CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL MONEY  If the client’s interests are fully protected by the nature
interests are fully protected by the nature of the
AND PROPERTIES OF HIS CLIENT MAY COME INTO HIS
POSSESSION
In so far as his client is concern, there are DUAL ROLES OF
THE LAWYER:
1. that of a fiduciary or a trustee – at most good faith and fidelity
on the part of the lawyer; strict compliance with canon 14-22
2. as agent of the client – to appear in court as representative of
the client, binds the client in matters of procedure; foremost an
officer of the court
Regala vs Sandiganbayan
The Supreme Court made it clear that the lawyer is more than an
ordinary agent, he is an officer of the court. The lawyer controls the case
and if his client insists on illegal means, it is the lawyer’s ethical duty not to
follow the client’s instructions.
An ordinary agent would have to follow principal instructions.
But the lawyer may or may not follow; it depends on the lawyer’s
discretion. IT’S MORE THAN AN ORDINARY AGENT.
EXAMPLES WHERE A LAWYER BREACH HIS CLIENT’S TRUST
IN TERMS OF HANDLING MONEY OF THE CLIENT
1. Misappropriation by lawyer of rentals
This happened in an ejectment case to evict a tenant or leasee
who has not been paying rentals which violated the contract. An incidental
relief would be the payment of the unpaid rentals while the case is still
pending. Unknown to the client who is the landlord, the tenant has been
paying to the lawyer. The lawyer did not tell his client and instead used it
for himself.
It even constraint the client to look for another lawyer just so he
can file a collection suit against his other lawyer.
2. Securing money from client for fictitious bond and appropriating the
same
Misappropriating money given by client to be used for amicable
settlement. In fact, the lawyer did not even attempt to enter into amicable
settlement and just pocketed the same.
16.01 – A lawyer shall account for all money or property collected or
received for or from the client. - SELF-EXPLAINATORY
Q: Why should a lawyer account?
A: because the money or the property is not his.
16.02 - a lawyer shall keep the funds of each client separate and apart
from his own and those of others kept by him
 No co-mingling of funds – do no mingle your own funds with
client funds or if you are handling funds of different client, keep
all of them separate.
REASONS:
1. If you co mingle, you will be confused after some time.
 How much go to whom? How much do I own here and how
much will go to my client?
2. To prevent temptation on the part of the lawyer to appropriate client
funds.
REPERCUSSIONS OF UNLAWFUL RETENTION OF CLIENT
FUNDS – because it is a violation of Canon 16, ADMINISTRATIVE
LIABILITY
Q: Can it constitute contempt of court?
A: YES. It is a ground for indirect contempt of court. It is the officer of
the court who misbehaves in his official functions. There could be also
criminal and civil prosecution. If all elements of Estafa are there, then he
can also be sued for Estafa.
Q: Can a lawyer borrow money from the client?
A: GR: NO.
REASON:
 The lawyer might take advantage of his legal superiority.
 There is also moral ascendancy.
 There can also be an undesirable effect on the lawyer.
o A client might propose illegal means and kay maikog
man ka, so sugot nlang ka because you are indebted
to your client.
Exceptions:
case or by independent advice.
o Let’s say your client is himself a lawyer (successful
in civil litigation and mercantile law). You may
borrow from that client, it may fall under the
exception. Your client is protected of independent
advice. Client knows the law, he as a lawyer also
knows that you cannot really take advantage.
 YOU ARE CONSIDERED TO BE
EQUALLY BALANCED
o Let’s say your client is a bank. Can you borrow from
the bank? YOU MAY, because the bank is protected
by independent advice. Aside from you, it also has
other lawyers to protect its interests.
OTHER SIDE OF THE COIN: Can a lawyer lend money to his client?
GR: NO, same reason why he cannot borrow.
Exceptions: When in the interest of justice, he has to advance necessary
expenses in a legal matter he is handling for his client.
 You have finished your position paper, deadline tomorrow. The
pages for your position paper is very2 thick to be submitted to
many respondents. Then you realize that you need to get money
for photocopying and mailing expenses. The client cannot give
you the money, but promise to reimburse you afterwards.
Q: Can the lawyer shoulder the expense and extend it by way
of a loan? YES
 Client borrow money from lawyer for the tuition fee of his
children. Can the lawyer lend? NO, the law is very particular.
The loan must be necessary, a legal expense in a legal matter that
the lawyer is handling.
 Q: Can a lawyer enter into business transaction with the client?
YES, it is allowed because there is no prohibition. He is not
barred from dealing with his client but he transaction must be
exercised with outmost honesty.
16.03 A lawyer shall deliver the funds and property of his client when
due or upon demand. However, he shall have a lien over the funds and
may apply so much thereof as may be necessary to satisfy his lawful fees
and disbursements, giving notice promptly thereafter to his client. He
shall also have a lien to the same extent on all judgements and
executions he has secured for his client as provided for in the Rules of
Court.
“black font – GR, SELF-EXPLANATORY
red and Blue – EXCEPTIONS – instances that the lawyer can retain
funds and property of the client” – MAO NI GIINGON NI ATTY ANI
HAP! D AKO!
Red Part – pertains to Retaining Lien
Blue Part – Charging Lien
2 KINDS OF ATTORNEY’S LIENS
1. RETAINING LIEN – also known as the general or a possessory lien
 This is the right of the lawyer to withhold his clients’ property
(funds and documents) that lawfully comes to his possession
until payment of his attorney’s fees.
Why the recognition of the attorney’s lien?
-It is but not natural that the lawyer be secured in the fruits of his
professional labor.
-Proper administration of justice cannot be secured without an intelligent
and prosperous bar. (STANSELL VS ROACH, 29 ALR 143)
*Let’s say the lawyer has in his possession the client’s original title to his
property. Time passed, wa nay bayad2 ang client then he wants to get back
the title because he needs it.
-the lawyer says he will return his title if the client will pay his
attorney’s fees.
Q: Can the lawyer do that?
A: YES. That is the Retaining Lien. The lawyer can retain funds and
documents of the client until he is paid of his attorney’s fees.
2. CHARGING LIEN – also known as special particular possessory lien
 -this is the right of the lawyer to request the court to annotate his
claim for attorney’s fees in what ever recoveries made by the client prom
the losing adversary.
A lawyer shall have a lien:
 upon all judgments for the payment of money, and executions
issued in pursuance thereof
 which he has secured in a litigation for his client
 from and after the time when he shall have caused a statement of
his claim of such lien to be entered upon the records of the court
rendering such judgment, or issuing such execution and
 shall have caused written notice thereof to be delivered to his
client and to the adverse party
4 REQUISITES:
 the lawyer has won the case for the client, it is already final and
executory
 it is a money judgment
 the lawyer must annotate his claim for attorney’s fees in the
record of the case
 written notice to the losing party and to his client
Q: If the lawyer has done all four, what is the effect?
A: The lawyer now gets a portion of the winnings to the extent of his unpaid
attorney’s fees.
Let’s say the lawyer has won the case for the client and the
judgment award is 100K. The lawyer has an amount of unpaid attorney’s
fees of 30K, he annotate his claim and give written notice to his client and
the losing party.
Q: What is the effect?
A: The lawyer gets 30K, only 70K goes to his client.
*The purpose of the attorney’s lien is to make collection of attorney’s
fees easier. It is sort of a security device to ensure that lawyers will get
paid. Usually, lawyers utilize this liens with difficult client, d jd
mamayad.
RATIONALE OF ATTORNEY’S LIEN:
It is but natural that the lawyer shall be secured of fruits of his
professional labor. Di man jud pwede nga cge lang jd kag pro bono. You
have to earn a livelihood. Used to pay his legal staffs also. It does not mean
nga pro bono man to nmu, pro bono ra pd sa imo staffs, it cannot be.
BASIS: Rules of Court
An attorney shall have a lien upon the funds, documents,
papers of his client which have lawfully come to his possession and may
retain the same until he’s lawful fees and disbursements have been paid
and may apply such funds to such satisfaction thereof.
The lawyer shall have the same right and power over such judgments and
executions as his clients would have in order to enforce his liens and secure
the payment of his just fees and disbursements.
As a result a legal fiction is created. It is as if the lawyer won or the
prevailing party litigant in the case. But the execution of the money
judgment in his favor extends only in so far as the amount of his fees and
disbursements.
LIMITATIONS OF A RETAINING LIEN
1. funds, documents, papers only
 if a lawyer has in his possession a car of the client, the latter did
not pay. The lawyer decided that he will not return the car unless
he is paid of attorney’s fees. – NOT ALLOWED BECAUSE IT
IS ONLY LIMITED TO FUNDS, DOCUMENTS AND PAPER
ONLY, NOT ON OTHER KINDS OF PROPERTIES
2. the thing retained should have lawfully come into possession of the
lawyer under circumstances consistent with the enforcement of a lien
for services
 thus a retaining liens does not apply to funds coming into the
lawyers possession in trust
 “Mam we need to post a cash bond kay maoy gi require sa court”
Client agreed and gave you cash. Can you decide not to post the
bond and just apply the money to the client’s unpaid attorney’s
fees? NO, IT DOES NOT APPLY TO FUNDS COMING INTO
A LAWYER’S POSSESSION IN TRUST FOR A
PARTICULAR PURPOSE
3. a lawyer cannot retain files the client needs to pursue his case
 So if the client fires you and he needs the files, you did not give
it because of his unpaid dues. But the client needs the documents
to pursue his case. Then there can be no retaining lien.
CHARGING LIENS
1. the lawyer has won the case for the client, it is already final and
executory
2. it is a money judgment
3. the lawyer must annotate his claim for attorney’s fees in the record of
the case
4. written notice to his client AND TO THE ADVERSE PARTY
*The lawyer shall have the same right and power over such judgments and
executions as his client would have in order to enforce his need
-so a legal fiction is created – it is as if the lawyer won or is the
prevailing party litigant in the case – but the execution of money
judgment in his favor is only as so far as the amount of his fees.
Let’s say all the requisites have been complied with but the
losing party paid the entire money judgment to the client.
Q: Can the lawyer still collect FROM THE LOSING PARTY?
A: YES, because that’s the effect of a charging lien. The losing party cannot
claim ignorance because he has been notified but nonetheless he paid
everything to the winning party.
REMEDY OF THE LOSING PARTY: Reimbursement from
the winning party on the ground of UNJUST ENRICHMENT.
Q: Do you consider amicable settlement as a winning claim?
A: Go back to the rules of court. It says all judgments for the payment of
money xxx which he has secured for his client.
-strictly construe – it refers only to decisions rendered by the
court
LIMITATIONS ON THE CHARGING LIEN
1. applies only to a specific action in which the charging lien is recorded
Let’s say the lawyer is handling many cases for the client. They
have won Case1 and the charging lien is recorded therein. Then the lawyer
realizes that he has still unpaid attorney’s fees in Case2, 3 and 4, he also
applied the charging liens to them.
Q: can that be?
A: NO, because it is a particular lien, applicable only to that case where it is
recorded.
2. Favorable money judgments and execution pursuant thereto
The lawyer won the case for the client and the dispositive portion
says, “wherefore premises considered, judgment is hereby rendered
declaring complainant ABC corporation as the rightful owner of lot #
1234. Accordingly, XYZ corporation is directed to deliver ownership
and possession of the said Lot # 1234 as well as TCT #8 covering such
property to complainant.”
Q: Can there be charging lien?
A: NO. It is not a money judgment. It is a delivery of a property
What if the dispositive portion says. “wherefore premises
considered, the marriage between complainant and defendant declared
null and void ab initio by reason of psychological incapacity”
Q: Can there be charging lien?
A: NO.
“wherefore, premises considered, the contract between
complainant and defendant is declared valid and hence, defendant is
directed to repair the vehicle of the complainant in accordance with the
provisions of the contract”
Q: Can there be a charging lien?
A: NO. not a money judgment but for specific performance
DISTINGUISH RETAINING LIEN AND CHARGING LIEN
*SLIDES:
Retaining Lien Charging Lien
Nature Passive Active
General Specific
Basis Lawful possession of securing favorable
papers, documents and money judgment for
funds belonging to client
client
Coverage Only documents, Covers all judgments
papers and funds in the for the payment of
lawful possession of money and executions
the lawyer by reason pursuant thereto
of his professional
employment
Effectivity As soon as lawyer As soon as claim for
takes possession lien is entered into the
records of the case
Notice Client need not be Client and adverse
notified party must be notified
Applicability May be exercised Exercised only when
before judgment lawyer has already
execution or regardless secured a favorable
thereof money judgement

DISCUSSION
 RL – passive and general
o CL – active in the sense that it does not become
effective without any action on the part of the lawyer
-specific because it pertains only to the case in which
it is recorded
 BASIS OF RL – lawful possession of papers documents and
funds belonging to the client
o BASIS OF A CL – favorable money judgment
 COVERAGE OF RL – documents papers funds
o COVERAGE OF CHARGING LIEN – money
judgments
*When does RL take effect? – As soon as the lawyer takes possession
*When does CL take effect? – As soon as it is annotated in the records of
the case
*Is notice required for RL? NO, it becomes automatic as soon as the
lawyer takes possession.
*Is notice necessary before CL can be imposed? YES. Notice to the
LOSING PARTY AND TO THE CLIENT.

 APPLICABILITY OF RL – maybe exercised before judgment

or execution or regardless thereof
Q: Can you exercise RL even if you are not handling litigation
for the client? – Let’s say simply advisory, but you have funds
and documents of your client – YES. It is not dependent on any
favorable outcome of the litigation.
o APPLICABILITY OF CL – there must be a
favorable money judgment

Rule 16.04 - A lawyer shall not borrow money from his client unless the
client’s interests are fully protected by the nature of the case or by
independent advice. Neither shall a lawyer lend money to a client
except, when in the interest of justice, he has to advance necessary
expenses in a legal matter he is handling for the client.

