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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
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TABLE OF CONTENTS
TO SOCIETY...................................... 11
LEGAL ETHICS RESPECT FOR LAW AND LEGAL PROCESSES ......... 11
EFFICIENT AND CONVENIENT LEGAL SERVICES .... 12
Supervision & Control of the TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE
INFORMATION ON LEGAL SERVICES ................... 13
Legal Profession ....................... 1 PARTICIPATION IN THE IMPROVEMENT AND RE-
FORMS IN LEGAL SYSTEM ................................ 15
Practice of Law ......................... 1 PARTICIPATION IN LEGAL EDUCATION PROGRAM 15
CONCEPT .......................................... 1
THE LEGAL PROFESSION ............... 16
FOUR FACTORS IN DETERMINING BAR INTEGRATION ......................................... 16
UPHOLDING THE DIGNITY AND INTEGRITY OF THE
PRACTICE OF LAW ........................... 1
PROFESSION ................................................. 17
COURTESY, FAIRNESS AND CANDOR TOWARDS
NATURE ............................................ 1 PROFESSIONAL COLLEAGUES ........................... 18
NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF
QUALIFICATIONS..............................2 LAW ............................................................. 19
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TABLE OF CONTENTS
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TABLE OF CONTENTS
VOLUNTARY ................................. 80
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
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GOOD AND REGULAR STANDING: [MDRD] Ratio: His/her duties to his client and to the
(1) Remain a member of the Integrated Bar of court will require that he be readily accessible
the Philippines (IBP); and available.
(2) Regularly pay all IBP dues and other lawful
assessments (e.g., annual privilege tax); AGE
(3) Faithful observance of the rules and ethics of Rules of Court, Rule 138, Sec. 2. Every applicant
the legal profession (e.g., Mandatory for admission as a member of the bar must xxx
Continuing Legal Education (MCLE)); be at least 21 years of age.
(4) Be continually subject to judicial disciplinary
control (Agpalo, Comments on the Code of
Ratio: Maturity and discretion are required in
Professional Responsibility and the Code of
the practice of law.
Judicial Conduct (2004)).
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(2) Recognition or accreditation of the law When And Where To Take Examinations
school by the proper authority Rules of Court, Rule 138, Sec. 11. …take place
(3) Completion of all the fourth year subjects in annually in the City of Manila. They shall be
a law school duly recognized by the held in four days to be designated by the
Philippine Government [SC Bar Matter 1153: chairman of the committee on bar examiners.
Re: Letter of Atty. Estelito Mendoza (2010)].
Distribution Of Subjects
BAR EXAMINATIONS
When To File Permit
morning Political and
Rules of Court, Rule 138, Sec. 7. All applicants for International Law
First Day
admission shall file with the clerk of the
Supreme Court the evidence required by Section afternoon Labor and
Social Legislation
2 at least 15 days before the beginning of the
Second morning Civil Law
examination. They shall also file within the
same period the affidavit and certificate Day
afternoon Taxation
required by Section 5.
morning Mercantile Law
Notice Third Day
afternoon Criminal Law
Rules of Court, Rule 138, Sec. 8. Notice of
applications for admission shall be published by morning Remedial Law
the clerk of the Supreme Court in newspapers Fourth
Day
published in Filipino, English and Spanish, for at afternoon Legal Ethics and
least ten days before the beginning of the Practical Exercises
examination.
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Agent or friend
Rules of Court, Rule 138-A, Sec. 3. The Rules Rules of Court, Rule 138, Sec.34. In such cases,
safeguarding privileged communications no attorney client relationship exists; not
between attorney and client shall apply to habitual. An agent is usually appointed or a
similar communications made to or received by friend choses in a locality where a licensed
the law student, acting for the legal clinic. member of the bar is not available.
Rules of Court, Rule 138-A, Sec. 4. The law Civil case – a party in a civil suit may conduct his
student shall comply with the standards of litigation either personally or with the aid of an
professional conduct governing members of the attorney unless the party is a juridical person.
ALLOWED IN: MTC, RTC, appellate court (where
bar. Failure of an attorney to provide adequate
supervision of student practice may be a ground the party must appear personally or by counsel)
for disciplinary action.
Criminal cases – [Rules of Court, Rule 116, Sec. 7.]
in localities where members of the bar are not
Rules of Court, Rule 138, Sec. 34. A law student available, the court may appoint any person (i.e.,
may appear in his personal capacity without the non-lawyer), who is:
supervision of a lawyer in inferior courts. A resident of the province
Of good repute for probity
Clear that appearance before the inferior courts Ability to defend the accused, in lieu of a
by a non-lawyer is allowed, irrespective of counsel de oficio
whether or not he is a law student [Cruz v. Mina ALLOWED IN: MTC only!
(2007)].
Self-representation
Thus, a law student may appear under the Rules of Court, Rule 138, Sec. 34. By whom
circumstances of Section 38, as an agent or a litigation conducted. In the court of a
friend of a party litigant, without complying with municipality a party may conduct his litigation
the requirements of Rule 138-A, e.g., supervision in person, with the aid of an agent or friend
of a lawyer. appointed by him for that purpose, or with the
aid of an attorney. In any other court, a party
Ratio: The issues involved are relatively simple. may conduct his litigation personally or by aid of
an attorney, and his appearance must be either
NON-LAWYERS IN COURTS personal or by a duly authorized member of the
Rules of Court, Rule 138, Sec. 34. In the court of a bar.
municipality a party may conduct his litigation
in person, with the aid of an agent or friend An attorney who is otherwise disqualified to
appointed by him for that purpose, or with the practice law, or has been disbarred or
aid of an attorney. In any other court, a party suspended from practice, can validly prosecute
may conduct his litigation personally or by aid of or defend his own litigation, he having as much
an attorney, and his appearance must be either right as that of a layman in that regard
personal or by a duly authorized member of the [Danforth v. Egan (1920)].
bar.
When a person conducts his litigation in person,
Public policy demands that legal work in he is not engaged in the practice of law. One
representation of parties should be entrusted does not practice law by acting for himself any
only to those possessing tested qualifications more than he practices medicine by rendering
[PAFLU v. Binalbagan (1971)]. first aid to himself [[Agpalo]].
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A juridical person may also appear through its (2) Under Section 9, Act 2259 (Cadastral Act), a
non-lawyer agents or officers in the municipal claimant may appear by himself, or by some
trial court. Otherwise, it must be represented by person in his behalf, before a cadastral court.
a lawyer.
In order that these laws will not infringe upon
Section 34 does not distinguish between civil the power of the Supreme Court to regulate the
and criminal cases. However, in criminal cases, practice of law, the following limitations must
the rule is qualified: be observed:
Under Section 1(c), Rule 115, the accused may The non-lawyer should confine his work to
defend himself in person “when it sufficiently non-adversary contentions and should not
appears to the court that he can properly undertake purely legal work (i.e., examination
protect his rights without the assistance of of witness, presentation of evidence);
counsel.” The services should not be habitual;
Under Section 7, Rule 116, in determining Attorney’s fees should not be charged
whether a counsel de oficio should be [Agpalo]).
appointed, or, for that matter, whether a
counsel de parte should be required PROCEEDINGS WHERE LAWYERS ARE
(conversely, whether the accused should be PROHIBITED FROM APPEARING
allowed to defend himself in person), the
gravity of the offense and the difficulty of the Small Claims Cases
questions that may arise should be Rules of Procedure in Small Claims, Sec. 17. No
considered. attorney shall appear in behalf of or represent a
party at the hearing, unless the attorney is the
While the right to be represented by counsel is plaintiff or defendant. If the court determines
immutable, the option to secure the services of that a party cannot properly present his/her
counsel de parte is not absolute. The court may claim or defense and needs assistance, the
restrict the accused’s option to retain a counsel court may, in its discretion, allow another
de parte if: individual who is not an attorney to assist that
He insists on an attorney he cannot afford; party upon the latter's consent.
He chose a person not a member of the bar;
The attorney declines for a valid reason (e.g., Katarungang Pambarangay Proceedings
conflict of interest) (People v. Serzo (1997)). Local Government Code (RA 7160), Sec. 45. The
parties must appear in person without the
Non-lawyers in administrative tribunals assistance of the counsel or representative,
Consistently with Section 34, a party may also except for minors and incompetents who may
appear on his own behalf, his organization or be assisted by their next of kin who are not
members thereof, before administrative bodies. lawyers.
This is also expressly allowed in Article 222,
Labor Code.
SANCTIONS FOR PRACTICE OR
There are laws which allow representation of APPEARANCE WITHOUT AUTHORITY
another by non-lawyers before such bodies:
(1) The 2011 NLRC Rule of Procedure, Lawyers without authority
promulgated pursuant to Article 218(a), Rules of Court, Rule 138, Sec. 27. Corruptly or
Labor Code, allows (a) non-lawyers, who are willfully appearing as an attorney for a party to
not necessarily a party to the case, to a case without authority to do so is a ground for
represent a union or members thereof, and disbarment or suspension.
(b) non-lawyer owners of establishments, to
appear before it.
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Shari’a Bar passesrs are not full-pledged Public officials who cannot practice law or
Philippine Bar members so they may only with restrictions
practive before Shari’a Courts. Both are Absolute prohibition
counselors, but only the latter is an “attorney” (1) Judges and other officials or employees of
[Alawi v Alauya (1997)] superior courts as [Section 35, Rule 148];
(2) Officials and employees of the Office of the
Persons not lawyers Solicitor General [Section 35, Rule 148];
Remedies that can be availed against (3) Government prosecutors [Lim-Santiago v.
unauthorized practice: Sagucio (2006)];
(1) Petition for injunction; (4) President, vice-president, cabinet members,
(2) Declaratory relief; their deputies and assistants [Section 15,
(3) Contempt of court; Article VII, Constitution];
(4) Disqualification; (5) Chairmen and members of constitutional
(5) Criminal complaint for estafa against the commissions [Section 2, Article IX-A,
person who falsely represented himself as a Constitution];
lawyer to the damage of another. (6) Ombudsman and his deputies [Section 8,
2nd par., Article X, Constitution];
PUBLIC OFFICIALS AND PRACTICE OF LAW (7) All governors, city and municipal mayors
[Section 90(a), RA 7160];
Prohibition or disqualification of former (8) Those who, by special law, are prohibited
government attorneys from engaging in the practice of their legal
RA 6713, Sec. 7(b). Public officials and profession.
employees during their incumbency shall not:
Own, control, manage or accept employment Relative prohibition
as officer employee, consultant, counsel, (1) No senator or member of the House of
broker, agent, trustee or nominee / in any Representatives may personally appear as
private enterprise regulated, supervised or counsel before any court of justice or before
licensed by their office / unless expressly the Electoral Tribunals, or quasi-judicial and
allowed by law; other administrative bodies [Section 14,
Engage in the private practice of their Article VI, Constitution];
profession unless authorized by the (2) Sanggunian members may practice law
Constitution or law, provided that such except during session hours and provided
practice will not conflict or tend to conflict they shall not:
with their official functions; (a) Appear as counsel before any court in any
civil case wherein a local government unit
Recommend any person to any position in a
or any office, agency, or instrumentality of
private enterprise which has a regular or
the government is the adverse party;
pending official transaction with their office.
(b) Appear as counsel in any criminal case
wherein an officer or employee of the
These prohibitions shall continue to apply for a national or local government is accused
period of one year after resignation, retirement of an offense committed in relation to his
or separation from public office, except in case office;
of the second. (c) Collect any fee for their appearance in
administrative proceedings involving the
Also, the one year prohibition applies to practice local government unit of which he is an
of profession in connection with any matter official; and
before the office he used to be with. (d) Use property and personnel of the
government except when the sanggunian
member concerned is defending the
interest of the government [Section 90(b),
RA 7160].
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Special restrictions I will delay no man for money or malice, and will
RA 910, Sec. 1. The pension of justices therein is conduct myself as a lawyer according to the
provided with a condition that no retiring justice, best of my knowledge and discretion with all
during the time that he is receiving said pension fidelity as well to the courts as to my clients;
shall:
Appear as counsel before any court in any civil And I impose upon myself this voluntary
case wherein the Government or any obligation without any mental reservation or
subdivision or instrumentality thereof is the purpose of evasion. So help me God.
adverse party;
In any criminal case wherein and officer or The lawyer's oath is not a mere ceremony or
employee of the government is accused of an formality for practicing law. Every lawyer should
offense committed in relation to his office; or at all times weigh his actions according to the
sworn promises he makes when taking the
Collect any fee for his appearance in any
lawyer's oath. If all lawyers conducted
administrative proceedings to maintain an
themselves strictly according to the lawyer's
interest adverse to the Government, insular,
oath and the Code of Professional Responsibility,
provincial or municipal, or to any of its legally
the administration of justice will undoubtedly be
constituted officers.
faster, fairer and easier for everyone concerned
[In re: Argosino (1997)].
LAWYERS AUTHORIZED TO REPRESENT
THE GOVERNMENT
IMPORTANT TERMS TO REMEMBER:
Any person appointed to appear for the
AMICUS CURIAE - Latin for “friend of court”, a
Government of the Philippines shall be allowed
lawyer who assits the court by giving
to appear in court, subject to pertinent laws.
information or advice regarding questions of
law or of fact. He does not represent any party.
LAWYER’S OATH
Rules of Court, Rule 138, Sec. 17. An applicant ATTORNEY - Officers of the courts, empowered
who has passed the required examination, or to appear, prosecute and defend, and upon
has been otherwise found to be entitled to whom peculiar duties, responsibilities and
admission to the bar, shall take and subscribe liabilities are developed by law as a
before the Supreme Court the corresponding consequence [Cui v. Cui (1964)]
oath of office. Form 28 of the Judicial Standard
Forms prescirbes the following oath to be taken BAR - Refers to the whole body of attorneys,
by the applicant collectively, the members of the legal
profession.
I, _______________, do solemnly swear that:
BARRISTER - In England, a person entitled to
I will maintain allegiance to the Republic of the practice law as an advocate or counsel in the
Philippines; superior court.
I will support its Constitution and obey the laws BENCH - Denotes the whole body of judges
as well as the legal orders of the duly
constituted authorities therein; NOTARY PUBLIC - A public officer authorized
to certify documents, take affidavits, and
I will do no falsehood, nor consent to the doing administer oaths. Under 2004 Rules Notarial
of any in court; Practice, all notaries must be lawyers.
I will not wittingly or willingly promote or sue SOLICITOR - Government lawyer attached with
any groundless, false or unlawful suit, nor give the OSG
aid nor consent to the same;
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Ambulance chasing Rule 2.01. A lawyer shall not reject, except for
Refers to accident-site solicitation of almost any valid reasons, the cause of the defenseless or
kind of legal business by laymen employed by the oppressed.
an attorney for the purpose or by the attorney
himself.
Const. Art. III, Sec. 11. Free access to the courts
It is prohibited because it encourages perjury, and quasi-judicial bodies and adequate legal
the defrauding of innocent persons by assistance shall not be denied to any person by
judgments upon manufactured causes of reason of poverty.
actions, and the defrauding of injured persons
having proper causes of action but ignorant of The legal profession is a burdened privilege not
legal rights and court procedure. many are qualified to undertake. A lawyer owes
fidelity to the duty required of the legal
The filing of multiple complaints reflects on a profession. If there is no incompatibility
lawyer’s fitness to be a member of the legal between the defense of the client and the
profession. His conduct of vindictiveness is a position of the lawyer, he should not decline his
decidedly undesirable trait especially when one appointment as counsel de oficio [Ledesma v.
resorts to using the court not to secure justice Climaco (1974)].
but merely to exact revenge. It warrants
dismissal from the judiciary [Saburnido v. Legal aid is not a matter of charity. It is a means
Madrono (2001)]. for the correction of social imbalance that may
and often do lead to injustice, for which reason
Rule 1.04. A lawyer shall encourage his clients to it is a public responsibility of the bar (IBP
avoid, end or settle a controversy if it will admit Handbook, Guidelines Governing the
of a fair settlement. Establishment and Operation of the Legal Aid
Office).
The function of a lawyer is not only to conduct
litigation but to avoid it where possible, by Rule 2.02. In such cases, even if the lawyer does
advising settlement or withholding suit. He not accept a case, he shall not refuse to render
must act as mediator for compromise rather legal advice to the person concerned if only to
than an instigator and conflict [Agpalo]. the extent necessary to safeguard the latter’s
A lawyer who abets his client into using the rights.
courts to subvert the very ends of justice by
instigating controversy and conflict although Advice may be on what preliminary steps to take
the client’s cause is without merit. It is every until the client has secured the services of
duty of a counsel to advise his client on the counsel. But he shall refrain from giving legal
merit of his case. A lawyer must resist the advice if the reason for not accepting the case is
whims and caprices of his clients, and temper that there involves a conflict of interest between
his client’s propensity to litigate [Castaneda v. him and a prospective client or between a
Ago (1975)]. present client and a prospective client. [Agpalo]
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Rule 2.03. A lawyer shall not do or permit to be Rule 3.01. A lawyer shall not use or permit the
done any act designed to primarily solicit legal use of any false, fraudulent, misleading,
business. deceptive, undignified, self-laudatory or unfair
statement or claim regarding his qualifications
The legal practice is not a business but a or legal services.
profession. Unlike a businessman, the lawyer
has: The most worthy and effective advertisement
Relation to the administration of justice possible, even for a young lawyer, and especially
involving sincerity, integrity and reliability as with his brother lawyers, is the establishment of
an officer of the court; a well-merited reputation for professional
Duty of public service; capacity and fidelity to trust. This cannot be
Relation to clients with the highest degree of forced, but must be the outcome of character
fiduciary; and conduct [Canon 27, Canons of Professional
Relation to colleagues at the bar Ethics; In re: Tagorda (1929)].
characterized by candor, fairness and
unwillingness to resort to business methods of The following are considered allowable
advertising and encroachment on their advertisement:
practice, or dealing directly with their clients (1) Ordinary professional card;
[Agpalo]). (2) Publication in reputable law list with brief
biographical and other informative data
Thus, the practice of soliciting cases at law for which may include:
the purpose of gain, either personally or (a) Name;
through paid agents or brokers, constitutes (b) Associates;
malpractice [Section 27, Rule 138]. (c) Address;
(d) Phone numbers;
(e) Branches of law practiced;
Rule 2.04. A lawyer shall not charge rates lower (f) Birthday;
than those customarily prescribed unless the (g) Day admitted to the bar;
circumstances so warrant. (h) Schools and dates attended;
(i) Degrees and distinctions;
This rule prohibits the competition in the matter (j) Public or quasi-public offices;
of charging professional fees for the purposed (k) Posts of honor;
of attracting clients in favor of the lawyer who (l) Legal authorships;
offers lower rates. The rule does not prohibit a (m) Teaching positions;
lawyer from charging a reduced fee or none at (n) Associations;
all to an indigent or to a person who would have (o) Legal fraternities and societies;
difficulty paying the fee usually charged for such (p) References and regularly represented
services [Agpalo (2004)]. clients must be published for that
purpose (Ulep v. The Legal Clinic, Inc.
