Legal Ethics

No charges involving
moral turpitude filed or
pending in any Phil.
Court

Bar 2011 Notes

Roland Glenn T. Tuazon

Ateneo de Manila University

PRACTICE OF LAW

What is the concept of legal practice?

o A. The practice of law is to give notice or render any kind of
service, which requires the use of any degree of legal
knowledge or skill (Monsod)

It is any activity, in or out of court, which requires

application of the law, legal procedure, knowledge,
training, and experience
o B. It is a privilege granted only to those who possess strict 1)
intellectual and 2) moral qualifications
o C. It is a profession, not a business

In what instances can non-lawyers appear in court?

Before the MTC
As party to the litigation

Agent or friend of a
party in litigation

Requirements:
Admission to the Bar

To become a lawyer

Philippine citizen

Passed Bar exams

Philippine resident

Took oath

At least 21 years old

Registered in roll of
attorneys
Received certificate of
license to practice law
from the clerk of court
of the SC

Complete required
courses

How do you prove GMC and lack of pending charges?

o Produce before the SC satisfactory evidence
o What is moral turpitude?

Everything done contrary to justice, modesty, good

morals; act of baseness, vileness or depravity,
contrary to justice, honesty, modesty, good morals
Who has the power to control and regulate the practice of law?
o The SC
o The legislature cannot contravene this constitutional grant. So
it cannot, for instance, require that a lawyer take another exam
as a prerequisite to practice law in a particular government
agency.

In a criminal case in a
locality where a lawyer
is not available
Legal aid program

Continued admission
to the Bar
Remain IBP member in
good standing
Pay IBP dues and
other assessments
Pay annual privilege
tax
Observe rules on
proper ethics

Evidence of GMC

Before any other

court
As party to the
litigation, in person, in a
civil case
Legal aid program

Special cases
Before NLRA/LA,
representing
themselves
Before NLRC/LA,
representing their
organization
Before cadastral court

Requisites for who can be appointed in a criminal case before the

MTC, in localities where a lawyer is not available?
o 1. A resident of the province
o 2. Of good reputation for probity and ability to aid the accused
in his defense
May juridical persons appear in person?
o No. Juridical persons may only appear by attorney

Requisites for who can appear under the legal aid program?
o 1. Senior law student
o 2. Enrolled in the schools clinical education program approved
by the SC
Who can the senior law student represent?
o Indigent clients accepted by the CLED program
What is the caveat?
o Must be under direct supervision and control of an IBP
member duly accredited by the school
What are the limits for appearance of such non-lawyers?
o 1. Appearance must not be habitual
o 2. It must be without compensation
Which lawyers and in what situations are lawyers prohibited to
appear?
o 1.Lawyer-member of Congress
o 2. Lawyers with conflicting interests
o 3. Small claims

Except when the lawyer himself is the party

o 4. Government lawyers, in private suits, without written
authority
o 5. Former government lawyers who left public service cannot
intervene in matters he handled as a public official
What is the prohibition for practice of law of public officials?
o Public officials and employees cannot practice law during their
term unless authorized by the Constitution or by law and
provided that it doesnt interfere with his duties
What are sanctions for practice or appearance without authority?
o 1. Contempt for misbehaviour in official transactions for
lawyer who appears without proper authority from client
o 2. Indirect contempt for one who assumes to be an attorney
and acting as such without authority
What is the main rule concerning lawyers in government service?
o Primary duty is to see that justice is done
o Who are the public officials covered here?

Elective and appointive

Permanent and temporary, career and non-career

Military and police personnel

Compensated and not

Causes for disciplinary action for prosecutor:

o 1. Suppression of facts
o 2. Concealment of witnesses capable of establishing
innocence of the accused
o N.B. Prosecutor must recommend acquittal of the accused
whose conviction is on appeal if he finds no legal basis to
sustain the conviction.
Rules on public position vis-a-vis private interests:
o 1. Cannot promote or advance his private interests
o 2. Cannot allow private interests to interfere with public duties
Prohibition after leaving government service:
o 1. Cannot accept engagement or employment in connection
with any matter in which he had intervened during government
service
o 2. Cannot practice profession in connection with any matter
before the office he used to be with (1 year prohibition)
o What is a matter?

Any discrete act, transaction, or conduct involving a

particular situation and specific party
o What is adverse interest conflict?

Where matter in which the former government lawyer

represents a client in private practice is substantially
related to the matter than the lawyer dealt with while
employed with government and the interests of the
clients are adverse
o What is congruent interest conflict?

Representing a client in private practice, where the

new client and former government client are entirely
parallel

Still prohibited

Which public officials cannot engage in private legal practice?

Absolutely prohibited
Judges, and other officials and
employees in the SC
OSG officials and employees
Public prosecutors
President

Restricted
Members of Congress
Sanggunian members
Retired justice or judge receiving
pension from government

Vice President
Cabinet members, deputies,
assistants
Constitutional Commission members
OMB, Deputies of OMB
Governors
Mayors city and municipal
Those prohibited by special law

In this case, notice to deputized agent will not bind the

SG unless notice is actually received by the latter
3. When a government agency which the SG is tasked to
represent is represented by the agencys internal counsel

Notice to counsel is notice to SG

Lawyers oath:
I __ do solemnly swear that:

Where can members of Congress not personally appear before as

counsel, as a restriction?
o 1. Courts of justice
o 2. Electoral tribunals
o 3. QJ bodies
o 4. Admin bodies

I will maintain allegiance to the Republic of the Philippines

I will support its constitution and obey the laws and legal orders of the duly
constituted authorities therein
I will do no falsehood, nor consent to the doing of any in court

What are Sanggunian members not allowed to do?

Type of case
Civil cases

Restriction
Cannot appear as
counsel

Criminal cases

Cannot appear as
counsel

Administrative
proceedings
Any

Collect fees
Use property and
personnel of the
government

I will not willingly nor wittingly promote or sue any groundless, false, or
unlawful suit, or give aid nor consent to the same;

Situation
If an LGU or any
instrumentality is the
adverse party
If an officer/employee of
government is accused
of an office-related
offense
If it involves LGU of
which he is an official
UNLESS he is
defending government
interest

I will delay no man for money or malice, and will conduct myself as a lawyer
according to the best of my knowledge and discretion, with all good fidelity
as well to the 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.
Duty
Maintain allegiance
Support; obey
Do no falsehood or consent to such
Willingly nor wittingly promote
groundless, false, unlawful suit; nor
giving aid or consenting to such
Delaying no man for money or
malice;
Conduct self as lawyer according to
best of knowledge and discretion
Good fidelity to court and clients

What is the restriction on retired justices/judges receiving

government pension?
o Same as first two prohibitions against Sanggunian members
Who are the lawyers authorized to represent government?
o 1. The Solicitor General
o 2. Any other government official deputized by the Solicitor
General in prosecution of cases

To whom/what (hierarchy)
The Republic of the Philippines
Constitution and laws
Truth
Respect for legal processes

Fidelity to justice, to court, to client

Fidelity to justice, to court, to client
Fidelity to justice, to court, to client

Overview of coverage of the canon duties:

Society
1: Uphold
Constitution,
obey laws; antibarratry;
settlements

Legal
profession
7: Uphold
integrity of legal
profession;
support IBP;
application for
the Bar

2: Accepting
cases; charging
fees

8: Candor,
fairness, and
courtesy for
colleagues; not
encroaching
upon
employment

3: Advertising
services; firm
names; paying
media

9: Not assist
unauthorized
practice of law;
dividing fees

4: Law reform
and
improvement

5: MCLE;
improve schools;
disseminate info

6: Lawyers in
government

Courts

Client

10: Candor,
fairness, GF to
the court; no
falsehood or
misquoting;
observe
procedure
11: Respect to
courts; attire;
punctuality; not
impute wrong
motives to judge;
grievances only
to proper
authorities

14: Not refuse

the needy; no
prejudice; not
decline as
amicus or de
oficio; treating
non-paying client
15: Candor,
fairness, loyalty
to client; reveal
conflicts;
privileged
communication;
conflicting
interest; candid
and fair advice
16: Hold money
in trust; separate
funds; lien; no
borrowing or
lending to client

12: Speedy
administration of
justice; prepare;
multiple actions;
delays or lapses,
talking to
witnesses during
breaks; respect
witnesses; not
testify for client
13: Rely on
merits and not
improper
influence;
hospitality to
judges; media
statements;
having other
branch step in

19: With zeal,

within bounds of
law; fair and
honest means;
rectifying clients
fraud; not let
client dictate
20: Fair and
reasonable fees;
no
compensation
from anyone
else; avoid
compensation
controversies
21: Preserve
confidence and
secrets of client
22: Withdrawal
of services for
good cause;
turning over
matters to
successor

DUTIES AND RESPONSIBILITIES OF LAWYERS TO SOCIETY

17: Fidelity to
cause of client

18: Competence
and diligence;
not take what he
cant handle; no
neglect

CANON 1 Respect for the law and legal processes

o Duties:

1. Uphold the constitution

2. Obey laws of the land

3. Promote respect for law and legal processes

o 1.01 no unlawful, dishonest, immoral, or deceitful conduct
o 1.02 not counsel or abet activities aimed at defying the law or
lessening confidence in legal processes
o 1.03 not encourage suit or proceeding or delay any mans
cause for corrupt motive or interest

NO barratry (instigating groundless suits)

NO stirring up litigation

NO ambulance chasing

1.04 encourage clients to avoid, end, or settle controversy if

it will admit of fair settlement
o Why?

Lawyer must be a mediator for concord and

conciliator for compromise, rather than an initiator of
controversy and conflict
CANON 2 Making legal services available
o Qualifications:

Available in an efficient and

Convenient manner
o 2.01 not reject cause of defenceless or oppressed except for
valid reasons
o 2.02 if he does not accept a case, not refuse to render legal
advice to person at least, to the extent necessary to safeguard
the persons rights
o 2.03 not do or permit to be done an act designed primarily to
solicit legal business

Because law is profession, not business

o 2.04 not charge rates lower than those customarily
prescribed

Unless circumstances warrant

Why?

To avoid proliferation of competition among

brother lawyers
CANON 3 true, honest, fair, dignified, and objective information
on legal services
o 3.01 not use or permit the use of false, fraudulent,
misleading, deceptive, undignified, self-laudatory, or unfair
statement or claim re: qualifications/services

What is the rule on advertisements?