BUSINESS TRANSACTIONS WITH CLIENTS:

-lawyer is not barred from dealing with his client with the business
transaction must be characterized with utmost honesty and good faith.
(NAKPIL VSVALDEZ, AC NO 2040, MARCH 4, 1998)
-much higher standard of good faith is required compared to business
transactions that are at arm’s length.
CANON 18 - A LAWYER SHALL SERVE HIS CLIENT WITH -lawyer must inform the client of the status of the case
COMPETENCE AND DILIGENCE.
He has a duty to keep his client informed but clients have
Rule 18.01 - A lawyer shall not undertake a legal service which he corollary duty also to be in contact with his counsel from time to time to be
knows or should know that he is not qualified to render. However, he informed of the progress of his case
may render such service if, with the consent of his client, he can obtain There are instances where lawyers are hired by clients and the
as collaborating counsel a lawyer who is competent on the matter. latter will just disappear. And what if the lawyer needs the client’s
assistance in gathering documentary evidences? Or locating and identifying
witnesses? No cooperation from the client.
You can say that you are not competent in that field of law
It does not mean that a lawyer took the case, he can be the
anymore. Lawyers are only human; you cannot expect him to know all
detective. There are matters which needs the client’s participation. NO
cases. It would be unethical for a lawyer to take a case knowing that he is
PRUDENT PARTY WOULD LIVE HIS CASE ENTIRELY TO HIS
not competent to handle it.
LAWYER.
Q: But can he still handle it even if he is incompetent?
A: YES. but he must he collaborating counsel who is competent of that
SLIDES: EFFECTS OF NEGLIGENCE AND INCOMPETENCE OF
matter WITH THE CONSENT OF THE HIS CLIENT.
COUNSEL:
18.02 – A lawyer shall not handle any legal matter without adequate
CIVIL CASES
preparation.
 -retrial may be conducted
18.03 - - A lawyer shall not neglect a legal matter entrusted to him, and  -courts are slow in setting aside judgments in civil cases
his negligence in connection there with shall render him liable.
CRIMINAL CASES
SLIDES: Effects of negligence and incompetence of lawyer:  -criminal conviction may be set aside if the errors of the defense
 disciplinary action against the lawyer counsel were shocking that they deprived the accused of the
constitutional right to effective counsel. (MCMANN VS
 malpractice suit for damages
RICHARDSON, 387 US 759)
 a criminal conviction may be set aside
 -conviction may be set aside but accused must show that his
 a retrial may be had in civil cases
counsel’s acts or omissions “were outside the range of
professionally competent assistance”. Furthermore, the acts or
omissions must have caused actual prejudice, not just some
conceivable effect on the outcome of the case. (STRICKLAND
DISCUSSION: Let’s go to the matter of negligence
VS WASHINGTON 466 SCRA 668)
EFFECTS OF NEGLIGENCE AND INCOMPETENCE OF A
LAWYER:
DILIGENCE REQUIRED OF COUNSEL:
1. Obviously, you have administrative liability
2. There could be a malpractice suit for damages – CIVIL
ORDINARY CARE AND DILIGENCE
SUIT
*GENERALLY, a criminal conviction is not set aside, no retrial will be
A lawyer is not an insurer of the result of the case.
held in civil cases but in exceptional circumstances, IT HAS BEEN
KNOWN TO HAPPEN
EXCEPTIONAL CIRCUMSTANCES
3. Criminal conviction may be set aside if the errors of the
defense counsel were so shocking that they deprived the
accused of the constitutional right to effective counsel
You can set aside conviction but it must be proven that the counsel’s acts or
omissions were outside the range of professionally competent assistance.
And the negligence must have an actual effect on the outcome of the case,
not just a conceivable or a speculated effect on the outcome of the case

ANOTHER EXAMPLE: A lawyer who simply forgot the case. Which

explain why he wasn’t able to appear hearings and he did not file a single
pleading. He simply forgot about it

4. Clients are bound by the negligence of the lawyer

DILIGENCE REQUIRED OF A LAWYER: - ORDINARY CARE
AND DILIGENCE – GOOD FATHER OF A FAMILY
A lawyer is not an insurer of the result of the case. He can only
do his best; do what he could, according to his knowledge, capacity and
discretion.

Q: is the client bound to the negligence of his counsel?

A: YES. A lawyer is an agent of a client. As agent, the lawyer binds the
client. Any act of the lawyer within the scope of his general and implied
authority is considered an act of the client.

*If we adopt a contrary rule, magbalik2 ra ang case. If a party senses nga
pildihunon na jd siya, he can always have a retrial afterwards because of his
lawyer’s negligence.

*the acts of the counsel must be outside the range of professionally

competent assistance

18.04 - A lawyer shall keep the client informed of the status of his case
and shall respond within a reasonable time to client’s request for
information.
CANON 19 - A LAWYER SHALL REPRESENT HIS CLIENT WITH
ZEAL WITHIN THE BOUNDS OF THE LAW.
- Just a reiteration of the things you already know.
In representing a client, you represent him with zeal. The key
phrase there – “within the bounds of the law.” No amount of zeal can ever
justify by breaking the law.
 You were overzealous then you forgot the law because you are
too passionate to safeguard your client’s interest. – THIS IS
NOT JUSTIFIABLE. – MUST BE ALWAYS WITHIN THE
BOUNDS OF THE LAW
 A lawyer’s duty is not to his client but to the administration of
justice. To that end, his client’s success is fully subordinate and
his conduct ought to and always be scrupulously observant of
law and ethics.

19.01
A lawyer shall employ only fair and honest means to attain the lawful
objectives of his client and shall not present, participate in presenting or
threaten to present unfounded criminal charges to obtain an improper
advantage in any case or proceeding.
-Counter suits are alright if they are founded on facts and law but
if they are just there to intimidate, to oppress, to gain leverage or advantage,
they are unethical.
-Fair and honorable means – we have discussed this extensively
in the CPR – THERE IS A PARALLEL PROVISION IN RULES OF
COURT – practically the same tenor (fair and honorable means
regardless of your opinion of the guilt of the accused)

EX: This involve unjustified litigation. A secretary is fired because his boss
found another secretary. The boss and the lawyer manufactured spurious
criminal action of theft

19.02
a lawyer who has receive an information that his client has in the course
of the representation perpetuated a fraud upon a person or a tribunal
shall promptly call upon the client to rectify the same and failing which,
he has to terminate such client in accordance with the rules of court
Your client presented documents in the court as evidence. Later
on, you discover that the client falsified the presented evidences. You
confronted him then he admitted. Because of the falsified documents, you
are sure that you will win the case.
Q: What should you do knowing that the documents presented were
falsified?
A: First, advice the client to rectify the fraud. If he will not, next step,
WITHDRAW AS COUNSEL, BUT YOU CANNOT EXPOSE IT TO THE
COURT (respecting client’s secret) – just withdraw, you cannot expect to
participate in an unethical act.
Q: How about the new lawyer? What is he supposed to do?
A: “IT’S UP TO HIM HAHAHA” – Atty.

19.03
A lawyer shall not allow his client to dictate the procedure on handling the
case.
THE LAWYER CONTROLS THE CASE – not the client
-the lawyer must know the difference between matters that he as
lawyer should decide and matters which his client should rightfully decide.

-He(the lawyer) should follow his own decision and not that of the client.
Thus, a lawyer may agree to postpone the trial of the case despite the
client’s contrary wishes, if the opposite counsel is sick or under
bereavement, or under other justifiable cause.

-Counsel however is hidebound to comply with his client’s lawful requests.

EX: Lawyer advises client for settlement. Client doesn’t want to. Can the
lawyer enter into settlement? NO, because the matter whether to settle or
not resides in the client to decide.
*How much should we settle for? Client wants to settle but only up to 100k.
Can the lawyer enter into settlement for an amount bigger than 100k? NO,
he should comply to his client’s lawful request

*Should we appeal or not? Client does not want to. The lawyer wants to
appeal because he believes that they can win the case. Can he file? NO, the
decision of the client in this case is controlling.
-The lawyer can at best RECOMMEND, but the decision rest
with the client.
CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR AND
REASONABLE FEES.
ATTORNEY’S FEES – “fair and reasonable” – no such thing as standard
rate.
Q: What do we know about Attorney’s Fees so far?
A: Customarily prescribed rates. In practice, they are published by the local
IBP chapter.
Lawyers CANNOT CHARGE LOWER than the prescribed
rates. There is a floor price but no ceiling price, no standard rule. So how do
we know it is fair and reasonable?
Attorney’s fees – remuneration given to a lawyer as a reasonable
compensation for his professional services
RATIONALE: Although the legal profession is not a business undertaking,
the lawyer like all other human being has a right to livelihood. Dli lang jd
pwede nga magcge na lang ug pro bono perme.
2 CONCEPTS OF ATTORNEY’S FEES:
1. Ordinary Concept – ordinary payment as we know it.
Q: Is there a presumption that a lawyer is entitled to attorney’s fees?
A: YES, there is.
Let’s say there is no written contract, not even a verbal contract
for attorney’s fees but the lawyer already rendered valuable legal services
and the client has been benefited thereby.
Q: How do you presume that the Attorney is entitled to Attorney’s fees?
A: 1. Let’s go to the principle of UNJUST ENRICHMENT.
 The client cannot unjustly enrich himself at the expense of his
lawyer
2. There is no express contract, oral contract, but there is innominate
contract called FACIO UT DES – I DO SO THAT YOU’D GIVE
 Which is why there is a presumption that the lawyer is entitled to
attorney’s fees.
 EX: such service is intended to be gratuitous
 Q: Who has the burden of proof that it is gratuitous?
 A: the client to prove, “WA OI!!!”
HOW THE AGREEMENT IS MADE:
 Oral
 Written
 Implied – the lawyer has rendered valuable services (based on
Unjust enrichment and Facio ut des)
*of the 3, the best is written
2. Extra-Ordinary Concept – refers to indemnity for damages ordered by
the court to be paid by the losing party in a litigation
- one form of damages – IN THE NATURE OF INDEMNITY –
paid to the client.
- it is wrong for the lawyer to claim the Attorney’s Fee in the
pronouncement of judgment that he owns the Attorney’s fees – kay
“Attorney’s” fees gd! – WRONG! BECAUSE IT IS IN THE NATURE
OF INDEMNITY – IT IS PAYABLE TO THE CLIENT, THUS
CLIENT OWNS THE ATTORNEY’S FEES.
- EXCEPT – if there is an agreement of the lawyer and his client
that the Attorney’s Fees is an additional compensation or as part thereof
To avoid controversy over attorney’s fees, it is advisable to agree in
advance as to the matter of how the lawyer should be compensated
AND TO REDUCE IT INTO WRITING.
-for the benefit of both client and lawyer
There is ADDED BENEFIT ON THE PART OF THE LAWYER
-in case of unjustified dismissal of the attorney, he shall be
entitled to recover from the client FULL AMOUNT OF
COMPENSATION BASED ON THE STIPULATIONS OF THE
CONTRACT (WRITTEN CONTRACT)
HOW DO YOU MAKE A CONTRACT FOR ATTORNEY’S FEES?
 The ideal contract for attorney’s fees is as simply as you have it,
as simple as it can be.
 It does not need to look like the real contract (kanang mga
whereas2, hereunder, hereunto, under the over – wala nang mga
ing.ana!)
 The idea is to make the client understand what he is dealing with.
It would be ironic that he would hire another lawyer to help him
interpret the contract because he can’t understand.
 As long as there’s a letter and the client’s conformity.
HOW TO CONSTRUE ATTORNEY’S FEES CONTRACT
 If there is doubt or ambiguity, construe in favor of the client.
 It is subject to judicial review.
 The lawyer cannot use his right to privacy because of the nature
of the contract. The court can always scrutinize this kind of
contract and agree if the fees are reasonable and fair.
RETAINER’S FEE ARRANGEMENT
2 Kinds of Retainer:
1. General Retainer - you are retained by the client to handle ordinary
legal services that arise from his ordinary business.
EX: simple legal queries, request for legal advisories, review of
contracts/drafting – ordinary legal problems.
*When a lawyer is retained by the client, the lawyer must be accessible
at any time so long as the retainer fees is in arrangement.
Let’s say you are retained by the client, 30K per month but for
the month of February, wala juy gubot and company. Nothing was referred
to you for legal counsel. You did not render any legal services.
Q: Are you still entitle to the 30K?
A: YES. You will still get paid because it would not be dependent on actual
performance. What is being paid is the undertaking of he lawyer that he is
available to that particular client at anytime and he cannot offer his
services to parties of conflicting interest.
-GENERAL RETAINER IS LIKE A COMPENSATION FOR LOST
OPPORTUNITIES
2. Special Retainer – fee of a specific case handle or a special service
rendered by the lawyer for a client
 a client might have several cases demanding individual or special
attention. If in every case, there is independent and separate
contract of attorney’s fees, each fee is considered a special
retainer
 so it is no longer an ordinary legal problem. You now have a
special case or a special legal service which needs you undivided
attention.
*so in the contract of attorney’s fees, you must specify what kind of
retainer you are using. If it is a General Retainer: it is best to indicate
or have a separate provision that if the service must require more than
the usual attention, then it would have different payment
-you must have those kinds of provisions because you might be
spreading yourself too thin. General Retainer lage then hatagan kag mga
kaso nga lisud kaau and d nlang ka katug kay mag cge nlang kag tuon, it
takes too much of your time pero General Retainer gihapon ang bayad (it
should have been a special retainer already when you think about it).
-and remember that in case of doubt and ambiguity, it will be
construed in favor of the client, so you as a lawyer should be very careful
Q: Is it possible for a single client, you have general retainer and special
retainer agreement?
A: YES
KINDS OF ATTORNEY’S FEES ARRANGEMENTS
1. Fix or Absolute – the lawyer gets paid, regardless of what will
happen
2. Contingent Fee – the lawyer gets paid only if he will win the
case
3. Fixed Fee payable per appearance in court
4. Fixed Fee on an hourly rate or Time Billing – you will be
accountable for your time
-advisable if you are always running out of time. Best way to
have time management. Kay nay usahay ang client tabi.an kaau. Ma.waste
imo time that should have been used to make other pleadings.
5. Fees for every piece work – charging every page of the
pleading, or you can have provision that you will be paid
different rates in different court
Q: Should the lawyer and client choose only one?
A: They can have ONE, SOME OR EVEN ALL.
Q: What is the most important consideration?
A: Most important consideration is that the agreement has been voluntarily
entered into by the lawyer and client.
*Regardless of what kind of fee, always remember the basic rule that it
should be fair and reasonable
CONTINGENT FEE CONTRACT – also know as no cure, no pay basis
-lawyer will be paid only if they win, there is a fix percentage of
what ever they will recover from the suit
Q: Why is this allowed?
A: Such contract is the only way in which the poor and helpless can have
their rights litigated.
 Advantageous on the part of the client because they can find
lawyer that is willing to waive all other fees until he win the case
and ONLY IF YOU WIN
 Advantageous on the part of the lawyer he is assured of payment
when they win the case
o Wala man guro lawyer nga mukuha ug kaso nga dli
meritorious – it is a winnable case, although there is
risk of not winning, the risk is not that high.
Q: How many percent?
A: Under the CPE – a contract for contingent fee were sanctioned by law,
should reasonable under circumstances including the risk and uncertainty
of the compensation and should be subject to the supervision of the court
as to its reasonableness
- it tells us that because in contingency contracts, there is
uncertainty of compensation. Lawyers are allowed to charge higher
percentage to compensate for the risk
an attorney engaged in a contingency basis may not, in order to collect his
fees, prosecute an appeal despite his client’s refusal to appeal
-“Attorney di nlang ta mu.appeal kay murag mamatay na ko
aning kasuha.” “Mu appeal ta mam! Wa pa rba ka kabayad nako!” – HE
CANNOT INSIST
-Contingency contract does not make the Lawyer a Creditor of
the Client, it neither give the lawyer any right in the client’s winning of the
suit. If the contingency does not occur, then the lawyer is not entitled to fees
*In here, what the attorney waives is only the attorney’s fees, THERE
IS NO UNDERTAKING TO BEAR EXPENSES OF LITIGATION.
(filing fee, docket fee, etc – charged to the client)
ART. 2208, NEW CIVIL CODE:
In the absence of stipulation, attorney’s fees and expenses of
litigation, other than judicial costs, cannot be recovered, except:
1. When exemplary damages are awarded
2. When the defendant’s act or omission has compelled the
plaintiff to litigate with third persons or to incur expenses to
protect his interest
3. In criminal cases of malicious prosecution against plaintiff
4. In case of a clearly unfounded civil action or proceeding
against the plaintiff
5. Where the defendant acted in gross and evident bad faith in
refusing to satisfy the plaintiff’s plainly valid, just and
demandable claim.
6. In actions for legal support
7. In actions for recovery of wages of household helpers,
laborers and skilled workers.
8. In actions for indemnity under workmen’s compensation and
employer’s liability laws
9. In separate civil action to recover civil liability arising from a
crime
10. When at least double judicial costs are awarded
11. In any other case where the court deems it just and equitable
that attorney’s fees and expenses of litigation should be
recovered.
In all cases, the attorney’s fees and expenses of litigation
must be reasonable.
CHAMPERTOUS CONTRACT – where the lawyer agrees to prosecute
suits at his own expense for the recovery of things or property belonging to
or claimed by the client, the latter agree to pay the former a portion of the
property or thing recovered as compensation.
Q: Is it the same as contingent fee?
A: NO. THIS KIND OF CONTRACT IS VOID.
Champertous Contract Contingent Contract
Lawyer undertakes to bear all expenses NA
incident to litigation
Payable in cash or in kind Payable in cash or in kind
Void; against public policy and ethics of valid
the profession
*Here, the lawyer bears all expenses incident to the litigation including
all filing fees, docket fee, etc. – THIS IS AGAINST PUBLIC POLICY
AND ETHICS
-You now have a lawyer spending everything for the case. He is
now investing in the case, he might want to recover what he has given AT
ALL COST – even it means breaking the law
20.01 – A lawyer shall be guided by the following factors in determining
his fees:
a) The time spent and the extent of the services rendered or required;
b) The novelty and difficulty of the questions involved;
c) The importance of the subject matter;
d) The skill demanded;
e) The probability of losing other employment as a result of acceptance
of the proffered case;
f) The customary charges for similar services and the schedule of fees of
the IBP chapter to which he belongs;
g) The amount involved in the controversy and the benefits resulting to
the client form the service;
h) The contingency or certainty of compensation;
i) The character of the employment, whether occasional or established;
and
j) The professional standing of the lawyer.
-that it should be fair and reasonable
Q: How do we know it is fair and reasonable?
-enumerated – take note of letter H
the contingency or certainty of compensation
FOR CONTINGENT FEE CONTRACTS
Q: Are lawyers allowed to charge more than the usual rates?
A: YES. to compensate for the uncertainty of compensation
Q: Is the list exhaustive?
A: Not exhaustive. There could be other factors as declared in
jurisprudence, client’s ability to pay, reasonable requests of fellow lawyers
(client is a lawyer – inamigo nga rate), responsibility imposed and results
cured can also be factors to determine attorney’s fees.
QUANTUM MERUIT – as much as he deserves
Q: When is this resorted to? When is attorney’s fees based on quantum
meruit?
A: There are many instances:
 When the fees stipulated excessive, unconscionable or
unreasonable, the court can reduce the fees.
 When there is no express contract (no oral, no written agreement
but the lawyer rendered valuable legal service - implied)
 When the contract of employment is void due to some formal
matters
 When there is agreement to attorney’s fees and it is not agreed
upon
 When the lawyer withdraws with justifiable cause
o When can he recover full amount of compensation?
 The contract has been reduced into writing
 The dismissal of the lawyer is WITHOUT
justifiable cause.
o If it is the counsel who quits?
 If the cause is justified – quantum meruit
 If the cause is not justified – fees maybe
reduced or even forfeited.
o Can the law limit the collection of attorney’s fees?
Can congress pass a law limiting the attorney’s fees?
 YES. The state as parens patriea may
protect the interest of the underprivileged
EX: RA 145 – a lawyer is limited to not more than P20.
Q: Is this valid?
A: The state can do this. But this was enacted during a time when P20 was
still substantial.
 -the reason behind this is gamay ra ang mga ma.claim sa veterans
then dako pa jd ang bayad sa lawyers. The veterans could not gain anything.
The underprivileged is not protected from their own lawyers