TRUE, HONEST, FAIR, DIGNIFIED & (1993));
OBJECTIVE INFORMATION ON LEGAL (3) Publication of simple announcement of
SERVICES opening of law firm, change of firm;
(4) Listing in telephone directory but not under
designation of special branch of law;
Canon 3. A lawyer in making known his legal (5) If acting as an associate (specializing in a
services shall use only true, honest, fair, branch of law), may publish a brief and
dignified and objective information or statement dignified announcement to lawyers (law list,
of facts. law journal);
(6) If in media, those acts incidental to his
practice and not of his own initiative;
(7) Writing legal articles;
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(8) Activity of an association for the purpose of Ratio: All partners by their joint efforts over a
legal representation. period of years contributed to the goodwill
attached to the firm name, and the removal of
Entering into other businesses, which are not the deceased partner’s name disturbs the client
inconsistent with lawyer’s duties. goodwill built through the years.
It is advisable that they be entirely separate and
apart such that a layman could distinguish Firms may not use misleading names showing
between the two functions. association with other firms to purport legal
services of highest quality and ties with
Prohibited advertisements: (Section 27, Canon of multinational business enterprise especially
Professional Ethics) when such firm attached as an associate cannot
(1) Through touters of any kind whether allied legally practice law in the Philippines [Dacanay
real estate firms or trust companies v. Baker and McKenzie (1985)].
advertising to secure the drawing of deeds or
wills; Rule 3.03. Where a partner accepts public office,
(2) Offering retainers in exchange for he shall withdraw from the firm and his name
executorships or trusteeships to be shall be dropped from the firm name unless the
influenced by the lawyer; law allows him to practice law concurrently.
(3) Furnishing or inspiring newspaper
comments concerning the manner of their The purpose of the rule is to prevent the law
conduct, the magnitude of the interests firm from using his name to attract legal
involved, the importance of lawyer’s position, business and to avoid suspicion of undue
and all other like self-laudation. influence.
A lawyer may not properly publish his brief A civil service officer or employee whose duty or
biographical and informative data in a daily responsibility does not require his entire time to
paper, magazine, trade journal or society be at the disposal of the government may not
program in order to solicit legal business [Khan engage in the private practice of law without the
v. Simbillo (2003)]. written permit from the head of the department
concerned [Agpalo (2004)].
It is highly unethical for an attorney to advertise
his talents or skill as a merchant advertises his It is unlawful for a public official or employee to,
wares. The law is a profession not a business. among others, engage in the private practice of
Solicitation of cases by himself or through their profession, unless authorized by the
others is unprofessional and lowers the Constitution or law, provided that such practice
standards of the legal profession. [In re: Tagorda will not conflict or tend to conflict with official
(1929)]. functions [Samonte v. Gatdula (1999)].
If the unauthorized practice on the part of a
person who assumes to be an attorney causes
Rule 3.02. In the choice of a firm name, no false, damage to a party, the former may be held
misleading or assumed name shall be used. The liable for estafa.
continued use of the name of a deceased
partner is permissible provided that the firm Rule 3.04. A lawyer shall not pay or give any
indicates in all its communications that said thing of value to representatives of the mass
partner is deceased. media in anticipation of, or in return for,
publicity to attract legal business.
The continued use of the name of a deceased
partner is permissible provided that the firm The purpose of this rule is to prevent some
indicates in all its communications that said lawyers from gaining an unfair advantage over
partner is deceased [Agpalo (2004)]. others through the use of gimmickry, press
agentry or other artificial means.
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APPLICABILITY TO GOVERNMENT
This rule prohibits from making indirect LAWYERS
publicity gimmick, such as furnishing or
inspiring newspaper comments, procuring his Canon 6. These canons shall apply to lawyers in
photograph to be published in connection with government service in the discharge of their
cases which he is handling, making a courtroom official duties.
scene to attract the attention of newspapermen,
or arranging for the purpose an interview with A member of the bar who assumes public office
him by media people [Agpalo (2004)]. does not shed his professional obligation.
Lawyers in government are public servants who
PARTICIPATION IN THE owe the utmost fidelity to the public service. A
lawyer in public service is a keeper of public
IMPROVEMENT AND REFORMS IN faith and is burdened with a high degree of
THE LEGAL SYSTEM social responsibility, perhaps higher than her
Canon 4. A lawyer shall participate in the brethren in private practice [Vitriolo v. Dasig
development of the legal system by initiating or (2003)].
supporting efforts in law reform and in the
improvement of the administration of justice. Rule 6.01. The primary duty of a lawyer engaged
in public prosecution is not to convict but to see
Examples: that justice is done. The suppression of facts or
(1) Presenting position papers or resolutions for the concealment of witnesses capable of
the introduction of pertinent bills in establishing the innocence of the accused is
Congress; highly reprehensible and is cause for
(2) Submitting petitions to the Supreme Court disciplinary action.
for the amendment of the Rules of Court.
A public prosecutor is a quasi-judicial officer
The Misamis Oriental Chapter of the IBP has with the two-fold aim of which is that guilt shall
been commended by the Supreme Court when not escape or innocence suffer. He should not
it promulgated a resolution wherein it hesitate to recommend to the court the
requested the IBP’s National Committee on acquittal of an accused if the evidence in his
Legal Aid to ask for the exemption from the possession shows that the accused is innocent
payment of filing, docket and other fees of [Agpalo (2004)].
clients of the legal aid offices in the various IBP
chapters [Re: Request of NCLA to Exempt Legal It is upon the discretion of the prosecutor to
Aid Clients from Paying Filing, Docket and Other decide what charge to file upon proper
Fees (2009)]. appreciation of facts and evidences. Fiscals are
not precluded from exercising their sound
PARTICIPATION IN LEGAL discretion in investigation. His primary duty is
EDUCATION PROGRAM not to convict but to see that justice is served
Canon 5. A lawyer shall keep abreast of legal [People v. Pineda (1967)].
developments, participate in continuing legal
education programs, support efforts to achieve Rule 6.02. A lawyer in the government service
high standards in law schools as well as in the shall not use his public position to promote or
practical training of law students and assist in advance his private interests, nor allow the
disseminating information regarding the law latter to interfere with his public duties.
and jurisprudence.
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OBJECTIVES AND PURPOSE OF THE IBP A membership fee in the IBP is an exaction for
General Objectives regulation, while the purpose of a tax is
(1) To elevate the standards of the legal revenue. If the Court has inherent power to
profession; regulate the bar, it follows that as an incident to
(2) To improve the administration of justice; regulation, it may impose a membership fee for
(3) To enable the bar to discharge its public that purpose. It would not be possible to push
responsibility more effectively. through an Integrated Bar program without
means to defray the concomitant expenses. The
Purposes doctrine of implied powers necessarily includes
(1) To assist in the administration of justice; the power to impose such an exaction [In the
(2) To foster and maintain on the part of its matter of the IBP (1973)].
members high ideals of integrity, learning,
professional competence, public service and A lawyer can engage in the practice of law only
conduct; by paying his dues, and it does not matter if his
(3) To safeguard the professional interest of its practice is “limited.” Moreover, senior citizens
members; are not exempted from paying membership
(4) To cultivate among its members a spirit of dues [Santos v. Llamas (2000)].
cordiality and brotherhood;
(5) To provide a forum for the discussion of law, In a case involving a Filipino lawyer staying
jurisprudence, law reform, pleading, practice abroad, the Supreme Court said that there is
and procedure, and the relations of the bar nothing in the law or rules, which allows his
to the bench and to the public, and publish exemption from payment of membership dues.
information relating thereto; At most, he could have informed the Secretary
(6) To encourage and foster legal education; of the Integrated Bar of his intention to stay
(7) To promote a continuing program of legal abroad before he left. In such case, his
research in substantive and adjective law, membership in the IBP could have been
and make reports and recommendations terminated and his obligation to pay dues
thereon. discontinued [Letter of Atty. Arevalo (2005)].
Penalties:
(1) Disqualification of the applicant from taking
the bar, if the concealment is discovered
before he takes the bar examinations;
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
(2) Prohibition from taking the lawyer’s oath, if (4) Commission of fraud or falsehood.
the concealment is discovered after the
candidate has taken the bar examinations; or COURTESY, FAIRNESS & CANDOR
(3) Revocation of license to practice, if the TOWARDS PROFESSIONAL
concealment was discovered after he has
taken his lawyer’s oath [In re: Diao (1963)].
COLLEAGUES
Canon 8. A lawyer shall conduct himself with
A declaration in one’s application for admission courtesy, fairness and candor toward his
to the bar examinations that the applicant was professional colleagues, and shall avoid
“single”, when he was in fact married, was a harassing tactics against opposing counsel.
gross misrepresentation of a material fact made
in utter bad faith, for which the applicant should Lawyer DON’Ts:
be made answerable. It indubitably exhibits lack (1) Take advantage of the excusable
of good moral character [Leda v. Tabang (1992)]. unpreparedness or absence of counsel
during the trial of a case;
Rule 7.02. A lawyer shall not support the (2) Make use, to his or to his client’s benefit, the
application for admission to the bar of any secrets of the adverse party acquired
person known by him to be unqualified in through design or inadvertence;
respect to character, education, or other (3) Criticize or impute ill motive to the lawyer
relevant attribute. who accepts what in his opinion is a weak
case;
A lawyer should volunteer information or (4) Proceed to negotiate with the client of
cooperate in any investigation concerning another lawyer to waive all kinds of claim
alleged anomaly in the bar examination so that when the latter is still handling the civil case
those candidates who failed therein can be [Camacho v. Pagulayan (2000)].
ferreted out and those lawyers responsible
therefor can be disbarred [In re: Parazo (1948)]. Rule 8.01. A lawyer shall not, in his professional
dealings, use language, which is abusive,
A lawyer should not readily execute an affidavit offensive or otherwise improper.
of good moral character in favor of an applicant
who has not live up to the standard set by law A lawyer should treat the opposing counsel and
[Agpalo]. his brethren in the law profession with courtesy,
dignity, and civility. They may do as adversaries
Rule 7.03. A lawyer shall not engage in conduct do in law: strive mightily but eat and drink as
that adversely reflects on his fitness to practice friends [Valencia v. Cabanting (1991)].
law, nor shall he, whether in public or private
life, behave in a scandalous manner to the Improper Language:
discredit of the legal profession. (1) Behaving without due regard for the trial
court and the opposing counsel and
It is not necessary for a lawyer to be convicted threatening the court that he would file a
for an offense before a lawyer can be disciplined petition for certiorari [Bugaring v. Espanol
for gross immorality [Agpalo]. (2001)];
(2) Filing of a civil case against the opposing
Acts which adversely reflect on a lawyer’s counsel without justification but only to get a
fitness to practice law: leverage in the pending case [Reyes v. Chiong
(1) Having adulterous relationships or keeping (2003)];
mistresses; (3) Calling an adverse counsel as “bobo” or
(2) Siring a child with a woman other than legal using the word “ay que bobo” in reference to
wife (Zaguirre v. Castillo (2003)); the manner of offering evidence [Castillo v.
(3) Conviction of a crime involving moral Padilla (1984)].
turpitude;
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
Rule 8.02. A lawyer shall not, directly or (4) In the absence of the adverse party’s
indirectly, encroach upon the professional counsel, interview the adverse party and
employment of another lawyer; however, it is question him as to the facts of the case even
the right of any lawyer, without fear or favor, to if the adverse party was willing to do so;
give proper advice and assistance to those (5) Sanction the attempt of his client to settle a
seeking relief against unfaithful or neglectful litigated matter with the adverse party
counsel. without the consent nor knowledge of the
latter’s counsel.
A lawyer MAY:
(1) Accept employment to handle a matter NO ASSISTANCE IN UNAUTHORIZED
previously handled by another lawyer: PRACTICE OF LAW
(a) Provided the other lawyer has been given Canon 9. A lawyer shall not, directly or
notice of termination of service lest it indirectly, assist in the unauthorized practice of
amounts to an improper encroachment law.
upon the professional employment of the
original counsel (Laput v. Remotigue Examples of practice of law:
(1962)); or (1) Legal advice and instructions to clients to
(b) In the absence of a notice of termination inform them of their rights and obligations;
from the client, provided he has obtained (2) Preparation for clients of documents
the conformity of the counsel whom he requiring knowledge of legal principles not
would substitute; or possessed by ordinary laymen;
(c) In the absence of such conformity, a (3) Appearance for clients before public
lawyer must at least give sufficient notice tribunals, whether, administrative, quasi-
to original counsel so that original judicial or legislative agency.
counsel has the opportunity to protect his
claim against the client. Examples of unauthorized practice of law:
(2) Give advice or assistance to any person who (1) Appearing as counsel even before taking
seeks relief against an unfaithful or lawyer’s oath [Aguirre v. Rana (2003)];
neglectful lawyer; (2) Using the title “Attorney” in his name even
(3) Associate as a colleague in a case, provided though he is a Shari’a lawyer [Alawi v. Alauya
he communicate with the original counsel (1997)].
before making an appearance as co-counsel:
(a) Should the original lawyer object, he A corporation cannot engage in the practice law
should decline association but if the directly or indirectly. It may only hire in-house
original lawyer is relieved, he may come lawyers to attend to its legal business. A
into the case; corporation cannot employ a lawyer to appear
(b) Should it be impracticable for him, whose for others for its benefit. A corporation cannot
judgment has been overruled by his co- perform the conditions required membership to
counsel to cooperate effectively, he the bar. In addition, the confidential and trust
should ask client to relieve him. relation between an attorney and his client
cannot arise if the attorney is employed by a
A lawyer MAY NOT: corporation.
(1) Steal another lawyer’s client;
(2) Induce a client to retain him by promise of NOT allowed:
better service, good result or reduced fees for (1) Automobile club that solicits membership by
his services; advertising that it offers free legal services of
(3) Disparage another lawyer, make its legal department to members;
comparisons or publicize his talent as a (2) Collection agency or credit exchange that
means to further his law practice; exploits lawyer’s services;
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
(3) Bank using lawyer’s name as director in Ratio: Allowing non-lawyers to get attorney’s
advertising its services in drawing wills and fees would confuse the public as to whom they
other legal documents. should consult. It would leave the bar in a
chaotic condition because non-lawyers are also
Unauthorized practice of law applies to both not subject to disciplinary action.
non-lawyers and lawyers prohibited from the
private practice of law. An agreement between a union lawyer and a
layman president of the union to divide equally
Rule 9.01. A lawyer shall not delegate to any the attorney’s fees that may be awarded in a
unqualified person the performance of any task labor case violates this rule, and is illegal and
which by law may only be performed by a immoral [Amalgamated Laborers Assn. v. CIR
member of the bar in good standing. (1968)].
Ratio: The practice of law is limited only to A donation by a lawyer to a labor union of part
individuals who have the necessary educational of his attorney’s fees taken from the proceeds of
qualifications and good moral character. a judgment secured by him for the labor union
Moreover, an attorney-client relationship is a is improper because it amounts to a rebate or
strictly personal one. commission [Halili v. CIR (1965)].
The following may only be undertaken by a A contract between a lawyer and a layman
lawyer: granting the latter a percentage of the fees
(1) The computation and determination of the collected from clients secured by the layman
period within which to appeal an adverse and enjoining the lawyer not to deal directly
judgment [Eco v. Rodriguez (1960)]; with said clients is null and void, and the lawyer
(2) The examination of witnesses or the may be disciplined for unethical conduct [Tan
presentation of evidence [Robinson v. Tek Beng v. David (1983)].
Villafuerte (1911)].
While non-lawyers may appear before the NLRC
Tasks that may be delegated to non-lawyers: or any labor arbiter, they are still not entitled to
(1) The examination of case law; receive professional fees.
(2) Finding and interviewing witnesses; The statutory rule that an attorney shall be
(3) Examining court records; entitled to have and recover from his client a
(4) Delivering papers and similar matters. reasonable compensation or remuneration for
the services they have rendered presupposes
the existence of an attorney-client relationship.
Rule 9.02. A lawyer shall not divide or stipulate Such a relationship cannot exist when the
to divide a fee for legal services with persons not client’s representative is a non-lawyer [Five J
licensed to practice law, except: Taxi v. NLRC (1994)].