Generally, not allowed because it degrades

the dignity of the profession

What are the exceptions?

1. Reputable law lists according to the

conduct imposed by canons

2. Ordinary simple professional card

o Name
o Law firm
o

Address, telephone number, branch

of law

3. Simple announcement of opening in firm

or changes in partnership, address, or firm
name

4. Advertisements or simple announcement

of existence of the firm/lawyer posted
anywhere proper
o Except court rooms or government
buildings

5. Advertisements or announcement in legal

publication, books, journals, legal
magazines, phone directories
What are prohibited indirect advertisements?

1. Those connected to causes in which the

lawyer has been engaged in or re: manner of
conduct

2. Magnitude of interest involved

3. Importance of lawyers position

4. All other self-laudation

What is the best advertisement?

Well-earned reputation for professional

capacity and fidelity to trust
Soliciting employment is ground for suspension or
disbarment.
What is valid indirect solicitation?

A lawyer may write and sell for publication

articles of general nature re: legal subjects
o And send upon request his picture
for publication with the article in a
law journal

Or submit for publication to a bar association

journal an unsolicited article on a general
subject
What are guarded against?

1. Improper advertisements

2. Giving legal advice to one with whom no

A-C relationship exists

DUTIES AND RESPONSIBILITIES OF LAWYERS TO THE LEGAL PROFESSION

3. Aiding layman to engage in authorized

practice of law

What about giving legal advice on legal matters

through newspaper column, radio, or television
broadcast?

Improper.
o 3.02 not use false, misleading or assumed name in firm
name

What about firms using names of dead partners?

Allowed if the firm indicates in all

communications that he is already deceased
o 3.03 If the partner accepts public office:

1. Must withdraw from firm

2. Drop name from firm name

3. Unless the law allows him to practice law

concurrently (ex. Member of Congress, although
restricted)
o 3.04 not pay or give anything of value to representatives of
media in return for or anticipation of publicity (to attract legal
business)
CANON 4 participation in improvement reforms in legal system
o How?

Initiating efforts in law reform and administration of

justice

Or supporting such efforts

o Examples?

1. Presenting position papers or resolutions for bills in

Congress

2. Petitions with SC to amend the ROC

CANON 5 participation in legal education program
o 1. Keep abreast of legal developments
o 2. Participate in MCLE and continuing education programs
o 3. Support efforts to achieve high standards in law schools and
training of students
o 4. Assist in disseminating law/jurisprudence
CANON 6 rules on lawyers in government service
o N.B. see prior discussion on (1) duty of prosecutors, (2) duty of
those in government services, and (3) those leaving
government service

What is the IBP?

o The Integrated Bar of the Philippines is the national
organization of lawyers created on 16 January 1973
o Pursuant to Rule 139-A of the ROC
o It was made into a corporate body by PD 181 (4 May 1973)
What are the objectives of the IBP?
o 1. Elevate standards of legal profession
o 2. Improve administration of justice
o 3. Enable the Bar to discharge its responsibility more
effectively
What is the three-fold obligation of a lawyer?
o 1. Owe to himself to continue improving knowledge of the laws
o 2. Owe to the profession to take active interest in maintenance
of high standards of legal education
o 3. Owe to the public to make the law a part of social
consciousness
Re: membership and dues
o Look for this
CANON 7 upholding the dignity and integrity of the profession
o Includes supporting the activities of the IBP
o 7.01 re: bar application; cannot:

1. Knowingly make false statements

2. Suppress material facts in connection with

application
o 7.02 not support the application for admission to the Bar of a
person known by him to be unqualified with respect to:

Character

Education

Or other relevant attribute

o 7.03 not engage in:

1. Conduct that adversely reflects on his fitness to

practice law

2. Scandalous manner to the discredit of the legal

profession, whether in private or public life
o N.B. Good moral character is need to continue membership in
the Bar

CANON 8 courtesy, fairness, and candor towards professional

colleagues
o Usual case: avoid harassing tactics against opposing counsel
o 8.01 not use language which is abusive, offensive, or
improper in professional dealings
o 8.02 not directly or indirectly encroach upon professional
employment of another lawyer

Caveat: it is the right of any lawyer to give proper

advise/assistance to those seeking relief against
unfaithful or neglectful counsel
CANON 9 no assistance in unauthorized practice of law
o Who may a lawyer not take as partner or associate:

1. Not a lawyer

2. Disbarred

3. Forever suspended from practice of law

4. Foreign lawyer

Unless licensed by the Supreme Court

o 9.01 not delegate to any unqualified person the performance
of a task which by law may only be done by a member of the
bar in good standing
o 9.02 not divide or stipulate division of legal fees for services
with persons not authorized to practice law
o Exceptions?

1. Pre-existing agreement with partner or associate

that upon his death, money will be paid over
reasonable period of time to heirs or estate

2. Lawyer undertakes to complete unfinished

business of deceased lawyer

3. Lawyer or firm includes non-lawyer employees in a

retirement plan

Even if the plan is based wholly or partially

on profit sharing agreement

DUTIES AND RESPONSIBILITIES TOWARDS THE COURTS

CANON 10 candor, fairness, and good faith towards the courts

o 10.01 lawyer must not:

1. Do falsehood

2. Consent to doing falsehood in court

3. Mislead or allow the court to be misled by any

artifice

What prevails between duties to ones client and

candor to the court?

Candor towards the courts prevails over

duties to ones client
o 10.02 prohibited falsehoods:

1. Misquotation or misrepresentation of:

Contents of paper

Language or argument of other counsel

Text of decision or authority

2. Knowingly citing a repealed or amended law

3. Asserting as fact one that had not yet been proved

How must quotation be done?

Word for word, punctuation mark for

punctuation mark.
o 10.03 re: rules of procedure

Must observe rules of procedure

Must not misuse them to defeat ends of justice

CANON 11 respect for courts and judicial officers
o Must observe and maintain the respect due to the court and
judicial officers AND insist that others do the same
o 11.01 wear proper attire in court

What is the consequence of wrong attire?

Contempt of court

Barong or tie, not both :P

o 11.02 punctually appear at court hearings
o 11.03 abstain from scandalous, offensive, or menacing
language or behaviour in court
o 11.04 not attribute to a judge, motives not supported by the
record or have no materiality to the case
o 11.05 not criticize the personal or official conduct of a judge
in an insulting and intemperate language

What is important here?

The criticism must be bona fide

It must not spill over the walls of decency

and propriety

11.06 submit grievance against judge to proper authorities

only
CANON 12 assistance in the speedy and efficient administration
of justice
o Must exert every effort and consider it his duty to do so

Acts which obstruct justice:

1. Instructing a witness not to appear at trial

2. Asking client to plead guilty to crime he

did not commit

3. Advising a client to escape from prison

4. Dilatory tactics

5. Prosecuting frivolous cases or appeals

o 12.01 must not appear for trial unless he has:

1. Adequately prepared himself

On the law and facts

The evidence he will adduce

The order of its proffering

2. Readied himself with original documents for

comparison with the copies
o 12.02 not engage in forum shopping

When is there forum shopping?

1. Party seeks favorable opinion of another

forum, other than through appeal or
certiorari, after adverse opinion of one

2. Institutes 2 or more actions grounded on

same cause, on a gamble that one or other
would make him win

Contents of CNFS?

1. Not commenced any action or filed any

claim involving same issues in any court,
tribunal, or QJA, and to the best of his
knowledge there is no such action

2. If there is such other action, a complete

statement of the status thereof

3. If he should learn that a similar action or

same action is filed or pending, report that
fact within 5 days to the court wherein the
o

o
o

complaint or initiatory pleading has been

filed
Effects of failure to comply with CNFS?

1. Not curable by mere amendment of

pleading

2. Cause for dismissal of case without

prejudice
o Unless otherwise provided upon
motion and after hearing
Effect of submitting false CNFS or non
compliance with undertakings therein?

1. Indirect contempt

2. Without prejudice to admin and criminal

action
Effect of wilful and deliberate forum shopping?

1. Ground for summary dismissal of case

with prejudice

2. Direct contempt

3. Cause for administrative sanction

12.03

After obtaining extension, not let the period lapse

without submitting the pleading, memo, or brief or
explaining failure to do so
12.04 NOT:

1. Unduly delay a case

2. Impede execution of judgment

3. Misuse court processes

Ex. using technicalities to defeat justice, etc.

12.05 cannot talk to his witness during break/recess when
the witness is still being examined
12.06 not knowingly assist a witness to:

1. Misrepresent himself

2. Or impersonate another
12.07 not do the following to witnesses:

Abuse

Browbeat

Harass

Needlessly inconvenience
12.08

In general: cannot testify in behalf of his client

Except:

1. Formal matters, such as mailing,

authentication or custody of instrument, and
the like

2. Substantial matters, where his testimony

is essential to the ends of justice, in which
even he must entrust the case to another
counsel during his testimony
CANON 13 reliance on merits of case, not from improper
influence upon the courts
o Whether it tends to influence or gives the appearance of
influencing the court
o 13.01 not extend extraordinary attention or hospitality to, nor
seek opportunity for cultivating familiarity with judges

Ex. preparing a draft decision for the judge

o 13.02 not make public statements in the media re: a pending
case which tend to arouse public opinion for/against a party

Ex. preliminary investigation where the public

prosecutor encouraged publicity, fanfare,
sensationalism

What is allowable for post-litigation utterances?

In general, can criticize a courts decision

after conclusion of litigation

EXCEPT: when the comments breach the

bounds of fair comment and legitimate
criticism
o Where there is erosion of faith in
the judiciary and confidence in its
integrity
o 13.03 not brook or invite interference by another branch or
agency of government in the normal course of judicial
proceedings

Basis: separation of powers

Ex. submitting grievances against an SC justice to the

President

DUTIES AND RESPONSIBILITIES TOWARDS CLIENTS

What is the characteristic of this relationship?

o 1. Strictly personal
o 2. Highly confidential
o 3. Fiduciary
What are the duties of lawyers?
o 1. Advise client on merit or lack thereof of his case. If he finds
the case defenceless, he must advise the latter to acquiesce
and submit.
o 2. Resist whims and caprices of the client, and temper the
latters propensity to litigate.
o 3. Refrain from giving advice unless they have obtained
sufficient understanding of the clients cause.