More resent law: Labor Code – attorney’s fees should not exceed 10% of
the amount of wages recovered.
Q: Can congress do this? Can they limit attorney’s fees?
A: YES. Obviously, this is to benefit the workers.
-it is ironic that the workers win but they have to pay all their
winnings to the lawyers.

20.02
a lawyer shall, in cases of referral, with the consent of the client may
entitled to a division of fees in proportion to the work performed and the
responsibility assumed
-this is fee splitting
Q: Can lawyers split the fee among themselves?
A: YES. But there must be 3 requisites.
 It is a referral
 With the client’s consent
 Split must be proportionate to the work performed and the
responsibility assumed

*Let’s say walamnang last requisite, you simply refer a case to another
lawyer
Q: Are you entitled to a split?
A: NO. Otherwise, you will be acting like an agent or a runner for that
particular lawyer and you get a kickback for the mere fact of referring.
-remember that solicitation of legal business is illegal
-you must have performed a work or responsibility in the case

Rule 20.03 - A lawyer shall not, without the full knowledge and consent of
the client, accept any fee, reward, costs, commission, interest, rebate or
forwarding allowance or other compensation whatsoever related to his
professional employment from anyone other than the client.

20.04
A lawyer shall avoid controversies with clients concerning his
compensation and shall resort to judicial action only to prevent
imposition, injustice of fraud.
- Lawyers are presumed to be entitled to livelihood. But they are
urged to avoid controversies with the clients concerning compensation.
Q: What does this mean?
A: Kutob sa makaya nimo, ayaw nlang pangaway regarding attorney’s fees.
It does not look good in legal profession. It is enough that you will get a
heartful and simple, “Thank you kaau, Attorney. Pero wa lang jud koy
kwarta ibayad.” (SHIT!) If you can take it, take it sincerely.

2nd part of the rule:

resort to judicial action only to prevent a position in justice or fraud
-there are clients who take advantage of their lawyers. Let’s say
you have a client, makabayad jd pero d lang mubayad. Then by all means,
file a case
-this rule does not prohibit lawyers from filing cases if the
collection is warranted under the circumstances.

this is an action of a lawyer against the client for collection of attorney’s

fees.
CANON 21 – A LAWYER SHALL PRESERVE THE CONFIDENCE Case: the court cannot order an opening of lawyer’s cabinet seized by
AND SECRETS OF HIS CLIENT EVEN AFTER THE ATTORNEY- virtue of a valid search warrant, which cabinet contains files of his
CLIENT RELATION IS TERMINATED clients.

“we have already discussed this during Attorney-Client Relationship”
Take note: “even after the attorney-client relationship is terminated”
 the obligation to preserve client confidences and secrets outlasts
the professional employment of the lawyer.
 in addition to possible administrative liability, there could also be
criminal liability (Art. 209 of RPC)
21.01 A lawyer shall not reveal the confidences or secrets of his client
except:
a) When authorized by the client after acquianting him of the
consequences of the disclosure;
b) When required by law;
c) When necessary to collect his fees or to defend himself, his employees
or associates or by judicial action.
GR: a lawyer shall not reveal the confidences of his client
EXCEPT:
1. When authorized by the client after appointing him of the consequences
of the disclosure
-the client’s consent must be intelligently given
-lawyer must have explained to the client consequences of the
disclosure
*Even if consent is given but the consequences was not explained, not
allowed
*if the consent is an informed one, it is a waiver on the part of the client
for the lawyer’s duty to safeguard the client’s secret
Rule 21.04 - A lawyer may disclose the affairs of a client of the firm to
partners or associates thereof unless prohibited by the client.
21.05
a lawyer shall adopt such measures as maybe required to prevent those
whose services are utilized by him from disclosing or using confidences or
secrets of the client
 it would be useless if the lawyer is very vigilant of client’s secret but
his staffs are talking about his client’s secrets outside the office.
 This provision only tells the lawyer that it is their duty to carefully
select, train, manage, supervise and control their employees to the end
that the client’s secret is safeguarded.
21.06
a lawyer shall avoid discrete conversation about the client’s affair even
with members of his family
21.07
a lawyer shall not reveal that he has been consulted about a particular
case except to avoid possible conflict of interest
 lawyers are prevented from advertising who their clients are
 if a law firm is advertising about their client, most probably, it has
sought the consent of their client before advertising

EX: Let’s say the one to make disclosure is the secretary, stenographer or
clerk of the lawyer.
 Aside form the client, they also need the consent of the lawyer.

2. When the disclosure by the lawyer is required by law

 the law does not make the law office a nest of vipers in which to
hatch crimes or frauds.
 Lawyer’s duty forbid the lawyer from assisting a commission of
the crime or permitting the privilege to conceal from doing
o So the lawyer can disclose if the client consulted him
as to how to commit a crime. – it is even required by
law
o The privilege does not apply to future frauds

3. When necessary to collect fees or to defend himself or his staff by

judicial action
*Let’s say, a client does not want to pay the lawyer. Makabayad gd but d
lang jd mubayad. So the lawyer filed a collection suit. In his anwer, the
client said he did not pay because the lawyer charges exorbitant fees.
-the lawyer is put in a situation that he must justify, there is a
need for him to disclose all the work he has done for the benefit of the
client. – he is justified in disclosing the client secret

Rule 21.02 - A lawyer shall not, to the disadvantage of his client, use
information acquired in the course of employment, nor shall he use the
same to his own advantage or that of a third person, unless the client
with full knowledge of the circumstances consents thereto.

21.03
a lawyer shall not, without the written consent of his client, give
information from his files to an outside agency seeking such information
for auditing, statistical, bookkeeping, accounting, data processing or any
similar purpose.
EX: NBI agents went to the lawyer asking for files because they are
investigation a client of his, with subpoena.
-if the lawyer complies, he maybe found ethically liable
*If the NBI says, “Sige na attorney, ok ra sa imo client. We have already
talked to him.” So the lawyer call his client and confirm if he really
consented. Client said YES, to give them all the files. The lawyer gives
them the files.
Q: Is the lawyer liable?
A: YES. He needs a WRITTEN consent
CANON 22 - A LAWYER SHALL WITHDRAW HIS SERVICES
ONLY FOR GOOD CAUSE AND UPON NOTICE APPROPRIATE
IN THE CIRTUMSTANCES.
Q: Can the lawyer withdraw as a counsel?
A: YES. It must be with good cause and proper notice.
Withdrawal by a Lawyer – 2 possible scenarios
1. with the consent of the client
 there must be a consent of the client
 motion for withdrawal of counsel filed with the court and served
upon the adverse party
2. client does not consent
 hearing for the motion of withdrawal as counsel
 hearing is done after due notice to the client and the lawyer
 court would have to determine if the lawyer ought to be allowed
to withdraw
*Right of the client to terminate counsel is absolute
22.01 – A lawyer may withdraw his services in any of the following
cases:
a) When the client pursues an illegal or immoral course of conduct in
connection with the matter he is handling;
b) When the client insists that the lawyer pursue conduct violative of
these canons and rules;
c) When his inability to work with co-counsel will not promote the best
interest of the client;
d) When the mental or physical condition of the lawyer renders it
difficult for him to carry out the employment effectively;
e) When the client deliberately fails to pay the fees for the services or
fails to comply with the retainer agreement;
f) When the lawyer is elected or appointed to public office; and
g) Other similar cases.
- JUST READ – these are the grounds for a lawyer to
withdraw a counsel
 To inform the court of such replacement
 To ask that he be allowed to withdraw as counsel
*shall immediately turn over all papers and property to which the client is
entitled - subject to a retainer lien
*cooperate to his successor of the transfer of the matter –
UNDERSTANDABLE
Q: Can the client hire additional counsel?
A: YES. In Cannons of Professional Ethics, a client’s proffer of additional
assistance should not be regarded as evidence of wanton confidence but
the matter should be left on the discretion of the client. However, counsel
may withdraw when his inability to work with co-counsel will not promote
the best interest of the client
-Attorney-Client relationship is purely personal. It is essentially
contractual and there has to be contracting parties. Kung patay na ang
contracting parties, patay na ang contract?
*in the absence of a retainer from the heirs or authorized
representative of his diseased client, the attorney would have no power
or authority to appear or to take further action in the case save to
inform the court to his client’s death and take the necessary steps to
safeguard the decedent’s rights in the case
-the lawyer cannot insist to the heirs that he should be the lawyer
because he is the counsel of the diseased
Q: What is the duty of the lawyer upon the death of the client?
A: it is his duty to immediately inform the court of such event and to give
the name and residents of the client’s executor, administrator, guardian or
other legal representatives.
-apil pd ang incapacity and incompetency, not just death

*it only says “MAY” – he may withdraw or he may not

A&B – if the client insist in pursuing immoral, unlawful, unethical courses

of action
C – when his inability to work with co-counsel will not promote the best
interest of the client
Say the client hired another lawyer para daghan mo and it turns
out he hired your mortal enemy.
E – when the client DELIBERATELY fails to pay the fees
-if d sya makabayad kay d jd sya kabayad – not a ground for
withdrawal
F – when a lawyer is elected in public office
 here we have to qualify: it refers to public office which allows
the concurrent private practice of the law
o if the public office prohibits the practice of law,
withdrawal of private practice is concurrent and not
discretionary
o no choice but to withdraw from all his cases
*The list is not exhaustive – G – “in any manner similar”
when the client acts in a manner which tends to degrade his
profession, cge lag pang chancing.