(a) Where there is a pre-existing agreement with
a partner or associate that, upon the latter’s
death, money shall be paid over a
reasonable period of time to his estate or to TO THE COURTS
persons specified in the agreement; or CANDOR, FAIRNESS & GOOD FAITH
(b) Where a lawyer undertakes to complete TOWARDS THE COURTS
unfinished legal business of a deceased
lawyer; or
Canon 10. A lawyer owes candor, fairness and
(c) Where a lawyer or law firm includes non-
good faith to the court.
lawyer employees in a retirement plan, even
if the plan is based in whole or in part, on a
profitable sharing arrangement.
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
A lawyer is, first and foremost, an officer of the A lawyer who deliberately made it appear that
court. Accordingly, should there be a conflict the quotations in his motion for
between his duty to his client and that to the reconsiderations were findings of the Supreme
court, he should resolve the conflict against the Court, when they were just part of the
former and in favor of the latter, his primary memorandum of the Court Administrator, and
responsibility being to uphold the cause of who misspelled the name of the complainant
justice [Cobb Perez v. Lantin (1968)]. and made the wrong citation of authority is
guilty of violation of this rule [COMELEC v.
Candor in all of the lawyer’s dealings is the very Noynay (1998)].
essence of honorable membership in the legal
profession [Cuaresma v. Daquis (1975)]. It is the bounden duty of courts, judges and
lawyers to reproduce or copy the same word-
A lawyer’s conduct before the court should be for-word and punctuation mark-for-punctuation
characterized by candor and fairness. The mark the decisions of the Supreme Court. Ever
administration of justice would gravely suffer if present is the danger that if not faithfully and
lawyers do not act with complete candor and exactly quoted, the decisions and rulings may
honesty before the courts [Serena v. lose their proper and correct meaning, to the
Sandiganbayan (2008)]. detriment of other courts, lawyers and the
public who may thereby be misled [Insular Life
A lawyer must be a disciple of truth. While a Employees Co. v. Insular Life Association (1971)].
lawyer has the solemn duty to defend his
client’s cause, his conduct must never be at the The legal profession demands that lawyers
expense of truth [Young v. Batuegas (2003)]. thoroughly go over pleadings, motions and
other documents dictated or prepared by them,
Rule 10.01. A lawyer shall not do any falsehood, typed or transcribed by their secretaries or
nor consent to the doing of any in court; nor clerks, before filing them with the court. If a
shall he mislead, or allow the court to be misled client is bound by the acts of his counsel, with
by any artifice. more reason should counsel be bound by the
acts of his secretary who merely follows his
A lawyer should not conceal the truth from the orders [Adez Realty, Inc. v. CA (1992)].
court, nor mislead the court in any manner no
matter how demanding his duties to clients may Rule 10.03. A lawyer shall observe the rules of
be. His duties to his client should yield to his procedure and shall not misuse them to defeat
duty to deal candidly with the court. For no the ends of justice.
client is entitled to receive from the lawyer any
service involving dishonesty to the courts Filing multiple actions constitutes an abuse of
[Comments of IBP Committee]. the court’s processes. Those who file multiple or
repetitive actions subject themselves to
Rule 10.02. A lawyer shall not knowingly disciplinary action for incompetence or willful
misquote or misrepresent the contents of a violation of their duties as attorneys to act with
paper, the language or the argument of good fidelity to the courts, and to maintain only
opposing counsel, or the text of a decision or such actions that appear to be just and
authority, or knowingly cite as law a provision consistent with truth and honor [Olivares v.
already rendered inoperative by repeal or Villalon (2007)].
amendment, or assert as a fact that which has
not been proved. A lawyer should not abuse his right of recourse
to the courts for the purpose of arguing a cause
that had been repeatedly rebuffed. [Garcia v.
Francisco (1993)].
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
Liberally imputing sinister and devious motives Rule 11.03. A lawyer shall abstain from
and questioning the impartiality, integrity, and scandalous, offensive or menacing language or
authority of the members of the Court result in behavior before the courts.
the obstruction and perversion of the
dispensation of justice [Estrada v. A lawyer’s language should be forceful but
Sandiganbayan (2000)]. dignified, emphatic but respectful, as befitting
an advocate and in keeping with the dignity of
Rule 11.01. A lawyer shall appear in court the legal profession [Surigao Mineral Reservation
properly attired. Board v. Cloribel (1970)].
Respect begins with the lawyer’s outward Lawyers may use strong language to drive home
physical appearance in court. Sloppy or a point; they have a right to be in pursuing a
informal attire adversely reflects on the lawyer client’s cause [The British Co. v De Los Angeles
and demeans the dignity and solemnity of court (1975)].
proceedings.
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
However, the use of abusive language by Rule 11.05. A lawyer shall submit grievances
counsel against the opposing counsel against a Judge to the proper authorities only.
constitutes at the same time a disrespect to the
dignity of the court justice. Moreover, the use of The duty to respect does not preclude a lawyer
impassioned language in pleadings, more often from filing administrative complaints against
than not, creates more heat than light erring judges
[Buenaseda v. Flavier (1993)]. Can still act as counsel for clients who have
legitimate grievances against them.
Lawyers cannot resort to scurrilous remarks that
have the tendency to degrade the courts and However, the lawyer shall not file an
destroy the public confidence in them [In re: administrative case until he has exhausted
Almacen (1970)]. judicial remedies which result in a finding that
the judge has gravely erred [Agpalo].
The court does not close itself to comments and
criticisms so long as they are fair and dignified. It has been held in Maceda v. Vasquez that in
Going beyond the limits of fair comments by criminal complaints against a judge or other
using insulting, disparaging and, intemperate court employees arising from their
language necessitates and warrants a rebuke administrative duties, the Ombudsman must
from the court. While it is expected of lawyers to defer action and refer the same to the Supreme
advocate their client’s cause, they are not at Court for determination whether said judges or
liberty to resort to arrogance, intimidation and court employees acted within the scope of their
innuendo [Sangalang v. IAC (1988)]. administrative duties.
Rule 11.04. A lawyer shall not attribute to a Otherwise, in the absence of any administrative
Judge motives not supported by the record or action, the investigation being conducted by the
have no materiality to the case. Ombudsman encroaches into the court’s power
of administrative supervision over all courts and
The rule allows criticism so long as it is its personnel, in violation of the doctrine of
supported by the record or it is material to the separation of powers.
case. A lawyer’s right to criticize the acts of
courts and judges in a proper and respectful ASSISTANCE IN THE SPEEDY &
way and through legitimate channels is well EFFICIENT ADMINISTRATION OF
recognized [Agpalo].
The cardinal condition of all such criticism is
JUSTICE
that it shall be bona fide, and shall not spill over Canon 12. A lawyer shall exert every effort and
the wall of decency and propriety [Zaldivar v. consider it his duty to assist in the speedy and
Gonzales (1989)]. efficient administration of justice.
Any serious accusation against a judicial officer Const. Art. III, Sec. 6. All persons shall have the
that is utterly baseless, unsubstantiated and right to a speedy disposition of their cases
unjustified shall not be countenanced [Go v. before all judicial, quasi-judicial, or
Abrogar]. administrative bodies.
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
The filing of another action containing the same CIRCUMSTANCE OF FORUM SHOPPING
subject matter, in violation of the doctrine of res (1) When, as a result or in anticipation of an
judicata, runs contrary to this canon [Siy Lim v. adverse decision in one forum, a party seeks
Montano (2006)]. a favorable opinion in another forum through
means other than appeal or certiorari by
Rule 12.01. A lawyer shall not appear for trial raising identical causes of action, subject
unless he has adequately prepared himself on matter and issues.
the law and the facts of his case, the evidence (2) The institution of two or more actions
he will adduce and the order of its proferrence. involving the same parties for the same
He should also be ready with the original cause of action, either simultaneously or
documents for comparison with the copies. successively, on the supposition that one or
the other court would come out with a
Without adequate preparation, the lawyer may favorable disposition [Brown-Araneta v.
not be able to effectively assist the court in the Araneta (2013)].
efficient administration of justice.
An indicium of the presence of, or the test for
NON-OBSERVANCE OF PREPARATION: determining whether a litigant violated the rule
(1) The postponement of the pre-trial or against, forum shopping is where the elements
hearing, which would thus entail delay in the of litis pendentia are present or where a final
early disposition of the case; judgment in one case will amount to res judicata
(2) The judge may consider the client non-suited in the other case.
or in default;
(3) The judge may consider the case deemed FOR THE BAR OF LITIS PENDENTIA TO BE
submitted for decision without client’s INVOKED, THE CONCURRING REQUISITES
evidence, to his prejudice [Agpalo]). MUST BE PRESENT:
(1) Identity of parties, or at least such parties as
Half of the work of the lawyer is done in the represent the same interests in both actions;
office. It is spent in the study and research. (2) Identity of rights asserted and relief prayed
Inadequate preparation obstructs the for, the relief being founded on the same
administration of justice [Martin’s Legal Ethics facts; and
(1988)]. (3) Identity of the two preceding particulars is
such that any judgment rendered in the
A newly hired counsel who appears in a case in pending case, regardless of which party is
the midstream is presumed and obliged to successful, would amount to res judicata in
acquaint himself with all the antecedent the other [HSBC v. Catalan (2004)].
processes and proceedings that have transpired
in the record prior to his takeover [Villasis v. CA RES JUDICATA REQUIRES THAT:
(1974)]. (1) There be a decision on the merits by a court
of competent jurisdiction;
(2) The decision is final; and
Rule 12.02. A lawyer shall not file multiple (3) The two actions involved identical parties,
actions arising from the same cause. subject matter, and causes of action.
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COMPLAINT SHOULD BE CERTIFIED Rule 12.03. A lawyer shall not, after obtaining
CONTAINING: extensions of time to file pleadings, memoranda
(1) He has not theretofore commenced any or briefs, let the period lapse without submitting
action or filed any claim involving the same the same or offering an explanation for his
issues in any court, tribunal or quasi-judicial failure to do so.
agency and, to the best of his knowledge, no
such other action or claim is pending therein; The court censures the practice of counsels who
if there is such other pending action or claim, secures repeated extensions of time to file their
a complete statement of the present status pleadings and thereafter simply let the period
thereof; and lapse without submitting the pleading on even
(2) If he should thereafter learn that the same or an explanation or manifestation of their failure
similar action or claim has been filed or is to do so. There exists a breach of duty not only
pending, he shall report that fact within five to the court but also to the client [Achacoso v.
days there from to the court wherein his CA (1973)].
aforesaid complaint or initiatory pleading
has been filed. An attorney is bound to protect his client’s
interest to the best of his ability and with utmost
Rules of Court, Rule 7, Sec. 5. Failure to comply diligence. A failure to file brief for his client
with the foregoing requirements shall not be certainly constitutes inexcusable negligence on
curable by mere amendment of the complaint his part [Ford v. Daitol (1995)].
or other initiatory pleading but shall cause for
the dismissal of the case without prejudice, Rule 12.04. A lawyer shall not unduly delay a
unless otherwise provided, upon motion after case, impede the execution of a judgment or
hearing. misuse court processes.
Submission of a false certification or non- It is one thing to exert to the utmost one’s ability
compliance with any of the undertakings in a to protect the interest of one’s client. It is quite
certification of no forum shopping: another thing to delay if not defeat the recovery
Shall constitute indirect contempt of court; of what is justly due and demandable due to the
Without prejudice to the corresponding misleading acts of a lawyer [Manila Pest Control
administrative and criminal actions. v. WCC (1968)].
If acts of the party or his counsel constitute Once a judgment becomes final and executory,
willful and deliberate forum shopping: the prevailing party should not be denied the
(1) Be a ground for summary dismissal with fruits of his victory by some subterfuge devised
prejudice; by the losing part. Unjustified delay in the
(2) Constitute direct contempt; enforcement of a judgment sets at naught the
(3) Be a cause for administrative sanctions. role of courts in disposing justiciable
controversies with finality [Aguilar v. Manila
The rule against forum shopping and the Banking Corporation (2006)].
requirement that a certification to that effect be
complied with in the filing of complaints, Rule 12.05. A lawyer shall refrain from talking to
petitions or other initiatory pleadings in all his witness during a break or recess in the trial,
courts and agencies applies to quasi-judicial while the witness is still under examination.
bodies, such as the NLRC or Labor Arbiter
[Agpalo].
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
Ratio: The purpose is to prevent the suspicion PD 1829 penalizes the following acts:
that he is coaching the witness what to say (1) Threatening directly or indirectly another
during the resumption of the examination; to with the infliction of any wrong upon his
uphold and maintain fair play with the other person, honor or property or that of any
party and to prevent the examining lawyer from immediate member or members of his family
being tempted to coach his own witness to suit in order to prevent such person from
his purpose [Callanta, Legal and Judicial Ethics appearing in the investigation of, or official
Reviewer]. proceedings in, criminal cases, or imposing a
condition, whether lawful or unlawful, in
Rule 12.06. A lawyer shall not knowingly assist a order to prevent a person from appearing in
witness to misrepresent himself or to the investigation of or in official proceedings
impersonate another. in, criminal cases;
(2) Giving of false or fabricated information to
mislead or prevent the law enforcement
Revised Penal Code, Art. 184. The lawyer who agencies from apprehending the offender or
presented a witness knowing him to be a false from protecting the life or property of the
witness is criminally liable for offering false victim; or fabricating information from the
testimony in evidence. The lawyer is both data gathered in confidence by investigating
criminally and administratively liable. authorities for purposes of background
information and not for publication and
Subornation of perjury is committed by a person publishing or disseminating the same to
who knowingly and willfully procures another to mislead the investigator or to the court.
swear falsely and the witness suborned [or
induced] does testify under circumstances Rule 12.08. A lawyer shall avoid testifying in
rendering him guilty of perjury [US v. Ballena behalf of his client, except:
(1911)]. (a) On formal matters, such as the mailing,
authentication or custody of an instrument,
Rule 12.07. A lawyer shall not abuse, browbeat and the like; or
or harass a witness nor needlessly (b) On substantial matters, in cases where his
inconvenience him. testimony is essential to the ends of justice,
in which event he must, during his testimony,
RIGHTS OF WITNESSES [Rules of Court, Rule entrust the trial of the case to another
132, Sec. 3.] counsel.
(1) To be protected from irrelevant, improper or
insulting questions and from a harsh or Ratio: The underlying reason for the impropriety
insulting demeanor; of a lawyer acting in such dual capacity lies in
(2) Not to be detained longer than the interests the difference between the function of a witness
of justice require and that of an advocate.
(3) Not to be examined except as to matters The function of a witness is to tell the facts
pertinent to the issues before the court; as he recalls then in answer to questions.
(4) Not to give an answer which will tend to The function of an advocate is that of a
subject him to a penalty for an offense partisan.
unless otherwise provided by law;
(5) Not to give an answer which will tend to It is difficult to distinguish between the zeal of
degrade the witness’ reputation, but a an advocate and the fairness and impartiality of
witness must answer the fact of any previous a disinterested witness. The lawyer will find it
final conviction for a criminal offense. hard to disassociate his relation to his client as
an attorney and his relation to the party as a
witness [Agpalo].
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When a lawyer is a witness for his client, except Ratio: Newspaper publications regarding a
as to merely formal matters, such as the pending or anticipated litigation may interfere
attestation or custody of an instrument and the with a fair trial, prejudice the administration of
like, he should leave the trial of the case to other justice, or subject a respondent or an accused to
counsel. Except when essential to the ends of a trial by publicity and create a public inference
justice, a lawyer should avoid testifying in court of guilt against him [Agpalo].
in behalf of his client [PNB v. Uy Teng Piao
(1932)]. Public statements may be considered
contemptuous when the character of the act
RELIANCE ON MERITS OF HIS CAUSE done and its direct tendency to prevent and
& AVOIDANCE OF ANY IMPROPRIETY obstruct the discharge of official duty.
WHICH TENDS TO INFLUENCE OR A lawyer enjoys wider latitude to comment or
GIVES THE APPEARANCE OF criticize the actions of the judge than pending
INFLUENCE UPON THE COURTS litigation [In re: Lozano (1930)].
Canon 13. A lawyer shall rely upon the merits of
his cause and refrain from any impropriety In the original decision of the Supreme Court in
which tends to influence, or gives the Re: Request Radio-TV Coverage of the Trial in the
appearance of influencing the court. Sandiganbayan of the Plunder Cases against
Former President Joseph Estrada (2001), it was
stated that the propriety of granting or denying
Rule 13.01. A lawyer shall not extend the petition involve the weighing out of the
extraordinary attention or hospitality to, nor constitutional guarantees of freedom of the
seek opportunity for cultivating familiarity with press and the right to public information, on the
Judges. one hand, and the fundamental rights of the
accused, on the other hand, along with the
Canon 3, Code of Professional Ethics also provide constitutional power of a court to control its
that a lawyer should avoid marked attention proceedings in ensuring a fair and impartial
and unusual hospitality to a judge uncalled for trial. It was held that when these rights race
by the personal relations of the parties because against one another, the right of the accused
they subject him and the judge to must be preferred to win, considering the
misconceptions of motives. possibility of losing not only the precious liberty
but also the very life of an accused.
In order not to subject both the judge and the
lawyer to suspicion, the common practice of In the resolution of the motion for
some lawyers of making judges and prosecutors reconsideration, the Supreme Court allowed the
godfathers of their children to enhance their video recording of proceedings, but provided
influence and their law practice should be that the release of the tapes for broadcast
avoided by judges and lawyers alike [Report of should be delayed. In so doing, concerns that
IBP Committee]. those taking part in the proceedings will be
playing to the cameras and will thus be
It is improper for a litigant or counsel to see a distracted from the proper performance of their
judge in chambers and talk to him about a roles – whether as counsel, witnesses, court
matter related to the case pending in the court personnel, or judges – will be allayed.
of said judge [Austria v. Masaquel (1967)].
