state his personal
belief as to the soundness or justice of his case.
An attorney's act of filing a criminal complaint for resistance
and disobedience to a person in authority against the
adverse party, for failure to comply with an order of the
court, was held to be a violation of Rule 19.01. Fair play
demands that counsel should have filed the proper motion
with RTC to attain his goal and not subject complainant to
a premature criminal prosecution (Att_v. Briones v. Atty.
Jacinto, A.G. No. 6691, 2007).
A lawyer should not file or threaten to file any unfounded
criminal case against the adversaries of his client designed
to secure a leverage to compel the advet saries to yield or
withdraw their own cases against the lawyer's client. Thus,
a letter sent by counsel to the adverse party, which, more
than just a simple demand to pay. even contained a threat
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
to file retaliatory charg~s against the complainant which
have nothing to do with his client's claim for separation pa~,.
amounted to blackmail and is definitely proscribed by the
Code of Professional Responsibility (Pena v. Aparicio,A.C.
No. 7298, 2007).
Rule 19.01 is violated only when the criminal complaint
filed or threatened to be filed is patently frivolous, meriUess
and clearly groundless and is aimed solely at gaining the
sole purpose of improper advantage.
Two elements are indispensable before a lawyer can be
deemed to have violated this rule (PG):
1. The filing or threat of filing a f atently frivolous and
meritless action or appeal; and
2. The filing or threat of filing the action is intended to §ain
improper advantage in any case or proceeding.
Unless the criminal complaint is patently frivolous and
obviously meant to secure an improper advantage, a
lawyer who files such criminal complaint should not be
automatically deemed to have violated Rule 19.01.
Otherwise, lawyers who have a valid cause for filing a
criminal action may be compelled not to proceed because
of fear of administrative sanctions (Espina v. Chavez, A. C.
No. 7250, 2015).
Client's fraud
Rule 19.02 - 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.
Procedure In Handling Cases
Rule 19.03 - A lawyer shall not allow his client to dictate
the procedure on handling the case.
By accepting a retainer, a lawyer implies that he:
1. Possesses the requisite degree of learning, skill and
ability which is necessary to the practice of his
profession and which other similarly situated possess;
2. Wili Exert his best judgment in the prosecution or
defense of the litigation entrusted to him;
3. Will exercise reasonable and ordinary care and
Diligence in the use of his skill and in the application of
his knowledge to his client's cause;
4. Will take such step as will adequately Safeguard his
client's interest.
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In a case, an attorney was disbarred due to 'palpable
sloth' - for causing the dismissal of the client's appeals in
{ }
two cases, the first one due to his improper way of filing
the appeal and the second one due to his non-filing of the
appellant's brief. Furthermore, he did not offer a plausible
explanation for not doing his level best in representing his
client's cause on appeal; thus, making complainant suffer
serious losses amounting to miliions of pesos. As
counsel, he had the duty to present every remedy or
defense authorized by law to protect his client. He should
undertake the task with dedication and care, and if he
should do no less, then he is not true to his lawyer's oath
(Pane/co Iv. Atty. Montemayor, A.G. No. 5739, 2007).
Duration and extent of lawyer's duty to safeguard
client's interest
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 (Agpalo, Legal and Judicial Ethics,
p. 219, 2009).
{ Lawyer shall render service only when qualified to do
' so
When accepting professional employment, a lawyer must
be knowledgeable, competent and skillful to handle the
r case. Rule 18.01 of the Code provides that "a lawyer shall
' not undertake a legal service which he knows or should
know that he is not qualified to render."
Preparation of pleadings
A lawyer's pleading shows the extent of his study and
preparation, articulates his ideas as an officer of the court,
mirrors his personality, and reflects his conduct and
attitude towards the court, the opposing party and his
counsel. A lawyer must exercise utmost care in the
preparation of pleadings (Agpalo, Legal and Judicial
Ethics, p. 222, 2009).
He must have thorough knowledge of the substantive and
procedural laws applicable to the facts of the case. He
must thoroughly discuss the issues raised (GS;s v. CA,
G.R. No. 128523, 1998) and refrain from using abrasive
and offensive language (Yangson v. Selendenen, AM. No.
1347, 1975).
Pleadings filed in court are privileged and lawyers are
exempt from liability for iibelous statements contained
therein, provided they are material, relevant or pertinent to
the cause or subject of inquiry (Agpalo, Legal and Judicial
Ethics, p. 224, 2009).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Interviewing of witnesses
A lawyer may interview a witness in udvance of trial to
guide him in the management of his litigation and to
ascertain certain facts in controversy. (Canon 39, CPE) A
lawyer may also interview a prospective witness for the
opposing side in any civil or criminal action without the
consent of opposing counsel or party (Agpalo, Legal and
Judicial Ethics, p. 225, 2009).
An adverse party, though he may be used as a witness, is
not a witness within the meaning of the rule permitting a
lawyer to interview the witness of the opposing party even
without the consent of the opposing counsel (Agpalo, Legal
and Judicial Ethics, p. 226, 2009).
What to do in case of conflict in trial dates
A lawyer who has two or more cases in different courts set
for trial on the same date without his previous knowledge
should lose no time in asking for postponement of the case
or cases set later, as he should not give undue preference
for the work in one as against the other, except in cases
where there have been previous warnings by the Court
against further postponement (Agpalo, Legal and Judicial
Ethics, p. 226, 2009).
In the event the court has served warning not to delay, in
view ot' previous repeated postponements of trial, he
should submit motion for postponement at such time as is
practicable.
When his motion for postponement has been denied or
when the case has been set for trial for the last time, the
lawyer must take precautionary measures by notifying the
court and his client, asking the client concerned to secure
the services of another lawyer or requesting another
attorney to appear for him (Que v. CA, G.R. No. L-54169,
1980).
Adoption of system to insure receipt of mails
Service of notice by registered mail is complete upon
actual receipt thereof by the addressee. However, if he fails
to claim his mail within 5 days from the date of the first
notice of the postmaster, service shall take effect at the
expiration of such time (Rule 13, Sec. 8, ROG).
There must be a certification by the postmaster that the
addressee received the first notice. Failure or refusal of a
lawyer to claim registered mails addressed to him shows
omission or negiigence on his part (Pie/ago v. Generosa,
G.R. No. L-47879, 1942).
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Notice of change of address
A lawyer ewes his client and the court the duty to make of
record his correct address and to inform the court in writing
of his change of address (Orta/is v. CA, G.R. No. L-36088,
1973).
Without his address being recorded in the case, a lawyer
will not be entitled to be served with judicial notice
(Magpayo v. CA, G.R. No. L-35966, 1974).
Insofar as the court is concerned, the last address on
record is the place where all notices shall be served until
the court is officially informed to the contrary
(Thermochem, Inc. v. Naval, G.R. No. 131541, 2000).
The failure or negligence of counsel in not giving notice of
his change of address is binding upon his client, and both
the client and his counsel must suffer the consequences
(Villa Transport Services, Inc. v. Court of Appeals, G.R. No.
76232, 1991).
Notice of death of client
A lawyer must inform the court, within 30 days, of the death
of his client. If the claim survives such death, the lawyer
has the duty to also inform the court of lhe names of the
legal representatives of the deceased so that the latter can
be substituted as parties (Rule 3, Sec. 16, ROG).
Requiring clerk of court to do his duty
If the clerk of court is negligent in setting the case for pre-
trial and hearing, it is the lawyer's duty to call the attention
of the court to the fact or to file the necessary motion to set
the case for pre-trial or trial (BANK OF THE PHILIPPINES,
vs. SPOUSES ROBERTO AND TERESITA GENUINO.
G.R. No. 208792, July 22, 2015).
Failure to do so may justify the dismissal of the action for
failure to prosecute (Montejo v. Urotia, G.R. No. L-27187,
1971).
What is required when moving for time to file pleading
or to postpone pleading?
A lawyer may file a motion fer extension of time to file
pleadings when pressure of woik or other unavoidable
reasons require so.
However, he should not assume that the extension of time
will be granted and must inquire with the clerk of court as
to its status. If the motion for extension of time to file a
pleading, motion, brief or memorandum has remained
unacted by the court, the lawyer must file it within the time
asked for (Agpalo, Legal and Judicial Ethics, p. 231, 2009).
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
Rule 12.03 - A lawyer shall not, aftet 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.
Rule 12.04 - A lawyer shall not unduly delay a case,
impede the execution of a judgment or misuse Court
processes.
While a lawyer owes absolute fidelity to the cause of his
client, full devotion to his genuine interest, and warm zeal
in the maintenance and defense of his rights, as well as the
exertion of his utmost learning and ability, he must do so
only within the bounds of the law (Que v. Revilla, Jr., A.G.
No. 7054, 2009).
Diligence in handling case
Canon 18- A lawyer shall serve his client with
competence and diligence.
A lawyer must exercise that degree of vigilance and
attention expected of a good father of a family (Phi!. Bank
of Commerce v. Aruego, CA-G.R. No. 28274, 1965). He is
not bound to exercise extraordinary diligence (Pajarillo v.
wee, G.R. No. L-42927, 1980). What amounts to
carelessness or negligence in the lawyer's discharge of his
duty depends upon the circumstances 6f the case.
A lawyer who finds it impracticable to continue
representing a client should inform the latter of his
predicament and ask that he be discharged from his
professional responsibility or should apply to the court that
he be released therefrom (Republic v. CF/ of Lanao de/
Norte. G.R No. L-33949, 1973).
A new counsel, who enters his appearance in midstream,
has the duty not on!y to thoroughly study the case, but also
to inquire as to the status of the case (Arambulo v. CA,
G.R. No. 10518, 1993).
A client is bound by the mistakes of his lawyer. If such
grounds were to be admitted as reasons for reopening
cases, there would never be an end to a suit so long as
new counsel could be employed who could allege and
show that prior counsel had not been sufficientiy diligent or
experienced or learned (Lagua v. Court of Appeals, G.R.
No. 173390, 2012).
B. Attorney's fees
Fees as damages not recoverable
General Rule; Attorney's fees in the concept of damages
are not recoverable {Jimenez v. Bucoy, G.R. No. L-10221,
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·n 1958; Castillo v. Samonte, G.R. No. L-13146, 1960). It is
not the fact of winning alone but the attendance of any of
the special circumstances (Arl. 2208, Civil Code of the
Philippines) and, in case of a public litigant, the existence
of the right to private counsel that justify the award of
attorney's fees as damages in favor of the prevailing party
(Rizal Surety & Ins. Co. v. Court of Appeals, G.R. No. L-
23729, 1967).
Exceptions: The new Civil Code provides 11 additional
exceptions to the rule and recognizes the right of a winning
iitigant to recover attorney's fees in any of those exceptions
(arl. 2208 civil code).
Attorney's fees in the concept of damages may be awarded
in any of the following circumstances: (MALA-SUN-
RIC2ES)
1. In criminal cases of Malicious prosecution;
2. When there is Agreement;
3. When defendant's action or omission compelled
plaintiff to .bitigate;
4. When exemplary damages are ,Awarded;
5. !n actions for .§.upport;
6. When the action is clearly ,Ynfounded;
7. When defendant acted in gross Negligence and bad
faith;
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 civii action aiising from a ~rime;
11. When at least doubie ~osts are awarded;
12. When the court deems it just and Equitable;
·, 13. When a ~pecial law so authorizes.
' gratuitously or has been appointed counsel de officio
Right of private counsel, precondition
He must have employed and, in the cases of a public
litigant, must show his right to employ a private counsel as
well. A successful litigant who prosecuted his action
without the assistance of counsel is not entitled to the
award of attorney's fees (Andreas v. Green, G.R. No.
24322, 1925).
Award of attorney's fees discretionary
The award of attorney's fees is essentially discretionary
with the trial court (Arabay, Inc. v. Aquino, G.R. No. L-
29033, 1970). The decision should state the reason why
the award is made, unless the text thereof plainly shows
the case comes within one of the exceptions. A statement
by the trial court that it considered it ujust and equitable" to
require the payment of attorney's fees because the clairn
set up or the defense raised is untenable or insufficient to
justify the award.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Attorney's fees are not awarded as a matter of course
every time a party wins. The Supreme Court does not put
a premium on the right to litigate. The award of attorney's
fees is an exception rather than the general rule; thus,
there must be compelling legal reason to bring the case
within the exceptions provided under Article 2208 of the
Civil Code to justify the award (Philippine National
Construction Corporation v. APAC Marketing Corooretios,
G.R. No. 190957, 201.3).
Pleading and practice
In the absence of such allegation, neither the trial court nor
the appellate court may grant attorney's fees (Enecilla v.
Magsaysay, G.R. No. L-21568, ·t966).
With the claim for attorney's fees having been set up, the
appellate court may grant such fees even if the party so
granted did not appeal from the lower court's judgment
denying the award (Flores v. Mirando, G.R. No. 12163,
1959; Enecilla v. Magsaysay, G.R. No. L-21568, 1966).
The fact that the grant of attorney's fees is discretionary
does not dispense with the necessity of proof even if the
party against whom it is asserted has not denied the-claim,
except when what is sought is in the nature of liquidated
damages fixed in a. valid written agreement ( Santiago y.
Dimayuga, G.R. No! L-17883, 1961).
i. Acceptance fees
Right to Attorney's fees
A lawyer has the right to have and recover from his client
a fair and reasonable compensation for his services,
except in cases where he has agreed to render service
( Canon 20, Rule 2. 04, CPR; Rule 138, Secs. 24 and 32, ·
ROG).
Canon 20 - A lawyer shall charge only fair and
reasonable fees.
The compensation of a lawyer should be a mere incident
of the practice of law as the practice of law is a profession
and not a business ( Canon 12, CPE).
Right to protection of counsel fee
A lawyer is as much entitled to judicial protection against
injustice, imposition or fraud on the part of his client as the
client against abuse on the part of his counsel. The court
must see to it that a lawyer is paid his just fees (Albano v.
Cotome, A.G. No. 528, 1967j.
The proper ti, ne for a lawyer to deal with the issue of his
attorney's fees is at the commencement of the lawyer-
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client relationship (Fajardo v. Bugaring, A.C. No. 5113,
2004).
Requisites for right to accrue (RS):
1. Accrual of the lawyer's right to attorney's fees requires
the existence of an attorney-client Relationship (Phil.
A!:;s'n of Free Labor Union v. Binalbagan Sugar Co.,
G.R. No. L-23959, 1971)
2. The rendition by the lawyer of Services to the client
(Fajardo vs. Court of Industrial Relations,G.R. No. L-
19453-4, 1967)
Written agreements
General Rule: A written agreement is not necessary to
establish a client's obligation to pay attorney's fees (Dee v.
CA, G.R. No. 77439, 1989). The absence of an express
undertaking on the client's part to pay attorney's fees will
not defeai the recovery if the lawyer honestly and in good
faith served and represented the interest of his client (De
Guzman v. Visayan Rapid Transit Co., G.R. No. 46396,
1989).
The client's obligation to pay attorney's fees arises from
the innominate contract of facias ut des (I do and you give)
which is based on the principle that no one shall unjustly
enrich himself at the expense of another ( Corpus v. CA,
G.R. No. L-40424, 1980).
Exception: A contingency fee arrangement should
always be in writing; otherwise, it is unenforceable.
Who is liable for attorney's fees
General Rule: only the client who engaged the
services of counsel either personally of through an
authorized agent is liable for the attorney's fees.
Exception: in the event a person who accepts the benefits
of the legal representation impliedly agrees to pay the
lawyer's services for may not unjustly enrich himself at the
expense of the lawyer.
Liability of persons benefited by counsel's services
General Rule: A person who has no knowledge of, or
objected to, the lawyer's representation may not be held
liable for attorney's fees even though such representation
redounded to his benefit ( Orosco v. Heirs of Hernandez, 1
Phil. 77, 1901). The objection to the lawyer's appearance
should, however, be raised before and not after
beneficial services shall have been rendered by the
lawyer, otherwise, the party who benefited from the
lawyer's representation may be required to pay counsel
fees (Martinez v. Union Maquinistas, Fogoneros y
Motormen, G.R. No. L-19455-56. 1967j.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
If the legal representation redounded to the benefit of the
party, the retention or acceptance of the benefit cures
the defect of lack of authority on the part of the agent to
retain the lawyer.
Exception: When a private lawyer is employed to
represent a government entity by an official who has no
authority in law to do so.
Liability of Assignee
The assignee may be held liable for counsel fees from out
of the proceeds of a favorable judgment. This gives the
assignee the right to intervene in the matter of fixing the
amount of fees that may be a proper charge against the
judgment rendered in the action (Otto Gmur, Inc., v. Revilla,
G.R. No. L-34782, 1931).
Liability in Labor Cases
A lawyer who represents a union and its members and with
whom he has a retainer for payment of a fixed percentage
or amounts recovered from the company is entitled for be
paid his fees by both union and non-union members who
derive benefits from his services. Attorney's fees in labor
cases may not be more that what the law provides and they
may not be checked off from any amount due to employees
without their written consent ( Gabriel v. Secretary of Labor,
G.R. No. 115949, 2000).
Liability in Derivative Suits
When the professional services of counsel who instituted
the action upon request of a stockholder are oeneficial to
the corporation, the counse! fees may be properly charged
against corporate funds. However, any stockholder may
intervene and oppose the grant of such fees as a charge
against the funds of the corporation (Lichauco v CA, G.R.
No. L-23842, "1975).
Liability in Receivership proceedings
The attorney's fees for a defendant in a receivership
proceeding are personal obligations of the defendant and
may not be paid out of the funds in the hands of the
receiver, unless the services rendered by the lawyer have
redounded to the benefit of the receivership or of the
plaintiff who asked for the appointment of the
receiver.(Phil. National Bank v. Perdo y Robles Hennanos,
G.R. No. L-46365, 1939).
Liability in Trusteeship or Guardianship Proceedings
A trustee may be indemnified out of the trust estate for his
expenses in rendering and proving his accounts and for the
counsel fees in connection therewith. However, lhe court
may determine whether or not a trustee may be allowed
expenses for attorney's Iee and permitted to charge the
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same against the trust estate (Araneta v. Perez, G.R. No.
L-20787-8, ·/965).
In guardianship proceedings, the property of the ward
may lawfully answer for counsel fees of the lawyer
employed by the guardian. However, no assets of the ward
may be spent for attorney's fees without the proper
approval of the guardianship court (Fernandez v. Bello,
G.R. No. L-14277, 1960)
Liability in Estate proceedings
The liability for payment rests on the executor or the
administrator who may, if the services are beneficial to the
estate, either seek reimbursement from the estate if he has
already paid them or include them in his account with due
notice to all parties interested (Ocefia v. Marquez, G.R. No.
L-27396, 1974). The estate will answer for the fees of the
lawyer whose services are beneficial to the estate, and if
the assets have already been distributed, the distributor or
heirs will have to contribute their share to the counsel fees
as the obligations of the estate follow the assets wherever
they are, except in the hands of a purchaser in good faith
(David v. Sison, G.R. No. L-1399. 1946).
Who are entitled to attorney's fees or a share therein?
The lawyer who has been engaged by a client is the one
entitled to have and recover no more than a reasonable
compensation for his services (Rule 138, Sec. 24, ROG).
Rule 20.02 - A lawyer shall, in cases of referral, with the
consent of the client, be entitled to a division of fees in
proportion to work performed and responsibility
assumed.
Non-lawyer not entitled to fees
A non-lawyer cannot recover attorney's fees even if there
is a iaw authorizing him to represent a litigant in court (Phil.
Ass'n. of Free Labor Union v. Binalbagan lsabela Sugar
Co., G.R. No. L-23959, 1971). An attorney-client
relationship is a precondition to the recovery of attorney's
fees.
Restrictions on some laY.:yers to charge fees
A lawyer who is absolutely disqualified from engaging in
the private practice of law by reason of his government
position may neither practice law nor, shouid he do so
illegally, charge attorney's fees for such services. The
prohibition does not apply to the coliection of attorney's
fees for services already performed before the lawyer
qualified for the public office even though payment for such
service is made after the lawyer has quaiified for the public
••
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
office (Omico Mining & Industrial Corp. v. Vallejos, G.R. No.
L-38974, 1975). •
An executor or administrator is prohibited from charging
the estate under his administration of his professional fees
for services rendered by him as a lawyer (Rule 85, Sec. 7,
ROG).
Right of counsel de officio to fees
In the absence of a law allowing compensation, the lawyer
designated as counsel de officio cannot charge the
government nor the indigent litigant for his professional
services. The court may, in its discretion, order an attorney
employed as counsel de officio to be compensated in such
sum as the court may reasonably fix, which shall not be
less than P30.00 in any case nor more than P50.00 in light
felonies; P100.00 in less grave felonies; P200.00 in grave
felonies other than capital offenses; and PS00.00 in capital
offenses (Rule 138, Sec. 32.. ROG). The compensation for
counsel de officio is not, however, intended as a source of
regular income (People v. Daeng, G.R. No. L-34091,
1973).
Attorney's conduct affecting right to fees
A lawyer's right to recover reasonable compensation may
be affected by misconduct on his part, such as
carelessness or negligence in the discharge of his duties
(Wolfson v. Anderson, G.R. No. L-24510, 1926),
misrepresentation, or abuse of client's confidence or
unfaithfulness in representing his client's cause (Medina v.
Bautista, A.G. No. 190, 1964).
Adverse result of the litigation does not in itself deprive a
lawyer of the right to claim a reasonable compensation for
his services, unless such result is (MC):
1. Due to the lawyer's Misconduct
2. The fee stipulated is ~ontingent upon the favorable
outcome of the action
Withdrawal of counsel from the case
A lawyer's unceremonious withdrawal from or
abandonment of the action, which prejudices the client
constitutes a breach of his implied undertaking to
prosecute or defend the client's cause untii the termination
of the litigation. His right to compensation for services
is negated.
The withdrawal of counsel who has so far done his work
faithfully in accordance with the prescribed procedure: does
not affect his right to fees for services rendered in the case.
If the withdrawal is with the client's written conformity, and
in the absence of evidence to the contrary, it is presumed
that he and his client have mutually agreed to terminate his
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services and to compensate him for such services up to
the date their relationship is terminated. The lawyer
should refund to his client such part of the retainer as
has not been clearly earned. If the withdrawal is without
the client's written consent but for a justifiable cause made
after due notice to the client, the lawyer may recover the
reasonable worth. of his services up to the date of his
withdrawal, unless the agreed fee is contingent and the
contingency has not arisen (Palanca v. Pecson, G.R. No.
L-6334, 1954).
Representation of adverse interests
In the absence of the client's consent to the dual
representation made after full disclosure of the facts
(Canons 6 and 37, Canons of Professional Ethics), a
lawyer may not receive compensation from both parties to
a controversy (Medina v. Bautista, A.C. No. 190, 1964).
The lawyer's acceptance of employment from a new client
against a former client in a matter, which is related to the
fonner controversy, precludes recovery of fees from the
former client only if the latter objected to the
representation. (Deupree v. Garnett, 1954 OK 110 (Okla.
1954); NOTE: There is no equivalent Philippine
jurisprudence on the matter). The new client may not
defeat the lawyer's right to fees in the absence of
concealment and prejudice by reason of the lawyer's
previous relationship with the adverse party.
Lawyer's right unaffected by client's conduct
A client cannot, in the absence of the lawyer's fault,
consent or waiver, deprive the lawyer of his just fees
already earned.
Attorney's discharge by client
The discharge of a lawyer by his client without a valid
cause before the conclusion of l.,e litigation does not
negate the lawyer's right to recover payment for his
services. If the contract between a client and his lawyer is
in writing and the fee stipulated is absolute and
reasonable, a lawyer who is discharged without justifiable
cause will be entitled to the full amount thereof (Palanca v.
Pecson, G.R. No. L-6334. 1954).
The lawyer should question his discharge to entitle him to
recover under the contract. otherwise he will be allowed
recovery only on a quantum meruit basis (Flores v. Phil.
National Bank, G.R. No. L-18537, 1966).
If there's no express written agreement as to fees, the
lawyer may only be entiued to recover the reasonable
Value Of his services UJ1 to the date of his dismissal.
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
Client dismissal of actions
•
A client may dismiss his action even without or against
the consent of his counsel. If the dismissal of the action
is in good faith, and is based on an honest belief that the
client has no valid cause. the lawyer may recover only the
reasonable worth of his services, except when the fee is
contingent in which case, there will be no recovery.
If the dismissal is in bad faith and is intended to defraud
the lawyer of his compensation. the lawyer will be entitled
to the full amount stipulated in a valid written contract, or in
the absence of such contract, a reasonable value of his
services based on quantum meruit.
Client's compromise of action
A client cannot, by entering into a compromise agreement,
deprive his lawyer of his fees in the absence of waiver on
the part of the lawyer (National Power Corporation v. NPC
Employees and Workers' Union, G.R. No. L-26169, 1979).
If the compromise is with the consent of the lawyer. he will
be entitled to only a reasonable value of his services fixed
on the basis of quantum meruit (Lutero v. Esler, G.R. No.
L-29268, 1928).
If there is bad faith, the lawyer will be entitled to recover
the full amount of fees stipulated in a valid written contract
or, in the absence of such contract, the reasonable worth
of his services (Recto v. Harden, G.R. No. L-6897, 1956).
Contract for Attorney's Fees
Generally
A contract of professional services may either be oral or in
writing. The fee stipulated may be absolute or contingent;
it may be a fixed percentage of the amount recovered in
the action. The contract may call for a down payment of a
fee per appearance, per piece of work, or on an hourly
basis. It may also be a combination of the agreements.
Kinds of retainer
General Retainer or Retaining Fee
The fee paid to a lawyer to secure. his future services as
general counsel for any ordinary legal problems that may
arise in the routine business of the cfient and referred to
him for legal action. The fee paid to remunerate him for
being deprived, by being retained by one party, of the
opportunity of rendering service to the other party.
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Special Retainer Court may modify or disregard a contract when fee is

A fee for a specific case handled or special service
rendered by the lawyer for a client. When for every case
there is a separate and independent contract for attorney's
fees, each fee is considered a special retainer ( Traders
Royal Bank Employees Union-Independent v. NLRC, G. R.
.No. 120592, 1997).
Validity of contract
The general rules governing the validity of an ordinary
contract apply to an agreement for professional services.
It becomes the law between the parties provided the
stipulations are not contrary to law, good morals, good
customs, and public policy or public order. (Reparations
Commission v, Visayan Packing Corp., G.R. No. L-30712,
February 6, 1991;)
( and protect the client from unreasonable exaction. (Fe/ices
\
unconscionable or unreasonable
The court may properly modify or disregard a contract of
professional services whenever the fee therein fixed is
unconscionable or unreasonable. (Mambulao Lumber Co.
v. Phil. National Bank, G.R. No. L-22973, 1968).
When the amount of fees stipulated in the professional
contract is unconscionable, the contract is rendered
invalid. The fact that the client knowingly entered into such
a contract does not estop him from questioning the validity
of the contract, because estoppel does not validate a
contract that is prohibited by law or is against public policy
(Gorospe v. Gochangco, G.R. No. L-12735, 1959).
Public policy demands that the court disregard the contract

As with any other contract, a retainer whose cause, object v. Madrilejos, G.R. No. 27124, 1927; Jayme v. Bua/an,
or purpose is contrary to law, public policy, morals and G.R. No. 37386, 1933.) However, the unconscionability of
good customs is null and void ( Civil Code, art. 1409; the amount will not preclude recovery; it will only justify lhe
r
I
\
Omnico Mining & Industrial Corp. v. Vallejos, G.R. No. L- court to fix the reasonable worth of the lawyer's services
38974, 1955). based on quantum meruit.
.I c
\,. I
Effect of nullity of contract ii. Contingency Fee Arrangements
Can a lawyer recover his fees if the professional Distinctions among fees:
contract is null and void? ABSOLUTE CON TIN- CHAMPERTOUS
(·
FEE GENT FEE CONTRACT
' It depends. CON-
1. If the nullity results from the illegality of the object
sought to be achieved by the performance of the
TRACT I I

professional services, no. It precludes a lawyer from Lawyer' Fixed fee Usually a Llsually a fixed
recovering his fees for such services (Baca v. Padilla, s fee for his fixed percentage of
1920). efforts percentage what may be
2. If the nullity of the contract is due to want of authority regardless of what may recovered in the
on the part of one of the contracting parties or to some of the be j action which
irregularity in its formal execution or to the reasonable outcome of recovered · depends upon the
amount of fees fixed therein, yes. The lawyer will be the in the action success of the
entitled to recover what is justly due to him for his litigations depends litigation
services on the basis of quantum meruit. upon the
success of
The services, in that case, are legitimate, and while the the litigation
contract will not be enforced because of its formal defects,
the rule against unjust enrichment will entitle the lawyer to
recover the reasonable worth of his services ( Magsumbol
v Pagbilao, G.R. No.L-6915 1957).
~+lien!
I the
nears
I Client Lawyer
I
I

Effect of unconscionability of amount

Rule 138, Sec. 24 of the Rules of Court provides that an
I
I
expens
es
"attorney shall be entitled to have and recover from his
Legal Illegal
client no more than a reasonable compensation for his
services" and that a "written contract for services shall
LLegality _:_egal
I J
control the amount to be paid therefore unless found by the
court to be unconscionable or unreasonable."
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 ATENEO CENTRAL
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Must be in
Requisi
• tes of writing
Validity
An absolute fee arrangement entitles a lawyer to get paid
for his efforts regardless of the outcome of the litigations;
he does not assume any risk or uncertainty that his
compensation will not be paid.
On the other hand, a lawyer whose fee is contingent
assumes the risk of not getting paid for his services; he
may not even get reimbursement for advances of litigation
expenses if the client is poor; a contract for a contingent
fee is a contract between a lawyer and his client in which
the lawyer's professional fee, usualiy a fixed percentage
of what may be recovered in the action, is made to
depend upon the success of the litigation.
In such contract, the lawyer gets paid for his services only
if he wins the case for the client. If the client prevents the
successful prosecution of the case or acts in bad faith, the
lawyer will be entitled to recover on a quantum meruit basis
or the full amount stipulated in the valid written agreement,
respectively (Aro v. Nanawa, G.R. No. L-24163, 1969}.
This: i}'pe of contract is under the close supervision and
scrutiny of the court to protect clients from unjust charges.
The court will reduce the amount of an unconscionable
contingent fee to a reasonable sum, even where the client
manifests conformity thereto, because a lawyer subjects
his professional fees to judicial control when he takes his
oath ( Sesbreno v. Court of Appeals, G. R. No. 89252,
1993).
In the absence of any stipulation to the contrary, a lawyer
cannot charge his client a contingent fee or a percentage
of the amount recovered as his fees. Contingent fees
depend upon an express contract, without which the
lawyer can only recover on the basis of quantum
meruit (Corpus v. Court of Appeals, G.R. No. L-40424,
1980).
Validity of contingent fee - must be in writing
A contingent fee must be in writing, and if not, it is
unenforceable. In this jurisdiction, a contingent fee is not
prohibited by law and is impliedly sanctioned. It is generally
valid and binding, unless it is obtained by fraud, imposition
or suppression of facts, or the fee is so clearly excessive
as to amount to an extortion (Tanhueco v. De Duma, A.M.
No. 1437, 1989).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
The fraud or suppression of facts may be on the part of the
lawyer, who takes advantage of his client's ignorance
(Jayme v. Bua/an, G.R. No. 37386, September 19, 1933j,
or on the part of the client, who avoids paying his lawyer a
legitimate fee by undervaluing the amount of his interests
in litigation (Francisco v. Matias, G.R. No. 16349, 1964).
Even if the compensation of a counsel is dependent only
upon winning a case he himself secured for his client, the
subsequent withdrawal of the case on the client's own
volition should never completely deprive counsel of any
legitimate compensation for his professional services
(Gubat v. National Power Corporation, G.R. No. 167415,
2010).
A lawyer may properly charge a higher fee for his services
when the fee is contingent than when it is absolute
(Francisco v. Matias, G.R. No. L-16349, 1964).
Effect of agreement to pay litigation expenses
A Champertous Agreement is an agreement by a lawyer
to conduct the litigation on his own account, to pay the
expenses thereof or to save his client therefrom and to
receive, as his fee, a portion of the proceeds of a judgment
- it is obnoxious to the law. (Canillo v. Angeles, A.C.
Nos. 9899, 9900, 9903-9905, 9901 & 9902; [September 4,
2018))
Canon 42 of the Canons of Professional Ethics forbids a
lawyer from agreeing to pay or bear any of the expenses
of litigation. This is to prevent a lawyer from acquiring an
interest in the litigation and to avoid conflict of interest
between him and his client.
To permit these arrangements is to enable the lawyer to
"acquire additional stake in the outcome of the action which
might lead him to consider his own recovery rather than
that of his client or to accept a settlement which might take
care of his interest in the verdict to the sacrifice of that of
his client in violation of his duty of undivided fidelity to his
client's cause."
Thus, an agreement between a lawyer and his client that
does not provide for reimbursement of litigation expenses
paid by him is against public policy, especialiy if the lawyer
has agreed to carry on the action at his expense in
consideration of some bargain to have a part of the thing
in dispute. Such agreemeni violates the fiduciary
relationship between the lawyer and his client and renders
the lawyer liable for administrative sanction (Bautista v.
Gonzales, A.M. No. 1625, 1990).
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r)
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r';1 He may, however, in good faith, advance the expenses as quantum meruit basis, neither may disregard the amount
a matter of convenience but subject to reimbursement. fixed in the contract (Martinez v. Banogan, G.R. No. L-
15698, 1963).
I CHAMPERTOUS CONTINGENT FEE
This applies whether the fee contracted for is absolute or
CONTRACT CONTRACT
contingent upon the outcome of the litigation ( Quitoriano v.
Lawyer undertakes to bear Lawyer agrees to be paid Centeno, G.R. No. L-40309, 1939).
all expenses for the depending on the success
recovery of the things of his efforts, not Nature of services
claimed by the client, necessarily for the same The value of the lawyer's services is in large measure
when the client agrees to money or payment subject determined by the nature, quality and quantity of such
pay a portion of the thing/s of the case. services (Zulueta v. Pan American World Airways, G.R.
recovered as No. L-28589, 1973). The lawyer's service should not be
compensation. fragmented and each fragment separately valued. Rather
the importance and value of his services should be
; . measured and considered as a whole.
Construction of professional contract
Genera! Rule: Adopt such construction as would be more Skill and standing of the attorney
favorable to the client even if it would work prejudice to the The lawyer's competence and ability must be judged by
lawyer (Delos Santos v. Peience, G.R. No. 17815, 1963). the character and quality of his work and services not only
in the field of law but in other fields of public and private
If the ambiguity in the contract was caused by the lawyer, endeavors as well (Ingersoll v. Malabon Sugar Co., G.R.
t
•, I
the obscurity will be resolved against him (Martinez v. No. 27770, 1927). The skill and standing of the lawyer must
Banogan, G.R. No L-15698, 1963.). be duly proved.
t .
~
Thus, a lawyer who prepares a contract of professional
. (
\
'
services is presumed to have sized up the entire situation
Value of the interest involved
Generally speaking, the bigger the size or value of tne
before entering into the agreement (Martinez v. Banogan, interest or property involved in litigation the higher the
r G.R. No L-15698, 1963). attorney's fee is. This is because the higher the stakes, the
' .i
more the case is hotly litigated and lhe greater the- efforts
Exception: Unless there is evidence that a lawyer, in the lawyer exerts (Francisco v. Matias, G.R. No. L-16349,
entering into contract for a fixed fee, has agreed to handle 1964).
other cases for the client without any additional
compensation, it would neither be fair nor just to hold that The value of the interest in litigation as a measure of the
he agreed to conduct such other cases gratuitously (Delos lawyer's compensation depends, in the last analysis, upon
Santos v. Palanca, G.R. No. 17815, 1963). the extent of the special and additional services and efforts
demanded of the case. Even if the interest involved is of
Amount fixed in a valid contract considerable value but calls for no extra efforts. there will
Generally speaking. the amount of attorney's fees due is be no justification for awarding a high compensation for the
that stipulated in the written retainer agreement which is lawyer's services (Mambulao Lumber Co. v. PNB, G.R. No.
conclusive as to the amount of the lawyer's compensation L-22973, 1968).
( Companie Matima: Inc. v. CA, G.R. No. 128452, 1999).
Loss of opportunity for other employment
Once the lawyer has performed the task assigned to him Whi!e such work may not ca!I for extraordinary skill, it is the
in a valid written agreemeni, his compensation shail be loss of opportunity for other gainful services for his
determined on the basis of what he and his client have attendance to those small details that warrant payment of
agreed and no! on quantum meruit basis (Francisco v. higher compensation than may ordinarily be granted.
Matias, G. R. No. L-16349, 1964). (Bernardino Guerrero & Associates v. Tan, GR. Nos. L-
20824 & L-22218, J965).
Unless both the attorney and the client expressly or
impliedly set aside the contract and submit the question of
reasonahleness cf the amount for the court lo resolve on a

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Difficulty of issues involved
In fixing the Jawyer's fees, the court takes into account the
novelty or difficulty of the questions involved in the action
as well as the demands on his part on those questions.
(Sison v. Suntay, G.R. No. L-10000, 1957).
"Test case"
Where several actions or possibie disputes, as in cases
concerning insurance, tax, levy or labor involve an identical
question and one case is litigated as a test case, the value
in controversy in all the actions should bear its appropriate
proportion to the amount due as fees to the lawyer who
prosecuted the test case (Martinoz v. Union de
Maquinistas, Fogoneros y Motormen, G.R. No. L-19455-
56, 1967).
Results secured
What the lawyer secures for his client represents a real
benefit to the client. In fixing what a lawyer is reasonably
entitled as his compensation, the result secured by the
lawyer is given much weight (Francisco v. Matias, G.R. No.
L-16349, 1964). .
The fact that a lawyer, in spite of his efforts, failed to secure
for his client what he desires does not, however, deprive
him of the right to recover compensation for his services
except when the fee. agreed upon is contingent.
Capacity of clients to pay
The financial capability of a client to pay may also be
considered in determining the amount of fees not to
enhance the same above what is reasonable but to
ascertain whether or not the client is able to pay a fair and
just compensation for the services rendered.
Statutory limitation as to fees
The legislature, in the exercise of its police power, may by
law prescribe the limit of attorney's fees that a lawyer may
charge his client ( See Republic Acts 65, Sec. 15; Rule 141,
ROC).
Such law should be interpreted strictly and may not be
extended beyond what it expressly comprehends (Phil.
National Bank\.: De Borromeo, G.R. No. L-9979, 1958).
A lawyer who collects more than what the law permits may
be criminally held liable (Narido v. Linsangan, A.M. No.
944, 1974).
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
Fees in cases of referral
Rule 20.02 - A lawyer shall, in cases of referral, with the
consent of the client, be entitled to a division of fees in
proportion to work performed and responsibility assumed.
It is improper for a lawyer to receive compensation for
merely recommending another lawyer to his client for if
such practice is permitted, it would tend to germinate the
evils of commercialism and to destroy the proper
appreciation of professional responsibility (A.B.A. Op. 97,
1933j.
It is only when, in addition to the referral, he performs legal
services or assumes responsibility in the case that he will
be entitled to a fee ( Comments of IBP Committee that
drafted the Code, p. 111).
A lawyer shall not receive fee from another without
client's consent.
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.
A lawyer should receive compensation for his services in a
case only from his client and not from any other person.
This is to prevent a situation in which the receipt by him of
a rebate or commission from another in connection with the
client's cause may ir.terf ere with the full discharge of his
duty to his client (A. B.A. Op. 78, August 27, 1932).
A corollary of the foregoing rule is the principle that
whatever a lawyer receives from the opposite party in the
service of his client belongs to his client.
iii. Attorney's Liens
In General
Lawyers are required at all times to exert utmost zeal and
untainted fidelity in upholding his client's cause and subject
to appropriate disciplinary action should he fail to live up to
such exacting standard, the lawyer in re tum is given
through his liens - retaining and charging - an effective
held on his client to assure payment of his fees (Ampil v.
Agrava, G.R. No. L-27394, 1970).
The law creates in favor of the lawyer a lien not only upon
the funds, documents and papers of his client which have
lawfu!ly come into his possession until what is due him has
been paid, but also a lien upon all judgments for the
payment of money and executions issued in pursuance of
such judgments renc.Jered in the case wherein his services
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have been retained by the client (Rule 138, Secs. 26 and Subject The right of the The right which the •
• 37, ROC; Rule 16.03, CPR) . attorney to retain attorney has upon all
: .)
the funds, judgments for the
Retaining Lien documents and payment of money,
A retaining lien is a general lien for the balance of the papers of his client and executions issued
account due to the attorney from his client for services which have lawfully in pursuance of said
rendered in all matterswhich he may have handled for the come into his judgments which he
client, regardlessof their outcome. possession has secured in
litigation of his clients.
Nature and essence - passive right to retain
A retaining lien is a passive right and cannot be actively
enforced. It amounts to a mere right to retain the funds,
documents and papers as against the client until the Purpose To apply such funds To make of record his
attorney is fully paid his fees. to the satisfaction claim in order that it
thereof until his may be considered in
The inconveniencethat may be caused to the client as a lawful fees and the execution of the
result of the retaining lien exercised by the attorney is the disbursements judgment that may be
reason and essence of the lien (Rustia v. Abeta, G.R. No. have been paid rendered in the case.
L-47914, 1941).