*When it is apparent that the lawyer is required to be a witness of a

substantial matter, then the lawyer can voluntarily withdraw the case.

22.02 A lawyer who withdraws or is discharged shall, subject to a retainer

lien, immediately turn over all papers and property to which the client is
entitled, and shall cooperate with his successor in the orderly transfer of
the matter, including all information necessary for the proper handling of
the matter.
 we are talking of a lawyer who has been discharged or
withdrawn as counsel and another lawyer takes over

What would the court do?

 Name of the new lawyer shall be entered in the docket of the
court in place of the former one.
 Written notice of the change shall be given to the adverse party

What is the duty of the lawyer being replaced?

ADMINISTRATIVE LIABILITES OF LAWYERS
Starts with the filing of a Verified Complaint (it is executed by somebody
who has personal knowledge of the facts or the facts alleged can be verified
by authentic records)
Who can file? – Any person or the Supreme Court Motu Proprio (at its
own instance) or IBP Board of Governors Motu Proprio or upon
referral of the Supreme Court by a Chapter Board of Officers, or at the
instance of any person. – ANY PERSON RA NA!
- Right to practice law being just a privilege is burdened with conditions.
-
Courts have the inherent power to adopt proper and adequate measures to
preserve their integrity and render possible and facilitate the exercise of
their functions. - Supreme Court has the full authority and power to warn,
admonish, reprimand, suspend and disbar a lawyer.
Lawyer violates his obligations under perils of:
 Disciplinary action/administrative action
 Criminal action
 Civil action/damage suit
 Contempt of court
Reliefs Sought
 Criminal Case – conviction and imprisonment
 Civil case – Damages
 Administrative cases – Disbarment or suspension as the case
may be
 Contempt of court – preservation of the proper administration of
justice with respect towards the court
Conditions for continued membership in good standing in the Bar:
 Rigid standards of mental fitness
 Maintenance of the highest degree of morality
 Faithful compliance with the rules of the legal profession
Different kinds of disciplinary actions:
1. Warning – act or fact of putting one on his guard against an impending
danger, evil, consequences or penalties [not a penalty]
- a statement put forth to a lawyer, that any similar or other
infraction of ethical or other required conduct would be visited
with a higher or more serious penalty
2. Admonition – gentle or friendly reproof, mild rebuke, warning or
reminder, counseling, on a fault, error or oversight, an expression
of authoritative advice or warning [not a penalty, merely
guidance or reminder of what the lawyer should do]
3. Reprimand – more severe nature; a public and formal censure or sever
reproof, administered to a person in fault by his superior officer
or a body to which he belongs.
How is it done: The decision itself is already a reprimand; Its
comparatively light compared to the other penalties but there is
already a finding of guilt. This is also being recorded.
4. Fine – pecuniary punishment which courts impose against a miscreant
lawyer; may also be imposed in accord with criminal violations
of the law
5. Suspension – temporary
withholding of the lawyer’s privilege to practice his profess
on for a certain period, or for an indefinite period of time
- act of prohibiting a lawyer from practicing law for a certain
period; qualified disbarment - because the attorney is deprived
temporarily of the right to practice his profession;
-as distinguished from disbarment, the suspended lawyer is still a
member of the bar because his name is not stricken from the Roll
of Attorneys. He is still entitled to the rights and privileges of a
lawyer, except the right to practice his profession during the
duration of the suspension or until further action of the SC.
6. Disbarment – act of Phil. Supreme Court in withdrawing from an
attorney the privilege to practice law; name of the lawyer is to be
stricken out from the Roll of Attorneys
7. Contempt
8. Imprisonment
Main objects of disbarment and suspension:
1. To compel the attorney to deal fairly and honestly with his
clients
2. To remove from the profession a person whose misconduct has
proved him unfit to be entrusted with the duties and
responsibilities belonging to an 
office of an attorney
3. To punish the lawyer although not so much as to safeguard the
administration of justice
4. To set an example or a warning for the other members of the bar
5. To safeguard the administration of justice from incompetence
and dishonesty of lawyers
6. To protect the public
- A disbarred lawyer can take part in pro se practice. - No private interest is
involved in disbarment.
- Power to discipline lawyers is judicial in nature.
Characteristics of disbarment proceeding / Nature of disciplinary action:
 Sui generis - a class by itself
 Neither a civil nor a criminal proceeding
 Double jeopardy cannot be availed of in a disbarment
proceeding against an attorney
 It cannot be initiated motu proprio by the Supreme Court or by
the IBP; it can be initiated without a complaint
 It can proceed regardless of interest or lack of interest of the
complainants, if the facts proven so warrant
 It is imprescriptible
 It is conducted confidentially being confidential in nature until
its final determination
 It is itself due process of law
 Whatever has been decided in a disbarment case cannot be a
source of right that may be enforced in another action, like action
for reconveyance and 
damages
 In pari delicto rule is not applicable – this is not a proceeding
to grant a relief to the complaint, but one to purge the law
profession of unworthy members, to protect the public and the
courts.
The power to discipline lawyers is not subject to prescription. SC
can still subject the conduct of the lawyer. This is the same with
latches or estoppel – it cannot be applied in administrative cases.
Admin cases need not be in the name of party-in-interest. It is
not concerned with private interest, as it is conducted with public
welfare and public interest.
Purpose of disciplinary action:
 Preserve the purity of the legal profession
 Preserve the proper and honest administration of justice
Grounds for suspension or disbarment of members of the bar:
Acts committed prior to admission to practice – usually, to be
punishable, it must refer to acts which affects essential qualifications to be a
lawyer. Acts in violation of the required qualifications for admission to the
Philippine Bar, to wit:
 Citizenship
 Age
 Good moral character
 Residence
 Education
 Passing the bar examination
 Taking the lawyer’s oath
 Signing the Roll of Attorneys

Acts committed after admission to practice
1. Deceit – fraudulent and deceptive misrepresentation, artifice, or device,
used by one or more persons to deceive and trick another, who is
ignorant of the true facts, to the prejudice of another
2. Malpractice or other gross misconduct in office – legal malpractice
consists of failure of an attorney to use such skill, prudence, and
diligence as lawyers of ordinary skill and capacity commonly
possess and exercise in performance of tasks which they
undertake, and when such failure proximately causes damage it
gives rise to an action in tort.
3. Grossly immoral conduct – that conduct which is willful, flagrant, or
shameless, and which shows a moral indifference to the opinion
of the good and respectable members of the
community
* “consenting adults” rule what is grossly
immoral conduct is largely circumstantial
4. Conviction of a crime involving moral turpitude – everything which
is done contrary to justice, modesty, or good morals.
5. Violation of oath of office
6. Willful disobedience of any lawful order of a superior court –
resistance or defiance to the order of the Court must be willful
7. Corrupt or willful appearance as an attorney for a party to case
without authority to do so
Disbarment or suspension of a Filipino lawyer in a foreign country
 The judgment, resolution or order of the foreign court or
disciplinary agency shall be prima facie evidence of the ground
for disbarment or supension
* Is acquittal in a criminal case a bar to DA?
No. The standards of legal profession are not satisfied by conduct which
merely enables one to escape the penalties of criminal law.
* Quantum of proof required:
Criminal case – needs proof beyond reasonable doubt Civil case – needs
preponderance of evidence Administrative case – only needs substantial
evidence
Disciplinary action not dismisses upon withdrawal by private
complainant:
_ The power to discipline lawyers who are officers of the court may not be
cut short by compromise and withdrawal of charges.
_ Disciplinary
proceedings involve no private interest and afford no redress for private
grievance. They are undertaken and prosecuted solely for public welfare. _
However, if upon desistance, there is nothing more to substantiate the
charge, then the case may be dismissed.
* May the pendency of criminal action suspend disbarment proceedings?
No. There are different quantum of proof. It is not sound judicial policy to
await the outcome and final resolution of a criminal case before the court
may act on a complaint for disbarment.
Acquittal in criminal case not a bar to disciplinary action
 The standards of the legal profession are not satisfied by conduct
which merely enables one to escape the penalties of criminal law
 the court, in disbarment proceedings, is acting in an entirely
different capacity from that which the court assumes in trying
criminal cases
Is it possible that a lawyer is acquitted in criminal charge yet guilty in the
administrative charge? Yes.
Is it even possible that a lawyer is found guilty in administrative case but
there is no criminal case at all? Yes. This is very common wherein the
lawyer is found guilty in bigamy for admin case but in criminal case.
* Power to discipline – vested in all courts; judicial function; all courts can
reprimand, warning, admonition, fine, contempt. In reality, when it comes to
disciplinary powers, it is usually the Suupreme Court. What is common in
all courts is the power to contempt.
* Only the SC, CA, and RTC: suspension; power of CA and RTC to
suspend is subject to the review by the SC; until the SC has affirmed the
suspension, it shall not take effect.
* Only the SC can disbar a lawyer.
SC trying Disciplinary Cases - court sits en banc à disbarment, suspension
for more than 1 year, or a fine for more than P10000. Otherwise, they do it
by division.
Direct contempt - Misbehavior in the presence of or so near a court as to
obstruct or interrupt the proceedings before the same, including disrespect
toward the court, offensive personalities toward others, or refusal to be
sworn or to answer as a witness, or to subscribe an affidavit or deposition
when lawfully required to do so.
Indirect contempt
 Misbehavior of an officer of a court in the performance of his
official duties or in his official transactions.
 Disobedience of or resistance to a lawful writ, process, order, or
judgment of a court, including the act of a person who, after
 being dispossessed or ejected from any real property by the
judgment or process of any court of competent jurisdiction,
enters or attempts or induces 
another to enter into or upon
such real property, for the purpose of executing acts of
ownership or possession, or in any manner disturbs the
possession 
given to the person adjudged to be entitled thereto
 Any abuse of or any unlawful interference with the processes or
proceedings of a court not constituting direct contempt under
section 1 of this rule
 Any improper conduct tending, directly or indirectly, to impede,
obstruct, or degrade the administration of justice
Disciplinary Powers Contempt Powers
Broader scope of behavior Particular
Over lawyers only Over any person
* Both may proceed simultaneously.
Disbarment and disciplinary proceedings:
 Judicial in nature
 Presumption exists in favor of lawyer-respondent
 Quantum of proof: substantial evidence
Mitigating circumstances in disbarment:
 Good faith in the acquisition of the property
 Inexperience of the lawyer
 Age
 Res ipsa loquitor
 Burden of proof is on complainant Confidential
 Apology
 Lack of intention to denigrate the court Other analogous
circumstances
Reinstatement
 Restoration to a disbarred lawyer; the privilege to practice law
 Readmission to the membership in the Bar
  Wipes out the restrictions and disabilities resulting from a
previous disbarment

Effect of Executive Pardon on a Disbarred Lawyer

 There is still a need for the filing of an appropriate petition for
reinstatement with the SC