Rule 13.03. A lawyer shall not brook or invite
Rule 13.02. A lawyer shall not make public interference by another branch or agency of the
statements in the media regarding a pending government in the normal course of judicial
case tending to arouse public opinion for or proceedings.
against a party.
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Ratio: The rule is based upon the principle of RA 9999, Free Legal Assistance Act of 2010. It is
separation of powers [Aguirre (2006)]. a declared policy of the state to value the
dignity of every human person and guarantee
A complaint against justices cannot be filed the rights of every individual, particularly those
with the Office of the President [Maglasang v. who cannot afford the services of counsel
People (1990)].
Ratio: RA 9999 provides incentives for free legal
RELATED TO service. Thus, a lawyer or professional
Canon 11, Rule 11.5A lawyer shall submit partnerships rendering actual free legal services
grievances against a Judge to the proper shall be entitled to an allowable deduction from
authorities only. the gross income, the amount that could have
been collected for the actual free legal services
rendered or up to 10% of the gross income
TO THE CLIENTS derived from the actual performance of legal
profession, whichever is lower.
THE ATTORNEY-CLIENT RELATIONSHIP IS:
(1) Strictly personal; Different from the 60-hour mandatory legal aid
(2) Highly confidential; services under Bar Matter 2012.
(3) Fiduciary.
INDIGENT:
The contract of employment of a counsel may A person who has no visible means of income
be express (oral or written) or implied.
or whose income is insufficient for the
subsistence of his family, to be determined by
A written contract between the counsel and the the fiscal or judge, taking into account the
client is the best evidence to show the presence members of his family dependent upon him
of an attorney-client relationship. However, it is
for subsistence (Section 2, RA 6033).
not essential for the employment of an attorney.
A person who has no visible means of support
or whose income does not exceed P300.00
AVAILABILITY OF SERVICE WITHOUT per month or whose income even in excess of
DISCRIMINATION P300.00 per month is insufficient for the
Canon 14. A lawyer shall not refuse his services subsistence of his family (Section 2, RA 6035).
to the needy.
LAWS THAT TREATS INDIGENT OR LOW
SERVICES REGARDLESS OF A PERSON’S INCOME LITIGANTS:
STATUS (1) (Section 1, RA 6033) All courts shall give
Rule 14.01. A lawyer shall not decline to preference to the hearing and/or disposition
represent a person solely on account of the of criminal cases where an indigent is
latter’s race, sex, creed or status of life, or involved either as the offended party or
because of his own opinion regarding the guilt accused.
of said person. (2) (Section 1, RA 6034) Any indigent litigant
Rules of Court, Rule 138, Sec. 20(i). It is the duty may, upon motion, ask the Court for
of an attorney, in the defense of a person adequate travel allowance to enable him and
accused of a crime, by all fair and honorable his indigent witnesses to attendant the
means, regardless of his personal opinion as to hearing of a criminal case commenced by his
the guilt of the accused, to present every complaint or filed against him. The
defense that the law permits, to the end that no allowance shall cover actual transportation
person may be deprived of life or liberty, but by expenses by the cheapest means from his
due process of law. place of residence to the court and back.
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When the hearing of the case requires the Counsel De Oficio - Appointed or assigned by
presence of the indigent litigant and/or his the court from among members of the bar in
indigent witnesses in court the whole day or good standing who, by reason of their
for two or more consecutive days, allowances experience and ability.
may, in the discretion of the Court, also cover
reasonable expenses for meal and lodging. A counsel de oficio is expected to render
(3) (Section 1, RA 6035) A stenographer who has effective service and to exert his best efforts on
attended a hearing before an investigating behalf of an indigent accused.
fiscal or trial judge or hearing commissioner
of any quasi-judicial body or administrative MAY BE APPOINTED COUNSEL DE OFICIO:
tribunal and has officially taken notes of the (1) A member of the bar in good standing;
proceeding thereof shall, upon written (2) In localities without lawyers:
request of an indigent or low income litigant, (a) Any person of good repute for probity and
his counsel or duly authorized representative ability (Section 7, Rule 116);
in the case concerned, give within a (b) A municipal judge or a lawyer employed
reasonable period to be determined by the in any branch, subdivision or
fiscal, judge, commissioner or tribunal instrumentality of the government within
hearing the case, a free certified transcript of the province (Section 1, PD 543).
notes take by him on the case.
THINGS TO CONSIDER IN THE
SERVICES AS COUNSEL DE OFICIO APPOINTMENT OF A COUNSEL DE OFICIO:
Rule 14.02. A lawyer shall not decline, except for (1) Gravity of the offense;
serious and sufficient cause, an appointment as (2) Difficulty of the questions that may arise;
counsel de oficio or as amicus curiae, or a (3) Experience and ability of the appointee.
request from the Integrated Bar of the (4) In a criminal action
Philippines or any of its chapters for rendition of (a) Before arraignment, the court shall
free legal aid. inform the accused of his right to counsel
and ask him if he desires to have one.
The court must assign a counsel de oficio
Rules of Court, Rule 138, Sec. 20(h) It is the duty to defend him, unless the accused is
of an attorney never to reject for any allowed to defend himself in person, or
consideration personal to himself the cause of has employed counsel of his choice
the defenseless or oppressed; (Section 6, Rule 116);
(b) It is the duty of the clerk of the trial court,
Rules of Court, Rule 138, Sec. 31. A court may upon filing of a notice of appeal, to
assign an attorney to render professional aid ascertain from the appellant, if confined
free of charge to any party in a case if upon in prison, whether he desires the Regional
investigation it appears that the party is Trial Court, Court of Appeals or the
destitute and unable to employ an attorney and Supreme Court to appoint a counsel de
that the services of counsel are necessary to oficio;
secure the ends of justice and to protect the (c) If it appears from the record that: (a) the
rights of the party. It shall be the duty of the accused is confined in prison, (b) is
attorney so assigned to render the required without counsel de parte on appeal, or (c)
service unless he is excused therefrom by the has signed the notice of appeal himself,
court for sufficient cause shown. the clerk of Court of Appeals shall
designate a counsel de oficio [Agpalo]).
Counsel De Parte - Employed or retained by
the party himself.
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Rules of Court, Rule 124, Sec. 2. An appellant If a lawyer volunteers his services to a client, and
who is not confined in prison may, upon request, therefore not entitled to attorney’s fees, he is
be assigned a counsel de oficio within ten days still bound to attend to a client’s case with all
from receipt of the notice to file brief and he due diligence and zeal. By volunteering his
establishes his right thereto. services, he has established a client-lawyer
relationship [Blanza v. Arcangel (1967)].
A lawyer ought to know that membership in the
bar is a privilege burdened with conditions. It CANDOR, FAIRNESS AND LOYALTY
could be that for some lawyers, especially the TO CLIENTS
neophytes in the profession, being appointed Canon 15. A lawyer shall observe candor,
counsel de oficio is an irksome chore. For those fairness and loyalty in all his dealings and
holding such belief, it may come as a surprise transactions with his clients.
that counsel of repute and of eminence
welcome such an opportunity. It makes even CONFIDENTIALITY RULE
more manifest that law is indeed a profession
dedicated to the ideal of service and not a mere Rule 15.01. A lawyer, in conferring with a
trade [Ledesma v. Climaco (1974)]. prospective client, shall ascertain as soon as
practicable whether the matter would involve a
VALID GROUNDS FOR REFUSAL conflict with another client or his own interest,
and if so, shall forthwith inform the prospective
Rule 14.03. A lawyer may not refuse to accept client.
representation of an indigent client unless:
(a) He is in no position to carry out the work
effectively or competently; The purpose of the rule of confidentiality is
(b) He labors under a conflict of interest actually to protect the client from possible
between him and the prospective client or breach of confidence as a result of a
between a present client and the prospective consultation with a lawyer [Hadjula v. Madianda
client. (2007)].
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(3) The intent of client to make communication (3) Legal advice must be sought from the
confidential must be apparent. But once attorney in his professional capacity with
conveyed to lawyer, confidentiality attaches respect to communications relating to that
not only to statements but also to other purpose. The information is not privileged if
forms of communication. the advice is not within lawyer’s professional
(4) Communication may be transmitted by any capacity;
form of agency, such as a messenger, an (4) The client must intend the communication
interpreter or any other form of transmission. be confidential.
It is immaterial whether the agent is the
agent of the attorney, the client or both. Includes:
(5) The question of privilege determined by (1) The privilege against disclosure of
court. The burden of proof is on the party confidential communications or information
who asserts the privilege. is limited only to communications which are
legitimately and properly within the scope of
Canon 21 enjoins a lawyer to preserve the a lawful employment of a lawyer. It does not
confidence and secrets of his client even after extend to those made in contemplation of a
the attorney-client relation is terminated. crime or perpetration of a fraud. It is not
within the profession of a lawyer to advise a
PRIVILEGED COMMUNICATIONS client as to how he may commit a crime.
Rule 15.02. A lawyer shall be bound by the rule Thus, the attorney-client privilege does not
on privileged communication in respect of attach, there being no professional
matters disclosed to him by a prospective client. employment in the strict sense (Genato v.
Silapan (2003)).
(2) Confidentiality embraces not only oral or
Rules of Court, Rule 130, Sec. 24(b). An assignee written statements but actions, signs or
of the client’s interest may claim the privilege as other means of communications.
far as the communication affects the realization
of the assigned interest. People entitled to claim privilege:
Generally, the privilege covers the lawyer, client
An attorney cannot, without the consent of his and third persons who by reason of their work
client, be examined as to any communication have acquired information about the case being
made by the client to him or his advice given handled, including:
thereon in the course of professional (a) The attorney’s secretary, stenographer and
employment; nor can an attorney’s secretary, clerk;
stenographer, or clerk be examined, without the (b) The interpreter, messengers, or agents
consent of the client and his employer, transmitting communication;
concerning any fact the knowledge of which has (c) An accountant, scientist, physician,
been acquired in such capacity. engineer who has been hired for effective
consultation;
Requisites:
(1) The person to whom information is given is a Requisites for information to be considered
lawyer. However, if a person is pretending to privilege:
be a lawyer and client discloses confidential (1) There is an attorney-client relationship or a
communications, the attorney-client kind of consultancy requirement with a
privilege applies; prospective client;
(2) There is legal relationship existing, except in (2) The communication was made by the client
cases of prospective clients; to the lawyer in the course of the lawyer’s
professional employment;
(3) The communication must be intended to be
confidential.
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For attorney-client privilege to apply, however, Information relating to the identity of the client
the period to be considered is the date when the may fall within the ambit of the privilege when
privileged communication was made by the the client’s name itself has an independent
client to the attorney in relation to either a crime significance, such that disclosure would then
committed in the past or with respect to a crime reveal client confidences [Regala v.
intended to be committed in the future. If the Sandiganbayan (1996)].
crime was committed in the part, the privilege
applies. If it is still to be committee, the privilege General rule: The protection given to the client
does not apply, because the communication is perpetual and does not cease with the
between a lawyer and his client must be for a termination of the litigation, nor is it affected by
lawful purpose or in furtherance of a lawful end the client’s ceasing to employ the attorney and
to be privileged [People v. Sandiganbayan retaining another, or by any other change of
(1996)]. relation between them. It even survives the
death of the client [Bun Siong Yao v. Aurelio
General rule: As a matter of public policy, a (2006)].
client’s identity should not be shrouded in
mystery. Thus, a lawyer may not invoke the Exception: Some privileged communications
privilege and refuse to divulge the name or lose their privileged character by some
identity of this client. supervening act done pursuant to the purpose
of the communication (e.g., a communication
Ratio: intended by the client to be sent to a third
(1) The court has a right to know that the client person through his attorney loses confidential
whose privileged information is sought to be character once it reached the third party).
protected is flesh and blood;
(2) The privilege begins to exist only after the Examples of privileged matters:
attorney-client relationship has been (1) Work product of lawyer (his effort, research
established. The attorney-client privilege and thought contained in his file);
does not attach until there is a client. (2) A report of a physician, an accountant, an
(3) The privilege generally pertains to the engineer or a technician, whose services have
subject matter of the relationship. been secured by a client as part of his
(4) Due process considerations require that the communication to his attorney or by the
opposing party should, as a general rule, attorney to assist him render effective legal
know his adversary. assistance to his client;
(3) Records concerning an accident in which a
Principal exceptions: party is involve;
(1) Client identity is privileged where a strong (4) Consultation which has to do the preparation
probability exists that revealing the client's of a client to take the witness stand.
name would implicate that client in the very
activity for which he sought the lawyer's CONFLICT OF INTEREST
advice. Rule 15.03. A lawyer shall not represent
(2) Where disclosure would open the client to conflicting interests except by written consent of
civil liability, his identity is privileged. all concerned given after a full disclosure of the
facts.
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There is conflict of interest when a lawyer An attorney’s knowledge of the law and his
represents inconsistent interests of two or more reputation for fidelity may make it easy for the
opposing parties. The test is “whether or not in disputants to settle their differences amicably.
behalf of one client, it is the lawyer’s duty to However, he shall not act as counsel for any of
fight for an issue or claim, but it is his duty to them. [Agpalo]
oppose it for the other client. In brief, if he
argues for one client, this argument will be Generally an attorney is prohibited from
opposed by him when he argues for the other representing parties with contending positions.
client” [Hornilla v. Salunat (2003)]. However at a certain stage of the controversy,
before it reaches the court, a lawyer may
General rule: A lawyer may not represent two represent conflicting interests with the consent
opposing parties at any point in time. of the parties [Dee v. CA (1989)].
A lawyer need not be the counsel-of-record of CANDID AND HONEST ADVICE TO CLIENTS
either party. He does not have to publicly hold Rule 15.05. A lawyer when advising his client
himself as the counsel of the adverse party nor shall give a candid and honest opinion on the
make efforts to advance the adverse party’s merits and probable results of the client’s case,
conflicting interests of record. It is enough that neither overstating nor understating the
the counsel had a hand in the preparation of the prospects of the case.
pleading of one party.
A lawyer is bound to give candid and honest
Exception: When the parties agree, and for opinion on the merit or lack of merit of client’s
amicable settlement [Agpalo]) case, neither overstating nor understating the
prospect of the case. He should also give an
There is conflict of interest when: honest opinion as to the probable results of the
(1) When there are conflicting duties; case, with the end in view of promoting respect
(2) When the acceptance of the new relations for the law and the legal processes [Agpalo].
invites or actually lead to unfaithfulness or
double-dealing to another client; or COMPLIANCE WITH LAWS
(3) When the attorney will be called upon to use
against his first client any knowledge Rule 15.06. A lawyer shall not state or imply that
acquired in the previous employment. he is able to influence any public official,
tribunal or legislative body.
Note: The test to determine whether there is a
conflict of interest in the representation is Rule 15.07. A lawyer shall impress upon his
probability, not certainty of conflict. client compliance with the laws and principles
of fairness.
Representing adverse interest may result in:
(1) Disqualification as counsel in the new case; This rule protects against influence peddling.
(2) If prejudicial to interests of latter client, Some prospective clients secure the services of
setting aside of a judgment; a particular lawyer or law firm precisely because
(3) Administrative and criminal (for betrayal of he can exert a lot of influence on a judge and
trust) liability; some lawyers exact big fees for such influence
(4) Forfeiture of attorney’s fees. [Agpalo].
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(8) Failure to appear simply because the client REPRESENTATION WITH ZEAL WITHIN
did not go to counsel’s office on the date of LEGAL BOUNDS
the trial as was agreed upon [Alcoriza v. Canon 19. A lawyer shall represent his client
Lumakang (1978)]; with zeal within the bounds of the law.
(9) Failure to pay the appellate docket fee after
receiving the amount for the purpose In the discharge of his duty of entire devotion to
[Capulong v. Alino (1968)].Rule 18.03. A the client’s cause, a lawyer should present every
lawyer shall not neglect a legal matter remedy or defense authorized by law in support
entrusted to him, and his negligence in of his client’s cause regardless of his personal
connection therewith shall render him liable. views [Legarda v. CA (1991)].
If by reason of the lawyer’s negligence, actual USE OF FAIR & HONEST MEANS
loss has been caused to his client, the latter has
a cause of action against him for damages. Rule 19.01. A lawyer shall employ only fair and
However, for the lawyer to be held liable, his honest means to attain the lawful objectives of
failure to exercise reasonable care, skill and his client and shall not present, participate in
diligence must be proximate cause of the loss presenting or threaten to present unfounded
(Callanta). criminal charges to obtain an improper
advantage in any case or proceeding.
Every case a lawyer accepts deserves his full
attention, diligence, skill and competence, Rules of Court, Rule 138, Sec. 20(d). It is the duty
regardless of its importance or whether he of an attorney to employ for the purpose of
accepts for a fee or free. By agreeing to be maintaining the causes confided to him such
someone’s counsel, he represents that he will means only as are consistent with truth and
exercise ordinary diligence or that reasonable honor and never seek to mislead the judge or
degree of care and skill demanded of the any judicial officer by an artifice or false
business he undertakes to do, to protect the statement of fact or law.
client’s interests and take all steps or do all acts
necessary thereof [Uy v. Tansinin (2009)]. Thus, a lawyer should not file or threaten to file
any unfounded or baseless criminal case or
A client is entitled to the benefit of any and cases against the adversaries of his client
every remedy and defense authorized by law, designed to secure a leverage to compel
and is expected to rely on the lawyer to assert adversaries to yield or withdraw their own cases
every such remedy or defense [Garcia v. Bala against the lawyer’s client [Pena v Aparicio
(2005)]. (2007)].