Need careful investigation and examination of facts

o 4. Disclose to the client, at the time of retainer, all the
circumstances of his relations to the parties, or any interest in
or connection with the controversy which might influence the
client in selecting counsel
How must he regard judicial disfavour or public popularity?
o These must not restrain him from full discharge of duty
What is competence?
o Sufficiency of the lawyers qualification to deal with the matter
in question
o Includes knowledge and skill and ability to use them effectively
for the client
o Keep constantly abreast with authoritative pronouncements
and developments in branches of law
What are the kinds of appearance?
o 1. General appearance

Party comes to court either as plaintiff of defendant

and seeks general reliefs from the court
o 2. Special appearance

Defendant appears in court solely for the purpose of

objecting to the jurisdiction of the court over his
person

The moment the client asks for something else,

ANYTHING, it becomes a general appearance.
Do attorneys acts bind the client?
o Yes. This is the general rule. Even mistakes bind the client.
o What are the exceptions?

1. Gross negligence of lawyers

2. Clients meritorious claim or defense has been
prejudiced

Ex. non-presentation of key document

3. Diligence or absence of gross negligence on the

part of the party represented
What is the scope of authority of lawyers to bind clients?
o 1. In any case by any agreement in relation thereto put in
writing
o 2. In taking appeals
o 3. In all matters of ordinary judicial procedure
What is beyond the scope of authority and need special authority?
o 1. Compromise litigation
o 2. Receive anything in discharge of a clients claim but the full
amount of cash
What is the rule in notice?
o In general, notice to lawyer is notice to client.
o Who is entitled to notice?

The attorney must have made a formal appearance to

be entitled to notice
o Exception to this rule?

Listed as counsel on record, with no withdrawal or

substitution of counsel
What is the effect of a lawyer signing a complaint or answer?
o It means that he has

1. Read the pleading

2. And to the best of his knowledge, information, and

belief, there is good ground to support it
CANON 14 availability of service without discrimination
o Not refuse services to the needy
o The poor and indigent must not be further disadvantaged by
preventing access to legal system

This is related to 2.01 (lawyer must not reject cause of

defenceless or oppressed save for valid reasons)
o 14.01 not:

1. Decline to represent person due to race, sex,

creed, or status life alone

2. Decline to represent person due to his own opinion

on guilt of that person

10

For what kind of case does Rule 14.01 apply?

ONLY criminal cases

Relate with Rule 138 s. 20?

It provides that in the defense of a person

accused of a crime, by all fair and
reasonable means, regardless of personal
opinion as to the latters guilt, to present
every defense the law permits

Purpose: so that no person may be deprived

of life or liberty except by due process of law
14.02 not decline appointment as:

1. Counsel de officio

Rule 138, s. 31 [GENERAL RULE]: a court

may appoint an attorney to render free
professional aid for a destitute party unable
to employ one

Rule 116, s. 6 [FOR ACCUSED IN CRIM

CASE]: before arraignment, if an accused
has no counsel and he is not allowed to
defend self in person, the court must assign
a counsel de officio

Rule 116, s. 7 [SAME]: who may be

appointed:
o 1. Members of bar in good standing
o 2. Any person, resident of the
province and of good report for
probity and ability (in localities
without lawyers)
o Consider:

1. Gravity of offense

2. Difficulty of questions

3. Experience and ability

of appointee

Rule 124, s. 2 [ACCUSED ON APPEAL]:

for cases on appeal, when does the CA clerk
designate a counsel de officio:
o 1. In prison, with no counsel de
parte on appeal, and he signed
notice of appeal himself

2. If not in prison not entitled to

CDO unless appointment of one is
requested within 10 days from
notice to file brief (and right is
established through affidavit)

2. Amicus curiae

Experienced and impartial attorneys invited

by the court to appear and help in disposition
of issues

friend of court

3. One who renders free legal aid as requested by the

IBP or any of its chapters

Exception?

Serious and sufficient cause

o 14.03 may only refuse to accept representation of indigent if:

1. Not in position to carry out work effectively or

competently

2. Conflict of interest between him and the

prospective client

3. Conflict of interest between prospective client and

present client
o 14.04

Observe same standard of conduct between paying

and non-paying clients
CANON 15 candor, fairness, loyalty to clients
o What matters does this canon cover?

1. Conflicts of interest

And acting in another capacity (mediator,

etc.)

2. Privileged communication

3. Advice given to client

o 15.01

Ascertain whether matter would involve a conflict with

another client or own interest

AND inform prospective client if there is such a thing

o 15.02

Matters disclosed by client are covered by rule on

privileged communication

Exceptions:

11

1. A lawyer is accused by client and he

needs to reveal information to defend himself
2. Client discloses intention to commit a
crime or unlawful act

15.03

Not represent conflicting interests

Exception?

Written consent of all concerned after full

disclosure of all facts

What are the types of conflict of interest?

1. Concurrent or multiple representation:

o A lawyer represents clients whose
objectives are adverse to each
other, no matter how slight or
remote these are

Take note of this minimal

degree
o Ex. A CPA-lawyer being part of a
firm that represents the estate and
being part of the accountancy firm
that represents the creditors. The
conflict need not arise from two
legal relationships.

2. Sequential or successive representation:

o Representation of present client
who may have an interest adverse
to prior client

What are the tests for determining whether

concurrent or multiple representation amounts to
conflict of interest:

1. w/n lawyer is duty-bound to fight for an

issue or claim on behalf of one client and at
the same time oppose it with another client

2. w/n acceptance of the new relation would

prevent full discharge of the duty of
undivided loyalty to a client

3. w/n acceptance of the new relation would

invite suspicious of unfaithfulness/doubledealing in duty of undivided loyalty

4. w/n acceptance of the new relation would

have the lawyer use against the client
confidential information acquired through
their connection
Does the lawyer have to be the counsel-of-record
for the other party to violate this provision?

No. In a case, Artezuela v. Maderazo, the

lawyer merely helped with the other partys
pleading by allowing it to be made in his
office. While being counsel-of-record is the
easiest situation, the prohibition covers even
having a mere hand in preparation of the
other party.
Can the lawyer represent a party in a case where
the other party is his former client, even if the
case is distinct from the former case?

No. This will still give the appearance of

double-dealing.

15.04

May act as mediator, conciliator, or arbitrator in

dispute IF there is written consent of all concerned

What is special about this rule?

The controversy hasnt reach courts in this

case yet. The lawyer is in the best position
to understand both positions and reach a
settlement.

BUT note that the lawyer must have consent

of both parties to do this.
15.05

Give candid and honest opinion on merits and

probable result of the case

As re: prospects of the case, dont:

Overstate

Understate

Related with requirement for certification?

The certification filed with a pleading states

that the lawyer believes there is good ground
to support the case
15.06

12

Not state or imply that he can influence a public

official, tribunal, or legislature
o 15.07 Impress upon client:

1. Compliance with laws

2. Principles of fairness
o 15.08

If engaged in another profession or occupation

Must make either clear to the client w/n he is acting

as a lawyer or in that other capacity

Ex. In a business deal

What is the fiduciary duty principle?
o An attorney must derive no undue advantage that may
prejudice or cause loss to a client. The relationship between
lawyer and client is one of mutual trust and confidence to the
highest degree.
What does Article 1491 of the NCC say?
o Lawyers cannot acquire or purchase, even in a public or
judicial auction (directly or through another person) the
property and rights that are the subject of litigation
o Elements:

1. Property or interest is in litigation

2. Attorney takes part as counsel in the case involving

that property

3. Purchase (including mortgage), acquisition by the

attorney

Himself or through another

During pendency of the case

CANON 16 clients money and properties
o Hold in trust all moneys and properties of client that come
under his possession
o 16.01

Account all these money and property collected or

received for or from the client
o 16.02 Keep funds of each client separate form:

1. His own

2. Other clients funds

o 16.03

Deliver the funds and property of his client when due

or upon demand

What is his lien?

1. Over the funds, and only so much thereof

as may be necessary to satisfy lawful fees
and disbursements
o May apply such funds to satisfy
these

2. On all judgments and executions he has

secured for the client
o From time he causes statement of
claim of the lien on the records of
the court rendering judgment or
issuing execution
o Written notice delivered to his client
and adverse party
o Same right and power his client
would have over the judgments, in
order to enforce his lien
What are the kinds of lien?

1. Retaining lien:
o Right of attorney to retain
possession of clients documents,
money, property which came into
his hands professionally
o Until balance it paid

2. Charging lien:
o Equitable right of attorney to have
fees and costs due to him for
services in a suit secured by the
judgment/recovery in that same suit
What are the additional rules re: liens?

1. Attorneys lien is not an excuse not to

render accounting.
o NOTE: he must make accounting,
deduct attorneys fees, and turn
over balance to client (Tanhueco v.
De Dumo)

2. Must notify client if a retaining lien will be

implemented

13

3. When the lawyer enforces charging lien

against his client, the lawyer-client
relationship is terminated

Can the lawyer disburse the clients funds to the

latters creditors without authority?

No.
o 16.04 lawyer cannot:

1. Borrow money from his client

Unless the latters interests are fully

protected (by nature of the case or by
independent advice)

2. Lend money to client

Except if he has to advance necessary

expenses for a legal matter he handles for
the client
CANON 17 fidelity to clients cause
o Owe fidelity to clients cause and be mindful of trust/confidence
reposed in him
o If the court asks the lawyer to withdraw for a valid reason,
what must the lawyer do?

Must advice the client to get another lawyer and what

to do next. Failure to do so is gross negligence.
o Compromising the money claim due to the client without the
latters consent is a violation of this canon.
o The act of receiving money as acceptance fee and failing to
subsequently render legal service is the usual case for this
canon.
o Duty of senior partners?

Monitor activities of the associates; else, tantamount

to indifference/neglect
CANON 18 competence and diligence
o When does required diligence start?

From retainer until effective discharge of case or final

disposition
o What is the required diligence?

Ordinary diligence, not extraordinary

o 18.01

NOT render service he knows hes unqualified to

render

Exception (requisites):

If he can obtain a collaborating counsel

competent on the matter

And the client must approve of this

What is the presumption?

If a lawyer accepts a case, it means he has

the learning, skill, and ability to handle the
case

18.02

Not handle any legal matter without adequate

preparation
o 18.03 Not neglect a legal matter entrusted to him

What if hes negligent?

Hes liable

Can a lawyer waive a clients appeal?

NO. Failure to perfect an appeal within

prescribed period is negligence and
malpractice under 18.03.