Effect of Executive Pardon on a Pending Disbarment

If absolute, case dismissed
 A pardon reaches both the punishment prescribed for the offense
and the guilt of the offender; and when the pardon is full, it
releases the punishment and binds out of existence the guilt, so
that in the eye of the law, the offender is an innocent as if he had
never committed the offense. If granted after conviction, it
removes the penalties and disabilities, and restores him to all his
civil rights; it makes him as it were, a new man, and gives him a
new credit and capacity.
JUDICIAL ETHICS
Q: Is this important to the lawyers?
A: YES. The administration of justice is always a joint responsibility of the
legal profession and the judiciary.
-Lawyers must know the judicial standards to be exercised by
judges. There relation must be based on mutual respect and a deep
appreciation by one of the duties of the other.
AM-03-05-01 – New Code of Judicial Conduct for the Philippine Judiciary
Took effect on June 1, 2004
Q: Why did we promulgate a new code? Was the old code insufficient?
A: To emphasize that we adhere to the Universal Declaration of Judicial
Ethics. That we adhere to the Banggalor Draft (the instrument containing
the UDJE, written by chief justices all over the world held at the Hague on
Nov. 25-26, 2002)
Q: What about our old code? Is it superseded?
A: NO. The old code still remains; it is still a good law. Nothing in the new
code said that it supersedes the old code.
CANON 1
INDEPENDENCE
Judicial independence is a pre-requisite to the rule of law and a
fundamental guarantee of a fair trial. A judge shall therefore uphold and
exemplify judicial independence in both its individual and institutional
aspects.
SECTION 1. Judges shall exercise the judicial function independently
on the basis of their assessment of the facts and in accordance with a
conscientious understanding of the law, free of any extraneous
influence, inducement, pressure, threat or interference, direct or
indirect, from any quarter or for any reason.
Independence is of 2 kinds:
 Individual
 Institutional
*that a judge as an individual must be independent and the judiciary as an
institution must likewise be independent. Both aspects of independence
must be observed.
Q: How do judges exercise independence?
A: They should decide based on facts and law and nothing else. There
decision must be free from any other factors.
POSSIBLE SOURCES OF INFLUENCE:
 Internal – how a judge as a person could affect his decision-
making. E.g.: He could have biases, prejudices, preconceived
notion
o There is an effect that the judge could be correct of
what he is thinking but there is also the possibility
that he is wrong.
o To be safe, the judge should only confine himself to
the facts and law to the case and not allow his
prejudices and biases to come into equation.
 External – self-explanatory (bribery, etc)
Rameriz Case
A judge admitted that she rendered ruling based on directive
from a government official. In her defense, she contended that it was a
revolutionary government so she succumbs to the pressure.
SC denounced the judge’s act as patent betrayal of public trust
and revelation of weak moral character.
Another Case
The judge issued a warrant of arrest, and fixed the bail of the
accused without the required hearing. The reason was, outside his
courtroom, a rally was conducted by the supporters of the complainant.
SC said that there was unjust haste on the part of the judge. The
Judge is expected to endeavor to intelligently ascertain the facts and
applicable law, not persuaded by partisan or personal interest.
SEC. 2. In performing judicial duties, judges shall be independent from
judicial colleagues in respect of decisions which the judge is obliged to
make independently.
-judges, because they work the same place and the share the
same profession, they can become close friends. But regardless of
camaraderie, judges should stay independent from their judicial peers.
-the reality is, there are really judges asking favors from fellow
judges and then being given a favor, there is the utang na luob to reciprocate
in the future.
*this is true even in collegiate courts (courts where the presiding justice is
more than one – CA, Sandiganbayan, SC – by division or en banc)
Q: How can they retain independence?
A: YES. This is the reason why you read Dissenting Opinions – Separate
Opinions – evidence that they did not agree to the pronouncement.
SEC. 3. Judges shall refrain from influencing in any manner the
outcome of litigation or dispute pending before another court or
administrative agency.
Q: There is this judge who wrote to NLRC Commissioners telling them that
his wife’s allegations are untrue. In his defense the judge explained that he
merely wanted the truth to come out, to prevail. Is he liable ethically?
A: Regardless of the noble intention of the judge, his act of writing to
NLRC is interference in the proceedings in the NLRC. Hence, it is
unethical.
*A judge is also a litigant in the case. He filed a pleading in his behalf. Ok
ran a kay litigant man sya. But what made it wrong in this case is that in his
annexes to the complaint, he put his oath of office as RTC judge, pictures of
oath taking.
SC held that there is no purpose for the annexes. The only logical
conclusion is that it was put there to send the message to the presiding judge
that he is a judge and therefore he enjoy privilege or something.
SEC. 4. Judges shall not allow family, social, or other relationships to
influence judicial conduct or judgment. The prestige of judicial office
shall not be used or lent to advance the private interests of others, nor
convey or permit others to convey the impression that they are in a
special position to influence the judge.
 one of the dangers of being a judge.
 People close to the judge might peddle influence.
 If you can’t go to the judge directly, go the people close to the
judge. (eg. Wife, son, family) – nabaligya na d.i ka sa imo
parente nga wa ka kahibaw.
*if the judge will not allow his relationships influence judicial conduct and
he is able to get this message across, then the people around the judge will
not peddle influence or minimize the influence.
Family (under New Code of Judicial Conduct) – those related by blood or
by marriage within the 6th civil degree, or companion to judge’s household.
Q: How about live-in partner/ cohabiting without benefit of marriage?
A: They are still considered family. “companion to judge’s household”
-yaya, employee, driver – IT’S A VERY BOARD DIFINITION
RATIONALE: to acknowledged the Filipino Culture and Tradition that we
tend to treat a lot of people as family. Although in reality, you are not
related.
SEC. 5. Judges shall not only be free from inappropriate connections
with, and influence by, the executive and legislative branches of
government, but must also appear to be free therefrom to a reasonable
observer.
-perception is very important
-whether you proceeded correctly or not, it is immaterial because even the
perception is already crucial
-it’s very important to be observed but quiet difficult to be observed.
Why? – It’s the Congress who gives the budget to the judiciary. And it is
the president who appoints them
-considering that the appointments, motions and movements of
the judges are subject to executive approval and than the organization
budget require legislative grace, JUDGES SHOULD STILL UPHOLD
THEIR DUTY TO RENDER JUSTICE FREELY WITHOUT ANY
OBLIGATION TO RECIPROCATE ANY BENEFICENCE THAT
MIGHT HAVE BEEN BESTOWED UPON THEM BY 2 OTHER
BRANCHES.
EX: Judges receiving allowances from LGUs. Aside from their salary, they
also receive from both city and province.
 -Judges might feel indebted to the provincial and city
government. You file a case against city mayor and he win, one reasonable
suspicions you might think is that “nagdawat man gd na si judge ug
allowance.” – it is a reasonable suspicions but the SC acknowledges the
legitimate and justifiable criticism against the practice but nonetheless,
allows the practice.
-“Let’s be realistic and practical, if we just depend on the
budget of the judiciary, we can never give those amounts to the judges
and justices. And those amounts are commensurate to their high
station, impossible works given and occasional threats.” - SC

SEC. 6. Judges shall be independent in relation to society in general and

in relation to the particular parties to a dispute which he or she has to
adjudicate.

SEC. 7. Judges shall encourage and uphold safeguards for the

discharge of judicial duties in order to maintain and enhance the
institutional and operational independence of the judiciary.

SEC. 8. Judges shall exhibit and promote high standards of judicial

conduct in order to reinforce public confidence in the judiciary, which
is fundamental to the maintenance of judicial independence.

-just like lawyers, in conduct of private and public life, are subject to
administrative action. Same thing for judges, conduct in and out of court
should be beyond reproach.
CANON 2

INTEGRITY

Integrity is essential not only to the proper discharge of the judicial office
but also to the personal demeanor of judges.

SECTION 1. Judges shall ensure that not only is their conduct above
reproach, but that it is perceived to be so in the view of a reasonable
observer.
-“perceived to be so in the view of a reasonable observer” – you will see
thing phrase all throughout the code
-appearance is very importance, it not enough that a judge actually have
integrity, he must also have to appear to have integrity.
-so even the appearance of not being integrity is already
punishable
-you can say that the judiciary is image conscious because the existence of
the courts depend on public perception, public trust and confidence.
-kung wa nay salig ang mga taw sa korte, pinusilay nalng diritso,
magpinatyanay nlang instead of going to judicial forum

Punishable acts: accepting bribe, going to casinos, racetracks

A judge was spotted in the casino. His defense was: he was just
accompanying his wife who enjoys playing in the casino. He did not even
play. - SC said it is not a proper defense.
Q: Why are they not allowed to go to casino?
A: People might think nga sugarol na nga judge. They would think that
judge’s salary is not enough for his vice.
-this is just perception. But perception, whether wrong or not, is
not really the issue in the case. The fact that there is the
appearance of lack of integrity.

Ignorance of the Law -it is a mark of incompetence

- it is also a mark of no integrity – when the law involve is so elementary,
ignorance thereof if lack of integrity
Why? - it’s either the judge too incompetent and undeserving of the title
that he hold or he is too vicious that the oversight was deliberately done
resulting to travesty of justice.

Other examples: judges who misapply determinate sentence, imprisoning a

person in civil case

SEC. 2. The behavior and conduct of judges must reaffirm the people’s
faith in the integrity of the judiciary. Justice must not merely be done but
must also be seen to be done.

EX:
-2 Judges nagsinumbagay tungod lang sa office table
-judge nga sige lang pangawat ug kiss sa iyang mga staff

“justice must not merely be done but must also be seen to be done.”
-a good fair decision is not enough
-the process by which the decision was made must also appear impartial
-What good is a fair decision if during the trial of the case the judges seem
to be biased?