DUTY TO APPRISE CLIENT CLIENT’S FRAUD
Rule 18.04. A lawyer shall keep the client Rule 19.02. A lawyer who has received
informed of the status of his case and shall information that his client has, in the course of
respond within a reasonable period of time to the representation, perpetrated a fraud upon a
client’s request for information. person or tribunal, shall promptly call upon the
client to rectify the same, and failing which he
It was unnecessary to have the clients wait, and shall terminate the relationship with such client
hope, for six long years on their pension claims. in accordance with the Rules of Court.
Upon their refusal to cooperate, the lawyer
should have forthwith terminated their This rule merely requires the lawyer to
professional relationship instead of keeping terminate his relationship with the client in the
them hanging indefinitely [Blanza v. Arcangel event the latter fails or refuses to rectify the
(1967)]. fraud [Agpalo].
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PROCEDURE IN HANDLING THE CASE A written contract for services shall control the
Rule 19.03. A lawyer shall not allow his client to amount to be paid therefore unless found by the
dictate the procedure on handling the case. court to be unconscionable or unreasonable.
The broad implied or apparent powers of an A lawyer cannot recover the full amount
attorney with respect to the conduct or control stipulated in the written contract:
of litigation are, however, limited to matters (1) When the services were not performed, and
which relate only to the procedure or remedy. the lawyer withdrew before the case was
finished, he will be allowed only reasonable
The employment of itself confers upon the fees;
attorney no implied power or authority over the (2) When there is justified dismissal of an
subject matter of the cause of action or defense; attorney, the contract will be nullified and
and, unless the attorney has expressly been payment will be on quantum meruit basis
granted authority with respect thereto, the (3) When the stipulated fees are unconscionable
power to deal with or surrender these matters is or unreasonable;
regarded as remaining exclusively in the client. (4) When the stipulated fees are in excess of
what is expressly provided by law;
The line of demarcation between the respective (5) When the lawyer is guilty of fraud or bad
rights and powers of an attorney and his client faith in the manner of his employment;
is clearly defined. The cause of action, the claim (6) When the counsel’s services are worthless
or demand sued upon, and the subject matter because of negligence;
of the litigation are all within the exclusive (7) When the contract is contrary to laws,
control of a client, and an attorney may not morals, and good policies.
impair, compromise, settle, surrender, or
destroy them without his client's consent. The mere fact that an agreement had been
reached between attorney and client fixing the
But all the proceedings in court to enforce the amount of the attorney’s fees, does not insulate
remedy, to bring the claim, demand, cause of such agreement from review and modification
action, or subject matter of the suit to hearing, by the Court where the fees clearly appear to be
trial, determination, judgment, and execution, excessive or unreasonable [Tanhueco v. De
are within the exclusive control of the attorney Dumo (1989)].
[Belandres v. Lopez Sugar Central Mill (1955)].
In the absence of an express contract, payment
ATTORNEY’S FEES of attorney’s fees may be justified by virtue of
Canon 20. A lawyer shall charge only fair and the innominate contract of facio ut des (I do and
reasonable fees. you give) which is based on the principle that
“no one shall enrich himself at the expense of
another” [Corpuz v. CA (1980)].
An attorney is entitled to have and recover from
his client no more than a reasonable The counsel, if worthy of his hire, is entitled to
compensation for his services with a view to: be fully recompensed for his services. With his
(1) The importance of the subject matter of the capital consisting solely of his brains and his
controversy; skill, acquired at tremendous cost not only in
(2) The extent of the services rendered; and money but in the expenditure of time and
(3) The professional standing of the attorney. energy, he is entitled to the protection of any
judicial tribunal against any attempt on the part
Rules of Court, Rule 138, Sec. 24. No court shall of a client to escape payment of his fees.
be bound by the opinion of attorneys as expert [Albano v. Coloma (1967)].
witnesses as to the proper compensation but
may disregard such testimony and base its
conclusion on its own professional knowledge.
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Purposes:
(1) To enable the Court to make its
investigations free from any extraneous
influence or interference;
(2) To protect the personal and professional
reputation of attorneys and judges from the
baseless charges of disgruntled, vindictive,
and irresponsible clients and litigants;
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(3) To deter the press from publishing (2) Investigation is not interrupted or terminated
administrative cases or portions thereof by reason of the desistance, settlement,
without authority [Saludo, Jr. v. CA (2006)]. compromise, restitution, withdrawal of the
charges, or failure of the complainant to
Malicious and unauthorized publication or prosecute the same [Section 5, Rule 139-B].
verbatim reproduction of administrative (3) Laws dealing with double jeopardy or
complaints against lawyers in newspapers by prescription or with procedure like
editors and/or reporters may be actionable. It verification of pleadings and prejudicial
constitutes contempt of court, punishable by questions have no application to disbarment
either a fine or imprisonment or both at the proceedings [Pimentel, Jr. v. Llorente (2000)].
discretion of the Court [Saludo, Jr. v. CA (2006)]. (4) The proceedings are distinct from and
proceeds independently of civil or criminal
In Fortun v. Quinsayas (2013), where the cases. Thus, whatever has been decided in
disbarment cases against Atty. Fortun in the disbarment case cannot be a source of
relation to the Maguindanao Massacre were right that may be enforced in another action.
publicized, the Court held that, since the filing At best, such judgment may only be given
of the disbarment complaint was itself a matter weight when introduced as evidence, but in
of public concern, arising from a very high- no case does it bind the court in the civil
profile case, such that public focus is on the action [Esquivas v. CA (1997)].
event, not on the lawyer himself, the media had (5) The disbarment proceeding does not violate
a right to publish such fact pursuant to the the due process clause. The proceeding
freedom of the press. itself, when instituted in proper cases, is due
process of law [In Re: Montagne (1904)].
The rule is thus restated: In the absence of a (6) In a disbarment proceeding, it is immaterial
legitimate public interest in a disbarment that the complainant is in pari delicto
complaint, members of the media must because the proceeding is not to grant relief
preserve the confidentiality of disbarment to the complainant, but to purge the law
proceedings during its pendency. profession of unworthy members, to protect
the public and the courts [Mortel v. Aspiras
In Villalon v. IAC (1986), testimonies in the (1956)].
disbarment case were presented by the (7) The rule in criminal cases that the penalty
respondent lawyer in said case to impeach the cannot be imposed in the alternative applies
testimonies of witnesses in a civil case. It was in administrative disciplinary cases, which
held that confidentiality “is a privilege/right also involve punitive sanctions [Navarro v.
which may be waived by the very lawyer in whom Meneses III (1998)].
and for the protection of whose personal and (8) Monetary claims cannot be granted except
professional reputation it is vested, pursuant to restitution and return of monies and
the general principle that rights may be waived properties of the client given in the course of
unless the waiver is contrary to public policy, the lawyer-client relationship
among others.” Note that the waiver was made
ex post facto. PRESCRIPTION
Calo v. Degamo (1967), citing American
OTHER CHARACTERISTICS Jurisprudence, stated that the ordinary statutes
(1) Proceedings may be taken by the Supreme of limitation have no application to disbarment
Court motu proprio, and the IBP Board of proceedings, nor does the circumstance that the
Governors may also motu proprio initiate and facts set up as a ground for disbarment
prosecute proper charges against erring constitute a crime, prosecution for which in a
attorneys [Section 1, Rule 139-B]. criminal proceeding is barred by limitation,
affect the disbarment proceedings.
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(b) Having undertaken the defense of a client (2) The IBP upon the verified complaint of any
or having received confidential person (1st par., Section 1, Rule 139-B).
information from said client in a case,
shall undertake the defense of the (3) The complaint shall:
opposing party in the same case, without (4) Be verified;
the consent of his first client. (5) State clearly and concisely the facts
complained of;
The enumeration of the statutory grounds for (6) Be supported by affidavits of persons having
disciplinary action is not exclusive and a lawyer personal knowledge of the facts therein
may be disciplined on grounds other than those alleged and/or by such documents as may
specifically provided in the law [Marcelo v. Javier substantiate said facts;
(1992)]. (7) Be filed in six copies; and
(8) Be filed with the Secretary of the IBP or the
The enumeration is not to be taken as a Secretary of any of its chapters who shall
limitation to the general power of courts to forthwith transmit the same to the IBP Board
suspend or disbar a lawyer. The inherent powers of Governors for assignment to an
of the court over its officers cannot be restricted investigator (1st and 3nd pars., Section 1, Rule
[Quingwa v. Puno (1967)]. 139-B).
MISCONDUCT IN PRIVATE CAPACITY The IBP Board of Governors may initiate and
General rule: a lawyer may not be suspended or prosecute proper charges against any erring
disbarred, and the court may not ordinarily attorneys including the government service:
assume jurisdiction to discipline him for (1) Motu proprio;
misconduct in his non-professional or private (2) Upon referral by the Supreme Court;
capacity. (3) Upon referral by a Chapter Board of Officers;
or
Exception: where the misconduct outside of the (4) At the instance of any person (2nd par.,
lawyer's professional dealings is so gross a Section 1, Rule 139-B).
character as to show him morally unfit for the
office and unworthy of the privilege which his All charges against the following shall be filed
licenses and the law confer on him, the court with the Supreme Court:
may be justified in suspending or removing him (1) Justices of the Court of Appeals;
from the office of attorney [Co v. Bernardino (2) Justices of the Sandiganbayan;
(1998)]. (3) Judges of the Court of Tax Appeals; and
(4) Judges of lower courts (2nd par., Section 1,
MISCONDUCT PRIOR OR INCIDENT TO Rule 139-B).
ADMISSION
A lawyer may be disbarred for Charges filed against justices and judges before
misrepresentation of or false pretense relative the IBP shall immediately be forwarded to the
to the requirements for admission to practice. Supreme Court for disposition and adjudication,
Thus, the fact that a lawyer lacked any of the including those filed prior to their appointment
qualifications for membership at the time he in the Judiciary (2nd par., Section 1, Rule 139-B).
took his oath is a ground for his disbarment
[Agpalo]; see In Re: Diao (1963) and Lim v. PROCEEDINGS BEFORE THE IBP
Antonio (1971)). (1) The complaint will be referred by the IBP
Board of Governors to the National
PROCEEDINGS Grievance Investigators (Section 3, Rule 139-
HOW INSTITUTED B).
Proceedings for disbarment, suspension or
discipline of attorneys may be taken by:
(1) The Supreme Court motu proprio; or
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UP LAW BOC LEGAL ETHICS LEGAL AND JUDICIAL ETHICS
(2) If the complaint appears to be meritorious, (8) The complainant may appeal to the
the investigator shall direct that a copy Supreme Court within 15 days from notice of
thereof be served upon the respondent the decision of the Board of Governors
requiring him to answer within 15 days from (Section 12, Rule 139-B).
service. If the complaint is unmeritorious, or
if the answer of the respondent shows that it PROCEEDINGS BEFORE THE SUPREME
is not meritorious, he shall recommend to COURT
the Board of Governors that the same be (1) In proceedings initiated motu proprio by the
dismissed. A copy of the resolution of Supreme Court or in other proceedings when
dismissal shall be furnished to the the interest of justice so requires, the
complainant and the Supreme Court, which Supreme Court may refer the case for
may review the case: investigation to:
(a) Motu proprio; or (a) The Solicitor General;
(b) Upon appeal of the complainant within (b) Any officer of the Supreme Court;
15 days from notice of the dismissal (c) Judge of a lower court (Section 13, Rule
(Section 5, Rule 139-B). 139-B).
(3) The IBP shall appoint a counsel to assist the (2) The appointed investigator shall then
complainant or the respondent (Section 7, proceed with the investigation as if the
Rule 139-B). proceedings were before the IBP, save that
(4) Upon joinder of issues or failure of the the review of the report of the investigator
respondent to answer, the investigation shall will be conducted directly by the Supreme
proceed with deliberate speed. If the Court Sections 13 and 14, Rule 139-B.
respondent fails to appear, the investigation
shall proceed ex parte. The investigation will COMMON PROVISIONS
terminate within three months, unless (1) After receipt of respondent’s answer or the
extended for good cause by the Board of lapse of the period therefor, and during the
Governors upon prior application (Section 8, pendency of the investigation until lifted,
Rule 139-B). the Supreme Court may suspend an
(5) The investigator shall make a report, within attorney:
30 days from the termination of the (a) Motu proprio; or
investigation, to the Board of Governors, (b) At the instance of the Board of
containing his findings of facts and Governors upon the recommendation of
recommendations, transcripts and evidence the investigator (Section 16, Rule 139-B).
(Section 10, Rule 139-B). (2) The Court of Appeals or the Regional Trial
(6) The Board of Governors will review the Court may suspend an attorney from
decision of the investigator, and shall practice for any of the causes in Section 37,
promulgate its decision within a period not Rule 138, until further action by the Supreme
exceeding 30 days from the next meeting of Court (Section 16, Rule 139-B).
the Board of Governors following the (3) Upon such suspension by the Court of
submission of the report (Section 12, Rule Appeals or the Regional Trial Court, a
139-B). certified copy of the order of suspension and
(7) If the Board of Governors determines that a full statement of the factual basis thereof
the responded should be suspended or shall be transmitted to the Supreme Court,
disbarred, it shall issue a resolution setting which, upon investigation, may revoke,
forth its findings and recommendations, and shorten, or extend such suspension, or disbar
transmit the same, with the whole record of the attorney (Section 17, Rule 139-B).
the case, to the Supreme Court. If the
respondent is exonerated, or the disciplinary
action less than suspension or disbarment, it
shall issue a decision exonerating
respondent or imposing such sanction
(Section 12, Rule 139-B).
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DISCIPLINE OF FILIPINO LAWYERS In several cases involving errant judges, res ipsa
PRACTICING ABROAD loquitor was applied, where there was on the
As amended by Supreme Court Resolution dated face of their assailed decisions, an inexplicable
February 13, 1992, Section 27, Rule 138, provides, grave error bereft of any redeeming feature, a
in addition to the enumeration of the grounds patent railroading of a case to bring about an
for administrative sanction, thus: unjust decision, or a manifestly deliberate intent
“The disbarment or suspension of a member of to wreak an injustice against a hapless party.
the Philippine Bar by a competent court or other The facts themselves, previously proven or
disciplinary agency in a foreign jurisdiction admitted, were of such a character as to give
where he has also been admitted as an attorney rise to a strong inference that evil intent was
is a ground for his disbarment or suspension if present. Such intent, in short, was clearly
the basis of such action includes any of the acts deducible from what was already of record [In
hereinabove enumerated. Re: Dizon (1989)].
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(b) Suspension when the lawyer’s continuing (g) Ready admission of the infraction
conduct is likely to cause immediate and coupled with explanation and plea for
serious injury to a client or public. forgiveness;
(8) Probation, a sanction that allows a lawyer to (h) Clean record of professional service in
practice law under specified conditions. the past;
(i) Rendered professional services out of
Other sanctions and remedies include: pure generosity;
(1) Restitution; (j) Punished in another capacity for a
(2) Assessment of costs; misconduct for which he now faces a
(3) Limitation upon practice; disbarment proceeding;
(4) Appointment of a receiver; (k) Old Age & long membership (may also
(5) Requirement that a lawyer take the bar be an aggravation de-pending on the
examination or professional responsibility circumstance);
examination;
(6) Requirement that a lawyer attend continuing Aggravating Circumstances:
education courses; (1) Prior disciplinary offenses;
(7) Other requirements that the Supreme (2) Dishonest or selfish motive;
Court or disciplinary board deems consistent (3) A pattern of misconduct;
with the purposes of sanctions. (4) Multiple offenses;
(5) Bad faith obstruction of the disciplinary
The disciplinary measure imposed may vary proceeding by intentionally failing to
depending on the modifying circumstance comply with rules or orders of the
present. disciplinary agency;
(6) Submission of false evidence, false
Mitigating Circumstance: statements, or other deceptive practices
(1) Absence of a prior disciplinary record; during the disciplinary process;
(2) Absence of a dishonest or selfish motive; (7) Refusal to acknowledge wrongful nature of
(3) Personal or emotional problems; conduct;
(4) Timely good faith effort to make restitution (8) Vulnerability of victim;
or to rectify consequences of misconduct; (9) Substantial experience in the practice of
(5) Full and free disclosure to disciplinary law;
board or cooperative attitude toward (10) Indifference to making restitution. (IBP
proceedings; Guidelines 9.22)
(6) Inexperience in the practice of law; (11) Others:
(7) Character or reputation; (a) Abuse of authority or of attorney-client
(8) Physical or mental disability or impairment; relationship;
(9) Delay in disciplinary proceedings; (b) Sexual intercourse with a relative;
(10) Interim rehabilitation; (c) Making the institution of marriage a
(11) Imposition of other penalties or sanctions; mockery;
(12) Remorse; (d) Charge of gross immorality;
(13) Remoteness of prior offenses; (e) Previous punishment as member of the
(14) Others: bar;
(a) Good Faith; (f) Defraud upon the government;
(b) Want of intention to commit a wrong; (g) Use of knowledge or information,
(c) Lack of material damage to the acquired in the course of a previous
complaining witness; professional employment, against a
(d) Desistance of complainant; former client.
(e) Error in judgment;
(f) Honest and efficient service in various EFFECT OF EXECUTIVE PARDON
government positions; (1) If the pardon is conditional, the disbarment
case will not be dismissed on the basis
thereof.