A lawyer is no longer practicing law but is still the

counsel on record. The court sent an order. What
is the lawyers duty?

Must still comply with it. Or at least, inform

the court that he has already retired from
practice of law.

The client must not be prejudiced.

Remember that extensions of time are not a right, but

a mere discretionary relief granted by courts.

Abandonment of cases also falls under this canon.

What is the effect of gross negligence by the

counsel?

This can be an exception to the general rule

that the counsels mistakes bind his client
o 18.04

Keep client informed of status of the case

AND respond within reasonable time to clients

request for information
CANON 19 representation with zeal within legal bounds
o 19.01
o

19.02

If he receives information that a client has

perpetrated fraud on a person or tribunal, what
must he do?

1. Promptly tell client to rectify the same

2. Failing, terminate the relationship

When does this rule apply?

In the course of the representation

How must termination be effected?

According to the ROC. The lawyer needs to

obtain the written consent of the client. Else,
he needs approval of the court, with notice to
client and attorney.
o 19.03 NOT allow client to dictate the procedure in handling
the case

What are within the clients control?

Cause of action, claim/demand, and subject

of litigation

(thus, the attorney cannot, without authority

given by the client, compromise the litigation
or receive anything in discharge of the
clients claim)
CANON 20 charge only fair and reasonable attorneys fees
o

14

Use only fair and honest means to attain lawful

objectives of client
NOT present, participate in presenting, or threaten to
present unfounded criminal charges

Done in order to obtain improper advantage

in any case/proceeding
Example of a violation of 19.01:

Lawyer filed numerous actions,

administrative and criminal against
respondent, which had nothing to do with his
clients civil case

Offered a monetary reward to people who

can give him dirt on the respondent, as
leverage

o
o

20.01 charge only reasonable and fair fees. What factors

determine his fees?

1. Time spent and extent of service rendered/required

2. Novelty and difficulty of questions

3. Importance of subject matter

4. Skill demanded

5. Probability of losing other employment due to

acceptance of this case

6. Customary charges for similar services and

schedule of fees of his IBP chapter

7. Amount involved in the controversy and benefits to

the client from the service

8. Contingency or certainty of compensation

9. Character of employment, whether occasional or

established

10. Professional standing of lawyer

What are the factors mentioned in the rules of court (R
138, s. 24)?

1. Importance of subject matter

2. Extent of services rendered

3. Professional standing of attorney

What is the factor added by jurisprudence?

Clients capacity to pay

Does the considerable value of the property or interest
involved per se justify high attorneys fees?

No necessarily, especially if the legal services do not

call for too much effort.
Can the court reduce attorneys fees or impose a new
amount?

Yes, it may reduce if the amount is unreasonable or

impose an amount when there was none agreed
upon.
What about counsels de officio?

The court in its discretion and subject to availability of

funds, may order compensation of the counsel de
officio. Amount fixed by court.
What are the kinds of payment?

1. Fixed or absolute fee

Payable regardless of outcome

15

2. Contingent fee

Dependent on favorable judgment

And recovery of property or money

o Usually percentage basis as
regards this

3. Fixed per-appearance fee

4. Fixed per-hour fee

5. Fixed fee for piece of work

What are the kinds of attorneys fees?

1. Ordinary attorneys fees:

Reasonable compensation paid to a lawyer

by his clients for legal services rendered

Basis for this compensation is the fact of

employment and agreement with client

2. Extraordinary attorneys fees:

Indemnity for damages ordered by the court

to be paid to losing party in litigation

Payable not to the lawyer but the client,

unless they agree that the award pertains to
the lawyer
What if there is no express contract?

The lawyer must still be compensated.

Principle: against unjust enrichment

Legal effect: innominate contract of facio ut des (I do,

you give) arises
How are attorneys fees claimed?

1. Asserted in the very action where the services of a

lawyer had been rendered or in a separate action

If in the same action, file motion in same

proceeding

Of course, for separate action, file a new one

2. Petition for attorneys fees filed before judgment in

favor of the client is satisfied or delivered to the client

3. Determination as to the propriety of fees or its

amount held in abeyance until end of main case

Otherwise, determination of courts is

premature

What are the kinds of retainer agreements on attorneys

fees?

1. General retainer or retaining fee fee paid to

lawyer to secure future services as general counsel

For problems arising in ordinary course of

business

2. Special retainer fee for specific or particular case

or service
What is the nature of retaining fee?

It is not a payment for services and is in fact separate

from such. This is just paid for the right to be retained
by a party and to compensate for the deprivation of
the opportunity to render services to the other party.
What is quantum meruit?

As much as he deserves used as basis to

determine a lawyers professional fees in the absence
of a contract, but recoverable by him from the client

When does QM apply?

1. No express contract

2. There is formal contract but the attorneys

fees are unconscionable or unreasonable, as
found by the court

3. Contract is void due to purely formal

matters or defects in execution

4. Counsel through justifiable cause was not

able to finish the case to its conclusion

5. Lawyer and client disregarded the contract

for attorneys fees
20.02 in case of referral with consent of the client:

Be entitled to a division of fees in proportion to the

work performed and responsibility assumed by that
other lawyer
20.03

Not accept fee, reward, costs, commission, interest,

rebate, or forwarding allowance or other
compensation from anyone not his client

Related to professional employment

Unless consented to by client, with

knowledge

20.04

General rule: avoid controversies with clients

concerning compensation

Resort to judicial action only to prevent injustice or

fraud
o When can counsel not recover full amount despite written
contract stipulating attorneys fees?

1. Attorney withdraws before case is finished

2. Justified dismissal of attorney

What is the payment?

o Quantum meruit only
o What is a champertous contract?

It is a void contract.

Here, the lawyer stipulates with his client that in the

prosecution of the case, the lawyer bears all the
expenses

And the client gives the lawyer a portion of the

thing/property recovered

How is it different from contingent fees?

In contingent fees, the client still reimburses

any advances made by the lawyer, and only
the attorneys fees are contingent.
o Can a lawyer ask for fees for merely recommending
another lawyer?

No.
CANON 21 preservation of clients confidence and secrets
o When does this duty last?

During and even after the relationship

Otherwise, people would refrain from seeking legal

advice
o What does confidence mean?

Information protected by attorney-client privilege

o What does secret mean?

Other information gained in professional relationship

that

A) the client has deemed to be held inviolate

B) or disclosure of which would embarrass or

detriment the client
o When does attorney-client privilege exist?
o

16

21.03

Not give information from his files to an outside

agency seeking information for:

Auditing

Statistics

Bookkeeping

Accounting

Data processing, etc.

UNLESS client gives written consent

o 21.04

May disclose affairs of client of firm to partners or

associates

UNLESS prohibited by the client

o 21.05

Adopt measures to prevent those who use his

services from disclosing or using confidences/secrets
of the clients

Does the privilege extend to the lawyers

employees?

Yes
o 21.06

Avoid indiscreet conversation about clients affairs

EVEN WITH members of family

o 21.07

Not reveal that he has been consulted about a

particular case

EXCEPT to avoid possible conflict of interest

o What does the duty to preserve a clients secrets cover?

Only lawful purposes

o What are not covered by this duty?

1. Announcements or communications of a clients

intent to commit crime or fraud

2. Client jumped bail and lawyer knows where he is

3. Client is living somewhere under assumed name

CANON 22 withdrawal of services
o When can a lawyer withdraw his services?

1. Only for good cause

2. AND upon notice appropriate in the circumstances

o 22.01 when a lawyer can withdraw his services:
o

1. Attorney-client relationship or prospective attorneyclient relationship

2. Client made the communication in confidence

3. Legal advice sought from attorney in professional

capacity

Is there need for a formal contract?

No. Documentary formalism is not a

requirement for an A-C relationship.

Is information the client intended for the lawyer to

communicate to a third person privileged?

No.
What is the nature of the clients identity?

IN GENERAL, it must not be shrouded in mystery. It

must be divulged by the lawyer.
What are the exceptions to this under Regala?

1. Strong probability that revealing clients name

would implicate that client for the very activity he
sought advice for

2. Disclosure would open client to civil liability

3. Revealing the name would furnish the only link that

would form the chain of testimony necessary to
convict an individual of a crime

Contra: when the client is still seeking advice how to

go around the law for a future misdeed. This is not
covered by the privilege.
21.01 not reveal the secrets of his client.

Exceptions?

1. Authorized by the client after acquainting

him of the consequences of the disclosure

2. Required by law

3. Necessary to collect his fees or defend

himself, employees, or associates or by
judicial action
21.02

Not use information acquired in course of employee

Not use the same to his advantage or that of a third

person

UNLESS the client with full knowledge of the

circumstances consents thereto

17

1. Client pursues illegal or immoral course of conduct

in the matter he is handling

2. Client insists the lawyer pursue conduct violating

legal ethics rules

3. Inability to work with co-counsel will prejudice best

interest of client

4. Mental or physical condition of the lawyer makes it

difficult for him to carry out the employment effectively

5. Client deliberately fails to pay fees or fails to

comply with retainer agreement

6. When the lawyer is elected or appointed to public

office

7. Other similar cases

22.02 what happens when the lawyer withdraws or is
discharged:

Turn over all papers and property to which client is

entitled

Subject to retainer lien

AND cooperate with successor in orderly transfer of

matter, including all information necessary to handle
the matter
Whose consent is required for withdrawal as counsel for a
client?

1. Written consent of client

2. OR permission of court after due notice and

hearing
What are requirements for substitution of counsel in a
case?

1. Written application

2. Written consent of client

3. Written consent of attorney to be substituted

4. AND if consent of attorney to be substituted cannot

be obtained, there must at least be proof of notice that
the motion for substitution has been served on him
When can a lawyer not recover from his client?

1. The supposed client did not employ him or

authorize his employment

2. Client conducts himself in manner which tends to

degrade his attorney

3. Client refuses to extend cooperation

4. Client stops having contact with him
Ang labo ng grounds 2-4. Please check if this is
correct. It doesnt make sense.
What is the nature of the right of the client to terminate his
lawyer?

ABSOLUTE. It may be with or without cause.

It may be done anytime.

When is the lawyer-client relationship terminated?