SEC. 3. Judges should take or initiate appropriate disciplinary

measures against lawyers or court personnel for unprofessional conduct
of which the judge may have become aware.
CANON 3
IMPARTIALITY
-being fair
-what good is a fair decision if the process of leading the decision does not
seem to be fair?
Impartiality is essential to the proper discharge of the judicial office. It
applies not only to the decision itself but also to the process by which the
decision is made.
SECTION 1. Judges shall perform their judicial duties without favor,
bias or prejudice.
Extra-Judicial Source Rule – to sustain a claim of bias or prejudice, the
result opinion or decision of the court must be based upon extra-judicial
source that is of influence other than the facts and law presented in the
courtroom.
-THIS IS HOW YOU PROVE BIAS OR PREJUDICE
-you must prove that the decision is from those not found in the law and
facts presented in the court, and based on extra-judicial source
SEC. 2. Judges shall ensure that his or her conduct, both in and out of
court, maintains and enhances the confidence of the public, the legal
profession and litigants in the impartiality of the judge and of the
judiciary.
 There is a high price in exchange of the judge’s exalted judicial
position
 Judges should be like Caesar’s wife, should be above suspicion
 Family, social and other relationship should not influence the
judge
EX: A judge having lunch with the litigant. Kung ikaw ang pikas party, you
might think nga wa na, giluto na ang kaso.
-Standing as sponsor in a litigant’s wedding
-Using the car of the litigant as a service vehicle
-Undue interference in the cross-examination of witnesses
-if the questions of the judge seize to be clarificatory in nature -
mura nag nangabugado ang judge
SEC. 3. Judges shall, so far as is reasonable, so conduct themselves as to
minimize the occasions on which it will be necessary for them to be
disqualified from hearing or deciding cases.
 Judges should regulate their business, social and other extra-
judicial activities to avoid possible disqualification from hearing
cases
EX: Case involving Municipal Circuit Trial Court judge. When you say
Circuit, the judge is acting as judge in 2 or more municipalities. Only judge
in a remote area. Aside from being a judge, he is also a real estate broker.
He dealt with properties which were located in his territorial jurisdiction as a
judge. Consequence was, overtime, cases went to his court involving
transactions which he has intervened as real estate agent.
-this is a proper ground for proper disqualification of the judge
because he has a personal knowledge of the disputed facts. He
must inhibit
But he cannot let go of the case because there is no other judge, siya ra man
ang only judge didto. He was then asked by the Supreme Court to explain.
SC told the judge to regulate his business activities in a manner
that will minimize the occasion that he has to disqualify himself from cases.
Judge explain that the business has been there for a long time,
even before he was a judge, and that he needed the additional income to
send his children to reputable and expensive colleges. – it’s a legitimate
reason, kaysa mangurakot. [Judges are allowed to have businesses of
their own]
SC said, “while we commiserate with you, we have to remind
you of Sec. 3 the high price that should be paid in exchange of the position
being a judge. And one of these prices is regulation of activities of judges to
minimize the occasions that they will have been disqualified from hearing or
deciding cases. He should regulate his business activities in a way that he
would not have to disqualify himself from cases.
How to regulate with business to comply with Sec. 3?
“so maka deal syag yuta, pero kanang layo nlang sa iyang territory.”
SEC. 4. Judges shall not knowingly, while a proceeding is before or
could come before them, make any comment that might reasonably be
expected to affect the outcome of such proceeding or impair the
manifest fairness of the process. Nor shall judges make any comment in
public or otherwise that might affect the fair trial of any person or
issue.
 Judges should avoid publicity for personal vainglory
 Trial by publicity: there must be allegation and proof that the
court has been unduly influenced by the barrage of publicity
-so avoid comments that you have already prejudged the case, careful in
public comments. Judges must be careful with their words and comments.
EX: Judge explained he is pro-accused in open court – it gives away the
judge’s biased.
Judge advises parties to plea bargain or to compromise. (Plea bargaining is
allowed. Amicable settlement is allowed) However, the problem is on
HOW the advice is given.
He side comments, he would advise “accused, I advise you to plea bargain
to a lesser offense kay the evidence of the prosecution does not seem to be
strong and I’m sure, fiscal here will not oppose.”
-the judge gives the impression that he has already prejudged the
case. It shows that he gives his opinion of the case.
-“defendant, e-settle nlang ni kay pildihunon na ka kay maau kaau ug
evidence and complainant”
SEC. 5. Judges shall disqualify themselves from participating in any
proceedings in which they are unable to decide the matter impartially
or in which it may appear to a reasonable observer that they are unable
to decide the matter impartially. Such proceedings include, but are not
limited to, instances where
-talks about mandatory disqualification
-this is one of the more common source of bar exam questions. It is also the
more popular section with regard to cases file to judges
-this involves disqualification of judges, take note: “the judges SHALL
disqualify themselves” – MANDATORY
-they have to other choice but to disqualify themselves
(a) The judge has actual bias or prejudice concerning a party or
personal knowledge of disputed evidentiary facts concerning the
proceedings;
EX: earlier about the MCTC Judge
EX: Judge is watching a basketball game, and he saw player A stab player
B. Case was filed to the sala of the judge. Case was filed and raffled to the
judge
-Judge must disqualify himself because he has personal
knowledge of the disputed evidentiary facts
EX: raffled to you is a declaration of nullity of marriage in the ground of
psychological incapacity. You know the couple. In fact, best friend mo sa
couple. And you are privy to their marital problems. The wife would confide
to you and husband also does and you are not a stranger to their marital
modes. You have personal knowledge, in other words. Should you
disqualify yourself? YES, because you have personal knowledge.
What is wrong with having personal knowledge? There is bias.
What if they know each other and normal people ra sila, but the evidence
says that the husband is narcissistic plus diagnosis while wife is bipolar;
contrary to what the judge knows the husband and wife to be. There is now
the conflict between what the judge knows and what the evidence says. So
to avoid things like that from ever happening, if there is PERSONAL
KNOWLEDGE, AUTOMATIC MANDATORY DISQUALIFICATION.
What if nahuman na ang automatic disqualification, can judge be a witness?
YES.
(b) The judge previously served as a lawyer or was a material witness in
the matter in controversy;
(c) The judge, or a member of his or her family, has an economic
interest in the outcome of the matter in controversy;
-economic interest also extends to members of the family of the judge. In
family, remember the family in Code of Judicial Conduct.
(d) The judge served as executor, administrator, guardian, trustee or
lawyer in the case or matter in controversy, or a former associate of the
judge served as counsel during their association, or the judge or lawyer
was a material witness therein;
-he is in a peculiar position to know certain things, so he must
disqualify
“or a former associate of the judge served as counsel during their
association”
- Before assumption to the judiciary, judge was once senior partner of a law
firm. Now he is a judge and appearing before him is his previous law
partner. Should the judge disqualify from the case? IT DEPENDS
- it is only a ground for mandatory disqualification if the lawyer
appearing before the judge is a former associate and that
particular case is being handled by that associate during the time
of their association
-if it is totally a new case handled by the law firm, it is not a
ground for mandatory disqualification
(e) The judge’s ruling in a lower court is the subject of review;
EX: Judge is appointed as CA justice. As CA justice, raffled to him is an
appeal which he himself tend while he was still an RTC judge.
(f) The judge is related by consanguinity or affinity to a party litigant
within the sixth civil degree or to counsel within the fourth civil degree;
or
-6th Civil Degree – litigant and judge
-4th Civil Degree – counsel and judge
(g) The judge knows that his or her spouse or child has a financial
interest, as heir, legatee, creditor, fiduciary, or otherwise, in the subject
matter in controversy or in a party to the proceeding, or any other
interest that could be substantially affected by the outcome of the
proceedings;
- still economic interest
Q: A bus driven by X collided with and damaged the car of Y. The criminal
case filed for reckless imprudence resulting to physical injuries and damage
to property, Judge G acquitted the accused X. Subsequently, Y filed a civil
action for damages against X. The civil case was raffled to the sala of judge
G.
Can judge G be DQ from hearing the case? Reasons.
-Sec 5 is also mirror in the Rules of Court Sec 1, Rule 137
-1st paragraph is just the same with Sec. 5
Paragragh 2
A judge may, in the exercise of his sound discretion,
disqualify himself from proceeding in a case for just and valid reasons
other than those mentioned about
-this refers to voluntary inhibition
- may is discretionary
- are judges allowed to DQ themselves even if there is no ground
for mandatory DQ? Yes.
-on what ground? – the rule is so broad, it just says “just and
valid reasons”
-strictly a matter of conscience
-standard to be followed by judge: whether a losing party could entertain a
reasonable belief that the judge was partial to the prevailing party. It is not
whether the judge was actually partial or not
EX: The judge has utang na loob. Counsel before the judge was a member
of the JVC and who, during his membership, recommended his appointment
in the Judiciary.
-Counsel is also the Judge’s counsel in a separate case
-Cases handled by his law firm before he was a judge. In the mandatory
inhibition, only those cases handled by associate during the period of their
association.
-The new cases could be a ground for voluntary disqualification.
If the judge believes that he could be partial, then he could
inhibit.
-voluntary inhibition cannot be compelled by mandamus
-Although there is no rule in voluntary inhibition, the SC recognized
that it could be abused. There are some cases can SC said that it is not a
ground for voluntary inhibition
EX:
- counsel has filed an administrative case against the judge
-SC said, “the consequences of a contrary rule is disastrous. If
there’s a judge you do not like, simply file an administrative case against
him and then he will be out of your case, you can get rid of the judges by
mere filing of administrative case.” [easy for lawyers to do this to judges
they do not like. Besides, bias and prejudice cannot be presumed.]
-mere friendship of the judge and party litigant or the lawyer
-SC said, “Judges are not expected to be hermits. They are, of
course, people entitled to have friends and it is not even inconceivable that
their friends will be within the legal circle. So they will have lawyer friends
and if friendship is a round for inhibition, the rule will be abused.”
-counsel was a classmate of the judge
Disadvantage of the Rule on Voluntary Inhibition
 It can be used by the judge to extricate himself from a case
 Lawyers might use it to extricate a judge
Rely on the Guidance of the Supreme Court
 Mere suspicion is not enough, there should be hard evidence to
prove it as well as manifest showing of bias and partiality
 Issuance of erroneous orders that pertain to the judge’s judicial
functions may not be proper consideration to charge the judge
bias except where the orders taken, not singly but collectively,
show that the judge has lost the full neutrality of an impartiality.
o You cannot just presume bias and prejudice.
SEC. 6. A judge disqualified as stated above may, instead of
withdrawing from the proceeding, disclose on the records the basis of
disqualification. If, based on such disclosure, the parties and lawyers,
independently of the judge’s participation, all agree in writing that the
reason for the inhibition is immaterial or unsubstantial, the judge may
then participate in the proceeding. The agreement, signed by all parties
and lawyers, shall be incorporated in the record of the proceedings.
-contemplates that there is a ground for mandatory disqualification
-but this section provides exception
-it is therefore possible that not withstanding a ground for mandatory
disqualification, a judge can still continue in trying, hearing and ultimately
deciding the case
REQUISITES FOR REMITTAL FOR DISQUALIFICATION:
Remittal – waiver of judges disqualification
 Parties and their lawyers agree independently on the judges
participation to waive the mandatory disqualification
o Judge may give time for the parties to decide
 They agree that the reason for disqualification is immaterial or
unsubstantial
 The agreement is reduced into writing, signed by all parties and
lawyers and entered upon the records of the case.
CANON 4
PROPRIETY
Propriety and the appearance of propriety are essential to the performance
of all the activities of a judge.
SECTION 1. Judges shall avoid impropriety and the appearance of
impropriety in all of their activities.
EX: There are photos of a judge and a subordinate going out of the hotel.
The judge said, this prove nothing, this just said that we went to the hotel.
Actual impropriety is not needed. SC said that it really proves
nothing in whatever you did inside the hotel but the pictures are already
sufficient to give the appearance of impropriety. Conversely, appearance
and propriety are already actionable.
-Judge heard a motion while on vacation in his room wearing just a polo and
jacket. – improper
SEC. 2. As a subject of constant public scrutiny, judges must accept
personal restrictions that might be viewed as burdensome by the
ordinary citizen and should do so freely and willingly. In particular,
judges shall conduct themselves in a way that is consistent with the
dignity of the judicial office.
-just like earlier examples: they cannot go to casinos, etc
-so many restriction but judges must accept this restrictions
EX: Use of intemperate language
-So you are a kind who enjoys getting drunk at parties, kung ma judge na ka
pwede gihapon ka mahubog pero not in public places. It is improper to get
drunk at parties. So kung judge na mo, di na pwede mag hubog-hubog.
-We have a judge who confronted her former boyfriend and the latter’s
female companion in a restaurant. Nagselos si judge, nag skandalo sa
restaurant, iyang gi-confront iyang ex = improper conduct for a judge.
Taken from the old code (no slide, not read by atty)
Q: We are talking about regulating activities. What particularly should be
the restrictions?
A: Judges can also have extra curricular activities. Those are possible extra-
judicial activities.
Q: How should Judges Regulate?
1. Vocational, Civil and Charitable Activities - judges can write, lecture,
teach, speak on non-legal subject.
On weekends, can judge be lecturer on massage? Yes. It’s a
nonlegal subject, it is allowed. Can a judge author a cook book? Yes. Let’s
say that the judge is also a good chief. He can also have cooking lessons on
weekends.
Can a judge involve himself in organizations? Yes.
*He can also engage is sports activities
Q: Can a judge be director, trustee, non-legal advisor?
A: YES. In non-profit, non-political, educational, religious, fraternal civil
organizations only. But all his Vocational, Civil and Charitable activities
must not conflict or degrade judicial functions (ex: nude painting).
2. Can engage in Recreational Activities
Q: What if his Recreational Activity is modeling?
A: Qualify. He can - It must not conflict or degrade his judicial function.
Let’s say gymnast sya then ganahan sya mu attend anang circus.
Kaon syag kayo, alambre. Can he do that? It could degrade his judicial
function. LISURA NA GURO SA KINABUHI RN OI. If actor, na-busy
hinuon sa pagbasa sa iyang script.
Are these applicable for lawyers? It is for judges.
Financial Activities – Can a judge enter into business transactions? – YES,
but he must refrain from dealings that will affect partiality or fear of
performance of judicial functions or increase involvement with lawyers or
persons likely to come before the court.
-should not serve as officer, director, manager, advisor or employee of any
business EXCEPT AS DIRECTOR OF A FAMILY BUSINESS
-should not use judicial information for business
-should not acquire property or rights in litigation (art. 1491, CC)
-must make full financial disclosure
SALN
-Judge want to open a business. 3 options: Parlor; Bookstore; Charity bonds
in the Court
-Which should he avoid? – 3rd one, it increasing the likely for
lawyers to come into his court
Q: Is there an exception for a lawyer to be an adviser, manager of a profit
organization or business?
A: YES. But, it must be just a DIRECTOR OF A FAMILY BUSINESS.
Ngano director raman? Why can’t a judge be a manager of a family
business? It is his family business anyway, so ngano magbuot man sa iya
role didto? Why can’t he be a manager, supervisor, gardener, COO, or
CEO? The position of director alone is what is allowed because it does not
really require a lot of time as opposed to being manager, COO, or CEO. The
judge might be tempted to not go to court because of conflict of interest; too
busy in business.
Fiduciary Activities –
Q: can a judge be an executor of an estate, trustee or guardian?
A: YES. But only to the immediate family.
Immediate Family – Spouse and Relative within 2nd Civil Degree of
Consanguinity
-and only when such services would not interfere with the proper
performance of judicial duties.
Let’s say the judges wife died and the judges is deem executor of
the will of his wife. But the estate is so massive, global empire, so many
things to manage as an executor with the effect that it will demand all his
time for a long time.
-Ordinarily, he is allowed but in this case, we are talking about a global
empire. He may not be qualified. Why?
A: Because the service will interfere with proper performance of judicial
duties. Obviously, executor functions conflict with judicial function
Practice of law – no private practice of law
Q: What about other professions?
A: YES. Provided it will not conflict with judicial functions. You have
teachers who are judges. Teaching is allowed as another profession.
*MTC Judge as notary public, is this allowed? – Under the Rules on
Notarial Practice, only in localities in where there are no lawyers. However,
the applicability here is impossible because lawyers are everywhere in the
Philippines.
Case: judge notarized deed of sale because client’s cannot afford to have it
notarize by the other two lawyers which demand is too expensive. Is it
proper? NO.
Non-Judicial Appointments – cannot accept appointments or designation
to any agency performing quasi-judicial court or administrative functions.
In Re: Judge Manzano
The SC did not allow the judge’s membership in the Ilocos Norte
provincial committee on justice which was an administrative body. Hence,
the designation is not allowed because it is an administrative body.
Political Activities – Judge should not make political speeches contribute to
funds, publicly indorse candidates for political office or participate in other
partisan political activities
-because judges should be neutral. Included is political neutrality.
What political activity can the judge validly do? To vote, or not to vote.
“Let’s go back to the new code”
SEC. 3. Judges shall, in their personal relations with individual
members of the legal profession who practice regularly in their court,
avoid situations which might reasonably give rise to the suspicion or
appearance of favoritism or partiality.
EX: the judge has coffee with Sanggunian members who appear before his
sala; asking for aircon, tables or chairs from a particular lawyer. He seems
playing favorites
There are some judges nga luoy pud. Appointed as judge but when they go
to their sala or courtroom, walay aircon or electricfan, no chairs or tables. So
some judges find themselves shelling out of their own pockets just to make
their courtroom a conducive place. In this particular case, judge asked
aircons, tables, from particular lawyers. Is it proper? No, it gives the