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(2) If the pardon is absolute and granted before (3) His conduct subsequent to disbarment [Cui
conviction, the disbarment case will be v. Cui 1964];
dismissed. Absolute pardon by the President (4) His efficient government service [In re:
wipes out conviction as well as offense itself Adriatico (1910)];
and the grant thereof in favor of a lawyer is a (5) The time that has elapsed between
bar to a proceeding for disbarment against disbarment and the application for
him based solely on commission of such reinstatement and the circumstances that he
offense. has been sufficiently punished and
(3) If the pardon is absolute but granted after disciplined [Prudential Bank v. Benjamin
conviction, it does not automatically entitle Grecia (1986)];
him to reinstatement to the bar. It must be (6) Applicant’s appreciation of significance of his
shown by evidence aside from absolute dereliction and his assurance that he now
pardon that he is now a person of good possesses the requisite probity and integrity;
moral character and fit and proper person to (7) Favorable endorsement of the IBP and local
practice law. government officials and citizens of his
community, pleas of his loved ones [Yap Tan
v. Sabandal (1989)];
Readmission to the Bar Guidelines in resolving requests for judicial
clemency of disbarred lawyers:
LAWYERS WHO HAVE BEEN (1) There must be proof of remorse and
SUSPENDED reformation. These include testimonials of
Guidelines in considering the lifting on an order credible institutions and personalities;
of suspension: (2) Sufficient time must have lapsed from the
(1) Upon expiration of the period of suspension, imposition of the penalty to ensure a period
respondent shall file a sworn statement with of reformation;
the court, through the Office of the Bar (3) The age of the person asking for clemency
Confidant, stating therein that he or she has must show that he still has productive years
desisted from the practice of law and has not ahead of him that can be put to good use by
appeared in any court during the period of giving him a chance to redeem himself;
his or her suspension; (4) There must be a showing of promise (e.g.,
(2) Copies of the sworn statement shall be intellectual aptitude, contribution to legal
furnished to the local chapter of the IBP and scholarship), and potential for public service;
to the executive judge of the courts where (5) Other relevant factors to justify clemency
the respondent has pending cases handled [Re: Letter of Judge Diaz (2007)].
by him or her, and/or where he or she has
appeared as counsel; A previously disbarred lawyer who is given
(3) The sworn statement shall be considered as absolute pardon by the President is not
proof of respondent’s compliance with the automatically reinstated, he must still file a
order of suspension [Maniago v. De Dios petition for reinstatement with the Supreme
(2010)]. Court.
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The legal education activities may be: For those admitted or readmitted after the
(1) Participatory: establishment of the program, they will be
(a) Attending approved education activities permanently assigned to the appropriate
like seminars, conferences, conventions, compliance group based on their chapter
symposia, in-house education programs, membership on the date of admission or
workshops, dialogues or round table readmission.
discussion;
(b) Speaking or lecturing, or acting as The initial compliance period after admission or
assigned panelist, reactor, commentator, readmission shall begin on the first day of the
resource speaker, moderator, coordinator month of admission or readmission and shall
or facilitator in approved education end on the same day as that of all other
activities; members in the same compliance group.
(c) Teaching in a law school or lecturing in a
bar review class; However:
(2) Non-participatory: (1) Where four months or less remain of the
(a) Preparing, as an author or co-author, initial compliance period after admission or
written materials published or accepted readmission, the member is not required to
for publication, e.g., in the form of an comply with the program requirement for
article, chapter, book, or book review the initial compliance;
which contribute to the legal education of
the author member, which were not
prepared in the ordinary course of the
member’s practice or employment;
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(2) Where more than four months remain of the (11) The Chancellor, Vice-Chancellor and
initial compliance period after admission or members of the Corps of Professors and
readmission, the member shall be required Professorial Lectures of the Philippine
to complete a number of hours of approved Judicial Academy;
continuing legal education activities equal to (12) Governors and Mayors.
the number of months remaining in the (13) Those who are not in law practice, private
compliance period in which the member is or public; and
admitted or readmitted. Such member shall (14) Those who have retired from law practice
be required to complete a number of hours with the approval of the IBP Board of
of education in legal ethics in proportion to Governors (Sections 1 and 2, Rule 7).
the number of months remaining in the
compliance period. Fractions of hours shall In addition, a member may file a verified request
be rounded up to the next whole number setting forth good cause for exemption (e.g.,
(Section 5, Rule 3, BM 850). physical disability, illness, post graduate study
abroad, proven expertise in law) from
EXEMPTIONS compliance with or modification of any of the
The following members are exempt: requirements, including an extension of time for
(1) The President and the Vice President of the compliance, in accordance with a procedure to
Philippines, and the Secretaries and be established by the MCLE Committee (Section
Undersecretaries of Executives Departments; 3, Rule 7, BM 850).
(2) Senators and Members of the House of
Representatives; When a member ceases to be exempt, the
(3) The Chief Justice and Associate Justices of compliance period begins on the first day of the
the Supreme Court, incumbent and retired month in which he ceases to be exempt and
members of the judiciary, incumbent shall end on the same day as that of all other
members of the Judicial and Bar Council and members in the same Compliance Group
incumbent court lawyers covered by the (Section 4, Rule 7, BM 850).
Philippine Judicial Academy program of
continuing judicial education; SANCTIONS
(4) The Chief State Counsel, Chief State (1) A member who, for whatever reason, is in
Prosecutor and Assistant Secretaries of the non-compliance at the end of the
Department of Justice; compliance period shall pay a non-
(5) The Solicitor General and the Assistant compliance fee.
Solicitor General; (2) Any member who fails to satisfactorily
(6) The Government Corporate Counsel, Deputy comply shall be listed as a delinquent
and Assistant Government Corporate member by the IBP Board of Governors upon
Counsel; the recommendation of the MCLE
(7) The Chairmen and Members of the Committee, in which case, Rule 139-A, Rules
Constitutional Commissions; of Court, governing the IBP, shall apply
(8) The Ombudsman, the Overall Deputy (Sections 1 and 2, Rule 13, BM 850).
Ombudsman, the Deputy Ombudsmen and
the Special Prosecutor of the Office of the Under BM 1922 (2008), practicing members of
Ombudsman; the bar are required to indicate in all pleadings
(9) Heads of government agencies exercising filed before the courts or quasi-judicial bodies,
quasi-judicial functions; the number and date of issue of their MCLE
(10) Incumbent deans, bar reviewers and Certificate of Compliance or Certificate of
professors of law who have teaching Exemption, as may be applicable, for the
experience for at least ten years accredited immediately preceding compliance period.
law schools;
Failure to disclose the required information
would cause the dismissal of the case and the
expunction of the pleadings from the records.
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BAR MATTER 2012 (a) Whose gross income and that of their
PURPOSE immediate family do not exceed an
The Supreme Court has promulgated The Rule amount double the monthly minimum
on Mandatory Legal Aid Service to enhance the wage of an employee; and
duty of lawyers to society as agents of social (b) Who do not own real property with a fair
change and to the courts as officers thereof by market value as stated in the current tax
helping improve access to justice by the less declaration of more than three hundred
privileged members of society and expedite the thousand (P300,000.00) pesos.
resolution of cases involving them. Mandatory
free legal service by members of the bar and REQUIREMENTS
their active support thereof will aid the efficient The rule requires every practicing lawyer to:
and effective administration of justice especially (1) Render a minimum of 60 hours of free legal
in cases involving indigent and pauper litigants aid services to indigent litigants in a year.
[Section 2, Bar Matter No. 2012 (2009)]. Said 60 hours shall be spread within a
period of twelve 12 months, with a minimum
SCOPE of five hours of free legal aid services each
The rule governs the mandatory requirement for month
practicing lawyers to render free legal aid (2) Coordinate with the Clerk of Court for cases
services in all cases (whether, civil, criminal or where he may render free legal aid service
administrative) involving indigent and pauper and shall be required to secure and obtain a
litigants where the assistance of a lawyer is certificate from the Clerk of Court attesting
needed. It shall also govern the duty of other to the number of hours spent rendering free
members of the legal profession to support the legal aid services in a case (Section 5, BM
legal aid program of the IBP. 2012).
DEFINITIONS PENALTIES
The Section 4, BM 2012, defines: Should a lawyer fail to do so, he shall be
(1) Practicing lawyers as members of the required to explain why he was unable to render
Philippine Bar who appear for and in behalf the minimum prescribed number of hours. If no
of parties in courts of law and quasi-judicial explanation has been given or if the National
agencies, excluding the following: Committee on Legal Aid (NCLA) finds the
(a) Government employees and incumbent explanation unsatisfactory, the NCLA shall
elective officials not allowed by law to make a report and recommendation to the IBP
practice; Board of Governors for the erring lawyer to be
(b) Lawyers who by law are not allowed to declared a member of the IBP who is not in
appear in court; good standing.
(c) Supervising lawyers of students enrolled
in law student practice in duly accredited After acceptance of the recommendation, the
legal clinics of law schools and lawyers of lawyer shall be declared a member not in good
non-governmental organizations and standing. He will be furnished a notice that
peoples’ organizations, who by the nature includes a directive to pay P4000.00 penalty
of their work already render free legal aid which shall accrue to the special fund for the
to indigent and pauper litigants; and legal aid program of the IBP.
(d) Lawyers do not appear for and in behalf
of parties in courts of law and quasi- Any lawyer who fails to comply with these duties
judicial agencies. for at least three consecutive years shall be the
(2) Indigent and pauper litigants as those subject of disciplinary proceedings to be
defined in Algura v. City of Naga (2006) and instituted motu proprio by the Committee on
Section 19, Rule 141, which includes those: Bar Discipline (Section 7, BM 2012).
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(2) Is personally known to the notary public or Certifying the Affixing of Signature by Thumb
identified by the notary public through or Other Mark
competent evidence of identity as defined by A notary public is authorized to certify the
the Notarial Rules; affixing of a signature by thumb or other mark
(3) Signs the instrument or document in the on an instrument or document presented for
presence of the notary; and notarization if:
(4) Takes an oath or affirmation before the (1) The thumb or other mark is affixed in the
notary public as to such instrument or presence of the notary public and of two (2)
document (Section 6, Rule II, Notarial Rules). disinterested and unaffected witnesses to
the instrument or document;
In jurat, the principal has to sign the instrument (2) Both witnesses sign their own names in
or document in the presence of the notary addition to the thumb or other mark;
public, unlike in acknowledgment (Uy, The 2004 (3) The notary public writes below the thumb or
Rules on Notarial Practice: A Primer for Notaries other mark: “Thumb or Other Mark affixed by
Public (2004)). (name of signatory by mark) in the presence
of (names and addresses of witnesses) and
SIGNATURE WITNESSING undersigned notary public;” and
Signature witnessing refers to a notarial act in (4) The notary public notarizes the signature by
which an individual on a single occasion: thumb or other mark through an
(1) Appears in person before the notary public acknowledgment, jurat, or signature
and presents an instrument or document; witnessing (Section 1(b), Rule IV, Notarial
(2) Is personally known to the notary public or Rules).
identified by the notary public through
competent evidence of identity as defined by Signing on Behalf of a Person Who is
these Rules; and Physically Unable to Sign or Make a Mark
(3) Signs the instrument or document in the A notary public is authorized to sign on behalf
presence of the notary public (Section 14, of a person who is physically unable to sign or
Rule II, Notarial Rules). make a mark on an instrument or document if:
(1) The notary public is directed by the person
Copy Certification unable to sign or make a mark to sign on his
Copy certification refers to a notarial act in behalf;
which a notary public: (2) The signature of the notary public is affixed
(1) Is presented with an instrument or document in the presence of two disinterested and
that is neither a vital record, a public record, unaffected witnesses to the instrument or
nor publicly recordable; document;
(2) Copies or supervises the copying of the (3) Both witnesses sign their own names ;
instrument or document; (4) The notary public writes below his signature:
(3) Compares the instrument or document with “Signature affixed by notary in presence of
the copy; and (names and addresses of person and two
(4) Determines that the copy is accurate and witnesses);” and
complete (Section, Rule II, Notarial Rules). (5) The notary public notarizes his signature by
acknowledgment or jurat (Section 1(c), Rule
This assists litigators in doing away with the IV, Notarial Rules).
requirement of proving that a copy is a faithful
reproduction of an original instrument or The term “physically unable to sign” does not
document (Uy (2004)). include the situation where a person is
physically unable to sign because he is in
another place (Uy (2004)).
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LEGAL STATUS
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CODE OF JUDICIAL CONDUCT Mass media has its duty to fearlessly but
The New Code of Judicial Conduct supersedes faithfully inform the public about events and
the Canons of Judicial Ethics (1946) and the persons. However, when a case has received
Code of Judicial Conduct (1989). However, in wide and sensational publicity, the trial court
case of deficiency or absence of specific should be doubly careful not only to be fair and
provisions, the Canons of Judicial Ethics and the impartial but also to give the appearance of
Code of Judicial Conduct shall be applicable in a complete objectivity in its handling of the case
suppletory character (New Code of Judicial [Gutierrez, Jr., J., Concurring Opinion, Go v. CA
Conduct). (1992)].
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A judge has the duty to not only render a just The judge must render service with impartiality
and impartial decision, but also render it in such commensurate with the public trust and
a manner as to be free from any suspicion as to confidence reposed in him [Dimatulac v. Villon
its fairness and impartiality, and also as to the (1998]).
judge’s integrity. It is obvious, therefore, that
while judges should possess proficiency in law JUDICIAL DUTIES FREE FROM BIAS
in order that they can competently construe and Section 1. Judges shall perform their judicial
enforce the law, it is more important that they duties without favor, bias, or prejudice.
should act and behave in such a manner that
the parties before them should have confidence
Bare allegations of partiality and prejudgment
in their impartiality [Sibayan-Joaquin v. Javellana
will not suffice [Dimo Realty & Dev. Inc. v.
(2001]).
Dimaculangan (2004]). A judge's conduct must
be clearly indicative of arbitrariness and
DISCIPLINARY ACTION prejudice before it can be stigmatized as biased
Section 3. Judges should take or initiate and partial [Cruz v. Iturralde (2003]).
appropriate disciplinary measures against
lawyers or court personnel for unprofessional Bias and prejudice must be shown to have
conduct of which the judge may have become resulted in an opinion on the merits on the basis
aware. of an extrajudicial source, not on what the judge
learned from participating in the case. As long
The inclination to leniency in the administrative as opinions formed in the course of judicial
supervision of court employees is an proceedings are based on the evidence
undesirable trait. Oftentimes, such leniency presented and the conduct observed by the
provides the court employees the opportunity to magistrate, such opinion – even if later found to
commit minor transgressions of the laws and be erroneous – will not prove personal bias or
slight breaches of official duty ultimately prejudice on the part of the judge. While
leading to vicious delinquencies. A judge should palpable error may be inferred from the decision
constantly keep a watchful eye on the conduct or the order itself, extrinsic evidence is required
of his employees. He should realize that big to establish bias, bad faith, malice or corrupt
start small. His constant scrutiny of the behavior purpose [Gochan v. Gochan (2003]). This is
of his employees would deter any abuse on the known as the extrajudicial source rule.
part of the latter in the exercise of their duties.
Then, his subordinates would know that any
misdemeanor will not remain unchecked. The
slightest semblance of impropriety on the part PROMOTE CONFIDENCE, IMPARTIALITY
of the employees of the court, in the
Section 2. Judges shall ensure that his or her
performance of their official duties stirs ripples
conduct, both in and out of court, maintains and
of public suspicion and public distrust of the
enhances the confidence of the public, the legal
judicial administrators. The slightest breach of
profession and litigants in the impartiality of the
duty by and the slightest irregularity in the
judge and of the judiciary.
conduct of court officers and employees detract
from the dignity of the courts and erode the
faith of the people in the judiciary [Buenaventura
v. Benedicto (1971]).
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A judge may not be legally prohibited from In Martinez v. Gironella (1975), a judge was
sitting in a litigation. But when suggestion is disqualified from trying a murder case against
made of record that he might be induced to act the accused (as principal), because, in a decision
in favor of one party or with bias or prejudice in a prior case involving an alleged accessory, he
against a litigant arising out of circumstance stated that the accused in the present case
reasonably capable of inciting such a state of committed the crime.
mind, he should conduct a careful self-
examination. He should exercise his discretion In Palang v. Zosa (1974), the judge, in deciding a
in a way that the people's faith in the courts of previous estafa case, stated that the charge was
justice is not impaired [Pimentel v. Salanga a “clear concocted story” which caused great
(1967]). damage to the accused. When a case for
damages was filed by the accused against the
MINIMIZE INSTANCES OF complainant in the estafa case, the judge
DISQUALIFICATIONS voluntary inhibited himself. The Supreme Court
Section 3. Judges shall, so far as is reasonable, stated that the judge’s inhibition reinforced
so conduct themselves as to minimize the public faith in the impartial administration of
occasions on which it will be necessary for them justice.
to be disqualified from hearing or deciding
cases. DISQUALIFICATIONS
Section 5. Judges shall disqualify themselves
The underlying reason for the rules on from participating in any proceedings in which
disqualification is to ensure that a judge, sitting they are unable to decide the matter impartially
in a case, will at all times be free from or in which it may appear to a reasonable
inclinations or prejudices and be well capable to observer that they are unable to decide the
render a just and independent judgment. matter impartially. Such proceedings include,
A litigant is entitled to nothing less than the but are not limited to, instances where:
cold neutrality of a judge. Due process requires (a) The judge has actual bias or prejudice
it [Parayno v. Meneses (1994]). concerning a party or personal knowledge of
disputed evidentiary facts concerning the
The rule of disqualification of judges must yield proceedings;
to demands of necessity. Simply stated, the rule (b) The judge previously served as a lawyer or
of necessity means that a judge is not was a material witness in the matter in
disqualified to sit in a case if there is no other controversy;
judge available to hear and decide the case [46 (c) The judge, or a member of his or her family,
Am. Jur. 2d Judges § 89 (1969]). has an economic interest in the outcome of
the matter in controversy;
PUBLIC COMMENTS; PENDING AND (d) The judge served as executor, administrator,
IMPENDING CASE guardian, trustee, or lawyer in the case or
Section 4. Judges shall not knowingly, while a matter in controversy, or a former associate
proceeding is before, or could come before of the judge served as counsel during their
them, make any comment that might association, or the judge or lawyer was a
reasonably be expected to affect the outcome of material witness therein;
such proceeding or impair the manifest fairness (e) The judge's ruling in a lower court is the
of the process. Nor shall judges make any subject of review;
comment in public or otherwise that might (f) The judge is related by consanguinity or
affect the fair trial of any person or issue. affinity to a party litigant within the 6th civil
degree or to counsel within the fourth civil
degree; or
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(g) The judge knows that his or her spouse or In Oktubre v. Velasco (2004), a municipal judge,
child has a financial interest, as heir, legatee, as private complainant, caused three criminal
creditor, fiduciary, or otherwise, in the subject complaints to be filed before his own court. He
matter in controversy or in a party to the also issued a warrant of arrest and subpoenas
proceeding, or any other interest that could before finally inhibiting himself from hearing
be substantially affected by the outcome of the cases. The Supreme Court found him guilty
the proceedings. of grave misconduct, gross ignorance of the law
and grave abuse of authority, and dismissed
In Umale v. Villaluz (1973), a judge inhibited him from service. It stated that the idea that a
himself from trying a robbery case due to his judge can preside over his own case is
personal knowledge of the case. The Supreme anathema to the notion of impartiality and that
Court stated that it is possible that the his subsequent inhibition from the three cases
respondent Judge might be influenced by his does not detract from his culpability for he
personal knowledge of the case when he tries should not have taken cognizance of the cases
and decides the same on the merits, which in the first place.
would certainly constitute a denial of due
process to the party adversely affected by his In Sandoval v. CA (1996), the Supreme Court
judgment or decision. Thus, it is best that, after that an Associate Justice who only partly
some reflection, the judge, on his own initiative presided over a case in the trial court and who
disqualified himself from hearing the robbery did not render the final decision cannot be said
case and thereby rendering himself available as to have been placed in a position where he had
witness to any of the parties subject to cross- to review his own decision and, as such, was not
examination. legally bound, on this ground, to inhibit himself
as ponente of the case. Nevertheless, it was held
In People v. Gomez (1967), the judge dismissed that he should have voluntarily inhibited himself
criminal informations on the suspicion, arising for his earlier involvement in the case
from a dinner invitation from a stranger and a constitutes just or valid reason under Section 1,
subsequent personal investigation, that the Rule 137. A judge should not handle a case in
court was being used as a forum for extortion which he might be perceived, rightly or wrongly,
and exploitation of the persons charged. to be susceptible to bias and partiality.