Such inconvenienceor disadvantagemay induce the client Requisite 1. An attorney-client 1. There must be an
to pay the lawyer his fees and disbursements (Ampil v. s for relationship attorney client
Agrava, G.R. No. L-27394, 1970). Validity 2. Lawful relationship
possession by the 2. The attorney has
RETAINING LIEN CHARGING LIEN lawyer of the client's rendered service
r , funds, documents, 3. A moneyjudgement
' j and papers in his favorable to the
Definition A general lien for An equitiable right to professional accused has been
the balance of the have the fees and I capacity; if the secured in the action
account due to the lawful disbursement engaged has 4. The attorney'has a
attorney's form his due a lawyer for his ceased, if the claim for attorney's
client to for services services in a suit lawyer was fees or advances
rendered in all secured to him out of terminated, the 5. A statement of his
matters which he the judgement for the lawyer is duty claim has been duly
may have handled payment of money bound to account recorded in the case
for the client, and executions issued for all the money with notice thereof
regardless of their in pursuance thereof and properties of served upon the client
outcome in the particular suit. the client in his and the adverse party.
possession
3. Unsatisfied
claims for attorney's I
fees
disbursement
Matute v.
or
(
Matute
I
I G.R. L-27832, May I
L-------~-2_a_._20_1_2_;. __.I'----------------·-
Property to which lien attaches
The general, possessory or retaining lien of an attorney
attaches to all property, papers, books, documents or
securities of the client that lawfully come to the lawyer
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 ATENEO CENTRAL
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professionally or in the course of his professional
• employment, not neces.:arily in connection with a particular
case but any case or matter handled for tho client. It also
attaches to the client's money which comes into his
possession by way of a writ of execution ordered by the
court. It extends to funds collected by the attorney for his
client in the course of his employment, whether or not upon
a judgment or award (De Jes.us-Alano v. Tan, G.R. No. L-
9473, 1959).
However, the retaining lien does not attach to funds,
documents and papers which come into the lawyer's
possession in some other capacity, such as an agent of
the client's spouse (Sarmiento v. Montagne, G.R. No. 1110,
1904), or as a mortgagee or trustee. It also does not attach
to documents introduced as exhibits in court, they being
subject to the court's custody over which it exercises
control (Villanueva v. Querubin, G.R. No. L-26137, 1968).
An attorney may lawfully enforce his retaining lien only
against the funds, documents .and papers of his client and
not against those belonging to third persons or to the
client's adversary (Ampil v. Agrava, G.R. No. L-27394,
1970).
When lien attaches
The retaining lien attaches fr~ro the moment the attorney
lawfully obtains and retains possession of the funds,
documents and papers of the client until the client pays him
his fees and disbursements (kustia v. Abeto, G.R. No. L-
47914, 1941). The lawyer's position is similar to that of a
creditor who holds an attachment lien over the property
and the client-debtor must discharge ihe lien before he can
dispose of the property to third persons (Ampil v. Agrava,
G.R. No. L-27394, 1970).
Bond for return of documents
The attorney's retaining lien, once it has attached, is
incontestable and the court may not compel him to
surrender them without prior proof that his fees and
disbursements have been duly satisfied. (Matute v. Matute,
G.R. No. L-27832, May 28, 1970); However, the court may
require the surrender thereof upon the client's posting of
an adequate bond or security to guarantee payment of the
lawyer's fees (Rustia v. Abeto, G.R. No. L-47914, 1941).
Extinguishment of retaining lien
It expires when possession lawfully ends. as when the
lawyer voluntarily parts with the funds. documents and
papers of his client or offers them in evidence in court
(Villanueva v. Querubin, G.R. No. L-26137, 1968).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
If the papers or documents have been improperty or
illegally taken from the custody of the attorney, his lien is
not lost thereby, unless by his act or omission he waives
his right thereto. Mandamus will lie to restore possession
of the documents unlawfully taken from him (Rustia v.
Abeta, G.R. No. L-47914, 1941).
Satisfaction of lien
Since the attorney's general or retaining lien is only a mere
passive right to enforce collection of his fees and
disbursements, he still has to file the necessary action to
recover what is due him from his client. If what the lawyer
retains in the exercise of his lien refers to funds or money
of the client that lawfully comes into his possession and the
client does not dispute his claim for attorney's fees and the
amount thereof, he may lawfully apply the client's funds in
satisfaction of his claim for attorney's fees and
disbursements (De Jesus-Alano v. Tan, G.R. No.L-9473,
1959).
All that is required is that the lawyer provide his client
with an accounting, showing the amount deducted in
payment of his claim and remitting the balance, if any, to
the client (Cf. Teodoro v. Javier; 63 Phil. 1050 (1936).
However, if he makes the application without his right to or
the amount of his fees first determined by the court or
without the client's consent, he may be liable for
misappropriation of the client's funds (In re Booram, 39
Phil. 247 (1918).
Charging Lien
It is a special lien imposed upon all judgments for the
payment of money, and executions issued which he (the
attorney) has secured in a litigation of his client." (Bacolod
Murcia Milling Co. v. Henares, G.R. No. L-13505, 1960).
It is based on the natural equity that a client should not be
allowed to appropriate the whole of a judgment in his favor
without paying the services of his counsel in obtaining or
helping obtain such judgment (Bacolod Murcia Milling Co.
v. Henares, G.R. No. L-13505, 1960).
It is a device that prevents clients from receiving the fruits
of recoveries without paying for the valuable services by
which the recoveries were obtained (Bacolod Murcia
Milling Co. v. Hernaes, G.R. No. L-13505, 1960).
This presupposes that the attorney has received a
favorable money judgment for his client. It is limited to only
money judgments and not to any other kinds of judgment,
such as judgment for annulment of contract or for delivery
of real property (Metropolitan Bank & Trust Co. v Court of
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Appeals, G.R. No. 86100-03, 1990). Where the services of
counsel were terminated and the case was thereafter
amicably settled, it cannot be said that he secured a
favorable judgment for his client and was therefore entitled
to a charging lien.
It is enough that the lawyer had rer.dered some service at
any stage of the proceeding, not necessarily the one who
concluded the action, to be entitled to a charging lien
recorded in the case to secure payment of a reasonable
value of his services.
Requirements for an enforceable attorney's lien (SN):
1. §tatement of claim made on record of case while the
court has jurisdiction over the same and before full
satisfaction of the judgment and,
( ' 2. Written Notice of his claim delivered to client and
adverse party (Navarez v. Att_v. Abrogar Ill, G.R. No.
191641, 2015).
Mere filing of statement does not legally determine the
amount of the claim. Both the attorney and the client must
,.·
I have the right to be heard and to present evidence in
support of their claims. A full trial is necessary before a lien
r .
is registered (Navarez v. Atty. Abrogar Ill, G.R. No.
\.
~. ' .
191641, 2015).
Further, registration and enforcement of a lien are different.
Registration merely determines birth of a lien. The lawyer
does not need to pay docket fees. However, a motion for
enforcement is in the nature of an action to collect fees
against the clients. As in every action for a sum of money,
the attomey-movant must first pay prescribed docket fees
before the court can acquire jurisdiction to order
enforcement of the lien (Navarez v. Atty. Abrogar Ill, G.R.
No. 191641, 2015).
\,
An attorney's lien can only be enforced after a final money
judgment has been rendered in favor of the client. The lien
only attaches on the money judgment due to the client and
is contingent on final determination of the main case. Until
the judgment is final and executory, enforcement of an
attorney's lien is premature (Navarez v. Atty. Abrogar Ill,
G.R.No. 191641, 2015).
Record and notice of lien
The attorney's charging lien takes effect from and after the
time the attorney has caused a notice of his lien to be duly
entered in the record of the case (Macondray & Co. v. Jose,
G.R. No. L-44671, 1938). The record, to be valid, should
he effected while the court has jurisdiction over the case
and before the full satisfaction of the judgment (G.A.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Machineries, Inc. v. Court of Appeals, G.R. No.L-42768,
1977). Compliance of the requirement of notice is
necessary to make the lien effective ( Ceino v. Victoriano,,
G.R. No. L-12905, 1959) and to confer jurisdiction upon the
court to determine the lien (Bacolod Murcia Milling Co. v.
Hernaes, G.R. No. L-13505, 1960).
A copy of the attorney's claim is also served upon the
adverse party or judgment debtor before the latter has
satisfied the judgment in order that that charging lien, once
duly recorded, will bind him (Calalang v. De Borja, G.R. No.
L-27771, 1975).
In the absence of such notice of the lien, the judgment
debtor is not bound to preserve the attorney's fees of the
lawyer for the judgment creditor nor is he required to take
cognizance of the fact that the lawyer will claim the benefit
of the lien (Menzi & Co. v. Bastida, G.R. No. L-42278,
1936).
In the absence of valid written contract fixing the amount
of professional fees, the filing of a charging lien for a
reasonable value of legal services does not by itself legally
ascertain and determine the amount of the lien, especially
when the amount is contested. In all events, the exact
amount of attorney's fees should be determined before the
lien can be enforced (Baco/od Murcia Milling Co. v.
Hemaes, G.R. No. L-13505, 1960).
To what charging lien attaches
Once duly recorded, the charging lien attaches to the
judgment for the payment of money and the executions
issued in pursuance of such judgment. The charging lien
does not attach to property or land in litigation.
(Metropolitan Bank & Trust Co. v Court of Appeals, G.R.
No. 86100-03, January 23, 1990) The lien is only restricted
to amounts awarded to the client by final judgment and
does not comprise sums of money which, according to the
same judgment, must be applied to satisfy a legitimate
debt of the client (De la Pena v. Hidalgo, G.R. No. L-6626,
1911).
Effects of charging lien
The lien gives the lawyer the right to collect, in payment of
his professional fees and disbursements, a certam amount
out of the judgment or award rendered in favor of his client.
(Morente v. Formalino, G.R. No. L-47262, 1940.) The client
who receives the proceeds of the judgment hold such
proceeds in trust for the lawyer who is. to the extent of his
lien, regarded as an equitable assignee thereof. A lawyer's
duly recorded charging lien enjoys preference of credit
over that of a creditor who subsequently recorded it (Bucoy
v Mcfie. GR. No. 43850, 1939).
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Likewise, the lien survives the death of the client and need
n~t therefore be enforced in tha proceeding for the
settlement of the client's estate (Harden v. Harden, G.R.
No. L-22174, 1967).
In a case wherein a client decided to accept the settlement
offer and to withdraw the case he filed with the help of his
attorney, and whereby · his attorney • opposed such
withdrawal by filing a Motion for Recording of Attorney's
Charging Lien, the Supreme Court held that it was proper
for the attorney to intervene in a case to protect his rights
concerningthe paymentof his compensation.Accordingto
the discretion of the court, the attorney shall have a lien
upon all judgments for the payment of money rendered in
a case in which his services have been retained by the
client An attorney is entitled to be paid reasonable
compensationfor his services (Baltazar v. Banez, A. C. No.
9091, 2013).
Extinguishment
A charging lien is extinguished when the .dient loses the
action as the lien may only be enforced againsta judgment
awarded in favor of the client, the proceeds thereof or the
execution thereon (Morence v. Firmalino. G.R. No. L·
4 7262, 1940).
Assrgnment of charging lien • Kapunan, 45 Phil. 848, 1932). That conflict should not
The generally accepted rule is that an attorney'scharging
lien may be assigned Oi transferredwithout the preference
being extinguished except when the assignment carries
with it a breach of the attorney's duty to preserve his
client's confidence inviolate. The assignee steps into the
shoes of the lawyer and enjoys all the rightswhich the latter
has in the charging lien (Menzi & Co. v. Bastida, G.R. No.
L-42278, 1936). . right to compensation because cf the intolerable attitude
Satisfaction of judgment
The satisfaction of a judgment in favor of the client does
not by itself extinguish the attorney's charging lien. The
satisfaction of judgment may extinguishthe lien only when
there has been a waiver of the right thereto either by the
attorney's active conduct of by his passive omission.
Enforcement
The charging lien may be enforced in the court, upon
proper motion filed beforejudgment in favor of the client is
by execution (Dahlke v. Vina, G.R. No. L-28252, 1928). It
may be enforced against the client, who holds it in trust for
the lawyer (Ca!alang v. De Borja, G.R. No. L-27771, 1975),
or against the judgment debtor, who disregards the
charging lien properly served on him.
LEGAL ANO JUDICIAL ETHICS.AND PRACTICAL EXERCISE
iv. Fees and Controversies with Clients
A lawyer shall avoid controversies with clients
concerning his fees
Rule 20.04 - A lawyer shall avoid controversieswith dients
concerning his compensation and shail resort to judicial
action only to prevent imposition, injustice of fraud.
Suitsto collect fees should be avoided, and only wherethe
circumstancesimperatively require should a lawyer resort
to lawsuit to enforce payment of his fees ( Comments of the
IBP Committee that drafted the Code, P 112).
Lawsuitswith clients should be resorted to only to prevent
injustice,imposition,or fraud. When the client has already
paid more than one half of the lawyer's fees, there is no
injustice, imposition, or fraud to warrant resort to judicial
action for collection of the remainder. Although every
lawyer must be paid what is due to him, he must never
resortto judicial action to recover his fees, in a mannerthat
detracts from the dignity of the profession (Cueto v.
Junenez,A.C.No. 5798, 2005).
Conflict of interests between a client and his lawyer as
to the matter of fees
There is an irreconcilable conflict of interests between a
client and his lawyer as to the matter of fees (Diaz v.
interfere with the discharge by the laW'Jer of his duty or
undivided fidelity to his ciient's cause (Politrade Corp. v.
Blanco, G.R. No. L-27033, 1969), nor should it diminish his
zeal in the prosecution or defense of the client's interests
(Jesus v. Tan, G.R. No. L-9473, 1959). But when that
conflict has reached a point that it not only becomes the
lawyer's duty to withdraw from the action but to assert his
assumedby his client, he may in order to prevent injustice,
fraud, or impositionrightfullyresort to lawsuit to recover his
fees ( Canon 14, CPE). He may take judicial action to
protect his right to fees either in the main action where his
services were rendered or in an independent civil suit
againsthis client (Palanca v. Pecson, G.R. No. L-6334 and
L-6346. 1954).
Lavr1er's application to pay his fees
A lawyer may apply so much of the client's funds that
comes into his possession as may be necessary to satisfy
his fees and disbursements, giving notice promptly
thereafter to his client (Canon 16, Rule 16.03, CPR). He
should not arbitrarily apply the funds in his possession to
the payment of his fees for it would violate of the trust
relationshipbetween ttic attorney and his client, and woufd
openthe door to possibleabuse by those who are less than
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mindful of this fiduciary duty. The lawyer should, instead,
file the necessary action in court to fix and recover the
amount of his fees (J.K. Mercado and Sons Agricultural
Enterprises, Inc. v. De Vera, A. C. No. 3066, 1999).
Independent civil action
A lawyer may take judicial action to protect his right to fees
either in the main action whether his services were
rendered or in an independent civil suit against his client
(Palanca v. Pecson, G.R. No. L-6634 and L-66346, 1954).
A lawyer can enforce his right to a reasonable
compensation for services rendered in an independent civil
action in cases where:
1. The court trying the main action in which the lawyer's
services were rendered dismissed the client's action or
awarded nothing to the client;
2. The court that decided the main litigation had no
jurisdiction over the action or had already lost it;
: /
3. The person liable for attorney's fees is not a party in the
main action;
4. The court reserved to the lawyer the right to file a
separate civil suit for the recovery of his fees;
5. The services for which the lawyer seeks payment were
rendered in connection with a matter not in litigation;
(Otto Gmur, Inc. v. Revilla, G.R. No. 34782, 1931) and,
6. The court rendered· j~dgment in the without requiring
payment for attorney's fees and the judgment has
become final (Lizardp Sr. v. Montano, G.R. No. 138882
2000).
Remedies in estate proceedings
!f the administrator or executor refuses or fails to make
payment, the lawyer has two remedies (IP):
1. An Independent civil action against the administrator or
executor in his personal capacity, and should judgment
be secured and the latter pays, the administrator or
executor may include the amount paid in his account
filed with the probate court.
2. A Petition with the probate court praying that the court,
after due notice to all persons interested, allow his
claim and direct the administrator or executor to pay his
fees as expenses of administration (Aladamiz v. CFI of
Mindoro, G.R. No. L-2360, 1949; Sato v. Rallos. G.R.
No. 17194, 1964).
The circumstance that the probate court has iost
jurisdiction to adjudicate the matter of fees as a result of
the final closure of the estate proceeding does not
foreclose the lawyer's right to be paid for his services ( Uy
Yt. v. Quirina Rios & Sons, G.R. No. 48577, 1944). He may
pursue the claim in an independent civil acticn aqainst the
administrator in his personal capacity and against the
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
distributees of the assets of the estate ( Uy Tioco v.
imperial, G.R. No. L-29414, 1949).
Court jurisdiction
The court having jurisdiction to try the main action in which
the lawyer rendered services also has jurisdiction to pass
upon the question of fees even though the total sum
thereof is less than the jurisdictional amount cognizable by
the court (Palanca v. Pecson, G.R. No. L-6634 and L-
66346, 1954, Tolentino v. Escalona, G.R. No. 26556,
1864), and continues to have that jurisdiction until the
proceeds of the judgment shall have been delivered to the
client (Abedin v. Natividad, G.R. No. 48491, 1942).
An independent civil action for recovery of attorney's fees
is subject to the same jurisdictional requirement as any
other ordinary civil suit. But if a client not only fails to object
to the exercises of the court of the jurisdiction to entertain
an action for recovery of attorney's fees but also asks some
affirmative reliefs he may be estopped, on appeal, to a.;.;a;:
the propriety if the action taken by the trial court in fixing
and allowing counsel fees (Tolentino v. Escalona, G.R. No.
L-26886, 1969).
Necessity of hearing
The persons who are entitled to or must pay attorney's fees
have the right to be heard upon the question of their
propriety or amount. The persons entitled to be heard are:
the !awyer himself, the client, the client's assignees of the
interest in litigation (Metropolitan Bank v. Court of Appeals,
G.R. No. 86100-03, January 23, 1990), and the
stockholders in a derivative suit concerning attorney's fees
sought to be charged against corporate funds ( Occena v.
Marquez, G.R. No. L-27396, 1974).
Until there shall have been a hearing at which all parties
concerned are given the opportunity to be heard, the trial
court may not without abusing its discretion, authorize the
payment of counsel fees, especially where the fees
claimed are of considerable amount (Mera/co Workers'
Union v. Gaerlan, G.R. No. L-24505, 1970).
Defenses
An action fer recovery of attorney's fees is subject to the
usual defenses applicable to an ordinary civil suit, such as
want of jurisdiction, res judicata, prescription of
action, nullity of the contract for professional services,
negligence in the discharge of the lawyer's duties, fack
of attorney-client relationship, the amount claimed is
unconscionable.
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Execution • the attorney was without justifiable cause, he shall be
A final award of the attorney's fees may be er-forced by
execution. The award may be enforced against any
property of the client, including the proceeds of the
judgment secured for the client in the main action (Albano
v. Ramos, G.R. No. L-240426, 1967; Harden v. Harden,
G.R. No. L-22174, 1967).
Two concepts of attorney's fees
Attorney's Fees refer to: (OE)
1. In its ordinary concept, the reasonablecompensation
paid to a lawyer by his client for the legal services. the
former renders; compensation is paid for the cost
and/or results of legal services per agreement or as
may be assessed.
2. In its extraordinary concept, attorney's fees are
deemed indemnityfor damages ordered by the court to
be paid by the losing party to the winning party, as a
penalty ( Compania Maritima, Inc. v, CA, G.R. No.
128452, 1999). The instances when these may be
awarded are enumerated in Article 2208 of the Civil
Code, and are payable not to the lawyer but to the
client, unlessthe client and his lawyer have agreed that
the award shall accrue to the lawyer as additional or
part of compensation (Tangga-an v. Philippine
Transmarine Carriers, Inc, G.R. No. 180636, 2013).
' terminate the relation is sufficient.
Preservation of client's confidences
1. Prohibiteddisclosures and use
2. Disclosure,when allowed
Note: Please see discussion above on confidentiality.
Termination of Attorney's Authority and Withdrawal of
Counsel
CANON 22 - A Lawyer shall withdraw his services only for
good cause and upon notice appropriate in the
circumstances.
A client has the absolute right to dischargehis attorney at
any time with or without cause. But this right of the client
is net unlimited because good faith is required in
terminating the relationship. The limitation is based on
Article 19 of the Civil Code, which mandates that "every
person must, in the exercise of his rights and in the
performance of his duties, act with justice, give everyone
his due, and observe honesty and good faith." The right is
also subject to the right of the attorney to be compensated
(Ma/var v. Kraft Food Phils., G.R. No. 183952, 2013).
A client may at any time dismiss his attorney or substitute
another in his place, but if the contract between client and
attorney has been reduced to writing and the dismissal of
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
entitled to recover from the client the full compensation
stipulatedin the contract. (Rule 138, Sec. 26, ROG). In the
absenceof a written retainer,the attorney shall be entitled
to a reasonableamount based on quantum meruit.
Causes of. Termination of Attorney-Client
Relationship:
1. Withdrawalof the lawyer;
2. Death of the lawyer or the client;
3. Disbarment or suspension of the lawyer from the
practiceof law;
4. Declarationof presumptivedeath of the lawyer;
5. Convictionof a crime and imprisonmentof the lawyer;
6. Dismissalof the lawyer by the client;
7. Appointment or election of a lawyer to a government
position which prohibits private practice of law;
8. Intervening incapacity or incompetency of the client
during the pendencyof the case;
9. Client's death
10. Full terminationof the case.
Necessity of a notice of discharge
As between a client and his attorney - No formal notice
of dischargeby the client to his/her attorney is necessary.
Any act of the client indicatingan unmistakablepurposeto
As between the court and the adverse party - A notice
of discharge or a manifestation clearly indicating that
purpose must be filed by the client with the court and a
copy thereof served upon the adverse party. Until such is
fulfilled, the lawyer continuesto be the counsel in the case
( Canoy v. Ortiz, A. C. No. 5485, 2005).
Death or incapacity of client
General rule: Death or incapacity of the client
TERMINATESthe attorney-clientrelationship
Exception: If retained by the administrator, executor. or
legal representativeof the deceased client.
Note: Duty of the lawyer in case his client dies (Rule 3,
Section 16, ROC):
1. inform the court of the fact of death
2. Give the names and addressesof legal representative
Withdrawal of Services
Rule 22.01 -A lawyer may withdraw his services in any
of the following cases:
a. When the client pursues an illegal or immoral
course of conduct with the matter he is handling;
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• b. When the client insists that the lawyer pursue
conduct violative of the canons and rules of professional
ethics;
c. When his inability to work with co-counselwill 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 services or fails to comply with the retainer agreement;
f. When the lawyer is elected or appointedto a public
office; and
g. Other similar cases.
Procedure for withdrawal
1. File a petition for withdrawal in court;
r· 2. Serve a copy of his petition upon his client and the
\
adverse party at least 3 days before the date set for
hearing;
3. Present his petition well in advance of the trial of the
action to enable the client to secure the services of
another lawyer: and,
(
4. if the application is filed under circumstancesthat do
\
not afford a substitutecounsel sufficienttime to prepare
I for trial or that work prejudice to the client's cause, the
\
court may deny his application and require him to
r
·[ ' conduct the trial.
Requirements for valid substltutlen of counsel
1 . Filing of a written applicationfor substitution;
2. Written consent of the client; and,
3. Written consent of the attorney to be substituted.
4. In case such written consent cannot be secured, there
must be filed with the applicationproof of service of the
notice of application upon the attorney to be
substituted.
Defective substitution and effects thereof
A substitution which does not comply with all of its
requirements is defective. Hence, the appearanceof new
counsel and his taking over the active conduct of the
litigation neither operates to effect a change of counselnor
to terminate the latter's authority. (Agpalo, Legal and
Judicial Ethics, p. 383. 2009).
v. Quatum Meruit
Quantum Meruit means "as much as the lawyer
deserves" or "such amount which his services merit." It is
used as basis for determining an attorney's
professional fees in the absence of an express
agreement. The recovery of attorney's fees on the basis
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
of quantum meruit is a device that prevents an
unscrupulousclient from running away with the fruits or the
legal services of counsel without paying for it and also
avoids unjust enrichmenton the part of the attorney himself
{Vinson B. Pineda v. Atty. Clodualdo de Jesus, G.R. No.
155244, 2006).
An attorney must show that he is entitled to reasonable
compensationfor the effort in pursuing the client's cause,
taking into account certain factors in fixing the amount of
legal fees (The Law Firm of Laguesma Magsalin Consuita
& Gastardo vs. CA, G.R. No. 185544, 2015).
Recoveryof attorney's fees in the basis of quantum meruit
is authorized:
1. When there is no express Contract for payment of
attorney's fees;
2. When although there is a formal contact for attorney's
· fee, the fees stipulated are found Unconscionable or
unreasonableby the court;
3. When the lawyer and the client disregard the contract
for attorney's fees (Rilioraza, Africa, De Ocampo and
Africa v, Eastern TelecommunicationsPhil. Inc., G.R.
No. ·104600, 1999);
4. When the client dismissed his counsel before the
terminationof the case;
5. When the counsel withdrew therefrom for valid
reasons, as when the lawyer, for justifiable cause, was
not able to finish the case to its conclusion;or,
6. When the contract for attorney's fees is void due to
purely formal defects of execution.
Quantum Meruit not available when contracting
without authority to do so
In the case of The Law Firm of Laguesma Magsalin
Consulta & Gastardo: the Board of Directors, acting on
behalf of Clark Development Corporation, contracted the
services of [the law firm], without the necessary prior
approvals required by the rules and regulations for the
hiring of private counsel. Their actions were clearly
unauthorized. It was, thus, erroneous for Government
Corporate Counsel Devanadera to bind Clark
Development Corporation, a government entity, to pay
petitioner on a quantum meruit basis for legal services,
which were neither approved nor authorized by the
government (The Law Firm of Laguesma Magsalin
Consulta & Gastardo vs. CA, G.R. No. 185544, 2015).
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Factors taken into accopnt
Rule 20.01 - A lawyer shall be guided by the following•
factors in determining his fees:
1 . The time spent and the extent of the services rendered
or required;
2. The novelty and difficulty of the questions involved;
3. The importanceof the subject matter;
4. The skill demanded;
5. The probability of losing other employment as a result
of acceptanceof the proffered case;
6. The customary charges for similar services and the
schedule of fees of the IBP chapter to which he
belongs;
7. The amount involved in the controversy and the
benefits resulting to the client form the service;
8. The contingencyor certainty of compensation;
9. The character of the employment. whether occasional
or established;and
10. The professionalstanding of the lawyer.
The foregoing factors. not one of which is controlling. are
mere guides in ascertaining the real value of the lawyer's
services. The determinationof the attorney's fees involves
questions of fact. This requires that there be evidence to
prove the amount of fees, taking into account the facts
determinative thereof (Rillaro7.a, Africa De Ocampo and
1 Naldoza, A.C. No. 40"17, 1999).
Africa v. Eastern Telecommunicetions Phi!., tnc., G.R. No.
104600, 1999).
--- end of topic----
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
C. SUSPENSION,DISBARMENT,AND
DISCIPLINE OF LAWYERS
1. Nature and characteristics of disciplinary actions
against lawyers
(a) Sui Generis
(b) Prescription
~- Grounds
3. Proceedings
4. Recoverable amounts; intrinsically linked to
professionalengagement
1. NATURE AND CHARACTERISTICSOF
DISCIPLINARYACTIONS AGAINST LAWYERS
A. Sui generis
Administrative cases are distinct from, and proceed
independenUyfrom civil and criminal cases.
In an administrative case for disbarment or suspension,
clear preponderance of evidence is all that is required.
Hence, criminal prosecution will not constitute as a
prejudicial question even if the same facts and
circumstances are attendant in the administrative
proceedings (Gatchalian Promotions Talent Pool, Inc. v.
A proceeding for suspension or disbarment is not a civil
aption (as it involves no private interest) nor a criminal
prosecutlon. A disciplinary action is in reality an
investigationby the court into the misconductof its officer
or an examinationinto his character (In re Almacen, G.R.
No. L-27654, 1970).It is merely a test of fitness.
Self-imposed suspension
Only the SupremeCourt has the powerto impose penalties
for unethicalconductagainst erring lawyers.The wordings
of the Resolutionshow that the Court merely noted IBP:s
findings and recommendedpenalty.The IBP findings and
the stated penalty thereon are merely recommendatory.
and such cannot attain finality until adopted by the
SupremeCourt as its own. Thus, self· imposedcompliance
with IBP's recommendedpenalty is premature(Dagohoy v.
San Juan, A.C. No. 7944, 2013).
8. Prescription
The filing of a disciplinary action does not prescribe
despite the number of years lapsed (Frias v. Bautista-
Lozada, A.C. No. 6656, 2006).
The 2006 En Banc case of Frias (supra) expressly struck
down Section 1, Rule 8 of the Rules of Procedure of the
Commissionon Bar Discipline (CBD) which provides that
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a complaint for disbarment, suspension or discipline of Grounds for Discipline; In General (M.U.)
attorneys prescribes in two (2) years f1om the date of As a rule, a lawyer may be disciplined for (Rule 138, Sec.
discovery of professional misconduct. The provision runs 27, ROG):
afoul of the settled rulings of the Supreme Court and 1. Gross misconduct or malpractice - Refers to any
should therefore be struck down as void for being ultra malfeasance or dereliction of duty committed by a
vires. Consequently, the case of lsenhardt v. Real, A.C. lawyer, The practice of soliciting cases at law for the
8254, 2012, decided by a Division, cannot revive the purpose of gain, either persona!ly or through paid
aforementioned provision. agents or brokers, constitutes malpractice (Id.).
2. Y.nprofessional conduct - That which is unbecoming a
2. GROUNDS FOR DISCIPLINE member of that profession.
1. In General (M.U.)
(a) Misconduct or malpractice Gross misconduct, malpractice, or unprofessional conduct,
(b) Unprofessional conduct constitute grounds for disciplinary action (Uy Chung Seng
2. Breach of Duties to the Court and Ching Uy Seng v. Atty. Magat, Adm. Case No. L-2018,
(a) Obstructing justice and abuse of legal process 1982).
(b) Misleading the court
r Enumerated grounds not exclusive
• (c) Forum Shopping
The enumeration is not exclusive (Rayong v. Oblena, A. C.
(d) Proffering false charges
(e) Introducing false evidence No. 376, April 30, 1963). A lawyer may be removed from
(f) Blackmail office or suspended from the practice of law on the grounds
(g) Willfully disobeying the court orders and disrespect other than those specifically provided in the law (Bolivar v.
to the court De Leon: 50 0. G. 583, 1954: Mortel v. Aspiras, G.R. No.
,·. L-9152, 1956; Rayong v. Oblena, A.G. No. 376, 1963).
(h) Using vicious or disrespectful language
(i) Continuing to practice after suspension
3. Breach of Duties to the Client Any misconduct on the part of a lawyer in his professional
(a) Negligence in the performance of duties or private capacity which shows him to be wanting in
r. (b) Ernployment of lawful means moral character may justify his suspension or removal from
(c) Deceit or misrepresentation office even though the law does not specify the acts as a
(d) Representing adverse interests and • revealing ground for disciplinary action (Mortel v. Aspiras, G.R. No.
• client's secrets L-9152. 1956) .
!
( e) Purchasing client's property in litigation
\
-, Misconduct before or incident to admission
(f) Failing to account for or misappropriating client's
property Broadly speaking, the grounds for disbarment or
(g) Collecting unreasonable fees suspension of a lawyer consist of those acts of
(h) Acting wiihout authority misconduct committed before and after his admission
(i) Willfully appearing without being retained to practice. The acts of misconduct prior to admission
4. Breaches of Duties to the Bar include those which indicate that at the time the lawyer
(a) Unethical conduct took his oath, he did not possess the required qualifications
(b) Defaming fellow lawyer for membership in the bar.
(c) Communicating with adverse party
(d) Soliciting business Two requisites must concur before he may be
( e) Cooperating in illegal practice of !aw suspended or disbarred for misconduct committed
before his admission:
5. Other Grounds for Discipline
(a) Nonprofessional misconduct 1. The act imputed to him must be so corrupt and
(b) Gross immorality false as to constitute a criminal act or so
( c) Conviction cf crime involving moral turpitude unprincipled as to be reprehensible to a high degree
(d) Misconduct in the discharge of duties as a public (Soberano v. Villanueva, A. C. No. 215, 1962; Villasanta
officer v. Peralta, G.R. AC-UNAV, 1957); and;
(a) Misconduct as notary public 2. The act charged must be established by clearly
(f) Nonpayment of IBP dues preponderant evidence (Lim 1,: Antonio, 41 SCRA 44,
1971).