1. Withdrawal of the lawyer (under 22.01)

2. Discharge or dismissal of the lawyer by the client

3. Death of lawyer

If law firm, however, any of the other lawyers

may continue the case

4. Declaration of presumptive death of the lawyer

5. Death of client

6. Intervening incapacity or incompetence of the client

during the case pendency

The guardian may authorize the lawyer to

continue

7. Full termination of the case

8. Appointment or election of the lawyer to

government position that prohibits him from practicing
law

9. Disbarment or suspension of the lawyer

10. Conviction for crime and imprisonment of the

lawyer

LIABILITY OF LAWYERS

18

When is a lawyer civilly liable?

o [against client]
o 1. Client is prejudiced by the lawyers negligence/misconduct
o 2. Lawyer breached fiduciary obligation
o 3. Violation of communication privilege
o [Against third persons]
o 4. Civil liability to third persons
o 5. Libellous words in pleadings
o [Treble costs]

6. Liability for costs of suit (treble costs)

1. When the lawyer insists on the clients patently

unmeritorious case

2. Interposing appeal merely to delay litigation

N.B. same heart for both pursuing litigation not

meant to be pursued
When is a lawyer criminally liable?
o 1. Prejudiced client through malicious breach of professional
duty

Cf. Here, it is malicious breach, not just negligence

(which attracts civil liability)
o 2. Revealing clients secrets

Cf. As opposed to violating privilege (just civil). Here,

secrets are revealed. Recall distinction between
privileged matters and secrets.
o 3. Representing adverse interests

N.B. #1-3 are the three betrayal of trust by attorney

crimes in the RPC
o 4. Introducing false evidence
o 5. Estafa

A. Misappropriating clients funds

B. Unauthorized practice of law

What are the two kinds of contempt?
o 1. Direct

Misbehaviour in the presence of or near a court/judge

as to interrupt or obstruct the proceedings before the
court or the administration of justice

Summary punishment
o 2. Indirect

One committed away from the court

Disobedience or resistance to lawful writ, order,

process, judgment, or command of the court

Or act tending to degrade, interrupt, embarrass the

court

What are the two types of indirect contempt?

1. Civil failure to do something ordered by

the court for the benefit of a party

2. Criminal conduct directed against

authority or dignity of the court

Does the power to punish for contempt preclude the

power to disbar?

No. They can be exercised concurrently or one after

the other.
o Does the determination whether contempt is criminal or
civil affect the courts jurisdiction?

No, it does not affect the courts jurisdiction or its

power to punish.
Does the lawyer owe loyalty to his client after the relationship has
terminated? What if there is a conflict between client and court?
o Lawyer owes loyalty to the client even after the relationship
has terminated
o But if there is conflict between client and court, the loyalty and
obedience to the court prevails

SUSPENSION, DISBARMENT, DISCIPLINE, REINSTATEMENT

19

Distinguish disbarment from suspension:

o Disbarment quasi-summary proceeding instituted before a
court to deprive an attorney of his license to practice his
profession due to misconduct
o Suspension act of court prohibiting an attorney form
practicing law for a certain definite period
What are the objectives of disbarment and suspension?
o 1. Compel attorney to be honest and fair with clients
o 2. Remove from profession a person whose misconduct has
proved him not to be trusted
o 3. Punish the lawyer
o 4. Set an example and warning to others
o 5. Safeguard administration of justice from
incompetent/dishonest lawyers
o 6. Protect the public
What are the characteristics of disbarment proceedings?
o 1. Neither civil nor criminal

Cannot claim damages in a disciplinary case

o 2. No concept of double jeopardy

Res judicata does not apply either

o 3. Can be initiated motu propio by the SC or the IBP
o 4. Does not prescribe

o
o

5. Conducted confidentially
6. Can proceed regardless of interest or lack thereof of the
complainant
o 7. Constitutes due process
o 8. Sui generis

Not intended to inflict criminal or civil sanctions. Only

question is w/n he is fit to be an officer of the court

No prosecutor or plaintiff
What are the grounds for disbarment or suspension?
o 1. Deceit
o 2. Malpractice or other gross misconduct in office
o 3. Grossly immoral conduct
o 4. Conviction of crime involving moral turpitude
o 5. Violation of oath of office
o 6. Wilful disobedience of any lawful order of superior court
o 7. Corrupt or wilful appearance as attorney for a party to case
without authority to do so
What are the mitigating circumstances in disbarment or
suspension?
o 1. Good faith in acquisition of a property of client subject to
litigation (in re: Ruste)
o 2. Inexperience of the lawyer
o 3. Age
o 4. Apology
o 5. Lack of intent to slight or offend the court
What is the procedure for disbarment or suspension?
o 1. Instituted either by:

SC, motu propio

IBP, motu propio

Verified complaint by any person

o 2. Six copies of the verified complaint filed with IBP Secretary
or Secretary of any chapter, and forwarded to IBP Board of
Governors
o 3a. Investigation by National Grievance Investigators

Submission of investigative report to the IBP Board of

Governors

Board decides within 30 days

o 3b. Or investigation by the Solicitor General
o 4. SC renders final decision

20

NOTE: that only the SC can disbar or suspend. The

IBP can only issue a decision
What is presumption of innocence?
o In absence of contrary proof, the presumption is that the lawyer
is innocent of the charges and has performed his duty as
officer of the court according to his oath
What is needed quantum of proof?
o Clear, convincing, satisfactory (clearly preponderant evidence
Gatchalian v Naldoza)
Who has the burden of proof?
o The complainant
Who are the officers authorized to investigate?
o 1. SC
o 2. IBP through:

Commission on Bar Discipline

Authorized investigator
o 3. Office of the Solicitor General
What is the rule on discipline of Filipino lawyers practicing in
foreign jurisdictions?
o If the lawyer is also authorized to practice law in the
Philippines, the disbarment or suspension of the lawyer abroad
is also a ground to disbar or suspend here, if the ground is for
any of those listed here
o What is the effect of judgment, order, or resolution of the
foreign court?

Prima facie evidence of ground for disbarment or

suspension
What is reinstatement?
o Restoration in disbarment proceedings to a disbarred lawyer
the privilege to practice law
o Basis: SCs power under the Constitution of control over
admission of those practicing law

Discretionary on the court

o As such, the SC may require special conditions to be fulfilled
How is it initiated?
o Filing of appropriate petition for reinstatement with the SC
What will the court consider?
o 1. W/n the application is a person of good moral character
o 2. Applicants character and standing prior to disbarment

3. Applicant character and standing after disbarment and prior

to application for reinstatement
What is the effect of reinstatement?
o Wipes out restrictions and disabilities resulting from prior
disbarment
Differentiate absolute and conditional pardon?
o 1. Absolute disbarment case dismissed
o 2. Conditional disbarment case will not be dismissed
What is the rule on lawyers who have been repatriated?
o

MANDATORY CONTINUING LEGAL EDUCATION

What is the purpose of MCLE?

o To ensure that through their career:
o lawyers keep abreast of law and jurisprudence,
o maintain ethics of profession,
o and enhance standards of practice
Who are required to take up MCLE?
o All members of the IBP
What are the requirements for compliance?
o Must complete at least 36 hours of MCLE activities every 3
years, divided as follows:

International law and conventions

Legal writing; oral advocacy
Trial and pre-trial skills
Alternative dispute resolution
Legal ethics
Other subjects prescribed by the MCLE committee
Updates on substantive/procedural
law/jurisprudence

2 hours
4 hours
4 hours
5 hours
6 hours
6 hours
9 hours

Who are the 3 compliance groups?

o A. Group 1 members in NCR
o B. Group 2 members in Luzon
o C. Group 3 members in Vis-Min
What is the concept of credit units?
o Members may participate in any legal education activity
wherever it may be available earns units

21

For every class of credit, a corresponding number of units is

assigned
o What are the classes of credit units?

1. Participatory Credit

Attending approved education activities

(seminars, symposia, etc.)

Lecturing or panelling in approved education

activities

Teaching in law school/teaching bar review

2. Non-participatory

Authoring written materials (article, book,

book review) which contribute to legal
education of author-member
o MUST NOT BE prepared in
ordinary course of practice or
employment

Editing law book, law journal, legal

newsletter
Who exempted from MCLE?
o 1. P, VP, Secretaries, Undersecretaries
o 2. Senators and Congressmen
o 3. Justices of the SC, incumbent and retired members of the
judiciary, incumbent members of the JBC, and incumbent court
lawyers covered by the Phil. Judicial Academy program of
continuing judicial education
o 4. Chief State Counsel, Chief State Prosecutor, Assistant
Secs. Of the DOJ
o 5. Solicitor General and Asst. Sol Gen
o 6. Government Corporate Counsel, Deputy, and Asst. GCC
o 7. Chair and members of Con Commissions.
o 8. OBM, Overall deputy OMB, Deputy OMB, and Special
Prosecutor
o 9. Heads of government agencies exercising QJ functions
o 10. Incumbent deans, bar reviewers, professors of law of at
least 10 years in accredited law schools
o 11. Chancellor, vice chancellor, members of the corps of
Professional and Professorial Lecturers of the Phil Judicial
Academy
o 12. Governors and mayors

Others exempted:

13. Not in law practice, whether private or public

14. Those retired from law practice, with approval of

IBP Board of Governors
o Application for exemption:

A member showing good cause can have himself

excused from compliance with MCLE or have some
requirements modified, including time extensions

What is required here?

1. Under oath

2. Supported by documents
o What are the good causes, for instance?

1. Physical disability

2. Illness

3. Post-grad abroad

4. Proven expertise in law

What are the sanctions for failure to comply?
o 1. What is non-compliance:

Failure to complete education requirement within the

compliance period

Failure to provide attestation of compliance/exemption

Failure to provide satisfactory evidence of compliance

or exemption within prescribed period

Failure to satisfy education requirement and furnish

compliance within 60 days from receipt of noncompliance notice

Failure to pay non-compliance fee within prescribed

period

Any other act or omission analogous to foregoing or

intended to circumvent MCLE
o 2. Members not complying will:

Receive non-compliance notice stating deficiency

AND given 60 days from notification to file a response

o 3. Consequences of non-compliance:

Listed as delinquent member by the IBP Board of

Governors upon recommendation by MCLE
committee

Listing is administrative in nature by with notice and

hearing by committee on MCLE

What is the composition of the committee on MCLE?

o 1. Retired SC Justice (chairman)
o 2. IBP National President (vice chair)
o 3. Three other members

Nominated by PHILJA

Nominated by UP Law center

Nominated by Association of law Professors

o What is the quality of members?