appearance that you are playing favorites.
Q: What if judge ask from IBP? Is it allowed? YES. Because this time, you
are asking from all the lawyers as opposed to just asking one lawyer or a
few lawyers.
SEC. 4. Judges shall not participate in the determination of a case in
which any member of their family represents a litigant or is associated
in any manner with the case.
-correlate this to mandatory grounds for disqualification
-family – sixth civil degree of consanguinity or affinity, or
person who is a companion or employee of the judge and who lives in the
judge’s household
SEC. 5. Judges shall not allow the use of their residence by a member of
the legal profession to receive clients of the latter or of other members
of the legal profession.
-judges’ house should not be a law office
-it is not unusual for a family to have a lot of lawyers. It is also not unusual
that you have a judge, lawyers. If you are a judge, can you allow that your
house be used to be a law office? No. Section 5 is very clear.
SEC. 6. Judges, like any other citizen, are entitled to freedom of
expression, belief, association and assembly, but in exercising such
rights, they shall always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the impartiality and
independence of the judiciary.
-in exercising these rights, the must be very careful, they must be
very prudent in exercising these rights (inherent)
EX: A judge is a very good literary writer. In one of his orders, he says,
“Respondent is a self ordained public tyrant with a contaminated mind and
assuming the position of a crocodile” – this may come from the adverse
party but not from the judge who is supposed to be subjective and based
only on facts and law.
SEC. 7. Judges shall inform themselves about their personal fiduciary
and financial interests and shall make reasonable efforts to be informed
about the financial interests of members of their family.
-Full financial disclosure, SAL-N. It does not merely cover the
judge. It also includes the family of the judge.
SEC. 8. Judges shall not use or lend the prestige of the judicial office to
advance their private interests, or those of a member of their family or
of anyone else, nor shall they convey or permit others to convey the
impression that anyone is in a special position improperly to influence
them in the performance of judicial duties.
-do not use the judicial office and do not allow others to use
judicial office
EX: Judge has a case of estafa. He filed the case in his own sala and issued
a warrant of arrest against the accused – it is obviously taking advantage of
his judicial office. If you are the accused, you will feel helpless that the
judge is the private offended party;
Judge posted advertisements for restaurant personnel, interviewing in
court (improper use of court facilities for promotion of business
interests)
-Judge is the owner of the restaurant. And you see in the bulletin in his
courtroom advertisement, “Wanted Waiter, Waitresses, Cashiers. Submit
your biodata to judge.” He also conducted interview of applicants in his
chambers. Obviously, it is an improper use of the resources and time of the
judiciary to advance personal interests.
-unsa pay additional violation?
SEC. 9. Confidential information acquired by judges in their judicial
capacity shall not be used or disclosed for any other purpose not related
to their judicial duties.
Ex. Releasing or leaking draft decisions; Releasing court orders not thru the
proper dockets; Allowing spouse to read case files
Before the official promulgation of the decision, it is confidential. Can you
think of a plausible explanation as to why the judge would leak a decision?
Are there any justifiable explanation? Wala, right? It can only lead us to ill-
motives behind the leaking of the decision. Gi-leak ni judge kay para maka-
collect na siya. Oh, mao na ni ang decision, asa man ang akoa ani, ako na i-
release.
EX: Case involving SC justice. Allegedly, SC Justice leaked a decision of
the SC. First question, you might ask, why is there an admin case filed
against an SC justice. Is it allowed? They shall be removed via
impeachment. So why do we have this? Because at the time of filing of the
case, the SC justice has already retired. Can he still be impeached? Not
anymore. So instead of an impeachment complaint, there is an admin
complaint against him for leaking decision of the SC. Predictably, his
defense was the case against him was moot and academic. Why? Because he
has already retired. Can you still dismiss him from the judiciary? Not
anymore. Can he still be suspended? Not anymore. Moot and academic, no
longer penalized. Is he correct? SC said it’s not moot and academic – only if
there is no more point in the proceedings, if you proceed, it serves no
purpose. Here, there still serves purpose. Even if grave penalties are no
longer applicable, under penalty can still apply like fine and accessory
penalties of forfeiture of retirement benefits, perpetual dq from public
office, so the case is not moot and academic, thus proceeded w the case and
found him guilty of leaking the decision of the SC.
What was the penalty? It was fine in the amount of P500,000.00 deductible
from his retirement benefits.
SEC. 10. Subject to the proper performance of judicial duties, judges
may
-naa nay leaking decisions before the decision is promulgated by
the court, naa nay copy ang parties.
(a) Write, lecture, teach and participate in activities concerning the law,
the legal system, the administration of justice or related matters;
(b) Appear at a public hearing before an official body concerned with
matters relating to the law, the legal system, the administration of
justice or related matters;
(c) Engage in other activities if such activities do not detract from the
dignity of the judicial office or otherwise interfere with the performance
of judicial duties.
- These time, these are judge related law-activities
SEC. 11. Judges shall not practice law whilst the holder of judicial
office.
SEC. 12. Judges may form or join associations of judges or participate
in other organizations representing the interests of judges.
SEC. 13. Judges and members of their families shall neither ask for, nor
accept, any gift, bequest, loan or favor in relation to anything done or to
be done or omitted to be done by him or her in connection with the
performance of judicial duties.
Cf: direct bribery, indirect bribery, RA 3019, RA 6713
SEC. 14. Judges shall not knowingly permit court staff or others subject
to their influence, direction or authority, to ask for, or accept, any gift,
bequest, loan or favor in relation to anything done or to be done or
omitted to be done in connection with their duties or functions.
13 and 14 – related to section of Bribery, admin counterpart of crim
provisions
SEC. 15. Subject to law and to any legal requirements of public
disclosure, judges may receive a token gift, award or benefit as
appropriate to the occasion on which it is made, provided that such gift,
award or benefit might not reasonably be perceived as intended to
influence the judge in the performance of judicial duties or otherwise
give rise to an appearance of partiality.
-not all gifts are prohibited
RA 6713 says you should appreciate the facts on a case-to-case basis when
it comes to determining whether gifts are proper or improper.
Q: What could be acceptable gifts?
A: Giving of certificate as a speaker in an activity.
- as long as the gift is appropriate and seen as not intended to
influence the judge
CANON 5
EQUALITY
-new provisions, all are new
Ensuring equality of treatment to all before the courts is essential to the due
performance of the judicial office.
SECTION 1. Judges shall be aware of, and understand, diversity in
society and differences arising from various sources, including but not
limited to race, color, sex, religion, national origin, caste, disability, age,
marital status, sexual orientation, social and economic status and other
like causes.
-telling judges to be aware and to understand diversity and
differences arising from various sources. And if there is a
legitimate ground to differentiate, then by all means you differ
the treatment.
-what is prohibited is the prohibition differentiation on improper
and irrelevant grounds
GR: EQUAL. But:
Q: Is there always equal treatment? – NO! because there are also valid
reasons to differentiate
Differentiation on the basis of Sex
Q: Should sex matter on the prohibition on exercise to vote, education, and
practice of profession?
A: NO. There is no proper ground. So there should be equal treatment
between the sexes because there is no valid ground to differentiate.
Exercise of Paternity and Maternity Leave
Q: Would there be a proper ground to differentiate?
A: They have different dates (M-60 days, if CS-72d, P-7days). This is
obviously unequal treatment but it is proper because there is legitimate
ground for differentiation. Thus, different treatment is allowed as it is based
on a relevant matter.
Differentiation on the basis of Religion
-You cannot compel Muslims to eat anything
-Christian and Muslim holidays
Q: Can you compel all court employees to attend flag raising and lowering
ceremonies?
A: NO. Jehovah’s witnesses are exempted.
Is there unequal treatment? Yes, but is based on a relevant ground.
Differentiation on the base of Marital Status:
-Solo Parent’s Leave, single parent +10 leave
Differentiation on the basis of Age
Juvenile Justice – makes it hard to imprison minors
-A(9), B(11), C(19) were apprehended and arrested kay akyat-bahay.
Senior Citizens Act. C ray gikiha. C says it’s unfair kay si A and B man jud
ang nisaka sa balay. Ako raman ila driver, sila ang gabuot and ga-master sa
pagpangawat. Is there unequal treatment? Obviously there is but there is
relevant ground because of A and B’s tender age.
Differentiation on the basis of Disability
Magnacarta Act of Disabled Persons – they have certain benefits under that
law.
Q: Can a body-size be a cause for determination of a case? (Yrasuegi v.
PAL 217lb flight attendant)
In a case, it involves a 400 pound flight attendant. She was
terminated. The termination is valid because PAL has given so many
occasions to trim down and even gave the employee all the support.
SC said, “flight safety is crucial in the airline business, cabin
attendant must maintain agility at all times. Passenger safety goes to the
core of the job, on board an aircraft the body weight or size of an attendant
is an important factor to consider in cases of emergency. Aircraft have
conscripted cabin and narrow aisles. The biggest problem with an over-
weight necessarily impedes stability. In emergency situations, seconds are
what attendants are dealing with. 3 lost seconds can translate into 3 lost
lives. Evacuation might slow down just because a wide body… ”
Sec 1 tells Judges to not be naïve and presume that everyone should be
treated equal because there are legitimate causes for diversity
SEC. 2. Judges shall not, in the performance of judicial duties, by
words or conduct, manifest bias or prejudice towards any person or
group on irrelevant grounds.
e.g. Gender sensitivity. Judges are taught to write in a manner
that it is sensitive to our gender. Ex – mankind = humanity/people
SEC. 3. Judges shall carry out judicial duties with appropriate
consideration for all persons, such as the parties, witnesses, lawyers,
court staff and judicial colleagues, without differentiation on any
irrelevant ground, immaterial to the proper performance of such
duties.
-judges treat everyone fairly. They should not fall into the mindframe that
litigants are made for the courts, rather than that the courts are made for
litigants.
-judges should treat witnesses fairly and properly, especially child
witnesses.
-judges should treat everyone fairly unless there is material ground to
differentiate
Instances where you could give different treatment:
-Child Witnesses
Q: Are child witnesses treated unequally to adult witnesses?
A: YES, because of their tender age. In family court, there is a TV monitor
for? The child witness to be examined in the chambers of the judge and not
in open court. The accused has the right to confront the witnesses against
him. He is not denied of this right just because the child is in the other
chamber, through that TV monitor, he can cross-examine that child.
-this is in the consideration of the child being a child. Naay uban
mga bata nga makakita lang sa nawng sa accused, muhilak nlang.
GR: Leading questions are questionable – not allowed
EXC: if the witness is a child or witness is hostile
SEC. 4. Judges shall not knowingly permit court staff or others subject
to his or her influence, direction or control to differentiate between
persons concerned, in a matter before the judge, on any irrelevant
ground.
SEC. 5. Judges shall require lawyers in proceedings before the court to
refrain from manifesting, by words or conduct, bias or prejudice based
on irrelevant grounds, except such as are legally relevant to an issue in
proceedings and may be the subject of legitimate advocacy.
 Sexist comments in a pleading – authorized to strike down as it
was proper
 Making a mockery of woman’s good looks and body parts –
proper for judge to cite lawyer in contempt of this
 Making jokes during a wedding ceremony – this time, judge ang
nagjoke. Judges can officiate marriages, so kani si judge nag
officiate. The bride looked pregnant. Si judge nangomedya.
There is a question to the effect that the judge “aw do you
ALREADY give yourself to him as your lawfully wedded wife?”
bride nauwawan sa wedding and SC said it was improper for the
judge.
Defense: nagjoke raman ko. SC: Joke was uncalled for.
CANON 6
COMPETENCE AND DILIGENCE
Competence and diligence are prerequisites to the due performance of
judicial office.
SECTION 1. The judicial duties of a judge take precedence over all
other activities.
-Remember the extra judicial activities of the judges. They can have sports,
cultural, financial, fiduciary
-However, section 1 tells that judicial duties should be the PRIORITY
SEC. 2. Judges shall devote their professional activity to judicial duties,
which include not only the performance of judicial functions and
responsibilities in court and the making of decisions, but also other
tasks relevant to the judicial office or the court’s operations.
 Administrative functions, e.g. file and record-keeping, supervision of
court personnel
EX: judge was disciplined for lost case records and missing case exhibits.
- this tells us that the judges’ job is not only to adjudicate (to hear and
decide cases)
Q: Who is the boss in the courtroom?
A: The judge. Thus, he should have efficient management capabilities. For
instance, he must know how to keep files and supervise work personnel.
Judge kita sya na iya clerk, while in front of litigants needing the clerk’s
assistance, clerk is busy make-up while daghan nag line for her kay nangay
assistance from clerk. But clerk, obviously was busy doing her make up.
What should the judge do? The judge should be able to properly manage his
people. Remind the clerk to attend her duty. Attend to personal needs in the
proper time and place.
Q: In what way are they administrators?
A: In there own courts. They are the boss in their court. As the boss, they
should have efficient case filing and case keeping. They should know how
to manage train court personnel.
If you can see court employees always late, very rude, - it court
reflect adversely on the judge’s administrative capabilities.
EX: -Some cases, judges are liable for lost records of cases. They said it is
their clerk’s fault and not theirs. This is not an excuse because they are
administrators of their own courts – they have command responsibility. It
shows that ultimately, the judge is responsible.
EX: Court employee committed suicide using the pistol in the evidence of
one case. Judge was dismissed. Aside form failure to explain how that
employee got hold of the evidence, he also did not cooperate with the NBI
in the investigation of the case. He did not turn over the firearm for
investigation.
SEC. 3. Judges shall take reasonable steps to maintain and enhance
their knowledge, skills and personal qualities necessary for the proper
performance of judicial duties, taking advantage for this purpose of the
training and other facilities which should be made available, under
judicial control, to judges.
 Judges should keep abreast of law and jurisprudence
-just like lawyers, it is a never ending study
Q: are they compelled to attend MCLE?
A: NO. They are exempted under Bar Matter. It does not mean however that
they do not have their own version of MCLE. They do under Philippine
Judicial Academy. It is also mandatory for them.
*Judges should not allow their personal beliefs and convictions prevail
over jurisprudence
EX: Judge render decisions pursuant to directives of dwarves. He also had
healing sessions. Some days of the week, he changes the color of robs to
recharge his psychic powers
Dismissed. SC said paranormal, supernatural beliefs have no
place in the judicial system. They should decide on facts of law.
EX: You are a devote Catholic, strong belief of preservation of marriage
and also a judge. You earnestly and sincerely believe that marriages should
not be broken. And you are also a family court judge and you are handling
annulment of marriage, declaration of nullity, etc. evidence in the case
warrants annulment. What should you do? You should decide the case based
on FACTS, LAW AND JURISPRUDENCE. Not on personal beliefs. . If the
case before you involves annulment of marriage or declaration of nullity, the
law should prevail over his beliefs.
-But if lisud jd kaau para sa judge, in his decision he should
share or make known his personal opinion, but e grant jd nimo ang nullity as
the case maybe.
EX: (2006 case, Judge Florentino Floro)
Judge renders decision pursuant to the directions of dwarves named Luis,
Armand and Angel; healing sessions in his courtroom; writing decisions
while in a trance; charging color of his robes to recharge his psychic powers
= dismissed from the judiciary
Ignorance of the law is the mainspring of injustice, as well as corruption;
disrespect and loss of confidence on the courts will result if judges are
ignorant.
*However, A judge is not discipline for mere error, to be liable such
error must constitute gross ignorance of the law, bad faith, dishonesty,
hatred or some other motive = DOCTRINE OF JUDICIAL
IMMUNITY
-Sayop lang jd iyang decision, it is not a ground for administrative liability.
They are humans. It is normal for them to commit errors and mistakes iin
their judgment.
-If we do not have this doctrine walay mag judge, they are human and they
commit mistakes
REMEDY: motion to appeal, reconsideration, certiorari or
whatever applicable mode for review that is there, but not
administrative liability
To be actionable, it should be accompanied by gross immoral,
ignorance of the law, et cetera.
SEC. 4. Judges shall keep themselves informed about relevant
developments of international law, including international conventions
and other instruments establishing human rights norms.
 Generally accepted principles of international law are part of the
law of the land
-They should study International law because under the constitution,
International Law is part of the law of the land. Judges should nnot be
ignorant to these treaties, et c.
SEC. 5. Judges shall perform all judicial duties, including the delivery
of reserved decisions, efficiently, fairly and with reasonable
promptness.
Mandatory language, however it is given DIRECTORY CONSTRUCTION.
Because if ma late si judge, di siya dapat ma VOID. That’s not what the
framers of this constitution mandates. What is violation of directory
provision? Decision will remain valid but it could render the judge
administratively liable for the delay.
 Judges should dispose of judicial business promptly and efficient
 *Justice delayed is justice denied.
-What good is a fair decisions if patay na ang party?
 This includes the utilization of pre-trial and discovery of
procedures as well as alternative modes of settling the case
-We are talking about Promptness
 Q: What are the time frame within which the court could render
decisions?
A: SC – 2years; CA – 6month; Lower Court – 3months
-reckoned from the date the case is submitted for
-Excuses for delay is not given credits:
 Clogged dockets (judges should ask for extension of time) – if
this is an excuse, then everyone will just invoke this
 Delay in the transcription of stenographic notes – that’s why
some judge makes his own notes, they are not allowed to rely on
the stenographic notes
 Inefficiency or mismanagement of court personnel – because
of the COMMAND RESPONSIBILITY. At most, it can have
mitigating affect but not absolutory.
-Character of decisions – should express clearly and distinctly the facts
and laws on which they are based
Rationale: To show that judge fully understood the case, to contribute to the
precedent in the growth of the law.