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Misconduct after admission to the .bar
On the other hand, grounds for suspension or disbarment
based on acts committed after the lawyer's admission to
the bar are those which cause loss of moral character
on his part (Advincula v. Atty. Macabata, A. C. No. 7204,
2007) or involve violation of his duties to the court, to
his client, to the legal profession, and to the public.
Misconduct committed outside Philippine jurisdiction
If he commits misconduct outside Philippine jurisdiction,
which is also a ground for disciplinary action under
Philippine law. he may be suspended or disbarred in this
country.
Rule 138, Section 27 of the Rules of Court, as amended
by Supreme Court Resolution dated February 13, 1992,
states:
"The disbarment or suspension of a member of the
Philippine Bar by a competent court or other disciplinatory
agency in a foreign jurisdiction where he has also been
admitted as an attorney is a ground for his disbarment or
suspension if the basis of such action includes any of the
acts hereinabove enumerated. The judgment or order of
the foreign court or disciplinary agency shall be prirna facie
evidence of the ground for disbarment or suspension." (as
cited in In Re Maquera1 B.M. No. 793, July 30, 2004, and
Velez v. De Vera, A. C. No. 6697, 2006).
Breach of Duties to the Court
(a) Generally
He may be admonished, censured, fined, suspended or
disbarred for breach of his duties to the court that affects
his professional integrity, his obligations as a lawyer or his
fitness as an officer of the court (In re Almacen, G.R. No.
L-27654, 1970).
(b) Obstructing justice and abuse of legal process
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 6.01 - The primary duty of a lawyer engaged in public
prosecution is not to convict but to see that justice is done.
The suppression of facts or the concealment of witnesses
capabie of establishing the innocence of the accused is
highly reprehensible and is cause for disciplinary action.
Rule 10.03 -A lawyer shall observe the rules of procedure
and shall not misuse them to defeat the ends of justice.
Rule ·12.02 - A lawyer shall not file multiple actions arising
from the same cause.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Rule 12.04 - A lawyer shall not unduly delay a case,
impede the execution of a judgment or misuse Court
processes.
Rule 19.01 - A lawyer shall employ only fair and honest
means to attain the lawful objectives of his client and shall
not present, participate in presenting or threaten to present
unfounded criminal charges to obtain an improper
advantage iQ any case or proceeding.
Any act on the part of a lawyer that obstructs, perverts or
impedes the administration of justice constitutes
misconduct and justifies disciplinary action against him
(Cantorne v. Ducasin, 577 Phil. 23, 1932; De Los Santos
v. Sagalongos, A.G. No. L-745, 1940). Ordinarily,
obstruction in the administration of justice constitutes
contempt of court, and citing the offender for contempt and
punishing him for such misbehavior may be sufficient to
accomplish the end desired. However, misbehavior may be
of such character as to affect the offender's qualifications
as a lawyer for the practice of his profession. In such a
case, he may be disciplined as an attorney for such
misconduct (In Re Almacen, G.R. No. L-27654, 1970).
(c) Misleading the court
Canon 10 - A lawyer owes candor, fairness and good faith
to the court
Rule 10.01 ', ,\ lawyer shall not do any falsehood, nor
consent to the doing of any in the Court; nor shall he
mislead, or atlow the court to be misled by any artifice.
Rule 10.02 - A lawyer shall not knowingly misquote or
misrepresent the contents of a paper, the language or the
argument of opposing counsel, or the text of a decision or
authority, or knowingly cite as law as provision already
rendered inoperative by repeal or amendment, or assert as
a fact that which has not been proved.
Canon 12 - A lawyer shall exert every effort and consider
it his duty to assist in the speedy and efficient
administration of justice
A lawyer must be a disciple of truth. He owes candor,
fairness and good faith to the courts. He shall neither do
any falsehood, nor consent to the doing of any. He also has
a duty not to mislead or allow the courts to be misled by
any artifice (Benguet Electric Cooperative, inc. v. Flores,
A.C. No. 4058, 1998).
(d) Forum Shopping
Rule 12.02 -A lawyer shall not file multiple actions arising
from the same cause.
A willful violation of the non-forum shopping rule
constitutes direct contempt of court and makes the lawyer
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liable administratively, such as suspension from practice of
law for one year (Benguet Electric Cooperative, lsc. v.
Flores, A.G. No. 4058, 1998).
(e) Proffering false charges
Rule 10.01 - A lawyer shall not do any falsehood nor
consent to the doing of any in the Court; nor shall he
mislead, or allow the Court to be misled by any artifice.
A lawyer, including a public prosecutor, may be disciplined
for filing or prosecuting false charges against another, for
his action is a violation of his sword duty to do no falsehood
nor consent to the doing of any in court, nor wittingly or
willingly promote or sue any false, groundless or unlawful
suit (Retuya v. Gorduiz, A.M. No. 1388, 1980; Mabutas v.
Nable, A.G. No. 1827, 1978; Natam v. Cappule, A.G. No.
76, 1952).
To warrant disciplinary action against a lawyer for
preferring or prosecuting faise charges or complaints, it
1
.
r
must be shown that the charges are false and the lawyer
knows them to be so, in spite of which he nevertheless
r: filed them. In short, the lawyer must have been moved by
malice or bad faith. However, if the charges are not
( entirely false and have been filed to protect the lawyer's
interest and that of his client, such action, on the part of the .
{ lawyer does not warrsnt disciplinary sanction.
\ ..
.. __ _}
(f) Introducing false evidence
Rule 10.01 - A Jawyer shail not do any falsehood nor
/ consent to the doing of any in the Court; nor shall he
\
mislead, or allow the Court to be misled by any artifice.
A lawyer may be suspended or disbarred for knowingly
presenting or introducing false evidence in any proceeding
as his act is a violation of his oath to do no falsehood nor
consent to the doing of any in court (Agpalo, Legal and
Judicial Ethics, p. 505, 2009). His action constitutes a
willful disregard of his solemn duty to act at all times in a
manner consistent with the truth (Bautista v. Gonzales, AM
No. 1625, 1990).
(g) Blackmail
Rule 19.01 - A lawyer shall employ only fair and honest
means to attain the lawful objectives of his ciient and shall
not present, participate in presenting or threaten to present
unfounded criminal charges to obtain an improper
advantage in any case or proceeding
Rule 19.02 - 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
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
which he shall terminate the relationship with such client in
accordance with the Rules of Court.
Blackmail is the extortion of money from a person by
threats of accusation of exposure or opposition in the
public prints, obtaining of value from a person as a
condition of refraininq from making an accusation against
him, or disclosing some secret which is calculated to
operate to his prejudice (Pena "~ Aparicio, A. C. No. 7298,
2007).
(h) Willfully disobeying the court orders and
disrespect to the court
Canon 10 -A lawyer owes candor, fairness and good faith
to the court
Rule 10.01 - A lawyer shall not do any falsehood, nor
consent to the doing of any in Court; nor shall he mislead,
or allow the Court to be misled by any artifice.
Rule 10.03 - A lawyer shall observe the rules of procedure
and shall not misuse them to defeat the ends of justice
Canon 11 - A lawyer shall observe and maintain the
respect due to the courts and to judicial officers and should
insist on similar conduct by others
Rule 11.03 - A lawyer shall abstain from scandalous,
offensive or menacing language or behavior before the
Courts
Rule 11.04 -A lawyer shall not attribute to a Judge motives
not supported by the record or having no materiality to the
case
Rule 11.05 - A lawyer shall submit grievances against a
Judge to the proper authorities only.
The term "wilful" conveys the idea of flagrant misconduct
such as would indicate a disposition on the part of a lawyer
so refractory in its character as to affect his qualifications
and standing for the further exercise of his office as
attorney (In Re: MacDouga/1, G.R. No. L-1167, 1903).
(i) Using vicious or disrespectful language
Rule 8.01 - A lawyer shall not, in his professional dealings,
use language which is abusive, offensive or otherwise
improper
Rule 11.03 - A lawyer shall abstain from scandalous,
offensive or menacing language or behavior before the
Courts
The use by a lawyer of vicious, intemperate, abrasive,
threatening or disrespectful language against the judge
constitutes direct contempt as well as a violation of the
lawyer's oath and a transgression of the Code of
Professional Responsibility (in re Aimacen, G.R. No. L-
27654, 1970).
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 ATENEO CENTRAL
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U) Continuing to practice after suspension • Rule 12.06 -A lawyer shall not knowingly assist a witness
A lawyer may be disbarred for continuing to practice after
his suspension from the practice of law (In re David, A.G.
No. 98, 1953).
Reason: His continuing to practice his profession during
his suspension constitutes a gross misconduct and a willful
disregard of the suspension order, which should be obeyed
though how erroneous it may be until set aside (De Leon
v. Torres, A.G. No. 180, 1956).
Breach of Duties to the Client
(a) Generally
A lawyer owes his client the duty of entire devotion to his
genuine interest, undivided allegiance, loyalty, fidelity and
absolute integrity. Gross violation of such duty subjects the
lawyer to disciplinary action (In re Oliva, A.G. No. 228,
1958; Republic v. Court of Appeals, G.R. No. 108763,
1998).
(b) Negligence in the performance of duties
Rule 18.03 - A lawyer shall not neglect a legal matter
entrusted to him and his negligence in connection
therewith shall render him liable.
The failure to exercise due diligence or the abandonment
of the client's cause makes the lawyer unworthy of the trust
which the client has reposed in him. There is no hard and
fast rule as to what is gross misconduct in the performance
of the lawyer's duty to his client. That question depends
upon the circumstances if the case, the nature of the act
done and the motive which induced him to do the act
charged (Agpalo, Legal and Judicial Ethics, p. 520, 2009;
Seares Jr. v. Gonzales-Alzate, Adm. Case No. 9058, 2012)
(c) Employment of lawful means
Canon 19 and Rule 19.01 of the CPR ordain that a lawyer
shall employ only fair and honest means to attain the lawful
objective of his client and shall not present, participate in
presenting, or threaten to present unfounded charges to
obtain improper advantage in any case er proceeding.
(d) Deceit or misrepresentation
Rule 1.01 - A lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct.
Rule 10.02- A lawyer shall not Knowingly misquote or
misrepresent the contents of a paper, the language or the
argument of opposing counsel, or the text of a decision or
authority, or knowingly cite as law a provision already
rendered inoperative by repeai or amendment, or assert as
a fact that which has not been proved.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
to misrepresent hiraself or to impersonate another.
A lawyer may be suspended or disbarred for deceit or
misrepresentation to the prejudice of or as a means to
defraud his client {In re Paraiso, 41 Phil. 24, 1920; Daroy
v. Legaspi, A.G. No. 936, 1975; Merritt v. Cacamindin, 125
SGRA 386, 1983). lmplicjt in these fraudulent acts are bad
faith on the part of the lawyer and material damage to the
client, which are the requisites that should concur to justify
the suspension or disbarment of the lawyer on the ground
deceit or misrepresentatiqn.
(e) Representing adverse interests and revealing
client's secrets
Rule 15.01 - A lawyer in conferring with a prospective
client, shall ascertain as soon as practicable whether the
matter would involve a conflict with another client or his
own interest, and if so, shall forthwith inform the
prospective client.
Rule 15.02 - A lawyer shall be bound by the rule on
privilege communication in respect of matters disclosed to
him by a prospective client.
Rule 15.03 - A lawyer shall not represent conflicting
interests except by written consent of all concerned given
after a full disclosure of tl:le facts
In the absence of written consent on the part of the clients
concerned, a lawyer may eot represent conflicting interests
without being disciplined for such misconduct (In re
Hamilton, G.R. No. L-7725, 1913; Natan v. Capule, A.C.
No. 76, 1952; Sumangil v. Sta. Romana, G.R. No. 25,
1949). The reason is that the representation of conflicting
interests not only consmutes malpractice (Cantome v.
Ducasin, 57 Phil. 23, 1932) but is also a violation of the
attorney-client relationship as well a lawyer's duty to a
court (In re Hamilton, G.R. No. L-7725, 1913; Natam v.
Gapule, A.G. No. 76, 1952).
(f) Purchasing clier.t's property in litigation
Article 1491 (5) - The following persons cannot acquire by
purchase. even at a public or judicial auction, either in
person or through the mediation of another.
xxx
(5) Justices, judges, prosecuting attorneys, clerks of
superior and inferior courts, and other officers and
employees connected with the administration of justice, the
property and rights in litigation or levied upon an execution
before the court within whose jurisdiction or territory they
exercise their respective functions; this prohibition includes
the act of acquiring by assignment and shall apply to
lawyers, with respect to the property and rights which may
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be the object of any litigation ill which they may take part
by virtue of their profession.
The law expressly prohibits a lawyer from purchasing his
client's property in litigation (Art. 1491, Civil Code). It is
sufficient to hold the lawyer liable on that ground, that he is
counsel for a client at the time he acquires, by himself or
through another, during the pendency of the litigation, the
client's property or interest involved therein. Good faith on
the part of the lawyer is not even a defense, although it
mitigates his liability (Beltran v. Fernandez, A.M. 747,
1940; In re Adriatico, G.R. L-7532, 1910).
(g) Failing to account for or misappropriating client's
property
Rule 16.01 - A lawyer shall account for ali money or
(
property collected or received for or from the client
Rule 16.02 - A lawyer shall keep the funds of each client
separate and apart from his own and those of other skept
by him.
Rule 16.03 - 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
t 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.
While a lawyer has a right to be paid for the legal services
/
he has rendered to his client, he should not exercise such
right whimsically by appropriating to himself the client's
money to pay his fees without the client's consent. His
doing so makes him administratively liable for deceit in
dealing with his client (Rive~ v. Angeles, A.G. 2519, 2000).
(h) Collecting unreasonable fees
3.
A lawyer may be disciplined for collecting exorbitant fees
for his services, applying the client's money to pay his
unreasonable claim for work done without the client's
consent or refusing to return to his client what he
collected as payment or for refusing to return to his client
what he collected as payment for professional services
which he never rendered (Espere v. Santos, Adm. Case
151, 1955).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
(!) Acting without authority
~ule 20.01 - A lawyer shall he 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;
(dJ 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
0) The professional standing of the lawyer.
Rule 15.01 - A lawyer, in conferring with a prospective
client, shall ascertain as soon as practicable whether the
matter would involve a conflict wiih another client er his
own interest, and if so, shall forthwith lntorrn the
prospective client.
Rule 15.04 - A lawyer may, with the written consent of all
concerned, act as mediator, conciliator or arbitrator in
settling disputes
Rule 15.08 - A lawyer who is engaged in another
profession or occupation concurrently with the practice of
law shall make clear to his client whether he is acting as a
lawyer or in another capacity.
Rule 16.01 - A lawyer shall account for all money or
property collected or received for or form the client
Rule 16.02 - A lawyer shall keep the funds of each client
separate and apart from his own and those of others kept
by him
Rule 16.04 - 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 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
A lawyer can bind his client without special power from lhe
latter only in matters of procedure. The lawyer, may,
therefore, be disciplined tor compromising, settling,
dismissing, waiving or disposing of his client's cause,
property, interest without prior authority from the client
because any of such steps does not involve matters of
procedure (Gonzales v. Parenas, A.C. No. 1797. 1979:
Aldana v. Abad, A.C. No. 90, 1956).
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 ATENEO CENTRAL
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(j) Willfully appearing without being retained
Rule 8.02 - A lawyer shall not, directly or indirectly
encroach upon the professional employment of another
lawyer, however, it is the right of any lawyer, without fear
or favor, to give proper advice and assistance to those
seeking relief against unfaithful or neglectful counsel.
A lawyer may not represent a litigant without authority from
the latter or from the latter's representative or, in the
absence thereof, without leave of court (Rule 138, Sec. 21,
ROG). The lawyer's appearance for a party without the
latter's authority must be willful, corrupt or
contumacious in order that he may be held liable held
therefor. If he acts in good faith, then the complaint for
suspension or disbarment must fail ( Garrido v.
Quisumbing, A.M. No. L-840, 1969).
Breach of Duties to the Bar
(a) Unethical conduct, generally
Unprofessional conduct is that which violates the rules of
ethical code of the legal profession or which is unbecoming
of a member of the bar ( Tan Bek Keng v. David, A.M. No.
1261, 1983).
(b) Defaming fellow lawyers
Canon 7 - A lawyer shall at all times uphold the integrity
and dignity of the legal profession and support the activities
of the integrated bar.
Canon 8 - A lawyer shall conduct himself with courtesy,
fairness and candor towards his professional colleagues,
and shall avoid harassing tactics against opposing
counsel.
Rule 8.02 - A lawyer shall not, directly or indirectly,
encroach upon the professional employment of another
lawyer, however, it is the right of any lawyer, without fear
or favor to give proper advice and assistance to those
seeking relief against unfaithful or neglectful counsel.
Doctrine of Absolute Privilege: Must be relevant to the
issue being tried.
General Rule: It is unethical for a lawyer to use improper
and objectionable language against another lawyer or to
cause him wantonly arid maliciously of a serious
misconduct in the absence of a reasonable cause (Asturias
Sugar Central v. Pure Cane Mo/lasses Co., G.R. No. L-
40709, 1934).
Exception: Strongly worded statement by a lawyer against
opposing counsel, if justified by the records, may not justify
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
• disciplinary action against him (Phil. Surety & Ins. Co. v.
Royal Oil Product, G.R. No. L-H936, 1959).
(c) Communicating with adverse party
Rule 8.02 - A lawyer shall not, directly or indirectly,
encroach upon the professional employment of another
lawyer, however, it is the right of any lawyer, without fear
or favor to give proper advice and assistance to those
seeking relief against unfaithful or neglectful counsel.
Canon 9 of the Code of Professional Ethics provides
that 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 with matter with him, but should only deal with
his counsel. n
Violation of this canon entails disciplinary sanction, such
as suspension from the practice of law for 3 months
(Camacho v. Pangulayan, A.C. No. 4807, 2000).
(d) Soliciting business
The solicitation by a lawyer of cases at law for the purpose
of gain, either personally or through paid agents or brokers,
constitutes malpractice sufficient to warrant the lawyer's
reprimand, suspension from the practice of law or removal
ffom office (Rule 138, Sec. 27, ROG). · •
(e) Cooperating in iHegal practice of.law
, Canon 9 -A lawyer shall not, directly or indirectly, assist in
the unauthorized practice of law
Rule 9.01 - A lawyer shall not delegate to any unqualified
person the performance of any task which by law may only
be performed by a member of the bar in .good standing.
A layman or a disbarred or suspended lawyer may not
practice law without being held liable for contempt of court
(ROG, Rule 71, Sec. 3). The Canons of Professional Ethics
warn that "no lawyer shall permit his professional services,
or his name, to be used in aid of, or to make possible, the
unauthorized practice of law by any law agency, personal
or corporate" (Canon 47, CPE).
Other Grounds for Discipline
(a) Nonprofessional misconduct
General Rule: A lawyer may not be suspended or
disbarred for any act in his private capacity (In re Edi/Ion,
G.R. No. A.C.-1928. 1978).
Exception: When however the misconduct is so grave that
would make him morally unfit for the office and unworthy
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r} of the privilege, the court may suspend .-Jr disbar him
(Melendez v. Decena, A.M. No. 2104, 1989).
: }
(b) Gross Immorality
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 the highest degree
(Narag v. Narag, A.G. No. 3405, 1998).
Even if a lawyer is not judged as grossly immoral, he may
nonetheless be reprimanded where such evidence shows
failure on his part to comply with the rigorous standards of
conduct appropriately required from members of the bar
and court (Tolosa v. Cargo, A.M. No. 2385, 1982).
(c) Conviction of crime involving moral turpitude
An attorney may be suspended or disbarred by reason of
his conviction of a crime involving moral turpitude (De
Jesus-Paras v. Vailoces, G.R. No. 439, 1961).
NO TE: Please see previous discussion on moral turpitude.
( d) Misconduct in the discharge of duties as a public
officer
.,
\ Former Rule: A lawyer who holds a government office may
not be disciplined as a member of the bar for misconduct
in the discharge or his duties as a government official ( Cruz
1,~ Cabal, Adm. Case No. 482, 1964).
New Rule: However, with the promulgation of the Code of
Professional Responsibility, the ruling in Cruz has lost its
\ complainant to prosecute the same, unless the Supreme
validity because Canon 6 of the Code states that the Code
applies to lawyers in government service in the discharge
of their official tasks and makes their negligence in the
performance of their duties as government lawyers a
ground for disciplinary action.
In case of government lawyers, administrative discipline
may be imposed by both the Civil Service Commission
(because he is a civil servant) and by the Supreme Court
(because he is a lawyer),
(e) Misconduct as notary public
Two-fotd penaity:
1. For the act and omission as a notary public, and,
2. For act or omission as a lawyer.
By applying for and having himself commissioned as
notary public, a lawyer assumes these duties in a dual
capacity, in the non-performance of which duties he may
be disciplined as a member of the bar. He may be held to
account as a lawyer for an act as 3 notary pubiic of a
disgraceful or immoral character even to the extent of the
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
disbarment (Benguet Elf:Jctric Cooperative v. Flores, A.C.
No. 4058, 1&~8).
(f) Nonpayment of IBP dues
The lawyer's failure or refusal to pay such dues or special
assessments for six months shall warrant suspension or
membership in the Integrated Bar, and default in such
payment for one year shall be a groLJnd forthe removal of
the name of the delinquent member from the Roll of
Attorneys (In re: Edi/Ion, A.M. No. 1928, 1978).
The ruling in In re: Edi/Ion, was reiterated in a more recent
case, where the Supreme Court held: Respondent can
only engage in the practice of law by paying his dues. It
does not matter that his practice is "limited'. Rule 139-A
requires that every member of the Integrated Bar shall pay
annual dues and default thereof for six months shall
warrant suspension of membership (Santos v. Llamas,
AC. No 4749, 2000).
3. PROCEEDINGS
Nature of Proceedings
(a) Desistance or withdrawal by the complainant does
not exonerate the lawyer
Rule 139-B, Section 5, as amended by Bar Matter No.
1645 (dated October"13, 2015) expressly provides:
"No investigation shall be interrupted or terminated by
reason of the deslstance, settlement, compromise,
restitution, withdrawal of the charges, or failure of the
Court motu propio or upon recommendation of the IBP
Board of Governors, determines that there is no compelling
reason to continue with the disbarment or suspension
proceedings against the respondent."
Desistance or withdrawal of the disbarment case does not
exonerate the lawyer (Y/aya v. Atty. Gacott, Adm. Case No.
64 75, 2013). A proceeding for suspension or disbarment is
not a civil action where the complainant is a plaintiff and
the respondent is a lawyer-defendant. Disciplinary
proceedings involve no private interest and afford no
, edress for private grievance. The real question for
determination in such proceedings is whether or not the
attorney is still a fit person to be aliowed the privileges of a
member of the bar (lsalos v. Cristal, A.C. No. 11822
(Resolution), [November 22, 20171). Hence, if the evidence
on record warrants, the respondent may he suspended or
disbarred despite the desistance of complainant or his
withdrawal of the charges (Rayos-Ombac v. Rnyos, A.C.
No. 2884. 1998).
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Neither will acquittal in or a dismissal of a criminal case
automatically result in the dismissal of the administrative
case (Saluda, Jr. v. CA, G.R. No. 121404, 2006).
(b) Administrative cases against court officials who
are lawyers are automatically considered dlsciptinary
proceedings
According to A.M. No. 02-9-02-SC, if an administrative
case against Justices of the Court of Appeals and the
Sandiganbayan, judges of regular and special courts, and
court officials who are lawyers are based on grounds which
are likewise grounds for disciplinary action of members of
the Bar, the same shall be considered a disciplinary action
against the respondent. Prior to the issuance of this
resolution, disciplinary and administrative cases were
treated separately.
It is not necessary that the respondent be asked to
comment separately as a lawyer for disciplinary action and
as a member of the bench for administrative liability
(Samson v. Caballero, A.M. No. RTJ-08-2138, 2009).
However, in a recent case, the Supreme Court En Banc
required Judge Yu to comment separately on the
disbarment charges. Justice Brion dissented. stating that
outright disbarment is warranted under the circumstances
and Judge Yu had more than ample opportunity to defend
herself in the administrative proceedings ( OCA v. .Judge
Eliza Yu, A.M. No. MTJ-12-1813, 2016). This deviated from
the Samson case, which was also an En Banc case.
( c) Complainant need not suffer injury
The right to institute a disbarment proceeding is not
confined to clients nor is it necessary that the person
complaining suffered injury from the alleged wrong (Atty.
Navarro v. Atty. Nemeses Ill, CBD A.G. No. 313, 1998).
(e) Proceedings are confidential
General Rule: A disciplinary proceeding against an
attorney is confidential in nature until its final determination
(Mutillo v. Superable, Jr., A.G. No. 341, 1960).
Exception: Waiver
Q: Atty. X, together with Y, filed a disbarment complaint
against Atty. Z for continuously delaying the proceedings in
the Ampatuan massacre case. Atty. X distributed copies of
the disbarment complaint to the media. While the
disbarment case was pending, Atty. Z filed a petition for
contempt against Atty. X and Y, and the different media
personnel involved, claiming that the latter violated Rule
139-6 cf the Rules of Court (confidential nature of
disbarment proceedings). Atty. Z alleged that participating
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
in media i"terviews and publishing articles concerning his
actions in different newspapers violated sush rule. Is Atty.
Z correct?
A: Because of the public nature of the Ampatuan
massacre, the media is not prohibited from making a
fair, true and accurate news report of the disbarment
proceedings. In the absence of a legitimate public interest
in a disbarment complaint, members of the media must
preserve the confidentiality of disbarment proceedings
during its pendency.
However, Atty. X is guilty of indirect contempt. As a
lawyer and an officer of the Court, Atty. X is familiar with
the confidential nature of disbarment proceedings.
However, instead of preserving its confidentiality, Atty. X
disseminated copies of the disbarment complaint against
Atty. Z to members of the media which act constitutes
contempt of court (Fortun v. Quisayas, G.R. No. 194578,
2013).
Procedure for disbarment (Rule 139-B, ROG; as
amended by B.M. 1645, October 15, 2015):
Generally:
1. Institution either by:
{a) The Supreme Court, motu proprio;
(b) The IBP, motu proprio; OR •
(c) Upon verified complaint by any person filed with the
Supreme Court or the IBP. •
2. If instituted by the Supreme Court motu prooiio or via
verified complaint directly filed with it, it may assign the
investigation to the Office of the Bar Confidant, any
officer of the Supreme Court, or a judge of a lower
court. The review of the report of investigation shall be
conducted directly by the Supreme Court. The
Supreme Court may also refer the investigation to the
IBP.
3. If filed against incumbent Justices of the CA,
Sandiganbayan, CTA, and judges of lower courts or
against lawyers in government service, whether
charged singly or jointly with others, the complaint must
be directly forwarded to the Supreme Court.
4. If instituted upon verified complaint with the IBP or the
investigation has been referred to the IBP, the records
shall be referred to the Commission on Bar Discipline
(previou~ly known as National Grievance)
investigators.
(a) Board of Governors decides within 30 days
(b) investigation by the Solicitor-General
I. Six copies of the verified complaint shall be
filed with the Secretary of the IBP or Secretary
of any of its chapter and shall be forwarded to
the IBP Board of Governors.
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n 2. SC renders final decision tor
disbarment/suspension/ dismissal.
i l
(a) Initiation of disciplinary proceedings by the
Supreme Court
The Supreme Court may itself initiate disciplinary
proceedings against a lawyer who has so conducted
himself in a case pending before it as to show blatant
disrespect to the Court, want of good moral character or
violation of his oath. by issuing a showcaseorder (Zaldivar
v. Gonzales, G.R. No. 79690-707, 1989).
(b) Where complaint initiated by the Supreme Court is
found to be prima facie meritorious
Where a complaint initiated motu proprio by the Supreme
Court is found to be prima facie meritorious,the latter may
then refer the same lo the IBP Board of Governors for
appropriate action. However, reference to the IBP is not
mandatory.The SupremeCourt may refer the complaintfor
investigation, report and recommendationto the Solicitor
Generai, any officer of the court or judge of a lower court,
on the basis of which the Court will have its final action
I
(Bautista v. Gonzales, A.M. No. 1625. 1990).
\ .
r 3 and 5, ROG as amended by B.M. 1645, October 1 S,
i (c) Action on, and investigation of, complaint
A complaintfor disciplinaryaction must allege specificfacts
which constitute particular breaches or violations of law o~
The Code of Professional Responsibility or legal ethics.
r decide the case in accordance..with the following rules:
The investigationshall be terminatedwithin 3 months from
containinghis findings of fact and recommendationsto the
IBP Board of Govemors, together with the stenographic
notes and the transcriptof the investigationthereof, and all
evidence presented during the investigation. He may
recommend that the respondent be exonerated of the
charges, or admonished, reprimanded,fined, suspended
from practice, or disbarred, as the evidence may warrant
(Rule 139-8, Sec. 10, ROG) .•
The IBP Board of Governorsshall reviewevery case heard
by an investigator upon the record and evidence
transmittedto it. The recommendation of the Board shall
be in writing and shall clearly and distinctly state the facts
and the reasonson which it is based (Rule 139-8, Sec. 12,
ROG). IBP Board shall promulgate its recommendation
within a period not exceeding 30 days from the next
meeting of the Board following the submission of the
investigation report.
The resolution,together with the entire records and all the
evidence presented and submitted shall be transmitted to
the Supreme Court for final action within 1 O days from
issuance of the resolution. Notice shall be given to all
parties through their counsel, if any. (Rule 139-8, Secs. 2,
2015).
Once a petition for review is filed. the SupremeCourt shall
I

the date of the commencement,unless extended for good PENALTY SUPREME SUPREME
cause by the Board of Governorsupon prior application. IMPOSED COURT COURT EN
DIVISION BANC
The Commission on Bar Discipline investigator or, if so
required by the IBP Board of Governors, a panel of 3 SUSPENSION Period of 1 Period exceeds 1
I year or less year
investigators, to whom the complaint is assigned, will
ascertain whether said complaint is meritorious. · I
1. If meritorious, the investigatorshall direct that a copy FINE P10,000 or less ExceedsP10,000
be served to the respondent, requiring him to answer
within 15 days from the date of service. The answer
must be verified. The original and 5 legible copies shall SUSPENSION Suspensionis Suspension
be filed with the investigator,with proof of service of a
copy thereof on the complainantor his counsel. Failure
AND FINE
I
1 year or less exceeds 1 year or
AND the fine is the fine exceeds
P10,000 or less 10,000
to file allows in(Rule 139-B, Sec. 8).
I __
2. If unmeritorious, the investigator shall recommend -
dismissal of the complaint to the IBP Board of
Governors ( Rule 139-B, Secs. 2, 3 and 5, ROG as In case cf 2 or more suspensionsof the lawyer, service of
amended by B.M. 1645. October 15, 2015). the same shall be successive, not simultaneous
(Investment and Management Service Corp. v. Roxas,
(d) Report of the investigator and decision of the A.G. No. 141~ 1996).
Board of Governors
Not later than 30 days from the termination of the
investigation, the investigator shall subrnit a report

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Referral of cases by the Supreme C to the Solicitor
General or to any officer of the Supreme Court or
Judge of the lower court.
In proceedings initiated motu proprio by the Supreme
Court or in other proceedings when the interest of justice
so requires, the Supreme Court may refer the case for
investigation, report or recommendation to the Solicitor
General or to any officer of the Supreme Court or judge of
the lower court (Rule 139-B, Sec. 13. ROG).
Pending final resolution of the complaint investigated by
the IBP investigator or of the proceeding initiated motu
proprio by the Supreme Court, the Supreme Court upon
proper recommendation may suspend the respondent
from the practice of law until the suspension is lifted by the
Supreme Court (Rule 139-8, Sec. 15, ROG). The CA or
RTC may suspend an attorney after due notice and
opportunity to be heard, until further action of the Supreme
Court (Rule 139-B, Sec. 16, ROG).
Res ipsa loquitur
Where the facts of record sufficiently provide the basis for
the determination of a lawyer's administrative liability, he
may be disciplined or disbarred by the Supreme Court
without further inquiry or investigation. A trial type hearing
is not necessary. as the lawyer has been fully heard in his
pleadings (Prudential Bank v. Castro, A.M. No. 2756,
1986j.
Defenses, generally
When the integrity of a member of the bar is challenged, it
is not enough that he denies the charges against him; he
must meet the issue and overcome the evidence against
him. He must show proof that he still maintains that
degree of morality and integrity which at all times is
expected of him (Radjaie v. Alovera, A. C. No. 47 48, 2000).
Defenses not available: (Double Pari - Good PAREE)
1. Double jeopardy - There can be no double jeopardy as
he is not being tried for same offense but for his failure
to abide by his lawyer's oath;
2. When both parties are in pari de/icto (Mortel v.
Aspiras, G.R. No. L-9152, -,956);
3. Good faith, except when bad faith or willfulness is an
indispensable element or the charge against the lawyer
(Rheem of the Philippines v. Ferrer, G.R. No. L-22979,
1967);
4. fardon by the offended party;
5. Acquittal of a lawyer of a crime upon which the
disbarment proceeding is based ( In re Del Rosario, 52
Phil. 399, 1928);
6. Restitution to the injured person;
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
7 . .§stoppel; and, •
8. .§xecutive pardon. •
An absolute and unconditional pardon by the President
"reaches both the punishment prescribed for the offense
and the guilt of the offender; and when the pardon is full, it
releases the punishment and blots out of existence the
guilt, so that in the eye of the law the offender is as
innocent as if he had never committed the offense." "If
granted after conviction. it removes the penalties and
disabilities, and restores him to all his civil rights; it makes
him, as it were, a new man, and gives him a new credit and
capacity." (In re Lontok, 43 Phil. 293, 1992, as cited in In re
Parcasio, A.M. No. 1000, 1966).
An absolute pardon operates to wipe out the conviction as
well as the offense itself, and the grant thereof in favor of a
lawyer is a bar to a proceeding for disbarment against
him based solely on the commission of such offense (In re
Parcasio, A.M. No. 1000, 1966).
However, an absolute pardon subsequently granted to a
lawyer who had previously been disbarred for conviction of
a crime does not automatically entitle him to reinstatement
to the bar, because only the Supreme Court can reinstate
a disbarred lawyer (In re Rovero, A.C. No. 126, 1952j.
Conditional Pardon not a bar
A conditional pardon or the remission of the unexpired
portion of the sentence does not operate as a bar to the
disbarment proceeding (In re Lontok, 43 Phil.293, 1922).
Effects of Pardon
Sesbreno cited In re: Atty. Parcasio to bolster his
argument. In that case, Atty. Parcasio was granted "an
absolute and unconditional partdon" which restored his "full
civil and political rights," a circumstance not present in
these cases. Here, the Order of Commutation did not state
that the pardon was absolute and unconditional. The
accessory penalties were not mentioned when the original
sentence was recited in the Order of Commutation and
they were also net mentioned in stating the commuted
sentence.
There are four acts of executive clemency that the
President can extend: the President can grant reprieves,
commutations, and remit fines and forfeitures, after
conviction by final judgment. Commutation is a mere
reduction of penalty. Commutation only partially
extinguished criminal liability. The penalty for sesbreno's
crime was never wiped out ( Garcia v. Seshreno, A. C. No.
7973 and A.G. No. 10457. 2015).
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(J Presumption; burden of proof
In the absence of contrary proof, the presumption is that
the lawyer is innocent of the charges and has performed
his duty as an officer of the court in accordance with his
oath (Acosta v. Serrano, A.C. No. 1246, 1977). The burden
of proof rests upon the complainant to overcome the
presumption (Baldoman v. Luspo, A.C. No. 1081, 1975).
In disciplinary proceedings against members of the bar,
only "clear preponderance of evidence" is required to
establish liability. As long as the evidence presented by
complainant or that taken judicial notice of by the Court is
more convincing and worthy of belief than that which is
offered in opposition thereto, the imposition of disciplinary
sanction is justified (Pimentel, Jr. v. Llorente, G.R. No.
133509, 2000).
( concern is the determination of administrative liability. The
In the absence of convincing or clearly preponderant
evidence, the disbarment case against the respondent
should be dismissed (Argona v. Cruz, A. C. No. 4934,
1975).
Judgment
The Supreme Court decides the disciplinary action on the
basis of the evidence adduced during the investigation
conducted for the purpose. The Court may also take into
account the report and recommendation of the investigator.
But. with respect to decisions raised to the SC from the CA
or the RTC for review, the Court may require that the whole
of the record of the case be forwarded to it (In re Brilliantes.
A.M.No. 124~ 1977).
Fulfillment of certain conditions
In dismissing a case against a lawyer, the court may
impose certain conditions if the facts so warrant.
Disciplinary sanctions, basic considerations
While it is discretionary upon the court to impose a
particular sanction that it may deem proper against an
erring lawyer, taking into account the attendant
aggravating or mitigating circumstances, it should neither
be arbitrary or despotic nor motivated by personal
animosity or prejudice but should ever be controlled by the
independence of the bar and to exact from the lawyer strict
compliance with his duties to the court. to his client, to his
brethren in the profession and to the public (In re Almacen,
G.R. No. L-27654, 1970).
Effects of suspension or disbarment
A judgment of suspension or disbarment is self-
executory, A lawyer who has been disbarred or one who
has been suspended from practice cannot practice law
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
without being held liable for contempt of court. A judgment
of suspension or disbarment is alwajs subject to change
or modification by the court, regardless of the period that
has lapsed. The court may, at any time when justice so
warrants, modify the penalty of disbarment to one of
suspension.
Even if the suspension is for a fixed period,.a lawyer must
still seek leave from the Supreme Court to resume law
practice (Maniago v. De Dies, A.G. No. 7472, 2010).
4. RECOVERABLE AMOUNTS; INTRINSICALLY
LINKED TO PROFESSIONAL ENGAGEMENT
General Rule: In disciplinary proceedings against lawyers,
the SC cannot order the guilty lawyer to pay the amounts
he owes to the complaining party because the Court's only
Court's findings have no material bearing on other judicial
action which the parties may choose to file against each
other (The Flight Shop, Inc. v. Barican, G.R. No. 9950,
2014).
Exception: When a lawyer receives money from a client
intrinsically the client-attorney relationship. The lawyer is
bound to render an accounting to the client showing that
the money was spent for that particular purpose. If the
lawyer' does not use the money for the intenOed purpose,
he must return the money to his client. Thus, in a 2014
disbarment case where the lawyer received advances from
hi~ clieni to defray the expenses connected with a case he
was handling, and where the lawyer failed to account for
these sums, the SC directed the lawyer to return the
amounts given by his client in addition to imposing the
penalty of disbarment upon him (Navarro v. S,olidum, A. C.
No. 9872, 2014).
---- end of topic----
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Clemency, as an act of mercy removing any

D. READMISSION TO THE BAR
disqualification, should be balanced with the preservation
of public confidence in the courts. The Court will grant it
1. Lawyers who have been suspended only if there is a showing that it is merited. Proof of
2. Lawyers who have been disbarred reformation and a showing of potential and promise are
indispensable (In re: Letter of Judge Augustus C. Diaz,
1. LAWYERS WHO HAVE BEEN SUSPENDED appealing for judicial clemency, A.M. No. 07-7-17-SC,
2007).
The Supreme Court has the exclusive authority to reinstate
a disbarred or indefinitely suspended lawyer to the office Guidelines for resolving requests for Judicial
of attorney-at-law. It may reinstate him for reasons and Clemency (PART - Relevant):
upon assurances satisfactory to the court. (In re Adriatico, 1. There must be a showing of fromise (such as
G.R. No. L-2532, 1910). intellectual aptitude, learning or legal acumen or
contribution to legal scholarship and the development
2. LAWYERS WHO HAVE BEEN DISBARRED of the legal system or administrative and other relevant
skills), as well as potential for public service.
Reinstatement, in disbarment proceedings, is the 2. The Age of the person asking for clemency must show
restoration of the privilege to practice law to a disbarred that he still has productive years ahead of him that can
lawyer. be put to good use by giving him a chance to redeem
himself.
The power of the Supreme Court to reinstate is based on 3. There must be proof of Remorse and reformation.
its constitutional prerogative to promulgate rules on the These shall include but should net be limited to
admission of applicants to the practice of law (Art. VIII, certifications or testimonials of the ofticer/s or chapter/s
Sec. 5[5], 1987 Constitution). of the Integrated Bar of the Philippines, judges or
judges associations and prominent members of the
The Supreme Court, in addition to the required
community with proven integrit'J and probity. A
rehabilitation of the applicant for reinstatement, may
subsequent finding of guilt in an aaministrative case for
require special conditions to be fulfilled by the applicant.
the same or similar misconduct will give rise to a strong
presumption of non-reformation.
To be reinstated, there is still a need for the filing of an
4. Sufficient !ime must have lapsed from the imposition
appropriate petition with the Supreme Court (In Re:
of the penalty to ensure a period of reform.
Rovero, A.C. No. 126, 1980).
5. There must be other relevant factors and
circumstances that may justify ciemency
The criteria for reinstatement have been stated as
(In re: Letter of Judge Augustus C. Diaz, appealing for
follows (C-SPG; "see spaghetti"):
judicial clemency, A.M. No. 07-7-17-SC, 2007; Talens-
1. Character and standing prior to the disbarment. the
Dabon v. Arceo, A.M. No. RT J-96-1336, 2012; Macarubbo
;;-ature and character of the charge for which he was v. Macarubbo, A.G. No. 6148, 2013).
disbarred, his conduct subsequent to the disbarment,
and the time that has elapsed between the disbarment ---- end of topic----
and the application for reinstatement.
2. Whether or not the applicant shall be reinstated rests
to a great extent in the §ound discretion of the court.
3. Public interest in the orderly and impartial
;dminisiration of iustice will be conserved by the
applicant's particip~tion therein in the capacity of an
attorney and counselor at law.
4. Satisfy the court that he is a person of §ood moral
character, and a fit and proper person to practice law.
(In Re: Petition for Reinstatement in the Roll of
Attorneys, Juan T, 22081, 1981; Prudential Bank v.
Grecia, A.M. No. 2756, 1990).

PAGE 78 OF 164
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r: .I.
l
3. Compliance. Group 3 - Members in Visayas and
E. MANDATORY CONTINUING LEGAL
Mindanao (B.M. 850, Rule 3, Sec. 2j. •
EDUCATION
NOTE: Members may participate in any legal education
1. Purpose activity wherever it may be available to earn credit unit.
2. Requirements
3. Compliance Credit Units: For every class of credit, a corresponding
4. Exemptions number of credit units shall be assigned.
5. Sanctions
Classes of Credits:
1. PURPOSE 1. Participator)' credit units:
(a) Attending approved education activities like
To ensure that throughout their career, lawyers will keep seminars, conventions, symposia, and the like;
abreast of the law and jurisprudence, maintain the ethics (b) Speaking or lecturing, or assigned as panelist,
of the profession and enhance the standards of the reactor, or commentator, etc. in approved
practice of law (b.m. 850, rule 1, sec. 1). education activities; and,
r (c) Teaching in law school or lecturing in bar review
2. REQUIREMENTS classes (B.M. 850, Rule 5, Sec. 2).
2. Non-participatory credit units:
Who are required to comply? 3. Preparing, as author or co-author, written materials
All members of the Integrated Bar of the Philippines, from (e.g. article, book or book review) which contribute to
3"' year of membership onwards. the legal education of the author member, which were
i
t not prepared in the ordinary course of his practice or
Requirement~ of Completion of MCLE: employment; and,
l
Shall complete ever1 3 years at least 36 hours of 4. Editing a law book, law journal or legal newsletter (B.M.
continuing legal education activities. The 36 hours shall be 850, Rule 5, Src· 3). •
divided as follows:
1. 2 hours - International law and international 4. EXEMPTIONS
conventions
2. 4 hours - Legal writing and oral advocacy Parties EXEMPTED from the MCLE:
r
3. 4 hours - Trial and pretrial skills 1. The President, Vice-President and the Secretaries and
4. 5 hours -Alternative dispute resolution Undersecretaries of Executive Departments;
5. 6 hours - Legal ethics 2. Senators and Members of the House of
6. 9 hours - Updates on substantive and procedural laws Representatives;
and jurisprudence 3. The Chief Justice and Associate Justices of the
7. Remaining 6 hours - Such other subjects as may be Supreme Court, incumbent and retired Justices and
prescribed by the Committee on MCLE (B.M. 850, Rule Judges, incumbent members of the Judicial and Bar
1, Sec. 2). Council and incumbent court lawyers covered by the
Philippine Judicial Academy program of continuing
3. COMPLIANCE judicial education;
4. The Chief State Counsel, Chief State Prosecutor and
Compliance Period: The initial compliance period shall Assistant. Secretaries of the Dept. of Justice;
begin not later than 3 months from the adoption of the IBP !i The Solicitor General and the Assistant Solicitor
of the Ruf es. General;
B M. 850 was adopted on August 22, 2000 and took effect 6. Tile Government Corporate Counsel, Deputy and
on September 15, 2000. Assistant Government Corporate Counsel;
7. The Chairman and Members of the Constitutional
Compliance Groups shall be designated: Commissions;
i . Compliance Group 1 - Members in the NCR (Metro 8. The Ombudsman, the Overall Deputy Ombudsman, the
Manila) Deputy Ombudsmen and the Speciai Prosecutor of the
2. Compliance Group 2 - Memhers in Luzon Office of the Ombudsman;