The Supreme Court found this unstated
extraneous matter makes the dismissal as one PERMITTAL OF DISQUALIFICATIONS
affected with partiality and bias. The prayer of Section 6. A judge disqualified as stated above
the judge to be disqualified in hearing the case may, instead of withdrawing from the
because he has lost all respect in the manner in proceeding, disclose on the records the basis of
which the prosecutor has been prosecuting the disqualification. If based on such disclosure, the
case was granted. parties and lawyers independently of a 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.
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The decision to continue hearing the case, Violent action in a public place, whatever the
despite the existence of reasons for motive, constitutes serious misconduct and
disqualification should be: (1) coupled with a resultant outrage of the community [Arban v.
bona fide disclosure to the parties-in-litigation, Boraha (1989]).
and (2) subject to express acceptance by all the
parties of the cited reason as not material or It is highly improper for a judge to wield a high-
substantial. The basis of the disqualification powered firearm in public and besieged the
should be disclosed, not mere “personal house of a perceived defamer of character and
reasons” [ABA (2007]). honor in warlike fashion, berating the object of
his ire with his firearm aimed at him [Saburnido
PROPRIETY v. Madrano (2001]).
Canon 4. Propriety and the appearance of
propriety are essential to the performance of all ACCEPTANCS OF PERSONAL
the activities of a judge. RESTRICTIONS
Section 2. As a subject of constant public
AVOIDANCE OF IMPROPRIETY scrutiny, judges must accept personal
restrictions that might be viewed as
Section 1. Judges shall avoid impropriety and the
burdensome by the ordinary citizen and should
appearance of impropriety in all of their
do so freely and willingly. In particular, judges
activities.
shall conduct themselves in a way that is
consistent with the dignity of the judicial office.
By prohibiting not only impropriety but even the
appearance of impropriety, the Code recognizes
Judges are also human beings, with their own
that even acts that are not per se improper can
burdens and private affairs. However, having
nevertheless be perceived by the larger
accepted the esteemed position of judge, they
community as such [ABA (2007)].
ought to have known that more is expected of
Thus, acts of judges which are not illegal may
them than an ordinary citizen.
still violate the Code:
As subjects of constant public scrutiny, personal
(1) Hearing cases on the day when the judge
restrictions that might be viewed as
was supposed to be on official leave [Re:
burdensome by the ordinary citizen should be
Anonymous Complaint Against Acuña freely and willingly accepted by a judge.
(2005]);
(2) Hearing a motion while on vacation in the
In particular, he or she must exhibit conduct
judge’s room dressed in a polo jacket
consistent with the dignity of the judicial office.
[Ignacio v. Valenzuela (1982]);
Indeed, a judge’s personal behavior, not only
(3) Coming out of a hotel together with a
while in the performance of official duties, must
subordinate, even when there is no clear
be beyond reproach, being the visible
evidence of sexual congress [Liwanag v.
personification of law and of justice [Re:
Lustre (1999]); Anonymous Complaint Against Acuña (2005)].
(4) Making a joking remark to a litigant
suggesting for the latter to prove that he
Thus, judges have been rebuked for:
harbored no ill feelings toward the judge [Co
(1) Sexually suggestive advances to women
v. Plata (2005]);
[Mariano v. Gonzales (1982]);
(5) Admonishing the bride and the groom, after
(2) Writing letters asking a married woman to
conducting a marriage ceremony, to sexually
come to the judge’s sala afterfive o’clock in
satisfy each other so that they will not go
the evening [Hadap v. Lee (1982]);
astray [Hadap v. Lee (1982]). (3) Assigning a female stenographer to the
judge’s chambers [Ritual v. Valencia (1978]).
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The Code of Judicial Conduct mandates that “a Releasing a draft decision to a party was
judge shall refrain from financial and business considered not as a simple breach of
dealings that tend to reflect adversely on the confidentiality of the decision-making process in
court’s impartiality, interfere with the proper the case of Centrum Agri-Business Realty Corp.
performance of judicial activities, or increase v. Katalbas-Moscardon (1995), but a scheme to
involvement with lawyers or persons likely to extort money from a party.
come before the court. A judge should so
manage investments and other financial Also, a judge’s act of personally furnishing a
interests as to minimize the number of cases party copies of orders issued, without the same
giving grounds for disqualification” [Catbagan v. passing through the court docket, is highly
Barte (2005)]. irregular, giving rise to the suspicion that the
judge is partial to one of the parties in the case
INFLUENCE OF JUDICIAL CONDUCT pending before him [Co v. Calimag (2000]).
Section 8. Judges shall not:
(a) Use or lend the prestige of the judicial office Records of cases are necessarily confidential,
to advance their private interests, or those of and to preserve their integrity and
a member of their family or of anyone else; confidentiality, access thereto ought to be
(b) Convey or permit others to convey the limited only to the judge, the parties or their
impression that anyone is in a special counsel and the appropriate court personnel in
position improperly to influence them in the charge of the custody thereof. It is improper to
performance of judicial duties. allow a judge’s wife, who is not a court
employee, much less the employee specifically
A judge, claiming to be an administrator of an in charge of the custody of said records, to have
estate, wrote demand letters to tenants using access thereto [Gordon v. Lilagan (2001)].
the letterhead of his sala for them to pay their
rent in his office. The Supreme Court stated that ENGAGE IN OTHER ACTIVITIES
using the said letterhead and requiring payment Section 10. Subject to the proper performance of
at his office is clearly intended to use the judicial duties, judges may:
prestige of his judicial office to advance private (a) Write, lecture, teach, and participate in
interests [Oktubre v. Velasco (2004]) activities concerning the law, the legal
. system, the administration of justice or
Another judge who, as creditor, filed a collection related matters;
case in a venue where he was one of the trial (b) Appear at a public hearing before an official
judges, was severely censured by the Supreme body concerned with matters relating to the
Court, stating that a sense of propriety should law, the legal system, the administration of
have impelled him to desist from filing in said justice or related matters;
venue, even when, under the law, he had the (c) Engage in other activities if such activities do
choice of venue. In the eyes of the public, it not detract from the dignity of the judicial
arouses suspicion, rightly or wrongly, that office or otherwise interfere with the
advantage is being taken of one’s position(Javier performance of judicial duties.
v. De Guzman, Jr. (1990)).
This section should be read in conjunction with
CONFIDENTIAL INFORMATION Section 12, Article VIII, Constitution, which
Section 9. Confidential information acquired by prohibits members of the judiciary from being
judges in their judicial capacity shall not be used designated to any agency performing quasi-
or disclosed by, for any other purpose related to judicial or administrative functions.
their judicial duties.
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Thus, membership of a judge in a Provincial (1) All notarial fees charged be for the account
Committee on Justice, which discharges of the Government and turned over to the
administrative functions, will be in violation of municipal treasurer; and
the Constitution. However, the Supreme Court (2) A certification be made in the notarized
stated that this does not mean that judges documents attesting to the lack of any
should adopt monastic insensibility or lawyer or notary public in such municipality
unbecoming indifference to such institutions or circuit [Tabao v. Asis (1996)].
and that even as non-members, they should
render assistance to help promote the laudable FORM ASSOCIATIONS
purposes for which they exist when such Section 12. Judges may form or join associations
assistance may be reasonably incidental to the of judges or participate in other organizations
fulfillment of their judicial duties [In Re: representing the interests of judges.
Designation of Judge Manzano (1988]).
This rule recognizes a difference between
PRACTICE OF PROFESSION membership in associations of judges and
Section 11. Judges shall not practice law whilst membership in associations of other legal
the holder of judicial office. professionals. While attendance at lavish events
hosted by lawyers might create an appearance
This prohibition is based on public policy of impropriety, participation in judges-only
because the rights, duties, privileges and organizations does not [ABA (2007)].
functions of the office of an attorney-at-law are
inherently incompatible with the high official GIFTS, REQUESTS, LOANS
functions, duties, powers, discretion and Section 13. Judges and members of their families
privileges of a judge. It also aims to ensure that shall neither ask for, or accept, any gift, bequest,
judges give their full time and attention to their loan or favor in relation to anything done or to
judicial duties, prevent them from extending be done or omitted to be done by him or her in
special favors to their own private interests and connection with the performance of judicial
assure the public of their impartiality in the duties.
performance of their functions [Carual v. Brusola
(1999]). Under Section 7(d), RA 6713, prohibits
solicitation or acceptance by public officials and
General rule: Municipal judges may not engage employees, directly or indirectly, of any gift,
in notarial work. gratuity, favor, entertainment, loan or anything
of monetary value from any person in the course
Exception: They may do so as notaries public ex- of their official duties or in connection with any
officio, in which case, they may only notarize operation being regulated by, or any transaction
documents connected with the exercise of their which may be affected by the functions of their
official functions. As such, they may not office.
undertake the preparation and
acknowledgement of private documents, The act of a judge in demanding and receiving
contracts and other acts of conveyance, which money from a party-litigant before his court
bear no relation to the performance of their constitute serious misconduct in office. It is this
functions as judges. kind of gross and flaunting misconduct on the
part of those who are charged with the
Exception to the exception: In far-flung responsibility of administering the law and
municipalities which have neither lawyers nor rendering justice that so quickly and surely
notaries public, municipal judges assigned to corrodes the respect for law and the courts
those municipalities or circuits may, in their without which government cannot continue and
capacity as notaries public ex-officio, perform that tears apart the very bonds of our polity
any act within the competence of a regular [Haw Tay v. Singayao (1987]).
notary public,provided:
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Verily, a judge may, in the exercise of his sound Although a judge is nearing retirement he
discretion, inhibit himself voluntarily from should not relax in his study of the law and
sitting in a case, but it should be based on good, court decisions. Service in the judiciary means a
sound or ethical grounds, or for just and valid continuous study and research on the law from
reasons. No less than imperative is that it is the beginning to end [Ajeno v. Inserto (1976])
judge’s sacred duty to administer justice without
fear or favor [Parayno v. Meneses (1994)]. Judges are not, however, expected to be
infallible; not every error or irregularity
PERFORM ADMINISTRATIVE DUTIES committed by judges in the performance of
Section 2. Judges shall devote their professional official duties is subject to administrative
activity to judicial duties, which include not only sanction. In the absence of bad faith, fraud,
the performance of judicial functions and dishonesty, or deliberate intent to do injustice,
responsibilities in court and the making of incorrect rulings do not constitute misconduct
decisions, but also other tasks relevant to the and may not give rise to a charge of gross
judicial office or the court's operations. ignorance of the law [Cruz v. Iturralde (2003)].
Failure to speedily dispose of cases on account Disciplinary proceedings and criminal actions
of missing records of cases reflects an inefficient against judges are not complementary or
and disorderly system in the recording of cases suppletory of, nor a substitute for, these judicial
assigned to a judge’s sala. Proper and efficient remedies, whether ordinary or extraordinary.
court management is as much the judge’s Resort to and exhaustion of these judicial
responsibility, for the court personnel are not remedies are prerequisites for the taking of
the guardians of a judge’s responsibilities. A other measures against the persons of the
judge is expected to ensure that the records of judges concerned, whether of civil,
cases assigned to his sala are intact. There is no administrative, or criminal nature. It is only after
justification for missing records save fortuitous the available judicial remedies have been
events. The loss of not one but eight records is exhausted and the appellate tribunals have
indicative of gross misconduct and inexcusable spoken with finality that the door to an inquiry
negligence unbecoming of a judge [Longboan v. into his criminal, civil, or administrative liability
Polig (1990]). may be said to have opened, or closed
[Maquiran v. Grageda (2005)].
MAINTAIN PROFESSIONAL COMPETENCE
BE INFORMED ABOUT THE LAW
Section 3. Judges shall take reasonable steps to
maintain and enhance their knowledge, skills, Section 4,. Judges shall keep themselves
and personal qualities necessary for the proper informed about the relevant developments of
performance of judicial duties, taking advantage international law, including international
for this purpose of the training and other conventions and other instruments establishing
facilities which should be made available, under human rights norms.
judicial control, to judges.
This is so since, subject to the conditions set
When a judge accepts his position, he owes it to forth in Section 2, Article II and Section 21, Article
the dignity of the court, to the legal profession, VII, Constitution, international law, both
and to the public, to know the very law he is customary and conventional, are part of
supposed to apply to a given controversy. Even Philippine law.
in the remaining years of his stay in the judiciary
he should keep abreast with the changes in the PROMPT DECISION MAKING
law and with the latest decisions and Section 5. Judges shall perform all judicial
precedents. duties, including the delivery of reserved
decisions, efficiently, fairly, and with reasonable
promptness.
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Section 1, Rule 124 requires that justice be Inefficient judges are equally impermissible in
impartially administered without unnecessary the judiciary as the incompetent and dishonest
delay. This principle permeates the whole ones. Any of them tarnishes the image of the
system of judicature, and supports the judiciary or brings it to public contempt,
legitimacy of the decrees of judicial tribunals dishonor or disrespect and must then be
[ABA (2007)]. administratively dealt with and punished
accordingly [Yu-Aensi v. Villanueva (2000]).
MAINTAIN ORDER IN PROCEEDINGS Thus, a judge who issued orders indefinitely
Section 6. Judges shall maintain order and postponing the hearing of an election protest
decorum in all proceedings before the court and was found to be inefficient and to have
be patient, dignified, and courteous in relation transgressed the basic mandatory rules for
to litigants, witnesses, lawyers, and others with expeditious resolution of cases [De la Cruz v.
whom the judge deals in an official capacity. Pascua (2001)].
Judges shall require similar conduct of legal
representatives, court staff and others subject to
their influence, direction and control. Discipline of Members of
A judge was found guilty of committing acts the Judiciary
unbecoming of a judge and abuse of authority
when he shouted invectives and threw a chair at MEMBERS OF THE SUPREME COURT
the complainant, resulting in wrist and other
IMPEACHMENT
injuries to the complainant [Briones v. Ante, Jr.
Members of the Supreme Court may be
(2002]).
removed from office on impeachment for, and
conviction of, culpable violation of the
Another judge was found guilty of serious
Constitution, treason, bribery, graft and
misconduct and inefficiency by reason of
corruption, other high crimes, or betrayal of
habitual tardiness. He was fined and suspended
public trust (Section 2, Article X, Constitution).
for judicial indolence [Yu-Asensi v. Villanueva
(2000)].
The impeachment of public officials has been
established for removing otherwise
NOT TO ENGAGE IN CONDUCT CONTRARY
constitutionally tenured and independent public
TO DUTIES
officials for culpable violation of the
Section 7. Judges shall not engage in conduct Constitution, treason, bribery, graft and
incompatible with the diligent discharge of corruption, other high crimes, or betrayal of
judicial duties. public trust. The power to initiate impeachment
cases rests with the House while the power to
A judge is charged with exercising extra care in try the same rests with the Senate.
ensuring that the records of the cases and
official documents in his custody are intact. He Based on Section 3, Article VI, Constitution, the
must adopt a system of record management steps leading to impeachment are as follows:
and organize their dockets in order to bolster (1) A verified complaint for impeachment is filed
the prompt and efficient dispatch of business. by a member of the House or endorsed by
It is, in fact, incumbent upon him to devise an him;
efficient recording and filing system in his court (2) The complaint is included in the order of
because he is after all the one directly business of the House;
responsible for the proper discharge of his (3) The House refers the complaint to the proper
official functions [Beso v. Daguman (2000]). committee;
(4) The committee holds a hearing, approves
the resolution calling for impeachment, and
submits the same to the House;
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(5) The House considers the resolution and Article VII: Granting a temporary restraining
votes to approve it by at least one‑third of all order to Former President Arroyo and husband
its members, which resolution becomes the Mike Arroyo after the Department of Justice
article of impeachment to be filed with the prevented them to go out of the country;
Senate when approved; and
(6) The Senate tries the public official under the Article VIII: Graft and corruption when he failed
article [Abad, J., Separate Concurring and refused to account for the judiciary
Opinion, Guttierez v. HOR Committee on development fund and special allowance for the
Justice (2011]). judiciary collections.