Proven probity and integrity

o Compensation as may be determined by the SC

NOTARIAL PRACTICE

22

Who can be a Notary Public?

o 1. Filipino citizen
o 2. Over 21 years old
o 3. Resident in Philippines for at least 1 year and maintains
regular place of work/business in the city or province where the
commission is issued
o 4. Member of Philippine Bar in good standing

With clearance by Office of Bar Confidant of the SC

With clearance by the IBP

o 5. Not convicted in the first instance of any crime involving
moral turpitude
What is the term of office of a NP?
o 2 years from first day of January of the year when
commissioning was made
o Unless earlier revoked or the NP resigned
What is the jurisdiction of a NP?
o A NP can perform notarial acts in any place within the territorial
jurisdiction of the commissioning court within the regular
place of work or business
o EXCEPTIONS can perform notarial acts, upon request of
the parties in the following sites located within his
territorial jurisdiction:

1. Public offices, convention halls, similar places

where oaths of office may be administered

2. Public function areas in hotels and similar places

for signing of instruments or documents requiring
notarization

3. Hospitals and other medical institutions where a

party to an instrument or document is confined for
treatment

4. Any place where a party to an instrument or

document requiring notarization is under detention
What must the verified petition for a notarial commission contain?
o 1. Petitioners personal qualifications, including the petitioners
date of birth, residence, telephone number, professional tax
receipt, roll of attorneys number, IBP membership number
o 2. Certification of GMC

By at least 2 executive officers of the local chapter of

the IBP where he is applying
o 3. Proof of payment for filing of petition
o 4. 3 passport size photos with light background taken within 30
days of application

Unretouched

Sign name at the bottom part

Before the executive judge conducts a summary hearing, the
following are required:
o 1. Petition is sufficient in form and substance
o 2. He proves allegations contained in the petition
o 3. He establishes to the satisfaction of the executive judge that
he has read and fully understood the Rules
What are the powers and limitations of a NP?
o May perform the following:

1. Acknowledgements

2. Oaths and affirmations

3. Jurats

4. Signature witnessing

5. Copy certifications

6. Any other act authorized by the rules

o NP can certify the affixing of a signature or thumb mark on an
instrument or document for notarization if requisites:

1. The mark is affixed in the presence of the NP and

of 2 disinterested and unaffected witnesses to the
instrument

23

2. Both witnesses sign their own names in addition to

the mark

3. The NP writes below the mark: The thumb or other

mark affixed by (name of signatory by mark) in the
presence of (names and addresses of witnesses) and
undersigned notary public

4. The NP notarizes the signature by thumb or other

mark through an acknowledgement, jurat, or signature
witnessing
o NP is authorized to sign on behalf of a person who is physically
unable to sign or make a mark on an instrument requisites:

1. NP directed by person unable to sign or make a

mark to sign on his behalf

2. Signature of NP is affixed in the presence of two

disinterested an unaffected witnesses to the
instrument or document

3. Both witnesses sign their own names

4. NP writes below his signature: signature affixed by

notary in presence of (the names and addresses of
the 2 witnesses)

5. NP notarizes his signature by acknowledgement or

jurat
What is the notarial register?
o It is a permanently bound book with numbered pages
containing a chronological record of notarial acts performed by
the NP
o What is in the 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 instrument or proceeding

5. Name and address of principals

6. Competent evidence of identity as defined by the

rules if the signatory is not personally known to the
notary

7. Name and address of the witnesses

8. Fee charged

9. Address where notarization performed if not in the

notarys regular place of work or business

10. Any other important circumstance

What is a notarial certificate?
o The part of the notarized document/instrument that is
completed by the NP, bearing

1. His signature

2. His seal

3. The facts attested to by the NP

o What is in the certificate?

1. Name of notary public as indicated in his

commission

2. Serial number of the commission of the NP

3. Words Notary Public and the province/city where

commissioned, and expiration date of commission,
and office address of the NP

4. Roll of attorneys number, professional tax receipt

number, place and date of issuance, IBP membership
number
When is the NP disqualified to act?
o 1. He is a party to the instrument or document to be notarized
o 2. Will receive, as direct or indirect result, any commission, fee,
advantage, right, title, interest, cash, property, or other
consideration (except as provided by Rules/law)
o 3. Spouse, common law partner, ancestor, descendant, or
relative by affinity or consanguinity of the principal within
FOURTH civil degree
When must a NP refuse to notarize a document?
o 1. NP knows or has good reason to believe that the notarial act
or transaction is unlawful or immoral
o 2. Signatory shows demeanour which brings reasonable doubt
to the NPs mind that the signatory knows the consequences
of the transaction to be notarized
o 3. In the NPs judgment, the signatory is not acting on his own
free will
What are the other things a NP will not do?
o 1. Execute a certificate containing info known or believed by
the notary to be false
o 2. Affix a signature or seal on a notarial certificate that is
incomplete
o 3. Notarize a blank or incomplete instrument

24

4. Notarize an instrument without appropriate notarial

certification
When can a notarial commission by revoked by an executive
judge?
o For any ground on which an application for commission may
be denied
o Plus any of the grounds directly below.
When can the executive judge impose appropriate admin
sanctions on a NP?
o 1. Failing to keep a register
o 2. Failing to make property entries in the register
o 3. Failing to send copy of the entries to the executive judge
within first 10 days of the month following
o 4. Failing to affix acknowledgements the date of expiration of
commission
o 5. Failing to submit register, when filled, to the executive judge
o 6. Failing to make report, within reasonable time, to the
executive judge re: his performance of duties, when required
o 7. Failing to require presence of principal during notarial act
o 8. Failing to identify principal on the basis of personal
knowledge or competent evidence

What is competent evidence of identity?

Either:

1. At least one current ID issued by official

agency bearing the photo and signature of
the individual

2. Oath or affirmation of one credible witness

not privy to the instrument, document, or
transaction who is personally known to the
NP and who personally knows the individual
o Or two credible witnesses neither of
whom is privy, who each personally
knows the individual and shows to
the NP documentary identification
o 9. Executing false or incomplete certificate
o 10. Knowingly performing a prohibited act or failing to perform
a mandatory act

11. Committing any other dereliction or act which n the

judgment of the executive judge is a good cause to revoke or
impose sanctions
What is the procedure?
o How initiated?

1. Verified complaint by interested, affected, or

aggrieved person

2. Motu propio, by the executive judge

o The NP is required to file a verified answer
o If not satisfactory, the executive judge requires a summary
hearing
o If not proved:

complaint dismissed
o If charges established:

executive judge imposes sanctions

o What is the remedy?

Appeal to the SC for review

Pending appeal, sanction is executory unless ordered

by the SC
What are the special punishable acts?
o 1. Person knowingly acts or impersonates a NP
o 2. Knowingly obtains, conceals, defaces, or destroys the seal,
register, or official records of a NP
o 3. Knowingly solicits, coerces, or influences a NP to commit
official misconduct
o Who causes the prosecution thereof?

The Executive Judge

capacity, say he
has authority

Types of acts

Acknowledgement
Appear, give
integrally complete
document
Properly identified
Says signature is
voluntarily affixed
If in representative

Oath / Aff.
Appear

Jurat
Appear, give
document

Sig. Wit.
Appear, give
document

Properly
identified
Avows to truth
of contents of
document

Properly
identified
Signs the
document in
presence of NP
Take oath as to

Properly
identified
Sign the
document in
presence of NP

25

the document

ACKNOWLEDGEMENT
o 1. Individual appears before NP and presents an integrally
complete instrument/document
o 2. Attested to be personally known to the NP or identified by
the NP through competent evidence (see above)
o 3. Represents to the NP that the signature on the instrument
was voluntarily affixed by him for purposes stated in the
instrument

He declares that he executed it as free and voluntary

act or deed

If he acts in a particular representative capacity, that

he has authority
AFFIRMATION OR OATH
o 1. Individual appears before the NP
o 2. Is personally known to the NP or identified by the NP
through competent evidence (see above)
o 3. Avows under penalty of law to the whole truth of the
contents of the instrument or document
COPY CERTIFICATION
o 1. Notarial act where the NP is presented with an instrument
that is neither a vital record, public record, or publicly
recordable
o 2. Copies or supervises the copying of the instrument
o 3. Compares the instrument with the copy
o 4. Determines that the copy is accurate and complete
JURAT
o 1. Individual appears before the NP and presents an
instrument
o 2. Is personally known to the NP or identified by the NP
through competent evidence (see above)
o 3. Signs the instrument in the presence of the notary
o 4. Takes an oath or affirmation before the NP as to the
instrument
SIGNATURE WITNESSING

o
o
o

1.Notarial act where the individual appears before NP and

presents an instrument
2. Is personally known to the NP or identified by the NP
through competent evidence (see above)
3. Signs the instrument in the presence of the notary

associations
Ask/accept
gifts
Court staff
asking or
accepting
gifts
Appropriate
gifts only

JUDICIAL ETHICS
NOTE: the canons here are already from the NCJC

CANON 1 independence

Independence

Integrity

Impartiality

Propriety

Equality

Free from
extraneous
influence

Above
reproach;
perception

No bias or
prejudice

Social
diversity

From judicial
colleagues

Reaffirm
faith in
judiciary

No bias or
prejudice on
irrelevant
grounds

Professional
activity to
judicial duties

Anti
companerismo

Discipline
lawyers &
personnel

Conduct in
and out of
court
inspires
confidence
Lessen
chance of
being DQ

Avoid
impropriety,
and
appearance
thereof
Accept
personal
restrictions

Personal
relations with
lawyers
appearing
before him
Lawyers
using his
residence
Freedom of
expression,
belief,
assembly

No
differentiation

Enhance
knowledge or
skills

No
differentiation
by staff
Not allow
lawyers to
manifest bias
or prejudice
on irrelevant
grounds

Keep abreast
of I-Law

Family, social,
other relns
Other govt
branches

Society in
general

Uphold
safeguards

Inspire public
confidence

Making
comments
on cases
Self-DQ
(important)

Remittance
of DQ

Be informed
re personal
and family
interests
Using office
for private
interest;
giving wrong
idea
Confidentiality

Competence,
Diligence
Judicial duties
over
everything
else

Efficient
performance
of duties

Conduct and
decorum

Extracurricular
activities
Cannot
practice law
Judges

26

prerequisite to the Rule of Law and a fundamental guarantee of fair

trial
S.1: decide according to assessment of facts and understanding of the
law free from extraneous influence, pressure, threat or interference
(direct or indirect, from whatever quarter, or for whatever reason)
o Covers influence from:

1. Government officials

2. Public opinion, especially media

o Specifically, from S. 2-6:

S2. Judicial colleagues

S3. Another court or agency

S4. Relationships

S5. Other branches of government

S6. Society in general

S.2: independent of other judicial colleagues, if he has to make a
decision independently
S.3: refrain from influencing outcome of litigation or dispute before
another court or agency
o Companerismo due to this camaraderie, judges seek
accommodations from other judges (ex. Provisional remedies,
favorable decisions, etc.)
o Leads to quid-pro-quo
o N.B. in the CJC, this was classified under propriety but now it
is deemed an independence issue
S.4: not allow family, social, or other relationships to influence judicial
conduct. Also:
o 1. Not use or lend prestige of judicial office to advance private
interests of others

2. Not convey (or permit others to convey) that they are in a

special position to influence the judge
o What is the expanded definition of the judges family
under this section?