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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. (B.M. 850, Rule 7, Sec. 1).
Other Parties Exempted:
1. Those who are not in law practice, private or public;
and,
2. Those who have retired from law practice with the
approval of the IBP Board of Governors. (B.M. 850,
Rule 7, Sec. 2).
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,
i!lness, post-,graduate study abroad, proven expertise
in law, etc.) from compiiance 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 (B.M. 850, Rule 7,
Sec. 3j.
Proof of Exemption
Applications for exemption from or modification of the
MCLE requirement shall be:
1. Under oath; and
2. Supported by documents. (B.M. 850, Rule 7, Sec. SJ.
5. SANCTIONS
Non-Compliance Procedures: (RARE-NO)
What constitutes non-compliance:
1. Failure to complete education requirement within the
compiiance period;
2. Failure to provide attestation of compliance or
exemption;
3. Failure to satisfy the education requirement and furnish
evidence of such compliance within 60 days from
receipt of non-compliance notice;
4. Failure to provide satisfactory' evidence of compliance
(including evidence of exempt status) within the
prescribed period;
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
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
compliance with the MCLE requirements. (B.M. 850,
Rule 12, Sec. 1 ).
Members failing to comply will:
1. Receive a Non-Compliance Notice stating the specific
deficiency; AND
2. Be given 60 days from date of notification to file a
Response (B.M. 850, Rule 12, Sec. 2) .
Consequences of Non-Compliance:
1. Listed as delinquent member by the IBP Board of
Governors upon recommendation of the Committee on
MCLE;
2. The listing as a delinquent member is administrative in
nature but shall be made with notice and hearing by the
Committee on MCLE;
3. The lawyer will be subject to penalties and disciplinary
sanctions;
4. The lawyer will be fined P2,000.00 for the first offense,
PJ,000.00 for the second offense and P4,000.00 for the
third offense;
5. The lawyer may be listed as a delinquent member of
the Bar;
6. The non-compliant lawyer shall be discharged from the
case and the clienUs shall be aliowed to secure the
services of a new counsel with the concomitant right to
demand the return of fees already paid to the non-
compliant lawyer;
7. Note that the failure to indicate the MCLE Certificate of
Compliance or Certificate ot Exemption in pleadings
will no longer cause the dismissal of the case or the
expunction of pleadings from the records (OCA
CIRCULAR NO. 79-14, 2014).
Committee on Mandatory Continuing Legal Education:
1. Composition:
(a) Retired Justice of the SC - Chairman, nominated
by the Supreme Court
(b) IBP National President - Vice-Chair
(c) 3 other members - Nominated by the Philippine
Judicial Academy, UP Law Center and Association
of Law Professors1 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 (B.M. 850. Rule 15).
---- end of topic ---
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F. NOTAR!AL PRACTICE (A.M. No. 02-8-13-
SC, as amended
1. Qualifications of Notary Public
2. Term of Office of Notary Public
3. Powersand limitations
4. Notarial Register
5. Jurisdiction of Notary Public and Place of Notarization
6. Competent Evidence of Identity
7. Sanctions
8. Relation to Code of Professional Responsibility
1. QUALIFICATIONS CF21- GOOD MORAL
RESIDENT)
1. Filipino citizen
2. Over twenty-one (21) years of age
3. 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
4. Must not have been convicted in the first instance of
any crime involving Moral turpitude
5. A Resident in the Philippines for at least one ( 1} year
and maintains a regular place of work or business in
the city or province where the commission is to be
issued (Rule Ill, Section 1, 2004 Rules on Notarial
Practice [hereinafter Notarial Law]).
2. TERMOF OFFICE CF NOTARY PUBLIC
Term of office: A notary public may perform notarial acts
for a period of 2 years commencing the first day of
January of the year in which the commissioning is made,
unless earlier revoked or the notary public has resigned
under these Rules and the Rules of Court (Rule Ill, Section
11, Notarial Law).
Missing, Lost or Damaged Seal
After informing the appropriate law enforcement agency,
shall notify the Executive Judge in writing, providing proper
receipt or acknowledgment. including registered maii. and
in the event of a crime committed, provide a copy or entry
number of the appropriate poiice record. Upon receipt of
such notice, if found in order by the Executive Judge, the
latter shall order the notary public to cause notice of such
loss or damage to be published, once a week for 3
consecutive weeks, in a newspaper of general circulation
in the city or province where the notary public is
commissioned. Thereafter, the Executive Judge shall
issue to the notary public a new Certificate of
Authorization to Purchase a Notarial Seal (Noterie! Law,
Rule VII Section [(d)).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
•
In the event that the "missing, lost or damaged seal is later •
found or surrendered," it shall be deiivered by the notary
public to the Executive Judge to be disposed of as
provided above. Failure to effect such surrender shall
constitute contempt of court (Notarial Law, Rule VII Section
2(e]).
Death, Resignation, Revocation or Expiration
Within five (5) days after the "death or resignation" of the
notary public, or the "revocation or expiration of a notarial
commission." the official seal shall be surrendered to the
Executive Judge and shall be destroyed or defaced in
public during office hours. In the event of death of the
notary public, the person in possession of the official seal
shall have the duty to surrender it to the Executive Judge
(Rule VII Section 2[e], Notarial Law).
Power of the Municipal Trial Court Judges and
Municipal Circuit Trial Court Judges to Act as Notaries
Public Ex Officio
General Rule: 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. n 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 (OCA Circular No. 1-90, · dated
February 25, 1990).
Exception: However, the Supreme Court, taking judicial
notice of the fact that there are still municipalities which
have neither lawyers nor notaries public, has ruled that
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 competency of a regular notary public, provided
that:
1. J\.JI notarial fees charged be for the account of the
Government and turned over to the municipal
treasurer; and.
2. A certification be made in the notarized documents
attesting to the lack of any lawyer or notary public in
such municipality or circuit. ( Supreme Court Circular
No. 1-90, February 26, 1990).
A judge cannot execute an affidavit of cohabitation.
Affidavits of cohabitation are documents not connected
with the judge's official function and duty to solemnize
marriages. Notarizing affidavits of cohabitation is
inconsistent with the duty to examine the parties'
requirements for marriage. If the solemnizing officer
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notarized the affidavit of cohabitation, he cannot
objectively examine and review the affidavit's statements
before performing the marriage ceremony. Should there be
any irregularity or false statements in the affidavit of
cohabitation he notarized, he cannot be expected to admit
that he solemnized the marriage despite the irregularity or
false allegation .. Thus, judges cannot notarize the affidavits
of cohabitation of the parties whose marriage they will
solemnize. Affidavits of cohabitation are documents not
connected with their official function and duty to solemnize
marriages (Tupa/ v. Rojo, A.M. No. MTJ-14-1842, 2014).
A judge is also required to have the parties present
competent evidence of identity. That the parties
appeared before him and that he interviewed them do not
make the parties personally known to him. To personally
know the parties, the notary public must at least be
acquainted with them. Interviewing the contracting parties
does not make the parties personally known to the notary
public (Id.).
Renewal of Notarial Commission
A notarial commission may be renewed by filing a written
application with the Executive Judge within 45 days
before the expiration thereof. A mark, image or impression
of the seal of the notary public shall be attached to the
application.
Failure to fi!e said application will result in the deletion of
the name of the notary public in the iegister of notaries
public.
The notary public thus removed from the Register of
Notaries Public may only be reinstated therein after he is
issued a new commission in accordance with these Rules
(Rule Ill, Section 13, Notarial Law).
The Executive Judge shall act on an application for the
renewal of a commission within 30 days from receipt
thereof. If the application is denied, the Executive Judge
shall state the reasons therefor. (Rule Ill Section 14,
Notarial Law).
SAMPLE PROBLEM
Q: Mr. X was commissioned as a notary public on
December 15: 2013. When will Mr. X's term of office as
a notary public expire?
A: Mr. X's term of office will expire on December 31, 2014.
. This is because the effectivity of the notarial commission
issued on December 31, 2013 relroacted to January 1,
2013. Therefore, the first year of the notary public's
commission expired on December 31, 2013 (first year:
January 1, 2013 to December 31, 2013) and the second
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
year of the notary public's commission will expire 011
December 31, 2014 (second year: January 1, 2014 to
December 31, 2014).
A notary public's term of office is two years from January 1
of the year in which his/her notarial commission was issued
(unless the notarial commission is earlier revoked, and/or
unless the notary public resigns as such before the lapse
of this period).
The law that governed notaries public prier to the effectivity
of the 2004 Notarial Rules was Act 2711, or the
Administrative Code of 1917. Under Section 239 of Act
2711, the term of notaries public was also two years from
January 1 of the year in which the appointment was made.
Thus, assuming that notarial commission was issued on
July 31, 2004 (or one day before the effectivity of the 2004
Notarial Rules on August 1, 2004 ), that January 1, 2004 to
December 31, 2004; second year: January 1, 2005 to
December 31, 2005).
Notaries public commissioned prior to the effectivity of the
2004 Notarial Rules on August 1, 2004 were not ipso facto
stripped of their authority to perform notarial acts. Instead,
on November 25, 2004, the Supreme Court promulgated
Memorandum Order No. 75-04, which states that "Notaries
Public commissioned prior to 1 August 2004 can continue ,
with their work until the expiration of their commission".
3. POWERS AND LIMITATIONS
Powers
A notary public has the power to perform the following
notarial acts: (A-JOSCO)
1. Acknowledgments;
2. Jurats;
3. Qaths and affirmations;
4. iignature witnessings
5. &opy certifications; and
6. Any Other act authorized by the 2004 Notarial Rules
(Rule IV, Section 1, Notarial Law).
An 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;
2. Is attested to be personally known to the notary public
or identified by the notary public through competent
evidence of identity as defined by [the 2004 Notarial
Rotes]: and
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r=.
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 (Rule II, Section 1, Notarial Law).
An oath or affirmation 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 2004 Notarial Rules; and,
3. Avows under penalty of law to the whole truth of the
contents of the instrument or document (Rule II,
Section 2, Notarial Law).
A jurat refers to an act in which an individual on a single
occasion:
1. Appears in person before the notary public and
presents an instrument or document;
2. Is personally known to the notary public or identified by
the notary public through competent evidence of
identity as defined by the 2004 Notarial Rules;
3. Signs the instrument or document in the presence of
the notary; and
4. Takes an oath or affirmation before the notary public as
to such instrument or document. (Rule II, Section 6,
Notarial Law).
A signature witnessing refers to a notarial act in which an
individual on a single occasion:
1. Appears in person before the notary public and
presents an instrument or document;
2. Is personally known lo the notary public or identified by
the notary public through competent evidence of
identity as defined by (the 2004 Notarial Rules]; and,
3. Signs the instrument or document in the presence of
the nota:y public (Rule II. Section 14, Notarial Law).
A copy certification 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
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
4. Determines that the copy is accurate and complete
(Rule II, Section 4, Notarial Law).
The phrase any other act authorized by the 2004
Notarial Rules refers to the authority of notaries public to
perform the following acts:
1. To certify the affixing of a thumb or other mark on an
instrument or document presented for notarization; and
2. To sign on behalf of a person who is physically unable
to sign or make a mark on an instrument or document
(Rule IV, Sections 1 (b) and (c), Notarial Law).
A notary public may certify the affixing of a thumb or
other mark on an instrument or document presented for
notarization, provided:
1. The thumb or other mark is affixed in the presence of
the notary public and of two disinterested and
unaffected witnesses to the instrument or document;
2. Both witnesses sign their own names in addition to the
thumb or other mark;
3. The notary public writes below the thumb or other mark:
"Thumb or Other Mark affixed by (name of signatory by
mark) in the presence of (names and addresses of
witnesses; and undersigned notary public"; and
4. The notary public notarizes the signature by thumb or
other mark through an acknowledgment, jurat, or
signature witnessing (Rule IV Sectioh 1(b], Notarial
Law).
SAMPLE PROBLEM
Q: May a notary public notarize documents by affixing
his thumb or other mark on the notarial certificate?
A: It appears that he may not. This is because Rule VIII,
Section 1 of the 2004 Notarial Rules provides that 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;
2. Not sign using a facsimile stamp or printing device;
and,
3. Affix his official signature only at the time the notarial
act is performed.
A notary public may sign on behalf of a person who is
physically unable to sign or make a mark on an
instrument Oi document 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 two disinterested and unaffected
witnesses to the instrument or document;
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3. Both witnesses sign their own names;
• 4. The notary public writes below his signature:
"Signature affixed by notary in presence of (names and
addresses of person and two [2] witnesses)"; and,
5. The notary public notarizes his signature by
acknowledgment or jurat (Rule IV Section 1 [c], Notarial
Law).
SAMPLE PROBLEM
Q: A notary public signed a contract of lease on behalf
of another without complying with the aforementioned
requisites above. He then notarized the lease contract.
Is this allowable?
A: No. None of the requirements contained in Rule IV, Sec.
1 (c), as would justify a notary signing in behalf of a
contracting party, was complied with in this case.
Moreover, [the notary public's] act of affixing his signature
above the printed name "Edwin T. Nevada," without any
qualification, "veritably made him a party to the contract of
lease in question. n Thus, his act of notarizing a deed to
which he is a party is a plain violation of the
aforequoted Rule IV, Sec. J(a) of the Notariai Rules, for
which he can be disciplinarily sanctioned provided
under Rule XI, Sec. 1(b)(10) of the Notarial Rules
(Nevada v. Casuga, A.C. No. 7591, 2012).
Limitations
A notary public may not perform a notarial act if the person
involved as signatory to the instrument or document is:
1. Notin the notary's presence personally at the time of
the notarization;
2. Not personally known to the notary public or otherwise
identified by the notary public through competent
evidence of identity (Rule IV, Section 2[b], Notarial
Law); and
3. A relative within the fourth civil degree of affinity. This
prohibition includes the spouse, common-iaw partner,
ancestor, descendant, or relative by affinity or
consanguinity of the principal within the fourth civil
degree.
Places Where Notaries Public Can Perform Notarial
Acts
Generally, a notary public may perform notarial acts in his
regular place of work or business, which must be within
the territorial jurisdiction of the commissioning court.
However, a notary public may perform a notarial act
outside his place of work or business in any of the following
sites located within his territorial jurisdiction (HOF-0):
1. Public ,2ffices, convention halls and similar places
where oaths of office may be administered;
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
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; and,
4. Any place where a party to an instrument or document
requiring notarization is under ~etention (Nasayao v.
Unay, A.G. No. 9504, 2013).
The act of notarizing documents in a place outside of or
beyond the authority granted by the notarial commission
partakes of malpractice of law and falsification
{Almazan, Sr. v. Suerte-Felipe, A.C. No. 7184, 2014).
(b) Grounds for Disqualification from Performing
Notarial Acts
General Rule: A notary public may perform notarial acts
for any person.
Exceptions: A notary public is disqualified from
perfonning a notarial act if he:
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 2004 Notarial Rules 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 (Rule IV,
Section 3, Notarial Law).
The Supreme Court has held that it was improper for a
notary public to notarize a complaint-affidavit executed by
his two sisters-in-law based on Rule IV, Section 3 of the
2004 Notarial Rules (Jandoquile v. Revilla, A.C. No. 9514,
2013).
The Supreme Court has declared that a Community Tax
Certificate is not competent evidence of identity.
However, note that Section 163(a) of Republic Act No.
7160, otherwise known as the local Government Code of
1991 requires persons subject to the payment of
community tax to present their community tax certificates
whenever they acknowledge documents before notaries
public (Baylon v. A/mo, A. C. No. 6962, 2008).
(c) Refusal to Perform Notarial Acts.
General Rule: A notary public may not refuse to perform
a notarial act.
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'l
I . Exceptions: A notary public may refuse to perform a
notarial act if:
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
farmer's knowledge of the consequences of the
transaction requiring a notarial act; and
3. In the notary's judgment, the siqnatory is not acting of
his or her own free will (Rule IV, Sec 4, Notarial Law).
SAMPLE PROBLEM
Q: A notary public notarized a deed of sale of real
property where the stated price was P1 million. He
then notarized a second deed for the same transaction
which reflected a price of only P250,000.00, after the
(
parties to the sale expressed their desire to reduce the
amount of taxes payable in connection with the sale.
According to the notary, he was "moved by his
humane and compassionate disposition" when he
acceded to the parties' plea that he prepare and
notarize the second deed with a lower consideration in
order to reduce the corresponding tax liability. Was
this a violation of the notarial rules?
u ·' A: Yes, bv knowingly notarizing a document with an
illegal purpose, While respondent's duty as a notary
public is principally to ascertain the identity of the affiant
and the voluntariness of the declaration, it is nevertheless
incumbent upon him to guard against any illegal or immoral
arrangement or at least refrain from being a party to its
consummation. Rule IV, Section 4 of the 2004 Rules on
Notarial Practice in fact proscribes notaries public from
performing any notarial act for transactions similar to the
herein document of sale, to wit:
In this case, respondent proceeded to notarize the second
deed despite knowledge of its illegal purpose."
Respondent should have been more prudent and
remained steadfast in his soiemn oath not to commit
falsehood nor consent to the doing of any. As a iawyer,
respondent is expected at all times to uphold the integrity
and dignity of the legal profession and refrain from any act
or omission which might lessen the trust and confidence
reposed by the public in the integrity of the legal profession
(Caalim-Verzonilla v. Pascua, A.G. No. 6655, 2011, En
Banc).
(d) False or Incomplete Certificates.
A notary public shall not
1 . Execute a certificate containing information known or
believed by the notary to be false.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
2. Affix an official signature or seal on a notarial cel1ificate
that is incomplete (Notarial law, Rule IV, Sec 5).
A notarial certificate refers to the part of, or attachment
to, a notarized instrument or document that is completed
by the notary public, 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 these Rules (Rule
II Section 8, Notarial Law).
The notarial certificate must contain the following:
1. Name of the notary public as exactly indicated in the
commission;
2. Serial number of the commission of the notary public;
3. 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. Roll of attorney's number, the professional tax receipt
number and the place and date of issuance thereof,
and the IBP membership number (Rule VIII, Section 2,
Notarial Law).
(a) The "Roll of Attorney's number" is a permanently-
assigned number to each lawyer.
(b) The "Professional Tax Receipt ("PT.I:(') Number" is
subject to renewal every year. A PTR Nun;iber
issued in a year is valid until January 31 of the
succeeding year (Local Government Code of 1991.
Section 139(d)).
(c) If the notary pubiic is an IBP Lifetime Member,
simply indicate his or her IBP Lifetime Membership
number. If the notary public is not an IBP Lifetime
Member, he/she must indicate the "number and
date of the official receipt indicating payment of
his/her annual membership dues to the IBP ... An
IBP official receipt issued in one year may be
availed of and indicated in all pleadings, motions,
and papers "until the end of February of the
succeeding year." (OCA Circular No. 10-85, issued
on July 24, 1985)
(e) Improper Instruments or Documents
A notary public shall not notarize:
1. A blank or incomplete instrument or document: or,
2. An instrument or document without appropriate notarial
certification (Rule IV, Section 6, Notarial Law).
Fees
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
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2. No fee or compensation of any kind, except those
expressly prescribed and allowed herein, shall be
collected or received for any notarial service.
3. A notary public shall not require payment of any fees
specified herein prior to the performance of a notarial
act unless otherwise agreed upon.
4. A notary public who charges a fee for notarial services
shall issuq a receipt registered with the Bureau of
Internal Revenue and keep a journal of notarial fees.
He shall enter in the journal all fees charged for
services rendered.
5. A notary public shall post in a conspicuous place in his
office a complete schedule of chargeable notarial fees
(Rule V, Secs. 1-5, Notarial Law).
performed by his duly authorized representative (Rule X,
Sec 2, Notarial Law).
The Executive Judge shall immediately order the Cieri( of
Court to post in a conspicuous place in the offices of the
Executive Judge and of the Clerk of Court the names of
notaries public who have resigned their notarial
commissions and the effective dates of their resignation
(Rule X, Sec. 3, Notarial Law).
4. NOTARIAL REGISTER
NOTARIAL REGISTER REGISTER OF
NOTARIES PUBLIC

Change of Status of Notary Public The permanently bound Kept by the executive
Change of name and address book with numbered judge, and contains
Within 10 days after the change of name of the notary pages containing a among other things, the
public by court order or by marriage, or after ceasing to chronological record of dates of issuance or
maintain the regular place of work or business, the notary notarial acts performed revocation or suspension
public shall submit a signed and dated notice of such
fact to the Executive Judge.
by a notary public (Rule II of notarial commissions, I
Section 5). and the resignation or
death of nolaries public
The notary public shall not notarize until: (Rule Ill Section 12)
1. He receives from the Executive Judge a confirmation
of the new name of the notary public and/or change of Kept by the notary public;
regular place-of work or business; and, only one remains active at
2. A new seal beating the new name has been obtained. any given time

The foregoing notwlthstendlnq, until the aforementioned

steps have been completed, the notary public may
continue to use the former name or regular place of work
or business in performing notarial acts for 3 months from
the date of the change, which may be extended once for
valid and just cause by the Executive Judge for another
period not exceeding 3 months (Rule X, Sec. 1, Notarial
Law).
A notary public obtaining a new seal as a result of change
of name shall present to the vendor or manufacturer a
certified copy of the Confirmation of the Change of Nam'3
issued by the Executive Judge (Rule VII, Section 4[d],
Notarial Law).
Resignation
A notary public may resign his commission by personally
submitting a written, dated and signed formal notice to
the Executive Judge together with his notarial seal,
notarial register and records. Effective from the date
indicated in the notice, he shall immediately cease to
perform notarial acts. In the event of his incapacity to
personally appear, the submission of the notice may be
Required Entries in a Notarial Register:
1. Entry number and page number;
2. Date and time of day of the notarial act;
3. Type of notarial act;
4. Title or description of the instrument, document or
proceeding;
5. Name and address of each principal;
6. Competeni evidence of identity as defined by these
Rules if the signatory is not personally known to the
notary;
7. Name and address of each credible witness swearing
to or affirming the person's identity;
8. Fee charged for the notarial act;
9. 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 of relevance (Rule VI, Sec. 2[a], Notarial
Law).
Procedure
1. If a notary public is unable to complete a notarial act,
he or she must also record in the notarial register the
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reasons and circumstances for not completing a
• notarial act (Rule VI, Sec. 2 [b], Notarial Law).
2. When the instrument or document is a contract, the
notary public shall 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. He shall also retain
a duplicate original copy for the Clerk of Court (Rule VI,
Sec. 2 [d], Notarial Law).
3. 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 (Rule VI,
(
Sec. 2 [e], Notarial Law).
4. In case of a protest of any draft, bill of exchange or
promissory note, the notary public shall 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;
r .
l where the same was made, when and to whom and
where directed; and of ever; other fact touching the
same (Rule VI, Sec. 2 ff], Notarial Law).
5. 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 (Rule VI, Sec. 2 [g/, Notarial Law).
6. 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 foliowing, 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 (Rufe VI, Sec. 2 [g], Notarial Law).
7. 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 cf 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 (Rule VI, Sec. 3,
Notarial Law).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Inspection and Copying of Notarial Registers •
"Any person" may inspect an entry in the notarial register,
during regular business hours, and in the notary public's
presence, provided:
1. The person's identity is personally known to the notary
public or proven through competent evidence of
identity;
2. The person affixes a signature and thumb or other mark
or other recognized identifier, in the notarial register in
a separate, dated entry;
3. The person specifies the month, year, type of
instrument or document, and name of the principal in
the notarial act or acts sought; and
4. The person is shown only the entry or entries specified
by him.
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.
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 (Rule VI,
Sec. 4, Notarial Law).
A notary public shall record in the notarial register 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. The reasons for refusal
to allow inspection or copying of a journal entry sha!I also
be recorded (Rule VI, Sec. 2 [c], Notarial Law).
Loss, Destruction or Damage of Notarial Register
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 po!ice report.
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 (Rule VI, Sec. 5. Notarial Law).
Issuance of Certified True Copies.
The notary public shall supply a certified true copy of the
notaria! record, or any part thereof, to any person applying
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for such copy upon payment of the legal fees (Rule VI, Sec.
6, Notarial Law). • If the Principal is "personally known to the notary
Office/s Where Notarial Registers May be Purchased
1 . Notaries public who render legal and notarial services
within the National Capital Judicial Region shall secure
their notarial registers from the Property Div.ision,
Office of the Adm_inistrative Services of the Office
of the Court Administrator.
2. Notaries public in other judicial regions shall secure
their notarial registers from the Office of the Clerk of
Court of the Regional Trial Court of the city or
province under the supervision of the Executive
Judge who issued their respective notarial
commissions. However, they may also secure notarial
registers from the Office of the Court Administrator.
Notarial registers shall be available at P1 ,200.00 each,
subject to adjustment depending on printing and
distribution costs. (OCA Circular No. 157-2006 dated
November 16, 2006).
Printing of Notarial Registers
The Supreme Court Printing Office shall print the notarial
registers. In the event the Printing Office cannot meet the
requirements of the Office pf the Court Administrator, and
subject to Republic Act• No. 9184 (Government
Procurement Reform Act), its implementing rules and
regulations, and existing ~upreme Court issuances on
procurement, the Court Administrator may contract cut the
printing of notarial registers to the following printers in the
following order:
1. UP Printing Services;
2. The National Printing Office; or
3. Private printing firm.
The OCA shall resort to the third option only if the first two
printers cannot accommodate the requirements of the
Court. (OCA Circular No. 157-2006 dated November 16,
2006).
5. JURISDICTION OF NOTARY PUBLIC AND PLACE
OF NOTARIZATION
A person commissioned as notary public may pertorm
notarial acts in any place within the territorial jurisdiction of
the commissioning court. (Rule Ill, Sec. 11, Notarial Law).
6. COMPETENT EVIDENCE OF IDENTITY
A Principal is the person appearing before a notary public
whose act is the subject of notarization. (Rule II, Sec. 1 O.
Notarial Law).
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
public," there is no need to require the presentation of
competent evidence cf identity.
If the. Principal is "not personally known to the notary
public," the notary must identify the Principal through
competent evidence of identity.
Competent Evidence of Identity 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,
passport, driver's license. Professional Regulations
Commission ID, National Bureau of Investigation
clearance, police clearance, postal ID. voter's ID,
Barangay certification, Government Service and
Insurance System (GSIS) e-card, Social Security
System (SSS) card, Philhealth card, senior citizen card,
Overseas Workers Welfare Administration (OWWA)
ID, OFW ID, seaman's book, alien certificate of
registration/immigrant certificate of registration,
government office ID, certification from the National
Council for the We~fare of Disable Persons (NCWDP},
Department of Social Welfare and Development; 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,
3. The oath or affirmation 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.
NOTE: To personally know the parties, the notary public
must at least be acquainted with them.
7. SANCTIONS
Punishable Acts
The Executive Judge shall cause the prosecution of any
person who:
1. Knowing!y acts or otherwise impersonates a notary
public;
2. Knowingly obtains, conceals, defaces, or destroys the
seal, notarial register, or official records of a notary
public;and
3. Knowingly solicits, coerces: or in any way influences a
notary public to commit official misconduct. (Notarial
Law, Rule XII, Sec 1).
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The Executive Judge concerned shall submit semestral
resorts to the Supreme Court on discipline and prosecution
of notaries public. (Notarial Law, Rule XII, Sec 2).
The Importance and Effects of Notarization
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. Notarization converts a private
document into a public document; thus, making that
document admissible in evidence without further proof of
its authenticity. A notarial document is by law entitled to full
faith and credit upon its face. Courts, administrative
agencies and the public at large must be able to rely upon
the acknowledgment executed by a notary public and
appended to a private instrument (Linco v. Lacebal, A. C.
No. 7241, 2011).
Consequences of Defective Notarization
Effect on the validity of contract
General Rule: Defective notarization does not affect the
validity of a contract. However, from an evidentiary
perspective, the defective notarization of a document
prevents it from being considered and admitted in evidence
as a public document. It remains a private document that
must be authenticated as such in accordance with the
Rules o{ Evidence (The Heirs of Sarili v. Lagrosa, G.R. No.
193517, 2014).
Excepti9n: In cases where the law requires notarization
as a requisite for validity, the defective notarization will
render the contract or transaction void (Azuela v. Court of
Appeais, G.R. No. 122880, 2006).
i. Donation of immovable property
Article 749 of the Civil Code provides that the donation of
immovable property must be in a public (i.e., notarized)
document in order to be valid.
The Supreme Court declared that a deed of donation of
land was declared void for being defectively notarized.
(Unchuan v. Lozada, G.R. No. 172671, 2009).
ii. Notarial Wills
Article 806 of the Civil Code provides that wills must be
acknowledged before a notary public by the testator and
his witnesses.
In Guerrero v. Bihis (G.R. No. 174144, 2007), a notary
public commissioned for and in Caloocan City notarized a
will in Quezon City. The Supreme Court held that the
notary public had no authority to notarize documents in
Quezon City, and therefore the will in this case was void
for being defectively- notarized.
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
Likewise, in Azuela v. Court of Appeals (G.R. No. 122880,
2006), the Supreme Court declared a will void for, among
other things, not being "acknowledged" before a notary
public, even if it was "subscribed and sworn to" before a
notary public:
In lieu of an acknowledgment, the notary public,
wrote "Nilagdaan ko at ninotario ko ngayong 10 ng
Hunyo 10 (sic), 1981 dito sa Lungsod ng Maynila."
By no manner of contemplation can those words be
construed as an acknowledgment. "An
acknowledgment is the act of one who has
executed a deed in going before some competent
officer or court and declaring it to be his act or deed.
It involves an extra step undertaken whereby the
signor actually declares to the notary that the
executor of a document has attested to the notary
that the same is his/her own free act and deed."
"It might be possible to construe the averment as a
jurat, even though it does not hew to the usual
language thereof. A jurat is that part of an affidavit
where the notary certifies that before him/her, the
document was subscribed and sworn to by the
executor." Ordinarily, the language of the jurat
should avow that the document was subscribed and
sworn before the notary public, while in this case,
the notary public averred that he himself "signed
and notarized" the document. Possibly though, the
word "ninotario" or "notarized" encompasses the
signing of and swearing in of the executors of the
document, which in this case would involve the
decedent and the instrumental witnesses.
"Yet even if we consider what was affixed by the
notary public as a jurat, the will would
nonetheless remain invalid, as the express
requirement of Article 806 is that the will be
"acknowledged", and not merely subscribed
and sworn to." The will does not present any
textual proof, much less one under oath, that the
decedent and the instrumental witnesses executed
or signed the will as their own free act or deed. The
acknowledgment made in a will provides for
another all-important legal safeguard against
spurious wills or those made beyond the free
consent of the testator.
An acknowledgement is not an empty meaningless
act. The acknowledgment coerces the testator and
the instrumental witnesses to declare before an
officer of the law that they had executed and
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subscribedto the will as their own free act or deed.
• Such declaration is under oath and under pain of
perjury, thus allowing for the criminal prosecutionof
persons who participate in the execution of
spurious wills, or those executed without the free
consent of the testator. It also provides a further
degree of assurance that the testator is of certain
mindset in making the testamentary.dispositionsto
those persons he/she had designated in the will.
It may not have been said before, but we can assert
the rule, self-evident as it is under Article 806. "A
notarial will that is not acknowledged before a
notary public by the testator and the witnesses
is fatally defective, even if it is subscribed and
sworn to before a notary public.
Liability of notary public
Even defectively notarized documents which are
improperly obtained from the notarial register of a notary
public are admissibleas evidenceagainst the notarypublic
in an administrative case against the latter. The 2004
Rules on Notarial Law contain no provision declaring the
inadmissibility of documents obtained in violation thereof
{De Jesus v. Sanchez-Malit, A. C. No. 6470, 2014).
If ,a Notary Public does not comply with•the requirements
for signing a documenton behalf of another, he becomes
a party to the instrument and becomes disqualified
from notarizing it. The act of notarizi~g a deed to which
· a notary public is a party is a violation of the Notarial
Rules and is a ground for the imposition of disciplinary
sanctions (Nevada v. Casuga, A.C. No. 7591, 2012).
A notary public is personally responsible for the
correctness and completeness of the entries in his/her
notarial register. A notary public cannot escape liability
for blaming the incorrectness or incompleteness of the
entries in his/her notarial register on his/her secretary
(Agadan v. Kilaan, A. C. No. 9385, 2013).
A notary public should not facilitate the disintegrationof a
marriage and the family by encouragingthe separationof
the spouses and extra-judicially dissolving the conjugal
partnership. Further, a notary public is personally
responsible for the entries in his notarial register and
he could not relieve himself of this responsibility by
passing the blame on his secretaries or any member
of his staff (Espinosa v, Omana, AC. No. 9081, 2011).
LEGAL AND JUDICIAL ETHICS ANO PRACTICAL EXERCISE
8. RELATION TO CODE OF PROFESSIONAL
RESPONSIBILITY
Violations of the 2004 Notarial Rules may also
constitute violations of the Code of Professional
Responsibility and the Lawyer's Oath
The "act of notarizing documents outside one's area of
commissionis not to be taken lightly. Aside from being a
violationof Sec. 11 of the 2004 Rules on Notarial Practee,
it also "partakes of malpractice of law and falsification.
Notarizing documents with an expired commission is a
violation of the lawyer's oath to obey the laws," more
specifically,the 2004 Rules on Notarial Practice. Since the
public is deceived into believing that he has been duly
commissioned,it ..also amounts to indulging in deliberate
falsehood,"which the lawyer's oath proscribes. "Notarizing
documents without the presence of the signatory to the
documentis a violation of Sec. 2(b){1 ), Rule IV of the 2004
Rules on Notarial Practice, Rule 1.0·1 of the Code of
Professional Responsibility, and the lawyer's oath which
unconditionallyrequires lawyers not to do or declare any
falsehood." Finally, Atty. Quintana is personally
accountable for the documents that he admitted were
..signedby his wife.n He cannot relieve himself of liabilityby
passingthe blamelo his wife. He is, thus, guilty of "violating
Canon 9 of the Code of ProfessionalResponsibility,which
requires lawyers not to directly or indirecUyassist in the
unauthorizedpractice •Jf law." Laquindanum v. Quintana
(A. C. No. 7036, 2009, En Banc)
Notarial acts give private documents a badge of
authenticitythat the public relies on when they encounter
written documents and engage in written transactions.
Hence, all notaries public are duty-bound to protect the
integrityof notarial acts by ensuring that they perform their
duties with utmost care. This court explained in Bole v.
Judge Eduardo:
A notarialregister is prima facie evidence of the facts there
stated. It has the presumption of regularity and to
contradictthe veracityof the entry, evidence must be clear,
convincing,and more than merely preponderant....
... Notarization is not an empty, meaningless, routinary
act. It is invested with such substantial public interest that
only those who are qualified or authorized may act as
notaries public. Notarization converts a private document
into a public document, making that document admissible
in evidencewithout further proof of its authenticity. For this
reason, notaries must observe with utmost care the hasic
requirementsin the performanceof their duties. Otherwise,
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r- the confidence of the public in the integrity of this form of
conveyance would be undermined.
Hence, when respondent negligently failed to enter the
details of the three (3) documents on his notarial register,
he cast doubt on the authenticity of complainant's
documents. He also cast doubt on the credibility of the
notarial register and the notarial process. He violated not
only the Notarial Rules but also the Code of Professional
Responsibility, which requires lawyers to promote respect
for law and legal processes.
Respondent also appears to have committed a falsehood
in the pleadings he submitted. In his Answer to
complainant's Affidavit-Complaint, respondent claimed
that he certified complainant's documents as true copies.
Later, in his Position Paper, he passed the blame to his
secretary. This violates the Code of Professional
Responsibility, which prohibits lawyers from engaging in
dishonest and unlawful conduct. (Pitogo v. Sue/lo, A. C. No.
10695, 2015)
Under the rule, only persons who are commissioned as
notary public may perform notarial acts within the territorial
jurisdiction of the court which granted the commission.
Clearly, Atty. Siapna could not perform notarial functions in
Lingayen, Natividad and Dagupan City of the Province of
Pangasinan since he was not commissioned in the said
places lo perform such act. By peiforming notarial acts
without the necessary commission from the court, Atty.
Siapno violated not only his oath to obey the laws
particularty the Rules on Notarial Practice but also Canons
1 and 7 of the Code of Professional Responsibility which
proscribes all lawyers from engaging in unlawful,
dishonest, immoral or deceitful conduct and directs them
to uphold the integrity and dignity of the legal profession,
at all times. (Re: Violation of Rules on Notarial Practice,
AM. No. 09-6-1-SC, 2015)
---- end of topic----
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
II. JUDICIAL ETHICS
A. Sources
1. New Code of Judicial Conduct for the Philippine
Judiciary (Bangalore Draft)
2. Code of Judicial Conduct
B. Disqualification of Judicial Officers (Rule 137)
1. Compulsory
2. Voluntary
C. Administrative jurisdiction of the Supreme Court over
Judges and Justices (all levels)
A. Sources 1
1. NEW CODE OF JUDICIAL CONDUCT FOR THE
PHILIPPINE JUDICIARY
Judicial Ethics
A branch of moral science which treats of the right and
proper conduct and behavior to be observed by all judges
and magistrates in t1ying and deciding controversies
brought before them for adjudication which conduct and
behavior must be demonstrative of independence,
integrity, impartiality, equality, propriety, competence and
diligence (Agpalo, Legal and Judicial Ethics, 2002).
Court
A board or other tribunal which decides a litigation -or
contest (Hidalgo v. Manglapus, 64 O.G. 3189).
Judge
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 the law
(People v. Manantan, G.R. No. 14129, 1962).
De Jure Judge
An officer of the law fully vested with all of the powers and
functions conceded under the law to a judge, which relate
to the administration of justice within the jurisdiction over
which he presides (Lino Luna v. Rodriguez, G.R. No. L-
12647, 1917).
A judge who rs in all respects legally appointed and
qualified as such and whose term of office has not expired
(Tayko v. Capistrano. 53 Phil. 872, 1998).
De Facto Judge
A judge who in good faith continues and is recognized by
common error after the abolition cf his court by statute is
deemed judge. de facto of the new court which succeeds to
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the jurisdiction of that presided over by him (US v. Abalos,
•
1 Phil. 76, 1901). An officer who is not fully '•ested with all
of the powers and duties conceded to judges, but is
exercising the office under some color or right (Lino Luna
v. Rodriguez, G.R. No. L-12647, 1917). The acts of a de
facto judge are just as vaiid for all purposes as those of a
de jure judge in so far as the public or 3rd persons who are
interested therein are concerned. The decision pf a de
facto judge cannot be collaterally attacked (Nacionalista
Party v. De Vera, G.R. No. L-3474, 1949).
Promulgation and Effectivity
The New Code of Judicial Conduct of the Philippine
Judiciary was promulgated on April 27, 2004 and became
effective on June 1, 2004.
Bangalore Draft as Universal Declaration of Judicial
Standards
The "Bangalore Draft," as amended, is intended to be a
Universal Declaration of Judicial Standards applicable in
all judiciaries. It is founded on the following principles:
1. A competent. independent and impartial judiciary is
essential if the courts are to fulfill their role in upholding
constitutionalism and the rule of law;
2. Public confidence in both the judicial system and in the
moral authority and integrity of the judiciary is of utmost
irnportence in a modern democratic society; · •
3. It is essential that judges, individually and collectively,
respect and honor judicial office as a public trust and
strive to enhance and maintain confidence ·;n the
judicia1 system.
Did the new code repeal the old Canons of Judicial
Ethics?
A.M. No. 03-05-01-SC did not completely repeal the old
Canons .of Judicial Ethics adopted in the Philippines and
Code of Judicial Conduct of 1989. The New Code, as
inspired by the Bangalore Draft, only supersedes the
Canons of Judicial Ethics and Code of Judicial
Conduct, to the extent that former covers the latter.
This means that the provisions of the existing Canons and
the Code which have not been embraced in the New Code
will not be considered subsisting and effective.
Significance
The New Code correlates the Code of Judicial Conduct
and the Canons of Judicial Ethics and stresses the
Philippines' solidarity with the universal clamor for a
universal code of judicial ethics.
A creed to which a judge is hidebound, in the words of the
Preamble of the Canons of Professional Ethics, is that "the
future of the Republic, to a great extent, depends upon our
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
maintenance of justice pure and unsullied." (Luque v.
Kayanan, G.R. No. L-26826, 1969).
If the administration of justice is liberated from ethical and
moral rules. and is left free-wheeling, judges and
magistrates cannot be expected to be free, independent,
honest, diligent and impartial. The people will lose trust in
the Judiciary. When the people no longer trust the
Judiciary, the tendency is that they would take the law into
their own hands.
2. CODE OF JUDICIAL CONDUCT
Superseded by the New Code of Judicial Conduct
The old Code of Judicial Conduct has been superseded by
the New Code, and is merely suppletory to it. A.M. 03-05-
01-SC contains the Adoption of the Supreme Court of the
New Code of Judicial Ethics (Note: The provisions shall be
discussed in seratim later on in the summer reviewer)
Important Definitions under A.M. 03-05-01-SC
1. Court Staff - Includes personal staff of the judge
including law clerks.
2. Judge - Any person exercising judicial power,
however designated.
3. Judge's Family - Includes a judge's spouse, son,
daughter, son-in law, daughter-in-law, and any other
relative by consanguinity or affinity within the 5th civil
degree, or person who is a companion or employee of
the judge and who lives in the judge's household.
Promulgation and Effectivity
The Code of Judicial Conduct was promulgated on
September 5, 1989 and became effective on October 20,
1989.
SUMMARY OF QUALITIES
1. Independence
2. Integrity
3. Impartiality
4. Propriety
5. Equality
6. Competence and Diligence
1. INDEPENDENCE
CANON 1. INDEPENDENCE is a pre-requisite to the rule
of law, and a fundamental guarantee of a fair tria!. A judge
shall therefore uphold and exemplify judicial independence
in both its individual and institutional aspects.
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,· Independence
•
Means freedom from the ir~uence, guidance or control
from ethers. Applied to judicial ethics, it is referred to as
"JUDICIAL INDEPENDENCE," and the freedom of courts
from extraneous influences or control.
Two Prongs of Independence of a Judge
Independence of a judge has 2 pronqs:
1. First, the judge must be free from the influences of
other persons like members of the family and friends
(individual independence);
2. Second, as the court, no branch of the government or
agencies thereof could dictate upon it in the
performance of its judicial duties (institutional
independence);
Focus of Canon 1 is Judicial Independence as:
1. A requisite to the Rule of Law
2. A fundamental guarantee of fair trial
Guarantee of Judicial Independence
There is no sure guarantee of judicial independence than
the God-given character and fitness of those appointed to
the Bench.
, 2. Independence from government as a whole - Avoid
Summary of judicial dutie!l under Canon 1,
!ndepender.ce
1. Judges shall exercise judicial function independently
2. In performing judicial duties, judges shall be
independent from judicial colleagues
3. Judges shall refrain from influencing the outcome of
litigations and administrative cases
4. Judges shall not allow family, social or other
relationships to influence judicial conduct (A
companion or EE of the judge who lives in the judge's
household is included in the definition of the "judge's
family")
5. Judges shall be free from inappropriate connections
and influence from the executive and legislative
branches. ("A judge is entitled to entertain personal
views on political questions. But to avoid suspicion of
political partisanship, a judge shall not make political
speeches, contribute to party funds, publicly endorse
candidates for political office or participate in other
partisan political activities" [Rule 5.10, Old Code]
6. Judges shall be independent in relation to society ("A
judge shall not accept appointment or designation to
any agency performing quasi-judicial or administrative
functions" [Ru!e 5.09, Old Code]
7. Judges shall encourage and uphold safeguards for the
discharge of judicial duties
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
8. ,Judges shall exhibit and promote high standards of
judiciai conduct
Judge Must Have Enough Strength to be Independent
A Judge should be courageous in his mission to
administer justice. He must be above public clamor and
the lures of personal popularity. He must be brave
enough to displease any man or interest or power, and
should render justice without regard for his personal
advantages or safety. A judge should be mindful that his
duty is the application of general law to particular
instances, that ours is a government of laws and not of
men, and that he violates his duty as a minister of justice
under such a system if he seeks to do what he personally
considers substantial justice in a particular case and
disregards the general law as he knows it to be binding
on him.
Types of Independence
Judges must reject pressure from any source by
maintaining independence from the following:
1. Independence from public officials - The public laid
their confidence on the fact that the official is mentally
and morally fil to pass upon the merits of their varied
intentions.
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.
4. Independence from public opinion - Only guide is
the mandate of the law.
Section 1: INDEPENDENT JUDICIAL FUNCTION
Basis: Section 1. Judges shall exercise the judicial
functions independently:
(a) On the basis of their assessment of the facts;
(b) In accordance with a conscientious understanding
of the law, and
(c) Free of any extraneous influence, inducement,
pressure, threat or interference, direct or indirect,
from any quarter or for any reason.
Independent judiciary
An independent judiciary has been described as .. one free
of inappropriate outside influences." Judges frequently
experience pressures in the exercise cf their judicial
functions. However, it is only when a judge gives in to
pressures from whatever source, that he is deemed to
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have lost his independence and is considered unworthy of
the position. • Basis: Section 2. In performing judicial duties, Judges
Judge should not be swayed by the pressure of public
opinion:
Rally Demanding the Issuance of Arrest Warrant
When the trial judge issued a warrant of arrest without
conducting a hearing due to a rally staged by the
complainant and their sympathizers, the Court held that the
issuance of a warrant was unjustified. The Court stated
thal the presence of a rally demanding the issuance of
something is not sufficient excuse for the judge to have
acted in unjustified haste (Libaros v. Dabalos, A.M. No.
RTJ-89-286, 1991).
Desire to cater to public opinion
It appears that the trial court has been moved by a desire
to cater to public opinion to the detriment of the impartial
administration of justice. The petitioner is portrayed by the
media as not exactly a popular person. Nevertheless, the
trial court should not have been influenced by the irrelevant
consideration of popularity, remembering instead that its
only guide was the mandate of the law ( Concurring opinion
of.Justice /sagani Cruz, Gov. CA, G.R. No. 101837, 1992).
, ·Bpsis: Section 3. Judges shall refrain from influencing in
Judge who gives in to pressure loses his
independence
The (respondent] Judge's confessed act of succumbing to
pressure is a patent betrayal of the public trust reposed on
her as an arbiter of the law and a revelation of her weak
moral character. By her appointment, the public has laid
respondent fit to pass upon the merits of their varied
contentions. They expect her to be unafraid to displease
any person, interest or power and to be equipped with a
moral fiber strong enough to resist the temptations lurking
in the office. Respondent Judge has dismally failed to
exhibit the qualities required of those holding such office.
Judge is dismissed (Ramirez v. Corpuz-Macandog, A.M.
No. R-351-RTJ. 1986).
Provisions of the Code of Judicial Conduct relevant to
this Section:
Rule 3.02 - In every case, a judge shall endeavor diiigently
to ascertain the facts and the applicable law unswayed by
partisan interests, public opinion or fear of criticism.
Rule 1.03 - The judge should be vigilant against any
attempt to subvert the independence of the judiciary and
resist any pressure from whatever source.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Section 2: OUTSIDE PRESSURE
shall be independent from judicial colleagues in respect of
decisions which the judge is obliged to make
independently.
In the performance of their duties, judges must be liberated
•from the influences of their own colleagues with the
decisions they are rendering. They must resist the
inducements of their own colleagues in the judiciary.
However, this will not apply in collegiate courts where there
is group deliberation. In group deliberations, the Chainnan
and members have to state their individual positions on the
issues, with the intention to sway the other members of the
collegiate body.
Provisions of the Code of Judicial Conduct relevant to
this Section:
Canon 1. A judge should uphold the integrity and
independence of the Judiciary.
Rule 1.03. A judge should be vigilant against any attempt
to subvert the independence of the judiciary and resist any
pressure from whatever source.
Section 3: INFLUENCING OUTCOME OF LITIGATION
.any manner the outcome of litigation or dispute pending
before another court or administrative agency.
Sec. 2 and 3 intend to prevent situations where a judge
influences the decision in cases that are not pending
before him. It also aims to prevent situations where a judge
allows himself to be influenced by another judge.
However, if the consultation with a colleague 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 Sec. 2 and 3 of the Code.
Following these, judges must not influence the outcome of
a litigation pending in another court or administrative
agency.
Sub Judice Rule
The sub judice rule restricts comments and disclosures
pertaining to the judicial proceedings in order to avoid
prejudging the issue, influencing the court, or obstructing
the administration of justice. A violation of this rule may
render one liable for indirect contempt under Sec. 3(d),
Rule 71 of the Rules of Court (Romero v. Estrada, G.R. No.
17-1105, Aprii 2, 2009_).
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The ~ecific rationale for the sub judice rule is that courts,
in the decision of issues of fact and la'Mshould be immune
from every extraneous influence; that facts should be
decided upon evidence produced in court; and that the
determination of such facts should be uninfluenced by
bias, prejudice or sympathies (Romero v. Estrada, G.R.
No. 174105, April 2, 2009).
.
Police/Superintendent X had pending criminal cases for
homicide before the RTC. The criminal cases involved a
shooting incident which was captured by a television crew
(Incident 1 ). Pending the resolution of the cases, another
shooting incident occurred, where Police/Superintendent X
was the ground commander in a police-military team
(Incident 2). According to Police/Superintendent X,
Incident 2 caused negative publicity on his part when the
counsel of the victim held a press conference in national
television, making comments about both Incident 1 and 2.
He alleged that the sub judice rule was violated. However,
the Supreme Court ruled: The sub Judice rule restricts
comments and disclosures pertaining to the judicial
proceedings in order to avoid prejudging the issue,
influencing the court, or obstructing the administration of
justice. What is, thus, sought to be protected is the aH-
r important duty of the court to administer justice in the
decision of a pending case. The specific rationale for the
sub judice rule is that courts, in the decision ef issues of
fact and law should be immune from every extraneous
influence; that facts should be decided uppn evidence
produced in court; and that the determination of such facts
should be uninfluenced by bias, prejudice or sympathies
(Marantan v. Diokno, G.R. No. 205956, 2014).
What constitutes sub judice
For a comment to be considered as contempt of court •it
must really appear" that such does impede, interfere with
and embarrass the administration of justice. What is, thus,
sought to be protected is the all-important duty of the court
to administer justice in the decision of a pending case. The
specific rationale for the sub judice rule is that courts, in the
decision of issues of fact and law should be immune from
every extraneous influence; that facts should be decided
upon evidence produced in court; and that the
determination of such facts should be uninfluenced by
bias, prejudice or sympathies (Romero v, Estrada, G.R.
No. ·/74105, April 2, 2009).
SAMPLE PROBLEM
Q: An RTC Judge wrote a letter to an MTC judge,
influencing the latter to promptly hear and decide a
case, if he has jurisdiction or, if not, to remand the
case to the RTC. The other parts of the letter indicated
a message to acquit. When the MTC Judge convicted
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
the accused, the RTC Judge directed the MTC Judge
to forward the records to the RTC. Without notice to
the parties, the RTC Judge acquitted the accused. Was
this proper?
A: No. The respondent [RTC judge] was held guilty (1) of
having made untruthful statements in his Certificate of
Service, of inexcusable negligence and gross inefficiency
in connection with missing records in his sala, and of utter
indifferences to the directives of the Court, and (2) of
serious misconduct for undue interest in a pending criminal
case before a lower court over which he exercised
supervision, all in violation of the Code of Judicial Conduct
(Sabitsana v. Vi/lamor, A.M. No. 90-474, 1991).
SAMPLE PROBLEM
Q: An Executive Judge was requested by a party
involved in barangay conciliation proceedings. During
the conciliation proceedings, he introduced himself as
the Executive Judge of the area. This act is an obvious
demonstration of support for said party. Proper?
A: No. The actuations of the judge are improper and
censurable. A judge should refrain from interfering in any
manner in the outcome of a litigation before any court.or
another administrative agency (Marces, Sr. v. Arcangel,
A.M. No. RTJ-91-712, 1996).
Judge Shall Not Interfere with Orders of Other Courts
of Co-Equal Jurisdiction
General Rule: Judges are notallowed to interfere with the
orders or decisions of courts of co-equal jurisdiction (PDCP
Development Bank v. Vestil, A.M. No. RTJ-96-1354,
1996). A becoming modesty of inferior courts demands
realization of the position that they occupy in the
interrelation and operation of the integrated judicial system
of the nation (People v. Vera, G.R. No. L-45685, 1937). In
effect, a judge cannot issue a TRO, writ of injunction
(PDCP Development Bank v. Judge Augustine Vestil, A.M.
No. RTJ-96-1354. 1996), nor certiorari, prohibition or
mandamus against a co-equal court,
Exception: However, a judge may revoke the orders of
another judge in a litigation subsequently assigned to him
(Washington Distillers. Inc. v. CA, G.R. No. 118151, 1996).
The rule of non-interference is also net applicable where
the judge of a branch of the court issues a writ of
preliminary injunction to enjoin the sheriff from carrying out
an order of execution issued in another case by the judge
of another branch of the same court. (Luciano v. Provincial
Governor of Rizai, G.R. No. L-30306, 1969).
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Judge Shall Not Demean Other JudJleS
A Judge should not boast that he is personally writing,
editing and finalizing his decisions for promulgation,
implying that others do not do so personally. (Guintu v.
Lucero, A.M. No. MTJ-93-794, 1996).
Judge Shall Respect Orders, Resolutions and
Decisions of Higher Courts
It would seem hardly necessary to add that judges should
respect the orders and decisions of an appellate court.
Refusal to honor an injunctive order of the Supreme Court
constitutes contempt (Barrera v. Barrera, G.R. No. L-
31589, 1970). Judges should respect resolutions of the
Supreme Court (Hernandez 11. Colayco, G.R. No. L-.'39800,
1975).
Undue Interference by Judges During Presentation of
Evidence
A judge may properly intervene to expedite and prevent
unnecessary waste of time (Domanico v. CA, G.R. No. L-
38139, 1983). He may intervene to propound clarificatory
questions (People v. Muit, G.R. No. L-48875, 1982), and
not to ask searching questions after the witness has given
direct testimony. The judge's questions should only be for
clarification and not to build the case for one of the parties
(Valdez v. Aquilizan, G.R. No. L-67411-24, , 1984).
What Constitutes Undue Interference by a Judge in the
Presentation of Evidence?
General Rule: Clarificatory questions are allowed for a full
and clear understanding of the facts.
Under our system of legal procedure where he is judge of
both the law and the facts, it is often expedient or even
necessary in the due and faithful a_dministration of justice
for the presiding judge, in the exercise of sound discretion,
to question a witness in order that his judgment may rest
upon a full and clear understanding of the clarificatory facts
(People v. Adora, G.R. Nos. 116528-31, 1997).
Exception: There will be undue interference if the judge
will extensively propound questions to the witnesses,
which will have the effect of or will tend to build or bolster
the case for one of the parties. Such intervention will betray
the personal interest and partiality of the judge. There is
also undue interference when the judge propounds
questions which are searching questions after the witness
had given direct testimony. When a judge assumes the
dual role of magistrate and advocate, the cold neutrality of
an impartial judge requirement of due process was denied.
(Tabuena v. Sand!ganbayan: G.R. Nos. 103501-03, 1997).
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
Reasons for the Rule Against Undue Interference
A judg1 must not only be impartial but must also appear
impartial. If he propounds questions to witnesses for some
purposes (other than clarification of some obscure points,
or to promote justice or to prevent waste of time) he will
come out biased against or partial in favor of a party.
Actuations of judges must always be beyond suspicion and
reproach (Deja Cruz v. Bersamira, A.M. No. RTJ-00-1567,
2001).
Judge Should Not Interrupt Counsel in their
Arguments
A judge should avoid interruptions of counsel in their
arguments except to clarify his mind as to their positions.
and he should not be tempted to an unnecessary display
of learning or a premature judgment (Canon 14, Canon of
Judicial Ethics [hereinafter CJE]).
Judge Should Not Compel Accused to Personally Cross-
Examine Witnesses Against Him.
It is improper for a judge to compel an accused whose
lawyer is absent and who admits he is not skilled to handle
his own trial to cross-examine the prosecution witnesses
(0/aivar v. Singco, A.M. 45-MJ, 1974).
Provision of tne Code of Judicial Conduct relevant to
this Section:
Rule 2.04 - A Judge shall refrain frorn influencing in any
manner the outcome of litigation or dispute pending before
another court or administrative agency.
Section 4: INFLUENCE ON JUDICIAL CONDUCT
Basis: Section 4. 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.
"Family" extends to the sixth civil degree
Under the New Code of Judicial Conduct, the term "family"
is extended beyond the nuclear members of the family, to
include those related by blood (consanguinity) or marriage
(affinity) up to the sixth civil degree, as well as those who
belong to the judge's employ and are living in his
household. These familial ties may not influence a judge in
his or her discharge of judicial duties.
It should be noted that when a judge is related to one of
the parties within the sixth degree of consanguinity or
affinity, his disqualification is mandatory. This provision
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is intended to en~ure that judges are spared from potential
influence of family members by disqualifying the'i'1 even
before any opportunity for impropriety presents itself.
This gives i~1struction to judges not to allow their family
members, friends and associates to influence them in their
judicial conduct or judgment. Also importantly, a judge
should ensure that his family members, friends and
associates refrain from creating the impression that they
are in a position to influence the judge [ABA- Rule of Law
Initiative, New Code of Judicial Conduct for the Philippine
Judiciary (Annotated) (2007)].
Otherwise, the judge risks undermining public confidence
not just in him or herself, but in the entire judicial institution
[ABA (2007)).
Judge must insulate himself from extraneous
influences in the performance of his duties
A judge, like any other human bE:!ing, lives in continuous
interpersonal relationships in the family. Whatever is the
binding thread of all his relationships, a judge should not
f should not suffer his conduct to create the impression that
allow it to influence his judicial conduct and performance
" of duties. He should insulate himself from these influences
so that he can dispose cases solely on the basis of the
evidence and the law.
Judge shall not use his chambers as family residence
A judge sha!i not use his chambers as his family's
.- residence, even with the Governor's permission. (Presado
v. Genova, A.M. No. RT J-91-657, 1993).
Judge shall r.ot lend the prestige of his office to others
When a judge allowed himself to be dragged into what was.
purely private .matter between feuding families, he is guilty
of misconduct. By attending barangay conciliation
proceedings and introducing himself as the Executive
Judge, the judge lent the prestige of his office to the party
(Marces, Sr. v. Arcangel, A.M. No. RTJ-91-712, 1996).
Judge shall not permit any person to convey the
impression that the latter has special influence over
him
A judge should have inhibited himself in a case where the
counsel appearing before him is a counsel of the judge's
family. For not inhibiting himself immediately, the judge
created the impression upon the complainant and the
public that the counsel's client was in a position to
iniiuence him (Socorro Yulo- Tuvilla v. Judge Ba/gos, A.M.
No. MTJ-98-1149, 1998).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Judge's Family
1. Judge's spouse, son, daughter, son-in-law, daughter-
in-law, and
2. Any other relative by consanguinity or affinity within the
6th civil degree, or
3. Person who is a companion or employee of the judge
and who lives; in the judge's household. [Definitions,
New Code of Judicial Conduc~.
Provision of the Code of Judicial Conduct and Code of
Judicial Ethics relevant to thls Section:
Rule 2.03 - 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 or
permit others to convey the impression that they are in a
special position to influence the judge. ( Code of Judicial
Conduct [hereinafter CJC])
Canon 12. Kinship or influence of parties and counsel
-Ajudge should not, unless it is unavoidable, sit in litigation
where a near relative is a party or of counsel; and he
any person can unduly influence him or enjoy his favor; or
that he is affected by rank, position, or influence of any
party. (CJE)
Section 5: INDEPENDENCE FROM EXECUTIVE AND
LEGISLAT!VE
Basis: Section 5. Judges shall not only be free from
appropriate connection with, and influence by, the
executive and legislative branches of government, but
must also appear to be free therefrom to a reasonable
observer.
Freedom from Institutional Influences
Judges must be vigilant in guarding their independence
against corroding influences emanating from the other
branches of the government. They must not succumb to
the undue pressures of high government officials. The only
pressure they must respect is pressure or dictate of the law
(Garcia v. Bueser, A.M. No. RT J-03-1792, 2004).
It is absolutely essential to the proper administration of
justice that courts have full control over the official actions
of those through whom the administration of the affairs of
the court precedes. For judicial independence to be a
reality, the least interference by or influence from other
governmental departments is of the essence. Only this
Court has the authority to order a personnel accounting of
locally-funded employees assigned in the lower courts to
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determine the necessity of their detail [Alfonso v. Alonzo-
Legasto, A.M. No. MTJ 94- 995 (2002)). • unjustified attacks e11e hurled at it.
It is desirable that the judge should, as far as reasonably
possible, refrain from all relations which would normally
tend to invoke suspicion that such relations warp or bias
his judgment, and prevent an impartial attitude of mind in
the administration of judicial duties (ABA (2007)].
Section 6: INDEPENDENCE FROM SOCIETY AND
PARTICULAR PARTIES
Basis: Section 6. 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.
Individual or Personal Independence
Judges must exhibit reasonable disinterest from the
members of the community, particularly persons with
pending or impending controversies in their courts.
Deliberate disinterest or aloofness, which is a self-imposed
exclusion, is one of the high prices they must pay when
they were recommended and successfully appointed by
the President of the Philippines, along with the right to hold
it in decent pride until retirement.
Provision of the Code of Judicial Ethics relevant to this
Section: ' visible representation of · the law and justice (Arban v.
Canon 30. Social Relations. It is not necessary to the
proper performance of judicial duty that judges should iive
in retirement or seclusion; it is desirable that, so far as the
reasonable attention to the completion of their work v.~11
permit, they continue to mingle in social intercourse, and
that they should not discontinue their interests in or
appearance at meetings or members of the bar. A judge
should, however, in pending or prospective litigaUon before
him be scrupulously careful to avoid such action as may be
reasonable tend to weaken the suspicion that his social or
business relations or friendships constitute an element in
determining his judicial course.
Section 7: SAFEGUARDS FOR JUDICIAL
INDEPENDENCE
Basis: Se~tion 7. Judges sha!: encourage and upheld
safeguards for the discharge of judicial duties in order to
maintain and enhance the institutional and operational
independence of the judiciary,
Judicial Safeguards
Judges, in the performance cf their duties, musl always
ensure that outside forces shall not be permitted to derail
or undermine the independence of the judiciary. They are
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
expected to defend the integrity of the courts whenever
Section 8: PROMOTE PUBLIC CONFIDENCE
Basis: Section 8. 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.
Secs. 7 and 8 tell judges what to do in order to maintain
and enhance judicial independence: Sec. 7 requires
judges to encourage and uphold safeguards for the
discharge of judicial duties to maintain and enhance
judicial independence, while Sec. 8 focuses on inspiring
public confidence. They are intended to serve as catch-all
provisions for all other acts that would guarantee the
independence of the judiciary, but which may not have
been covered in the specific instances mentioned in the
earlier provisions [ABA (2007)).
The rationale behind the high standard of judicial
conduct
A high standard of judicial conduct, not required of other
members of the bar of other professions, is mandated of a
judge because he is the embodiment of competence,
integrity, and independence (Rule 1.01, CJC). He is the
Borja, A.M. No. R-281-RTJ, "1986).
Characteristics of a Good Judge
Our conception of good judges has been, and is, of men
who have a mastery of the principles of law, who discharge
their duties in accordance with law, who are permitted to
perform the duties of the office undeterred by outside
influence, and who are independent and self-respecling
human units in a judicial system equal and coordinate to
the other departments of the government (Borromeo v.
Mariano, G.R. No. L-16808, 1921).
Judge is the Visible Representation of the Law
A Judge is the visible representation of the law and more
importantly of justice (Arban v. Borja, A.M. No. R-281-RT J,
1986). As such, he should avoid even the slightest
infraction of the law (Cabrera v. Pajares, A.M. Nos. R-278-
RTJ & R-309-RTJ, 1986).
Judges shall not blindly obey the Orders of even the
Highest Offices of the Land
Judges should emulate the great common-law jurist who
made clear that he would not just blindiy obey the King's
order but will do what becomes of him as a judge (Dela
Liana v. Alba. G.R. No. L-57883, 1982).
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 l ·.