FORMER CHIEF JUSTICE CORONA’S
IMPEACHMENT On January 16, 2012, the Senate, sitting as an
OVERVIEW impeachment court, began the trial. The
On December 12, 2011, the House of prosecution dropped Articles I, IV, V, VI, VII, VIII,
Representatives voted to impeach Chief Justice leaving only Articles II and III as their grounds
Corona. They charged him with eight articles of for impeachment.
impeachment alleging:
(1) Betrayal of public trust; On May 29, 2012, the Senate found Chief Justice
(2) Graft and corruption; and Corona guilty under Article II of the articles of
(3) Culpable violation of the Constitution. impeachment for his failure to declare his true
statements of assets, liabilities and net worth.
ARTICLES OF IMPEACHMENT After 20 senators voted in favor of
impeachment under this ground, the Senate no
Article I: Partiality and subservience in cases longer voted under Article III. Three senators
involving the Arroyo administration; voted to acquit Corona on that ground.
Article II: Failure to disclose to the public his QUANTUM OF EVIDENCE USED
statement of assets and liabilities; An impeachment proceeding is sui generis; it is
neither purely political nor criminal. Thus, it
does not require proof beyond reasonable
Article III: Flip-flopping decisions in final and
doubt. In the course of the impeachment trial,
executory cases, creating excessive
the senator-judges expressed differing views.
entanglement with Former President Arroyo,
Some argued that it requires “clear and
and discussing with litigants regarding the
convincing proof,” while some argued that it
cases pending before the Supreme Court;
needs “preponderance of evidence.”
Article IV: Irregularities in issuing a quo-ante The Senate has traditionally left the choice of
order against the House of Representatives in the applicable standard of proof to each
the impeachment of then Ombudsman individual Senator [Black, Impeachment: A
Merceditas Gutierrez; Handbook (1974)).
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The respondent is required to comment on the The word “misconduct” implies a wrongful
complaint and show cause why he should not intention and not a mere error or judgment. For
also be suspended, disbarred or otherwise serious [or gross] misconduct to exist, there
disciplinarily sanctioned as a member of the must be reliable evidence showing that the
bar. Judgment in both respects may be judicial acts complained of were corrupt or
incorporated in one decision or resolution. inspired by an intention to violate the law, or
were in persistent disregard of well-known legal
EFFECT OF WITHDRAWAL OR DESISTANCE rules [In re: Impeachment of Horrilleno (1922)].
The actuations of a judge seriously affects the
public interest inasmuch as they involve the In the absence of bad faith, fraud, dishonesty, or
administration of justice. It is for this reason that deliberate intent to do injustice, incorrect
a motion to withdraw a complaint will not justify rulings do not constitute misconduct and may
the dismissal of the administrative case against not give rise to a charge of gross ignorance of
the judge. the law [Cruz v. Iturralde (2003)].
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(4) For the issuance of orders or rendition of (b) When an attachment of real or personal
judgments. property lying outside the province is to
be made;
Justice shall be impartially administered (c) When the action is against two or more
without unnecessary delay(Section 1, Rule 135). defendants residing in different
provinces; and
Publicity of Proceedings (d) When the place where the case has been
General rule: The sitting of every court of justice brought is that specified in a contract in
shall be public. writing between the parties, or the place
of the execution of such contract as
Exception: Any court may, in its discretion, appears therefrom;
exclude the public when the evidence to be (2) Writs of execution issued by inferior courts
adduced is of such nature as to require their may be enforced in any part of the
exclusion in the interest of morality or decency Philippines without any previous approval of
(Section 2, Rule 135). the judge of first instance;
(3) Criminal process may be issued by a justice
PUBLICITY OF RECORDS of the peace or other inferior court, to be
General rule: The records of every court of served outside his province, when the district
justice shall be public records and shall be judge, or in his absence the provincial fiscal,
available for the inspection of any interested shall certify that in his opinion the interests
person: of justices require such service (Section 4,
(1) At all proper business hours; Rule 135).
(2) Under the supervision of the clerk having
custody of such records. INHERENT POWERS OF COURTS:
(1) To preserve and enforce order in its
Exception: The court may, in any special case, immediate presence;
forbid publicity of records, in the interest of (2) To enforce order in proceedings before a
morality or decency (Section 2, Rule 135). person or persons empowered to conduct a
judicial investigation under its authority;
ENFORCEABILITY OF COURT PROCESS (3) To compel obedience to its judgments,
Superior courts orders and processes, and to the lawful order
Process issued from a superior court in which a of judge out of court, in a case pending
case is pending may be enforced in any part of therein;
the Philippines: (4) To control, in furtherance of justice, the
(1) To bring in a defendant; conduct of its ministerial officers, and of all
(2) For the arrest of any accused person; or other persons in any manner connected with
(3) To execute any order or judgment of the a case before it, in every manner
court (Section 3, Rule 135). appertaining thereto;
Inferior courts (5) To compel the attendance of persons to
General rule: Process of inferior courts shall be testify in a case pending therein;
enforceable within the province where the (6) To administer or cause to be administered
municipality or city lies. oaths in a case pending therein, and in all
other cases where it may be necessary in the
Exceptions: exercise of its powers;
(1) It may be served outside the boundaries of (7) To amend and control its process and orders
the province with the approval of the judge of so as to make them conformable to law and
the Regional Trial Court of said province, and justice;
only in the following cases: (8) To authorize copy of a lost or destroyed
(a) When an order for the delivery of personal pleading or other paper to be filed and used
property lying outside the province is to instead of the original, and to restore, and
be complied with; supply deficiencies in its records and
proceedings (Section 5, Rule 135).
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MEANS TO CARRY JURISDICTION INTO He shall send the same by registered mail to
EFFECT the clerk of the court where the case was
When by law, jurisdiction is conferred on a court heard or argued to be filed therein as of the
or judicial officer, all auxiliary writs, processes date when the same was received by the clerk,
and other means necessary to carry it into effect in the same manner as if he had been present
may be employed by such court or officer; and if in court to direct the filing of the judgment.
the procedure to be followed in the exercise of If a case has been heard only in part, the
such jurisdiction is not specifically pointed out Supreme Court, upon petition of any of the
by law or by these rules, any suitable process or parties to the case and the recommendation
mode of proceeding may be adopted which of respective district judge, may also authorize
appears conformable to the spirit of said law or the judge who has partly heard the case, if no
rules (Section 6, Rule 135). other judge had heard the case in part, to
continue hearing and to decide said case
TRIAL, HEARINGS AND OTHER ACTS notwithstanding his transfer or appointment
All trial upon the merits shall be conducted in to another court of equal jurisdiction (Section
open court and so far as convenient in a 9, Rule 135).
regular court room.
All other acts or proceedings may be done or
conducted by a judge in chambers, without
the attendance of the clerk or other court Court Records and
officials (Section 7, Rule 135).
General Duties of Clerks
INTERLOCUTORY
PROVINCE
ORDERS OUT OF and Stenographers
When within the district but without the
CLERK’S OFFICE
province, a judge of Regional Trial Court shall
The clerk’s office, with the clerk or his deputy in
nevertheless have power to hear and determine attendance, shall be open during business
any interlocutory motion or issue after due and
hours on all days, except Sundays and legal
reasonable notice to the parties.
holidays. The clerk of the Supreme Court and
that of the Court of Appeals shall keep the office
The hearing may be had at any place in the
in Manila and all papers authorized or required
judicial district which the judge deems
to be filed therein shall be filed in Manila
convenient on the filing, in any Regional Trial
(Section 3, Rule 136).
Court:
(1) Of a petition for the writ of habeas corpus;
(2) For release upon bail or reduction of bail DUTIES OF THE CLERK
(Section 8, Rule 135). ISSUANCE OF PROCESS
(1) The clerk of a superior court shall issue under
SIGNING JUDGMENTS OUT OF PROVINCE the seal of the court all ordinary writs and
It shall be lawful for a judge to prepare and sign process incident to pending cases, the
his decision anywhere within the Philippines: issuance of which does not involve the
(1) Whenever a judge, appointed or assigned in exercise of functions appertaining to the
any province or branch of a Regional Trial court or judge only.
Court in a province, shall leave the province: (2) The clerk may, under the direction of the
(a) By transfer or assignment to another court or judge, make out and sign letters of
court of equal jurisdiction; or administration, appointments of guardians,
(b) By expiration of his temporary trustees and receivers, and all writs and
assignment; process issuing from the court.
(2) Without having decided a case, which was:
(a) Totally heard by him; and RECEPTION OF PAPERS AND
(b) Argued or an opportunity given for PREPARATION OF MINUTES
argument to the parties or their counsel. The clerk of each superior court shall:
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(1) Receive and file all pleadings and other The clerk shall prepare, for any person
papers properly presented, endorsing on demanding the same, a copy certified under the
each such paper the time when it was seal of the court of any paper, record, order,
filed;and judgment, or entry in his office, proper to be
(2) Attend all of the sessions of the court and certified, for the fees prescribed by these rules
enter its proceedings for each day in a (Section 11, Rule 136).
minute book to be kept by him(Section 6,
Rule 136). INDEXING BOOKS AND SEPARATING CASES
(1) The general docket, judgment book, entries
SAFEKEEPING OF PROPERTY book and execution book shall each be
The clerk shall safely keep all records, papers, indexed in alphabetical order in the names
files, exhibits and public property committed to of the parties, and each of them.
his charge, including the library of the court, (2) If the court so directs, the clerk shall keep
and the seal and furniture belonging to his two or more of either or all of the books and
office (Section 7, Rule 136). dockets above mentioned, separating civil
from criminal cases, or actions from special
KEEPING A GENERAL DOCKET proceedings, or otherwise keeping cases
The clerk shall keep a general docket, each separated by classes as the court shall deem
page of which shall be numbered and prepared best (Section 13, Rule 136).
for receiving all the entries in a single case.
The following shall be entered in the docket, so KEEPING OTHER BOOKS AND OTHER
that by reference to a single page, the history of DUTIES
a case may be seen: The clerk shall keep such other books and
(1) All cases, numbered consecutively in the perform such other duties as the court may
order in which they were received; direct (Section 12, Rule 136).
(2) Under the heading of each case and a
complete title thereof: IN THE ABSENCE OR BY DIRECTION OF
(a) The date of each paper filed or issued; JUDGE
(b) Each order or judgment entered;and
(c) Each other step taken in the case (Section (1) In the absence of the judge, the clerk may
8, Rule 136). perform all the duties of the judge in
receiving applications, petitions, inventories,
KEEPING A JUDGMENT AND ENTRIES BOOK reports, and the issuance of all orders and
The clerk shall keep: notices that follow as a matter of course
(1) A judgment book containing a copy of each under the Rules of Court.
judgment rendered by the court in order of (2) The clerk may also, when directed so to do
its date; and by the judge, receive the accounts of
(2) A book of entries of judgments containing at executors, administrators, guardians,
length in chronological order entries of all trustees, and receivers, and all evidence
final judgments or orders of the court relating to them, or to the settlement of the
(Section 9, Rule 136). estates of deceased persons, or to
guardianships, trusteeships, or receiverships,
and forthwith transmit such reports,
KEEPING OF AN EXECUTION BOOK accounts, and evidence to the judge,
The clerk shall keep an execution book in which together with the findings in relation to the
he or his deputy shall record at length in same, if the judge shall direct him to make
chronological order each execution, and the findings and include the same in his report
officer’s return thereon, by virtue of which real (Section 5, Rule 136).
property has been sold (Section 10, Rule 136).
CERTIFICATION COPIES
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No record shall be taken from the clerk’s (4) The date of the appearance of default of
office without an order of the court except as the defendant;
otherwise provided by these rules. (5) The date of presenting the plea, answer, or
However, the Solicitor General or any of his motion to quash, and the nature of the
assistants, the provincial fiscal or his deputy, same;
and the attorneys de oficio shall be permitted, (6) The minutes of the trial, including the date
upon proper receipt, to withdraw from the thereof and of all adjournments;
clerk’s office the record of any case in which (7) The names and addresses of all witnesses;
they are interested (Section 14, Rule 136). (8) The date and nature of the judgment, and,
in a civil case, the relief granted;
STENOGRAPHER (9) An itemized statement of the costs;
It shall be the duty of the stenographer who (10) The date of any execution issued, and the
has attended a session of a court either in the date and contents of the return thereon;
morning or in the afternoon, to deliver to the (11) The date of any notice of appeal filed and
clerk of court, immediately at the close of the name of the party filing the same.
such morning or afternoon session, all the
notes he has taken, to be attached to the He shall also:
record of the case. (1) Keep all the pleadings and other papers
It shall likewise be the duty of the clerk to and exhibits in cases pending in his
demand that the stenographer comply with court;and
said duty. The clerk of court shall stamp the (2) Certify copies of his docket entries and
date on which notes are received by him. other records proper to be certified, for the
fees prescribed by the Rules of Court.
When such notes are transcribed, the
transcript shall be delivered to the clerk, duly
initialed on each page thereof, to be attached It shall not be necessary for the municipal or
to the record of the case. city judge to reduce to writing the testimony
of witnesses, except that of the accused in
Whenever requested by a party, any
preliminary investigations.
statement made by a judge of first instance,
or by a commissioner, with reference to a case
being tried by him, or to any of the parties
thereto, or to any witness or attorney, during Legal Fees
the hearing of such case, shall be made of
record in the stenographic notes (Section 17, MANNER OF PAYMENT
Rule 136). Upon the filing of the pleading or other
application which initiates an action or
DOCKET AND OTHER RECORDS OF proceeding, the fees prescribed therefor shall be
INFERIOR COURTS paid in full (Section 1, Rule 141).
Every municipal or city judge shall keep a well-
bound labeled “docket.” He may keep two FEES IN LIEN
dockets, one for civil and one for criminal cases. The party concerned shall pay additional fees,
where the court in its final judgment awards:
In such docket, he shall enter for each case: (1) A claim not alleged; or
(1) Title of the case including the name of all (2) A relief different from, or more than that
the parties; claimed in the pleading.
(2) The nature of the case, whether civil or
criminal, and if the latter, the offense The additional fees which shall constitute a lien
charged; on the judgment. The clerk of court shall assess
(3) The date of issuing preliminary and and collect the corresponding fees (Section 2,
intermediate process including order of Rule 141).
arrest and subpoenas, and the date and
nature of the return thereon;
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PERSONS AUTHORIZED TO COLLECT LEGAL No costs shall be allowed against the Republic
FEES of the Philippines, unless otherwise provided by
Except as otherwise provided in Rule 141, the law(Section 1, Rule 142).
following officers and persons, together with
their assistants and deputies, may demand, DISMISSED ACTION OR APPEAL
receive, and take the several fees hereinafter If an action or appeal is dismissed for want of
mentioned and allowed for any business by jurisdiction or otherwise, the court nevertheless
them respectively done by virtue of their several shall have the power to render judgment for
offices, and no more: costs, as justice may require (Section 2, Rule
(1) Clerks of the Supreme Court, Court of 142).
Appeals, Sandiganbayan and Court of Tax
Appeals; FRIVOLOUS APPEAL
(2) Clerks of Regional Trial Courts; Where an action or an appeal is found to be
(3) Clerks of first level courts; frivolous, double, or treble costs may be
(4) Sheriffs, process servers and other persons imposed on the plaintiff or appellant, which
serving processes; shall be paid by his attorney, if so ordered by the
(5) Stenographers; court (Section 3, Rule 142).
(6) Notaries;
(7) Other officers taking depositions. FALSE ALLEGATIONS
An averment in a pleading made without
All fees so collected shall be forthwith reasonable cause and found untrue shall
remitted to the Supreme Court. The persons subject the offending party to the payment of
herein authorized to collect legal fees shall be such reasonable expenses as may have been
accountable officers and shall be required to necessarily incurred by the other party by reason
post bond in such amount as prescribed by of such untrue pleading. The amount of
the law (Section 3, Rule 141). expenses so payable shall be fixed by the judge
It is not simply the filing of the complaint or in the trial, and taxed as costs (Section 4, Rule
appropriate initiatory pleading but the 142).
payment of the prescribed docket fee that
vests a trial court with jurisdiction over the NON-APPEARANCE OF WITNESS
subject matter or nature of the action. Where If a witness fails to appear at the time and place
the filing of the initiatory pleading is not specified in the subpoena issued by any inferior
accompanied by payment of the docket fee, court, the costs of the warrant of arrest and of
the court may allow payment of the fee within the arrest of the witness shall be paid by the
a reasonable time but in no case beyond the witness if the court shall determine that his
applicable prescriptive or reglementary period failure to answer the subpoena was willful or
[Sun Life Insurance v. Asuncion (1989)]. without just excuse (Section 12, Rule 142).
Recovery of Costs
PREVAILING PARTY
Unless otherwise provided in the Rules of Court,
costs shall be allowed to the prevailing party as
a matter of course, but the court shall have
power, for special reasons, to adjudge:
(1) That either party shall pay the costs of an
action; or
(2) That the same shall be divided between
them, as may be equitable.
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