1. Those related by blood or marriage up to the sixth

civil degree

2. Those in the judges employ

3. Those living in his household

o The social and other relationships cover business associates,
fraternity and sorority mates, those from the same
organization, etc. Decisions are usually controlled by
pakikisama
o Labor union X gave money to Judge A. A accepted it but
gave the money away. Is this prohibited by this section?

Yes, because it gave the union the impression that it

was in the position to influence the judge.
o N.B. in the CJC, this was classified under propriety but now it
is deemed an independence issue
S.5: must appear free from inappropriate connections with and influence
by the other branches of government to a reasonable observer
o Not just actually free from such, but this also covers the
appearance
o Internal personnel issues are dealt with by the court; cannot
ask other branches or an LGU to do so
S.6: independent in relation to society in general and in relation to
particular parties to a dispute
o Not necessarily become a hermit but at least avoid fraternizing
to a point that would arouse suspicions
S.7: encourage and uphold safeguards for discharge of judicial duties
o To maintain/enhance institutional and operational
independence of the judiciary
S.8: exhibit and promote high standards of judicial conduct to reinforce
public confidence in the judiciary
o Focus here: inspiring public confidence in judiciary

CANON 3 impartiality

CANON 2 integrity

Examples of lack of professional integrity:

Lack of GMC,

demand or accepting bribes,

fraternizing with litigants,

sexual harassment,

ignorance of the law

o Examples of lack of personal integrity:

keeping a mistress,

inebriation,

frequent gambling
o Examples of damaging integrity of judiciary:

incompetence such as failing to comply with a basic

rule in the ROC,

conducting hearings in their residence,

using intemperate language,

even not wearing judicial robes

S.2: behaviour and conduct of judges must reaffirm peoples faith in the
integrity of the judiciary. Justice must not be merely done, but also
seen to be done.
o The last sentence is important because it also involves
perception by the public.
o Like Caesars wife, he must not just be pure, but also beyond
suspicion.
S.3: judges must take disciplinary action against lawyers or court
personnel for unprofessional conduct of which the judge became aware
o The actions of the court personnel must also affirm the integrity
of the judiciary
o Judge must be aware of even the slightest transgressions,
before these ripen into something bigger or worse

S.1: conduct must be above reproach AND it must be perceived so by a

reasonable observer

27

Essential to proper discharge of office.

Applies to both the decision and the process by which it is made.
o So if the decision is fair but the manner appears biased, there
is still a violation.
S.1: judges must perform judicial duties without favor, bias, or prejudice

Note that mere allegations are not enough. The complainant

has the burden of proof. There must be clear and convincing
evidence.
o What must be proved?

Extra-judicial Source Rule- that the decision was

based on some influence other than facts or laws
presented in the courtroom

If the decision was based on evidence and testimony

presented, even if erroneous, it will not sustain a
claim of favor/prejudice/bias
S.2: judges must ensure that their conduct in and out of the court
maintains and enhances confidence of the public, litigants, and the legal
profession in the impartiality of the judge and the judiciary
o No judge should handle a case where he might be perceived,
rightly or wrongly, to be biased or partial

Ex. A judge asked for the presentation of specific

documentary evidence without corresponding motion
from any of the parties

Ex. Judge pushes actively for amicable settlement

against the wishes of the complainant
o A judge may not be legally prohibited from sitting in litigation,
but when suggestion is made on record that he might be
biased, he must conduct a careful self-examination.
o When can a judge ask a witness questions?

To clarify vague points, clear ambiguity

S.3: must conduct selves in manner as to minimize occasions where it
will be necessary for them to be DQ from hearing/deciding cases
o This is a warning against fraternizing too much with litigants
o Judges may voluntarily restrict selves from hearing a case but
it must be based on good, sound, ethical grounds, or just/valid
reasons
o When there is conflict between duty to inhibit and duty to
sit (i.e. there will be no judge otherwise available), what
prevails?

Duty to sit. A basic judge is better than no judge at

all.

Ex. The SC members decided a suit challenging the

constitutionality of a statute limiting the increases on
cost of living allowances of judges. While they have

28

an interest in the case, there would be no one else to

decide.
S.4: cannot knowingly, when a proceeding is before or could come
before him, make any comment that might reasonably be expected to
affect the outcome of the proceeding or impair manifest fairness of the
process
o Judges cannot make comments in public that might affect fair
trial
o Ex. Made a prior comment in a case he decided where his
opinion may lead a party to doubt his impartiality
o BUT merely writing a legal article on the law involved in the
case is not a ground to DQ the judge
o Must not make hasty conclusions, loose statements, or
gratuitous utterances that suggest prejudgment should not
make comments on pending cases
o But a statement that is critical of a party or counsel generally
does not support motion for DQ
S.5: disqualify themselves from participating in proceedings where they
cannot decide impartially, or it may appear so to a reasonable observer.
Such as:
o 1. Judge has actual bias or prejudice re: a party or
personal knowledge of disputed evidentiary facts on the
proceedings

Mere filing of admin case against a judge is not a

ground for DQ on the ground of bias/prejudice

That the judge is a next-door neighbour of the

complainant is not a ground per se

Strained personal relationship per se is not a ground

Judge cannot make out-of-court observations or

extra-judicial research on the internet
o 2. Judge previously was a lawyer or material witness in
the controversy

Also, if formerly associated with one of the parties or

counsel

Also, ex. Judge notarized the affidavit to be

presented as witness in a case before him
o 3. Judge or family member has economic interest in the
outcome of the controversy

Ex. A judge filed complaints in his own sala for

robbery/malicious mischief and issued warrants of
arrest, to protect interest of co-heirs

Ex. The law firm of the judges family member is the

counsel of record (he has economic interest)

But a mere associate or counsel will not

trigger the DQ because there is generally no
economic interest
o 4. Judge served as executor, administrator, guardian,
trustee, or lawyer in the case or matter of controversy;
former associate of the judge served as counsel during
their association; judge or lawyer was material witness in
the case

Restriction extends even to closely related cases

o 5. Judges lower court ruling is the subject of review
o 6. Judge is related by consanguinity or affinity to a party
th
litigant within 6 civil degree, or counsel is a relative
th
within 4 civil degree

Covers preliminary investigation as well, as even if it

is not a case per se, the effect is the same.
o 7. His spouse or child has financial interest as heir,
legatee, creditor, fiduciary or otherwise in the subject
matter of the controversy or a party to the proceeding, or
any substantial interest that could affect proceedings

Philippine jurisprudence doesnt distinguish between

direct and indirect interest

Even if it is according to law, to avoid perceptions of

impropriety, the judge must inhibit

The petition to DQ a judge must be filed before

judgment, otherwise it is deemed waived
S.6: a judge instead of DQ-ing himself, may instead disclose the basis
for DQ to the parties. If the parties and lawyers, independent of the
judges participation, all agree in writing that the DQ is immaterial or
insubstantial, the judge may participate. (remittal of disqualification)
o The agreement in writing is incorporated in the records.
o The judge must expressly cite the basis, and not just a general
inhibition based on personal reasons because parties have
no basis to decide.
o Who must waive?

Both lawyers and parties

If not all, it does not suffice

CANON 4 propriety

29

S.1: judges must avoid impropriety and the appearance of impropriety in

all activities
o An act of a judge that is not illegal per se can violate the NCJC.
o Ex. Hearing cases on official leave day
o Ex. Hearing a motion while on vacation, while dressed in a
polo jacket
o Ex. Photos show a judge and his subordinate exiting a motel
together
o Ex. A judge cracking bastos jokes during the proceedings
S.2: as subject of constant public scrutiny, judges must accept personal
restrictions the might be viewed as burdensome by ordinary citizens
must do so freely and willingly.
o Judicial officers subject to scrutiny in both public and private
conduct

Ex. Using intemperate language

Ex. Being drunk in parties

Ex. Being ma-chicks

o Must not perform acts that show disregard for the law/judiciary

Ex. Pattern of hostile conduct towards attorney,

making derogatory and obscene references to
members of the bar in a social setting
S.3: in personal relations with lawyers who practice regularly in his court
must avoid situations that give rise to suspicion or appearance of
favouritism or partiality
o Not invite counsel from one side into chambers after or prior to
court sessions without disclosing to the other counsel the
reason for the meetings
o Being aggressive in demeanour towards a lawyer appearing
before them, making public comments, allowing court staff to
make comments on pending cases
o Fraternizing with lawyers, such as being seen in public eating
with them in restaurants
o A judge must not be too thin-skinned in his relationship with
lawyers (such as being too sensitive to comments)

S.4: judges cannot participate in the determination of a case where a

member of his family represents a litigant or is associated in any
manner with the case
o When the relative is a party to the case or a lawyer
S.5: judges must not allow use their residences by a member of the
legal profession to receive clients or other members of the legal
profession
S.6: judges are entitled to freedom of expression, belief, association,
assembly.
o But in doing so, they must act in a manner that preserves
dignity of judicial office and impartiality/independence of
judiciary.
o Ex. A judge appeared to be engaging in partisan politics by
participating in a public rally even if his real purpose was just to
explain the concept of block voting to the public. He was
admonished.
S.7: must inform selves about personal fiduciary and financial interests
and make reasonable efforts to be informed about financial interests of
their family.
o Read R.A. 6713: judge must refrain from financial and
business dealings that tend to reflect adversely on the courts
impartiality, interfere with proper performance of judicial
activities, or increase involvement with lawyers likely to come
before the court.
o Mutual fund investments: avoids conflict of interest in equity
stock investments, because the holder is not considered to
have financial interest in the underlying stocks in the fund.
S.8: judge must not use office to advance private interests. He also
must not give the impression that he can be influenced to use the office
to advance others private interests.
o Ex. Filing a case for another persons behalf or assisting in
securing a warrant of arrest for another.
o Ex. Posting advertisements for restaurant personnel on the
court bulletin board and using his court address to receive
applications (using court facilities for private business)
o Also, using judicial power to exact vengeance is a common
problem, like using position to avoid traffic tickets or to get
back at a personal enemy.