C;
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ir •
Provision of the Code of Judicial Conduct relevant to • Behavior of Judges
this Section: A judge should, at all times, behave in such a way that
Rule 2.01 - A judge should so behave at all times as to promotes public confidence in the integrity and impartiality
promote public confidence in the integrity and impartiality of the judiciary (Vito v. Bus/on Jr., A. M. No. RTJ-94-1160
of the Judiciary. 1995). ,

2. INTEGRITY StansJards of Integrity; How Measured

Basis: CANON 2. Integrity is essential not only to the The ability to escape the penalties of criminal law does not
proper discharge of the judicial office. but also to the amount or satisfy the standards required of members of the
personal demeanor of the judges. bench. (Centrum Agri-Business Realty Corporation v.
Katalbas-Moscardon, A.M. No. RTJ-92-880, 1995). Beth in
Integrity his public and private life, the judge must live honestly and
uprightly, being the visible representation of the law. He
Refers to a steadfast adherence to a strict moral or ethical
must be an ideal example in the community. Judges are
code. It is the fusion of honesty and honorableness. When
presumed to be honest men of integrity unless proven
a judge has integrity, it is presumed that he has the virtues
otherwise (People v. Bocar, 97 Phil. 398, 1999).
of impartiality, propriety, equality, and independence.
Moral integrity is more than a cardinal virtue. It is a
Section 1: CONDUCT ABOVE REPROACH
necessity (Catbagan v. Barte, A.M. No. MTJ-02-1452,
Section 1. Judges shall ensure that not only is their
2005).
conduct above reproach, but that is perceived to be so in
the view of a reasonable observer.
Summary of the Duties of a Judge under Canon 2,
Integrity:
Rationale
1. ..ludges shal! ensure that not only is their conduct above
To promote public confidence in the integrity and
reproach but that it is perceived to be so in the view of
impartiJ:tlity of the judiciary because the people's
a reasonable observer.
confidence in the judicial system is founded not only on the
2. The behavior and conduct of judqes must reaffirm the
magnitude of legal knowledge and the diligence of the
people's faith in the integrity of the judiciary. Justice
members of the bench, but also on the highest standard of
must not merely be done, but must aiso be seen to be
integrity and moral uprightness they are expected to
done. •
possess. It is therefore paramount that a judge's personal
3. Judges should take or initiate disciplinary measures
behavior both in the performance of his duties and his daily
against lawyers or court personnel for any
life, be free from any appearance of impropriety as to be
unprofessional conduct of which the judge may have
beyond reproach [Tan v. Rosete, A.M. No. MTJ-04-1563
become aware.
(2004)].