SEC. 6. Judges shall maintain order and decorum in all proceedings

before the court and be patient, dignified and courteous in relation to
litigants, witnesses, lawyers and others with whom the judge deals in an
official capacity. Judges shall require similar conduct of legal
representatives, court staff and others subject to their influence,
direction or control.
 Should not resort to violent tempestuous means to maintain order
in the court (wielding a gun)

-he should maintain decorum but in doing so, he should not resort to violent
means like using firearms, compelling witness to swallow the chewing gum

SEC. 7. Judges shall not engage in conduct incompatible with the

diligent discharge of judicial duties.

EX:
-holding hearings only on Mondays-Wednesdays, then going home the rest
of week (home: Paranaque; Court Balanga Bataan) – incompatible with
diligence

-Wednesday declared as "midweek pause" (no hearings for this day)

DEFINITIONS

In this Code, unless the context otherwise permits or requires, the

following meanings shall be attributed to the words used:

“Court staff” includes the personal staff of the judge including law
clerks.

“Judge” means any person exercising judicial power, however

designated.

“Judge’s family” includes a judge’s spouse, son, daughter, son-in-law,

daughterinlaw, and any other relative by consanguinity or affinity
within the sixth civil degree, or person who is a companion or employee
of the judge and who lives in the judge’s household.
ADMINISTRATIVE LIABILITY OF JUDGES (Rule 140 of Rules of
Court)
-this rule provides the steps on how to go about filing an administrative case
against judges.
SERIOUS CHARGE
Sec. 8
1. Bribery, direct or indirect;
2. Dishonesty and violations of the Anti-Graft and Corrupt Practices Law
(R.A. No. 3019);
3. Gross misconduct constituting violations of the Code of Judicial Conduct;
4. Knowingly rendering an unjust judgment or order as determined by a
competent court in an appropriate proceeding;
5. Conviction of a crime involving moral turpitude;
6. Willful failure to pay a just debt:
7. Borrowing money or property from lawyers and litigants in a case
pending before the court;
8. Immorality;
9. Gross ignorance of the law or procedure;
10. Partisan political activities; and
11.Alcoholism and/or vicious habits.
Examples of grave misconduct/gross misconduct: judge is appreciated the
cash bail bond. Decision was not personally prepared by the judge.
EX: Misappropriation of cash bail bond, Decision not personally
prepared by the judge, Immorality, Voyeurism – GRAVE
MISCONDUCT
*Serious Charge speaks of Grave Misconduct
Grave Misconduct – witty, momentous and not trifling, there must be a
reliable evidence showing that the judicial complained of were corrupt or
inspired and intention to violate the law or were in persistent disregard of
well known legal rules (In Re Horilleno, 43 Phil. 212)
*Kung dli sya grave, misconduct lang? – not a serious charge but less
serious charge
Gross inefficiency/Gross ignorance of the law
-unfamiliarity with the procedure
-Lost records and case exhibits
Gross ignorance of the law
-judge issued a warrant of arrest in a civil case
-misapplication of indeterminate sentence law
-granting bail for non-bailable case
-looking for proof of malice in a prosecution for an aoffense which is
malum prohibitum
LESS SERIOUS CHARGE (Sec 9, Rule 140)
1. Undue delay in rendering a decision or order, or in transmitting the
records of a case;
2. Frequent and unjustified absences without leave or habitual tardiness;
3. Unauthorized practice of law;
4. Violation of Supreme Court rules, directives, and circulars;
5. Receiving additional or double compensation unless specifically
authorized by law;
6. Untruthful statements in the certificate of service; and
7. Simple Misconduct.
LIGHT CHARGES (Sec. 10, Rule 140)
1. Vulgar and unbecoming conduct;
-Judge sleeping while hearing
2. Gambling in public;
3. Fraternizing with lawyers and litigants with pending case/cases in his
court; and
4. Undue delay in the submission of monthly reports.
Why is there classifications? Because the penalties will depend on the
classification. For the penalties, read Sec. 11.
SANCTIONS
A. If the respondent is guilty of a serious charge, any of the following
sanctions may be imposed:
1. Dismissal from the service, forfeiture of all or part of the benefits as the
Court may determine, and disqualification from reinstatement or
appointment to any public office, including government-owned or
controlled corporations. Provided, however, that the forfeiture of benefits
shall in no case include accrued leave credits;
2. Suspension from office without salary and other benefits for more than
three (3) but not exceeding six (6) months: or
3. A fine of more than P20,000 00 but not exceeding P40,000.00.
B. If the respondent is guilty of a less serious charge, any of the
following sanctions shall be imposed:
1. Suspension from office without salary and other benefits for not less than
one (1) nor more than three (3) months; or SDEHCc
2. A fine of more than P10,000.00 but not exceeding P20,000.00.
C. If the respondent is guilty of a light charge, any of the following
sanctions shall be imposed:
1. A fine of not less than P1,000.00 but not exceeding P10,000.00 and/or
2. Censure;
3. Reprimand;
4. Admonition with warning.
Confidentiality of proceedings. (Sec. 12, Rule 140) —Proceedings against
Judges of regular and special courts and Justices of the Court of Appeals
and the Sandiganbayan shall be private and confidential, but a copy of the
decision or resolution of the Court shall be attached to the record of the
respondent in the Office of the Court Administrator.
Doctrine of judicial immunity – can a judge be disciplined for mere error?
No, the remedy is to appeal, motion for reconsideration, and other modes of
review but not administrative case. Only if the error is accompanied with
gross ignorance of the law, misconduct, corruption or other ill-motive will it
render the judge administratively liable.
-Proceedings are confidential – only the decision is made public
Quantum of proof: Substantial Evidence
Burden of proof: on the complainant
Quantum of proof/ Burden of proof
In administrative proceedings, the quantum of proof required to establish a
respondent’s malfeansance is not proof beyond reasonable doubt but
substantial evidence, i.e, that amount of relevant evidence that a reasonable
mind might accept as adequate to support a conclusion is required. More
importantly in administrative proceedings, the complainant has the burden
of proving by substantial evidence to the contrary, the presumption that the
respondent regularly performed his duties will prevail. Indeed, if a
respondent judge or a court employee should be disciplined for a grave
offense, the evidence against him should be competent and derived from
direct knowledge. Charges based on mere suspicion and speculation cannot
be given credence.”(Planas vs Judges Reyes, A.M. No. RTJ-05-1905,
February 23, 2005)
RES IPSA LOQUITUR (action speaks for itself) – the court may impose
his authority upon erring judges whose actuations are on their face would
show gross incompetence, ignorance of the law or misconduct. (Macalintal
v. Judge Teh)
SC ADM. CIRCULAR NO. 1
Circular of Res Ipsa Loquitur – all judges are reminded that the SC has
applied Res Ipsa Loquitur rule in the removal of judges even WITHOUT
any formal investigation whenever a decision, on its face, indicates gross
incompetence or gross ignorance of the law or gross misconduct
-this is from the Supreme Court so this is valid
-isn’t it a violation of due process? This has been based by many judges to
whom this rule was applied. However, the circular still exists. There has
been no amendment yet.
Effect on Disbarment (Judges except SC judges)
- On MTC, RTC, Sandiganbayan, CTA, CA Justices- removed
from judiciary; membership in the bar is an essential qualification
- On SC Justices- can be removed via impeachment. Cannot be
removed via Disbarment proceedings. A contrary rule would allow an
indirect violation of the Constitutional provisions that SC Justices are
removable only by impeachment.
Q: Can judges be removed by disbarment?
A: YES. They are all lawyers, if you disbar them, they loses the most
essential requisite for being a judge.
EXCEPT: for SC Justices, they are removable only through
IMPEACHMENT
AUTOMATIC CONVERSION
-Applies to CA, SB justices, Regular and Special Courts Judges, Court
Officials who are lawyers.
– the administrative case against the judge shall also be considered a
disciplinary action against the judge as a member of the bar. The respondent
might be required to forthwith comment in the complaint and show cause
why he should also be suspended, disbarred or otherwise disciplinary
sanction as a member of the bar. (two cases in one. As a judge and as a
member of the bar)
-judgment in both respects may be incorporation in one decision
or resolution. He will be required to comment as to why he
should not be disciplined as a judge and as a member of the bar.
There are some administrative charges that can be used against the judge as
a judge or against as a lawyer.
EX: gross immorality, gross incompetence, against moral turpitude – it
is administrative charge against a judge; pwede pd magamit against him as a
lawyer
*Simply put that when there is Automatic Conversion, it’s like a two in one
proceeding. You have one proceedings but the SC want to determine the
liability of the judge as a judge and as a lawyer.
-so it is just to require the judge to show cause why he should not
be disciplined
*The resulting decision will resolve both aspects.
-it’s possible that in one decision, a judge is removed from the
judiciary and also disbarred
-or removed from the judiciary and suspended as a lawyer
-one decision for two aspects
CRIMINAL LIABILITY OF JUDGES
-Knowingly rendering unjust justice
-Judgment rendered through negligence
-knowingly rendering an unjust interlocutory order or decree
-malicious delay in the administration of justice
CIVIL LIABILITY OF JUDGES
Arts. 19, 20, 27, 32 New Civil Code
*There are also instances that the judge is acquitted but found
administratively guilty
Art. 1491
Lawyers cannot acquire property pending litigation.
-same thing for the judge
Art. 739
Donations to a judge, his spouse, descendants, ascendants by reason of his
office are void
-contrary to law
Complainant withdraw the administrative complaint
Q: What is the effect on administrative case?
A: No effect, the administrative case proceeds.
To condition the administrative actions upon the will of the
complainant who may condone a detestable act is to strip the SC of its
supervisory power to discipline members of the judiciary.
Administrative cases will not concern itself with private interests
Q: What if the complainant dies?
A: The administrative case proceeds. Because the complainant is treated
only as a witness but not really a party to the case.
Concern is: not relief for complainant but make sure that judges are
compliant with ethical responsibilities.
EFFECT OF SEPARATION OR RETIREMENT OF RESPONDENT
JUDGE
-the subsequent retirement of the judge or any judicial offer from the service
does not preclude the finding of any administrative liability to which is
answerable
Q: What if the judge is separated/retired from the government? Is it moot
and academic? Can you still suspend him? Can you still remove him?
A: NO. There are still applicable penalties like fine or forfeiture or
retirement benefit, disqualification of holding government office
EFFECT OF DEATH OF RESPONDENT JUDGE
-death of the respondent in an administrative case, as a rule, does not
preclude a findings of administrative liability.
Can there still be forfeiture of retirement benefits? Yes.
Q: What if not retired, patay na jd?
A: Still not moot and academic. You can still withhold retirement benefits.
-if the judge is innocent, he deserves that his name be made clean
even in death
-if guilty and there is still imposable penalty then impose that
penalty
EXCEPTIONS TO MOOT AND ACADEMIC:
 When the respondent is not been heard and the continuation of
the case would deny him of due process
o There must be the right to be heard and set his
defenses
EX: Judge receives the complaint, he reads it, gi ataki patay on the spot. He
was not able to ventilate his defenses. The case should not be continued.
Otherwise, it would be contrary to due process (as to defending himself)
 Exceptional circumstances exist in the case leading to equitable
and Humanitarian consideration
 When the penalty imposed or imposable would render the
proceedings useless
What if it is a light offense and for the first offense, the imposable penalty is
reprimand. Can you still reprimand a dead judge? No. Thus, if it is no longer
feasible, then dismiss the case.
MITIGATING CIRCUMSTANCES
 the complaint acts committed prior to his admission to judiciary
– he was still a lawyer
 failing health
 old age (can also be aggravating)
 lack of stenographer
 1st offense
 long and exemplary service
 acknowledgement of fault (remorse and apologize)
 apology
It can reduce the penalty.
Filing of Complaint (Sec. 1, Rule 139-B, ROC)
What: Verified Complaint
Who: By any person; or by the Supreme Court motu proprio; or by the IBP
Board of Governors motu proprio or upon referral by the SC or by a Chapter
Board of Office, or at the Instance of any person
Where: Supreme Court, IBP National or Chapter Office

If filed with the Supreme Court

1. SC directly investigates – SC decision
2. SC refers to IBP for Investigation, Report and Recommendation
– IBP refers *not clear* - Final Report and Recommendation of
the Commission on Bar Discipline is forwarded to the Board of
Governors for affirmative or modification – Forwarded to SC for
ultimate action – SC decision
NOTE HOWEVER:
If the recommendation is less than suspension, the Decision of the Board of
Governor shall become final and executory if no party appeals the same to
the SC within 15 days from notice.
3. SC refers to Solicitor-General or other distinguished office for
investigation, Report and recommendation – Final report and
recommendation of the Solicitor-General forwarded to the SC for
ultimate action – SC decision

If filed with the IBP

1. Local Chapter refers the Complaint to the IBP National Office
for appropriate action – IBP National Office refers the case to its
Commission on Bar Discipline – Final Report and
Recommendation of the Commission on Bar Discipline is
forwarded to the Board of Governors for affirmance or
modification – Forwarded to SC for ultimate action – SC
decision

Rule 140, as amended by A.M. No/ 01-8-10-SC, effective October 1,

2005

1. Complaint
- Sc motu proprio
- Verified Complaint
- anonymous complaint, supported by public records of
indubitable integrity
2. If sufficient in form and substance, REQUIRE RESPONDENT
TO FILE COMMENT WITHIN 10 DAYS FROM DATE OF
SERVICE

NOTE: If not sufficient in form and substance, OUTRIGHT

DISMISSAL
3. Upon filing of Comment or Expiration of time to file Comment
(uncles other pleading or documents are required)
-ASSIGN TO OFFICE OF COURT ADMINISTRATOR for
evaluation, report and recommendation, OR
-ASSIGN TO
 Retired SC Justice – CA and Sandiganbayan Justice
 CA Justice – RTC (special court of equivalent rank) Judge
 RTC Judge – inferior courts
4. HEARING – may be done ex parte, terminated within 90 days
from commencement
5. Within 30 days from termination of hearing: FINDINGS OF
FACT AND RECOMMENDATION
6. SC ACTION