30

S.9: confidential information acquired in judicial capacity must not be

used/disclosed for any other purpose
o Ex. Allowing wife to access confidential records
o Ex. Revealing court orders not through the court docket, but
personally to a litigant, in order to have that party negotiate for
increases in the monetary award
S.10: judges may (subject to proper performance of duties):
o 1. Write, lecture, teach, participate in activities concerning the
law, legal system, etc.
o 2. Appear at public hearing before an official body concerned
with matters relating to law, legal system, etc.
o 3. Engage in other activities if these do not detract from dignity
of the judicial office or interfere with judicial duties
o What is the limitation in the constitution for #2?

Judges cannot be designated to agencies performing

quasi-judicial or administrative functions.

BUT they can still reasonably assist them, as partial

involvement is fine.
o What is the limitation for #3?

Judge may not engage in private business without

written permission by the SC.
S.11: cannot practice law while holding judicial office
o Because there is inherent incompatibility of rights, duties,
functions of attorneys and judges
o Take note of expanded definition of practice of law which can
include:

Interpreting wills, contracts, trust agreements

Giving legal advice in general

Etc.
o This prohibition also covers situations when the judge subtly
act as advocate and not judge. Ex. Is giving advice to a
complainant.
o Can a judge notarize a document?

Generally, no.
o Exception requisites?

1. All notarial fees must be charged to governments

account

2. AND certification made in the notarial documents

that there is lack of lawyers or notary in the
municipality or circuit
S.12: judges may form or join associations of judges or organizations
representing judges interests
o As opposed to appearing in events hosted by lawyers, which
may create appearance of impropriety.
o And they may not use resources of the government.
S.13: judges and members of their family cannot ask or accept any gift,
bequest, loan, or favor in relation to:
o Anything done within judicial duties
o Anything omitted but are otherwise within judicial duties
o Note: this also violates the anti-graft law (RA 6713)
S.14: in relation to prior section, judges must not knowingly permit court
staff/others subject to his control to perform the same acts above
o This also covers subtle circumventions of the prohibition. Ex.
Judge using money or property in custodia legis for personal
use.
S.15: judges may receive token gifts, awards, or benefits appropriate to
certain occasions when made, provided that it is not reasonably
perceived as intended to influence him or giving rise to partiality
o Subject to law/requirement of public disclosure
o What are the gifts allowed to be received by judges from
foreign countries, under RA 6713?

1. Gift of nominal value as souvenir or mark of

courtesy

2. Scholarship, fellowship grant, or medical treatment

3. Travel grants or expenses for travel entirely abroad

of more than nominal value if:

Acceptance is consistent with Philippine

interest

And approved by head office, branch, or

agency to which the judge belongs

CANON 5 equality

This is not found in the two prior codes. This is consistent with the UN
Charter, UNDHR, CRC, and CEDAW.

31

S.1: judges must be aware of and understand societal diversity (sex,

race, religion, etc.).
o Must avoid preconceptions.
o Minority status must not play a role in the decision.
o Even in rape cases, cannot use derogatory or condescending
language.
o Consistent with formation of Committee on Gender
Responsiveness in the judiciary (2003) and its Gender and
Development Mainstreaming Plan for the Philippine judicial
system
S.2: judges must not by words or conduct manifest bias or prejudice on
irrelevant grounds
o No derogatory language, no distasteful jokes, etc.
o Must not show bias like advising a party what the best action to
take
S.3: must carry out judicial duties with appropriate consideration for all
persons (parties, witnesses, lawyers, court staff, colleagues), without
differentiation on irrelevant grounds
o Judges must be patient, conscientious, courteous, punctual,
etc.
o Must not have a controversial tone. Must act with decorum.
Must not use arrogant, intemperate, or sarcastic language.
o Must not unduly interfere with proceedings with haste.

Although the judge may ask clarificatory questions.

But not questions that destroy the theory of a party.

Judges participation must not strengthen or destroy

any partys case.
o Judges must admonish lawyers who also act out of line.
S.4: judges must not 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 relevant ground
o BOTTOMLINE: not allow court staff to discriminate
o Must not allow concepts like pakikisama or other misdeeds to
frustrate administration of justice
o Acts of personnel must be beyond reproach
S.5: judges must require lawyers before the court to not manifest, by
words or conduct, bias or prejudice on irrelevant grounds
o Censure lawyers who use sexist language, inappropriate
behavior, etc.

Correlate with:

A. Rule 12.07 of the Code of Professional

Responsibility lawyer must not abuse, browbeat,
harass a witness

B. Rule 132 of the ROC, discussing witness rights:

No irrelevant, improper, insulting questions

Not detained longer than required

Not examined on impertinent issues

Not to give answer tending to subject him to

penalty for offense unless provided by law

Not give answers tending to degrade

witness reputation

CANON 6 competence and diligence

Competence and diligence are pre-requisites to due performance of

judicial office.
S.1: judicial duties of judge take precedence over all other activities
o Judge has a duty to sit, even if the case is difficult or
controversial
o Unless he is disqualified
S.2: judges devote professional activity to judicial duties. This includes
not just judicial functions and responsibilities in court and making
decisions, and other relevant tasks to the judicial office.
o Usual violation: failure to keep records or handle funds
properly
o Relevant defense: caseload is due to unusual absence of
another magistrate
o Not relevant: general insufficiency of staff
S.3: take reasonable steps to maintain and enhance knowledge, skills,
personal qualities for proper performance of duties
o Take advantage of training and other facilities which should be
made available to judges
o Usual violation: gross ignorance of the law or procedure

Against judges of regular courts, special courts, CA,

or SB and instituted by the SC
o Ignorantia legis neminem excusat.

But not every wrong ruling is punishable. GF,

absence of malice, corruption, or gross ignorance is a
defense.
o What is the nature of administrative action?

It is an exceptional remedy.

GENERALLY: resort to MR, MNT, appeal, certiorari,

mandamus, or prohibition.
S.4: keep abreast of developments in International Law including
conventions and HR instruments
o Because through incorporation and transformation, these
become part of the law of the land
S.5: perform all judicial duties, including delivery of reserved decisions,
efficiently, fairly, and with reasonable promptness
o Relate to Rule 124, S.1 of the ROC: justice must be impartially
administered without unnecessary delay.
o This duty includes administration of a judge of his office and
administrative matters.
o Relate to Canon 4, rule 10 of the NCJC: a judge may teach,
write, appear in public hearing, etc. as long as these do not
interfere with judicial duties
S.6: maintain order and decorum in all proceedings before the court and
be patient, dignified, courteous in relating to litigants, witnesses,
lawyers, and others he deals with in official capacity. Require the same
conduct from people under his control.
o Must exhibit temperament of utmost sobriety. Must be
courteous and respectful. Courts are made for litigants, and
not litigants for the courts.
o Must also be punctual.
S.7: judges must not engage in conduct incompatible with diligent
discharge of duties
o This covers financial and business dealings that are adverse to
courts impartiality, interfere with performance of judicial
activities, or increase involvement with lawyers hell likely deal
with in court
o Private activities must not interfere with judicial duties

Discipline of judges of regular and special courts and justices of the CA/SB

32

What are the grounds?

A. Serious charges:

[Crime related]

1. Bribery (indirect/direct)

2. Dishonesty and violations of RA 3019

3. Conviction of crime of moral turpitude

[Performance related]

4. Gross misconduct constituting violations of CJC

5. Knowingly rendering an unjust judgment or order

As determined by a competent court in an

appropriate proceeding

6. Gross ignorance of the law or procedure

[Debt-related]

7. Wilful failure to pay a just debt

8. Borrowing money or property form lawyers/litigants

in a case pending before the court

[Character-related]

9. Immorality

10. Partisan political activities

11. Alcoholism and /or vicious habits

o B. Less Serious charges:

[Delay related]

1. Undue delay in rendering decision or order, or

transmitting records of a case

2. Frequent and unjustified absences without leave or

habitual tardiness

[Violation of SC rules]

3. Unauthorized practice of law

4. Violation of SC rules, directives, circulars

5. Receiving additional or double compensation

unless authorized by law

6. Untruthful statements in the certificate of service

7. Simple misconduct
o C. Light charges:

1. Vulgar and unbecoming conduct

2. Gambling in public

3. Fraternizing with lawyers and litigants with pending

cases in his court

4. Undue delay in the submission of monthly reports

What are the options for sanctions for serious charges?

33

1. Dismissal from service, forfeiture of benefits, DQ from

reinstatement in any public office (even GOCCs)

N.B. except accrued leave credits: not forfeited

o 2. Suspension without salary/benefits for 3-6 months
o 3. Fine of P20K-P40K
What are the options for sanctions for less serious charges?
o 1. Suspension from office without salary and other benefits for
1-3 months
o 2. Fine of P10K-P20K
What are the options for sanctions for light charges?
o 1. Fine of P1K-P10K
o 2. Censure
o 3. Reprimand
o 4. Admonition in writing
What is the procedure involved?
o 1. Complaint instituted:

A. Motu propio by the SC

B. Or upon verified complaint

Supported by affidavits of persons with

personal knowledge

Or documents

C. Or anonymous complaint

Supported by public records of indubitable

integrity

What is the form of the complaint?

1. In writing

2. State the violation

What if it is not sufficient in form or substance?

Dismiss
o 2. Serve copy upon respondent files comment within 10 days
from date of service

Or wait for 10 days to expire

o 3. SC forwards matter to:

A. Office of the Court of Administrator for evaluation,

report, recommendation, or

B. To a judge/justice for investigation, report,

recommendation

1. Retired member of SC, if over CA justice

2. CA justice, if RTC judge or special court of

equal rank

3. RTC judge, if MTC judge

4. Hearing set and notice given to parties

Terminate within 90 days

SC may grant extension

5. Report submitted to the SC

30 days from termination of investigation

SC takes action

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