Judges must be .. models of uprightness, fairness and

honesty." [Rural Bank of Barotac Nuevo, Inc. vs. Conduct of Judges must be above reproach
Cartagena, A.M. No. 707-MJ (1978)] A judge's official conduct and behavior in the performance
of judicial duties should be free from the appearance of
impropriety and must be beyond reproach (Alazas v.
Provision of the Code of Judicial Conduct relevant to
Reyes, G.R. No. L-55808, 1984j. Judges are viewed as the
this Section:
visible representations of law and justice, from whom the
Rule 1.01 - A judge should be the embodiment of
people draw the will and inclination to obey the law. Their
competence, integrity and independence.
personal behavior, not only on the bench and in the
performance of judicial duties but also in their everyday
Judges must be Exemplars in the Community fives, should be beyond reproach (Jc1cinto v. Vallarta, A.M.
Ali trial judges should endeavor to conduct themselves No. MTJ-04-1541, 2005).
strictly in accordance with the mandate of the existing laws
and Code of Judicial Ethics. This means that they be
exemplars in their communities and the living
personifications of justice and Rule of Law (SC Circular No.
13. Dated July 1. 1987).
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Provision of the Code of Judicial Ethics relevant to this
Section:
Canon 31. A Summary of Judicial Obligations. A
judge's conduct should be above reproach and in the
discharge of his judicial duties he should be conscientious,
studious, thorough, courteous, patient, punctual, just,
impartial, fearless of public clamor, and regardless of
private influence should administer justice according to law
and should deal with the patronage of the position as a
public trust; and he should not allow outside matters or his
private interests to interfere with the prompt and proper
performance of his duties.
With regard to professional integrity, judges have
been penalized for:
1. Demanding and/or accepting bribes [ Tan v. Rosete
(2004)];
2. Fraternizing with litigants and/or lawyers [Dela Cruz v.
Bersamin (2000));
3. Altering orders [Rallos v. Gako (2000)];
4. Delay in rendering decisions [Fernandez v. Hamoy
(2004)];
5. Sexual harassment of employees [Dawa v. De Asa
(1998)]; and
6. Ignorance of the law [Macalintal (1997)).
With respect to personal integrity, judges have been
penalized for transgressions in their private lives such
as:
1. Keeping and/or flaunting a mistress [In Re: Judge
Marcos A.M. No. 97-2- 53-RTC (2001));
2. Inebriated/drunk behavior [Lachica v. Flordeliza, A.M.
No. MTJ-94-921 (1996)]; and
3. Frequenting casinos and cockfights [ City of Tagbilaran
v Hontanosas, A.M. No. MTJ-98-1"/69 (2002)].
Section 2: REAFFIRM PEOPLE'S FAITH
Section 2. 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.
To be free from any suspicion
A judge has the duty to not on!y 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. It is obvious, therefore, that
while judges should possess proficiency in law in order that
they can competently construe and enforce the !aw, it is
more important that they should act and behave in such a
manner that the parties before them should have
LEGAL ANO JUDICIAL ETHICS ANO PRACTICAL EXERCISE
confidence in their impartiality [Sibayan-Joaquin v.
• Javellana, A.M. No. RTJ-00-16J)1 (2001)).
Judge pays a high price for the Honor bestowed upon
him
One who occupies an exalted position in the administration
of justice must pay a high price for the honor bestowed
upon him, that is, his official conduct must at all times be
free from the appearance of impropriety (Luque v.
Kayanan, G.R. No. L-26826, 1969).
Moral Integrity is an indispensable vlrtue for all judges
People who run the judiciary, particularly judges and
justices, must not only be experts of substantive and
procedural law, but more importantly, they must possess
the highest integrity, probity and unquestionable moral
uprightness, both in their public and private lives. (Talens-
Dabon v. Arceo, A.M. No. RTJ-96-13336, 1996).
Four "IN"s for Judges
Judges must personify four "IN"s:
1 . Integrity
2. Independence
3. Industry
4. Intelligence
(Community Rural Bank of Guimba, Inc. v. Talavera, A.M.
No. RTJ-05-1909, 2005). •
Behavior Should Inspire Confidence in The Judge's
· Impartiality
While judges should possess proficiency in law in order
that they can competently 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 (Tan v. Gallardo, GR No. L-
41213-14, 1976).
Where a judge is not legally disqualified from sitting in a
litigation, but suggestion is made of record that he might
be induced to act in favor of one party or with bias or
prejudice against a litigant arising out of circumstances
reasonable capable of inciting such a state of mind, he
should exercise his discretion in a way that the people's
faith in the courts of justice should not be impaired
(Pimentel v . .Salanga, G.R. No. L-27934, 1967).
The suspicion of appearance of bias or prejudice on the
part cf the part of the judge can be as damaging as actual
bias er prejudice, to the public convenience and
administration of justice (Montemayor v. Bermejo, Jr., AM
No. MTJ-04-1535, 2004,1.
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Section 3: DISCIPLINARY ACTION
•
Section 3. Judges should take or initiate appropriate
(
disciplinary measures aqainst lawyers of court personnel
for unprofessional conduct of which the judge may have
become aware.
Judges should not be Lenient
Judges should not be lenient in in the administrative
supervision of their employees. A judge must ensure that
all court personnel perform efficiently and promptly in the
administration of justice.
The inclination to leniency in the administrative supervision
of court employees is an undesirable trait. Oftentimes,
such leniency provides the court employees the
opportunity to commit minor transgressions of the laws and
slight breaches of official duty ultimately leading to vicious
delinquencies. A judge should constantly keep a watchful
eye on the conduct of his employees. He should realize
that big start small. 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. Then, his subordinates
! There is undue interference where the judge's participation
\. would know that any misdemeanor will not remain
unchecked. The slightest semblance of impropriety on the
part of the employees of the court, in lhe performance of
their official duties stirs ripples of public suspicion and
public distrust of the judicial administrators. lhe 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.G. No. 137-J
(1971)).
3. 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.
Section 1 : JUDICIAL DUTIES FREE FROM BIAS
Section1. Judges shall perform their judicial duties without
favor, blas or prejudice.
Bare Allegations of Partiality not Enough
Bare allegations of partiality and prejudgment will not
suffice [Dimo Realty & Dev. Inc. v. Dimaculangan (2004)).
A judge's conduct must be clearly indicative of arbitrariness
and prejudice before it can be stigmatized as biased and
partial [Cruz v. tturtetae (2003)].
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Extrajudicial Source rule
Bias and pr£1udice must be shown to have resulted in an
opinion on the merits on the basis of an extrajudicial
source, not on what the judge learned from participating in
the case. As long as opinions formed in the course of
judicial proceedings are based on the evidence presented
and the conduct observed by the magistrate, such opinion
- even if later found to be erroneous - will not prove
personal bias or prejudice on the part of the judge. While
palpable error may be inferred from the decision or the
order itself, extrinsic evidence is required to establish bias,
bad faith, malice or corrupt purpose (Gochan v. Gochan
(2003)1.
SECTION 2: PROMOTE CONFIDENCE, IMPARTIALITY
Section 2: Promote Confidence, Impartiality
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.
in the conduct of the trial tends to build or to bolster a case
of one of the parties, such as when he orders the
presentation of specific documentary evidence without
motion from any part.y or without participation of the parties
as in the case of Ty v. Banco Filipino Savings and
Mortgage Bank (2004). [However,] it is within the sound
discretion of the • trial judge to ask questions from
witnesses, if only to clarify what may appear to be vague
points in the narration. Questions designed to avoid
obscurity in the testimony and to elicit additional relevant
evidence are not improper [Paco et al. v. Qui/ala (2003)).
A judge may not be legally prohibited from sitting in a
litigation. But when suggestion is made of record that he
might be induced to act in favor of one party or with bias or
prejudice against a litigant arising out of circumstance
reasonably capable of inciting such a 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 [Pimentel v. Salanga
(1967)].
A judge should behave at all times in a way that promotes
public confidence in the integrity and impartiality of the
judiciary. The appearance of bias or prejudice can be as
darnaqinq to public confidence and the administration of
justice as actual bias or prejudice [Montemayor v. Bemejo
(2004)).
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Section 3: MINIMIZE INSTANCES OF
DISQUALIFICATIONS
Section 3. Judges shall, so far as 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.
Judges should avoid activities or occasions which will
increase possibility of being disqualified in a hearing
Fraternization with practicing lawyers and litigants is
replete with detriments and drawbacks in the
administration of justice (Agpalo, Legal and Judicial Ethics.
636-638, 2009).
Judge must be free from inclinations or prejudices
The underlying reason for the rules on disqualification is to
ensure that a judge, sitting in a case, will at all times be
free from inclinations or prejudices and be well capable to
render a just and independent judgment.
Cold Neutrality of a Judge
A litigant is entitled to nothing less than the cold neutrality
of a judge. Due process requires it [Parayno v. Meneses
(1994)].
The rule of disqualification of judges must yield to demands
of necessity. Simply stated, the rule of necessity means
that a judge is not disqualified to sit in a case if there is no
other judge available to hear and decide the case (46 Am.
..fur. 2d Judges§ 89 (1969)].
Section 4: PUBLIC COMMENTS ON PENDING AND
IMPENDING CASES
Section 4. Judges shall not knowingly, whiie 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.
This section warns judges against making any comment
that might reasonably be expected to affect the outcome of
the proceedings before them or "impair the manifest
fairness of the process." [ABA (2007)]
Jurisprudence on Judges Making Public Comments
on Pending Cases:
In Martinez v. Girone/la (1975), a judge was disqualified
from trying a murder case against the accused (as
principal), because, in a decision in a prior case involving
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
an alleged accessory, he stated that the accused in the
•
present case committed the crime. •
In Palang v. Zosa (1974), the judge, in decldinq a previous
estafa case, stated that the charge was a "clear concocted
story" which caused great damage to the accused. When
a case for damages was filed by the accused against the
complainant in the estafa case, the judge voluntary
inhibited himself. The Supreme Court stated. that the
judge's inhibition reinforced public faith in the impartial
administration of justice.
In Gutierrez vs. Santos (1961) a judge's act of recusing
himself from presiding over a case was upheld by the
Supreme Court. While in private practice, the judge had
expressed an opinion concerning an issue that would
unduly benefit one of the parties. However, the Supreme
Court has recently held that judges and justices are not
disqualified from participating in a case simply because
they have written legal articles on the law involved in the
case [Chavez v. Public Estates Authority, G.R. No. 133250
(2003)]
In the old Cold of Judicial Conduct: 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. [Rule 3.07]
Judge informing parties of weakness of one's case
evidences partiality ·
When a judge, in the secrecy of his chambers, informs the
parties of the weakness of one's case, such party could no
longer b~ expected to have faith in his partiality. They could
very well conclude that there was prejudgment (Castillo v.
Juan, GR. No. L-39516-17, 1975).
Provisions of the Code of Judicial Conduct relevant to
this Section: ·
Rule 2:02 - A judge shouid not seek publicity for personal
vainglory.
Rule 3.07 - 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.
Section 5: VOLUNTARY DISQUALIFICATIONS
Section 5. Judges shall disqualify themselves from
participating in any proceedings in which they are unable
to decide the matter impartially or in which it may appear
to a reasonable observer that they are unable to decide the
matter impartially. Such proceedings include, but are not
limited to, instances where: (PL-EE-RR-F)
1. The judge has actual bias or prejudice concerning a
party or f ersonal knowledge of disputed evidentiary
facts concerning the proceedings;
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c> 2. The judge previously served as a ,bawyer or was.a
material witness in the matter in controversy;
( 3. The judge, or a member of his or her family, has an
gconomic interest in the outcome of the matter in
controversy;
4. The judge served as .5xecutor, administrator, guardian:
trustee or lawyer in the case or matter in controversy,
or a former associate of the judge served as counsel
during their association. or the judge or lawyer was a
material witness therein;
5. The judge's ,Buling in a lower court is the subject of
review;
6. The judge is Belated by consanguinity or affinity to a
party litigant within the sixth civil degree or to counsel
within the fourth civil degree; or
7. The judge knows that his or her spouse or child has a
financial interest, as heir, legatee, creditor, fiduciary, or
otherwise, in the subject matter in controversy or in a
party to the proceeding, or any other interest that could
be substantially affected by the outcome of the
proceedings.
Rule 137, Section 1. Disqualification of judges. - No
judge or judicial officer shall sit in any case in vvhich he, or
his wife or child, is pecuniarily interested as heir, legatee,
creditor or otherwise, or in vlhich he is related to either
.r
party within the sixth degree of consanguinity or affinity, or,
to counsel within the fourth degree, computed according to
the rules of the civil law, or in which he has been executor,
administrator, guardian, trustee or counsel, or in which l,e
has presided in any inferior court when his ruling or
decision is the subject of review, without the written
consent of ali parties in interest, signed by them and
entered upon the record.
A judge may, in the exercise of his sound discretion,
disqualify himself from sitting in a case, for just or valid
reasons other than those mentioned above.
Compulsory Inhibition
The first paragraph is the rule on mandatory
disqualification. enumerates the grounds under which the
judge is disqualified. The doctrine now is that the legal
grounds are exclusive.
Voluntary Inhibition
The second paragraph is the rule on voluntary inhibition. It
does not enumerate the grounds but mere!y provides a
policy-oriented ground for disqualification.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Exception to Compulsory Inhibition
Remittal of disqualiticatioa or disclosure on the part of the
judge and the subsequent agreement by the parties that
inhibition is not necessary. (Section 6, Canon 3, New Code
of Judicial Conduct). Waiver will not constitute an
exception.
Rationale
No judge should preside in a case which he is not whoily
free, disinterested, impartial and independent. Courts
should scrupulously protect the rights of litigants in this
regard (Urbanes v. CA, G.R. 111964, 2001).
Actual Bias or Prejudice
Regarding actual bias, there must be convincing proof to
show that he or she is biased and partial (Solidbank v. Del
Monte Motor Works, G.R. No. 143338, 2005; Wong Jan
Realty v. Espanol, A.M. No. RTJ-01-1647, 2005).For bias
and prejudice to be a ground for disqualification, it must be
shown to have stemmed from an extrajudicial source, and
result in an opinion on the merits on some basis other than
what the judge learned from his participation in the case
(Aleria, Jr. v. Velez, G.R. No. 127400, 1998).
Regarding personal knowledge, a judge is supposed to
exercise his duties with objectivity (Castillo v. Juan, G.R.
Nos. L-39516-17, 1975). If he has personal knowledge, he
loses objectivity. When the judge however, inhibits himself,
he may be presented as a witness.
The petition to disqualify a judge must be filed before
rendition of judgment, and cannot be raised on appeal
(Government v. Heirs of Abella, G.R. No. 25009, 1926).
Fraternizing with Litigants
Fraternizing with litigants belies impartiality. It is improper
for a judge to meet privately with the accused without the
presence of the complainant (De Guzman, Jr. v. Sison
(2001)].
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 3.12 - A judge should take no part in a proceeding
where the judge's impartiality might reasonably be
questioned.
Rule on Inhibition for Judge's Classmate or Fraternity
Brother
A judge should not be disqualified because he was a
classmate (or a co-member in a fraternity) of one of the
counsels absent proof that such relationship results in
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actual bias or prejudice. To allow disqualification would
unnecessarily burden other trial judges to whom the case
will be assigned. Confusion would result, because a judge
would then be barred from sitting in a case whenever one
of his former classmates (and he could have many)
appeared. [Masadao and Elizaga, cited in Lex Pareto
(2014))
Section 6 : Permittal of Disqualification
Section 6. 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
the inhibition is immaterial or unsubstantial, lhe judge may
then participate in the proceeding. The agreement, signed
by all parties and lawyers, shall be incorporated in the
record of the proceedings.
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 3.13 - 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
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 proceeding.
Requisites for Decision to Continue Hearing Cases
The decision to continue hearing the case, despite the
existence of reasons for disqualification should be: (1)
coupled with a bona fide disclosure to the parties-in-
litigation, and (2) subject to express acceptance by all the
parties of the cited reason as not material or substantial;
absent these two, the judge may not be permitted lo
continue hearing the case. The basis of the disqualification
should be disclosed, not mere "personal reasons" [ABA
(2007)].
Notice of Inhibition
The Court held that there is nothing in Rule V or in any
other part of the Internal Rules of the Court of Appeals that
specifically requires that the party-litigants be informed of
the mandatory or voluntary inhibition of a Justice.
However, the Court held that henceforth all the parties in
any acticn or proceedings should be immediately notified
of any mandatory disquaiification or voluntary inhibition of
the Justice who has participated in any action of the court,
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
stating the reason for the mandatory disqualification or
•
voluntary inhibition. The requirement of notice is, a
measure to ensure thal the disqualification or inhibition has
not been resorted to in order to cause injustice to or to
prejudice any party or cause [Re: Letters of Judge Eduardo
(2014)).
4. PROPRIETY
CANON 4. Propriety and the appearance of propriety are
essential to the performance of all the activities of a judge.
Propriety
Propriety is the conformity to prevailing customs and
usage.
Section 1: AVOIDANCE OF IMPROPRIETY
Section 1. Judges shall avoid impropriety and the
appearance of impropriety in all of their activities.
Acts that are Not Per Se Improper
In prohibiting impropriety and the appearance of
impropriety, the Code recognizes that even acts that are
not per se improper can nevertheless be perceived by the
larger community as precisely that [ABA (2007)).This is so
because the community holds judges to higher standards
of integrity and ethical conduct than attorneys and other
persons not invested with public trust. [Oca v. Estacion Jr.,
A.M. No. RTJ-87-104 (1995))
Judge should b,;
free from any appearance of
impropriety both in his public and private life
A judge's official conduct should be free from any
appearance of impropriety; and his personal behavior, not
only in the bench and in the performance of his duties, but
also in his everyday life, should be beyond reproach (Office
of the Court Administrator v. Duque, A.M. P-05-1958,
2005).
Instances when Court found Acts of Judge Improper
The Philippine courts have also acknowledged the
irrelevance of the judge's perception of impropriety (Vidal
v. Dojilo (2005)J. Thus, acts of judges which are not illegal
may still violate the Code:
Hearing cases on the day when the judge was supposed
to be on official leave [Re: Anonymous Complaint Against
Acuna (2005)];
1. Hearing a motion while on vacation in the judge's room
dressed in a polo jacket [Ignacio v. Valenzuela (1982)1;
2. Coming out of a hotel together with a subordinate, even
when there is no clear evidence of sexual congress
[Liwanag v. Lustre (1999)];
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n 3. Making a joking remark to a litigant suggesting for the
latter to prove that he harbored no ill feelings toward
the judge [Co v. Plata (2005)];
4. Admonishing the bride and the groom, after conducting
a marriage ceremony, to sexually satisfy each other so
that they will not go astray [Hadap v. Lee (1982)].
Provision of the Canons of Judicial Ethics relevant to
this Section:
Canon 3. Avoidance of appearance of impropriety. A
judge's official conduct should be free from the appearance
of impropriety, and his personal behavior, not only upon
the bench and in the performance of judicial ethics, but
also in his everyday life, should be beyond reproach.
Section 2: ACCEPTANCE OF PERSONAL
f...
RESTRICTIONS
Section. 2. 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.
Acts of Judges must Conform with the Dignity of the
Judicial Office
As judges are occupying exalted positions, they must
exercise some restraint freely and willingly to prevent
unnecessary criticisms of condemnations (Padilla v.
Zantua, A.M. No. MTJ-93-88, 1994). Avoidance of
improprieties, which require some personal sacrifices, is
essential for judges because in the end, if their
dispensation of justice is perceived fair and acceptable,
they contribute a lot to the maintenance of peace and order
in the community.
As subjects of constant public scrutiny, personal
restrictions should be accepted
,. As subjects of constant public scrutiny, personal
restrictions that might be viewed as burdensome by the
ordinary citizen should be freely and wl!lingly accepted by
a judge. !n particular, he or she must exhibit conduct that
is consistent with the dignity of the judicial office, Dignified
conduct is best described as conduct befitting men and
women possessed of temperance and respect for the law
and for others.
Indeed, a judge's personal behavior, not only while in the
performance of official duties, must be beyond reproach,
being the visible personification of law and of justice [Re:
Anonymous Complaint Against Acu/ia (2005)].
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Section 3: AVOIDANCE OF CONTROVERSY
•
Section 3. 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.
Judges must be mindful to avoid contro ..,ersy
A judge is commanded at all times to be mindful of the
demand of a dispassionate and impartial arbiter expected
at all times to be a "cerebral man who deliberately holds in
check the tug and pull of purely personal preferences
which he shares with his fellow mortals." [Oca v.
Paderanga (2005)). Judges should refrain from inviting
counsel for one side into their chambers after or prior to
sessions in court without disclosing to the other counsel
the reason for such meetings, [Martinez v. Girone/la
(1975)); being aggressive in demeanor towards a lawyer
appearing before them. [Royeca v. Aminas (1976)]; and
making public comments, or allowing court. staff to make
comments, on pending cases [Geotina v Gonzales (1971)].
Fraternizing with lawyers
Constant company (or fraternizing] with a lawyer tends to
breeds a dangerous intimacy, that might lead in the future
to the judge's inability to refuse to the lawyer's favors.
Morover, the actuation of a judge of eating .ar-.d drinking in
public places with a lawyer who has pending cases in h_is
sala may well arouse suspicion in the pu(llic mind, thus
tepding to erode the trust of the litigants in ~e impartiality
of the judge [Padilla v. Zantua (1994)].
Section 4: NOT PARTICIPATE IN CASES WHERE HE
MAY BE IMPARTIAL
Section 4. 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 where he is not wholly free, disinterested,
impartial and independent. A judge has both the duty of
rendering a just decision. and the duty of doing it in a
manner completely free from suspicion as to fairness and
integrity. The purpose is to preserve the people's faith and
confidence in the courts of Justice. [ABA (2007)].
When a member of the judge's family represents a litigant,
he must disqualify himself.
Judge's Family
A member cf the Judge's family include: (SC2-RC)
1. Spouse
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2. ~hildren
3. ~hildren-in-law
4. Any ,Belative within the 5th civil degree, whether by
affinity or consanguinity
5. ~ompanion or employee of the judge who lives in his
household
Relatives deemed covered: (A-ICU)
1. Adopted Child
2. Recognized !!legitimate child
3. First and second ~ousins by blood, and first and
second cousins-in-law
4. ,Uncles, aunts, nephews and nieces; grandnephews
and grandnieces
When any one of the relatives of the judge will represent a
litigant in the case pending before him, the judge must
consider inhibiting himself, so that the confidence of the
people in the judiciary may not erode ( Garcia v. Burgos,
G.R. No. 124130, 1998). Even if the relative is not a
representative of a litigant, the judge must still disqualify
himself if a relative is associated in any manner with the
case (Austria v. Masaguel, G.R. No. L-22536, 1967).
Provision of the Canons of Judicial Ethics relevant to
this Section:
Rule 3.12 - A judge should take no part in a proceeding
where the judge's impartiality might reasonably be
questioned. These cases include among others,
proceedings where: (PERRF)
1. The judge has f ersonal knowledge of disputed
evidentiary facts concerning the proceeding;
2. The judge served as gxecutor, 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;
3. The judge's Ruling in a lower court is the subject of
review;
4. The judge is Belated by consanguinity or affinity to a
party litigant within the sixth degree or to counsel within
the fourth degree;
5. 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, or 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.
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
Section 5: NOT ALLOW THE USE OF HIS RESIDENCE
BY OTHER LAWYERS
•
Section. 5. 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.
Judge receiving litigants in his home is improper
By entertaining a litigant in his home and receiving benefits
given by said litigant, respondent judge miserably failed to
live up to the standards of judicial conduct (J. King and
Sons v. Hontanosas, Jr., A.M. No. RTJ-03-1802, 2004).
Section 6: FREEDOM OF EXPRESSION
Section 6. 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.
Judges do not lose their rights as citizens when they
perform Judicial Roles
When a lawyer is appointed as a judge, he does not lose
any of his fundamental rights and freedoms guaranteed
under the Constitution. However, in the exercise thereof,
there are restrictions which they must uphold and respect
{Lorenzana v. Austria, A.M. No. RTJ-09-2200, April 2014).
Judges do not 'disrobe' themselves of their Judicial
Office
While judges are not expected to live a hermit-like
existence or cease functioning as citizens of the Republic,
they should remember that they must not disrobe
themselves of their judicial office upon leaving their salas.
In the exercise of their civil liberties, judges should be
circumspect and mindful of their continuing commitment to
uphold the judiciary. Judges must not forget that the values
of the judiciary places upon them implied restraints to their
freedom. In a case, 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 merely exp!ained the mechanics of block voting
to the audience [ABA (2007)).
Provision of the Canon of Judicial Ethics relevant to
this Section:
Canon 27. Partisan politics. While entitled to entertain his
personal view on political questions, and while not required
to surrender his rights or opinions as a citizen, it is
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n inevitable that suspicion of being warped by political bias
will attach to a judge who becomes the active promoterof
the interests of one political party against another.
A Judge should avoid making political speeches,
contributions to party tunds, the public endorsement of
candidates for political office, or participating in party
conventions (Rule 5.10, CJC).
Section 7: BE INFORMED OF HIS FINANCIAL
INTEREST
Section 7. 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.
.(
i. Prohibition imposed on Public Officials
Under Sec. 7(a), RA 6713, public officials and employees
are prohibited from directly or indirectly having any
financial or material interest in any transactionrequiringthe
approval of their office.
l' The Code of Judicial Conduct mandatesthat "a judge shall
refrain from financial and business dealings that tend to
reflect adversely on the court's impartiality, interfere with
,. the proper performance of judicial activities, or increase
involvementwith 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" [ Catbagan v.
Barte (2005)).
When may a judge serve as an Executor?
A judge may only serve as the executor, administrator,
trustee, guardian, or other fiduciary, for the estate, trust, or
person of a member of the immediate family (spouse and
relatives within the 2nd degree of consanguinity),and then
only if such service will not interfere with the proper
performance of judicial duties. (Rule 5.06, Old Code). He
is not allowed to serve as the executor, administrator,
trustee, guardian, or other fiduciary of estates other than
the above. (Bar 2005, 2000, 1999, 1995)
Section 8: INFLUENCE OF JUDICIAL CONDUCT
Section 8. Judges shall not
1. 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,
2. Nor shall they convey or permit others to convey the
impression that anyone is in a special position
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
improperly to influence them in the performance of
•
judicial duties.
•
Two parts of the rule
1. A judge may not use judicial office to advance private
interests.
2. A judge may not give the impressionthat he or she can
be influenced to use the judicial office to advance ,the
private interests of others.
Use of Letterhead
The Court ruled that using the said letterheadand requiri·ng
payment at his office are clearly intended to use the
prestige of his judicial office to advance private interests
(Oktubre v. Velasco (2004)) .
Filing Case in Venue where he was one of the Judges
Another judge who, as creditor, filed a collection case in a
venue where he was one of the trial judges, was severely
censured by the Supreme Court, stating that a sense · of
propriety should have impelled him to desist from filing in
said venue, even when, under the law, he had the choice
of venue. In the eyes of the public, it arouses suspicion,
rightly or wrongly, that advantage is being taken of one's
position (Javier v. De Guzman, Jr. (1990)].
'
Power to exact personal vengeance
Another common violation of this rule is using judicial
power to exact personal vengeance. For example, it ~as
improper when, after a confrontation between a judge's
son and the son's teacher, the judge had the teacher
arrested and arraigned before him. [AmJur; Matter of
Edwards (1995)].
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 2.03 -A judge shall not allow family, social, or other
relationshipsto influencejudicial 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.
Section 9: CONFIDENTIALINFORMATION
Section 9. Confidential information acquired by judges in
their judicial capacity shall not be used or disclosedfor any
other purpose related to their judicial duties.
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Confidential Information
The prohibition to use or disclose confidential information
acquired by the judge in his judicial capacity i5 not
absolute. There is a violation If the purpose of the use or
disclosure is related to their judicial duties. There is no
violation if the purpose is not related to their judicial duties.
(Notice In Re: Production of Court Records and
Documents and the Attendance of Court Officials and
Employees,February 2012).
Releasing Draft Decisions
Releasing a draft decision to a party was considered as a
scheme to extort money from the party, and not a simple
breach of confidentiality of the decision-making process in
the case of Centrum Agri-Business Realty Corp. v.
Katalbas-Moscardon(1995).
Judge Personally Furnishing A Party Copies of Orders
Issued
A judge's act of personally furnishing a party copies of
orders issued, without the same passing through the court
docket, is highly irregular, thus giving rise to the suspicion
that the judge favors one of the parties in the pending case
[ Co v. Calimag (2000)].
Records of Cases
Records of cases are necessarily confidential. To preserve
their integrity and confidentiality, access to such records
ought to be limited only to the judge, the parties, or their
counsel and the appropriate court personnel in charge of
the custody thereof. It is improper to allow a judge's wife,
who is not a court employee, much less the employee
specifically in charge of the custody of said records, to
have access thereto [ Gordon v. Lilagan (2001 )].
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 5.05 - No information acquired in a judicial capacity
shall be sued or disclosed by a judge in any financial
dealing or for any other purpose not related to judicial
activit:es.
Sections 10: EXTRA-JUDICIAL ACTIVITIES OF A
JUDGE
Section 10. Subject to the proper performance of judicial
duties, judges may: (WHO)
1 . Write, lecture, teach and participate in activities
concerning the law, the legal system, the administration
of justice or related matters;
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
- .
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 Qther activities if such activities do not
detract from the dignity of lhe judicial office or otherwise
interfere with the performance of judicial duties.
Article VIII, Section 12 of 1987 Constitution
4. This section should be read in conjunction with Sec. 12,
Article VIII, Constitution, which prohibits members of
the judiciary from being designated to any agency
performing quasi- judicial or administrative functions.
When can judges render assistance?
5. Membership of a judge in a Provincial Committee on
Justice, which discharges administrative functions, will
be in violation of the Constitution. However, the
Supreme Court stated that this does not mean that
judges should adopt monastic insensibility or
unbecoming indifference to such institutions and that
even as non-members, they should render assistance
to help promote the laudable purposes for which they
exist when such assistance may be reasonably
incidental to the fulfillment of their judicial duties (In Re:
Designationof Judge Manzano (1988)].
Judges are allowed to participate in legal academia, if
it does not interfere in the performance of the judge's
Primary Functions
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. However, in dealing with tho
media, 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
court or judge may only provoke negative follow-up reports
and articles [ABA (2007)].
Section 11: PRACTICE OF PROFESSION
Section 11. Judges shall not practice law whilst the holder
of judicial office.
Judges cannot practice the law
The position of a judge is a lifetime duty and responsibility.
It requires preserving dedication to the task. The court
dockets of judges are generally clogged with so many
pending cases. There is no time for judges to pursue
another profession, occupaticn or calling which equally
requires attention, mindfulness, and vigilance. It covers
any activity, in or out of court, which requires the
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application of the law, legal principles, practice or
procedure and calls for legal knowledge, training and
experience (Mercado v. De Vera, A. C. No. 3066, 2001).
Practice of Law
Generally, to engage in their practice is to do any of those
acts which are characteristic of the legal profession (In Re:
David, 93 Phil. 461, 1954).
Limitations of Sec. 10
May participate in legal academia but it should not interfere
in the performance of the judge's primary functions;
Sec. 12, Art. VIII of the 1987 Constitution prohibits judges
from being designated to any agency performing quasi-
judicial or administrative functions
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 5.07 - A judge shall not engage in the private practice
of law. Unless prohibited by the Constitution or law, a judge
may engage in the practice of any other profession
provided that such practice will not conflict or tend to
conflict with judicial functions.
Notarial Work
General rule: Municipal judges may not engage in notarial
work.
Exception: They may do so as notaries public ex-officio,
in which case, they may only notarize documents
connected with the exercise of their official functions. As
such, they may not undertake the preparation and
acknowledgement of private documents, contracts and
other acts of conveyance, which bear no relation to the
performance of their functions as judges.
Exception to the exception: In far-flung municipalities
which have neither lawyers nor notaries public, municipal
judges assigned to those municipalities or circuits may, in
their capacity as notaries public ex-officio, perf orm any act
within the competence of a regular notary public, provided:
1. All notarial fees charged be for the account of the
Government and turned over to the municipal
treasurer; and
2. A certification be made in the notarized documents
attesting to the lack of any lawyer or notary public in
such municipality or circuit [Tabao v. Asis (1996)).
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Section 12: FORMATION Of ASSOCIATIONS
Section 12. Judges may form or join associations of •
judges, or participate in other organizations representing
the interests of judges.
This rule recognizes a 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 [ABA (2007)].
Section 13: GIFTS, REQUESTS AND LOANS
Section 13. 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.
Gift
Refers to a thing or a right of gratuity, or any act of liberality,
in favor of another who accepts it (RA 6713, Sec. 3(c)).
Loan
Covers simple loan and commodatum, as well as
guarantees, financing arrangements or accommodations
intended to ensure its approval (f?A 6713, Sec. 3{e]).
NOTE: Correlate with R.A 3019 (Anti-Graft and Corrupt
Practices Act)
Under Sec. 7(d), RA 6713, prohibits solicitation or
acceptance by public officials and employees, directly or
indirectly, cf any gift, gratuity, favor, entertainment, loan or
anything of monetary 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.
The act of a judge in demanding and receiving money from
a party-litigant before his court constitute serious
misconduct in office. It is this kind of gross and flaunting
misconduct on the part of those who are charged with the
responsibility of administering the law and rendering justice
that so quickly and surely corrodes the respect for law and
the courts without which government cannot continue and
that tears apart the Vt=ry bonds of our polity [Haw Tay v.
Singayao (1987)].
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Provision of the Code of Judicial Conduct relevant to
this Sectioil:
Rule 5.04 - 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.
Section 14 : GI_FTS, REQUESTS, LOANS BY STAFF
Section 14. 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 or to be done or omitted to be done in
connection with their duties or functions.
This Sec. complements the previous Sec. and assures that
what the judge cannot do directly may not be done
indirectly through the use of employees or staff members
[ABA (2007)).
Judge may not accept gifts, bequests, loans or favors
The judge may not directly solicit or accept gifts, bequests,
or loans or favors in consideration of:
(a) Something done
(b) To be done
( c) Omitted to be done
In such a case, the judge is liable for bribery.
Legal Acts of a Judge that violate CJC:
1. Hearing cases on a day when he was supposed to be
on official leave.
2. Hearing a motion while on vacation in his room dressed
in a polo jacket.
3. Photos snowing the judge and his subordinate coming
out of the hotel together were enough to give the
appearance of impropriety.
4. Sitting beside the counsel of his brother in the
courtroom where the latter was involved in an election
case.
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 5.04 - A judge or any immediate member of the family
shall not accept a gift, bequest, factor or loan from anyone
except as may be alfowed by law.
Section 15: PERMISSIBLE TOKENS AND REWARDS
Section 15. 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
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
in the performance of judicial duties or otherwise give rise
to an appearance of partiality.
•
Token Gift
To avoid any misinterpretation, the Section described the
gift as a token gift to indicate thal it is just a symbolic
gesture (Aspiras vs. Ganay A.M. No. RTJ-07-2055, 2009).
General rule: Judges and members of their families are
prohibited from accepting any token, gift, award or benefit.
Exception: Subject to legal requirements like public
disclosure, they may accept gifts provided that it might not
reasonably be perceived as intended to influence judge.
Gifts or Grants from Foreign Governments
As to gifts or grants from foreign governments, Sec. 7(d),
RA 6713 allows:
1. A gift of nominal value tendered and received as a
souvenir or mark of courtesy;
2. A gift in the nature of a scholarship or fellowship grant
or medical treatment; or
3. Travel grants or expenses for travel taking place
entirely outside the Philippine of more than nominal
value if such acceptance is:
1. Appropriate or consistent with the interests of the
Philippines; and
2. Permitted by the head of office, branch or agency
to which he belongs.
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 5.04 -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.
5. EQUALITY
Canon 5. Ensuring equality of treatment to all before the
courts is essential to the due performance of the judicial
office.
This is a new canon absent in the previous codes of judicial
conduct. It expands the measures to promote equality in
conformity with international human rights agreements
[ABA (2007)].
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
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In Provision of the Code of Judicial Conduct relevant to
this Section:
Canon 3. A judge should perform official duties honestly,
and with impartiality and diligence.
Section 1: UNDERSTANDING DIVERSITY IN SOCIETY
Section 1. Judges shall Le 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.
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.
Judges must be able to avoid the infiltration of
preconceptions into their decisions. They 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 [ABA (2007)).
Section 2: NOT TO MANIFEST BIAS OR PREJUDICE
Section 2. Judges shall not, in the performance of judiciai
duties. by words or conduct, manifest bias or prejudice
~ I
towards any person or group on irrelevant grounds.
Manner and Attitude of Judges
In every litigation, perhaps much more so in criminal cases,
the manner and attitude of a trial judge are crucial to
everyone concerned, the offended party, no less than the
accused. 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.
A judge shall show no signs of bias or prejudice toward any
person or persons on irrelevant grounds while in the
performance of his duties. Any display of bias or prejudice
will adversely affect his image of being an impartial judge.
. -
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
Provisions of the Code of Judicial Conduct and Canon
•
of Judicial Ethics relevant to this Section:
Rule 3.07. 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.
Canon 3. Avoidance of appearance of impropriety. A
judge's official conduct should be free from the appearance
of impropriety, and his personal behavior, not only upon
the bench and in the performance of judicial duties, but
also in his everyday life, should be beyond reproach.
Section 3: NOT TO DIFFERENTIATE
Section 3. 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.
Name-Calling is Inappropriate Behavior
The judge, in calling the complainant a greedy and usurer
Chinese woman, and tagging complainant's lawyer as lazy
and negligent while branding her own clerk of court as
equaliy lazy and incompetent, employed language
unbecoming of her own esteemed position ( Cua Shuk Yin
v. Pere/lo, AM No. RTJ-05-1961, 2005).
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 [ABA (2007)].
Section 4: NOT TO INFLUENCE STAFF
Section 4. 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.
Ensure prompt and convenient dispatch of business
Judges should organize their courts to ensure the prompt
and convenient dispatch of business. and must not tolerate
the misconduct by clerks, sheriffs, and other assistants
who are prone to expect favors or special treatment due to
their professional relationship with the judge.
Judges must see to it that their court personnel do not
discriminate aqalnst anyone in respect to the personnel's
performance of their duties, by dispensing special favors
er disclosmq to any unauthorized person any confidential
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information ( Code of Conduct for Court Personnel, Canon
1, Section 3, A.M. No. 03-06-13-SC, 2004) .
•
Section 5: ATTITUDE TO PARTIES APPEARING IN
COURT
Section 5. 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.
Judges' Conduct in Court
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].
Thus, judges have the duty to prevent lawyers from
violating the rights of witnesses. This complements Rule
12.07, Canon 12, which directs that a lawyer shall not
abuse, browbeat or harass a witness nor needlessly
inconveniencehim.
Since judges set the tone and environment of the court
proceedinqs,they should censure lawyers who use sexist
language or inappropriate behavior in court [ABA (2007)
cititJg AmJur; In Re Romano (1999)].
6. COMPETENCEAND DILIGENCE
CANON 6. Competenceand diligence are prerequisitesto
the due performanceof judicial office.
Intelligence
Possession of sufficient learning, ability and skill in a
particular discipline enhanced by actual and sufficient
experience in the field.
A judge must be the embodimentof competence, integrity
and independence,and be studiously careful to avoid the
slightest infraction of the law, lest it be a demoralizing
example to others [OCA v. Gines (1993j].
Provision of the Code of Judicial Conduct relevant to
this Section:
Rule 3.01 - A judge shall be faithful to the law and maintain
professionalcompetence.
Rule 3.08 - A judge should diligentiy discharge
administrative responsibilities, maintain professional
competence in court management, and facilitate the
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
performanceof the administrativefunctionsor other judges
and court personnel.
Section 1 DUTIES TAKE PRECEDENCE
Section 1. The judicial duties of a judge take precedence
over all activities
Primary Duty of Judges: Hearing and Deciding Cases
The primary duty of judges is to hear and decide cases
brought to them for triai and adjudication. As to Judges'
other administrative assignments, including organizing
special events, the respondent judge should only be
reminded that decision making is the primordial and most
importantduty of a memberof the judiciary (Re: Complaint
Against Justice Asuncion of the Court of Appeals, A.M. No.
06-6-8-CA, 518 SCRA 512, 2006).
Provision of the Code of Judicial Conduct relevant to
this Section:
Canon 5. A judge should regulate extra-judicial activities
to minimizethe risk of conflict of social duties.
Rule 5.02 - A judge shall refrain from financial and
business dealing that tend to reflect adversely on the
court's impartiality, interfere with the proper performance
of judicial activities or increaseinvolvementwith lawyersor
persons likely to come before the court. A judge should so
manage investments and other financiai interests as to
minimize the number of cases giving grounds for
disqualifications.
Section 2 : PERFORMADMINISTRATIVEDUTIES
Section 2. Judges shall devote their professionalactivity
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.
Gross Misconduct and Inexcusable Negligence
The loss of not one but eight records is indicativeof gross
misconductand inexcusablenegligence unbecomingof a
judge. For true professionalism in the bench to exist,
judges whose acts demoralize the ethical standards of a
judicial office and whose acts demonstrate unfitness and
unworthinessor the prestige and prerequisitesattached to
the said office must be weeded out (Longboan v. Polig,
A.M. No. 704-RT J, 1990j.
A judge should conduct a periodic review of the archived
cases in his sala (Administrative Order No. 7-a-92). If the
archived cases have remained untouched for several
years, there is gross inefficiency ( Sutiqeo Citizens
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Movement for Good Government v. Coro, A. M. MT J-96-
1099. 1996).
i )
Section 3: MAINTAIN PROFESSIONAL COMPETENCE
Section 3. Judges shall take reasonable steps to maintain
and enhance their knowledge, skills, and personal qualities
necessary for the proper performance of judicial duties,
taking advantage for this purpose of the training and other
facilities which should be made available, under judicial
control, to judges.
Judges are expected to be updated with the
developments of the law and jurisprudence
The maxim "ignorance of the law excuses no one" has
special application to judges (Espiritu v. Javellanos, A.M.
No. MTJ-97-1139, 1997). As advocates of justice and
visible representation of the law, the public expects judges
to be conversant with the developments of law and
jurisprudence and proficient in their application or
interpretation of it (Almonte v. Bien, A.M. No. MT J-04-
1532, 2005).
Having accepted the exalted position of a judge, whereby
he judges his own fellowmen, the judge owes it to the
public who depends on him and to the dignity of the court
he sits in, to be proficient in the law. It has been said that
a judge is a man of learning, who spends tirelessly the
weary hours after midnight acquainting himself with the
g;eat body of traditions and ieaming the law. Although a
judge is nearing retirement he should not relax in his study
of the law and court decisions (Ajeno v. tnseno, AM No.
1098-CFI, 1976). Those who wield that judicial gravel have
the duty to study our laws and their latest wrinkles- they
owe it to the public to be legally knowledgeable for
ignorance of the law is the mainspring of injustice (Bio v.
Valera, AM No. MT J-96-107 4, 1996).
Provision of the Code of Judicial Conduct and Canon
of Judicial Ethics relevant to this Section:
Canon 4. Essential Conduct - He should be temperate,
patient, attentive, impartial, and since he is to administer
the law and apply it to the facts, he should be studious of
the principles of law, diligent in endeavoring to ascertain
the facts (CJE).
Canon 4. - A judge may, with due regard to official duties,
engage in activities to improve the law, the legal system
and the administration of justice (CJC).
Section 4: BE INFORMED ABOUT THE LAW
Section 4. Judges shall keep themselves informed about
relevant developments of lnternationat iaw, including
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
international conventions and other instruments
establishing human rights norms.
•
Subject to the conditions set forth in Sec. 2, Article II and
Sec. 21, Article VII, Constitution, international law, both
customary and conventional, are part of Philippine law.
Gross Ignorance of Law
The Supreme Court held that not only did Judge Bitas
deviate from the requirement of a hearing where there is
an application for bail, he also granted bail to Miralles
without neither conducting a hearing nor a motion for
application for bail. Judge Bitas' acts are not mere
deficiency in prudence, discretion and judgment on his
part, but a patent disregard of well-known rules. When an
error is so gross and patent, such error produces an
inference of bad faith, making the judge liable for gross
ignorance of the law (Jorda v. Bitas, 2014).
Section 5: PROMPT DECISION MAKING
Section 5. Judges shall perform all judicial duties,
including the delivery of reserved decisions. efficiently,
fairly and with reasonable promptness.
Promptness in Admir.istration of Justice
Sec. 1, Rule 124 requires that justice be impartjally
administered without unnecessary delay. This principle
permeates the whole system of judicature, and supports
the legitimacy of the decrees of judicial tribunals. [ABA
(2007)]
A judge should decide cases with dispatch ( Castro v.
Malazo, A.M. No. 1237-CAR, 1980). He should decide
motions of parties without delay (Pernea v. Montecillo,
A.M. No. 631-CFI, 1981), and should be more careful,
punctual and observant in the performance of his functions
(Secretary of Justice v. Bidin, A.M. No. 194-J, 1971 ).
The failure of a judge to decide a case within the period as
specified by the Constitution is inexcusable and constitutes
gross inefficiency (Re: .Judge Tenerife, A.M. No. 94-5-42
MTG, 1996).
Lack of transcript of stenographic notes shall not be a valid
reason to interrupt or suspend the period for deciding the
case, unless the case was previously heard by another
judge, in which case, the deciding judge shall have the full
period of 90 days for the completion of the transcripts
within which to decide the same ( 0/aguer v. Judge
Ampuan, A.M. No. MTJ-10-1769, 2010).
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Provisions of the Code of Judicial Conduct and Canon
of Judic.ial Ethics relevant to this Section:
Canon 6. Promptness - He should be prompt in disposing
of all matters to him, remembering that justice delayed is
often justice denied. (CJE)
Rule 1.02 - A judge should administer justice impartially
and without delay. (CJC)
Rule 3.05 - Ajudge shall dispose of the court's business
promptly and decide cases within the required periods.
(CJC)
Section 6: MAINTAIN ORDER IN PROCEEDINGS
Although a judge is nearing retirement he should not relax
in his study of the law and court decisions. Service in the
judiciary means a continuous study and research on the
law from beginning to end [Ajeno v. lnserto (1976)).
Judges are not, however, 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 not give rise to a charge of
gross ignorance of the law [Cruz v. Iturralde (2003)).

Section 6. Judges shall maintain order and decorum in all

Disciplinary proceedings and crirnlnel actions against
proceedings before the court and be patient, dignified, and
judges are not complementary or suppletory of, nor a
courteous in relation to litigants, witnesses, lawyers, and
substitute for, these judicial remedies, whether ordinary or
others with whom the judge deals in an official capacity.
extraordinary. Resort to and exhaustion of these judicial
Judges shall require similar conduct of legal
remedies are prerequisites for the taking of other
representatives, court staff, and others subject to their
measures against the persons of the judges concerned,
influence, direction or control.
whether of civil, administrative, or criminal nature. It is only
after the available judicial remedies have been exhausted
Provision of the Code of Judicial Conduct and Canon
and the appellate tribunals have spoken with finality that
of Judicial Ethics relevant to this Section:
the door to an inquiry into his criminal, civil. or
Rule 3.03 - A judge shall maintain order and proper administrative liability may be said to have opened, or
decorum in the court. (CJC) closed [Maquiran v. Grageda (2005 )].
Rule 3.04- A judge should be patient,· attentive, and
courteous to 1a~ers1 especially the inexperienced, to -- end of topic --
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. (CJC)
Rule 3.08 - 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. (CJC)
Rule 3.09 - 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. (CJC)

Section 7: NOT TO ENGAGE IN CONDUCT CONTRARY

TO DUTIES
Section 7. Judges sha!I not engage in conduct
incompatible with the diligent discharge of judicial duties.

When a judge accepts his position, he owes it to the dignity

of the court, to the legal profession, and to the public, to
know the very law he is supposed to apply to a given
controversy. Even in the remaining years of his stay in the
judiciary, he should keep abreast with the changes in the
!aw and with the latest decisions and precedents.

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• B. RULE 137: DISQUALIFICATIONS OF
; ' JUSTICES AND JUDGES
1. COMPULSORY OISQUALIFICATiON
Nature of compulsory disqualifications
Compulsory disqualifications are mandatory, and the judge
has no option but to inhibit himself/herself from the case
(Alexander Ortiz v. Judge Ibarra Jaculbe, Jr., A.M. No.
RTJ-04-1833, 2005; Rule 137, ROC).
A judge has the duty to render a just decision, and must do
so in a manner that leaves his reputation for fairness and
integrity completely free from suspicion ( Sergio Del Castillo
v. Manuel Javelona, et al., G.R. No. L-16742, 1962).
Rationale
The rule on compulsory disqualification of a judge to hear
a case rests on the salutary principle that no judge should
preside in a case in which he is not wholly free,
disinterested, impartial and independent, A judge has both
the duty of rendering a just decision and the duty of doing
it in a manner completely free from suspicion as to its
fairness and as to his integrity.
The law conclusively presumes that a judge cannot
objectively or impartially sit in such a case and, for that
reason, prohibits him and strikes at his authority to hear
and decide it, in the absence of written consent of ail
parties concerned. The purpose is to preserve the people's
faith and confidence in the courts' justice [Garcia v. De La
Pena (1994))
Instances
Under the Rules of Court, Rule 137, Sec. 1, no judge or
judicial officer shall sit in any case, without the written
consent of all parties in interest and entered upon the
record, in which: (P6CEP)
1. The judge, judicial officer er his wife or child is
fecuniarily interested in as heir, creditor or
otherwise.
2. The judge or judicial officer is re!ated to either party
within the sixth (21h) degree of consanguinity or affinity.
3. The judge or judicial officer is related to ~ounsel within
the fourth degree of consanguinity or affinity.
4. The judge or judicial officer has previously participated
as the sxecutor, administrator, guardian, trustee or
counsel to ruling or decision subject of review.
5. The judge or judicial officer f reviously participated by
presiding over the case in anv inferior court over the
ruling or decision subject of review.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
May be Waived
•
This disqualification may be waived by the parties-in-
interest, by signing a written waiver and entering the same
upon the record of the court (Rule 137, Sec. 1, ROG).
Failure of Judge to Inhibit
If a judge or judicial officer fails to inhibit himself, the party
objecting to his compatency may file his objection in writing
with the official, staiing the grounds therefor (Rule 137,
Sec. 2, ROG).
The official, after determining the question of his
disqualification, shall act either to withdraw from the case
or proceed with trial. The decision of the official shall be in
writing and filed with the other papers of the case. No
appeal or stay of the official's decision may be taken until
final judgment in the main case.
Instances not Covered by Compulsory
Disqualification
The following are NOT disqualified under Rufe 137, Sec.
1:
That the counsel and judge were classmates (Vda. de
Bonifacio v. BLT. Bus Co., lnc., G.R. No. L-26810, 1970).
That the counsel and judge were associates when the
judge was practicing law (Domingo Austria v. Hon. Antonio
Masaquel, G.R. No. l-22536, 1967).
2. VOLUNTARY DISQUALIFICATION
When Judge may Disqualify Himself
A judicial officer in the exercise of his sound discretion,
may disqualify himself for any other valid cause other than
those stated in the first paragraph of the first paragraph of
Section 1, Rule 137 (Rule 137, Sec. 1, Par. 2, ROC).
There are no expressly enumerated grounds for
voluntary inhibition and such is left to the sound discretion
of the judge (Rodolfo E. Parayno, et. al. v. Hon. lluminado
Meneses, et al, G.R. No. 112684, 1994).
Just and Valid Reasons as Grounds for Inhibition
The basis for voluntary inhibition should be based on just
and valid reasons (Rodolfo E. Parayno, et. al. v. Hon.
Iluminada Meneses, et.al., G.R. No. 112684, 1994)
ascertained by the judge after a "rational and logical
assessment of the circumstances prevailing in the case."
(Antonia Gutang, et al., v. Court of Appeals, et al., G.R. No.
124760, 1998)
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Determination, a case to case basis

C. DISCIPLINEOF MEMBERSOF THE
There is no hard andlast rule in determining when a judge
JUDICIARY
should voluntarily inhibit himself. such must be taken on a
case to case basis. Voluntary inhibition is based on the
MEMBERS OF THE SUPREME COURT
sound discretion and conscience of the judge, a subjective
test that reviewing tribunals will not disturb absent any
showing of manifest arbitrariness or whimsicality as such Who is Subject to Impeachment
judges are in the better posltlon to determine the issue on 1. The President;
inhibition as they deal directly with the parties in their 2. The Vice-President,
courts (Antonia Gutang, et al., v. Court of Appeals, et al., 3. The Members of the Supreme Court,
G.R. No. 124760, 1998). 4. The Members of the Constitutional Commissions
(COA, CSC COMELEC)
A judicial officer may voluntarily inhibit himself on the 5. The Ombudsman
ground of delicadeza when a suggestion is made on record
that he might be induced to favor one party over the other All other public officers and employees may be removed
or with bias or prejudice against a litigant (Antonia Gutang, from office as provided by law, but not by impeachment.
et al., v. Court of Appeals, et al., G.R. No. 124760, 1998). (1987 Const. Art. 11, sec. 2)

People's faith in the courts are not impaired

In such cases, the judge must conduct self-examinaiion
and exercise his discretion in such a way that the people's
faith in the courts are not impaired (Pimentel v. Salonga,
G. R. No. 27934, 1967).
The judge must keep in mind a "salutary norm", that his
actions should not cause a losing party to nurture at the
back of his mind that the judt)e tilted the scales of justice
against him (Pimentel v. Salonga, G. R. No. 27934, 1967).
Cases when bias or prejudlce is unavoidable
While inhibition is not allowed at every instance that a
friend, classmate, associate or patron of a judge appears
before him as a counsel of record, a judge may inhibit
himself on the ground of fear that he is suspected of
surrendering to or succumbing to "utang na loob" to
counsel who recommended him to his post (Query of
Executive Judge Estrella T. Estrada, Regional Trial Court
of Malolos, Bulacan, on the conflicting views of Regional
Trial Court - Judges Masadao and Elizaga RE: Criminal
Case No. 4954-M, AM. No. 87-9-3918-RTC, 1987) - in
extraordinary cases when bias or prejudice is unavoidable
(Basilio Palang v. Hon. Mariano Zosa, G.R. No. L-38229,
August 30, 1974). "Utang na loob", per se, should nut be a
hindrance to the administration of justice or serve to
prevent a judge from doing his duties (Query of Executive
Judge Estrella T. Estrada, Regional Trial Court of Malolos,
Bulacan, on the conflicting views of Regional Trial Court -
Judges Masadao and Elizaga RE: Criminal Case No.
4954-M, A.M. No. 87-9-3918-RTC, 1987).
Grounds for Impeachment
1. Culpable violation of Constitiution
2. Treason
3. Bribery
4. Graft and corruption
5. Other high crimes
6. Betrayal of public trust
The power to initiate impeachment cases rests with the
House while the power to try the same rests with the
Senate.
Impeachment Procedure
Based on Sec. 3, Article VI, Constitution, the steps leading
to impeachment are as follows:
1. A verified complaint for impeachment is filed by a
member of the House or endorsed by him;
2. The complaint is included in the order of business of
the House;
3. The House refers the complaint to the proper
committee;
4. The committee holds a hearing, approves the
resolution calling for impeachment, and submits the
same to the House;
5. The House considers the resolution and votes to
approve it by at least one-third of all its members, which
resolution becomes lhe article of impeachment to be
filed with the Senate when approved; and
6. The Senate tries the public official under the article
[Abad, J., Separate Concurring Opinion, Gutierrez v.
HOR Committee on Justice (2011 )].

-- end of topic -- Quantum of Evidence

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An impeachment proceeding is sui generis; it is neither Senators Respective Secretaries of

pt.:.-ely political nor criminal. Thus, it does not requlre proof Congressman each chamber
beyond reasonable doubt. In the course of the
impeachment trial, the senator-judges expressed differing
views. Some argued that it requires "c!ear and convincing SC Justices Clerk of Court of SC
proof," while some argued that it needs "preponderance of All National Executive Office of President
evidence." officials (cabinet)

The Senate has traditionally ieft the choice cf the Regional and local officials Deputy Ombudsman in
applicable standard of proof to each individual Senator and employees (mayors, respective region
[Black, Impeachment: A Handbook (1974)]. governors)

Disbarment during Incumbency Armed forces officers Office of the President

A public officer who under the Constitution is required to ( colonel or naval captain)
be a Member of the Philippine Bar as a qualification for the
office held by him and who may be removed from office Armed forces officers Deputy Ombudsman in
only by impeachment, cannot be charged with disbarment lower than colonel or naval respective region
during the incumbency of such public officer. captain

Limitation on Criminal Charges Others Civil Service Commission

Further such public officer during his incumbency, cannot

be charged criminally before the Sandiganbayan or any
other court with any offense which carries with it the
penalty of removal from office, or any penalty service of
which would amount to removal from office (In Re First
lndorsement From Honorable Raul M. Gonzalez, A.M. 88-
4-5433, 1~88).
.Iustlces' Dishonesty as Grounds for Impeachment
Justices of the Supreme Court must make their interests
transparent, whether it be in a public or private character.
Dishonesty is a malevolent act that has no place in the
Judiciary (Faelnar v. Palabrica, A.M. No. P-06-2251,
2009).
A Supreme Court Justice can be impeached on the ground
of Culpable Violation of the Constitution and/or Betrayal of
the Public Trust when he/she fails to render an accurate
and complete disclosure to the public of his/her Statement
of Assets, Liabilities, and Net Worth as required under Sec.
17, Art. XI of the 1987 Constitution.
Who must file impeachment complaint? Where must it
be filed?
Sub judice does not apply in impeachment.
The nomination and selection of Francis Jardaleza as
a Supreme Court Justice
Atty. J was nominated to a vacant seat in the SC. During
the JBC deliberations, the Chief Justice manifested that
she was invoking the "unanimity rule" under the JBC Rules,
i.e. when the integrity of the applicant not otherwise
disqualified is questioned, then the affirmative vote of all
the members of the JBC is needed for a favorable
consideration of his nomination. Atty. J garnered enough
votes, but was excluded by the invocation of the unanimity
rule. Atty. J filed a petition for certiorari and mandamus to
compel his inclusion.
Q: Does the SC have jurisdiction?
A: Yes, the SC has supervisory authority over the JBC.
It has the duty to see to it that rules are followed, and may
order the work done or redone. However, the SC cannot
grant mandamus directing the JBC to include Alty. J in the
JBC shortlist because the duty lo nominate is
discretionary.

OFFICER WHERE Q: Is there a valid question on integrity when the

Constitutional officials Ombudsman accusation is based on facts or matters calling for
( Constitutional professional judgment?
Commissions) A: No, a disagreement in legal opinion is normal in the
I' National Elective Officiai legal community. To question one's integrity, there must
be an act linked to the moral character, and not to his
judgment as a professional.
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• Is there a demandable
Q: right.to due process in the
JBC proceedings?
A: Yes. The fact that the proceedings are sui generis and
impressed with discretion does not take away the
applicants' entitlement to due process.
SAMPLE PROBLEM
Q: Atty. J was invited by the JBC to attend a meeting
to explain his side. However, he declined, stating that
he wished to have a sworn statement of the allegations
against him, and to cross examine the Chief Justice in
a public hearing. The JBC convened without Atty. J
and proceeded to decide the nominees in the shortlist
Atty. J claims a violation of due process. Decide.
A: His right to be informed and defend himself was
violated when the JBC failed to inform him of the specific
charges against him, because he was merely asked to
appear in a meeting where he would be, right there and
then, subjected to an inquiry (Jardeleza v. Sereno, G.R.
No. 213181, 2014). . dropped Articles I, IV, V, VI, VII, VIII, leaving only Articles
ETH!CAL LESSONS FROM FORMER CHIEF JUSTICE
CORONA'S IMPEACHMENT
The Supreme Court has consistently reiterated: "public
corjfidence in the judicial system is crucial in its discharge
of funct'.on. It makes all the members of the Judiciary
responsible for upholding this confidence. n ( Sarah Lou
YsmaelArriola and Dan Kevin C. Mandocdoc,Definingthe
· Parametersof Judicial Independenceand Accountabilityin
Light of Chief Justice Corona's Impeachment: An
Examination of the Violation of the New Code of Judicial
Conduct as a Ground for Betrayal of Public Trust, 56
Ateneo Law Journal 772, 2012).
On December 12, 2011, the House of Representatives
voted to impeach Chief Justice Corona. They charged him
with eight articles of impeachment alleging:
1. Betrayal of public trust;
2. Graft and corruption; and
3. Culpable violation of the Constitution.
Articles of Impeachment during the Corona
Impeachment
1. Article I: Partiality and subservience in cases involving
the Arroyo administration;
2. Article II: Failure lo disclose to the public his statement
cf assets and liabilities;
3. Article Ill: Flip-flopping decisions in final and executory
cases, creating excessive entanglement with Former
President Arroyo, and discussing with litigants
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
regarding the cases pending before the Supreme
Court;
4. Article IV: ln-egularities in issuing a quo- ante order
against the House of Representatives in the
impeachment of then Ombudsman Merceditas
Gutierrez;
5. Article V: Gerrymandering in the case of the 16-newly
created cities and promotion of Dinagat into a province;
6. Article VI: Improper investigation in the plagiarism
case of Associate Justice Mariano del Castillo;
7. Article VII: Granting a temporary restraining order to
Former President Arroyo and husband Mike Arroyo
after the Department of Justice prevented them to go
out of the country;
8. Article VIII: Graft and corruption when he failed and
refused to account for the judiciary development fund
and special allowance for the judiciary collections.
?n January 16, 2012, the Senate, sitting as an
impeachment court, began the trial. The prosecution
II and Ill as their grounds for impeachment.
On May 29, 2012, the Senate found Chief Justice Carena
guilty under Article ii of the articles of impeachment for his
failure to declare his true statements of assets, liabilities
and net worth. After 20 senators voted in favor of
impeachment under this ground, the Senate no longer
voted under Article Ill. Three senators voted to acquit
Corona on that ground.
Ethical Aspects of the Corona Impeachment
Former Chief Justice Corona was the first justice of the
Supreme Court to be impeached and convicted.
He was found guilty for culpable violation of the
Constitution and/or betrayal of public trust for not correctly
declaring his statements of assets, liabilities and net worth.
The prosecution alleged that he inaccurately declared his
peso and dollar deports, and real estate properties.
The defense argued that he did not declare his dollar
deposits and peso deposits because of the banking
secrecy and foreign currency deposit !aws. It was also said
that some undeclared assets are also co-mingied rur.ds
that he does not own solely.
Acts done during CJ Corona's impeachment:
1. Atty. Aguirre covered his ears while Senator-judge
Santiago was 'lecturing' the prosecutors.
o Applicable Canons/ Ruies:
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o Canon 11. A lawyer shall observe and maintain
the respect due to the courts and to judicial
officers and should insist on similar conduct by
others. (CPR, Canon 11)
o Canon 7 - A lawyer shall at all times uphold the
integrity and dignity of the legal profession and
support the activities of the integrated bar.
(CPR, Canon 7)
2. Ducat, Jr. v. Villalon Jr. (A.G. No. 3910, 2000): "Public
confidence in law and lawyers may be eroded by the
irresponsible and improper conduct of a member of the
Bar. Thus, every lawyer should act and comport himself
in such a manner that would promote public confidence
in the integrity of the legal profession. Members of the
Bar are expected to always live up to the standards of
the legal profession as embodied in the Code of
Professional Responsibility."
3. Unpreparedness of prosecutors
Examples:
o When questioned by Senator-judge Cayetano
about how the House prepared their Article on
Corona's failure to disclose his Statement of
Assets and Liabilities and Net Worth (SALM) when
in fact they had not seen the SALNs, Prosecutor
Barzaga merely replied that the charges were
merely "based on reports," ( The Chief Justice on
Trial Timeline, GMA News Online) without any
personal knoVv1edge or investigation on their end.
o The prosecution learn presented evidence
consisting of. bank records which they claimed to
have been given by a "small lady" whom they did
not know. (Id.)
o On day 21 of the Trial, Presiding Officer Enrile
scolded the House prosecutors for consistently
failing to prepare their evidence, and instead, to
cover for their shortcomings, seek to avall of the
Court's compulsory processes to fish out evidence.
(Id.)
o Applicable Canons/ Rules ( of the Code of
Professional Responsibility):
o CPR, Canon 18 - A lawyer shall serve his
client with competence and diligence.
o CPR, Rule18.02 - A lawyer shall not handle
any legal matter without adequate preparation.
o CPR, Canon 12 - A lawyer shall exert every
effort and consider il his duty to assist in the
speedy and efficient administration of justice.
o CPR, Rule 12.01 - A lawyer shall not appear
for trial unless he has adequately prepared
himself on the law and the facts of his case.
the evidence he will adduce and the order of
its preferences. He should also be ready with
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
the original documents for comparison with the
copies.
o CPR, Canon 19 - A lawyer shall represent his
client with zeal within the bounds of the law.
o CPR, Rule 19.01 -A lawyer shall employ only
fair and honest means to attain the lawful
objectives of his client and shall not present,
participate in presenting or threaten to present
unfounded criminal charges to obtain an
improper advantage in any case or
proceeding.
ETHICAL LESSONS FROM THE QUO WARRANTO
PROCEEDING AGAINST CJ SERENO, AS A
DISCIPLINARY PROCEEDING
In August 2017, Atty. Larry Gadon filed an impeachment
complaint against Supreme Court Chief Justice Lourdes
Sereno tor culpable violation of the Constitution, high
crimes, and betrayal of public trust. The complaint also
alleged that CJ Sereno failed to make truthful declarations
in her SALM.
Later, in February 2018, quo warranto proceedings were
tiled by the Office of the Solicitor General against Supreme
Court Chief Justice Lourdes Sereno on the ground of
culpable violation of the Constitution alleging:
1. Non-submission of various SALN in the previous years
2. Lack of integrity in holding the highest position in the
Judiciary
3. Sub judice
In response, CJ Sereno filed Motions for Inhibition for the
compulsory inhibition of six Associate Justices: Tijam, De
Castro, Bersamin, Peralta, Martires, and Jardaleza,
alleging they have manifest bias against her, as they have
testified against her in the House of Representatives for
the impeachment complaint.
The Supreme Court granted the petition for quo warranto,
and stated that it is the proper remedy to remove a sitting
Chief Justice. It also denied all motions for inhibition filed
against the 6 Associate Justices.
Note that Justice Perlas-Bernabe submitted a Separate
Opinion, voting to dismiss the petition for quo warranto.
Ethical Aspects of CJ Serena's Quo Warranto
inhibition in the Rules cf Court
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Under the Rules of Court, Rule 137, Section 1, there are
twzo kinds •of inhibition. First is cornpulsow inhibition,
where the judge has no choice provided the presence of a
circumstance in the Rule. The only exception to
compulsory inhibition is where there is written consent of
all the parties-in-interest, signed by them, and entered
upon record. The second is voluntary inhibition, which is
left to the sound discretion of the judge whether to ~it in a
case.
Inhibition in the CJC
Rule 3.12, provides that a judge should not take part in
proceedings where the judge's impartiality rnlqht
reasonably be questioned.
Inhibition of J. Tijam
Found in the Majority
The inhibition of Justice Tijam is anchored on his
statements in the Manila Times Article, and the protest of
wearing a red tie in the Court. The Majority found that a
circumspect reading of the statements reveals that the
manifest intent of the same was only to prod [CJ Sereno]
to observe and respect the constitutional process or
impeachment, and to exemplify the ideal of public
accountability. Moreover, the act of wearing a tie as biased
is baseless. There is no basis to establish the connection
between wearing a piece of clothing and a magistrate's
performance of adjudicatory functions. To the Court,
wearing the tie was merely coincidental absent compelling
proof to the contrary.
Inhibition of J. Leonardo-De Castro
Found in the concurring opinion of the same
The common interest of every incumbent member of the
court is to find the truth in whether or not the [Chief Justice
Sereno] has the integrity to hold the highest position in. the
Judiciary: Her testimony before the House Committee on
Justice was not as a complainant, but as a resource
person. The intention of Justice Leonardo-De Castro is just
to correct the wrong done, and not to rebuke or shame (CJ
Sereno], and to remind her that she should not repeat the
same mistakes as it will not always escape the attention of
the justices.
Inhibition of J. Bersamin
Found in the Majority
Justice Bersamin had said, "Ang Supreme Court ay hindi
po maaaring mag-function kung isa ay dictator." The Court
found that the statement is hypothetical, and a plain
observation on what would the Court be if any of its
members were to act dictatorially. On the act of wearing a
red lie. the Court held that the allegation is baseless,
whether in logic and in law, to establish a connection
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
between a piece of clothing, and a magistrate's
performance of adjudicatory functions.
In Justice Bersamin's own opinion, it was said that feeling
off ended regarding the withdrawal of privilege to make
recommendations to vacant posts in the Judiciary cannot
be equated to bias, as it is a legitimate commentary against
Serena's leadership.
Inhibition of J. Jardaleza
Found in the Opinion of the same
Justice Jardaleza in his opinion, finds that this case falls
under voluntary inhibition. The case is of grave importance,
and it calls for no less than a decision of a full Court.
Nevertheless. he states that his acts complaint of, under
all circumstances, do not negate the degree of objectivity
required of him by the due process dass of the Constitution
as to disqualify him in deciding on this case.
Inhibition of J. Martires
Found in the Majority
It is alleged that Justice Martires had insulted Chief Justice
Sereno during the oral arguments, in saying that she
suffers from some mental or psychological illness because
of her religious beliefs. However, the Court found in the
Majority that such was not the suggestion or insinuation of
Martires. At most, the questions of Martires were
hypothetical in nature, which altogether do not even
constitute an opinion against Sereno.
Inhibition of J. Peralta
Found in the Majority
Justice Peralta's wife is a Court of Appeals Justice,
Associate Justice Fernanda Lampas Peralta. Respondent
in this case alleges that there is bias against her from
Peralta due to his belief that Sereno was the reason behind
the exclusion of Associate Justice Lampas-Peralta from
the list of applications for the position of CA Presiding
Justice. The Court ruled that Peralta's testimony before the
House Committee on Justice contradicts this allegation. It
was established in such hearing that he has already moved
on from the issue, and his testimony is merely to protect
prospective applicants to the Judiciary.
Failure to file SALN as a violation of the Cocie of
Judicial Conduct
The majority opinion of Justice Tijam cites the Code of
Judicial Conduct and 1987 Constitution in placing the
weight of a public official's duty to file SALN. The former
provides that a judge shall make a full financial disclosure
as required by law. Following all of this. the Court found
that Serena's failure to comply with the filing of her SALN
indicates her lack of integrity required to be a member of
the Judiciary.
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Relevant CJC Canon: 2.1. which provides that 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 seen to be done.
Role of the Judicial and Bar Council
The Judicial and Bar Council iis empowered by the
Constitution to provide a shortlist" from which the President
will nominate justices. It was made to insulate the judicial
appointment from partisan politics. Thus, the import of the
shortlist prepared by the JBC is to ensure that only
qualified persons are included since they have passed the
rigorous standards imposed by the Constitutional body.
Blatant disregard and open defiance to the sub judice
rule
The sub judice rule restricts comments and disclosures
pertaining to the judicial proceedings in order to avoid
prejudging the issue, influencing the court, or obstructing
administration of justice. This is for the court to be immune
from every extraneous influence: The Court decided that
Sereno had violated the sub judice rule, as she openly
spoke against the Supreme Court, and for judicial
independence in events in UP Diliman, in the IBP, in the
, l
Ateneo Law School, in the University of San Agustin, in the
, . Fellowship of the Philippine Bar Association, to the media,
among others. - •
LOWER COURT JUDGES AhU JUSTICES OF THE
SANDIGANBAYAN ANO COURT OF APPEALS
Supreme Court has administrative supervision
The Supreme Court shall have administrative supervision
over all courts and the personnel thereof ( 1987
Constitution, art. 8 §6).
SC as the Disciplining Body
The Supreme Court en bane shall have the power to
discipline judges of lower courts. or order their dismissal by
a vote of majority of the Members who actually took part in
the deliberations on the issues in the case and voled
thereon [Sec. 11, Article VIII, Constitution].
General rule: A judge cannot be subjected to liability -
civil, criminal, or administrative - for any his official acts,
not matter how erroneous, as long as he acts in good faith
[Valdez v. Valera (1978)).
Ratio: .o.. judiciai officer, in exercising the authority vested
in him, shall be free to act upon his own convictions.
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
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 [Pabalan v. Guevarra
(1976)).
Tenure
The members of the Supreme Court and judges of lower
courts shall hold office during a good behavior until they
reach the age of seventy years or become incapacitated
to discharge the duties of their office.
Doctrine of Separation of Powers
Article VIII, Section 6 of the 1987 Constitution exclusively
vests in the Supreme Court administrative supervision over
all courts and court personnel, from the Presiding Justice
of the Court of Appeals down to the lowest municipal trial
court clerk. By virtue of this power, it is only the Supreme
Court that can oversee the judges• and court personnel's
compliance with all laws, and take the proper
administrative action against them if they commit any
violation thereof. No other branch of government may
intrude into this power, without running afoul of the doctrine
of separation of powers.
The Ombudsman cannot justify its investigation of
petitioner on the powers granted to it by the Constitution,
fer such a justification not only runs counter to the specific
mandate of the Constitution granting supervisory powers
to the Supreme Court over all courts and their personnel,
but likewise undermines the independence of the judiciary.
Thus, the Ombudsman should first refer the matter of
petitioner's certificates of service to this Court for
determination of whether said certificates reflected the true
status of his pending case load, as the Court has the
necessary records to make such a determination. The
Ombudsman cannot compel this Court, as one of the three
branches of government, to submit its records, or to allow
its personnel to testify on this matter, as suggested by
public respondent Abiera in his affidavit-complaint
(Maceda v. Vasquez, G.R. 102781, 1993).
How disciplinary proceedings are initiated
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 tne verified complaint, supported by affidavits of
persons who have personal knowledge of the facts
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alleged therein or by documents which may
•
substantiate said allegations; or • Reportand Action
3. Upon an anonymous complaint, supported by public
records of indubitable integrity.
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 [ Sec. 1, Rule
140).
Who may institute Disbarmentproceedings
The right to institute disbarment proceedings is not
confined to clients nor is it necessary that the person
complaining suffered injury from the alleged wrongdoing.
The procedural requirement observed in ordinary civil
proceedings that only the real party-in- interest must
initiate the suit does not apply in disbarment cases.
Disbarment proceedings are matters of public interest and
the only basis for the judgment is the proof or failure of
proof of the charges (Figeuros v Jimenez (2014)).
Investigation
Upon the filing of the comment of the respondent or upon
the expiration of the period for such filing, which is ten days
from the date of service to him of the copy of the complaint
[ Sec. 2, Rule 140], the SC shall:
1. Refer the matter to the Office of the Court Administrator
(OCA) for evaluation, report, and recommendation; or
2. Assign the case for investigation, report, and
recommendation to;
(a) A retired member of the Supreme Court, if the
respondent is a justice of the Court of Appeals and
the Sandiganbayan;
(b) A justice of the Court of Appeals, if the respondent
is a judge of a Regional Trial Court or of a special
court of equivalent rank; or
(c) A judge of the Regional Trial Court, if the
respondent is a judge of an inferior court [Sec. 3,
Rule 140).
Hearingand Termination
The investigating justice of judge shall set a day for the
hearing and send notice to the parties. If the respondent
fails to appear, the investigation shall proceed ex parte.
The investigating justice or judge shall terminate the
proceedings:
(a) Within 90 days from the date of its commencement;
or
(b) Within such extension as the Supreme Court may
grant [Sec. 4, Rule 140].
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
Within 30 days from termination, the investigating justice
or judge shall submit to the Supreme Court a report
containing his findings of fact and recommendation,
accompanied by the evidence and pleadings filed by the
parties. Such report sha!! be confidential and shall be. for
the exclusive use of the Supreme Court.
A copy of the decision or resolution of the court shall be
attached to the record of the respondent in the OCA [ Secs.
5 and 12, Rule 140]
The Supreme Court shall take action on the report as the
facts and the law may warrant [ Sec. 6, Rule 140]
Effect of withdrawal or desistance
The actuations of a judge seriously affect the public
interest inasmuch as they involve the administration of
justice. It is for this reason that a motion to withdraw a
complaint will not justify the dismissal of the administrative
case against the judge.
To condition administrative actions upon the will of every
complainant, who may, for one reason or another, condone
a detestable act, is to strip the Supreme Court of its
supervisory power to discipline erring members of the
judiciary [Anguluan v. Taguba (1979)].
.
Complainant's desistance is not an obstacle to the taking
of disciplinary action against a judge if the record reveals
that he had not performed his duties properly [Espayos v.
Lee (1979)].
Automatic conversion of administrative cases to
disciplinary proceedings
Pursuant to AM. No. 02-9-02-SC, administrative cases
against justices of the Court of Appeals and the
Sandiganbayan, judges of regular and special courts, and
court officials who are lawyers, shall also be considered a
disciplinary action against them, if they are based on
grounds which are likewise grounds for the disciplinary
action of members of the bar for:
1. Violation of the Lawyer's Oath;
2. Violation of the Code of Professional Responsibility;
3. Violation of the Canons of Professional Ethics; or
4. Such other forms of breaches of conduct that have
been traditionally recognized as grounds for the
discipline of lawyers.
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The rt2spondent is required to comment on the complaint
and show cause why he should not a'~o be suspended,
disbarred or otherwise disciplinarUy sanctioned as a
member of the bar. Judgment in both respects may be
incorporated in one decision or resolution.
Grounds and corresponding actions (RULE 140, ROC)
Discipline of Judges of Regular and Special Courts
and Justices of the Court of Appeals and the
Sandiganbayan
SEC. 8. Serious charges. - Serious charges include:
a. Bribery, direct or indirect;
b. Dishonesty and violations of the Anti-Graft and
Corrupt Practices Law (R.A. No. 3019);
c. Gross misconduct constituting violations of the
Code of Judicial Conduct;
\ .. · d. Knowingly rendering an unjust judgment or order
as determined by a competent court in an
appropriate proceeding;
e. Conviction of a crime involving moral turpitude;
f. Willful failure to pay a just debt;
g. Borrowing money or property from .lawyers and
fitigants in a case pending before the court;
h. Immorality;
i. Gross ignorance of the law or procedere:
[, Partisan political activities; and
·, I
k. Alcoholism and/or vicious habits.
SEC. 9. Less Serious Charges.- Less serious charges
include:
. a. Undue delay in rendering a decision or order, or in
transmitting the records of a case;
b. Frequently and unjustified absences without leave
or habitual tardiness;
c. Unauthorized practice of law;
d. Violation of Supreme Court rules, directives, and
circuiars;
e. Receiving additional or double compensation
unless specifically authorized by law;
f. Untruthful statements in the certificate of service;
g. Simple Misconduct.
SEC. 10. Light Charges.- Light charges include:
a. Vulgar and unbecoming conduct;
b. Gambling in public;
c. Fraternizing with lawyers and litigants with
pending case/cases in his court; and
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
d. Undue delay in the submission of monthly reports.
SEC. 11. Sanctions. -
A. If the respondent is guilty of a serious charge, 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, 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; or
3. A fine of more than P20,000.00 but not exceeding
P40,000.00
B. If the respondent is guilty of a less serious charge, any
of the following sanctions shall be imposed:
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.
C. If the respondent is guilty of a light charge, any of the
following sanctions shali be imposed:
1.A fine of not less than P1 ,000.00 but not exceeding
P10,000.00 and/or Censure;
2. Reprimand;
3. Censure
4. Admonition with warning.
Cases when a less serious offense becomes a serious
offense (Agpalo, Legal and Judicial Ethics, 708, 718,
2009):
1. Commission of two or more administrative offenses
alleged in the same administrative complaint.
2. Repeated commission of a less serious offense or light
offense.
Procedure for fifing an administrative complaint (Rule
140, ROC):
1. Complaint in writing;
2. Setting forth clearly the facts and circumstances relied
upon;and
3. Sworn to and supported by affidavits and
documents;
4. Service or dismissal;
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(a) If the charge is with merit, a copy will be served
upon the respondent, requiring him to answer
within 1 O days from the date of service.
(b) If not or the answer shows to the satisfaction of the
court that the charges are not meritorious, it will be
dismissed which must followed by an answer within
10 days from date of service.
5. Hearing;
6. Report filed with the Supreme Court of findings
accompanied by evidence and documents.
Malfeasance under the RPC:
1. Knowingly Rendering Unjust Judgment (RPC, art. 204 );
2. Judgment Rendered Through Negligence (RPG, art.
205).
As applied in the Corona Impeachment case
1. Public Trial : Evidence intended to be presented at
trial, even prior to such being admitted to the court,
becomes known to the public and thus creates undue
prejudice in the eyes of the public.
o Examples:
o The prosecution presented to the media that
they were going to expose 45 of Corona's
properties. However, upon questioning, they
later on admitted that they were only going to
present 24, claiming as a defense that the list
of the 45 properties did not come from them,
but from the Land Registration Authority. And
this was said to have been found "revolting" by
the defense.
o It was pointed out by senator-judge Joker
Arroyo that some of the ITRs of CJ Corona,
prier to their presentation at the trial, were
released to press, despite it being a "very
confidential" document. And yet again, the
prosecution denied releasing the said ITRs.
(/d.)
o Applicable Canons/ Rules:
o Rule 18 of the Senate Rules on Impeachment
Trials: The Presiding Officer and the Members of
the Senate shall refrain from making any
comments and disclosures in public pertaining to
the merits of a pending impeachment trial. The
same shall likewise apply to the prosecutors, to
the person impeached, and to thelr respective
counsel and witnesses. ( S. Rules ot Procedure
on Impeachment Trials, Rule 18.)
-· CPR, Canon 13 - A lawyer shail rely upon the
merits cf his cause and refrain from any
impropriety which tends to influence, or gives the
appearance of influ~nclng the court.
LEGAL ANO JUDICIAL ETHICS AND PRACTICAL EXERCISE
o CPR, Rule 13.02 - A iawyer shall not make
public statements in the media regarding a
• pending case tending to arouse public opinion
for, or against a party.
o CPR, Rule 10.03 - A lawyer shall observe the
rules of procedure and shall not misuse them to
defeat the ends of justice. _
2. Conduct of Defense
o "P100 million offer"
o Ai a press conference held by the Defense
team at Club Filipino, the defense team
declared and accused that Malacanang had
tried to influence the senator-judges to vote for
the opening of CJ Corona's dollar account
which was supposedly protected by the
Foreign Currency Deposits Act. And by this he
claimed that allegedly P1 OOmillion were
offered to each senator-judge. (The Chief
Justice on Trial Timeline, GMA NEWS ONL.)
o Applicable Canons/ Rules:
o CPR, Canon 13 - A lawyer sha!I rely upon the
merits of his cause and refrain from any
impropriety which tends to influence, or gives
the appearance of influencing the court.
o CPR, Rule 13.02 - A lawyer shall not make
public statements in the media regarding a
pending case tending to arouse public opinion
for, or against a party.
3. Conduct of Senator-Judges
o Senator Drilon's alleged bias
o Defense counsel Serafin Cuevas raised the
issue on some senator-judges "acting as
prosecutors" in aid of the House prosecutors.
He was referring to Senator Drilon, who on his
own motion actually had a witness recalled for
his own questioning (The Chief Justice on Trial
Timeline, GMA NEWS ONL. ).
o Presiding Officer Enrile said in reply that
"inhibition is personal to each senator" and as
such Drilon cannot be compelled to de so. He
may not also be disqualified as well, since
"Under the Constitution, he is entitled to sit in
all proceedings of the Senate unless he is
removed in accordance with our rules on
ethics." (Only Drilon can decide on inhibition of
fellow senators, PHIL. DAILY INQ).
GUIDELINES JUDICIAL CLEMENCY IN
ADMINISTRATIVE CASES [ Sultan Ali v. Judge
Paca/na, A.M. No. MTJ-031505 (2013)].
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.,..""'I 1. There must be proof of remorse and reformation.
These shall include but should not be limit~d to
certifications or testimonials of the officer(s) or
chapter(s) of the Integrated Bar of the Philippines,
judges or judges associationsand prominentmembers
of the community with proven integrity and probity. A
subsequentfinding of guilt in an administrativecase for
the same or similar misconductwill give rise to a strong.
presumptionof non-reformation;
2. Sufficient time must have lapsed from the impositionof
the penalty to ensure a period of reformation;
3. The age of the person asking for clemency must show .
thal 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 legal scholarship and the development
of the legal system or administrativeand other relevant
skills), as wen as potential for public service;
5. There must be other relevant factors and
circumstancesthat may justify clemency.
SANCTIONS IMPOSED BY THE SUPREME COURT ON
,( ' ERRING MEMBERS OF THE JUDICIARY
, to visit jails and to confer with inmates who have pending
The Supreme Court 'has the mandate to oversee that all
judges and justices of the judiciary comply with the law and
the Rules of Court (1987 Const. art. VIII, sec. 6). All•
complaints again-st such judges or justices are lodged with ·
!
the SupremeCourt (Maceda v. Vasquez, G.R. No. 102781,
1993).
General grounds for administrative charges (Agpalo,
Legal and Judicial Ethics, 686, 2009)
1. Malfeasance - Performanceof some act which ought
'-.
not to be done
2. Misfeasance - Improper performance of some act
which might lawfuUybe done
3. Nonfeasance - Omission of an act which ought to be
performed ( Government Auditing Rules and
Reguiations, GOA Circular No. 91-368, 1991).
General grounds for suspension and dismissal
(Agpalo, Legal and Judicial Ethics, 686-687, 2009, B'h Ed).
1 . Those related to the discharge of the functions of the
office concerned, such as neglect of duty, oppression,
corruption or other forms of rnal-administration,etc.
2. Those not related to, or connected with, the functions
of the office, such as the commissionof a crime.
3. Grounds falling under the first category may be
proceeded against administratively at once, while
LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE
those falling under the second category requires a final
judgment of conviction unless the act committed
constitutes a violation of the Code of Judicial Conduct
(Provincial Board of Zamboanga de! Norte v. Guzman,
G.R. No. L-23523, 1967).
Chargesare classified as serious, less serious and light
charges (Agpalo, Legal and Judicial Ethics, 687, 2009).
Different jurisprudence on the discipline of members
of the Judiciary
Conduct unbecoming of a judge
Section 35 of Rule 138 of the Rules of Court expressly
prohibits sitting judges from engaging in the private
practice of law or giving professional advice to clients.
Thus, a judge cannot sit as co-counsel in an administrative
case even if his co-counsel is his daughter who recently
passed the bar. Section 11, Canon 4 (Propriety), of the
New Code of Judicial Conduct and Rule 5.07 of the Code
of Judicial Conduct reiterate the prohibitionfrom engaging
in the private practice of law or giving professional advice
to clients (Decena v, Ma!anyaonA.M. No. RTJ-10-2217,
2013).
The Supreme Court held that it was improper for a judge
cases before her. The Court has consistently enjoined
judges to avoid not just impropriety in their conduct but
even the mere appearance of impropriety. The
appearanceof bias or prejudicecan be damagingas actuai
bias or prejudice to the public's confidence on the
Judiciary'srole in the administrationof justice (Prosecutors
Casar, et al. v. Soluren, A.M. No. RTJ-12-23.'33. 2012).
In re: the case of Associate Justice Gregory S. Ong
Janet Lim Napoles was charged before the
Sandiganbayanconcerninga controversyinvolving Kevlar
helmets. Justice Ong was accused of gross misconduct,
partiality, corruption and bribery after U1e acquittal. It was
alleged that during the pendency of the Kevlar case,
Justice Ong was the "contact" of Ms. Napoles in the
Sandiganbayan.A news website also showed a photo ot
Justice Ong together with Ms. Napoles, and other people
involved in the Pork Barrel controversy.Justice Ong also
failed to disclosein hls letter to the Chief Justice (sent prior
the administrativeproceedings)that he actuallyvisited Ms.
Napoles, despite his denial that he socialized with her
(A.M. No. SB-14-21-J, 2014).
Q: Is direct evidence of wrongdoing required in an
administrative case for gross misconduct?
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A: No. In administrative proceedings, only substantial

•
evidence is required. Justice Ong's actions during and •
after the pendency of the trial constitutes gross
misconduct, notwithstanding absence of direct evidence of
corruption and bribery.

Q: Justice Ong raised the defensethat he was not the

ponente of the decision acquitting Ms. Napoles.Is his
argumentmeritorious?
A: No, by the mere act of _goingto Ms. Napoles' office,
Justice Ong exposed himself to the suspicion of
partiality. The suspicion of partiality was not abolished,
notwithstanding the fact that the decision was promulgated
as part of a collegial body.

Q: May a judge meet with litigants in pending cases

before him or her?
A: No, such acts are grossly improper and violate Section
1, Canon 4 (Propriety) of the New Code of Judicial
Conduct. A judge must be impartial, and fraternizing with
litigants tarnishes this appearance.

Q: Is the rule on propriety limited to pending or

prospective litigation, and not those which have been
completed?
A: No. It covers all times, because judges must be beyond
reproach and should avoid the mere suggestion of
partiality and impropriety. Because magistrates are under
constant public scrutiny, the termination of a case will not
deter public criticisms for acts which may cast suspicion on
its disposition or resolution.

Q: Is there any !iability for failing to disclose that

Justice Ong met with Ms. Napolesprior to the initiation
of the administrativeproceedings?
A: Yes. These are: being untruthful on crucial matters
amounts to dishonesty, a violation of Canon 3 (Integrity) of
the New Code of Judicial Ethics. Dishonesty, being a grave
offense, carries the extreme penalty of dismissal from the
service with forfeiture of retirement benefits except
accrued leave credits, and with perpetual disqualification
from re-. employment in government service (Re:
Allegations made under oath at the Senate Blue Ribbon
Committee hearing held on September 26, 2013 Against
Associate Justice Gregory S. Ong, Sandiganbayan, A.M.
No. SB-14-21-J, 2014).

-- end of topic --

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() BAR OPERATIONS 2019 LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE

(l·.
• Ill. PRACTICAL EXERCISES
•
1. Preliminary Discussion
2. Demand and Authorization Letters
3. Simple Contracts: Lease and Sale of Realty or Personal Property
4. Special Power of Attorney
5. Verification and Certificate of Non-Forum Shopping
6. Notice of Hearing and Explanation in Motions
7. Judicial Affidavits
8. Notarial Certificates: Jurat and Acknowledgement
9. Motions for Extension of Time, to Dismiss, and to Declare in Default

A. PRELIMINARY DISCUSSION

[Thi.s Section covers the basics of forms in terms of notarial law, as most legal iorms will contain some form of notarial
act.]

1. Notarial Certificate; Defined

"Notarial Certificate" refers to the part of, or attachment to, a notarized instrument or document that is:
1. Completed by the notary public;
2. Bears the notary's signature and seal; and
3. States the facts attested to by the notary public in a particular notarization as provided for by these Rules. (Rule II,
Sec. 8 of 2004 Rules on Notarial Practice)

The notarial certificate shall include the following:

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 IBP membership number, and the professional tax receipt (PTR) number and the
place and date of issuance. (Rule VIII, Sec. 2 of 2004 Rules on Notarial Practice)

2. Form: Notarial Certificate

[Signature of Notary Public]

JOSIAH LEE

'- I

Notary Public for Makati City

Appointment No. 234 until Dec. 31, 2019

87 4 Swallow St., Makati City
Roll No. 12345
IBP No. 225: issued Jan. 2, 2017; IBP Makati Chapter
PTR No. 24; issued Jan. 3, 2017; Makati City

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Memory Aid: (NNoVADARIP) •

•
1. Name
2. Notary Public for Yenue
3. APpointment No.
4. ~ate of expiry
5. Address/Regular Place of Work or Business
6. Boll No.
7. !BP No.
8. fTR No.

Notarial acts executed by a notary public always feature the above notarial certificate. (Rule II, Sec .. 8 of 2004 Rules on
Notarial Practice)

3. Jurat; Defined
"Jurat" refers to an act in which an individual on a single occasion:
1. appears in person before the notary public and presents an instrument or document;
2. is personally known to the notary public or identified by the notary public through competent evidence of identity as
defined by these Rules;
3. signs the instrument or document in the presence of the notary; and
4. takes an oath or affirmation before the notary public as to such instrument or document. (Rule II, Section 6 of 2004 Rules
on Notarial Practice)

4. Form: Jurat
REPUBLIC OF THE PHILIPPiNES )
CITY OF MAKATI ) S.S.

JURAT

Subscribed and sworn to before me, a Notary Public in and for Makati City, affiant exhibiting to me her Passport
issued at DFA Manila and expiring on November 20, 2020, who was identified by me through competent evidence
of identity to be the same person who presented the foregoing instrument, signed the instrument in my presence,
and who took an oath before me as to such instrument.

Witness my hand and sear this 14th day of December 2018.

[INSERT NOT ARIAL CERTIFICATE]

Doc. No._;
Page No. __ ;
Book No._;
I Series of 2019.

5. Oath or Affirmation; Defined

The term "Affirmation" or "Oath" refers to an act in which an individual on a single occasion:
1. appears in person before the notary public;
2. is personaliy known to the notary public or identified by the notary public through competent evidence of identity as
defined by these Rules; and
3. avows unc1er penalty of law to the whole truth of the contents of the instrument or document. (Rule II, Sec. 2 of 2004
Rules en Notarial Practice)
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6. Form: Oath or Affirmation

•
•
REPUBLIC OF THE PHILIPPINES )
CITY OF M.t\KATI ) S.S.

OATH

Sworn to before me this 27th day of June, 2018, in Makati City, Philippines, John Doe exhibiting to me his Passport
issued at DFA Manila and expiring on November 20, 2020, who was identified by me through competent evidence
of identity to be the same person who presented the foregoing instrument and avowed, under penalty of law, to the
I
whole truth of its contents.

Witness my hand and seal ihis 14th day of December 2018.

[INSERT NOT ARIAL CERTIFICATE]

Doc. No._;
Page No._;
Book No._;
·.,, Series of 2019.

7. Copy Certification; Defined

·, "Copy Certification" 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 Wle instrument or document; ·
3. compares the instrument or document with the copy; and
4. determines that the copy is accurate and complete. (Rule II, Section 4 of 2.004 Rules on Notarial Practice)
' .
8. Form: Copy Certification
REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.

COPY CERTIFICATION

This is to certify that I was presented with an instrument entitled "Deed of Sale" which is neither a vital record, a
public record, nor publicly recordable; that I copied the instrument; and that I compared the copied instrument with
the original copy and I hereby certify that the copy is accurate and complete.

[INSERT NOTARIAL CERTIFICATE]

Doc. No. __ ;
Page No. :
Book No._;
Series of 2019.

9. Acknowledgment; Defined
"Acknowledgment" refers to an act in which an individual on a 3ingle occasion:

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1. appears in person before the notary public and presents an integrally complete instrument or document;
•
2. is attested to be personally known to the notary public or identified by the notary public through competent evidence of
identity as defined by these Rules; 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. (Rule II, Sec. 1 of 2004 Rules on Notarial Practice)

An individual must present his or her community tax certificate (CTC) when he or she acknowledges a document before
a notary public. Thus, the CTC number, among other details retailed to such CTC, must be stated in the acknowledgment.
(Local Government Code, Sec. 163)

Documents acknowledged before notary publics ( except last wills and testaments) are considered public documents
under the Rules of Evidence, 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. (Rules of Court, Rule 132, Sec. 30)

10. Form: Acknowledgment

REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.

ACKNOWLEDGMENT

Before me, a Notary Public in and for Makati City, personally appeared John Doe, with CTC No. 213, issued by the
City of Makati on January 10, 2018, exhibiting to me his Passport issued at DFA Manila and expiring on November
20, 2020, who was identified by me through competent evidence of identity to be the same person who presented
the foregoing instrument, and who acknowletiged to me that his signature on the instrument was voluntarily-affixed
by him for the purposes stated therein, and affirmed that such instrument is his free and voluntary act and deed.

This instrument consists of _ pages, including the page whereon this acknowledgment is written, and has been
signed by the parties and their instrumental witnesses on each and every page thereof.
Witness my hand and seal this 13th day of December 2018.

[INSERT NOTARIAL CERTIFICATE]

Doc. No._;
Page No._;
Book No._;
Series of 2019.

11. Competent Evidence of Identity; Defined

The phrase "competent evidence of identity" 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 the signature
of the individual: 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 personaliy knows the individual, or of two credible witnesses neither of whom
is privy to the instrument, document, or transaction who each personaily knows the individual and shows to the
notary public documentary identif:catlon. (Ruie II, Section 12 of 2004 Rules on Notarial Practice)

Examples of Competent Evidence of Identity include. but are not limited to, the following:
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1. Passport
•
2. Driver's license •
3. Professional Regulations Commission ID
4. National Bureau of Investigation clearance
5. Police clearance
6. Postal ID
7. Voter's ID
8. Barangay certification
9. Government Service and Insurance System (GSIS) e-card
10. Social Security System (SSS) card
11. Philhealth card
12. Senior citizen card
13. Overseas Workers Welfare Administration (OWWA) ID
14. OFWID
15. Seaman's book
16. Alien certificate of registration/immigrant certificate of registration
17. Government office ID
18. Certification from the National Council for the Welfare of Disable Persons (NCWDP), Department of Social Welfare
and Development (DSWD) certification. (A.M. No. 02-8-13-SC, 2008j

Note that competent evidence of identity is needed only when the principal requesting that the notary public perform the
notarial act is not personally known to the notary public; if the notary public personally knows the principal, the notary must
say so in the notarized document, instead of providing for the details of the principal's competent evidence of identity. (Rule
II, Secs. 1, 2, 4, 6, 14, 2004 Rules on Notarial Practice)
,.
\ J
B. DEMAND AND AUTHORIZATION LETTERS

,. : 8e·,~i!iiWattfti~iqfil
Those obliged to deliver or to do something incur in delay from the time the obligee judicially or extrajudicially demands
from them the fulfillment of their obligation.

However, the demand by the creditor shall net be necessary in order that delay may exist

( 1 ) When the obligation or the law expressly so declare: or

(2) When from the nature and the circumstances of the obligation it appears that the designation of the time when the thing
is to be delivered or the service is to be rendered was a controlling motive for the establishment of the contract; or

(3) When demand would be useless, as when the obligor has rendered it beyond his power to perform.

In reciprocal obligations, neither party incurs in delay if the other does not comply or is not ready to comply in a proper
manner with what is incumbent upon him. From the moment one of the parties fulfills his obligation, delay by the other
begins. (New Civil Code, Art. 1169)
Unless otherwise stipulated, such action by the lesser shall be commenced only after demand to pay or comply with the
conditions of the lease and to vacate is made upon the lessee, or by serving written notice of such demand upon the person
found on the premises if no person be found thereon, and ttie lessee fails to comply therewith after fifteen (15) days in the
case of land or five (5) days in the case of buildings. (Rules of Court, Rule 70, Sec. 2)

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2. Form: Demand Letter

•
•
[Letterhead]

April 21, 2019

Ms. Anna Karenina
101 Sutherland Tower, Mandaluyong City
Re: [SUBJEcn

Dear Ms. Karenina,

We are writing on behalf of our client, Mrs. Alicia Florrick ("Mrs. Florrick").

Mrs. Florrick has informed us that: [insert summary of basic facts supporting your client's demand/comprising your
client's cause of action].

We wish to inform you that your acts constitute clear violations of [insert applicable laws or regulations violated by
the addressee which give rise to a cause of action in your client's favor].

Accordingly, if Mrs. Florrick does not receive full payment of the sum of P15,000,000.00 within 15 days from your
receipt of this letter, we will be constrained to file all the appropriate civil and criminal actions against you in connection with
the foregoing facts.

We trust that you will give this demand your most urgent attention.

Yours,
Mike Ross

3. Authorization Letter
An authorization letter is a written confirmation of a person's rank, authority or ability to enter into a legally binding contract,
take a specific action, spend a specified sum, or to delegate his or her duties and powers. (Business Dictionary)

4. Form: Authorization Letter

April 21, 2019

THE BRANCH CLERK or- COURT

Regional Trial Court
Branch 143, City of Makati

To the Branch Clerk of Court:

Greetings!

! am Alicia Florrick, plaintiff in Civil Case No. 182-887 pending before this Honorable Court.
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(l
•
This letter serves to introduce my counsel, XXX Law Firm and to authorize its lawyers anc-apprentices, including
'. I
but not limited to Atty. Mike Ross. Atty. Eli Gold, Ms. Anna Karenina, and Ms. Rachel Zane to obtain copies of records
pertaining to the aforementioned case on my behalf.

For clarifications, you may reach me al 09176281727.

Thank you for your kind consideration.

Best regards,

[insert signature]
Alicia Florrick

C. SIMPLE CONTRACTS: LEASE AND SALE

1. General Template
[NAME OF CONTRACT]

KNOW ALL MEN BY THESE PRESENTS:

( This (Name of Contract] ("Agreement") is entered into this [day] day of [Month] [Year] at [Place), between:

r ..
I [FIRST PARTv.] .

and

[SECOND PARTY]

(The First Party and the Second Party are hereinafter collectively referred to as the "Parties")

WI TNESSEl}I: That -

~ ' WHEREAS:

,, A.

B.

c.

NOW, WHEREFORE, premises considered, the Parties hereby agree as follows:

[BODY OF CONTRACT]

;IN WITNESS WHEREOF, the Parties have entered into this Agreement on the day and the year first above written.
I

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By: By: •
•
FIRST PARTY SECOND PARTY

Witnessed by:

[INSERT ACKNOWLEDGMENT]

2. Special Rules for Transactions Involving Real Property

For transactions involving real rights to be enforceable, they must be in writing and subscribed by the parties charged. As
a general rule, evidence of the agreement cannot be received without the writing. (Civil Code, Art. 1403 (2) (e))

A contract involving real rights which is in writing and subscribed by the parties, but is not found in a public instrument, is
valid. Thus, as a general rule, a defective notarization does not affect the validity of a contract. However, the instrument
becomes a private instrument which must be proved following the rules in Sections 20-22 of Rule 132 of the Rules of Court.
(Teoco v. Metrobank, G.R. No. 162333, 2008)

For deeds, conveyances, encumbrances, discharges, powers of attorney and other voluntary instruments involving real
property to be registrable with the Register of Deeds, the Property Registration Decree requires the following:
1. The transaction must t,e contained in a public instrument
2. The instrument must be signed by the person/s executing the same in the presence of at least two witnesses, who
shall likewise sign it,
3. The instrument must be acknowledged to be the free act and deed of the person/s executing the same before a
notary public or other authorized public officer
4. Where the instrument consists of two or more pages, including the page whereon acknowledgment is written, each
page of the copy which is to be registered, except the page where the signatures already appear at the foot of the
instrument, shall be signed on the left margin by the person/s executing the instrument and their witnesses, and all
the pages sealed with the notarial seal, and this fact as well as the number of pages shall be stated in the
acknowledgment.
5. Where the instrument acknowledged relates to a sale, transfer, mortgage or encumbrance of two or more parcels
of land, the r:umber thereof shall likewise be set forth in said acknowledgment. (P. D. 1529, Sec. 112)

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3.A Form: Deed of Sale of Real Property •

•
REPUBLIC OF THE PHILIPPINES )
CITY OF MAKA Tl ) S.S.
DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

This Deed of Absolute Sale ("Deed") is entered into this (day] day of [Month] [Year] at (Place), between:

[FIRST PARTY/SELLER]

and

[SECOND PARTY/BUYER]

(The First Party and the Second Party are hereinafter collectively referred to as the "Parties")

WITNESSETH: That -

WHEREAS:

A. SELLER is the registered owner in fee simple of the property covered by Transfer (or Original) Certificate of Title No.
223, issued by the Register of Deeds of Makati City (the "Property"); and

B.BUYER intends to buy the Property.

NOW, WHEREFORE, premises considered, the Parties hereby agree as follows:

1. SELLER shall SELL, TRANSFER, and CONVEY absolutely and unconditionally to BUYER the Property or certain
parcel(s) of land, together with the buildings and improvements thereon situated in the City of Makati, and more particularly
described as follows:

(Technical Description of property; specify metes and bounds of the property with approximate area thereof, as indicated
on the face of the title)

8. BUYER shall pay for the Property the amount of [INSERT PRICE].
9. The BUYER shall bear all expenses for the execution and registration of this deed of sale.

IN WITNESS WHEREOF, the Parties have entered into thh; Agreement on the day and the year first above written.

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By: By:
•
VENDOR VEN DEE
Note: If the vendor is married, marital consent must
be secured; thus, the Deed must also indicate this.
If vendor is married, then add the following:]

With my consent:

GANDAKHO
Vendor's Wife

Witnessed by:

PNSERTACKNOWLEDGMENn

[Note: If the instrument conveys 2 or more parcels of land, pursuant to the Property Registration Decree, include the
following after the first paraqraph in the acknowledgment]:

This instrument relates to the sale (or mortgage) of 2 parcels of land, and consists of 2 pages including the page on which
this acknowledgment is written, each and ever/ page of which, on the ieft margin, having been signed by LOU GAW and
her witnesses, and sealed with my Notarial seal.

4. Special Rules Concerning the Contract of Lease

For a contract of lease lasting more than a period of one year and transactions involving real rights to be enforceable, they
must be in writing and subscribed by the parties charged. As a general rule, evidence of the agreement cannot be received
without the writing. (Civil Code, fl.rt. 1403 (2) (e))

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5. Form: Contract of Lease

•
REPUBLIC OF THE PHILIPPINES ) •
fc1TY OF MAKATI) S.S.

CONTRACT OF LEASE

KNOW ALL MEN BY THESE PRESENTS:

This Agreement made and entered into at Makati this 7th day of July 2018 by and between DIANA DESIRABLE, of legal
age, married to ASA KA (LESSOR), and resident of Makati City, and ALAN DY. of legal age, single arid resident of Quezon
City (LESSEE), WITNESSETH that:

1. In consideration of a monthly rental of P23,000.00 and the covenants made below, the LESSOR hereby LEASES to the
LESSEE an apartment located at 52 Sorrow Street, Makati City covered by Tax Declaration No. 005 (Makati City Assessor's
Office) for a period of 12 MONTHS from signing of this contract.

2. The LESSEE covenants, as follows:

2.1. To pay the rentals on or before the fifth day of each month, without need of demand at the residence of LESSOR;
2.2. To keep the premises in good and habitable condition, making the necessary repairs and painting inside and outside
the house;
2.3. Not to make major alterations and improvements without the wriiten consent of the LESSOR and in the event of such
unauthorized major alterations and improvements, surrendering ownership over such improvements and alterations to the
LESSOR upon expiration of this lease;

·, IN WITNESS WHEREOF, the parties have signed this contract on the date and the place first mentioned.

DIANA DESIRABLE
Lessor

With my consent:
ASA KA

ALAN DY
Lessee

[INSERT ACKNOWLEDGMENT]

G. Special Rules for Sale of Personal Property

General Rule: An agreement for the sale of goods, chattels. or things in action, at a price not iess than PSOO. must be in
writing, or else it is unenforceable. {Civil Code, A,t. 1403 (2) (d))

Exceptions:
1. If the buyer accepts and receives part of such goods and chattels, or the evidences, or some of them, of such things
in action or pay at the time some part of the purchase money, the contract becomes enforceable.
2. When a sale is made by auction and entry is made by the auctioneer in his sales book, at the time of the sale, of
the amount and kind of property sold, terms of safe, price, names of the purchasers and person on whose account
the sale is made, then the sale is also enforceable. (Civil Coda, Art. 1403 (2j (d))

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7. Form: Deed of Sale of Personal Property

•
REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.
DEED OF SALE OF MOTOR VEHICLE

KNOW ALL MEN BY THESE PRESENTS:

This Deed of Absolute Sale ("Deed") is entered into this [day] day of [Month] [Year] at (Place], between:

[FIRST PARTY/SELLER]

and

[SECOND PARTY/BUYER]

(The First Party and the Second Party are hereinafter collectively referred to as the "Parties")

WITNESSETH: That -

WHEREAS:

A. SELLER is the registered owner in fee simple of the property covered by Transfer (or Original) Certificate of a certain
Motor Vehicle.

B.BUYER intends to huy the Motor Vehicle.

NOW, WHEREFORE, premises considered, the Parties hereby agree as follows:

1. SELLER shall SELL, TRANSFER, and CONVEY absolutely and unconditionally to BUYER the Motor Vehicle, more
particularly described as follows:

[INSERT DESCRIPTION OF VEHICLE, NORMALLY MODEL, MAKE, COLOR, PLATE NUMBER AND REGISTRATION
NO.]

1 O.BUYER shall pay for the Motor Vehicle the amount of [INSERT PRICE].
11.The BUYER shall bear all expenses for the execution and registration of this deed of sale. j
IN WITNESS WHEREOF, the Parties have entered into this Agreement on the day and the year first above writte~

By: By:
VENDOR VEN DEE
Note: If the vendor is married, marital consent must
be secured; thus, the Deed must also indicate this.
If vendor is married, then add the following:]

With my consent:
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Vendor's Wife II •

Witnessed by:

[INSERT ACKNOWLEDGMENT]

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8. Form: Subscription Agreement

•
SUBSCRIPTION AGREEMENT

KNOW ALL MEN BY THESE PRESENTS:

That the undersigned, Juan Dela Cruz, Filipino, and with address at 123 Salcedo Village, Makati City (the "SUBSCRIBER")
hereby subscribes to Five Thousand (5,000) shares of the common capital stock of ABC Corporation (the
"CORPORATION"), a corporation duly organized and existing under the laws of the Philippines, and with address at 123
Rockwell Drive, Makati City, at a subscription price of P100.00 per share, or a total subscription price of PS00,000.00,
payable as follows:

1. 300,000 upon execution of this Agreement;

2. 100,000 on 5th of May 2018;
3. 100,000 on 61h of May, 2019.

Except as otherwise indicated above, subscriptions shall be payable at any time upon call by the Board of Directors of the
CORPORATION. Subscriptions not paid on due date shall be subject to interest at 6% per annum from due date until fully
paid, without prejudice to the right of the CORPORATION to declare the same delinquent in accordance with the Corporation
Code of the Philippines and to ail other rights available to the CORPORATION under the law.

IN WITNESS WHEREOF, the parties have caused these presents to be signed on the 10th of June of 2017, in the City of
.
Maka ti .

CORPORATION: SUBSCRIBER:

ABC Corporation Juan Dela Cruz

TIN 12345 TIN 12345

SIGNED IN THE PRESENCE OF:

(Sgd.) WIT 1

(Sgd.) W!T 2

[INSERT ACKNOWLEDGMENT)

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D. SPECIAL POWER OF ATTORNEY

•
1. Overview
As a general rule, a contract of agency may be oral. However, it must be written when the law requires a specific
form. Specifically, Article 187 4 of the Civil Code provides that the contract of agency must be written for the validity of the
sale of a piece of land or any interest therein. Otherwise, the sale shall be void. A related provision, Article 1878 of the Civil
Code, states that special powers of attorney are necessary to convey real rights over immovable properties. (Yoshizaki v.
Joy Training Center of Aurora, G.R. No. 174978, 2013)

2. Relevant Provisions
When a sale of a piece of land or any interest therein is through an agent, the authority of the latter shall be in writing;
otherwise, the sale shall be void. (Civil Code, Art. 1874)

An agency couched in general terms comprises only acts of administration, even if the principal should state that he
withholds no power or that the agent may execute such acts as he may consider appropriate, or even though the agency
should authorize a general and uniimited management. (Civil Code, Art. 1877)

Special powers of attorney are necessary in the following cases:

(1) To make such payments as are not usually considered as acts of administration;
(2) To effect novations which put an end to obligations already in existence at the time the agency was constituted;
(3) To compromise, to submit questions to arbitration, to renounce the right to appear from a judgment, to waive objections
to the venue of an action or to abandon a prescription already acquired;
(4) To waive any obligation gratuitously;

(
(5) To enter into any contract by which the ownership of an immovable is transmitted or acquired either gratuitously or for
a valuable consideration; '
(6) To make gifts, except customary ones for charity or those made to employees ir. the business managed by the agent;
(7) To loan or borrow money, unless the latter act be urgent and indispensable for the preservation of the things which are
under administration; '
(8) To lease any real property tc another person for more than one year;
(9) To bind the principal to render some service without compensation;
(10) To bind the principal in a contract of partnership;
(11) To obligate the principal as a guarantor or surety;
(12) To create or convey real rights over immovable property;
(13} To accept or repudiate an inheiitance;
(14) To ratify or recognize obligations contracted before the agency;
(15) Any other act of strict dominion. (Civil Cade, Art. 1878)

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JA. Form: Special Power of Attorney for Representation in Actions

•
REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.

SPECIAL POWEROF ATIORNEY

KNOWN ALL. MEN BY THESE PRESENTS:

I, LUNA MADRIGAL, of legal age, Corporate Secretary of AAA Manufacturing Corporation ("AAA"), a corporation
duly organized and existing under Philippine laws, by virtue of this authority given to me pursuant lo a Board Resolution
duly issued by AAA's Board of Directors in its meeting on 19 November 2018, as evidenced by the secretary's certitlcate
attached hereto, do hereby name, constitute and, appoint JANE DOE to be AAA's true and lawful attorney-in-fact in Civil
Case No. 87612 entitled AAA MANUFACTURING CORPORATION v. LOPEZ ("Case"), for and on its behalf to:

(A) Appear for and represent AAA whether at the original or appellate stage, and whether as appellant or
appellee, petitioner or respondent;
(8) Sign, under oath or otherwise, all necessary and appropriate pleadings, motions, verifications,
certifications, papers and documents;
(C) Act as agent and appear on behalf of AAA in the mandatory conciliation, mediation conference, judicial f
dispute resolution, and pre-trial proceedings and all other hearings in the Case, with full power and authority to consider:
(i) The possibiiity of an amicable settlement or of submission to alternative modes of
dispute resoiution;
(ii) The simplification of the issues;
. (iii) The necessity or desirability of amending the pleadings;
• (iv) The possibility of obtaining stipulations or admissions of fact and of documents to
avoid proof;
• (v) The limitation of the number of witnesses;
· (vi) The advisability of a preliminary reference of issues to a commissioner;
(vii) The propriety of rendering judgment on the pleadings, or summary judgment, or of
dismissing the Case should a valid ground therefor be found to exist;
(viii) The advisability or necessity of suspending proceedings; and,
· (ix) Such other matters as may aid in the prompt disposition of this Case.
(D) Negotiate, conclude, enter into, and execute a compromise or amicable settlement of the Case, if
appropriate.

HEREBY GIVING AND GRANTING unto said attorney-in-fact full power and authority whatsoever which may be
necessary or proper to be done in or about the premises, as fully to all intents and purposes as AAA might or could do if
personally present, with power of substitution and revocation, and hereby ratifying and confirming all that said attorney-in-
tact shall do or cause to be done and by virtue of these presents.

iN WITNESS WHEREOF, I have hereunto affixed my signature on this 28th day of November 2018 in Makatl City

I
I
I
Luna Madrigal
Principal

pNSERTACKNOWLEDGEMENn

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• 38. Form: Special Power of Attorney for Purchase of Real Property

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

SPECIAL POWER OF ATTORNEY

KNOWN ALL MEN BY THESE PRESENTS:

I, LUNA MADRIGAL. of legal age, Filipino Citizen, with postal address at 123 Rockwell Drive, Makati City,
Philippines. do hereby name, constitute, and appoint mother, ANA MADRIGAL, Filipino citizen with residence and postal
address at 888 Hidalgo Drive, Makati City, Philippines to be my true ar.d lawful attorney-in-fact. for me and in my name,
place, and stead to do and perform all or any of the following:

(A) To purchase real estate property or properties anywhere in the Philippines, in an amount acceptable to
her;
I (8) To sign and/or execute any deed of conveyance to effect the sale of the property in my/our name/s;
(C) To receive all the documents pertinent to the purchase of any property.

HEREBY GIVING AND GRANTING unto said attorney-in-fact full power and authority whatsoever which may be
necessary or proper to be done in or about the premises, as fully to all intents and purposes as I might or could do if
personally present, with power of substitution and revocation, and hereby ratifying and confirming all that said attorney-in-
tact shall do or cause to be done and by virtue of these presents.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this 16th day of September 2018 in Makati City

Luna Madrigal
Principal

[INSERT ACKNOWLEDGEMENT]

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E. VERIFICATION AND CERTIFICATE OF NON-FORUM SHOPPING

•
1. Verification
General Rule: Pleadings need not be verified. (Rules of Court, Rule 7, Sec. 4)

Exception: When explicitly required by law or the Rules of Court. (Rules of Court, Rule 7, Sec. 4)

Some Examples of Verrfied Pleadings:

1. A!ipleadings under the Rules of Summary Procedure (Rules of Summary Procedure, Rule II, Sec. 3 (8))
2. Petition for a notarial commission (2004 Rules on Notarial Practice, Rule Ill, Sec. 2)
3. Petition for Adoption (Rule on Adoption, Domestic Adoption, Sec. 7)
4. As a general rule; pleadings where there is a specific denial under oath of an actionable document (Rules of Court,
Rule 8, Sec. 8)
5. Petition for relief from judgment, order, or other proceedings (Rules of Court, Rule 38, Sec. 1)
6. Petition for relief from denial of appeal (Rules of Court, Rule 38, Sec. 1)

How Done: A pleading is verified by an affidavit that the affiant has read the pleading and that the allegations therein are
true and correct of his personal knowledge or based on authentic records. (Rules of Court, Rule 7, Sec. 4, as amended)

How Not Done: A pleading required to be verified shall be treated as an unsigned pleading when:
1. It contains a verification based on ''information and belief," or upon "knowledge, information and belief," or
2. It lacks a proper verification. (Rules of Court, Rule 7, Sec. 4)

2. Form: Verification (In General)

VERIFICATION

I, Bebot Mariano, of legal age, after having been duly sworn in accordance with law, do hereby depose and state that:
I
1. I am the plaintiff in the pleading entitled "Petition for Relief from Judgment."
2. I have caused its preparation.
3. I have read it and the allegations therein are true and correct based on my personal knowledge or based on
authentic records.

IN WITNESS WHEREOF, I have signed this verification on 19 May 2018.

(Sgd.)
BESOT MARIANO

[INSERT JUR.~T]

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3. Form: Verification (Specific Denial Under Oath of An Actionable Document Under Rule 8, Sec. 8)
.
VERIFICATION

I, YOKO ONO, of legal age, do hereby depose and state that:

4. • I am the defendant in the case filed by PAUL MCCARTNEY for ejectment;

5. In response, I have caused the preparation of this Answer with Counterclaim;
6. I have read its contents and affirm that they are true and correct to the best of my own personal knowledge;
7. I specifically deny the genuineness and due execution as well as the binding effect of the actionable documents
.pleaded by plaintiff;

IN WITNESS WHEREOF, I have signed this verification on 19 May 2018.

(Sgd.)
YOKO ONO

[INSERT JUP~T]

4. Certification Against Forum Shopping

In the certification against forum shopping, the plaintiff or principal party shall certify under oath (1) in the complaint or
other initiatory pleading asserting a claim for relief, or (2) in a sworn certification annexed thereto and simultaneously
filed therewith:
1. That he has not theretofore commenced any action or filed any claim involving the same issues in any court, tribunal
or quasi-judicial agency and. to the best of his knowledge, no such other action or claim is pending therein:
2. "If there is such other pending action or claim, a complete statement of the present status thereof; and
3. ·If he should thereafter learn that the same or similar action or claim has been filed or is pending, he sha!I report that
fact within 5 days therefrom to the court wherein his aforesaid complaint or initiatory pleading has been filed. (Rules
of Court, Rule 7, Sec. 5)

Failure to comply with the foregoing requirements shall

1. NOT be curable by mere amendment of the complaint or other initiatory pleading
2. Shall be cause for the dismissal of the case without prejudice, unless otherwise provided, upon motion and after
hearing. (Rules of Court, Rule 7, Sec. 5)

I VERIFICATION CERTIFICATION AGAINST FORUM SHOPPING

~~-~ewro~~rt~l-h-~-i-s_a_f_o-~-~-o-~-fu--c-t-~--n-s-~-n-e_d_b·-~-,t-h_e_w_r_o_~_p_a_rt-~-t-h~~is_a_s_u-~-~~w~fuct

I Does not necessarily render the pleading fatally

defective.
General Rule:
Not curable despite subsequent submission or correction
thereof
The court may order its submission or correction or act
on the pleading if the attending circumstances are such Exception:
that strict compliance with the Rule may be dispensed When there is a need to relax the Rule on the ground of /
with in order that the ends of justice may be served "substantial compliance" or presence of "special
thereby. circumstances or compelling reasons
~~--~..__~~~~~~~~~~~~-~~~-___J
I

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• Executed by the party-pleader General Rule:

• Must be executed by the party-pleader, not by his counsel.

Exception:
If there are reasonable or justifiable reasons, & the party-
I pleader is unable to sign, he must execute
. a Special Power
of Attorney designating his counsel of record to sign on his

I behalf.

{Vda. de Formosa v. Philippine National Bank, G.R. No. 154704, 2011 & Fuji Television Network v. Espiritu, G.R. No.
204944-45, 2014)

General Rule: The certification against forum shopping must be signed by all the plaintiffs or petitioners in a case; otherwise,
those who did not sign will be dropped as parties to the case.

Exception: Under reasonable and justifiable circumstances, when all the plaintiffs or petitioners share a common interest
and invoke a common cause of action or defense, the signature of only one of them in the certification is substantial
compliance with the Rules. One example of such a situation would be co-ownership by family members of a specific
property. (Vda. de Formosa v. Philippine National Bank, G.R. No. t 54704, 2011)

5. Form: Certification Against Forum Shopping

CERTIFICATION AGAINST FORUM SHOPPING

I, Sunny Shine, of legal age, after ha~ing been duly sworn in accordance with law, do hereby depose and state that:

I 1.
2.
I am the plaintiff in the case enktled Shine v. Spine;
I hereby certify that I have not commenced any action or filed any claim involving the same issues before any other
court, tribunal or quasi-judicial agency;
3. To the best of my knowledge, there is no such pending action or claim;
4. If I should learn that a similar action or claim has been filed or is pending, I shall report such fact within 5 days from
the discovery to this Honorable Court.

IN WITNESS WHEREOF, I have signed this certification on 19 May 2018.

(Sgd.)
SUNNY SHINE

[INSERT JURA T]

7. Special Rules Governing Verifications and Certifications Against Forum Shopping of Corporations
General Rule: To validly sign the verification and certificate against forum shopping of a corporation, corporate officers
must attach either the board resolution authorizing them, or the Corporate Secretary's Certificate. (Mid· Pasig Land
Development Co. v. Tab/ante, G.R. No. 162924, 2010j

Exception: Jurisprudence has held that the following officials or employees of the company can sign the verification and
certification without need of a board resolution:
1. The Chairperson of the Board of Directors
2. The President of a corporation
3. The General Manager or Acting General Manager
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4. Personnel Officer
5. An E1nployment Specialist, if what is involved is a labor case. (Fuji Television Network v. Espiritu, G.R. No. 204944-
45, 2014)

8. Form: Verification and Certification Against Forum Shopping of a Corporation

VERIFICATION & CERTIFICATION AGAINSl FORUM SHOPPING

I, Bebot Mariano, of legal age, do hereby state that:

1. I am the Presidentof Bebot Bebot Be Company and in such capacity, caused this Complaint to be prepared;
2. I was authorized by the Board of Directors of Bebot Bebot Be Corporation to file this suit, as evidenced by the
attached board resolution;
3. I have read its contents and affirm that they are true and correct to the best of my own personal knowledge;
4. I hereby certify that there is no other case commenced or pending before any court involving the same parties and
the same issue and that, should I learn of such a case, I shall notify the court within 5 days from my notice.

IN WITNESS WHEREOF, I have signed this instrument on 19 July 2018.

(Sgd.)
BESOT MARIANO

[INSERT JURAT]

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F. NOTICE OF HEARING AND EXPLANATION IN MOTIONS

•
•
1. Definition and General Rules for Notice of Hearing
A request for hearing is a request for the Branch Clerk of Court to include the motion in the calendar for hearing on a
specific date, while a notice of hearing is a notice to opposing counsel of the hearing date requested. {Te, Pleadings,
Petitions, Motions and Other Judicial and Legal Forms, 2007) Except for motions which the court may act upon without
prejudicing the rights of the adverse party, every written motion shall be set for hearing by the applicant (Rules of Court,
Rule 15, Sec.5).

2. The 3-Day and 10-Day Notice Rule

The notice of hearing shall be addressed to all parties concerned, and shall specify the time and date of the hearing which
must not be later than 10 days after the filing of the motion. (Rules of Court, Rule 15, Sec. 5).

Every written motion required to be heard and the notice of the hearing thereof shall be served in such a manner as to
ensure its receipt by the other party at least 3 days before the date of hearing, unless the court for good cause sets the
hearing on shorter notice. (Rules of Court, Rule 15, Sec.4).

3. Special Rules Governing Notice of Hearing Before the Court Of Appeals and Supreme Court
General Rule: Motions before the Court of Appeals and the Supreme Court are not set for hearing; hence, a notice of
hearing is generally not filed before these courts .. (Rules of Court, Rule 49, Sec. 3 & Rule 56, Sec. 2)

Exception: Before the Court of Appeals and the Supreme Court, oral arguments on motions are only set for hearing when
the court so directs. (Rules of Court, Rule 49, Sec. 3 & Rule 56, Sec. 2j

4. Form: Notice of Hearing

REQUEST FOR & NOTICE OF HEARING

THE BRANCH CLERK OF COURT

· Regional Trial Court
Branch 1, Makati City

Please submit the foregoing Motion to the Court for its consideration and approval immediately upon receipt hereof and
kindly include the same in the court's calendar for hearing on Friday, 17 March 2018 at 8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

ATTY. MIKE ROSS

Counsel fer the Plaintiff
1 Rockwell Drive
iMakali City
I

Please take notice that counsel has requested to be heard on Friday, 17 March 2018 at 8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant
.A.&A Firm
Hidalgo Drive, Makati City
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'; 5. Explanations in Motions

•
An explanation is required only when a pleading or motion is served and/or filed other than by personal service or filing.
(Rules of Court, Rule 13, Sec. 11)

An affidavit of service or filing is required only when a pleading or motion is served and/or filed other than by personal
service or filing. (Rules of Court, Rule 13, Sec. 12 & 13).

Whenever practicable, the service and filing of pleadings and other papers shall be done personally. Except with respect to
papers emanating from the court, a resort to other modes must be accompanied by a written explanation why the service
or filing was not done personally. A violation of this Rule may be cause to consider the paper as not filed. (Solar Team
Entertainment v. Ricafort, GR No. 132007, August 5, 1998)

6. Form: Explanations in Motions

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY, BRANCH 143

Will Gardner,
Plaintiff,
- versus - Civil Case No. 18-143
For: Damages
Peter Florrick,
I Defendant.
x------------------------------ . ---------- x
MOTION TO DISMISS

[INSERT RELEVANT PORTIONS]

Notice of Hearing and

Copies furnished:

Atty. XYZ [BY REGISTERED MAIL]

Counsel for the Plaintiff
[Insert address)

• Branch Clerk of Court [BY HAND]

I Regional Trial Court of Makati City,
Branch 143

Gentlemen:

The undersigned will submit the foregoing Motion to Dismiss for the consideration and approval of the Honorable
CoL1rt on [Date] at [Time].

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[Insert name]
•
•
EXPLANATION

This motion will be served on Plaintiff's counsel by registered mail due to lack of time and the distance between his
office and the office of the undersigned.

[Insert name]

[Note: The second paragraph in the Prayer must be excluded when questioning the court's jurisdiction.]

G. JUDICIAL AFFIDAVIT

1. Definition of Affidavit
It is a sworn statement in writing sworn before a notary or other officers entitled to administer oaths. (Suare, Legal Forms)

2. Form: Basic Template for AH Affidavits

[Note: This provided template is the standard for all forms of affidavits.]
'REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.

AFFIDAVIT

I, [name], of legal age'with address at [address], after beil1g sworn in accordance with law, do hereby depose and
state that:

1. [Insert recital of facts attested to or affirmed in the affidavit. Note that these "facts" should be based on the affiant's
personal knowledge.]

2. [xx x]

3. [xx x 1

I have nothing further to say at this time.

IN WiTNESS WHEREOF. I have affixed my signature on this [date] in the (place].

[Name and Signature of Affiant]

[INSERT JURAT]
J
1.-----=--------'--

Memory Aid: (VenTPORSJ) (+ Notarial Certificate)

Venue
Title
Party/ies
Oath
Recitals (which must be based on personal knowledge)
Signature
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Jurat
•
3. Judicial Affidavit Rule (A.M. No. 12-8·8-SC)
Section 1. Scope. - (a) This Rule shall apply to all actions, proceedings, and incidents requi!ing the reception of evidence
before:

(1) The Metropolitan Trial Courts, the Municipal Trial Courts in Cities, the Municipal Trial Courts, the Municipal Circuit Trial
Courts, and the Shari' a Circuit Courts but shall not apply to small claims cases under A.M. 08-8-7-SC;

(2) The Regional Trial Courts and the Shari'a District Courts;

(3) The Sandiganbayan. the Court of Tax Appeals, the Court of Appeals, and the Shari'a Appellate Courts;

(4) The investigating officers and bodies authorized by the Supreme Court to receive evidence, including the Integrated
Bar of the Philippine (IBP); and

(5) The special courts and quasi-judicial bodies, whose rules of procedure are subject to disapproval of the Supreme
Court, insofar as their existing rules of procedure contravene the provisions of this Rule.1

(b) For the purpose of brevity, the above courts, quasi-judicial bodies, or investigating officers shall be uniformly referred
to here as the "court."

Section 2. Submission of Judicial Affidavits and Exhibits in lieu of direct testimonies. - (a) The parties shall file with the
court and serve on the adverse party, personally or by licensed courier service, not later than five days before pre-trial or
preliminary conference or the scheduled hearing with respect to motions and incidents, the following:
I •
(1) The judicial affidavits of their witnesses, which shall take the place of such witnesses' direct testimonies; and

(2) The parties' documentary or object evidence. if any, which shall be attached to the judicial affidavits and marked as
E-xhibits A, B, C, and so on in the case of the complainant or the plaintiff, and as Exhibits 1, 2, 3, and so on in the case of
the respondent or the defendant.

{b) Should a party or a witness desire to keep the original document or object evidence in his possession, he may, after
the same has been identified, marked as exhibit, and authenticated, warrant in his judicial affidavit that the copy or
reproduction attached to suc.h affidavit is a faithful copy or reproduction of that original. In addition, the party or witness
shall bring the original document or object evidence for comparison during the preliminary conterence with the attached
copy, reproduction, or pictures, failing which the latter shall not be admitted.

This is without prejudice to the introduction of secondary evidence in place of the original when allowed by existing rules.

Section 3. Contents of judicial Affidavit. - A judicial affidavit shall be prepared ir. the language known to the witness and, if
not in English or Filipino, accompanied by a translation in English or Filipino, and shall contain the following:

(a) The name, age, residence or business address, and occupation of the witness;

(b) The name and address of the lawyer who conducts or supervises the examination of the witness and the place where
the examination is being held;

(c) A statement that the witness is answering the questions asked of him, fully conscious that he does so under oath, and
that he may face criminal liability for false testimony or perjury;

(d) Quesiions asked of the witness and his corresponding answers. consecutively numbered, that:

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(1) Show the circumstances under which the witness acquired the facts upon which he testifies;

(2) Elicit from him those facts which are relevant to the issues that the case presents; and

(3) Identify the attached documentary and object evidence and establish their authenticity in accordance with the Rules of
Court;

(e) The signature of the witness over his printed name; and

(f) A jurat with the signature of the notary public who administers the oath or an officer who is authorized by law to
administer the same.

Section 4. Sworn attestation of the lawyer. - (a) The judicial affidavit shall contain a sworn attestation at the end, executed
by the lawyer who conducted or supervised the examination of the witness, to the effect that:

(1) He faithfully recorded or caused to be recorded the questions he asked and the corresponding answers that the
witness gave; and

(2) Neither he nor any other person then present or assisting him coached the witness regarding the latter's answers.

(b) A false attestation shall subject the lawyer mentioned to disciplinary action, including disbarment.

Section 9. Application of rule to criminal actions. - (a) This rule shall apply to all criminal actions:

( 1) Where the maximum of lhe imposable penalty does not exceed six y~ars;

(2) Where the accused agrees to the use of judicial affidavits, irrespective of the penalty involved; or
.
(3) With respect to the civil asp~ci of the actions, whatever the penalties involved are.

(b) The prosecution shall submit the judicial affidavits of its witnesses not later than five days before the pre-trial, serving
copies if the same upon the accused. The complainant or public prosecutor shall attach to the affidavits such
documentary or object evidence as he may have, marking them as Exhibits A, 8, C, and so on. No further judicial affidavit,
documentary, or object evidence shall be admitted at the trial. ·

(c) If the accused desires to be heard on his defense after receipt of the judicial affidavits of the prosecution, he shall have
the option to submit his judicial affidavit as well as those of his witnesses to the court within ten days from receipt of such
affidavits and serve a copy of each on the public and private prosecutor, including his documentary and object evidence
previously marked as Exhibits 1, 2, 3, and so on. These affidavits shall serve as direct testimonies of the accused and his
witnesses when they appear before the court to testify.

4. How questions should be couched

The Judicial Affidavit stands as the witness' direct testimony, and as such must conform to the Rule on Evidence
particularly that questions propounded to a witness must not be leading questions. Generally, questions answerable by
"yes" or "no" are leading questions which should not be included in a Judicial Affidavit. To avoid leading questions, the
questions must be confined to "who", "what", "when", "where", "why", and "how".

NOTE: Parties may execute join judicial affidavits, so long as it is discemable from such whom among the witnesses are
giving which answers.

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5. Form: Judic;ial Affidavit

REPl!iBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL. CAPITAL JUDICIAL REGION
MAKATI CITY, BRANCH 143

Cary Agos,
Plaintiff,
- versus - Civil Case No. 16-228
For: Damages
Kalinda Sharma,
Defendant.

x-----------------------------x
JUDICIAL AFFIDAViT OF CARY AGOS

I, Cary Agos, Filipino, 23 years of age, with residence at 888 Katipunan Avenue, Quezon City, after having
been sworn in accordance with law, hereby respond to the following questions being propounded by Atty. Diane
Lockhart at their office, with full consciousness that my answers are being given under oath and that I may otherwise
face criminal liability for false testimony of perjury.

Offer of Testimony:

The testimony of Mr. Cary Ages is being offered to identify the Contract of Sale entered into between Mr.
Cary Agos a~d Ms. Kalinda Sharma.

Testimony Proper:

1. Q: Please state your name and personal circumstances.

A: I am Cary Agos, Filipino, single, 23 years of age and with residence at 888 Katipunan Avenue,
Quezon City.

2. Q: What is your present occupation?

A: I am an associate at Stern, Lockhart and Gardner.

'3. Q: How did you meet Ms. Kalinda Sharma?

A: We went to law school together.

,4. Q: What took place between you and Ms. Kalinda Sharma?

I A: We entered into a Contract of Sale on June 19. 2018 over 18 units of iPhone Xs.

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5. Q: What was the consideration?

•
•
A: I was to pay P20,000 for each unit.

6. Q: I am showing you a document consisting of one page which has been marked as Exhibit
How is this document related to the Contract of Sale dated June 19, 2018 you mentioned?

A: They are the same.

7. C: When were these iPhone units to be delivered?

A: These were to be delivered after Ms. Kalinda Sharma encashes my cheque.

8. Q: What happened after the encashment of the cheque?

A: Ms. Kalinda Sharma delivered 18 units of iPhone Xs to me, but they were not in working condition.

9. Q: What did you do upon realizing these iPhone X units were not working?

A: I demanded that these units be replaced.

10. Q: .After demanding for replacement, what did Ms. Kalinda Sharma do?

A: She refused to replace them.

11. Q: After her refusal to replace them, what did you do?

A: I asked that my money be returned instead.

12. Q: After asking for the return of your money, what did Ms. Kalinda Sharma do?

A: She refused to return my money.

13. Q: What happened after Ms. Kalinda Sharma's refusal to return your money?

A: I filed this civil case for damages.

IN WiTNESS WHEREOF,! have hereunto set my hand this 261h day of November, 2018 at Makati City.

Cary Agos

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f': • Affiant
SUBSCRIBED AND SWORN to before me this 26th d~y of November 2018 in Makati City, Philippines, Affiant
personally appeared and exhibited to me competent evidence of his identity in the form of his Driver's License issued
on 21 December 2017 valid until 20 June 2019.

Doc. No. _
Page No. _
Book No. _
Series of 2018.

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ATIESTATION •
•
I, [NAME OF LAWYER], with office address at [INSERT ADDRESS] attest under oath that:

1. I faithfully recorded the questions asked and the corresponding answers given by the witness, [ e );

2. I faithfully recorded the questions I asked [ •] and the corresponding answers she gave us; and

3. I, nor any other person present, coached je] regarding her answers.

NAME OF LAVVYER
H. NOTARIAL CERTIFiCATES: JURAT AND ACKNOWLEDGEMENT

Please refer to Part A. Preliminary Discussion.

I. MOTIONS FOR EXTENSION OF TIME, TO DISMISS AND TO DECLARE IN DEFAULT

1. Motions in General

A motion is an application for relief ether than by a pleading. {Rules of Court, Rule 15, Sec. 1)

All motions shall be in writing except those made in open court or in the course of a hearing or trial. (Rules of Court, Rufe
15, Sec. 2)
I
Except for motions which the court may act upon without prejudicing the rights of the adverse party, every written motion
shall be set for hearing by the applicant. (Rules of Court, Rule 15, Sec. 4,)

2. Contents of a Motion

A motion shall state the relief sought to be obtained and the grounds upon which it is based, and if required by these
Rules or necessary to prove facts alleged therein, shall be accompanied by supporting affidavits and other papers. (Rules
of Court, Rule 15, Sec. 3)

Memory aid for motions and pleadings: CapTiBRA-Plus, which stands for:
• Caption
• Title
• Body
• Relief
• Attorney's details (i.e. name, address. contact information, Roll No., IBP Receipt No., PTR No., and MCLE
Compliance or Exemption Certificate No.)
• Plus which, depending on the pleadinq or motion involved, may include one or more of the following:
o A Verification and/or Certification of Non-Forum Shopping;
o Notice of Hearing (for motions)
o Explanation
• An explanation is required only when a pleading/motion is served and/or filed other than by
personal service or filing (Rule 13, Section 11)
0 Proof of Service
• Copy/ies Furnished
• Affidavit of Service/riling - required only when a pleadingimotion is served and/or filed other
than by personal service or filing (Rule 13, Secs. 12 and 13)
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r:
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•
3. Requirements of a Motion •
A motion must:
1. Be in writing, except those made in open court or in the course of a hearing or trial.
2. State the relief sought and the grounds for it.
3. Set for hearing, unless it is a non-litigious motion.
4. Served in such a manner as to ensure receipt by the other party.at least three days before the hearing.
The date of the hearing must not be later than 10 days from the date of the filing of the motion. There must be proof of
service.
5. Contain a notice of hearing specifying the time and date of hearing. (Rules of Court, Rule 15, Secs. 2 to
6)

4. Litigious and Non-Litigious Motions

LITIGIOUS MOTIONS NON-LITIGIOUS MOTIONS

Motion for Reconsideration Motion for Extension of Time to File Answer
Motion to Dismiss Motion for Postponement
Motion to Declare Defendant in Default Motion for Extension of Time to File Record on
Appeal
Motion for Execution Motion to Set Case for Pre-Trial I
The prevailing doctrine in our jurisdiction is that a motion without a notice of hearing addressed to the parties is a mere
scrap of paper. (Neri v. De La Pena, A.M. No. RTJ-05-1896, April 29, 2005)
[
5. Form: Motion for Extension of Time
,.- .

REPUBLIC OF THE PHILIPPINES

SUPREME COURT
MANILA

Will Gardner,
Plaintiff,
- versus - G.R. No. 143143
(CA-G.R. No. 87000;
Civil Case No. 18-143)

Peter Florrick,
Defendant.
x-------------------------------------------x
MOTION FOR EXTENSION OF TIME

Defendant Peter Florrick ("Defendant"), by counsel, respectfully states:

1. On 5 April 2019, Defendant received a copy of the Court of Appeals' Resolution dated 27 March 2019
denying Defendant's Motion for Reconsideration dated 28 November 2018 of the CA's Judgment dated 20 September,
2018 in CA-G.R. No. 87000 entitled Will Gardner v. Peter Florrick, which found Defendant liable for damages in the
amount of P143,000.000.00.

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•
2. Defendant, therefore, has until 20 April 2019 within which to file a Petition for Review en Certiorari of the
CA's Decision.

3. However, undersigned counsel is presently saddled with heavy volume of equally-urgent work and
assignments on other similarly important cases. In addition, there are intervening holidays, from April 18 to 21.

4. Undersigned counsel. therefore. needs additional time to prepare a petition for review on certiorari.

5. Defendant is constrained and respectfully moves that he be granted an additional period of thirty (30)
days from 20 April 2019, or until 20 May 2019, within which to file a petition for review on certiorari.

6. Defendant hereby pays all the required docket and other tees.

7. This motion is not intended for delay but is solely caused by the foregoing considerations.

PRAYER

WHEREFORE, it is respectfully prayed that Defendant be given an additional period of thirty (30) days from 20 April
2019, or until 20 May 2019, within which to file a petition for review on certiorari.

Defendant also respectfully prays for other just and equitable reliefs.
[Venue], [Date],

[Insert firm/lawyer details]

Copies furnished:

Court of Appeals [BY HAND]

Farmer Special Seventeenth Division
Ma. Orosa St., Ermita
1000 Manila City

Atty. Mike Ross [BY HAND]

Counsel for Plaintiff
123 New York, Cubao
Quezon City

[Note: The second paragraph in the Prayer must be excluded when questioning the court's jurisdiction.]

Note: No setting for hearing/noticeof hearing requiredas a Motion for Extensionof Time is non-litigious.

6. Motion to Dismiss

Within the time for but before filing the answer to the complaintor pleadingasserting a claim, a motion to dismiss may be
made on any of the following grounds:

(a) That the court has no jurisdiction over the person of the defendingparty;
(b) That the court has no jurisdiction over the subject matter of the claim;
(c) That venue is improperly laid;
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( d) That the plaintiff has no legal capacity to sue; •

(e) That there is another action pending between the same parties for the same cause:
[
r . (f) That the cause of action is barred by a prior judgment or by the statute of limitations;
(g) That the pleading asserting the claim states no cause of action;
(h) That the claim or demand set forth in the plaintiffs pleading has been paid, waived, abandoned, or otherwise
extinguished;
(i) That the claim on which the action is founded is unenforceable under the provisions of the statute of frauds; and .
0) That a condition precedent for filing the claim has not been complied with. (Rules of Coun, Rule 16, Sec. 1J

7. Form: Motion to Dismiss

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH 143
f

I'
Will Gardner,
i Plaintiff,
- versus - Civil Case No. 18-143
For: Damages
Peter Florrick,
Defendant.
f x-----------------------------------x
(
i..
MOTION TO DISMISS

Peter Florrick ("Defendant"), by counsel, respectfully moves for the dismissal of this case on the following:

Grounds

I. This Honorable Court has no jurisdiction over the subject matter of the claim.
II. The Complaint fails to state a cause of action against the Defendant.

Discussion

I. [Insert First Argument]

II. [Insert Second Argument]

PRAYER

WHEREFORE, Defendant respectfully prays that the Honorable Court DISMISS the Complaint in its entirety
on the grounds stated above.

Defendant also respectfuily prays for other just and equitable reliefs.

[Venue], [Date]!

[Insert firm/lawyer details]f

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Notice of Hearing and

•
! Copies furnished: •
Atty. ABC [BY HAND]
Counsel for the Plaintiff
[Insert address]

Branch Clerk of Court [BY HAND]

Regional Trial Court of Makati City,
Branch 143

Gentlemen:

The undersigned will submit the foregoing Motion to Dismiss for the consideration and approval of the Honorable
Court on [Date] at [Time].

[Insert name]

[Note: The second paragraph in the Prayer must be excluded when questioning the court's jurisdiction.]

8. Motion to Declare in Default

If the defending party fails to answer within the time allowedtherefor, the court shall, upon motion of the claiming party
with notice to the defending party, and proof of such failure, declare the defendingparty in default. Thereupon, the court
shall proceed to renderjudgment granting the claimantsuch relief as his pleading m~y warrant, unless the court in its
discretion requires the claimant to submit evidence.Such receptionof evidencemay be delegated to the clerk of court.
(Rules of Court, Rule 9, Sec. 3)

9. Form: Motion to Declare in Default

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH 143

Will Gardner,
Plaintiff,
- versus - Civil Case No. 18-143
For: Damages
Peter Florrick,
Defendant.
x---------------------------------x
· MOTION TO DECLARE DEFENDANT IN DEFAULT

\Nill Gardner ("Plaintiff"), by counsel and unto this Honorable Court, respectfully moves for Peter F!orrick
(Defendant") to be declared in default. Plaintiff respectfully slates: I
PAGE 162 OF 164
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ATENEO CENTRAL
(l BAR OPERATIONS 2019 LEGAL AND JUDICIAL ETHICS AND PRACTICAL EXERCISE

1. The records of the Honorable Court show that Def~ndant was served with copy of the summons and of thel
complaint on 20 March 2018. •
t·

2. Upon verification, however, the records show that Defendant has failed to file his Answer within the
reglementary period specified by the Rules of Court despite the service of the summons and the complaint.

PRAYER

WHEREFORE, Plaintiff respectfully prays that the Defendant be DECLARED IN DEFAULT pursuant to the
Rules of Court and that the Honorable Court proceed to render judgment as the complaint may warrant.

Defendant also respectfully prays for other just and equitable reliefs.

[Venue), [Date],

( [Insert firm/lawyer details]

Notice of Hearing and
[
Copies furnished:
;

r Atty. XYZ [BY HAND]

Counsel for the Defendant
[Insert address]
f
Branch Clerk of Court (BY HAND]
Regional Trial Court of Makati City,
Branch 143

Gentlemen:

The undersigned will submit the foregoing Motion to Dismiss for the consideration and approval of the Honorable
1Court
on [Date] at [Time].

[Insert name]

[Note: The second paragraph in the Prayer must be excluded when questioning the court's jurisdiction.)
r
L

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